0001144204-12-052299.txt : 20120920 0001144204-12-052299.hdr.sgml : 20120920 20120920172133 ACCESSION NUMBER: 0001144204-12-052299 CONFORMED SUBMISSION TYPE: 425 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120920 DATE AS OF CHANGE: 20120920 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FBR Funds CENTRAL INDEX KEY: 0001277946 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 425 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21503 FILM NUMBER: 121102672 BUSINESS ADDRESS: STREET 1: 1001 NINETEENTH STREET NORTH STREET 2: SUITE 1100 CITY: ARLINGTON STATE: VA ZIP: 22209 BUSINESS PHONE: 800 846 5050 MAIL ADDRESS: STREET 1: 1001 NINETEENTH STREET NORTH STREET 2: SUITE 1100 CITY: ARLINGTON STATE: VA ZIP: 22209 FORMER COMPANY: FORMER CONFORMED NAME: FBR Fund Advisers, Inc. DATE OF NAME CHANGE: 20120619 FORMER COMPANY: FORMER CONFORMED NAME: FBR FUNDS DATE OF NAME CHANGE: 20040129 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HENNESSY FUNDS TRUST CENTRAL INDEX KEY: 0000891944 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 425 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 S000038529 Hennessy Focus Fund C000118915 Investor Class CENTRAL INDEX KEY: 0001277946 S000009267 FBR Focus Fund C000025320 FBR FOCUS FUND Investor Class FBRVX CENTRAL INDEX KEY: 0000891944 S000038529 Hennessy Focus Fund C000118916 Institutional Class CENTRAL INDEX KEY: 0001277946 S000009267 FBR Focus Fund C000064355 FBR Focus Fund I Class FBRIX CENTRAL INDEX KEY: 0000891944 S000038530 Hennessy Large Cap Financial Fund C000118917 Investor Class CENTRAL INDEX KEY: 0001277946 S000009266 FBR LARGE CAP FINANCIAL FUND C000025319 FBR LARGE CAP FINANCIAL FUND Investor Class FBRFX CENTRAL INDEX KEY: 0000891944 S000038531 Hennessy Small Cap Financial Fund C000118918 Investor Class CENTRAL INDEX KEY: 0001277946 S000009264 FBR SMALL CAP FINANCIAL FUND C000025317 FBR SMALL CAP FINANCIAL FUND Investor Class FBRSX CENTRAL INDEX KEY: 0000891944 S000038531 Hennessy Small Cap Financial Fund C000118919 Institutional Class CENTRAL INDEX KEY: 0001277946 S000009264 FBR SMALL CAP FINANCIAL FUND C000064351 FBR Small Cap Financial Fund I Class FBRUX CENTRAL INDEX KEY: 0000891944 S000038532 Hennessy Technology Fund C000118920 Investor Class CENTRAL INDEX KEY: 0001277946 S000009268 FBR TECHNOLOGY FUND C000025321 FBR TECHNOLOGY FUND Investor Class FBRTX CENTRAL INDEX KEY: 0000891944 S000038532 Hennessy Technology Fund C000118921 Institutional Class CENTRAL INDEX KEY: 0001277946 S000009268 FBR TECHNOLOGY FUND C000064357 FBR Technology Fund I Class FBRQX CENTRAL INDEX KEY: 0000891944 S000038533 Hennessy Gas Utility Index Fund C000118922 Investor Class CENTRAL INDEX KEY: 0001277946 S000009270 FBR GAS UTILITY INDEX FUND C000025323 FBR GAS UTILITY INDEX FUND Investor Class GASFX CENTRAL INDEX KEY: 0000891944 S000038534 Hennessy Balanced Fund C000118923 Institutional Class CENTRAL INDEX KEY: 0001277946 S000028101 FBR Balanced Fund C000085608 FBR BALANCED FUND I Class AFBAX CENTRAL INDEX KEY: 0000891944 S000038534 Hennessy Balanced Fund C000118924 Investor Class CENTRAL INDEX KEY: 0001277946 S000028101 FBR Balanced Fund C000085607 FBR BALANCED FUND Investor Class AFSAX CENTRAL INDEX KEY: 0000891944 S000038535 Henessy Core Bond Fund C000118925 Investor Class CENTRAL INDEX KEY: 0001277946 S000028102 FBR Core Bond Fund C000085609 FBR CORE BOND FUND Investor Class AFHAX CENTRAL INDEX KEY: 0000891944 S000038535 Henessy Core Bond Fund C000118926 Institutional Class CENTRAL INDEX KEY: 0001277946 S000028102 FBR Core Bond Fund C000085610 FBR CORE BOND FUND I Class AFHYX 425 1 v743427_425.htm RULE 425 FILING

 

Filer and Investment Company Act File Number: Hennessy Funds Trust (811-07168)

                            

Commission File Number of the Related Registration Statement: 333-183002

                            

Filed Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed

Pursuant to Rule 14a-6 of the Securities Act of 1934

 

Subject Company and Investment Company Act File Number: The FBR Funds (811-21503)

 

To: All FBR & Co. Employees:

 

From: Bradley J. Wright, Executive Vice President and Chief Financial Officer, FBR & Co.

 

Subject: The FBR Funds

 

As many of you have seen, proxy materials are now available for the transaction between The FBR Funds and the Hennessy Funds. The Board of Trustees of The FBR Funds has approved the transaction and is recommending that all shareholders vote in favor of it. Our mutual funds business has always possessed excellent portfolio managers who have delivered strong performance over the years and we are confident they will continue to do so as they combine with the Hennessy Funds.

 

If you are an investor in any of the FBR Funds, I strongly encourage you to vote in favor of the transaction.

 

You can call 1-800-991-5861 if you would like proxy materials or have any other questions.