UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

 

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):      January 25, 2018

 

HENNESSY ADVISORS, INC. 

(Exact name of registrant as specified in its charter)

 

California		001-36423		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))

  

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

 

Emerging growth company ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

  

 

  

Item 2.02.

Results of Operations and Financial Condition

  

On January 25, 2018, Hennessy Advisors, Inc. issued a press release announcing its financial results for the fiscal quarter ended December 31, 2017. A copy of the press release is being furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference herein.

  

 

Item 7.01.

Regulation FD Disclosure

  

On January 25, 2018, the Company issued a press release announcing that it had declared a cash dividend of $0.10 per share on its common stock, payable March 5, 2018, to shareholders of record at the close of business on February 9, 2018. A copy of the press release is being furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference herein.

  

 

Item 9.01.

Financial Statements and Exhibits

  

The exhibit listed in the exhibit index below is furnished under Items 2.02 and 7.01 of this Current Report on Form 8-K.

  

 

EXHIBIT INDEX

 

Exhibit	Description
99.1	Press release of Hennessy Advisors, Inc., dated January 25, 2018.

  

 

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.
January 25, 2018	By:	/s/ Neil J. Hennessy
		Neil J. Hennessy
		Chief Executive Officer