POS AM 1 dkm82.txt POST-EFFECTIVE AMENDMENT TO FORM SB-2 As filed with the Securities and Exchange Commission on June 10, 2002 Registration No. 333-66970 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------------------------ Post Effective Amendment No. 1 to FORM SB-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ------------------------- Hennessy Advisors, Inc. (Name of small business issuer in its charter) California 6282 68-0176227 (State or other (Primary Standard Industrial (I.R.S. Employer jurisdiction of Classification Code Number) Identification No.) incorporation or organization) ---------------------------------- 750 Grant Avenue, Suite 100 Novato, California 94945 (415) 899-1555 (Address and telephone number of principal executive offices and principal place of business) ---------------------------------- Neil J. Hennessy Chief Executive Officer Hennessy Advisors, Inc. 750 Grant Avenue, Suite 100 Novato, California 94945 (415) 899-1555 (Name, address, including zip code, and telephone number, including area code, of agent for service) --------------------------------- Copies to: Linda Y. Kelso, Esq. Miriam K. Greenhut, Esq. Foley & Lardner 200 Laura Street Jacksonville, Florida 32202 (904) 359-2000 -------------------------------------- This post-effective amendment is being filed pursuant to the Registrant's undertaking to deregister any securities remaining unsold upon termination of the offering. The offering terminated on May 31, 2002. Of the 1,000,000 shares registered for sale, 638,580 shares were sold in the offering, including 63,858 shares sold by the selling shareholder. The Registrant hereby deregisters the 361,420 shares which remained unsold. 2 SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form SB-2 and authorized this Post-Effective Amendment to its Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Novato, State of California, on June 7, 2002. HENNESSY ADVISORS, INC. By: /s/ Neil J. Hennessy ------------------------------------ Neil J. Hennessy, Chief Executive Officer, President and Chairman of the Board In accordance with the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates stated. Date: June 7, 2002 /s/ Neil J. Hennessy ----------------------------------------- Neil J. Hennessy, Chief Executive Officer, President, Chairman of the Board and Director Date: June 7, 2002 /s/ Teresa M. Nilsen ----------------------------------------- Teresa M. Nilsen, Executive Vice President, Chief Financial Officer, Chief Accounting Officer, Secretary and Director Date: June 7, 2002 /s/ Daniel B. Steadman ----------------------------------------- Daniel B. Steadman, Executive Vice President and Director Date: June 7, 2002 * ----------------------------------------- Brian A. Hennessy, Director 3 Date: June 7, 2002 * ----------------------------------------- Daniel G. Libarle, Director Date: June 7, 2002 * ----------------------------------------- Rodger Offenbach, Director Date: June 7, 2002 * ----------------------------------------- Thomas L. Seavey, Director Date: June 7, 2002 * ----------------------------------------- Henry Hansel, Director *By: /s/ Neil J. Hennessy ---------------------------------------------------------- Neil J. Hennessy, as Attorney-in-Fact 4