UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 30549
________
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934
Hennessy Advisors, Inc.
(Exact name of registrant as specified in its charter)
|
California
|
68-0176227
|
|
(State of incorporation or organization)
|
(I.R.S. employer identification no.)
|
|
7250 Redwood Blvd., Suite 200, Novato, California
|
94945
|
|
(Address of principal executive offices)
|
(Zip Code)
|
Securities to be registered pursuant to Section 12(b) of the Act:
|
Title of each class
to be registered
|
Name of each exchange on which
each class is to be registered
|
|
Common Stock, no par value
|
The NASDAQ Stock Market LLC
|
If this Form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective upon filing pursuant to General Instruction A.(c), please check the following box. T
If this Form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), please check the following box. £
Securities Act registration statement file number to which this form relates: N/A
Securities to be registered pursuant to Section 12(g) of the Act: None
Item 1. Description of Registrant’s Securities to be Registered
The description of the common stock is incorporated by reference to the information set forth under the heading “Description of Capital Stock—Common Stock” contained in the Registrant’s Registration Statement on Form S-1 (Registration No. 333-126896) under the Securities Act of 1933, as amended, as filed with the Securities and Exchange Commission on July 26, 2005.
Item 2. Exhibits
Pursuant to the Form 8-A Instructions as to Exhibits, no exhibits are required to be filed because no other securities of the Registrant are registered on The NASDAQ Stock Market LLC and the securities registered hereby are not being registered on this Form 8-A pursuant to Section 12(g) of the Exchange Act.
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized.
Hennessy Advisors, Inc.
(Registrant)
By: /s/ Teresa M. Nilsen
Teresa M. Nilsen
Executive Vice President
Dated: April 22, 2014
3