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 | 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
|
Pricing Services Record:
2 |
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:
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 | 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:
5 |
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
|
|
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 | 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 | 49,252.000000000000 |
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 | 29,504.000000000000 |
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 | 29,256.000000000000 |
Brokers Record:
4 |
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 | 21,080.000000000000 |
Brokers Record:
5 |
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 | 21,136.000000000000 |
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 | 20,928.000000000000 |
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 | 20,740.000000000000 |
Brokers Record:
8 |
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 | 9,068.000000000000 |
Brokers Record:
9 |
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 | 235,375.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 436,339.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 567,333.000000000000 |
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?
| 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 | 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 | 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
|
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 | 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
|
|
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 | 213,135.000000000000 |
Brokers Record:
2 |
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 | 16,726.000000000000 |
Brokers Record:
3 |
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 | 3,927.000000000000 |
Brokers Record:
4 |
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 | 1,747.000000000000 |
Brokers Record:
5 |
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 | 1,000.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 236,535.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 4,556,400.000000000000 |
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?
| 5 |
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 | 37,680.000000000000 |
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 | 8,956.000000000000 |
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 | 8,160.000000000000 |
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 | 6,724.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 61,520.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 1,386,111.000000000000 |
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?
| 9 |
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 | 44,688.000000000000 |
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 | 35,068.000000000000 |
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 | 16,820.000000000000 |
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 | 788.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 97,364.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 5,073,500.000000000000 |
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?
| 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 | 87,764.000000000000 |
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 | 26,582.000000000000 |
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 | 23,344.000000000000 |
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 | 18,642.000000000000 |
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 | 18,416.000000000000 |
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 | 10,184.000000000000 |
Brokers Record:
7 |
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 | 3,008.000000000000 |
Brokers Record:
8 |
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 | 3,004.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 190,944.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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 | 5,226.000000000000 |
Brokers Record:
2 |
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 | 1,367.000000000000 |
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 | 456.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 7,049.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 699,000.000000000000 |
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?
| 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 | 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 | FCI Advisors |
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 | 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 | 3,411.000000000000 |
Brokers Record:
2 |
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 | 2,100.000000000000 |
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 | 1,970.000000000000 |
Brokers Record:
4 |
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 | 1,599.000000000000 |
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 | 1,421.000000000000 |
Brokers Record:
6 |
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 | 1,131.000000000000 |
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 | 1,014.000000000000 |
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 | 778.000000000000 |
Brokers Record:
9 |
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 | 527.000000000000 |
Brokers Record:
10 |
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 | 274.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 14,538.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,611,167.000000000000 |
Principal Transactions Record:
2 |
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:
| 4,656,896.000000000000 |
Principal Transactions Record:
3 |
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:
| 3,483,593.000000000000 |
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:
| 2,795,098.000000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,491,408.000000000000 |
Principal Transactions Record:
6 |
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:
| 2,089,354.000000000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Hilltop Securities, Inc. |
ii. SEC file number | 8-45123 |
iii. CRD number | 000006220 |
iv. LEI, if any | 549300IXU82PMU6XZT45 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 755,828.000000000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Pershing LLC |
ii. SEC file number | 8-17574 |
iii. CRD number | 000007560 |
iv. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 685,092.000000000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 330,597.000000000000 |
Principal Transactions Record:
10 |
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:
| 324,171.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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 | 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 | 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
|
Pricing Services Record:
5 |
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
|
|
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 | 514.000000000000 |
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 | 340.000000000000 |
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 | 138.000000000000 |
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 | 85.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,077.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 24,385.000000000000 |
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?
| 13 |
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 | 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 | 39,689.000000000000 |
Brokers Record:
2 |
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 | 27,612.000000000000 |
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 | 72,469.000000000000 |
Brokers Record:
4 |
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 | 19,197.000000000000 |
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 | 17,085.000000000000 |
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 | 17,079.000000000000 |
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 | 8,793.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 201,924.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 932,519.000000000000 |
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?
| 52 |
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 | 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 | 33,384.000000000000 |
Brokers Record:
2 |
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 | 31,275.000000000000 |
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 | 30,345.000000000000 |
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 | 28,597.000000000000 |
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 | 17,235.000000000000 |
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 | 15,810.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 156,646.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 416,818.000000000000 |
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?
| 11 |
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 | 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
|
Pricing Services Record:
3 |
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:
4 |
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:
5 |
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
|
|
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 | 12,735.000000000000 |
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 | 11,304.000000000000 |
Brokers Record:
3 |
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 | 10,905.000000000000 |
Brokers Record:
4 |
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 | 5,835.000000000000 |
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 | 3,273.000000000000 |
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 | 654.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 44,706.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 3,037,000.000000000000 |
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?
| 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 | 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 | 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 | 14,748.000000000000 |
Brokers Record:
2 |
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 | 8,246.000000000000 |
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 | 3,815.000000000000 |
Brokers Record:
4 |
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 | 3,640.000000000000 |
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 | 3,615.000000000000 |
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 | 166.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 34,230.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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 | 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 | Okabena Investment Services Inc. |
ii. SEC file number | 8-47929 |
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 | 18,564.000000000000 |
Brokers Record:
2 |
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 | 17,729.000000000000 |
Brokers Record:
3 |
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 | 14,279.000000000000 |
Brokers Record:
4 |
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 | 10,199.000000000000 |
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 | 7,884.000000000000 |
Brokers Record:
6 |
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 | 6,920.000000000000 |
Brokers Record:
7 |
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 | 5,574.000000000000 |
Brokers Record:
8 |
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 | 5,311.000000000000 |
Brokers Record:
9 |
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 | 5,300.000000000000 |
Brokers Record:
10 |
i. Full name of broker | Merrill Lynch, Pierce, Fenner & Smith, Inc. |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
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 | 4,373.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 132,958.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 20,044,000.000000000000 |
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?
| 5 |
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 | 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 | 8,712.000000000000 |
Brokers Record:
2 |
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 | 5,610.000000000000 |
Brokers Record:
3 |
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 | 4,938.000000000000 |
Brokers Record:
4 |
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 | 4,608.000000000000 |
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 | 3,000.000000000000 |
Brokers Record:
6 |
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 | 2,955.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Dwight Securities Management LLC |
ii. SEC file number | 8-81111 |
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 | 2,595.000000000000 |
Brokers Record:
8 |
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 | 2,275.000000000000 |
Brokers Record:
9 |
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 | 1,509.000000000000 |
Brokers Record:
10 |
i. Full name of broker | Merrill Lynch, Pierce, Fenner & Smith, Inc. |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
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 | 755.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 38,666.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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 | 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 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 | 27,119.000000000000 |
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 | 23,073.000000000000 |
Brokers Record:
3 |
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 | 3,600.000000000000 |
Brokers Record:
4 |
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 | 2,305.000000000000 |
Brokers Record:
5 |
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 | 1,700.000000000000 |
Brokers Record:
6 |
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 | 540.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 58,337.000000000000 |
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 114,939.000000000000 |
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?
| 115 |
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
|
|
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 Cornerstone Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
2 |
Name of fund | Hennessy Focus Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
3 |
Name of fund | Hennessy Cornerstone Mid Cap 30 Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
4 |
Name of fund | Hennessy Cornerstone Large Growth 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 Total Return Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
7 |
Name of fund | Hennessy Equity and Income Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
8 |
Name of fund | Hennessy Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
9 |
Name of fund | Hennessy Gas Utility Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
10 |
Name of fund | Hennessy Small Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
11 |
Name of fund | Hennessy Large Cap Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
12 |
Name of fund | Hennessy Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
13 |
Name of fund | Hennessy Japan Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
14 |
Name of fund | Hennessy Japan Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
15 |
Name of fund | Hennessy BP Energy Transition Fund |
SEC File number(
e.g., 811-
)
| 811-07168 |
Shared Credit Users Record:
16 |
Name of fund | Hennessy BP Midstream 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?
| 68,000.000000000000 |
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?
| 3 |