a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000139151 |
iii. Ticker symbol, if any | HFCGX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000139152 |
iii. Ticker symbol, if any | HICGX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 146,646.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Cowen Execution Services LLC |
ii. SEC file number | 8-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 34,300.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Jonestrading Institutional Services LLC |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 28,904.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 22,084.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 19,956.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Ladenburg Thalmann & Co. Inc. |
ii. SEC file number | 8-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,228.000000000000 |
Brokers Record:
7 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,204.000000000000 |
Brokers Record:
8 |
i. Full name of broker | Maxim Group LLC |
ii. SEC file number | 8-65337 |
iii. CRD number | 000120708 |
iv. LEI, if any | 254900OJ6JZO6SDMHQ83 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,973.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 283,295.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000118915 |
iii. Ticker symbol, if any | HFCSX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000118916 |
iii. Ticker symbol, if any | HFCIX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Tourmaline Partners, LLC |
ii. SEC file number | 8-68644 |
iii. CRD number | 000154492 |
iv. LEI, if any | 5493002XAV50EJHN6Y32 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 214,895.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Suntrust Robinson Humphrey, Inc. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,960.000000000000 |
Brokers Record:
3 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 32,780.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Stifel, Nicolaus and Company, Inc. |
ii. SEC file number | 8-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15,360.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Goldman Sachs and Co. LLC |
ii. SEC file number | 8-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,248.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,527.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Cantor Fitzgerald and Co. |
ii. SEC file number | 8-00201 |
iii. CRD number | 000000134 |
iv. LEI, if any | 5493004J7H4GCPG6OB62 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,965.000000000000 |
Brokers Record:
8 |
i. Full name of broker | Raymond James and Associates, Inc. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,085.000000000000 |
Brokers Record:
9 |
i. Full name of broker | William Blair & Company LLC |
ii. SEC file number | 8-02698 |
iii. CRD number | 000001252 |
iv. LEI, if any | 549300J0P7XYE8BMZ775 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,576.000000000000 |
Brokers Record:
10 |
i. Full name of broker | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,358.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 301,979.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 3,753,000.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 10 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000139153 |
iii. Ticker symbol, if any | HFMDX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000139154 |
iii. Ticker symbol, if any | HIMDX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 387,332.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Jonestrading Institutional Services LLC |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 98,441.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Cowen Execution Services LLC |
ii. SEC file number | 8-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 54,184.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 50,560.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 33,128.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Ladenburg Thalmann & Co. Inc. |
ii. SEC file number | 8-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 25,804.000000000000 |
Brokers Record:
7 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 24,536.000000000000 |
Brokers Record:
8 |
i. Full name of broker | Maxim Group LLC |
ii. SEC file number | 8-65337 |
iii. CRD number | 000120708 |
iv. LEI, if any | 254900OJ6JZO6SDMHQ83 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,848.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Cowen and Company LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,616.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 685,449.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 457,583.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 12 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000054248 |
iii. Ticker symbol, if any | HFLGX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000074662 |
iii. Ticker symbol, if any | HILGX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 53,340.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15,192.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Cowen and Company LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,966.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Maxim Group LLC |
ii. SEC file number | 8-65337 |
iii. CRD number | 000120708 |
iv. LEI, if any | 254900OJ6JZO6SDMHQ83 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,305.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Ladenburg Thalmann & Co. Inc. |
ii. SEC file number | 8-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,670.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 940.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 96,413.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,175,667.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 3 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000139155 |
iii. Ticker symbol, if any | HFCVX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000139156 |
iii. Ticker symbol, if any | HICVX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 49,511.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Jonestrading Institutional Services LLC |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 26,324.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 22,548.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,280.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Ladenburg Thalmann & Co. Inc. |
ii. SEC file number | 8-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,792.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 114,455.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000139157 |
iii. Ticker symbol, if any | HDOGX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Ladenburg Thalmann & Co. Inc. |
ii. SEC file number | 8-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,152.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Cowen Execution Services LLC |
ii. SEC file number | 8-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,948.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Jonestrading Institutional Services LLC |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 934.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 694.000000000000 |
Brokers Record:
5 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 568.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Maxim Group LLC |
ii. SEC file number | 8-65337 |
iii. CRD number | 000120708 |
iv. LEI, if any | 254900OJ6JZO6SDMHQ83 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 252.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 10,548.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 409,760.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 25 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000118924 |
iii. Ticker symbol, if any | HEIFX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000118923 |
iii. Ticker symbol, if any | HEIIX |
|
Sub Advisors Record:
1 |
i. Full name | The London Company of Virginia, LLC |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-46604 |
iii. CRD number | 000106654 |
iv. LEI, if any | 5493002IGC8HMV7IU214 |
v. State, if applicable |
VIRGINIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
2 |
i. Full name | Financial Counselors Inc |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-48195 |
iii. CRD number | 000106398 |
iv. LEI, if any | N/A |
v. State, if applicable |
KANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Capital Institutional Services, Inc. |
ii. SEC file number | 8-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | 54930061X8RDWFDJIS05 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,316.000000000000 |
Brokers Record:
2 |
i. Full name of broker | BTIG, LLC |
ii. SEC file number | 8-65473 |
iii. CRD number | 000122225 |
iv. LEI, if any | 549300GTG9PL6WO3EC51 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 570.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,287.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Sanford C. Bernstein and Co., LLC |
ii. SEC file number | 8-52942 |
iii. CRD number | 000104474 |
iv. LEI, if any | 549300I7JYZHT7D5CO04 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,908.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Cantor Fitzgerald and Co. |
ii. SEC file number | 8-00201 |
iii. CRD number | 000000134 |
iv. LEI, if any | 5493004J7H4GCPG6OB62 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,869.000000000000 |
Brokers Record:
6 |
i. Full name of broker | FIS Brokerage & Securities Services, LLC |
ii. SEC file number | 8-52614 |
iii. CRD number | 000104162 |
iv. LEI, if any | 5493000KYO0CHOUH1K62 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,267.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,573.000000000000 |
Brokers Record:
8 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,168.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,749.000000000000 |
Brokers Record:
10 |
i. Full name of broker | Rosenblatt Securities, Inc. |
ii. SEC file number | 8-24255 |
iii. CRD number | 000018377 |
iv. LEI, if any | 549300KXQP6H4QO07E91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,380.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 41,819.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Morgan Stanley and Co., LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,236,317.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Fifth Third Securities, Inc. |
ii. SEC file number | 8-02428 |
iii. CRD number | 000000628 |
iv. LEI, if any | 5493003IMO3TYX51WE43 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 685,425.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | MarketAxess Corp. |
ii. SEC file number | 8-50727 |
iii. CRD number | 000044542 |
iv. LEI, if any | GPSMMRI21JE7ZCVYF972 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,546,161.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Robert W. Baird & Co. Incorporated |
ii. SEC file number | 8-00497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,629,599.000000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Amherst Pierpont Securities, LLC |
ii. SEC file number | 8-68282 |
iii. CRD number | 000150696 |
iv. LEI, if any | 549300LGG2RLWD21SU97 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,316,565.000000000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | ICBC Standard Securities, Inc. |
ii. SEC file number | 8-46816 |
iii. CRD number | 000035560 |
iv. LEI, if any | 549300M71TGD9HNZJH09 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,958,741.000000000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | INTL FCStone Financial Inc. |
ii. SEC file number | 8-51269 |
iii. CRD number | 000045993 |
iv. LEI, if any | 549300LNKU6K5TJCRG93 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,293,178.000000000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 944,671.000000000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Oppenheimer & Co., Inc. |
ii. SEC file number | 8-04077 |
iii. CRD number | 000000249 |
iv. LEI, if any | 254900VH02JQR2L8XD64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 749,795.000000000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Millennium Advisors, LLC |
ii. SEC file number | 8-68349 |
iii. CRD number | 000151236 |
iv. LEI, if any | 254900E1P6Z2XZYSA163 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 708,984.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 357,500.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 2 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000139158 |
iii. Ticker symbol, if any | HBFBX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Maxim Group LLC |
ii. SEC file number | 8-65337 |
iii. CRD number | 000120708 |
iv. LEI, if any | 254900OJ6JZO6SDMHQ83 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 781.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Ladenburg Thalmann & Co. Inc. |
ii. SEC file number | 8-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 526.000000000000 |
Brokers Record:
3 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 446.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,753.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000118922 |
iii. Ticker symbol, if any | GASFX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000179119 |
iii. Ticker symbol, if any | HGASX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 166,768.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 36,072.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Jonestrading Institutional Services LLC |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 32,640.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Maxim Group LLC |
ii. SEC file number | 8-65337 |
iii. CRD number | 000120708 |
iv. LEI, if any | 254900OJ6JZO6SDMHQ83 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 29,319.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 21,225.000000000000 |
Brokers Record:
6 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 20,388.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Cowen Execution Services LLC |
ii. SEC file number | 8-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 16,227.000000000000 |
Brokers Record:
8 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,830.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Ladenburg Thalmann & Co. Inc. |
ii. SEC file number | 8-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,000.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 343,469.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,603,800.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 75 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000118918 |
iii. Ticker symbol, if any | HSFNX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000118919 |
iii. Ticker symbol, if any | HISFX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Compass Point Research and Trading |
ii. SEC file number | 8-65866 |
iii. CRD number | 000126258 |
iv. LEI, if any | 254900VW04UOPUJ5PX70 |
v. State, if applicable |
DISTRICT OF COLUMBIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 43,410.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Raymond James & Associates, Inc. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 42,390.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Keefe Bruyette & Woods, Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 39,885.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 39,105.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Janney Montgomery Scott LLC |
ii. SEC file number | 8-00462 |
iii. CRD number | 000000463 |
iv. LEI, if any | 549300QQRY1JCFQHYS08 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 20,340.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Stifel, Nicolaus and Company, Inc. |
ii. SEC file number | 8-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 13,875.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Sandler O'Neill & Partners LP |
ii. SEC file number | 8-40214 |
iii. CRD number | 000023328 |
iv. LEI, if any | 254900L3FGOOS5VBCH09 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,625.000000000000 |
Brokers Record:
8 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,250.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 206,880.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 93,500.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 4 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000118917 |
iii. Ticker symbol, if any | HLFNX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000157630 |
iii. Ticker symbol, if any | HILFX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Raymond James and Associates, Inc. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,473.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Keefe Bruyette & Woods, Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,117.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Compass Point Research & Trading, LLC |
ii. SEC file number | 8-65866 |
iii. CRD number | 000126258 |
iv. LEI, if any | 254900VW04UOPUJ5PX70 |
v. State, if applicable |
DISTRICT OF COLUMBIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,075.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,128.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Janney Montgomery Scott LLC |
ii. SEC file number | 8-00462 |
iii. CRD number | 000000463 |
iv. LEI, if any | 549300QQRY1JCFQHYS08 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,375.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Stifel, Nicolaus and Company, Inc. |
ii. SEC file number | 8-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,401.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Sandler O'Neill & Partners LP |
ii. SEC file number | 8-40214 |
iii. CRD number | 000023328 |
iv. LEI, if any | 254900L3FGOOS5VBCH09 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 450.000000000000 |
Brokers Record:
8 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 210.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 41,229.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,324,333.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 6 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000118920 |
iii. Ticker symbol, if any | HTECX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000118921 |
iii. Ticker symbol, if any | HTCIX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,559.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,567.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Ladenburg Thalmann & Co. Inc. |
ii. SEC file number | 8-17230 |
iii. CRD number | 000000505 |
iv. LEI, if any | 2549000V3L2KK4L76W91 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,184.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Maxim Group LLC |
ii. SEC file number | 8-65337 |
iii. CRD number | 000120708 |
iv. LEI, if any | 254900OJ6JZO6SDMHQ83 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,004.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Cowen Execution Services LLC |
ii. SEC file number | 8-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,863.000000000000 |
Brokers Record:
6 |
i. Full name of broker | ITG Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,346.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 23,523.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 13,571.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 7 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000139160 |
iii. Ticker symbol, if any | HJPNX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000139159 |
iii. Ticker symbol, if any | HJPIX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | SMBC Nikko Securities America, Inc. |
ii. SEC file number | 8-43852 |
iii. CRD number | 000028602 |
iv. LEI, if any | 6PJDTY319315T5LR2241 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 17,864.000000000000 |
Brokers Record:
2 |
i. Full name of broker | CLSA Americas, LLC |
ii. SEC file number | 8-69166 |
iii. CRD number | 000165533 |
iv. LEI, if any | 213800M2DXATWY7JMS07 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,420.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Mizuho Securities USA, LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 14,935.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Okabena Investment Services Inc. |
ii. SEC file number | 801-47929 |
iii. CRD number | 000111162 |
iv. LEI, if any | N/A |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 13,179.000000000000 |
Brokers Record:
5 |
i. Full name of broker | MUFG Securities Americas, Inc. |
ii. SEC file number | 8-43026 |
iii. CRD number | 000019685 |
iv. LEI, if any | K5HU16E3LMSVCCJJJ255 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,588.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,074.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Morgan Stanley and Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,293.000000000000 |
Brokers Record:
8 |
i. Full name of broker | UBS Financial Services, Inc. |
ii. SEC file number | 8-16267 |
iii. CRD number | 000008174 |
iv. LEI, if any | ETYRV6ORNFJB5NONI676 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,456.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,453.000000000000 |
Brokers Record:
10 |
i. Full name of broker | Credit Suisse Securities, LLC |
ii. SEC file number | 8-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,455.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 113,501.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 9,335,043.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 23 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000139161 |
iii. Ticker symbol, if any | HJPSX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000157631 |
iii. Ticker symbol, if any | HJSIX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,568.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,551.000000000000 |
Brokers Record:
3 |
i. Full name of broker | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,445.000000000000 |
Brokers Record:
4 |
i. Full name of broker | CLSA Americas, LLC |
ii. SEC file number | 8-69166 |
iii. CRD number | 000165533 |
iv. LEI, if any | 213800M2DXATWY7JMS07 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,563.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Mizuho Securities USA, LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,554.000000000000 |
Brokers Record:
6 |
i. Full name of broker | SMBC Nikko Securities America, Inc. |
ii. SEC file number | 8-43852 |
iii. CRD number | 000028602 |
iv. LEI, if any | 6PJDTY319315T5LR2241 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,781.000000000000 |
Brokers Record:
7 |
i. Full name of broker | UBS Financial Services, Inc. |
ii. SEC file number | 8-16267 |
iii. CRD number | 000008174 |
iv. LEI, if any | ETYRV6ORNFJB5NONI676 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,640.000000000000 |
Brokers Record:
8 |
i. Full name of broker | Dwight Securities Management LLC |
ii. SEC file number | 801-81111 |
iii. CRD number | 000174984 |
iv. LEI, if any | 549300JJFPBZRSJ1IX10 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,388.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Credit Suisse Securities, LLC |
ii. SEC file number | 8-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,167.000000000000 |
Brokers Record:
10 |
i. Full name of broker | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,751.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 52,054.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,016,423.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 26 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000205118 |
iii. Ticker symbol, if any | HNRGX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000205117 |
iii. Ticker symbol, if any | HNRIX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 48,139.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Cowen Execution Services LLC |
ii. SEC file number | 8-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 36,676.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Cowen and Company, LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,960.000000000000 |
Brokers Record:
4 |
i. Full name of broker | UBS Financial Services, Inc. |
ii. SEC file number | 8-16267 |
iii. CRD number | 000008174 |
iv. LEI, if any | ETYRV6ORNFJB5NONI676 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,258.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Tudor, Pickering, Holt & Co. Securities, Inc. |
ii. SEC file number | 8-66251 |
iii. CRD number | 000129772 |
iv. LEI, if any | 254900QNRC4536M3YW31 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,025.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Cornerstone Macro LLC |
ii. SEC file number | 8-69293 |
iii. CRD number | 000168152 |
iv. LEI, if any | 25490003PASAH33YSQ08 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,857.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Robert W. Baird & Co. Incorporated |
ii. SEC file number | 8-00497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,350.000000000000 |
Brokers Record:
8 |
i. Full name of broker | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,170.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Raymond James & Associates, Inc. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,100.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 113,138.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 243,907.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 183 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Class |
ii. Class identification number, if any | C000205119 |
iii. Ticker symbol, if any | HMSFX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000205120 |
iii. Ticker symbol, if any | HMSIX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Hennessy Advisors Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OM5HCSFZO7FR31 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | U.S. Bancorp Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 58,660.000000000000 |
Brokers Record:
2 |
i. Full name of broker | Cowen Execution Services LLC |
ii. SEC file number | 8-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 22,623.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Tudor, Pickering, Holt & Co. Securities, Inc. |
ii. SEC file number | 8-66251 |
iii. CRD number | 000129772 |
iv. LEI, if any | 254900QNRC4536M3YW31 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,126.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,531.000000000000 |
Brokers Record:
5 |
i. Full name of broker | UBS Financial Services, Inc. |
ii. SEC file number | 8-16267 |
iii. CRD number | 000008174 |
iv. LEI, if any | ETYRV6ORNFJB5NONI676 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,025.000000000000 |
Brokers Record:
6 |
i. Full name of broker | USCA Securities LLC |
ii. SEC file number | 8-52285 |
iii. CRD number | 000103789 |
iv. LEI, if any | 254900GBMSP1Y45THR66 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,970.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Cowen and Company, LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,696.000000000000 |
Brokers Record:
8 |
i. Full name of broker | Raymond James & Associates, Inc. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,425.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Cornerstone Macro LLC |
ii. SEC file number | 8-69293 |
iii. CRD number | 000168152 |
iv. LEI, if any | 25490003PASAH33YSQ08 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 303.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 121,359.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 100,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S. Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
5 |
Name of fund | Hennessy Cornerstone Value Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
6 |
Name of fund | Hennessy Cornerstone Large Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy BP Midstream Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy BP Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 386,662.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 68 |