0001493152-20-020304.txt : 20201102 0001493152-20-020304.hdr.sgml : 20201102 20201102144936 ACCESSION NUMBER: 0001493152-20-020304 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20201102 DATE AS OF CHANGE: 20201102 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HENNESSY ADVISORS INC CENTRAL INDEX KEY: 0001145255 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 680176227 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78675 FILM NUMBER: 201280079 BUSINESS ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 BUSINESS PHONE: 415-899-1555 MAIL ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Eden Douglas Todd CENTRAL INDEX KEY: 0001830807 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 13029 SORRENTO WAY, CITY: BRADENTON STATE: FL ZIP: 34211 SC 13G 1 formsc13g.htm Schedule 13G

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

Hennessy Advisors Inc.

 

Name of Issuer)

 

Common Stock, no par value

(Title of Class of Securities)

 

425885100

(CUSIP Number)

 

Douglas Eden, 13029 Sorrento Way, Bradenton, FL 34211, (904) 891-6255

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

 

October 29, 2020

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

[X] Rule 13d-1(b)

 

[  ] Rule 13d-1(c)

 

[  ] Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

   
CUSIP No. 42588510013GPage 1 of 4 Pages

 

 

1.

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Douglas Eden

2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(see instructions)

(a) [  ]

(b) [  ]

3.

SEC USE ONLY

 

4.

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Florida

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

5.

SOLE VOTING POWER

 

120,000

6.

SHARED VOTING POWER

 

527,394

7.

SOLE DISPOSITIVE POWER

 

120,000

8.

SHARED DISPOSITIVE POWER

 

527,394

9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

527,394

10.

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

(see instructions) [  ]

 

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

7.3%

12.

TYPE OF REPORTING PERSON (see instructions)

 

 

   
CUSIP No. 42588510013GPage 2 of 4 Pages

 

Item 1.

 

  (a)

Name of Issuer

 

Hennessy Advisors, Inc.

 
  (b)

Address of Issuer’s Principal Executive Offices

 

7250 Redwood Boulevard, Suite 200 Novato, CA 94945

 

Item 2.

 

  (a)

Name of Person Filing

 

Douglas Eden

 
  (b)

Address of the Principal Office or, if none, residence

 

13029 Sorrento Way, Bradenton, FL 34211

 
  (c)

Citizenship

 

USA

 
  (d)

Title of Class of Securities

 

Common Stock, no par value

 
  (e)

CUSIP Number

 

425885100

 

Item 3.  If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

  (a) [  ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
 
  (b) [  ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
 
  (c) [  ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
 
  (d) [  ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
 
  (e) [X] An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
 
  (f) [  ] An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
  (g) [  ] A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
 
  (h) [  ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
  (i) [  ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
 
  (j) [  ] Group, in accordance with §240.13d-1(b)(1)(ii)(J).
 

Item 4.  Ownership.

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

  (a)   Amount beneficially owned:  527,394
 
  (b)   Percent of class:  7.3%
 
  (c)   Number of shares as to which the person has:  
 
      (i) Sole power to vote or to direct the vote 120,000
 
      (ii) Shared power to vote or to direct the vote 527,394
 
      (iii) Sole power to dispose or to direct the disposition of 120,000
 
      (iv) Shared power to dispose or to direct the disposition of 527,394
 

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

 

Item 5.  Ownership of Five Percent or Less of a Class.

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [  ].

 

Instruction. Dissolution of a group requires a response to this item.

 

Item 6.  Ownership of More than Five Percent on Behalf of Another Person.

 

Item 7.  Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

 

   
CUSIP No. 42588510013GPage 3 of 4 Pages

 

Item 8.  Identification and Classification of Members of the Group.

 

Item 9.  Notice of Dissolution of Group.

 

Item 10.  Certification.

 

  (a)   The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):
 
      By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
  (b)   The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):
 
      By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

   
CUSIP No. 42588510013GPage 4 of 4 Pages

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

  11/02/2020
  Date
   
  /s/
  Signature
   
  Douglas Eden, Principal Eden Capital Management, LLC
  Name/Title

 

   

 

 

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