Loading...
Docoh

Hennessy Funds Trust

Filed: 14 Jan 22, 9:21am
X0404

N-CEN: Filer Information

Submission Contact Information

Name
Phone
E-Mail Address

Notification Information

Notify via Filing Website only?Checkbox not checked

N-CEN:Series/Class (Contract) Information

All?Checkbox checked

N-CEN:Part A: General Information

Item A.1. Reporting period covered.

a. Report for period ending:
2021-10-31
b. Does this report cover a period of less than 12 months?Radio button not checked Yes Radio button checked No

N-CEN:Part B: Information About the Registrant


Item B.1. Background information.

a. Full name of Registrant
Hennessy Funds Trust
b. Investment Company Act file number ( e.g., 811-)
811-07168
c. CIK
0000891944
d. LEI
254900O0F8MQNN7UZ261

Item B.2. Address and telephone number of Registrant.

a. Street 1
7250 Redwood Blvd.
Street 2
Suite 200
b. City
Novato
c. State, if applicable
CALIFORNIA
d. Foreign country, if applicable
UNITED STATES OF AMERICA
e. Zip code and zip code extension, or foreign postal code
94945
f. Telephone number (including country code if foreign)
18009664354
g. Public Website, if any
www.hennessyfunds.com

Item B.3. Location of books and records.

Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section.
Location books Record: 1
a. Name of person (e.g., a custodian of records)
U.S. Bancorp Fund Services LLC
b. Street 1
615 East Michigan Street
Street 2
c. City
Milwaukee
d. State, if applicable
WISCONSIN
e. Foreign country, if applicable
UNITED STATES OF AMERICA
f. Zip code and zip code extension, or foreign postal code
53202
g. Telephone number (including country code if foreign)
18336121912
h. Briefly describe the books and records kept at this location:
The books and records required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended.
Location books Record: 2
a. Name of person (e.g., a custodian of records)
U.S. Bank National Association
b. Street 1
1555 North RiverCenter Drive
Street 2
Suite 302
c. City
Milwaukee
d. State, if applicable
WISCONSIN
e. Foreign country, if applicable
UNITED STATES OF AMERICA
f. Zip code and zip code extension, or foreign postal code
53212-3958
g. Telephone number (including country code if foreign)
18336121912
h. Briefly describe the books and records kept at this location:
The books and records required to be to be maintained by paragraphs (3) and (7) of Rule 31a-1(b) of the Investment Company Act of 1940, as amended.

Item B.4. Initial of final filings.

Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
a. Is this the first filing on this form by the Registrant? Radio button not checked Yes Radio button checked No
b. Is this the last filing on this form by the Registrant? Radio button not checked Yes Radio button checked No

Item B.5. Family of investment companies.

Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically.
Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar.
a. Is the Registrant part of a family of investment companies? Radio button checked Yes Radio button not checked No
i. Full name of family of investment companies
Hennessy Funds Trust

Item B.6. Organization.

Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act).
Indicate the classification of the Registrant by checking the applicable item below.
Checkbox checked a. Open-end management investment company registered under the Act on Form N-1A
Checkbox not checked b. Closed-end management investment company registered under the Act on Form N-2
Checkbox not checked c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3
Checkbox not checked d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4
Checkbox not checked e. Small business investment company registered under the Act on Form N-5
Checkbox not checked f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6
Checkbox not checked g. Unit investment trust registered under the Act on Form N-8B-2
i. Total number of Series of the Registrant
16

Item B.7. Securities Act registration.

Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? Radio button checked Yes Radio button not checked No

Item B.8. Directors.

Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
Director Record: 1
a. Full Name
Neil J. Hennessy
b. CRD number, if any
N/A
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button checked Yes Radio button not checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A
Director Record: 2
a. Full Name
Gerald P. Richardson
b. CRD number, if any
N/A
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A
Director Record: 3
a. Full Name
Robert T. Doyle
b. CRD number, if any
N/A
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A
Director Record: 4
a. Full Name
J. Dennis DeSousa
b. CRD number, if any
N/A
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A
Director Record: 5
a. Full Name
Claire E. A. Garvie
b. CRD number, if any
N/A
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A

Item B.9. Chief compliance officer.

Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
Chief compliance officer Record: 1
a. Full Name
Jennifer Cheskiewicz
b. CRD Number, if any
N/A
c. Street Address 1
4800 Bee Caves Road
Street Address 2
Suite 100
d. City
Austin
e. State, if applicable
TEXAS
f. Foreign country, if applicable
UNITED STATES OF AMERICA
g. Zip code and zip code extension, or foreign postal code
78746
h. Telephone number (including country code if foreign)
XXXXXX
i. Has the chief compliance officer changed since the last filing? Radio button not checked Yes Radio button checked No
If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide:
CCO employer Record: 1
i. Name of the person
Hennessy Advisors Inc.
ii. Person's IRS Employer Identification Number
68-0176227

Item B.10. Matters for security holder vote.

Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters.
Were any matters submitted by the Registrant for its security holders' vote during the reporting period? Radio button not checked Yes Radio button checked No

Item B.11. Legal proceeding.

Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? Radio button not checked Yes Radio button checked No
b. Has any proceeding previously reported been terminated? Radio button not checked Yes Radio button checked No

Item B.12. Fidelity bond and insurance (management investment companies only).

a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? Radio button not checked Yes Radio button checked No

Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).

a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? Radio button checked Yes Radio button not checked No
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? Radio button not checked Yes Radio button checked No

Item B.14. Provision of financial support.

Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? Radio button not checked Yes Radio button checked No

Item B.15. Exemptive orders.

a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? Radio button checked Yes Radio button not checked No
Release number Record: 1
i. If yes, provide below the release number for each order
IC-33897

Item B.16. Principal underwriters.

a. Provide the information requested below about each principal underwriter:
Principal underwriter Record: 1
i. Full name
Quasar Distributors LLC
ii. SEC file number (e.g., 8-)
8-52323
iii. CRD number
000103848
iv. LEI, if any
N/A
v. State, if applicable
WISCONSIN
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? Radio button not checked Yes Radio button checked No
b. Have any principal underwriters been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item B.17. Independent public accountant.

Provide the following information about eachthe independent public accountant:
Public accountant Record: 1
a. Full Name
Tait Weller and Baker LLP
b. PCAOB Number
00445
c. LEI, if any
N/A
d. State, if applicable
PENNSYLVANIA
e. Foreign country, if applicable
UNITED STATES OF AMERICA
f. Has the independent public accountant changed since the last filing?Radio button not checked Yes Radio button checked No

Item B.18. Report on internal control (management investment companies only).

Instruction. Small business investment companies are not required to respond to this item.
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? Radio button not checked Yes Radio button checked No

Item B.19. Audit opinion.

For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? Radio button not checked Yes Radio button checked No

Item B.20. Change in valuation methods.

Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? Radio button not checked Yes Radio button checked No

Item B.21. Change in accounting principles and practices.

Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? Radio button not checked Yes Radio button checked No

Item B.22. Net asset value error corrections (open-end management investment companies only).

a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? Radio button not checked Yes Radio button checked No

Item B.23. Rule 19a-1 notice (management investment companies only).

During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? Radio button checked Yes Radio button not checked No
Payment dividend series info Record: 1
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved:
i. Series name
Hennessy BP Midstream Fund
ii. Series identification number
S000063245

N-CEN:Part C: Additional Questions for Management Investment Companies

General Instruction.

Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below.
Management Investment Record: 1

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Cornerstone Growth Fund

b. Series identication number, if any

S000044800

c. LEI

254900JWVO0IX2B4CG37

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000139151

iii. Ticker symbol, if any

HFCGX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000139152

iii. Ticker symbol, if any

HICGX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Jonestrading Institutional Services LLC
ii. SEC file number

8-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

49252.000000000000

Brokers Record: 2
i. Full name of broker
Jefferies LLC
ii. SEC file number

8-15074

iii. CRD number
000002347
iv. LEI, if any

58PU97L1C0WSRCWADL48

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

29504.000000000000

Brokers Record: 3
i. Full name of broker
Piper Jaffray & Co.
ii. SEC file number

8-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

29256.000000000000

Brokers Record: 4
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

21080.000000000000

Brokers Record: 5
i. Full name of broker
Maxim Group LLC
ii. SEC file number

8-65337

iii. CRD number
000120708
iv. LEI, if any

254900OJ6JZO6SDMHQ83

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

21136.000000000000

Brokers Record: 6
i. Full name of broker
Ladenburg Thalmann & Co. Inc.
ii. SEC file number

8-17230

iii. CRD number
000000505
iv. LEI, if any

2549000V3L2KK4L76W91

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

20928.000000000000

Brokers Record: 7
i. Full name of broker
Cowen Execution Services LLC
ii. SEC file number

8-46838

iii. CRD number
000035693
iv. LEI, if any

5493005RJDJD18OPUP27

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

20740.000000000000

Brokers Record: 8
i. Full name of broker
Cowen and Company LLC
ii. SEC file number

8-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

9068.000000000000

Brokers Record: 9
i. Full name of broker
ITG Inc.
ii. SEC file number

8-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

235375.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

436339.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

164963008.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
567333.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
3



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 2

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Focus Fund

b. Series identication number, if any

S000038529

c. LEI

254900IKT9J89PSXG071

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000118915

iii. Ticker symbol, if any

HFCSX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000118916

iii. Ticker symbol, if any

HFCIX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Broad Run Investment Management, LLC
ii. SEC file number ( e.g., 801- ), if applicable

801-77021

iii. CRD number
000165067
iv. LEI, if any

254900HTN9KUYVNRGY73

v. State, if applicable
VIRGINIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
BNP Paribas Securities Services (BNP)
ii. LEI, if any

549300WCGB70D06XZS54

iii. State, if applicable
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Tourmaline Partners, LLC
ii. SEC file number

8-68644

iii. CRD number
000154492
iv. LEI, if any

5493002XAV50EJHN6Y32

v. State, if applicable
CONNECTICUT
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

213135.000000000000

Brokers Record: 2
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

16726.000000000000

Brokers Record: 3
i. Full name of broker
Goldman Sachs and Co. LLC
ii. SEC file number

8-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3927.000000000000

Brokers Record: 4
i. Full name of broker
Cantor Fitzgerald and Co.
ii. SEC file number

8-00201

iii. CRD number
000000134
iv. LEI, if any

5493004J7H4GCPG6OB62

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1747.000000000000

Brokers Record: 5
i. Full name of broker
Jonestrading Institutional Services LLC
ii. SEC file number

8-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1000.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

236535.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1148201595.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
4556400.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
5



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 3

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Cornerstone Mid Cap 30 Fund

b. Series identication number, if any

S000044801

c. LEI

25490086U43NDV4B7F69

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000139153

iii. Ticker symbol, if any

HFMDX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000139154

iii. Ticker symbol, if any

HIMDX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
ITG Inc.
ii. SEC file number

8-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

37680.000000000000

Brokers Record: 2
i. Full name of broker
Cowen Execution Services LLC
ii. SEC file number

8-46838

iii. CRD number
000035693
iv. LEI, if any

5493005RJDJD18OPUP27

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

8956.000000000000

Brokers Record: 3
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

8160.000000000000

Brokers Record: 4
i. Full name of broker
Piper Jaffray & Co.
ii. SEC file number

8-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

6724.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

61520.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

393598978.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
1386111.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
9



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 4

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Cornerstone Large Growth Fund

b. Series identication number, if any

S000019531

c. LEI

254900TKZI480QHZLZ88

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000054248

iii. Ticker symbol, if any

HFLGX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000074662

iii. Ticker symbol, if any

HILGX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button checked Yes Radio button not checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
ITG Inc.
ii. SEC file number

8-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

44688.000000000000

Brokers Record: 2
i. Full name of broker
Jonestrading Institutional Services LLC
ii. SEC file number

8-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

35068.000000000000

Brokers Record: 3
i. Full name of broker
Jefferies LLC
ii. SEC file number

8-15074

iii. CRD number
000002347
iv. LEI, if any

58PU97L1C0WSRCWADL48

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

16820.000000000000

Brokers Record: 4
i. Full name of broker
Piper Jaffray & Co.
ii. SEC file number

8-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

788.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

97364.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

151396427.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
5073500.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
2



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 5

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Cornerstone Value Fund

b. Series identication number, if any

S000044802

c. LEI

254900GWIA3DJVVB8X74

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000139155

iii. Ticker symbol, if any

HFCVX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000139156

iii. Ticker symbol, if any

HICVX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
ITG Inc.
ii. SEC file number

8-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

87764.000000000000

Brokers Record: 2
i. Full name of broker
Piper Jaffray & Co.
ii. SEC file number

8-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

26582.000000000000

Brokers Record: 3
i. Full name of broker
Cowen Execution Services LLC
ii. SEC file number

8-46838

iii. CRD number
000035693
iv. LEI, if any

5493005RJDJD18OPUP27

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

23344.000000000000

Brokers Record: 4
i. Full name of broker
Maxim Group LLC
ii. SEC file number

8-65337

iii. CRD number
000120708
iv. LEI, if any

254900OJ6JZO6SDMHQ83

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

18642.000000000000

Brokers Record: 5
i. Full name of broker
Ladenburg Thalmann & Co. Inc.
ii. SEC file number

8-17230

iii. CRD number
000000505
iv. LEI, if any

2549000V3L2KK4L76W91

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

18416.000000000000

Brokers Record: 6
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

10184.000000000000

Brokers Record: 7
i. Full name of broker
Jefferies LLC
ii. SEC file number

8-15074

iii. CRD number
000002347
iv. LEI, if any

58PU97L1C0WSRCWADL48

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3008.000000000000

Brokers Record: 8
i. Full name of broker
Jonestrading Institutional Services LLC
ii. SEC file number

8-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3004.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

190944.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

245964440.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 6

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Total Return Fund

b. Series identication number, if any

S000044803

c. LEI

254900IVAA3Z8B5NQB50

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000139157

iii. Ticker symbol, if any

HDOGX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button not checked Yes Radio button checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Ladenburg Thalmann & Co. Inc.
ii. SEC file number

8-17230

iii. CRD number
000000505
iv. LEI, if any

2549000V3L2KK4L76W91

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

5226.000000000000

Brokers Record: 2
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1367.000000000000

Brokers Record: 3
i. Full name of broker
ITG Inc.
ii. SEC file number

8-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

456.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

7049.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Jefferies LLC
ii. SEC file number

8-15074

iii. CRD number
000002347
iv. LEI, if any

58PU97L1C0WSRCWADL48

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

149985721.000000000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

149985721.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

55677150.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
699000.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
3



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 7

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Equity and Income Fund

b. Series identication number, if any

S000038534

c. LEI

254900PPC2J5XYZK0M30

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000118924

iii. Ticker symbol, if any

HEIFX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000118923

iii. Ticker symbol, if any

HEIIX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
The London Company of Virginia, LLC
ii. SEC file number ( e.g., 801- ), if applicable

801-46604

iii. CRD number
000106654
iv. LEI, if any

5493002IGC8HMV7IU214

v. State, if applicable
VIRGINIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
Sub Advisors Record: 2
i. Full name
FCI Advisors
ii. SEC file number ( e.g., 801- ), if applicable

801-48195

iii. CRD number
000106398
iv. LEI, if any

N/A

v. State, if applicable
KANSAS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Instinet, LLC
ii. SEC file number

8-23669

iii. CRD number
000007897
iv. LEI, if any

549300MGMN3RKMU8FT57

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3411.000000000000

Brokers Record: 2
i. Full name of broker
Sanford C. Bernstein and Co., LLC
ii. SEC file number

8-52942

iii. CRD number
000104474
iv. LEI, if any

549300I7JYZHT7D5CO04

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

2100.000000000000

Brokers Record: 3
i. Full name of broker
Jefferies LLC
ii. SEC file number

8-15074

iii. CRD number
000002347
iv. LEI, if any

58PU97L1C0WSRCWADL48

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1970.000000000000

Brokers Record: 4
i. Full name of broker
Cantor Fitzgerald and Co.
ii. SEC file number

8-00201

iii. CRD number
000000134
iv. LEI, if any

5493004J7H4GCPG6OB62

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1599.000000000000

Brokers Record: 5
i. Full name of broker
Piper Jaffray & Co.
ii. SEC file number

8-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1421.000000000000

Brokers Record: 6
i. Full name of broker
Capital Institutional Services, Inc.
ii. SEC file number

8-22273

iii. CRD number
000007551
iv. LEI, if any

54930061X8RDWFDJIS05

v. State, if applicable
TEXAS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1131.000000000000

Brokers Record: 7
i. Full name of broker
Cowen and Company LLC
ii. SEC file number

8-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1014.000000000000

Brokers Record: 8
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

778.000000000000

Brokers Record: 9
i. Full name of broker
Goldman Sachs and Co. LLC
ii. SEC file number

8-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

527.000000000000

Brokers Record: 10
i. Full name of broker
Stifel, Nicolaus and Company, Inc.
ii. SEC file number

8-01447

iii. CRD number
000000793
iv. LEI, if any

5WUVMA08EYG4KEUPW589

v. State, if applicable
MISSOURI
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

274.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

14538.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7611167.000000000000

Principal Transactions Record: 2
i. Full name of dealer
Morgan Stanley and Co., LLC
ii. SEC file number

8-15869

iii. CRD number
000008209
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4656896.000000000000

Principal Transactions Record: 3
i. Full name of dealer
Oppenheimer & Co., Inc.
ii. SEC file number

8-04077

iii. CRD number
000000249
iv. LEI, if any

254900VH02JQR2L8XD64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3483593.000000000000

Principal Transactions Record: 4
i. Full name of dealer
Robert W. Baird & Co. Incorporated
ii. SEC file number

8-00497

iii. CRD number
000008158
iv. LEI, if any

549300772UJAHRD6LO53

v. State, if applicable
WISCONSIN
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2795098.000000000000

Principal Transactions Record: 5
i. Full name of dealer
Cowen and Company LLC
ii. SEC file number

8-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2491408.000000000000

Principal Transactions Record: 6
i. Full name of dealer
MarketAxess Corp.
ii. SEC file number

8-50727

iii. CRD number
000044542
iv. LEI, if any

GPSMMRI21JE7ZCVYF972

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2089354.000000000000

Principal Transactions Record: 7
i. Full name of dealer
Hilltop Securities, Inc.
ii. SEC file number

8-45123

iii. CRD number
000006220
iv. LEI, if any

549300IXU82PMU6XZT45

v. State, if applicable
TEXAS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

755828.000000000000

Principal Transactions Record: 8
i. Full name of dealer
Pershing LLC
ii. SEC file number

8-17574

iii. CRD number
000007560
iv. LEI, if any

ZI8Q1A8EI8LQFJNM0D94

v. State, if applicable
NEW JERSEY
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

685092.000000000000

Principal Transactions Record: 9
i. Full name of dealer
Cantor Fitzgerald and Co.
ii. SEC file number

8-00201

iii. CRD number
000000134
iv. LEI, if any

5493004J7H4GCPG6OB62

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

330597.000000000000

Principal Transactions Record: 10
i. Full name of dealer
ICBC Standard Securities, Inc.
ii. SEC file number

8-46816

iii. CRD number
000035560
iv. LEI, if any

549300M71TGD9HNZJH09

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

324171.000000000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

25636997.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

119918099.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 8

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Balanced Fund

b. Series identication number, if any

S000044804

c. LEI

2549006EBC2K680PRU88

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

1

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000139158

iii. Ticker symbol, if any

HBFBX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button not checked Yes Radio button checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Ladenburg Thalmann & Co. Inc.
ii. SEC file number

8-17230

iii. CRD number
000000505
iv. LEI, if any

2549000V3L2KK4L76W91

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

514.000000000000

Brokers Record: 2
i. Full name of broker
Cowen Execution Services LLC
ii. SEC file number

8-46838

iii. CRD number
000035693
iv. LEI, if any

5493005RJDJD18OPUP27

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

340.000000000000

Brokers Record: 3
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

138.000000000000

Brokers Record: 4
i. Full name of broker
Maxim Group LLC
ii. SEC file number

8-65337

iii. CRD number
000120708
iv. LEI, if any

254900OJ6JZO6SDMHQ83

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

85.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

1077.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Jefferies LLC
ii. SEC file number

8-15074

iii. CRD number
000002347
iv. LEI, if any

58PU97L1C0WSRCWADL48

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6594831.000000000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

6594831.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

13315660.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
24385.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
13



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 9

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Gas Utility Fund

b. Series identication number, if any

S000038533

c. LEI

2549006LSUD8R3TLM250

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000118922

iii. Ticker symbol, if any

GASFX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000179119

iii. Ticker symbol, if any

HGASX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox checked Index Fund
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button checked Yes Radio button not checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
-0.000094332355
2. After Fund fees and expenses (i.e., net asset value):
-0.008427538401
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
0.003911051061
2. After Fund fees and expenses (i.e., net asset value):
0.003927724843

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Maxim Group LLC
ii. SEC file number

8-65337

iii. CRD number
000120708
iv. LEI, if any

254900OJ6JZO6SDMHQ83

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

39689.000000000000

Brokers Record: 2
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

27612.000000000000

Brokers Record: 3
i. Full name of broker
ITG Inc.
ii. SEC file number

8-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

72469.000000000000

Brokers Record: 4
i. Full name of broker
Jonestrading Institutional Services LLC
ii. SEC file number

8-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

19197.000000000000

Brokers Record: 5
i. Full name of broker
Jefferies LLC
ii. SEC file number

8-15074

iii. CRD number
000002347
iv. LEI, if any

58PU97L1C0WSRCWADL48

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

17085.000000000000

Brokers Record: 6
i. Full name of broker
Ladenburg Thalmann & Co. Inc.
ii. SEC file number

8-17230

iii. CRD number
000000505
iv. LEI, if any

2549000V3L2KK4L76W91

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

17079.000000000000

Brokers Record: 7
i. Full name of broker
Cowen Execution Services LLC
ii. SEC file number

8-46838

iii. CRD number
000035693
iv. LEI, if any

5493005RJDJD18OPUP27

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

8793.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

201924.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Jonestrading Institutional Services LLC
ii. SEC file number

8-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

468496.000000000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

468496.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

536122464.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
932519.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
52



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 10

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Small Cap Financial Fund

b. Series identication number, if any

S000038531

c. LEI

25490036A6F6ES8OW635

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000118918

iii. Ticker symbol, if any

HSFNX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000118919

iii. Ticker symbol, if any

HISFX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Keefe Bruyette & Woods, Inc.
ii. SEC file number

8-10888

iii. CRD number
000000481
iv. LEI, if any

549300OM47DQV01G4854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

33384.000000000000

Brokers Record: 2
i. Full name of broker
Raymond James and Associates, Inc.
ii. SEC file number

8-10999

iii. CRD number
000000705
iv. LEI, if any

U4ONQX15J3RO8XCKE979

v. State, if applicable
FLORIDA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

31275.000000000000

Brokers Record: 3
i. Full name of broker
Compass Point Research & Trading, LLC
ii. SEC file number

8-65866

iii. CRD number
000126258
iv. LEI, if any

254900VW04UOPUJ5PX70

v. State, if applicable
DISTRICT OF COLUMBIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

30345.000000000000

Brokers Record: 4
i. Full name of broker
Piper Jaffray & Co.
ii. SEC file number

8-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

28597.000000000000

Brokers Record: 5
i. Full name of broker
Janney Montgomery Scott LLC
ii. SEC file number

8-00462

iii. CRD number
000000463
iv. LEI, if any

549300QQRY1JCFQHYS08

v. State, if applicable
PENNSYLVANIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

17235.000000000000

Brokers Record: 6
i. Full name of broker
Stifel, Nicolaus and Company, Inc.
ii. SEC file number

8-01447

iii. CRD number
000000793
iv. LEI, if any

5WUVMA08EYG4KEUPW589

v. State, if applicable
MISSOURI
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

15810.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

156646.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

127829480.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
416818.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
11



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 11

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Large Cap Financial Fund

b. Series identication number, if any

S000038530

c. LEI

2549009KDB1X6ZV01W15

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000118917

iii. Ticker symbol, if any

HLFNX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000157630

iii. Ticker symbol, if any

HILFX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Compass Point Research and Trading
ii. SEC file number

8-65866

iii. CRD number
000126258
iv. LEI, if any

254900VW04UOPUJ5PX70

v. State, if applicable
DISTRICT OF COLUMBIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

12735.000000000000

Brokers Record: 2
i. Full name of broker
Piper Jaffray & Co.
ii. SEC file number

8-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

11304.000000000000

Brokers Record: 3
i. Full name of broker
Raymond James and Associates, Inc.
ii. SEC file number

8-10999

iii. CRD number
000000705
iv. LEI, if any

U4ONQX15J3RO8XCKE979

v. State, if applicable
FLORIDA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

10905.000000000000

Brokers Record: 4
i. Full name of broker
Keefe Bruyette & Woods, Inc.
ii. SEC file number

8-10888

iii. CRD number
000000481
iv. LEI, if any

549300OM47DQV01G4854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

5835.000000000000

Brokers Record: 5
i. Full name of broker
Janney Montgomery Scott LLC
ii. SEC file number

8-00462

iii. CRD number
000000463
iv. LEI, if any

549300QQRY1JCFQHYS08

v. State, if applicable
PENNSYLVANIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3273.000000000000

Brokers Record: 6
i. Full name of broker
Stifel, Nicolaus and Company, Inc.
ii. SEC file number

8-01447

iii. CRD number
000000793
iv. LEI, if any

5WUVMA08EYG4KEUPW589

v. State, if applicable
MISSOURI
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

654.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

44706.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

63192134.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
3037000.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
12



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 12

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Technology Fund

b. Series identication number, if any

S000038532

c. LEI

254900ZEQDFAFU4UZ280

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000118920

iii. Ticker symbol, if any

HTECX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000118921

iii. Ticker symbol, if any

HTCIX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
ITG Inc.
ii. SEC file number

8-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

14748.000000000000

Brokers Record: 2
i. Full name of broker
Maxim Group LLC
ii. SEC file number

8-65337

iii. CRD number
000120708
iv. LEI, if any

254900OJ6JZO6SDMHQ83

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

8246.000000000000

Brokers Record: 3
i. Full name of broker
Piper Jaffray & Co.
ii. SEC file number

8-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3815.000000000000

Brokers Record: 4
i. Full name of broker
Jonestrading Institutional Services LLC
ii. SEC file number

8-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3640.000000000000

Brokers Record: 5
i. Full name of broker
Jefferies LLC
ii. SEC file number

8-15074

iii. CRD number
000002347
iv. LEI, if any

58PU97L1C0WSRCWADL48

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3615.000000000000

Brokers Record: 6
i. Full name of broker
RBC Capital Markets, LLC
ii. SEC file number

8-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

166.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

34230.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

7859454.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 13

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Japan Fund

b. Series identication number, if any

S000044805

c. LEI

254900M06NQALZVTK803

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000139160

iii. Ticker symbol, if any

HJPNX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000139159

iii. Ticker symbol, if any

HJPIX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
SPARX Asset Management Co., Ltd.
ii. SEC file number ( e.g., 801- ), if applicable

801-64550

iii. CRD number
000134747
iv. LEI, if any

N/A

v. State, if applicable
vi. Foreign country, if applicable
JAPAN
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Okabena Investment Services Inc.
ii. SEC file number

8-47929

iii. CRD number
000111162
iv. LEI, if any

N/A

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

18564.000000000000

Brokers Record: 2
i. Full name of broker
Nomura Securities International, Inc.
ii. SEC file number

8-15255

iii. CRD number
000004297
iv. LEI, if any

OXTKY6Q8X53C9ILVV871

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

17729.000000000000

Brokers Record: 3
i. Full name of broker
MUFG Securities Americas, Inc.
ii. SEC file number

8-43026

iii. CRD number
000019685
iv. LEI, if any

K5HU16E3LMSVCCJJJ255

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

14279.000000000000

Brokers Record: 4
i. Full name of broker
SMBC Nikko Securities America, Inc.
ii. SEC file number

8-43852

iii. CRD number
000028602
iv. LEI, if any

6PJDTY319315T5LR2241

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

10199.000000000000

Brokers Record: 5
i. Full name of broker
UBS Financial Services, Inc.
ii. SEC file number

8-16267

iii. CRD number
000008174
iv. LEI, if any

ETYRV6ORNFJB5NONI676

v. State, if applicable
NEW JERSEY
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

7884.000000000000

Brokers Record: 6
i. Full name of broker
Mizuho Securities USA, LLC
ii. SEC file number

8-37710

iii. CRD number
000019647
iv. LEI, if any

7TK5RJIZDFROZCA6XF66

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

6920.000000000000

Brokers Record: 7
i. Full name of broker
J.P. Morgan Securities LLC
ii. SEC file number

8-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

5574.000000000000

Brokers Record: 8
i. Full name of broker
Credit Suisse Securities, LLC
ii. SEC file number

8-00422

iii. CRD number
000000816
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

5311.000000000000

Brokers Record: 9
i. Full name of broker
CLSA Americas, LLC
ii. SEC file number

8-69166

iii. CRD number
000165533
iv. LEI, if any

213800M2DXATWY7JMS07

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

5300.000000000000

Brokers Record: 10
i. Full name of broker
Merrill Lynch, Pierce, Fenner & Smith, Inc.
ii. SEC file number

8-7221

iii. CRD number
000007691
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

4373.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

132958.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

851135796.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
20044000.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
5



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 14

Item C.1. Background information.

a. Full Name of the Fund

Hennessy Japan Small Cap Fund

b. Series identication number, if any

S000044806

c. LEI

254900414IO3OMRVKA90

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000139161

iii. Ticker symbol, if any

HJPSX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000157631

iii. Ticker symbol, if any

HJSIX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
SPARX Asset Management Co., Ltd.
ii. SEC file number ( e.g., 801- ), if applicable

801-64550

iii. CRD number
000134747
iv. LEI, if any

N/A

v. State, if applicable
vi. Foreign country, if applicable
JAPAN
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Nomura Securities International, Inc.
ii. SEC file number

8-15255

iii. CRD number
000004297
iv. LEI, if any

OXTKY6Q8X53C9ILVV871

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

8712.000000000000

Brokers Record: 2
i. Full name of broker
SMBC Nikko Securities America, Inc.
ii. SEC file number

8-43852

iii. CRD number
000028602
iv. LEI, if any

6PJDTY319315T5LR2241

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

5610.000000000000

Brokers Record: 3
i. Full name of broker
Citigroup Global Markets, Inc.
ii. SEC file number

8-08177

iii. CRD number
000007059
iv. LEI, if any

MBNUM2BPBDO7JBLYG310

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

4938.000000000000

Brokers Record: 4
i. Full name of broker
J.P. Morgan Securities LLC
ii. SEC file number

8-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

4608.000000000000

Brokers Record: 5
i. Full name of broker
Mizuho Securities USA, LLC
ii. SEC file number

8-37710

iii. CRD number
000019647
iv. LEI, if any

7TK5RJIZDFROZCA6XF66

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3000.000000000000

Brokers Record: 6
i. Full name of broker
CLSA Americas, LLC
ii. SEC file number

8-69166

iii. CRD number
000165533
iv. LEI, if any

213800M2DXATWY7JMS07

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

2955.000000000000

Brokers Record: 7
i. Full name of broker
Dwight Securities Management LLC
ii. SEC file number

8-81111

iii. CRD number
000174984
iv. LEI, if any

549300JJFPBZRSJ1IX10

v. State, if applicable
DELAWARE
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

2595.000000000000

Brokers Record: 8
i. Full name of broker
Credit Suisse Securities, LLC
ii. SEC file number

8-00422

iii. CRD number
000000816
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

2275.000000000000

Brokers Record: 9
i. Full name of broker
UBS Financial Services, Inc.
ii. SEC file number

8-16267

iii. CRD number
000008174
iv. LEI, if any

ETYRV6ORNFJB5NONI676

v. State, if applicable
NEW JERSEY
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1509.000000000000

Brokers Record: 10
i. Full name of broker
Merrill Lynch, Pierce, Fenner & Smith, Inc.
ii. SEC file number

8-7221

iii. CRD number
000007691
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

755.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

38666.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

99064258.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 15

Item C.1. Background information.

a. Full Name of the Fund

Hennessy BP Energy Transition Fund

b. Series identication number, if any

S000063244

c. LEI

549300DDW94VVO7W0180

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000205118

iii. Ticker symbol, if any

HNRGX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000205117

iii. Ticker symbol, if any

HNRIX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
BP Capital Fund Advisors, LLC
ii. SEC file number ( e.g., 801- ), if applicable

801-78461

iii. CRD number
000168476
iv. LEI, if any

N/A

v. State, if applicable
TEXAS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Morgan Stanley and Co., LLC
ii. SEC file number

8-15869

iii. CRD number
000008209
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

27119.000000000000

Brokers Record: 2
i. Full name of broker
BTIG, LLC
ii. SEC file number

8-65473

iii. CRD number
000122225
iv. LEI, if any

549300GTG9PL6WO3EC51

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

23073.000000000000

Brokers Record: 3
i. Full name of broker
Cornerstone Macro LLC
ii. SEC file number

8-69293

iii. CRD number
000168152
iv. LEI, if any

25490003PASAH33YSQ08

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3600.000000000000

Brokers Record: 4
i. Full name of broker
Cowen Execution Services LLC
ii. SEC file number

8-46838

iii. CRD number
000035693
iv. LEI, if any

5493005RJDJD18OPUP27

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

2305.000000000000

Brokers Record: 5
i. Full name of broker
Raymond James and Associates, Inc.
ii. SEC file number

8-10999

iii. CRD number
000000705
iv. LEI, if any

U4ONQX15J3RO8XCKE979

v. State, if applicable
FLORIDA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1700.000000000000

Brokers Record: 6
i. Full name of broker
UBS Financial Services, Inc.
ii. SEC file number

8-16267

iii. CRD number
000008174
iv. LEI, if any

ETYRV6ORNFJB5NONI676

v. State, if applicable
NEW JERSEY
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

540.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

58337.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

10857444.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
114939.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
115



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No
Management Investment Record: 16

Item C.1. Background information.

a. Full Name of the Fund

Hennessy BP Midstream Fund

b. Series identication number, if any

S000063245

c. LEI

549300L20PWOT5TV6228

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

2

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Investor Class
ii. Class identification number, if any

C000205119

iii. Ticker symbol, if any

HMSFX

Shares Outstanding Record: 2
i. Full name of Class
Institutional Class
ii. Class identification number, if any

C000205120

iii. Ticker symbol, if any

HMSIX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox not checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox not checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button checked Yes Radio button not checked No
d. Were any expenses previously waived recouped during the period? Radio button checked Yes Radio button not checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hennessy Advisors Inc.
ii. SEC file number ( e.g., 801- )

801-36288

iii.CRD number
000110770
iv. LEI, if any

549300OM5HCSFZO7FR31

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
BP Capital Fund Advisors, LLC
ii. SEC file number ( e.g., 801- ), if applicable

801-78461

iii. CRD number
000168476
iv. LEI, if any

N/A

v. State, if applicable
TEXAS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
U.S. Bancorp Fund Services LLC
ii.SEC file number ( e.g., 84- or 85- )

85-11357

iii. LEI, if any

N/A

iv. State, if applicable
WISCONSIN
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P.
ii. LEI, if any, or provide and describe other identifying number

549300B56MD0ZC402L06

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc.
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Standard and Poors Financial Services LLC
ii. LEI, if any, or provide and describe other identifying number

549300U4VWNITEKO2881

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
U.S. Bank N.A.
ii. LEI, if any

6BYL5QZYBDK8S7L73M02

iii. State, if applicable
OHIO
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
Hennessy Advisors Inc.
ii. LEI, if any, or provide and describe other identifying number

549300OM5HCSFZO7FR31

Description of other identifying number

iii. State, if applicable
CALIFORNIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
U.S. Bancorp Fund Services, LLC
ii. LEI, if any, or other identifying number

N/A

Description of other identifying number

iii. State, if applicable
WISCONSIN
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Morgan Stanley and Co. LLC
ii. SEC file number

8-15869

iii. CRD number
000008209
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

48640.000000000000

Brokers Record: 2
i. Full name of broker
BTIG, LLC
ii. SEC file number

8-65473

iii. CRD number
000122225
iv. LEI, if any

549300GTG9PL6WO3EC51

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

36919.000000000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

85559.000000000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
i. Full name of dealer
ii. SEC file number

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

0.000000000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

32832132.000000000000

b. Provide the money market fund's daily average net assets during the reporting period


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button not checked Committed Radio button checked Uncommitted
ii. What size is the line of credit?

100000000.000000000000

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
U.S. Bank National Association
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hennessy Cornerstone Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 2
Name of fund
Hennessy Focus Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 3
Name of fund
Hennessy Cornerstone Mid Cap 30 Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 4
Name of fund
Hennessy Cornerstone Large Growth Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 5
Name of fund
Hennessy Cornerstone Value Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 6
Name of fund
Hennessy Total Return Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 7
Name of fund
Hennessy Equity and Income Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 8
Name of fund
Hennessy Balanced Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 9
Name of fund
Hennessy Gas Utility Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 10
Name of fund
Hennessy Small Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 11
Name of fund
Hennessy Large Cap Financial Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 12
Name of fund
Hennessy Technology Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 13
Name of fund
Hennessy Japan Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 14
Name of fund
Hennessy Japan Small Cap Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 15
Name of fund
Hennessy BP Energy Transition Fund
SEC File number( e.g., 811- )
811-07168
Shared Credit Users Record: 16
Name of fund
Hennessy BP Midstream Fund
SEC File number( e.g., 811- )
811-07168
v. Did the Fund draw on the line of credit this period?Radio button checked Yes Radio button not checked No vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
68000.000000000000
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
3



b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No

N-CEN:Part E: Additional Questions for Exchange-Traded Funds and Exchange-Traded Managed Funds

N-CEN:Part G: Attachments

Item G.1a. Attachments.

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: Checkbox not checked i. Legal proceedings
Checkbox not checked ii. Provision of financial support
Checkbox checked iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)
Checkbox not checked iv. Change in accounting principles and practices
Checkbox not checked v. Information required to be filed pursuant to exemptive orders
Checkbox not checked vi. Other information required to be included as an attachment pursuant to Commission rules and regulations

Instructions.

1. Item G.1.a.i. Legal proceedings.

(a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination.

2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support.

(b) Person providing support.

(c) Brief description of relationship between the person providing support and the Registrant.

(d) Date support provided.

(e) Amount of support.

(f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if applicable).

(h) Brief description of reason for support.

(i) Term of support.

(j) Brief description of any contractual restrictions relating to support.

3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year.

The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued.

Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed.

The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant.

4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description.

5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant.

6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations.

N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Registrant
Hennessy Funds Trust
Date
2022-01-13
Signature
/s/ Teresa Nilsen
Title
Treasurer