HENNESSY ADVISORS INC
For the period ended May 28, 2026. Filed May 28, 2026.
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A notice of a major event between regular reports, such as results, a deal or a change of executives. It is often the first formal record of the news.
May 28, 2026 · Filed May 28, 2026
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Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading symbol | Name of each exchange on which registered |
|---|---|---|
| Common stock, no par value | HNNA | The NASDAQ Stock Market LLC |
| 4.875% Notes due 2026 | HNNAZ | The NASDAQ Stock Market LLC |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 8.01. Other Events.
On May 28, 2026, Hennessy Advisors, Inc. (the “Company”) delivered a notice of full redemption (the “Notice”) to the trustee of the Company’s outstanding 4.875% notes due 2026 (the “Notes”), pursuant to the indenture governing the terms of the Notes. The Notes are listed on The Nasdaq Stock Market** **and trade under the symbol “HNNAZ.”
As of the date of the Notice, the aggregate outstanding principal amount of the Notes is $40.25 million. The Notice calls for the redemption of the outstanding Notes (the “Redemption”) on June 30, 2026 (the “Redemption Date”) at a redemption price equal to 100% of the outstanding principal amount of the Notes, plus accrued and unpaid interest to, but not including, the Redemption Date (the “Redemption Price”).
On the Redemption Date, the applicable Redemption Price will become due and payable in respect of the Notes and interest on the Notes will cease to accrue on and after the Redemption Date to the extent that the Company does not default in the payment of the applicable Redemption Price. Following the completion of the Redemption, no Notes will remain outstanding and the Notes will cease to be listed on The Nasdaq Stock Market.
The information contained in Item 8.01 of this Current Report on Form 8-K relating to the Redemption and the Notice are for informational purposes only and do not constitute an offer to buy or a solicitation of an offer to sell any Notes and shall not constitute an offer, solicitation, or sale in any jurisdiction in which such offering, solicitation or sale would be unlawful. Such information is not a notice of redemption with respect to the Notes, and any redemption will be or has been made in accordance with the terms of the indenture governing the Notes.
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