0000897069-01-500493.txt : 20011026
0000897069-01-500493.hdr.sgml : 20011026
ACCESSION NUMBER: 0000897069-01-500493
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20010630
FILED AS OF DATE: 20011019
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HENNESSY ADVISORS INC
CENTRAL INDEX KEY: 0001145255
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06715
FILM NUMBER: 1762512
BUSINESS ADDRESS:
STREET 1: 750 GRANT AVENUE SUITE 100
CITY: NOVATO
STATE: CA
ZIP: 94945
MAIL ADDRESS:
STREET 1: 750 GRANT AVENUE SUITE 100
CITY: NOVATO
STATE: CA
ZIP: 94945
13F-HR
1
sdc62.txt
13F HOLDINGS RPT - HENNESSY ADVISORS INC.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 30, 2001
Check here if Amendment [ ]; Amendment Number:______________________
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Hennessy Advisors, Inc.
Address: The Courtyard Square
750 Grant Avenue
Suite 100
Novato, CA 94945
Form 13F File Number: 028-06715
The institutional investment manager filing this report and the person by
whom it is signed hereby represent that the person signing the report is
authorized to submit it, that all information contained herein is true,
correct and complete, and that it is understood that all required items,
statements, schedules, lists, and tables, are considered integral parts of
this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Teresa M. Nilsen
Title: Executive Vice President and Chief Financial Officer
Phone: (415) 899-1555
Signature, Place, and Date of Signing:
/s/ Teresa M. Nilsen Novato, CA 10/18/01
---------------------------------------------------------------------
Teresa M. Nilsen Date
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all
holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in this report and a portion are reported by
other reporting manager(s).)
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 114
Form 13F Information Table Value Total: $ 196,297
(thousands)
List of Other Included Managers: NONE
Provide a numbered list of the name(s) and Form 13F file numbers(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
2
FORM 13F INFORMATION TABLE
Name of Reporting Manager: Hennessy Funds
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Market
Title CUSIP Value Shares or Other
Name of Issuer of Class Number (x $1,000) Principal Amount Investment Discretion Managers Voting Authority
-------------- --------- --------- ---------- ------------------- ---------------------- --------- ----------------------
SH/ Put/ Shared- Shared-
PRN Call Sole Defined Other Sole Shared None
--- ---- ---- ------- ------- ---- ------ ----
ABN AMRO HLDG
N V -SPON ADR COMMON 000937102 348 18,369 SH SOLE 18,369
ADVANCE PCS COMMON 00790K109 4,182 65,300 SH SOLE 65,300
Aegon Nv Ord
Reg Amer COMMON 007924103 288 10,136 SH SOLE 10,136
ALBERTSONS INC COMMON 013104104 474 15,800 SH SOLE 15,800
ALLIED WASTE
INDS INC COMMON 019589308 3,809 203,900 SH SOLE 203,900
AMERISOURCE
HEALTH CP -CL A COMMON 03071P102 3,255 58,800 SH SOLE 58,800
AMSOUTH
BANCORPORATION COMMON 032165102 497 26,900 SH SOLE 26,900
ANGLO AMERICAN
PLC COMMON 03485P102 275 18,385 SH SOLE 18,385
AT&T CORP COMMON 001957109 1,650 75,263 SH SOLE 75,263
BANK of AMERICA
CORP COMMON 060505104 1,351 22,503 SH SOLE 22,503
BARRETT
RESOURCES CORP COMMON 068480201 1,365 23,137 SH SOLE 23,137
BEAZER HOMES
USA INC COMMON 07556Q105 4,711 74,200 SH SOLE 74,200
Bellsouth
Corporation COMMON 079860102 374 9,298 SH SOLE 9,298
BEVERLY
ENTERPRISES COMMON 087851309 3,881 362,700 SH SOLE 362,700
BRITISH AIRWAYS
PLC -ADR COMMON 110419306 328 6,700 SH SOLE 6,700
BRITISH AMERN
TOB PLC -ADR COMMON 110448107 409 25,900 SH SOLE 25,900
BRITISH TELECOM
PLC -ADR COMMON 111021408 272 4,200 SH SOLE 4,200
CA NAC TELEFONOS
VENEZ -ADR COMMON 204421101 478 20,400 SH SOLE 20,400
CARDINAL HEALTH
INC COMMON 14149Y108 3,084 44,700 SH SOLE 44,700
CAREMARK RX INC COMMON 141705103 3,601 218,900 SH SOLE 218,900
3
CATERPILLAR INC COMMON 149123101 1,741 34,716 SH SOLE 34,716
CBRL GROUP INC COMMON 12489V106 2,768 163,312 SH SOLE 163,312
CEMEX S A -ADR COMMON 151290889 554 20,924 SH SOLE 20,924
CHEVRON CORP COMMON 166751107 3,323 184,236 SH SOLE 184,236
COMERICA INC COMMON 200340107 420 7,300 SH SOLE 7,300
CONAGRA INC COMMON 205887102 323 16,300 SH SOLE 16,300
COVENTRY HEALTH
CARE COMMON 222862104 2,248 111,300 SH SOLE 111,300
CSX CORP COMMON 126408103 576 15,900 SH SOLE 15,900
D R HORTON INC COMMON 23331A109 3,063 134,925 SH SOLE 134,925
DAIMLERCHRYSLER COMMON sedol - 410 8,900 SH SOLE 8,900
AG 2307389
DIAGEO PLC -ADR COMMON 25243Q205 413 9,400 SH SOLE 9,400
DOW CHEMICAL COMMON 260543103 419 12,600 SH SOLE 12,600
DREYER'S GRAND
ICE CREAM INC COMMON 261878102 2,570 92,100 SH SOLE 92,100
DU PONT (E I)
DE NEMOURS COMMON 263534109 1,603 33,340 SH SOLE 33,340
DYNEGY INC COMMON 26816Q101 2,465 53,000 SH SOLE 53,000
EASTMAN KODAK CO COMMON 277461109 1,526 32,720 SH SOLE 32,720
EL PASO ENERGY
CORP/DE COMMON 28336L109 2,180 41,500 SH SOLE 41,500
Emerson Electric COMMON 291011104 847 14,000 SH SOLE 14,000
ESTERLINE
TECHNOLOGIES COMMON 297425100 2,460 113,108 SH SOLE 113,108
EXPRESS SCRIPTS
INC -CL A COMMON 302182100 3,192 58,000 SH SOLE 58,000
EXXON MOBIL
CORPORATION COMMON 30231G102 698 7,992 SH SOLE 7,992
4
FIRST UNION
CORP (N C) COMMON 337358105 527 15,080 SH SOLE 15,080
FLEETBOSTON
FINANCIAL CORP COMMON 339030108 442 11,210 SH SOLE 11,210
FOOTSTAR INC COMMON 344912100 2,064 60,000 SH SOLE 60,000
FORD MOTOR CO COMMON 345370860 422 17,170 SH SOLE 17,170
FRONTIER
AIRLINES INC COMMON 359065109 1,763 143,950 SH SOLE 143,950
General Electric
Company COMMON 369604103 373 7,645 SH SOLE 7,645
GENERAL MOTORS
CORP COMMON 370442105 1,662 25,867 SH SOLE 25,867
GOLDEN STATE
BANCORP INC COMMON 381197102 2,911 94,500 SH SOLE 94,500
HANSON PLC -ADR COMMON 411352404 466 12,500 SH SOLE 12,500
HEALTH NET INC
- CL A COMMON 42222G108 1,973 113,400 SH SOLE 113,400
HEINZ (H J) CO COMMON 423074103 364 8,900 SH SOLE 8,900
IMPERIAL CHEM
INDS PLC -ADR COMMON 452704505 311 13,100 SH SOLE 13,100
INTERNATIONAL
PAPER CO COMMON 460146103 1,123 31,512 SH SOLE 31,512
J.P. MORGAN
CHASE & COMPANY COMMON 46625H100 1,116 25,034 SH SOLE 25,034
KELLOGG CO COMMON 487836108 458 15,800 SH SOLE 15,800
L-3 COMMUNICA-
TIONS HLDGS INC COMMON 502424104 2,945 38,600 SH SOLE 38,600
LENNAR CORP COMMON 526057104 3,415 81,900 SH SOLE 81,900
MAY DEPARTMENT
STORES CO COMMON 577778103 476 13,900 SH SOLE 13,900
MDC HOLDINGS INC COMMON 552676108 3,510 99,150 SH SOLE 99,150
MERITAGE CORP COMMON 59001A102 3,666 79,700 SH SOLE 79,700
METHANEX CORP COMMON 59151K108 2,422 461,300 SH SOLE 461,300
5
MID ATLANTIC
MEDICAL SVCS COMMON 59523C107 2,688 149,900 SH SOLE 149,900
Minnesota Mining
& Mfg COMMON 604059105 721 6,300 SH SOLE 6,300
NATIONAL
AUSTRALIA BK
-ADS COMMON 632525408 442 5,000 SH SOLE 5,000
NATIONAL CITY
CORP COMMON 635405103 468 15,200 SH SOLE 15,200
NATIONWIDE FINL
SVCS -CL A COMMON 638612101 2,728 62,500 SH SOLE 62,500
NEWELL
RUBBERMAID INC COMMON 651229106 454 18,100 SH SOLE 18,100
NEWPORT NEWS
SHIPBUILDING COMMON 652228107 3,602 58,800 SH SOLE 58,800
NORFOLK SOUTHERN
CORP COMMON 655844108 604 29,100 SH SOLE 29,100
NVR INC COMMON 62944T105 3,552 24,000 SH SOLE 24,000
OCCIDENTAL
PETROLEUM CORP COMMON 674599105 481 18,100 SH SOLE 18,100
OFFSHORE
LOGISTICS COMMON 676255102 2,618 137,800 SH SOLE 137,800
OWENS & MINOR
INC COMMON 690732102 3,179 167,300 SH SOLE 167,300
OXFORD HEALTH
PLANS INC COMMON 691471106 2,151 75,200 SH SOLE 75,200
PEPSI BOTTLING
GROUP INC COMMON 713409100 2,991 74,600 SH SOLE 74,600
PERFORMANCE FOOD
GROUP CO COMMON 713755106 3,501 115,800 SH SOLE 115,800
PHILIP MORRIS
COS INC COMMON 718154107 1,885 38,090 SH SOLE 38,090
PITNEY BOWES INC COMMON 724479100 535 12,700 SH SOLE 12,700
PPG INDUSTRIES
INC COMMON 693506107 489 9,300 SH SOLE 9,300
PPL CORP COMMON 69351T106 3,614 65,700 SH SOLE 65,700
PROCTER & GAMBLE
CO COMMON 742718109 571 8,950 SH SOLE 8,950
PULTE CORP COMMON 745867101 3,001 70,400 SH SOLE 70,400
6
RARE HOSPITALITY
INTL INC COMMON 753820109 3,008 133,100 SH SOLE 133,100
REEBOK
INTERNATIONAL
LTD COMMON 758110100 3,470 108,600 SH SOLE 108,600
REGIONS FINL
CORP COMMON 758940100 499 15,600 SH SOLE 15,600
RENT-A-CENTER
INC COMMON 76009N100 4,529 86,100 SH SOLE 86,100
RJ REYNOLDS
TOBACCO HLDGS COMMON 76182K105 3,325 60,900 SH SOLE 60,900
RYLAND GROUP INC COMMON 783764103 3,689 72,900 SH SOLE 72,900
SBC COMMUNICA-
TIONS INC COMMON 78387G103 1,443 36,042 SH SOLE 36,042
SCHEIN HENRY INC COMMON 806407102 3,437 85,800 SH SOLE 85,800
STANDARD PACIFIC
CP COMMON 85375C101 2,940 127,000 SH SOLE 127,000
STEWART &
STEVENSON
SERVICES COMMON 860342104 4,316 130,800 SH SOLE 130,800
TELECOM
ARGENTINA
-ADR B COMMON 879273209 396 25,600 SH SOLE 25,600
TELEFONICA DE
ARGENT -S ADR COMMON 879378206 234 12,800 SH SOLE 12,800
TENET HEALTHCARE
CORP COMMON 88033G100 3,446 66,800 SH SOLE 66,800
TEXTRON INC COMMON 883203101 506 9,200 SH SOLE 9,200
TOLL BROTHERS
INC COMMON 889478103 2,854 72,600 SH SOLE 72,600
TOMKINS PLC
-ADR COMMON 890030208 495 47,600 SH SOLE 47,600
TRIGON
HEALTHCARE INC COMMON 89618L100 2,477 38,200 SH SOLE 38,200
U G I
Corporation New COMMON 902681105 208 7,700 SH SOLE 7,700
UNION PLANTERS
CORP COMMON 908068109 511 11,720 SH SOLE 11,720
UNIVERSAL HEALTH
SVCS -CL B COMMON 913903100 2,457 54,000 SH SOLE 54,000
US Bancorp COMMON 902973304 415 18,200 SH SOLE 18,200
7
USX-MARATHON
GROUP COMMON 902905827 440 14,900 SH SOLE 14,900
VENATOR GROUP
INC COMMON 922944103 2,931 191,600 SH SOLE 191,600
Verizon
Communications COMMON 92343V104 936 17,489 SH SOLE 17,489
WACHOVIA CORP COMMON 929771103 562 7,900 SH SOLE 7,900
Wells Fargo &
Co New COMMON 949746101 868 18,690 SH SOLE 18,690
Westamerica
Bancorp COMMON 957090103 465 11,835 SH SOLE 11,835
WESTERN GAS
RESOURCES INC COMMON 958259103 2,872 88,100 SH SOLE 88,100
WESTPAC BANKING
-SPON ADR COMMON 961214301 399 10,900 SH SOLE 10,900
WEYERHAEUSER CO COMMON 962166104 467 8,500 SH SOLE 8,500
XEROX CORP COMMON 984121103 587 61,300 SH SOLE 61,300
TOTAL 196,297
8