-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, I/jgnxEA0Wr1UurvZRxDQ0UF8hZKJu4byPBla3MAz1mdpfUOykESlSBBVIIj+2iN le5YUfIOzB0gic/LJtJwfg== 0000897069-03-000084.txt : 20030117 0000897069-03-000084.hdr.sgml : 20030117 20030117163509 ACCESSION NUMBER: 0000897069-03-000084 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030117 EFFECTIVENESS DATE: 20030117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HENNESSY ADVISORS INC CENTRAL INDEX KEY: 0001145255 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 680176227 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06715 FILM NUMBER: 03518130 BUSINESS ADDRESS: STREET 1: 750 GRANT AVENUE SUITE 100 CITY: NOVATO STATE: CA ZIP: 94945 MAIL ADDRESS: STREET 1: 750 GRANT AVENUE SUITE 100 CITY: NOVATO STATE: CA ZIP: 94945 13F-HR 1 sdc296.txt 13F HOLDINGS REPORT ---------------------------------- OMB Number: 3235-0006 Expires: October 31, 2003 Estimated average burden hours per response....... 23.5 ---------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2002 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hennessy Advisors, Inc. Address: The Courtyard Square 750 Grant Avenue Suite 100 Novato, CA 94945 Form 13F File Number: 028-06715 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Teresa M. Nilsen Title: Executive Vice President and Chief Financial Officer Phone: (415) 899-1555 Signature, Place, and Date of Signing: /s/ Teresa M. Nilsen Novato, CA 1/16/03 - -------------------------------------------------------------------------------- Teresa M. Nilsen Date Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 --------- Form 13F Information Table Entry Total: 107 --------- Form 13F Information Table Value Total: $ 482,663 --------- (thousands) List of Other Included Managers: NONE Provide a numbered list of the name(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. Page 1 of 5 FORM 13F INFORMATION TABLE Name of Reporting Manager: Hennessy Funds
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x$1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ 1-800-FLOWERS.COM INC COM 68243Q106 3,543 566,900 SH SOLE 566,900 - ------------------------------------------------------------------------------------------------------------------------------------ AEGON NV ADR ADR 007924103 461 35,943 SH SOLE 35,943 - ------------------------------------------------------------------------------------------------------------------------------------ AIRGAS, INC. COM 009363102 10,790 625,500 SH SOLE 625,500 - ------------------------------------------------------------------------------------------------------------------------------------ ALBERTSON'S INC COM 013104104 352 15,800 SH SOLE 15,800 - ------------------------------------------------------------------------------------------------------------------------------------ ALLIANCE GAMING CORP COM 01859P609 11,516 676,200 SH SOLE 676,200 - ------------------------------------------------------------------------------------------------------------------------------------ AMERICAN WOODMARK CORP COM 030506109 7,766 163,500 SH SOLE 163,500 - ------------------------------------------------------------------------------------------------------------------------------------ AMERISTAR CASINOS INC COM 03070Q101 5,065 359,200 SH SOLE 359,200 - ------------------------------------------------------------------------------------------------------------------------------------ AMSOUTH BANCORP COM 032165102 357 18,600 SH SOLE 18,600 - ------------------------------------------------------------------------------------------------------------------------------------ AON CORPORATION ADR 037389103 353 18,700 SH SOLE 18,700 - ------------------------------------------------------------------------------------------------------------------------------------ APOGEE ENTERPRISES INC COM 037598109 5,606 626,300 SH SOLE 626,300 - ------------------------------------------------------------------------------------------------------------------------------------ ARGOSY GAMING CO COM 040228108 5,524 291,800 SH SOLE 291,800 - ------------------------------------------------------------------------------------------------------------------------------------ AUTONATION INC COM 05329W102 9,433 751,000 SH SOLE 751,000 - ------------------------------------------------------------------------------------------------------------------------------------ BANK OF AMERICA CORP COM 060505104 1,175 16,896 SH SOLE 16,896 - ------------------------------------------------------------------------------------------------------------------------------------ BB&T CORPORATION COM 054937107 344 9,300 SH SOLE 9,300 - ------------------------------------------------------------------------------------------------------------------------------------ BCE INC ADR 05534B109 344 19,100 SH SOLE 19,100 - ------------------------------------------------------------------------------------------------------------------------------------ Bellsouth Corporation COM 079860102 239 9,249 SH SOLE 9,249 - ------------------------------------------------------------------------------------------------------------------------------------ BEMIS COMPANY COM 081437105 9,420 189,800 SH SOLE 189,800 - ------------------------------------------------------------------------------------------------------------------------------------ BERKLEY W R CORP COM 084423102 10,794 272,500 SH SOLE 272,500 - ------------------------------------------------------------------------------------------------------------------------------------ BEST BUY CO INC COM 086516101 4,754 196,850 SH SOLE 196,850 - ------------------------------------------------------------------------------------------------------------------------------------ Bp Amoco Plc Adr ADR 055622104 700 17,216 SH SOLE 17,216 - ------------------------------------------------------------------------------------------------------------------------------------ BRISTOL-MEYER/SQUIBB COM 110122108 310 13,400 SH SOLE 13,400 - ------------------------------------------------------------------------------------------------------------------------------------ CARMAX INC COM 143130102 8,005 447,700 SH SOLE 447,700 - ------------------------------------------------------------------------------------------------------------------------------------ CATERPILLAR INC COM 149123101 1,439 31,475 SH SOLE 31,475 - ------------------------------------------------------------------------------------------------------------------------------------ CDW COMPUTER CENTERS COM 125129106 7,279 166,000 SH SOLE 166,000 - ------------------------------------------------------------------------------------------------------------------------------------
Page 2 of 5 FORM 13F INFORMATION TABLE Name of Reporting Manager: Hennessy Funds
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x$1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ CEMEX SA -SPONS ADR PART CER ADR 151290889 333 15,500 SH SOLE 15,500 - ------------------------------------------------------------------------------------------------------------------------------------ Chevrontexaco Corp COM 166764100 1,721 25,883 SH SOLE 25,883 - ------------------------------------------------------------------------------------------------------------------------------------ CONAGRA FOODS INC COM 205887102 360 14,400 SH SOLE 14,400 - ------------------------------------------------------------------------------------------------------------------------------------ CONOCOPHILLIPS COM 20825C104 339 7,000 SH SOLE 7,000 - ------------------------------------------------------------------------------------------------------------------------------------ D & K HEALTHCARE RESOURCES,I COM 232861104 3,491 340,900 SH SOLE 340,900 - ------------------------------------------------------------------------------------------------------------------------------------ D.R. HORTON INC COM 23331A109 7,743 446,300 SH SOLE 446,300 - ------------------------------------------------------------------------------------------------------------------------------------ DARDEEN RESAURANTS COM 237194105 7,836 383,200 SH SOLE 383,200 - ------------------------------------------------------------------------------------------------------------------------------------ DAVITA INC COM 23918K108 10,537 427,100 SH SOLE 427,100 - ------------------------------------------------------------------------------------------------------------------------------------ DEAN FOODS CO COM 242370104 10,670 287,600 SH SOLE 287,600 - ------------------------------------------------------------------------------------------------------------------------------------ Delphi Automotive System COM 247126105 348 43,230 SH SOLE 43,230 - ------------------------------------------------------------------------------------------------------------------------------------ DOW CHEMICAL COM 260543103 383 12,900 SH SOLE 12,900 - ------------------------------------------------------------------------------------------------------------------------------------ DUPONT DE NEMOURS & CO COM 263534109 1,451 34,225 SH SOLE 34,225 - ------------------------------------------------------------------------------------------------------------------------------------ EASTMAN KODAK COM 277461109 1,676 47,825 SH SOLE 47,825 - ------------------------------------------------------------------------------------------------------------------------------------ ELECTRONIC DATA SYSTEMS CORP COM 285661104 393 21,300 SH SOLE 21,300 - ------------------------------------------------------------------------------------------------------------------------------------ EMCOR GROUP INC COM 29084Q100 10,830 204,300 SH SOLE 204,300 - ------------------------------------------------------------------------------------------------------------------------------------ Emerson Electric COM 291011104 1,391 27,350 SH SOLE 27,350 - ------------------------------------------------------------------------------------------------------------------------------------ Exxon Mobil Corporation COM 30231g102 932 26,685 SH SOLE 26,685 - ------------------------------------------------------------------------------------------------------------------------------------ FLEET BOSTON FINANCIAL CORP COM 339030108 343 14,100 SH SOLE 14,100 - ------------------------------------------------------------------------------------------------------------------------------------ FORD MOTOR CO COM 345370860 347 37,266 SH SOLE 37,266 - ------------------------------------------------------------------------------------------------------------------------------------ FREDS INC CL A COM 356108100 8,491 330,400 SH SOLE 330,400 - ------------------------------------------------------------------------------------------------------------------------------------ GENERAL ELECTRIC COM 369604103 569 23,363 SH SOLE 23,363 - ------------------------------------------------------------------------------------------------------------------------------------ General Motors Corp COM 370442105 1,281 34,748 SH SOLE 34,748 - ------------------------------------------------------------------------------------------------------------------------------------ GLAXOSMITHKLINE PLC SPONS AD ADR 37733W105 356 9,500 SH SOLE 9,500 - ------------------------------------------------------------------------------------------------------------------------------------ GTECH HOLDINGS CORP . COM 400518106 12,350 443,300 SH SOLE 443,300 - ----------------------------------------------------------------------------------------------------------------------------------
Page 3 of 5 FORM 13F INFORMATION TABLE Name of Reporting Manager: Hennessy Funds
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x$1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ H J HEINZ CO COM 423074103 332 10,100 SH SOLE 10,100 - ------------------------------------------------------------------------------------------------------------------------------------ Hennessy Advisors Inc COM 425885100 9,372 851,962 SH SOLE 851,962 - ------------------------------------------------------------------------------------------------------------------------------------ HONEYWELL INTERNATIONAL INC COM 438516106 847 35,273 SH SOLE 35,273 - ------------------------------------------------------------------------------------------------------------------------------------ HOVANIAN ENTERPRISES INC CL- COM 442487203 14,366 453,200 SH SOLE 453,200 - ------------------------------------------------------------------------------------------------------------------------------------ HSBC HOLDINGS PLC-SPONS ADR ADR 404280406 341 6,200 SH SOLE 6,200 - ------------------------------------------------------------------------------------------------------------------------------------ INTER TEL INC COM 458372109 10,342 494,600 SH SOLE 494,600 - ------------------------------------------------------------------------------------------------------------------------------------ INTERGRAPH COM 458683109 11,867 668,200 SH SOLE 668,200 - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL PAPER COM 460146103 729 20,847 SH SOLE 20,847 - ------------------------------------------------------------------------------------------------------------------------------------ JP MORGAN CHASE & COMPANY COM 46625H100 1,400 58,345 SH SOLE 58,345 - ------------------------------------------------------------------------------------------------------------------------------------ KELLOGG CO COM 487836108 360 10,500 SH SOLE 10,500 - ------------------------------------------------------------------------------------------------------------------------------------ MARATHON OIL CORP COM 565849106 351 16,500 SH SOLE 16,500 - ------------------------------------------------------------------------------------------------------------------------------------ MAY DEPT STORES COM 577778103 345 15,000 SH SOLE 15,000 - ------------------------------------------------------------------------------------------------------------------------------------ MEADWESTVACO CORP COM 583334107 381 15,400 SH SOLE 15,400 - ------------------------------------------------------------------------------------------------------------------------------------ MERCK & CO COM 589331107 1,082 19,115 SH SOLE 19,115 - ------------------------------------------------------------------------------------------------------------------------------------ MICHAELS STORES COM 594087108 9,280 296,500 SH SOLE 296,500 - ------------------------------------------------------------------------------------------------------------------------------------ MIM CORP COM 553044108 3,040 524,100 SH SOLE 524,100 - ------------------------------------------------------------------------------------------------------------------------------------ MOHAWK INDUSTRIES COM 608190104 9,738 171,000 SH SOLE 171,000 - ------------------------------------------------------------------------------------------------------------------------------------ NATIONAL CITY CORPORATION COM 635405103 352 12,900 SH SOLE 12,900 - ------------------------------------------------------------------------------------------------------------------------------------ NVR, INC. COM 62944T105 15,526 47,700 SH SOLE 47,700 - ------------------------------------------------------------------------------------------------------------------------------------ OCCIDENTAL PETROLEUM COM 674599105 358 12,600 SH SOLE 12,600 - ------------------------------------------------------------------------------------------------------------------------------------ OHIO CASUALTY CORP COM 677240103 7,563 584,000 SH SOLE 584,000 - ------------------------------------------------------------------------------------------------------------------------------------ PACTIV CORPORATION COM 695257105 11,385 520,800 SH SOLE 520,800 - ------------------------------------------------------------------------------------------------------------------------------------ PENN NATIONAL GAMING INC COM 707569109 10,544 664,800 SH SOLE 664,800 - ------------------------------------------------------------------------------------------------------------------------------------ PEP BOYS-MANNY, MO, JACK COM 713278109 6,953 599,400 SH SOLE 599,400 - ------------------------------------------------------------------------------------------------------------------------------------
Page 4 of 5 FORM 13F INFORMATION TABLE Name of Reporting Manager: Hennessy Funds
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x$1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ PHILIP MORRIS CO INC COM 718154107 1,382 34,098 SH SOLE 34,098 - ------------------------------------------------------------------------------------------------------------------------------------ PITNEY BOWES INC COM 724479100 336 10,300 SH SOLE 10,300 - ------------------------------------------------------------------------------------------------------------------------------------ PNC FINANCIAL SERVICES GROUP COM 693475105 360 8,600 SH SOLE 8,600 - ------------------------------------------------------------------------------------------------------------------------------------ PROGRESSIVE CORP COM 743315103 9,842 198,300 SH SOLE 198,300 - ------------------------------------------------------------------------------------------------------------------------------------ REGIONS FINANCIAL CORPORATIO COM 758940100 350 10,500 SH SOLE 10,500 - ------------------------------------------------------------------------------------------------------------------------------------ REGIS CORP COM 758932107 9,520 366,300 SH SOLE 366,300 - ------------------------------------------------------------------------------------------------------------------------------------ REX STORES CORPORATION COM 761624105 4,422 433,100 SH SOLE 433,100 - ------------------------------------------------------------------------------------------------------------------------------------ ROCKWELL INTL CORP COM 773903109 360 17,372 SH SOLE 17,372 - ------------------------------------------------------------------------------------------------------------------------------------ ROSS STORES INC COM 778296103 11,903 280,800 SH SOLE 280,800 - ------------------------------------------------------------------------------------------------------------------------------------ ROYAL DUTCH PETROLEUM ADR ADR 780257804 391 8,872 SH SOLE 8,872 - ------------------------------------------------------------------------------------------------------------------------------------ RPM INC OHIO COM 749685103 9,521 623,100 SH SOLE 623,100 - ------------------------------------------------------------------------------------------------------------------------------------ RYAN'S FAMILY STEAK HOUSE COM 783519101 7,005 617,150 SH SOLE 617,150 - ------------------------------------------------------------------------------------------------------------------------------------ RYLAND GROUP INC COM 783764103 8,828 264,700 SH SOLE 264,700 - ------------------------------------------------------------------------------------------------------------------------------------ SBC COMMUNICATIONS, INC. COM 78387G103 1,923 70,935 SH SOLE 70,935 - ------------------------------------------------------------------------------------------------------------------------------------ Sears Roebuck & Co COM 812387108 328 13,700 SH SOLE 13,700 - ------------------------------------------------------------------------------------------------------------------------------------ SHELL TRANSPORT & TRADING AD ADR 822703609 362 9,300 SH SOLE 9,300 - ------------------------------------------------------------------------------------------------------------------------------------ SILGAN HOLDINGS CORP. COM 827048109 9,196 372,600 SH SOLE 372,600 - ------------------------------------------------------------------------------------------------------------------------------------ SMITHFIELD FOODS, INC. COM 832248108 8,370 421,900 SH SOLE 421,900 - ------------------------------------------------------------------------------------------------------------------------------------ SPRINT CORPORATION COMMON COM 852061100 349 24,100 SH SOLE 24,100 - ------------------------------------------------------------------------------------------------------------------------------------ STORAGE TECHNOLOGY CORP COM 862111200 9,116 425,600 SH SOLE 425,600 - ------------------------------------------------------------------------------------------------------------------------------------ TRACTOR SUPPLY COMPANY COM 892356106 19,289 513,000 SH SOLE 513,000 - ------------------------------------------------------------------------------------------------------------------------------------ U G I Corporation New COM 902681105 209 5,600 SH SOLE 5,600 - ------------------------------------------------------------------------------------------------------------------------------------ UNION PLANTERS CORP COM 908068109 349 12,400 SH SOLE 12,400 - ------------------------------------------------------------------------------------------------------------------------------------ UNUMPROVIDENT CORP COM 91529Y106 367 20,900 SH SOLE 20,900 - ------------------------------------------------------------------------------------------------------------------------------------
Page 5 of 5 FORM 13F INFORMATION TABLE Name of Reporting Manager: Hennessy Funds
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x$1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ URBAN OUTFITTERS INC COM 917047102 8,917 378,300 SH SOLE 378,300 - ------------------------------------------------------------------------------------------------------------------------------------ US BANCORP COM 902973304 350 16,500 SH SOLE 16,500 - ------------------------------------------------------------------------------------------------------------------------------------ VERIZON COMMUNICATIONS COM 92343V104 1,029 26,551 SH SOLE 26,551 - ------------------------------------------------------------------------------------------------------------------------------------ Washington Mutual Inc COM 939322103 350 10,150 SH SOLE 10,150 - ------------------------------------------------------------------------------------------------------------------------------------ Wells Fargo & Co New COM 949746101 876 18,690 SH SOLE 18,690 - ------------------------------------------------------------------------------------------------------------------------------------ Westamerica Bancorp COM 957090103 507 12,611 SH SOLE 12,611 - ------------------------------------------------------------------------------------------------------------------------------------ WESTERN DIGITAL CORP COM 958102105 9,136 1,429,800 SH SOLE 1,429,800 - ------------------------------------------------------------------------------------------------------------------------------------ WEYERHAEUSER CO COM 962166104 369 7,500 SH SOLE 7,500 - ------------------------------------------------------------------------------------------------------------------------------------ WHOLE FOODS MARKET INC. COM 966837106 11,680 221,500 SH SOLE 221,500 - ------------------------------------------------------------------------------------------------------------------------------------ WINNEBAGO INDUSTRIES COM 974637100 9,968 254,100 SH SOLE 254,100 - ------------------------------------------------------------------------------------------------------------------------------------ YUM! BRANDS INC COM 988498101 8,809 363,700 SH SOLE 363,700 - ------------------------------------------------------------------------------------------------------------------------------------ TOTAL 482,663
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