Form 8-K

 

 

SECURITIES AND EXCHANGE COMMISSION

UNITED STATES

Washington, DC 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) December 4, 2009

 

 

HENNESSY ADVISORS, INC.

(Exact name of registrant as specified in its charter)

 

 

 

California   000-49872   68-0176227

(State or other jurisdiction

of incorporation)

  

Commission

File Number)

  

(IRS Employer

Identification No.)

 

7250 Redwood Blvd., Suite 200

Novato, California

   94945
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number including area code: (415) 899-1555

Not Applicable

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230 .425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

Item 2.02 Results of Operations and Financial Condition

The registrant has issued an earnings release for the fiscal year ended September 30, 2009, which is included herein as Exhibit 99.1.

Item 9.01 Financial Statements and Exhibits

 

  (c) Exhibits

 

Exhibit 99.1    Earnings release issued December 4, 2009, by Hennessy Advisors, Inc., for the fiscal year ended September 30, 2009.

 

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  HENNESSY ADVISORS, INC.
December 4, 2009   By:   /S/    NEIL J. HENNESSY        
    Neil J. Hennessy
    President

 

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EXHIBIT INDEX

 

Exhibit 99.1   Earnings release issued December 4, 2009, by Hennessy Advisors, Inc., for the fiscal year ended September 30, 2009.

 

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