UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-A
For Registration of Certain Classes of Securities
Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934
HENNESSY ADVISORS, INC.
(Exact name of registrant as specified in its charter)
California | 68-0176227 | ||
(State or other jurisdiction of incorporation) | (IRS Employer Identification No.) | ||
7250 Redwood Blvd., Suite 200 Novato, California
| 94945 | ||
(Address of principal executive offices) | (Zip code) |
Securities to be registered pursuant to Section 12(b) of the Act:
Title of each class to be so registered | Name of each exchange on which each class is to be registered |
4.875% Notes due 2026 | The Nasdaq Stock Market LLC |
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box. x
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. ¨
If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. ¨
Securities Act registration statement or Regulation A offering statement file number to which this form relates: 333-259750
Securities to be registered pursuant to Section 12(g) of the Act:
Not Applicable
INFORMATION REQUIRED IN REGISTRATION STATEMENT
Hennessy Advisors, Inc. (the “Registrant”) has filed with the Securities and Exchange Commission (the “Commission”) pursuant to Rule 424(b) under the Securities Act of 1933, as amended, a prospectus, dated October 13, 2021 (the “Prospectus”). The Prospectus relates to the offering of $40,250,000 aggregate principal amount of 4.875% Notes due 2026 (the “Notes”) to be issued by the Registrant. The Prospectus forms a part of the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-259750), previously filed with the Commission and declared effective on October 13, 2021.
Item 1. | Description of Registrant’s Securities to be Registered |
The description under the heading “Description of the Notes” in the Prospectus is incorporated by reference herein. Copies of such description will be filed with the Nasdaq Stock Market.
Item 2. | Exhibits |
SIGNATURES
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned hereunto duly authorized.
HENNESSY ADVISORS, INC. | ||
October 20, 2021 | By: | /s/ Teresa M. Nilsen |
Teresa M. Nilsen | ||
President and Chief Operating Officer |