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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) June 3, 2003
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HENNESSY ADVISORS, INC.
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(Exact name of registrant as specified in its charter)
California 000-49872 68-0176227
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(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
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Not Applicable
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(Former name or former address, if changed since last report)
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Item 4. Changes In Registrant's Certifying Accountant
On June 3, 2003, Hennessy Advisors, Inc. ("Hennessy") dismissed its auditors,
KPMG LLP ("KPMG"), and appointed Pisenti & Brinker, LLP ("Pisenti") as its new
independent auditors, effective June 4, 2003. This change was approved by the
Audit Committee of Hennessy's Board of Directors.
During Hennessy's two most recent fiscal years ended September 30, 2002, and the
subsequent interim period through June 3, 2003, there were no disagreements
between Hennessy and KPMG on any matter of accounting principles or practices,
financial statement disclosure, or auditing scope or procedure, which
disagreements, if not resolved to KPMG's satisfaction, would have caused KPMG to
make reference to the subject matter of the disagreement in the connection with
its reports.
The audit reports of KPMG on the financial statements of Hennessy as of and for
the fiscal years ended September 30, 2002 and September 30, 2001 did not contain
any adverse opinion or disclaimer of opinion, nor were they qualified or
modified as to uncertainty, audit scope or accounting principles. A letter from
KPMG is attached hereto as Exhibit 16.
Item 7 Financial Statements and Exhibits
(c) Exhibits
16 Letter of KPMG LLP regarding change in certifying accountant
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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)
June 10, 2003 By: /s/ Teresa M. Nilsen
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Teresa M. Nilsen
Chief Financial Officer and
Executive Vice President
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