-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OeHwhxzGiVx7z+Hxg8z0hf5WIvpPXKB4tWpYV6SlMOEUbC/G+hAmwk9X/uFg96gX 9dqV44aDFXer69jTr0JQUQ== 0000897069-09-000093.txt : 20090122 0000897069-09-000093.hdr.sgml : 20090122 20090122110136 ACCESSION NUMBER: 0000897069-09-000093 CONFORMED SUBMISSION TYPE: N-14/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090122 DATE AS OF CHANGE: 20090122 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HENNESSY FUNDS TRUST CENTRAL INDEX KEY: 0000891944 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: N-14/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-156366 FILM NUMBER: 09538259 BUSINESS ADDRESS: STREET 1: 7250 REDWOOD BOULEVARD STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 BUSINESS PHONE: 8009664354 MAIL ADDRESS: STREET 1: C/O US BANCORP FUND SERVICES, LLC STREET 2: 615 E MICHIGAN ST MK-WI-LC-2 CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: HENLOPEN FUND DATE OF NAME CHANGE: 19921217 CENTRAL INDEX KEY: 0000891944 S000025096 Hennessy Select Large Value Fund C000074660 Hennessy Select Large Value Fund - Original Class CENTRAL INDEX KEY: 0001272950 S000001813 Tamarack Value Fund C000004746 A Shares TVAAX C000004747 C Shares TVACX C000004748 R Shares TVARX C000004749 S Shares TVASX N-14/A 1 cmw3977.htm PRE-EFFECTIVE AMENDMENT NO. 3

Securites Act Registration No. 333-156366

U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549

FORM N-14/A

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X]

/X/ Pre-Effective Amendment No. 3 /  / Post-Effective Amendment No.

HENNESSY FUNDS TRUST
(Exact Name of Registrant as Specified in Charter)

7250 Redwood Blvd., Suite 200, Novato, CA 94945
(Address of Registrant’s Principal Executive Offices)

(800) 966-4354
(Registrant’s Telephone Number, Including Area Code)

Neil J. Hennessy
Hennessy Advisors, Inc.
7250 Redwood Blvd
Suite 200
Novato, CA 94945
(Name and Address of Agent for Service)

Copies of all communications to:

Richard L. Teigen
Foley & Lardner LLP
777 East Wisconsin Avenue
Milwaukee, Wisconsin 53202

Approximate Date of Proposed Public Offering: As soon as practicable after this Registration Statement becomes effective.

The registrant hereby amends this registration statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment which specifically states that this registration statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933 or until this registration statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.

Title of Securities Being Registered: Shares of beneficial interest, no par value.

No filing fee is due because an indefinite number of shares have been registered in reliance on Section 24(f) under the Investment Company Act of 1940, as amended.


Explanatory Note

This submission is being made solely to clarify that the Class A, Class C, Class R and Class S shares of the Tamarack Value Fund are all proposed to be reorganized into the Ordinary Class shares of the Hennessy Select Large Value Fund, CIK 0000891944, Series S000025096, Class C000074660.

The Registration Statement on Form N-14, Securities Act Registration No. 333-156366, filed on December 19, 2008 (the “Registration Statement”) and the Pre-Effective Amendment No. 1 to the Registration Statement filed on January 16, 2009 (the “Amended Registration Statement”), including all annexes and exhibits to the Registration Statement and the Amended Registration Statement, are both expressly incorporated by reference into this Pre-Effective Amendment No. 3 to the Registration Statement in their entirety.


SIGNATURES

        As required by the Securities Act of 1933, this amended registration statement has been signed on behalf of the Registrant, in the City of Novato and State of California, on the 21st day of January, 2009.

HENNESSY FUNDS TRUST
(Registrant)


 
By:  /s/ Neil J. Hennessy
        Neil J. Hennessy, President

        As required by the Securities Act of 1933, this amended registration statement has been signed by the following persons in the capacities and on the dates indicated.

Name Title Date

/s/ Neil J. Hennessy
President (Principal Executive January 21, 2009
Neil J. Hennessy Officer) and a Trustee

Robert T. Doyle*
Trustee *

J. Dennis DeSousa*
Trustee *

Gerald P. Richardson*
Trustee *

/s/ Teresa M. Nilsen
Executive Vice President and January 21, 2009
Teresa M. Nilsen Treasurer (Principal
Financial and Accounting
Officer)

  *By: /s/ Neil J. Hennessy
Neil J. Hennessy
Attorney-in-fact
Dated as of January 21, 2009

Signature Page

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