IPO registrations (S-1, F-1) · Registrants
HENNESSY ADVISORS INC
- SEC CIK
- 1145255 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2005-07-26, last 2021-10-12; 2 initial registrations, 3 amendments
- Outcome
- Final prospectus filed 2021-10-14; declared effective 2015-02-23
- Industry (SIC)
- Investment Advice 6282
- Business address
- 7250 REDWOOD BLVD., SUITE 200, Novato, CA 94945
- EIN
- 68-0176227
- Ticker
- HNNA (Nasdaq)
- EDGAR entity type
- operating
- Insiders and CEO pay
- HENNESSY ADVISORS INC on the corporate pages
Offering terms
- Final price
- $25.00 per share (424B4 filed 2021-10-14)
- Gross proceeds
- $35,000,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol HNNAZ
- Lead underwriters
- Oppenheimer
- Syndicate
- Janney Montgomery Scott
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Investment adviser (Form ADV): HENNESSY ADVISORS, INC. ↗ Fuzzy (name and state)
- Business registration: HENNESSY ADVISORS, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: HENNESSY ADVISORS, INC. EXACT (EIN (EXACT))
- SEC filer: HENNESSY ADVISORS INC EXACT (CIK (EXACT))
- Person page: Daniel G Libarle Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Other))
Filings 10
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2005-07-26 | S-1 | S-1 (registration) | HENNESSY ADVISORS INC | 0000898531-05-000254 ↗ |
| 2005-09-02 | S-1/A | S-1/A (amendment) | HENNESSY ADVISORS INC | 0001193125-05-179239 ↗ |
| 2005-09-21 | S-1/A | S-1/A (amendment) | HENNESSY ADVISORS INC | 0001193125-05-188522 ↗ |
| 2015-02-23 | EFFECT | EFFECT (declared effective) | HENNESSY ADVISORS INC | 9999999995-15-000473 ↗ |
| 2018-01-08 | EFFECT | EFFECT (declared effective) | HENNESSY ADVISORS INC | 9999999995-18-000071 ↗ |
| 2021-01-07 | EFFECT | EFFECT (declared effective) | HENNESSY ADVISORS INC | 9999999995-21-000065 ↗ |
| 2021-09-23 | S-1 | S-1 (registration) | HENNESSY ADVISORS INC | 0001104659-21-118825 ↗ |
| 2021-10-12 | S-1/A | S-1/A (amendment) | HENNESSY ADVISORS INC | 0001104659-21-124920 ↗ |
| 2021-10-13 | EFFECT | EFFECT (declared effective) | HENNESSY ADVISORS INC | 9999999995-21-003871 ↗ |
| 2021-10-14 | 424B4 | 424B4 (final prospectus) | HENNESSY ADVISORS INC | 0001104659-21-126235 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2021-10-12 | S-1/A | registration statement | $25.00 | - | - | Nasdaq HNNAZ | 2 | primary document; price sentence, cover names 2 | document ↗ | |
| 2021-10-14 | 424B4 | final prospectus | $25.00 | - | $35,000,000 | Nasdaq HNNAZ | 2 | primary document; price sentence, proceeds table, cover names 2 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| BENNETT CHARLES W | Director | 9 | 2006–2009 | ||
| HANSEL HENRY | Director | 22 | 2006–2026 | ||
| HENNESSY BRIAN A | Director | 53 | 2006–2026 | ||
| LIBARLE DANIEL G | Director; Other | 37 | 2006–2026 | person page Fuzzy | |
| NILSEN TERESA M | Director,Officer | EVP, CFO and Secretary; President, COO and Secretary | 73 | 2006–2026 | |
| OFFENBACH RODGER | Director; Other | 41 | 2006–2025 | ||
| SEAVEY THOMAS L | Director | 39 | 2006–2026 | ||
| STEADMAN DANIEL B | Director,Officer; Officer; Officer,Other | Executive Vice President; Executive VP | 89 | 2006–2026 | |
| HENNESSY NEIL J | Director,Officer; Director,Officer,TenPercentOwner | CEO; Chairman and CEO; President and CEO; President and COO | 83 | 2006–2026 | |
| Pomilia Susan Weber | Director | 20 | 2014–2026 | ||
| Fahy Kathryn | Officer | SVP and CFO | 33 | 2018–2026 | |
| Knight ORiordan Lydia D | Director | 6 | 2021–2026 | ||
| Newton Kiera | Director; Other | 15 | 2022–2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Investment adviser | HENNESSY ADVISORS, INC. | CA | Investment advisers (Form ADV) | name and state |
| Business registration | HENNESSY ADVISORS, INC. | CA | State business registries | name and state |
| Plan sponsor | HENNESSY ADVISORS, INC. | CA | Form 5500 (employee benefit plans) | EIN (EXACT) |
| SEC filer | HENNESSY ADVISORS INC | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | HENNESSY ADVISORS, INC. | EIN (EXACT) | ||
| Person page | Daniel G Libarle | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Other) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
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In other datasets, the same topic (Finance) in CA:
- Lobbying client: A16Z CAPITAL MANAGEMENT FKA ANDREESSEN HOROWITZ (Federal lobbying (LDA))
Interests: Investment Advice · Finance