Statistiques de base
| LEI | 549300L20PWOT5TV6228 |
| CIK | 891944 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Hennessy Funds Trust - Hennessy Sustainable ETF
SEC Filings (Chronological Order)
Cette page fournit une liste complète et chronologique des documents déposés auprès de la SEC, à l'exclusion des documents relatifs à la participation que nous fournissons ailleurs.
| August 20, 2025 |
LISTED FUNDS TRUST 615 East Michigan Street Milwaukee, Wisconsin 53202 Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Listed Funds Trust (811-23226) LISTED FUNDS TRUST 615 East Michigan Street Milwaukee, Wisconsin 53202 866-590-9112 www. |
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| June 24, 2025 |
Exhibit 16 POWER OF ATTORNEY The undersigned trustee of Hennessy Funds Trust (the “Trust”) appoints each of Neil J. |
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| June 24, 2025 |
Exhibit 12 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| June 24, 2025 |
As filed with the SEC on June 24, 2025 Registration No. 333-287406 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 /X/ Pre-Effective Amendment No. 2 / / Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, California 9494 |
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| June 24, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N‐14 of our report dated May 30, 2025, relating to the financial statements and financial highlights of STF Tactical Growth & Income ETF and STF Tactical Growth ETF, each a series of Listed Funds Trust, which are included in Form N‐CSR for the year ended March 31, 2025, and to the references to our firm under the headings “Other Significant Considerations and Consequences of the Proposed Reorganizations”, “Experts” and “Exhibit B” in the Proxy Statement/Prospectus. |
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| June 12, 2025 |
As filed with the SEC on June 12, 2025 Registration No. 333-287406 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 /X/ Pre-Effective Amendment No. 1 / / Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, California 9494 |
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| June 12, 2025 |
FORM OF EIGHTH AMENDMENT TO THE HENNESSY FUNDS TRUST CUSTODY AGREEMENT Exhibit 9.(d) FORM OF EIGHTH AMENDMENT TO THE HENNESSY FUNDS TRUST CUSTODY AGREEMENT THIS AMENDMENT to the Custody Agreement, dated as of July 1, 2005, as amended (the “Agreement”), is entered into as of the last date on the signature block (the “Effective Date”), by and between HENNESSY FUNDS TRUST, a Delaware statutory trust (the “Company”), and U.S. BANK NATIONAL ASSOCIATION, a national banking |
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| June 12, 2025 |
SCAN TO VIEW MATERIALS & VOTE STF TACTICAL GROWTH & INCOME ETF 615 EAST MICHIGAN STREET MILWAUKEE, WISCONSIN 53202 To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. |
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| June 12, 2025 |
FORM OF FIRST AMENDMENT TO ETF DISTRIBUTION AGREEMENT Exhibit 7.(d) FORM OF FIRST AMENDMENT TO ETF DISTRIBUTION AGREEMENT THIS AMENDMENT TO ETF DISTRIBUTION AGREEMENT (this “Amendment”) is effective as of , 2025, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), and Quasar Distributors, LLC, a Delaware limited liability company (the “Distributor”). WHEREAS, the Trust and the Distributor are parties to that certain ETF Dis |
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| June 12, 2025 |
FORM OF EIGHTH AMENDMENT TO THE HENNESSY FUNDS TRUST FUND ADMINISTRATION SERVICING AGREEMENT Exhibit 13.(e) FORM OF EIGHTH AMENDMENT TO THE HENNESSY FUNDS TRUST FUND ADMINISTRATION SERVICING AGREEMENT THIS AMENDMENT to the Fund Administration Servicing Agreement, dated as of July 1, 2005, as amended (the “Agreement”), is entered into as of the last date on the signature block (the “Effective Date”), by and between HENNESSY FUNDS TRUST, a Delaware statutory trust (the “Company”), and U.S. |
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| June 12, 2025 |
FORM OF EIGHTH AMENDMENT TO THE HENNESSY FUNDS TRUST TRANSFER AGENT SERVICING AGREEMENT Exhibit 13.(j) FORM OF EIGHTH AMENDMENT TO THE HENNESSY FUNDS TRUST TRANSFER AGENT SERVICING AGREEMENT THIS AMENDMENT to the Transfer Agent Servicing Agreement, dated as of July 1, 2005, as amended (the “Agreement”), is entered into as of the last date on the signature block (the “Effective Date”), by and between HENNESSY FUNDS TRUST, a Delaware statutory trust (the “Company”), and U.S. BANCORP FU |
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| June 12, 2025 |
FORM OF SEVENTH AMENDMENT TO THE HENNESSY FUNDS TRUST FUND ACCOUNTING SERVICING AGREEMENT Exhibit 13.(n) FORM OF SEVENTH AMENDMENT TO THE HENNESSY FUNDS TRUST FUND ACCOUNTING SERVICING AGREEMENT THIS AMENDMENT to the Fund Accounting Servicing Agreement, dated as of February 7, 2006, as amended (the “Agreement”), is entered into as of the last date on the signature block (the “Effective Date”), by and between HENNESSY FUNDS TRUST, a Delaware statutory trust (the “Company”), and U.S. BAN |
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| May 19, 2025 |
As filed with the SEC on May 19, 2025 Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 / / Pre-Effective Amendment No. / / Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, California 94945 (Address of Re |
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| May 19, 2025 |
FORM OF INVESTMENT ADVISORY AGREEMENT Exhibit 6.(j) FORM OF INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of , 2025 by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (each, a “Fund,” and together, the “Funds”), and Hennessy Advisors, Inc., a Calif |
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| May 19, 2025 |
FOURTH AMENDMENT TO EXPENSE LIMITATION AGREEMENT Exhibit 13.(aj) FOURTH AMENDMENT TO EXPENSE LIMITATION AGREEMENT THIS FOURTH AMENDMENT TO EXPENSE LIMITATION AGREEMENT (this “Amendment”) is entered into as of May 12, 2025, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of the Hennessy Sustainable ETF (previously known as the Hennessy Stance ESG ETF) (the “Fund”), and Hennessy Advisors, Inc., the Fund’s i |
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| May 19, 2025 |
FORM OF AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES Exhibit 1.(f) FORM OF AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES At a meeting duly called and held on March 12, 2025, all of the Trustees of Hennessy Funds Trust (the “Trust”), acting pursuant to Article 2 of the Trust Instrument of the Trust, as amended and supplemented, established new series designated as (i) Hennessy Tactical Growth and Income ETF a |
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| May 19, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N‐14 of our report dated May 30, 2024, relating to the financial statements and financial highlights of STF Tactical Growth & Income ETF and STF Tactical Growth ETF, each a series of Listed Funds Trust, which are included in Form N‐CSR for the year ended March 31, 2024, and to the references to our firm under the headings “Other Significant Considerations and Consequences of the Proposed Reorganizations”, “Miscellaneous Information” and “Exhibit B” in the Preliminary Proxy Statement/Prospectus. |
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| May 19, 2025 |
Exhibit 12 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| May 19, 2025 |
FIRST AMENDMENT TO SUB-ADVISORY AGREEMENT Exhibit 6.(t) FIRST AMENDMENT TO SUB-ADVISORY AGREEMENT THIS FIRST AMENDMENT TO SUB-ADVISORY AGREEMENT (this “Amendment”) is effective as of May 12, 2025, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Vident Advisory, LLC, a Delaware limited liability company (the “Sub‑Adviser”). RECITALS WHEREAS, the Adviser and the Sub-Adviser are parties to that certain S |
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| May 19, 2025 |
SECOND AMENDMENT TO SUB-ADVISORY AGREEMENT Exhibit 6.(r) SECOND AMENDMENT TO SUB-ADVISORY AGREEMENT THIS SECOND AMENDMENT TO SUB-ADVISORY AGREEMENT (this “Amendment”) is effective as of May 12, 2025, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Stance Capital, LLC, a Massachusetts limited liability company (the “Sub‑Adviser”). RECITALS WHEREAS, the Adviser and the Sub-Adviser are parties to that cer |
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| May 19, 2025 |
SECOND AMENDMENT TO INVESTMENT ADVISORY AGREEMENT Exhibit 6.(i) SECOND AMENDMENT TO INVESTMENT ADVISORY AGREEMENT THIS SECOND AMENDMENT TO INVESTMENT ADVISORY AGREEMENT (this “Amendment”) is effective as of May 12, 2025, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Hennessy Funds Trust, a Delaware statutory trust (the “Trust”). RECITALS WHEREAS, the Adviser and the Trust are parties to that certain Investm |
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| May 19, 2025 |
Exhibit 17 FORM OF PROXY CARD STF TACTICAL GROWTH & INCOME ETF 615 EAST MICHIGAN STREET MILWAUKEE, WISCONSIN 53202 To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. |
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| May 19, 2025 |
Exhibit 11 May 19, 2025 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE, SUITE 3800 MILWAUKEE, WISCONSIN 53202-5306 414. |
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| May 19, 2025 |
AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES Exhibit 1.(e) AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES Pursuant to duly adopted resolutions at a meeting held March 12, 2025, all of the Trustees of Hennessy Funds Trust (the “Trust”), acting pursuant to Article II of the Trust Instrument of the Trust, as amended and supplemented, renamed the series designated as Hennessy Stance ESG ETF as Hennessy Su |
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| December 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 033-52154 HENNESSY FUNDS TRUST NYSE Arca, Inc. |
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| December 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Hennessy Funds Trust (Exact name of registrant as specified in its charter) Delaware 85-4364098 (State of incorporation or organization) (IRS Employer Identification No. |
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| December 7, 2023 |
Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) QUAKER INVESTMENT TRUST 261 North University Drive, Suite 520 Ft. |
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| November 21, 2023 |
Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) QUAKER INVESTMENT TRUST 261 North University Drive, Suite 520 Ft. |
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| November 9, 2023 |
Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) QUAKER INVESTMENT TRUST 261 North University Drive, Suite 520 Ft. |
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| October 24, 2023 |
Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) QUAKER INVESTMENT TRUST 261 North University Drive, Suite 520 Ft. |
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| August 29, 2023 |
Filed by Hennessy Funds Trust (811-07168) Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) [This letter is being refiled solely to correct the “series and classes/contracts information” that appears on the EDGAR system, to correctly identify the CCM Core Impact Equity Fund, Advisor Class and Institutional Class, and the CCM Small/Mid-Cap Impact Value Fund, Advisor Class and Institutional Class, as the only target series and classes. |
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| August 29, 2023 |
Filed by Hennessy Funds Trust (811-07168) Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) [This letter is being refiled solely to correct the “series and classes/contracts information” that appears on the EDGAR system, to correctly identify the CCM Core Impact Equity Fund, Advisor Class and Institutional Class, and the CCM Small/Mid-Cap Impact Value Fund, Advisor Class and Institutional Class, as the only target series and classes. |
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| August 29, 2023 |
Filed by Hennessy Funds Trust (811-07168) Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) August 28, 2023 Dear Shareholder, We are pleased to have entered into an agreement and plan of reorganization under which the CCM Core Impact Equity Fund and the CCM Small/Mid-Cap Impact Value Fund (the “CCM Equity Funds”), managed by CCM, would be reorganized into the Hennessy Stance ESG ETF (the “Hennessy ETF”), a series of Hennessy Funds Trust (collectively, the “Reorganization”). |
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| August 29, 2023 |
Filed by Hennessy Funds Trust (811-07168) Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) August 28, 2023 Dear Shareholder, We are pleased to have entered into an agreement and plan of reorganization under which the CCM Core Impact Equity Fund and the CCM Small/Mid-Cap Impact Value Fund (the “CCM Equity Funds”), managed by Community Capital Management, LLC (“CCM”), would be reorganized into the Hennessy Stance ESG ETF (the “Hennessy ETF”), a series of Hennessy Funds Trust (collectively, the “Reorganization”). |
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| August 24, 2023 |
August 24, 2023 Via EDGAR ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
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| August 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ Pre-Effective Amendment No. 1 ☐ Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, California 94945 (Address of Registrant’s Principal Executive Offices) (800) 966-4354 |
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| August 23, 2023 |
PRELIMINARY PROXY CARDS, SUBJECT TO CHANGE HENNESSY FUNDS TRUST N-14/A Exhibit 99.17 PRELIMINARY PROXY CARDS, SUBJECT TO CHANGE QUAKER INVESTMENT TRUST 261 North University Drive, Suite 520 Ft. Lauderdale, FLorida 33324 To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website www.proxyvote.com 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement |
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| August 23, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM HENNESSY FUNDS TRUST N-14/A Exhibit 99.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of Hennessy Funds Trust and to the use of our report dated August 29, 2022 on the financial statements and financial highlights of Quaker Investment Trust. Such financial statements and financial highlights appear |
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| August 23, 2023 |
HENNESSY FUNDS TRUST N-14/A Exhibit 12 ATTORNEYS AT LAW 777 East Wisconsin Avenue Milwaukee, WI 53202-5306 414. |
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| August 23, 2023 |
HENNESSY FUNDS TRUST N-14/A Exhibit 99.6(o) SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made as of July 14, 2023, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Vident Advisory, LLC, a Delaware limited liability company (the “Sub-Adviser”). RECITALS WHEREAS, the Adviser is registered as an investment adviser under the Investment A |
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| August 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ Pre-Effective Amendment No. 1 ☐ Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, California 94945 (Address of Registrant’s Principal Executive Offices) (800) 966-4354 |
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| August 23, 2023 |
HENNESSY FUNDS TRUST N-14/A Exhibit 99.6(o) SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made as of July 14, 2023, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Vident Advisory, LLC, a Delaware limited liability company (the “Sub-Adviser”). RECITALS WHEREAS, the Adviser is registered as an investment adviser under the Investment A |
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| August 23, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM HENNESSY FUNDS TRUST N-14/A Exhibit 99.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of Hennessy Funds Trust and to the use of our report dated August 29, 2022 on the financial statements and financial highlights of Quaker Investment Trust. Such financial statements and financial highlights appear |
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| August 23, 2023 |
HENNESSY FUNDS TRUST N-14/A Exhibit 99.11 August 22, 2023 ATTORNEYS AT LAW 777 East Wisconsin Avenue Milwaukee, WISCONSIN 53202-5306 414.271.2400 TEL 414.297.4900 FAX foley.com CLIENT/MATTER NUMBER 082961-0150 Hennessy Funds Trust 7250 Redwood Blvd. Suite 200 Novato, California 94945 Ladies and Gentlemen: We have acted as counsel for Hennessy Funds Trust (the “Trust”) in connection with the prepar |
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| August 23, 2023 |
HENNESSY FUNDS TRUST N-14/A Exhibit 99.11 August 22, 2023 ATTORNEYS AT LAW 777 East Wisconsin Avenue Milwaukee, WISCONSIN 53202-5306 414.271.2400 TEL 414.297.4900 FAX foley.com CLIENT/MATTER NUMBER 082961-0150 Hennessy Funds Trust 7250 Redwood Blvd. Suite 200 Novato, California 94945 Ladies and Gentlemen: We have acted as counsel for Hennessy Funds Trust (the “Trust”) in connection with the prepar |
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| August 23, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM HENNESSY FUNDS TRUST N-14/A Exhibit 99.14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of Hennessy Funds Trust of our report dated October 28, 2022, relating to the financial statements and financial highlights, which appears in Stance Equity ESG Large Cap Core ETF’s, a series of The RBB |
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| August 23, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM HENNESSY FUNDS TRUST N-14/A Exhibit 99.14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of Quaker Investment Trust of our report dated October 28, 2022, relating to the financial statements and financial highlights, which appears in Stance Equity ESG Large Cap Core ETF’s, a series of The R |
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| August 23, 2023 |
HENNESSY FUNDS TRUST N-14/A Exhibit 12 ATTORNEYS AT LAW 777 East Wisconsin Avenue Milwaukee, WI 53202-5306 414. |
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| August 23, 2023 |
PRELIMINARY PROXY CARDS, SUBJECT TO CHANGE HENNESSY FUNDS TRUST N-14/A Exhibit 99.17 PRELIMINARY PROXY CARDS, SUBJECT TO CHANGE QUAKER INVESTMENT TRUST 261 North University Drive, Suite 520 Ft. Lauderdale, FLorida 33324 To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website www.proxyvote.com 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement |
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| August 17, 2023 |
CCM Core Impact Equity Fund - Advisor Class August 17, 2023 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| August 4, 2023 |
August 4, 2023 ATTORNEYS AT LAW 777 East Wisconsin Avenue Milwaukee, WI 53202-5306 414. |
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| June 22, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under Rule 14a-12 Hennessy Funds Trust (Name of Registrant as Specified in its Charter) (Name of Person(s) Filing Proxy Statement if other than the Registrant) Payment of Filing Fee (Check the appropriate box): ☒ No fee required. |
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| June 15, 2023 |
June 15, 2023 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| June 5, 2023 |
ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414.271.2400 TEL 414.297.4900 FAX WWW.FOLEY.COM CLIENT/MATTER NUMBER 082961-0150 September [●], 2023 Hennessy Funds Trust Quaker Investment Trust Re: Form of Reorganization Opinion Ladies and Gentlemen: We have acted as tax counsel to Hennessy Funds Trust (the “Acquiring Trust”), a Delaware statutory trust, in connection with that |
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| June 5, 2023 |
PRELIMINARY PROXY CARDS, SUBJECT TO CHANGE, DATED JUNE 5, 2023 PRELIMINARY PROXY CARDS, SUBJECT TO CHANGE, DATED JUNE 5, 2023 QUAKER INVESTMENT TRUST 261 NORTH UNIVERSITY DRIVE, SUITE 520 FT. |
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| June 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 / / Pre-Effective Amendment No. / / Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, California 94945 (Address of Registrant’s Principal Executive Offices) (800) 966-4354 |
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| June 5, 2023 |
June 5, 2023 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
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| June 1, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under Rule 14a-12 Hennessy Funds Trust (Name of Registrant as Specified in its Charter) (Name of Person(s) Filing Proxy Statement if other than the Registrant) Payment of Filing Fee (Check the appropriate box): ☒ No fee required. |
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| June 1, 2023 |
June 1, 2023 Via EDGAR ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
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| April 27, 2023 |
Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) [This press release is being refiled solely to correct the “series and classes/contracts information” that appears on the EDGAR system, to correctly identify the Hennessy Stance ESG ETF (as defined herein) as the acquiring series and class, and to correctly identify the CCM Core Impact Equity Fund, Advisor Class and Institutional Class, and the CCM Small/Mid-Cap Impact Value Fund, Advisor Class and Institutional Class, as the target series and classes. |
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| April 26, 2023 |
Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Quaker Investment Trust (811-06260) FOR IMMEDIATE RELEASE Media Contact: Teresa Nilsen Hennessy Advisors, Inc. |
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| March 29, 2023 |
Hennessy Cornerstone Large Growth Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
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| March 29, 2023 |
NPORT-EX 2 balance.htm Hennessy Balanced Fund Schedule of Investments January 31, 2023 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 48.37% Communication Services - 5.06% Verizon Communications, Inc. 15,700 $ 652,649 5.06 % Consumer Staples - 5.08% Walgreens Boots Alliance, Inc. 17,800 656,108 5.08 % Energy - 4.79% Chevron Corp. 3,550 617,771 4.79 % Financials - 4.0 |
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| March 29, 2023 |
Hennessy Japan Small Cap Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 88. |
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| March 29, 2023 |
Hennessy Large Cap Financial Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 81. |
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| March 29, 2023 |
Hennessy Total Return Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 70. |
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| March 29, 2023 |
NPORT-EX 2 smcapfinancial.htm Hennessy Small Cap Financial Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 93.05% Financials - 93.05% Associated Banc-Corp. 215,000 $ 4,818,150 4.79 % BankUnited, Inc. 100,000 3,764,000 3.74 % Banner Corp. 34,000 2,204,220 2.19 % Cadence Bank 68,000 1,739,440 1.73 % Cambridge Bancorp 42,000 3,360,000 3 |
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| March 29, 2023 |
Hennessy Midstream Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 41. |
|
| March 29, 2023 |
Hennessy Gas Utility Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 99. |
|
| March 29, 2023 |
Hennessy Cornerstone Mid Cap 30 Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 93. |
|
| March 29, 2023 |
NPORT-EX 2 energy2.htm Hennessy Energy Transition Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 96.08% Downstream - 11.70% Marathon Petroleum Corp. 6,900 $ 886,788 3.97 % Phillips 66 8,500 852,295 3.81 % Valero Energy Corp. 6,250 875,188 3.92 % 2,614,271 11.70 % Exploration & Production - 45.01% Antero Resources Corp. (a) 33,900 97 |
|
| March 29, 2023 |
Hennessy Focus Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 90. |
|
| March 29, 2023 |
NPORT-EX 2 csgrowth.htm Hennessy Cornerstone Growth Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 91.30% Communication Services - 1.80% Scholastic Corp. 73,200 $ 3,238,368 1.80 % Consumer Discretionary - 3.63% Build-A-Bear Workshop, Inc. (a) 150,400 3,693,824 2.05 % Movado Group, Inc. 80,500 2,846,480 1.58 % 6,540,304 3.63 % Consum |
|
| March 29, 2023 |
Hennessy Cornerstone Value Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 96. |
|
| March 29, 2023 |
Hennessy Equity and Income Fund Schedule of Investments January 31, 2023 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 64. |
|
| March 29, 2023 |
Hennessy Technology Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 96. |
|
| March 29, 2023 |
NPORT-EX 2 japan.htm Hennessy Japan Fund Schedule of Investments January 31, 2023 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98.80% Communication Services - 1.88% Dentsu Group, Inc. 45,500 $ 1,465,504 0.45 % Nippon Telegraph & Telephone Corp. 57,200 1,715,172 0.53 % SoftBank Group Corp. 61,900 2,930,475 0.90 % 6,111,151 1.88 % Consumer Discretionary - 15.98% Asics Corp. 224 |
|
| December 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Hennessy Funds Trust (Exact name of Registrant as specified in its charter) Delaware 85-4364098 (State of incorporation or organization) (IRS Employer Identification No.) c/o Hennessy Advisors, Inc |
|
| November 9, 2022 |
Filed by Hennessy Funds Trust (811-07168) 425 1 cmw454.htm Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: The RBB Fund, Inc. (811-05518) November 9, 2022 Dear Shareholder: We are pleased to have recently entered into a definitive agreement with Hennessy Advisors, Inc. |
|
| November 4, 2022 |
Form of Sixth Amendment to the Transfer Agent Servicing Agreement – Filed Herewith Exhibit 13(g) HENNESSY FUNDS TRUST FORM OF SIXTH AMENDMENT TO THE TRANSFER AGENT SERVICING AGREEMENT THIS SIXTH AMENDMENT, effective XX/XX/XX (the “Effective Date”), to the Fund Administration Servicing Agreement, dated as of July 1, 2005, as amended (the “Agreement”), is entered into by and between HENNESSY FUNDS TRUST, a Delaware statutory trust (the “Company”), and U. |
|
| November 4, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of The RBB Fund, Inc. |
|
| November 4, 2022 |
Form of Fifth Amendment to Fund Accounting Servicing Agreement – Filed Herewith Exhibit 13(i) HENNESSY FUNDS TRUST FORM OF FIFTH AMENDMENT TO THE FUND ACCOUNTING SERVICING AGREEMENT THIS FIFTH AMENDMENT, effective XX/XX/XX (the “Effective Date”), to the Fund Accounting Servicing Agreement, dated as of February 7, 2006, as amended (the “Agreement”), is entered into by and between HENNESSY FUNDS TRUST, a Delaware statutory trust (the “Company”), and U. |
|
| November 4, 2022 |
Form of Sixth Amendment to the Fund Administration Servicing Agreement – Filed Herewith. Exhibit 13(d) HENNESSY FUNDS TRUST FORM OF SIXTH AMENDMENT TO THE FUND ADMINISTRATION SERVICING AGREEMENT THIS SIXTH AMENDMENT, effective XX/XX/XX (the “Effective Date”), to the Fund Administration Servicing Agreement, dated as of July 1, 2005, as amended (the “Agreement”), is entered into by and between HENNESSY FUNDS TRUST, a Delaware statutory trust (the “Company”), and U. |
|
| November 4, 2022 |
Exhibit 9(b) HENNESSY FUNDS TRUST FORM OF FIFTH AMENDMENT TO THE CUSTODY AGREEMENT THIS FIFTH AMENDMENT, effective XX/XX/XX (the “Effective Date”), to the Custody Agreement, dated as of July 1, 2005, as amended (the “Agreement”), is entered into by and between HENNESSY FUNDS TRUST, a Delaware statutory trust (the “Company”), and U. |
|
| November 4, 2022 |
As filed with the SEC on November 3, 2022 Registration No. 333-267587 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 /X/ Pre-Effective Amendment No. 2 / / Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, California 949 |
|
| November 4, 2022 |
Opinion of Foley & Lardner LLP regarding legality of issuance of shares – Filed Herewith. Exhibit 11 November 3, 2022 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
|
| November 1, 2022 |
November 1, 2022 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
|
| October 3, 2022 |
As filed with the SEC on October 3, 2022 Registration No. 333-267587 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 /X/ Pre-Effective Amendment No. 1 / / Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, California 9494 |
|
| September 28, 2022 |
Hennessy Japan Small Cap Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 92. |
|
| September 28, 2022 |
Hennessy Gas Utility Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 99. |
|
| September 28, 2022 |
Hennessy Total Return Fund Schedule of Investments July 31, 2022 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 69. |
|
| September 28, 2022 |
Hennessy Cornerstone Large Growth Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 28, 2022 |
Hennessy Cornerstone Growth Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 92. |
|
| September 28, 2022 |
Hennessy Japan Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 28, 2022 |
Hennessy Midstream Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 40. |
|
| September 28, 2022 |
Hennessy Equity and Income Fund Schedule of Investments July 31, 2022 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 63. |
|
| September 28, 2022 |
Hennessy Large Cap Financial Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| September 28, 2022 |
Hennessy Cornerstone Value Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 28, 2022 |
Hennessy Focus Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 87. |
|
| September 28, 2022 |
Hennessy Technology Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| September 28, 2022 |
Hennessy Balanced Fund Schedule of Investments July 31, 2022 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 47. |
|
| September 28, 2022 |
Hennessy Energy Transition Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 92. |
|
| September 28, 2022 |
Hennessy Small Cap Financial Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| September 28, 2022 |
Hennessy Cornerstone Mid Cap 30 Fund Schedule of Investments July 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 93. |
|
| September 23, 2022 |
FORM OF EXPENSE LIMITATION AGREEMENT THIS EXPENSE LIMITATION AGREEMENT (the “Agreement”) is made effective as of [•], 2022, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of the series of the Trust set forth on Schedule A attached hereto (the “ETF”), and Hennessy Advisors, Inc. |
|
| September 23, 2022 |
FORM OF INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this ?Agreement?) is made as of [], 2022 by and between Hennessy Funds Trust, a Delaware statutory trust (the ?Trust?), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a ?Fund? and together as the ?Funds?), and Hennessy Advisors, Inc. |
|
| September 23, 2022 |
FORM OF ETF DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (the ?Agreement?) is made and effective as of 2022, by and between Hennessy Funds Trust, a Delaware statutory trust (the ?Trust?) having its principal place of business at 7250 Redwood Boulevard, Suite 200, Novato, CA 94945, and Quasar Distributors, LLC, a Delaware limited liability company (the ?Distributor?) having its principal place of business at 111 E. |
|
| September 23, 2022 |
N-14 1 tm1.htm As filed with the SEC on September 23, 2022 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 / / Pre-Effective Amendment No. / / Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, Calif |
|
| September 23, 2022 |
Form of Written Instrument Designating and Establishing Series and Class.(14) FORM OF AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES At a meeting duly called and held on July 26, 2022, all of the Trustees of Hennessy Funds Trust (the “Trust”), acting pursuant to Article II of the Trust Instrument of the Trust, as amended and supplemented, established a new series designated as Hennessy Stance Large Cap ESG ETF, with all relative rights and preferences of the existing series of the Trust. |
|
| September 23, 2022 |
Opinion of Foley & Lardner LLP regarding legality of issuance of shares – Filed Herewith. September 23, 2022 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
|
| September 23, 2022 |
HENNESSY FUNDS TRUST POWER OF ATTORNEY The undersigned trustees of Hennessy Funds Trust (the “Trust”) appoints Teresa M. |
|
| September 23, 2022 |
Form of Opinion of Foley & Lardner LLP regarding tax matters – Filed Herewith. ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414.271.2400 TEL 414.297.4900 FAX WWW.FOLEY.COM CLIENT/MATTER NUMBER 082961-0148 September 23, 2022 Hennessy Funds Trust 7250 Redwood Blvd. Suite 200 Novato, California 94945 The RBB Fund, Inc. 615 East Michigan Street Milwaukee, Wisconsin 53202 Re: Form of Tax-Free Reorganization Opinion Ladies and Gentlemen: We have acted as tax |
|
| September 23, 2022 |
FORM OF SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made as of [], 2022, by and between Hennessy Advisors, Inc. |
|
| September 23, 2022 |
Form of Authorized Participant Agreement.(14) FORM OF AUTHORIZED PARTICIPANT AGREEMENT HENNESSY FUNDS TRUST This Authorized Participant Agreement (the ?Agreement?) is entered into by and between Quasar Distributors, LLC (the ?Distributor?) and (the ?Participant?), is subject to acceptance by U. |
|
| September 23, 2022 |
PRELIMINARY PROXY CARD, SUBJECT TO CHANGE, DATED [?], 2022 THE RBB FUND, INC. 615 EAST MICHIGAN STREET MILWAUKEE, WI 53202 To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website www.proxyvote.com 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement and have the proxy card below at hand. 2) Call 1-800-6 |
|
| September 23, 2022 |
FORM OF SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this ?Agreement?) is made as of [], 2022, by and between Hennessy Advisors, Inc. |
|
| March 29, 2022 |
Hennessy Equity and Income Fund Schedule of Investments January 31, 2022 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 65. |
|
| March 29, 2022 |
Hennessy Total Return Fund Schedule of Investments January 31, 2022 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 68. |
|
| March 29, 2022 |
Hennessy Gas Utility Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 99. |
|
| March 29, 2022 |
Hennessy Energy Transition Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 88. |
|
| March 29, 2022 |
Hennessy Cornerstone Mid Cap 30 Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 94. |
|
| March 29, 2022 |
Hennessy Focus Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 88. |
|
| March 29, 2022 |
Hennessy Small Cap Financial Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 96. |
|
| March 29, 2022 |
Hennessy Cornerstone Growth Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 99. |
|
| March 29, 2022 |
Hennessy Japan Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 95. |
|
| March 29, 2022 |
Hennessy Cornerstone Value Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 29, 2022 |
Hennessy Technology Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 29, 2022 |
Hennessy Cornerstone Large Growth Fund Schedule of Investments January 31, 2022 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 96. |
|
| March 29, 2022 |
Hennessy Large Cap Financial Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 29, 2022 |
Hennessy Midstream Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 39. |
|
| March 29, 2022 |
Hennessy Balanced Fund Schedule of Investments January 31, 2022 (Unaudited) Number of Shares/ % of Par Amount Value Net Assets COMMON STOCKS - 50. |
|
| March 29, 2022 |
Hennessy Japan Small Cap Fund Schedule of Investments January 31, 2022 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 91. |
|
| September 28, 2021 |
Hennessy BP Midstream Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 36. |
|
| September 28, 2021 |
Hennessy Japan Small Cap Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 93. |
|
| September 28, 2021 |
Hennessy Cornerstone Large Growth Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| September 28, 2021 |
Hennessy Large Cap Financial Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 28, 2021 |
Hennessy Focus Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 88. |
|
| September 28, 2021 |
Hennessy Equity and Income Fund Schedule of Investments July 31, 2021 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 65. |
|
| September 28, 2021 |
Hennessy Cornerstone Mid Cap 30 Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| September 28, 2021 |
Hennessy Balanced Fund Schedule of Investments July 31, 2021 (Unaudited) Number of Shares/ % of Par Amount Value Net Assets COMMON STOCKS - 48. |
|
| September 28, 2021 |
Hennessy Cornerstone Growth Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 28, 2021 |
Hennessy Cornerstone Value Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 28, 2021 |
Hennessy Gas Utility Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 28, 2021 |
Hennessy Total Return Fund Schedule of Investments July 31, 2021 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 71. |
|
| September 28, 2021 |
Hennessy Japan Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 28, 2021 |
Hennessy Technology Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| September 28, 2021 |
Hennessy BP Energy Transition Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 86. |
|
| September 28, 2021 |
Hennessy Small Cap Financial Fund Schedule of Investments July 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 99. |
|
| March 30, 2021 |
Hennessy Japan Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 30, 2021 |
Hennessy Total Return Fund Schedule of Investments January 31, 2021 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 70. |
|
| March 30, 2021 |
Hennessy BP Energy Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 89. |
|
| March 30, 2021 |
Hennessy Japan Small Cap Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 93. |
|
| March 30, 2021 |
Hennessy Gas Utility Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 30, 2021 |
Hennessy Equity and Income Fund Schedule of Investments January 31, 2021 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 64. |
|
| March 30, 2021 |
Hennessy Large Cap Financial Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 93. |
|
| March 30, 2021 |
Hennessy Cornerstone Mid Cap 30 Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 30, 2021 |
Hennessy Cornerstone Value Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| March 30, 2021 |
Hennessy Small Cap Financial Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 30, 2021 |
Hennessy Technology Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 30, 2021 |
Hennessy BP Midstream Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 37. |
|
| March 30, 2021 |
Hennessy Focus Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 89. |
|
| March 30, 2021 |
Hennessy Cornerstone Growth Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 96. |
|
| March 30, 2021 |
Hennessy Cornerstone Large Growth Fund Schedule of Investments January 31, 2021 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 99. |
|
| March 30, 2021 |
Hennessy Balanced Fund Schedule of Investments January 31, 2021 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 49. |
|
| September 25, 2020 |
Hennessy BP Midstream Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 31. |
|
| September 25, 2020 |
Hennessy Small Cap Financial Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 94. |
|
| September 25, 2020 |
Hennessy Cornerstone Growth Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 25, 2020 |
Hennessy Cornerstone Mid Cap 30 Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 25, 2020 |
Hennessy Large Cap Financial Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 25, 2020 |
Hennessy Focus Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 89. |
|
| September 25, 2020 |
Hennessy Gas Utility Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 25, 2020 |
Hennessy Total Return Fund Schedule of Investments July 31, 2020 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 70. |
|
| September 25, 2020 |
Hennessy Technology Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 96. |
|
| September 25, 2020 |
Hennessy BP Energy Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 82. |
|
| September 25, 2020 |
Hennessy Equity and Income Fund Schedule of Investments July 31, 2020 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 57. |
|
| September 25, 2020 |
Hennessy Balanced Fund Schedule of Investments July 31, 2020 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 49. |
|
| September 25, 2020 |
Hennessy Japan Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 25, 2020 |
Hennessy Cornerstone Large Growth Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
|
| September 25, 2020 |
Hennessy Cornerstone Value Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| September 25, 2020 |
Hennessy Japan Small Cap Fund Schedule of Investments July 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 27, 2020 |
Hennessy Cornerstone Large Growth Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 27, 2020 |
Hennessy Cornerstone Mid Cap 30 Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 98. |
|
| March 27, 2020 |
Hennessy Large Cap Financial Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 27, 2020 |
Hennessy Technology Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 27, 2020 |
Hennessy Japan Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 96. |
|
| March 27, 2020 |
Hennessy Cornerstone Growth Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 97. |
|
| March 27, 2020 |
Hennessy Total Return Fund Schedule of Investments January 31, 2020 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 70. |
|
| March 27, 2020 |
Hennessy Focus Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 88. |
|
| March 27, 2020 |
Hennessy Balanced Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 48. |
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| March 27, 2020 |
Hennessy Japan Small Cap Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 96. |
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| March 27, 2020 |
Hennessy Equity and Income Fund Schedule of Investments January 31, 2020 (Unaudited) Number of Shares/Par % of Amount Value Net Assets COMMON STOCKS - 57. |
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| March 27, 2020 |
Hennessy BP Energy Fund Schedule of Investments January 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 81. |
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| March 27, 2020 |
Hennessy Cornerstone Value Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 97. |
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| March 27, 2020 |
Hennessy BP Midstream Fund Schedule of Investments January 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 26. |
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| March 27, 2020 |
Hennessy Gas Utility Fund Schedule of Investments January 31, 2020 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 98. |
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| March 27, 2020 |
Hennessy Small Cap Financial Fund Schedule of Investments January 31, 2020 (Unaudited) Number % of of Shares Value Net Assets COMMON STOCKS - 92. |
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| September 30, 2019 |
Hennessy Funds Trust NPORT-EX - - HENNESSY FUNDS TRUST HENNESSY FUNDS TRUST Hennessy Cornerstone Large Growth Fund Schedule of Investments July 31, 2019 (Unaudited) Number of % of Shares Value Net Assets COMMON STOCKS - 97. |
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| June 4, 2019 |
Hennessy Funds Trust CORRESP - - . April 26, 2019 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414.271.2400 TEL 414.297.4900 FAX www.foley.com WRITER'S DIRECT LINE 414.297.5596 [email protected] EMAIL CLIENT/MATTER NUMBER 082961-0137 Via EDGAR System Ms. Christina DiAngelo Fettig Senior Staff Accountant U.S. Securities and Exchange Commission Division of Investment Management, Disclosure Review Office 100 F |
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| May 24, 2019 |
I, Neil J. Hennessy, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Neil J. Hennessy, certify that: 1. I have reviewed this report on Form N-Q of Hennessy Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, n |
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| May 24, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number (811-07168) Hennessy Funds Trust (Exact name of registrant as specified in charter) 7250 Redwood Blvd., Suite 200 Novato, CA 94945 (Address of principal executive offices) (Zip code) Neil J. Hennessy |
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| April 1, 2019 |
I, Neil J. Hennessy, certify that: CERTIFICATION I, Neil J. Hennessy, certify that: 1. I have reviewed this report on Form N-Q of Hennessy Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cover |
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| April 1, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number (811-07168) Hennessy Funds Trust (Exact name of registrant as specified in charter) 7250 Redwood Blvd., Suite 200 Novato, CA 94945 (Address of principal executive offices) (Zip code) Neil J. Hennessy |
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| October 25, 2018 |
October 25, 2018 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| October 11, 2018 |
October 11, 2018 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| September 27, 2018 |
I, Neil J. Hennessy, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Neil J. Hennessy, certify that: 1. I have reviewed this report on Form N-Q of Hennessy Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, n |
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| September 27, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number (811-07168) Hennessy Funds Trust (Exact name of registrant as specified in charter) 7250 Redwood Blvd., Suite 200 Novato, CA 94945 (Address of principal executive offices) (Zip code) Neil J. Hennessy |
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| August 31, 2018 |
Filer and Investment Company Act File Number: Hennessy Funds Trust (811-07168) Commission File Number of the Related Registration Statement: 333-226409 Filed Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed Pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 Subject Company and Investment Company Act File Number: Professionally Managed Portfolios (811-05037) Frequently Asked Questions as of 8/31/18 Regarding the Proposed Acquisition of the BP Capital TwinLine Funds Who is BP Capital Fund Advisors, and what are the BP Capital TwinLine Funds? BP Capital Fund Advisors, located in Dallas, TX, is the investment manager to the BP Capital TwinLine Energy and BP Capital TwinLine MLP Funds (the “TwinLine Funds”). |
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| August 30, 2018 |
Filer and Investment Company Act File Number: Hennessy Funds Trust (811-07168) Commission File Number of the Related Registration Statement: 333-226409 Filed Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed Pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 Subject Company and Investment Company Act File Number: Professionally Managed Portfolios (811-05037) Dear Shareholder: August 31, 2018 We are pleased to have recently entered into a definitive agreement for Hennessy Advisors, Inc. |
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| August 23, 2018 |
August 23, 2018 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| August 2, 2018 |
Hennessy Funds Trust 425 (Prospectus) Filer and Investment Company Act File Number: Hennessy Funds Trust (811-07168) Filed Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed Pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 Subject Company and Investment Company Act File Number: Professionally Managed Portfolios (811-05037) Hennessy to Acquire the BP Capital TwinLine Funds With the announcement to acquire the BP Capital TwinLine Funds, Hennessy to offer a suite of complementary energy‑related funds. |
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| July 30, 2018 |
Hennessy Funds Trust HENNESSY FUNDS TRUST REGISTRATION WITHDRAWAL REQUEST 7-30-18 July 30, 2018 Via EDGAR ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
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| July 30, 2018 |
July 30, 2018 Via EDGAR ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
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| July 27, 2018 |
HENNESSY FUNDS TRUST RULE 18f-3 MULTI-CLASS PLAN As Amended and Restated Effective as of [•], 2018 Exhibit (n) (2) HENNESSY FUNDS TRUST RULE 18f-3 MULTI-CLASS PLAN As Amended and Restated Effective as of [•], 2018 I. |
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| July 27, 2018 |
AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES EX-99.A6 2 hftbpcf-exa6.htm FORM OF AMENDED AND RESTATED WRITTEN INSTRUMENT Exhibit (a) (6) AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES This Amended and Restated Written Instrument Designating and Establishing Series and Classes is effective as of [•], 2018 (this “Amendment”). This Amendment consolidates the prior actions taken by the Trustees of Henness |
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| July 27, 2018 |
EX-99.D6 3 hftbpcf-exd6.htm FORM OF INVESTMENT ADVISORY AGREEMENT Exhibit (d) (6) INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of [•], 2018, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter refe |
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| July 27, 2018 |
Exhibit (d) (l2) SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made and entered into as of [•], 2018, by and between Hennessy Advisors, Inc. |
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| July 27, 2018 |
SECOND AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT Exhibit (h) (6) SECOND AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT THIS SECOND AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT (this “Amendment”) is made effective as of [•], 2018 by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hennessy Advisors, Inc. |
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| July 27, 2018 |
Hennessy Funds Trust HENNESSY FUNDS TRUST INITIAL REGISTRATION STATEMENT Registration Nos. 033-52154 811-07168 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [x] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. 51 [x] and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [x] Amendment No. 52 [x] (Check appropriate box or boxes.) HENNESSY FUNDS TRUST ( |
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| July 27, 2018 |
Exhibit (o) (7) CODE OF ETHICS July 2018 8117 Preston Road, Suite 260 | Dallas, Texas 75225 | (214) 265-4165 i I. |
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| July 27, 2018 |
Exhibit (i) July 27, 2018 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
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| July 27, 2018 |
Exhibit (h) (14) EXPENSE LIMITATION AGREEMENT THIS EXPENSE LIMITATION AGREEMENT (the “Agreement”) is made effective as of [•], 2018, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each series of the Trust set forth on Schedule A attached hereto (each, a “Fund” and together, the “Funds”), and Hennessy Advisors, Inc. |
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| July 27, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (j) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N-1A of Hennessy Funds Trust and to the use of our report dated January 29, 2018 on the financial statements and financial highlights of BP Capital TwinLine Energy Fund and BP Capital TwinLine MLP Fund, each a series of Professionally Managed Portfolios. |
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| July 27, 2018 |
DISTRIBUTION (RULE 12B-1) PLAN HENNESSY FUNDS TRUST As Adopted and Effective as of [•], 2018 Exhibit (m) (11) Hennessy BP Energy Fund DISTRIBUTION (RULE 12B-1) PLAN OF HENNESSY FUNDS TRUST As Adopted and Effective as of [•], 2018 WHEREAS, Hennessy Funds Trust (the “Trust”) is registered with the Securities and Exchange Commission as an open-end management investment company under the Investment Company Act of 1940, as amended (the “1940 Act”); WHEREAS, it has been determined that the Henn |
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| July 27, 2018 |
DISTRIBUTION (RULE 12B-1) PLAN HENNESSY FUNDS TRUST As Adopted and Effective as of [•], 2018 Exhibit (m) (12) Hennessy BP Midstream Fund DISTRIBUTION (RULE 12B-1) PLAN OF HENNESSY FUNDS TRUST As Adopted and Effective as of [•], 2018 WHEREAS, Hennessy Funds Trust (the “Trust”) is registered with the Securities and Exchange Commission as an open-end management investment company under the Investment Company Act of 1940, as amended (the “1940 Act”); WHEREAS, it has been determined that the H |
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| July 27, 2018 |
Exhibit 11 July 27, 2018 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| July 27, 2018 |
DISTRIBUTION (RULE 12B-1) PLAN HENNESSY FUNDS TRUST As Adopted and Effective as of [•], 2018 EX-99.10K 6 hftbpcf-ex10k.htm FORM OF DISTRIBUTION (RULE 12B-1) - HENNESSY BP MIDSTREAM FUND Exhibit 10 (k) Hennessy BP Midstream Fund DISTRIBUTION (RULE 12B-1) PLAN OF HENNESSY FUNDS TRUST As Adopted and Effective as of [•], 2018 WHEREAS, Hennessy Funds Trust (the “Trust”) is registered with the Securities and Exchange Commission as an open-end management investment company under the Investment C |
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| July 27, 2018 |
Exhibit 17 PROXY TABULATOR P.O. BOX 9112 FARMINGDALE, NY 11735 To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website www.proxyvote.com 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement and have the proxy card below at hand. 2) Call 1-800-690-6903 3) Follow the instructions. To vote by Mail 1) Read |
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| July 27, 2018 |
SECOND AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT Exhibit 13 (f) SECOND AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT THIS SECOND AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT (this “Amendment”) is made effective as of [•], 2018 by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hennessy Advisors, Inc. |
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| July 27, 2018 |
Exhibit 6 (l) SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made and entered into as of [•], 2018, by and between Hennessy Advisors, Inc. |
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| July 27, 2018 |
AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES Exhibit 1 (f) AMENDED AND RESTATED WRITTEN INSTRUMENT DESIGNATING AND ESTABLISHING SERIES AND CLASSES This Amended and Restated Written Instrument Designating and Establishing Series and Classes is effective as of [•], 2018 (this “Amendment”). |
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| July 27, 2018 |
DISTRIBUTION (RULE 12B-1) PLAN HENNESSY FUNDS TRUST As Adopted and Effective as of [•], 2018 EX-99.10J 5 hftbpcf-ex10j.htm FORM OF DISTRIBUTION (RULE 12B-1) - HENNESSY BP ENERGY FUND Exhibit 10 (j) Hennessy BP Energy Fund DISTRIBUTION (RULE 12B-1) PLAN OF HENNESSY FUNDS TRUST As Adopted and Effective as of [•], 2018 WHEREAS, Hennessy Funds Trust (the “Trust”) is registered with the Securities and Exchange Commission as an open-end management investment company under the Investment Company |
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| July 27, 2018 |
EX-99.12 9 hftbpcf-ex12.htm FORM OF OPINION OF FOLEY & LARDNER Exhibit 12 [●], 2018 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414.271.2400 TEL 414.297.4900 FAX foley.com CLIENT/MATTER NUMBER 082961-0143 Hennessy Funds Trust 7250 Redwood Blvd. Suite 200 Novato, California 94945 Professionally Managed Portfolios c/o U.S. Bancorp Fund Services, LLC 2020 E. Financial Way, Sui |
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| July 27, 2018 |
As filed with the SEC on July 27, 2018 Registration No. 333-[•] U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 / / Pre-Effective Amendment No. / / Post-Effective Amendment No. HENNESSY FUNDS TRUST (Exact Name of Registrant as Specified in Charter) 7250 Redwood Blvd., Suite 200, Novato, CA 94945 (Address of Registrant |
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| July 27, 2018 |
Exhibit 6 (f) INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of [•], 2018, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hennessy Advisors, Inc. |
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| July 27, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N-14 of Hennessy Funds Trust and to the use of our report dated January 29, 2018 on the financial statements and financial highlights of BP Capital TwinLine Energy Fund and BP Capital TwinLine MLP Fund, each a series of Professionally Managed Portfolios. |
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| July 27, 2018 |
HENNESSY FUNDS TRUST RULE 18f-3 MULTI-CLASS PLAN As Amended and Restated Effective as of [•], 2018 Exhibit 10 (m) HENNESSY FUNDS TRUST RULE 18f-3 MULTI-CLASS PLAN As Amended and Restated Effective as of [•], 2018 I. |
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| July 27, 2018 |
July 27, 2018 Via EDGAR ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WISCONSIN 53202-5306 414. |
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| July 27, 2018 |
EX-99.13M 11 hftbpcf-ex13m.htm FORM OF EXPENSE LIMITATION AGREEMENT Exhibit 13 (m) EXPENSE LIMITATION AGREEMENT THIS EXPENSE LIMITATION AGREEMENT (the “Agreement”) is made effective as of [•], 2018, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each series of the Trust set forth on Schedule A attached hereto (each, a “Fund” and together, the “Funds”), |
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| March 29, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number (811-07168) Hennessy Funds Trust (Exact name of registrant as specified in charter) 7250 Redwood Blvd., Suite 200 Novato, CA 94945 (Address of principal executive offices) (Zip code) Neil J. Hennessy |
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| March 29, 2018 |
I, Neil J. Hennessy, certify that: CERTIFICATION I, Neil J. Hennessy, certify that: 1. I have reviewed this report on Form N-Q of Hennessy Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cover |
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| December 29, 2017 |
Attachment 77.M. Mergers On December 27, 2016, the Board of the Trust approved and declared advisable the reorganization of the Hennessy Large Value Fund (the "Large Value Fund") into the Hennessy Cornerstone Value Fund (the "Value Fund"). The purpose of the reorganization was to combine two funds within Hennessy Funds Trust with similar investment objectives and strategies. The reorganization pro |
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| December 29, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Hennessy Funds Trust 7250 Redwood Blvd. |
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| December 29, 2017 |
EX-99.77K CHNG ACCNT 4 attachment77kkpmgauditrespo.htm EX-99.77K CHNG ACCNT December 29, 2017 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for Hennessy Cornerstone Growth Fund, the Hennessy Cornerstone Mid Cap 30 Fund, the Hennessy Cornerstone Large Growth Fund, the Hennessy Cornerstone Value Fund, the Hennessy Total Retur |
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| December 29, 2017 |
EX-99.77K CHNG ACCNT 3 attachment77kchangesinregis.htm EX-99.77K CHNG ACCNT Attachment 77.K – Change in Registrant’s certifying accountant On September 11, 2017, Hennessy Funds Trust, by action of the Audit Committee of the Board and on behalf of the Hennessy Cornerstone Growth Fund, the Hennessy Cornerstone Mid Cap 30 Fund, the Hennessy Cornerstone Large Growth Fund, the Hennessy Cornerstone Valu |
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| December 26, 2017 |
RAINIER INVESTMENT MANAGEMENT MUTUAL FUNDS Rainier Small/Mid Cap Equity Fund Filer and Investment Company Act File Number: Hennessy Funds Trust (811-07168) Commission File Number of the Related Registration Statement: 333-218702 Filed Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed Pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 Subject Company and Investment Company Act File Number: Rainier Investment Management Mutual Funds (811-08270) RAINIER INVESTMENT MANAGEMENT MUTUAL FUNDS Rainier Small/Mid Cap Equity Fund RAINIER SMALL/MID CAP EQUITY FUND SHAREHOLDERS APPROVE REORGANIZATION December 26, 2017 - Rainier Investment Management, LLC and Hennessy Advisors, Inc. |
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| November 16, 2017 |
RAINIER INVESTMENT MANAGEMENT MUTUAL FUNDS Rainier Small/Mid Cap Equity Fund Filer and Investment Company Act File Number: Hennessy Funds Trust (811-07168) Commission File Number of the Related Registration Statement: 333-218702 Filed Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed Pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 Subject Company and Investment Company Act File Number: Rainier Investment Management Mutual Funds (811-08270 |
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| October 5, 2017 |
Filer and Investment Company Act File Number: Hennessy Funds Trust (811-07168) Commission File Number of the Related Registration Statement: 333-218702 Filed Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed Pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 Subject Company and Investment Company Act File Number: Rainier Investment Management Mutual Funds (811-08270 |
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| October 2, 2017 |
Filer and Investment Company Act File Number: Hennessy Funds Trust (811-07168) Commission File Number of the Related Registration Statement: 333-218702 Filed Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed Pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 Subject Company and Investment Company Act File Number: Rainier Investment Management Mutual Funds (811-08270 |
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| September 29, 2017 |
I, Neil J. Hennessy, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Neil J. Hennessy, certify that: 1. I have reviewed this report on Form N-Q of Hennessy Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, n |
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| September 29, 2017 |
N-Q 1 hennessynq.htm QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number (811-07168) Hennessy Funds Trust (Exact name of registrant as specified in charter) 7250 Redwood Blvd., Suite 200 Novato, CA 94945 (Address |
