Hennessy Small Cap Financial Fund
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Schedule of Investments
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January 31, 2022 (Unaudited)
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Number of
|
% of
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|||||||||||
|
Shares
|
Value
|
Net Assets
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||||||||||
COMMON STOCKS - 96.82%
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|||||||||||||
Financials - 93.95%
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|||||||||||||
Associated Banc-Corp.
|
201,000
|
$
|
4,803,900
|
3.02
|
%
|
||||||||
Banner Corp.
|
127,000
|
7,887,970
|
4.96
|
%
|
|||||||||
Berkshire Hills Bancorp, Inc.
|
86,000
|
2,544,740
|
1.60
|
%
|
|||||||||
Cadence Bank
|
122,000
|
3,802,740
|
2.39
|
%
|
|||||||||
Coastal Financial Corp. (a)
|
35,000
|
1,694,700
|
1.07
|
%
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|||||||||
ConnectOne Bancorp, Inc.
|
228,000
|
7,298,280
|
4.59
|
%
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Eastern Bankshares, Inc.
|
205,000
|
4,364,450
|
2.75
|
%
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|||||||||
First BanCorp. (b)
|
510,000
|
7,420,500
|
4.67
|
%
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|||||||||
First Citizens BancShares, Inc.
|
7,800
|
6,076,824
|
3.83
|
%
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First Midwest Bancorp, Inc.
|
381,000
|
7,913,370
|
4.98
|
%
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Flushing Financial Corp.
|
293,000
|
6,917,730
|
4.35
|
%
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Hancock Whitney Corp.
|
150,000
|
7,908,000
|
4.98
|
%
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HarborOne Bancorp, Inc.
|
185,000
|
2,627,000
|
1.65
|
%
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|||||||||
Hingham Institution for Savings
|
21,000
|
8,144,430
|
5.13
|
%
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HomeTrust Bancshares, Inc.
|
241,000
|
7,502,330
|
4.72
|
%
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Independent Bank Corp.
|
84,000
|
7,085,400
|
4.46
|
%
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Kearny Financial Corp. of Maryland
|
416,000
|
5,383,040
|
3.39
|
%
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Lakeland Bancorp, Inc.
|
410,000
|
7,761,300
|
4.89
|
%
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New York Community Bancorp, Inc.
|
427,000
|
4,978,820
|
3.13
|
%
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Northeast Community Bancorp, Inc.
|
140,000
|
1,582,000
|
1.00
|
%
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PacWest Bancorp
|
105,000
|
4,875,150
|
3.07
|
%
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Shore Bancshares, Inc.
|
106,000
|
2,092,440
|
1.32
|
%
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Silvergate Capital Corp. (a)
|
30,000
|
3,232,200
|
2.03
|
%
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Synovus Financial Corp.
|
75,000
|
3,732,000
|
2.35
|
%
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Texas Capital Bancshares, Inc. (a)
|
113,000
|
7,085,100
|
4.46
|
%
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Western New England Bancorp, Inc.
|
255,000
|
2,315,400
|
1.46
|
%
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Wintrust Financial Corp.
|
49,000
|
4,805,430
|
3.02
|
%
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WSFS Financial Corp.
|
142,000
|
7,437,960
|
4.68
|
%
|
|||||||||
|
149,273,204
|
93.95
|
%
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||||||||||
Information Technology - 2.87%
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|||||||||||||
Alliance Data Systems Corp.
|
66,000
|
4,556,640
|
2.87
|
%
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|||||||||
Total Common Stocks (Cost $110,155,329)
|
153,829,844
|
96.82
|
%
|
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|
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SHORT-TERM INVESTMENTS - 3.02%
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Money Market Funds - 3.02%
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|||||||||||||
First American Government Obligations Fund, Institutional Class, 0.03% (c)
|
4,803,648
|
4,803,648
|
3.02
|
%
|
|||||||||
Total Short-Term Investments (Cost $4,803,648)
|
4,803,648
|
3.02
|
%
|
||||||||||
|
|
||||||||||||
Total Investments (Cost $114,958,977) - 99.84%
|
158,633,492
|
99.84
|
%
|
||||||||||
Other Assets in Excess of Liabilities - 0.16%
|
249,852
|
0.16
|
%
|
||||||||||
TOTAL NET ASSETS - 100.00%
|
$
|
158,883,344
|
100.00
|
%
|
|||||||||
|
|
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Percentages are stated as a percent of net assets.
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|
|
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(a)
|
Non-income-producing security.
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(b)
|
U.S.-traded security of a foreign corporation.
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(c)
|
The rate listed is the fund’s seven-day yield as of January 31, 2022.
|
Level 1 – Unadjusted, quoted prices in active markets for identical instruments that the Fund has the ability to access at the date of measurement. | |
Level 2 – Other significant observable inputs (including, but not limited to, quoted prices in active markets for similar instruments, quoted prices in markets that are not active for identical or similar instruments, and model-derived valuations in which all significant inputs and significant value drivers are observable in active markets, such as interest rates, prepayment speeds, credit risk curves, default rates, and similar data). | |
Level 3 – Significant unobservable inputs (including the Fund’s own assumptions about what market participants would use to price the asset or liability based on the best available information) when observable inputs are unavailable. |
Common Stocks
|
Level 1
|
Level 2
|
Level 3
|
Total
|
|||||||||||
Financials
|
$
|
149,273,204
|
$
|
–
|
$
|
–
|
$
|
149,273,204
|
|||||||
Information Technology
|
4,556,640
|
–
|
–
|
4,556,640
|
|||||||||||
Total Common Stocks
|
$
|
153,829,844
|
$
|
–
|
$
|
–
|
$
|
153,829,844
|
|||||||
|
|||||||||||||||
Short-Term Investments
|
|||||||||||||||
Money Market Funds
|
$
|
4,803,648
|
$
|
–
|
$
|
–
|
$
|
4,803,648
|
|||||||
Total Short-Term Investments
|
$
|
4,803,648
|
$
|
–
|
$
|
–
|
$
|
4,803,648
|
|||||||
|
|||||||||||||||
Total Investments
|
$
|
158,633,492
|
$
|
–
|
$
|
–
|
$
|
158,633,492
|