0000897069-22-000559.txt : 20221003 0000897069-22-000559.hdr.sgml : 20221003 20221003164440 ACCESSION NUMBER: 0000897069-22-000559 CONFORMED SUBMISSION TYPE: N-14/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20221003 DATE AS OF CHANGE: 20221003 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: 333-267587 FILM NUMBER: 221288051 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 S000079062 Hennessy Stance ESG Large Cap ETF C000239897 Hennessy Stance ESG Large Cap ETF CENTRAL INDEX KEY: 0000831114 S000070925 Stance Equity ESG Large Cap Core ETF C000225219 Stance Equity ESG Large Cap Core ETF STNC N-14/A 1 tm2.htm
As filed with the SEC on October 3, 2022
Registration No. 333-267587



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

FORM N-14

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933


                           /X/ Pre-Effective Amendment No. 1                                                                                                   /   / Post-Effective Amendment No. ___


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

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

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


Teresa M. Nilsen
Hennessy Advisors, Inc.
7250 Redwood Blvd
Suite 200
Novato, California 94945
(Name and Address of Agent for Service)

Copy to:

Peter D. Fetzer
Foley & Lardner LLP
777 East Wisconsin Avenue
Milwaukee, Wisconsin 53202-5306
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 Pre-Effective Amendment No. 1 to the Registration Statement of Hennessy Funds Trust (the “Company”) on Form N-14 hereby incorporates Parts A, B and C from the Company’s Form N-14 filed September 23, 2022.  This Pre-Effective Amendment No. 1 is filed for the sole purpose of adding a delaying amendment regarding the effectiveness of the Registration Statement.

SIGNATURES
As required by the Securities Act of 1933, this Registration Statement has been signed on behalf of the Registrant, in the City of Novato and State of California, on the 30th day of September, 2022.
HENNESSY FUNDS TRUST
(Registrant)

By:    /s/ Teresa M. Nilsen
          Teresa M. Nilsen
           Executive Vice President and Treasurer

As required by the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.
Name
Title
Date
/s/ Neil J. Hennessy 
Neil J. Hennessy
Chairman of the Board and President (Principal Executive Officer) and a Trustee
September 23, 2022
Robert T. Doyle*
Trustee
*
J. Dennis DeSousa*
Trustee
*
Gerald P. Richardson*
Trustee
*
Claire Garvie*
Trustee
*
/s/ Teresa M. Nilsen 
Teresa M. Nilsen
Executive Vice President and Treasurer (Principal Financial and Accounting Officer)
September 23, 2022


*By:     /s/ Teresa M. Nilsen 
Teresa M. Nilsen
 Attorney-in-fact
 Dated as of September 30, 2022



Signature Page