================================================================================
SECURITIES AND EXCHANGE COMMISSION
UNITED STATES
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) November 3, 2004
----------------
HENNESSY ADVISORS, INC.
-----------------------
(Exact name of registrant as specified in its charter)
California 000-49872 68-0176227
---------- --------- ----------
(State or other jurisdiction Commission (IRS Employer
of incorporation) File Number) Identification No.)
750 Grant Avenue, Suite 100 94945
Novato, California -----
(Address of principal executive offices) (Zip Code)
Registrant's telephone number including area code: (415) 899-1555
--------------
Not Applicable
--------------
(Former name or former address, if changed since last report)
================================================================================
ITEM 5.05 AMENDMENTS TO THE REGISTRANT'S CODE OF ETHICS, OR
WAIVER OF A PROVISION OF THE CODE OF ETHICS
On November 3, 2004, the Company's Board of Directors adopted an
enhanced Code of Ethics. The enhanced Code took effect on November 17, 2004. It
differs from the Company's prior Code because: it includes specific "standards
of conduct" that must be adhered to by all Officers, Directors and Employees of
the Company; and it requires that all Directors, Officers and Employees of the
Company acknowledge their receipt of the Code and report any violations of the
Code.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS
(c) Exhibits
14.1 Code of Ethics
Pursuant to the requirements of the Securities and Exchange Act of
1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
HENNESSY ADVISORS, INC.
(registrant)
December 9, 2004 By: /s/ Neil J. Hennessy
-------------------------------------
Neil J. Hennessy
President
2