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Item 9A. Controls and Procedures

2022-12-07 compared with 2021-11-24 · 36 added, 54 removed, 143 unchanged (39% of the section changed)

1 unchanged sentence

MANAGEMENT’S ANNUAL REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING

Our management is responsible for establishing and maintaining adequate internal control over financial reporting, as such term is defined in Rule 13a-15(f)

of the Exchange Act.

Our management is responsible for establishing and maintaining adequate internal control over financial reporting, as such term is defined in Rule 13a-15(f) of the Exchange Act.

Our internal control over financial reporting is designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with accounting principles generally accepted in the United States.

4 unchanged sentences

EVALUATION OF DISCLOSURE CONTROLS AND PROCEDURES

Under the supervision and with the participation of our management, including our principal executive officer and principal financial officer, we conducted an evaluation of our disclosure controls and procedures, as such term is defined under Rule 13a-15(e)

and 15d-15(e)

of the Exchange Act, as of the end of the period covered by this report.

Based on such evaluation, our principal executive officer and principal financial officer have concluded that our disclosure controls and procedures as of September 30, 2022, were effective to provide reasonable assurance that the information required to be disclosed by us in reports filed under the Exchange Act is (i) recorded, processed, summarized, and reported within the time periods specified in the rules and forms of the SEC, and (ii) accumulated and communicated to management, including the principal executive officer and principal financial officer, as appropriate, to allow timely decisions regarding required disclosure.

CHANGES IN INTERNAL CONTROLS

There have been no changes in internal control over financial reporting as defined in Rules 13a-15(f)

of the Exchange Act that occurred during the fiscal quarter ended September 30, 2021, and that have materially affected, or are reasonably likely to materially affect, our internal control over financial reporting.

There have been no changes in internal control over financial reporting as defined in Rules 13a-15(f) of the Exchange Act that occurred during the fiscal quarter ended September 30, 2022, and that have materially affected, or are reasonably likely to materially affect, our internal control over financial reporting.

OTHER INFORMATION

48 unchanged sentences

Exhibit Index

Set forth below is a list of all exhibits to this Annual Report on Form 10-K,

including those incorporated by reference.

Set forth below is a list of all exhibits to this Annual Report on Form 10-K, including those incorporated by reference.

Amended and Restated Articles of Incorporation (11)

10 unchanged sentences

Amendment to Investment Advisory Agreement, dated as of March 1, 2016, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Cornerstone Growth Fund, the Hennessy Cornerstone Mid Cap 30 Fund, the Hennessy Cornerstone Value Fund, the Hennessy Total Return Fund, the Hennessy Balanced Fund, the Hennessy Japan Fund, and the Hennessy Japan Small Cap Fund) (10)

Investment Advisory Agreement, dated as of October 26, 2018, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy BP Energy Transition Fund and the Hennessy BP Midstream Fund) (15)

Sub-Advisory Agreement, dated as of October 25, 2012, between the registrant and Broad Run Investment Management, LLC (for the Hennessy Focus Fund) (4)

5 unchanged sentences

(for the Hennessy Japan Fund and the Hennessy Japan Small Cap Fund) (14)

Sub-Advisory Agreement, dated as of October 26, 2018, between the registrant and BP Capital Fund Advisors, LLC (for the Hennessy BP Energy Transition Fund and the Hennessy BP Midstream Fund) (15)

Amended and Restated Servicing Agreement, dated as of February 28, 2014, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Cornerstone Growth Fund, the Hennessy Cornerstone Mid Cap 30 Fund, the Hennessy Cornerstone Large Growth Fund, the Hennessy Cornerstone Value Fund, the Hennessy Large Value Fund, the Hennessy Total Return Fund, the Hennessy Balanced Fund, the Hennessy Japan Fund, and the Hennessy Japan Small Cap Fund) (7)

20 unchanged sentences

Written Statement of the Principal Financial Officer, Pursuant to 18 U.S.C.

Financial statements from the Annual Report on Form 10-K

of the registrant for the year ended September 30, 2021, filed on November 24, 2021, formatted in XBRL:

Financial statements from the Annual Report on Form 10-K of the registrant for the year ended September 30, 2022, filed on December 7, 2022, formatted in XBRL:

(i) the Balance Sheets;

7 unchanged sentences

Management contract or compensatory plan or arrangement.

Incorporated by reference from the Company’s Form SB-2

registration statement (SEC File No.

Incorporated by reference from the Company’s Form SB-2 registration statement (SEC File No.

333-66970) filed August 6, 2001.

Incorporated by reference from the Company’s Form 10-K

for the fiscal year ended September 30, 2009 (SEC File No.

Incorporated by reference from the Company’s Form 10-K for the fiscal year ended September 30, 2009 (SEC File No.

000-49872), filed December 4, 2009.

Incorporated by reference from the Company’s Form 10-Q

for the quarter ended December 31, 2012 (SEC File No.

Incorporated by reference from the Company’s Form 10-Q for the quarter ended December 31, 2012 (SEC File No.

000-49872), filed January 17, 2013.

Incorporated by reference from the Company’s Current Report on Form 8-K

(SEC File No.

Incorporated by reference from the Company’s Current Report on Form 8-K (SEC File No.

000-49872) filed September 18, 2013.

1 unchanged sentence

000-49872), filed February 21, 2014.

Incorporated by reference from the Company’s Form 10-Q

for the quarter ended June 30, 2014 (SEC File No.

Incorporated by reference from the Company’s Form 10-Q for the quarter ended June 30, 2014 (SEC File No.

001-36423), filed August 6, 2014.

Incorporated by reference from the Company’s Form 10-K

for the fiscal year ended September 30, 2015 (SEC File No.

Incorporated by reference from the Company’s Form 10-K for the fiscal year ended September 30, 2015 (SEC File No.

001-36423), filed November 30, 2015.

Incorporated by reference from the Company’s Current Report on Form 8-K

(SEC File No.

Incorporated by reference from the Company’s Current Report on Form 8-K (SEC File No.

001-36423) filed October 13, 2016.

Incorporated by reference from the Company’s Form 10-K

for the fiscal year ended September 30, 2016 (SEC File No.

Incorporated by reference from the Company’s Form 10-K for the fiscal year ended September 30, 2016 (SEC File No.

001-36423), filed December 1, 2016.

Incorporated by reference from the Company’s Current Report on Form 8-K

(SEC File No.

Incorporated by reference from the Company’s Current Report on Form 8-K (SEC File No.

001-36423) filed March 7, 2017.

Incorporated by reference from the Company’s Current Report on Form 8-K

(SEC File No.

Incorporated by reference from the Company’s Current Report on Form 8-K (SEC File No.

001-36423) filed May 11, 2017.

Incorporated by reference from the Company’s Current Report on Form 8-K

(SEC File No.

Incorporated by reference from the Company’s Current Report on Form 8-K (SEC File No.

001-36423) filed January 25, 2018.

Incorporated by reference from the Company’s Form 10-Q

for the quarter ended March 31, 2018 (SEC File No.

Incorporated by reference from the Company’s Form 10-Q for the quarter ended March 31, 2018 (SEC File No.

001-36423), filed May 2, 2018.

Incorporated by reference from the Company’s Form 10-K

for the fiscal year ended September 30, 2018 (SEC File No.

filed November 28, 2018.

Incorporated by reference from the Company’s Current Report on Form 8-K

(SEC File No.

Incorporated by reference from the Company’s Current Report on Form 8-K (SEC File No.

001-36423) filed February 25, 2019.

Incorporated by reference from the Company’s Current Report on Form 8-K

(SEC File No.

Incorporated by reference from the Company’s Current Report on Form 8-K (SEC File No.

001-36423), filed October 20, 2021.

Incorporated by reference from the Company’s Form 10-K for the fiscal year ended September 30, 2021 (SEC File No.

001-36423), filed November 24, 2021.

FORM 10-K SUMMARY

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized:

Hennessy Advisors, Inc.

November 24, 2021

December 7, 2022

/s/ Teresa M.

President, Chief Operating Officer, and Director

3 unchanged sentences

/s/ Kathryn R.

November 24, 2021

December 7, 2022

Chief Financial Officer and Senior Vice President

(Principal Financial and Accounting Officer)

November 24, 2021

December 7, 2022

Chief Executive Officer and Chairman of the Board of Directors

/s/ Daniel B.

November 24, 2021

December 7, 2022

Executive Vice President and Director

/s/ Henry Hansel

November 24, 2021

December 7, 2022

/s/ Lydia Knight-O’Riordan

December 7, 2022

Lydia Knight-O’Riordan

/s/ Daniel G.

November 24, 2021

December 7, 2022

/s/ Rodger Offenbach

November 24, 2021

December 7, 2022

Rodger Offenbach

November 24, 2021

December 7, 2022

/s/ Thomas L.

November 24, 2021

December 7, 2022

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures