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2023 Tax Documents

  • The Hennessy Funds 1099-R forms were mailed on 01/25/2024. (Qualified Plan / IRA redemptions)
  • The Hennessy Funds 1099-Q forms were mailed on 01/18/2024. (Coverdell ESA redemptions)
  • The Hennessy Funds 592-B forms were mailed on  01/11/2024. (State of CA backup withholding)
  • The Hennessy Funds combined 1099-DIV and 1099-B forms were mailed on 02/12/2024.

Contact Hennessy Funds

Questions about our portfolios? Need assistance with your account? Please contact a shareholder services representative:

For Individual Shareholders & Investors

Address

Hennessy Funds
7250 Redwood Boulevard, Suite 200
Novato, CA 94945

For Financial Professionals

Shareholder Servicing Agent

Address

Hennessy Funds
c/o U.S. Bancorp Fund Services, LLC
d/b/a U.S. Bank Global Fund Services
P.O. Box 701
Milwaukee, WI 53201-0701

For overnight/priority deliveries:
615 E. Michigan Street, 3rd Floor
Milwaukee, WI 53202-5207

Phone

  • 800.261.6950 or 414.765.4124

(9am-8pm ET, Monday thru Friday)

Custodian

Address

U.S. Bank N.A.
Custody Operations
1555 North River Center Dr. Ste 302
Milwaukee, WI 53212

Want to learn more about how to invest with Hennessy?

Get in Touch with Hennessy

For your protection, do not include account details in this message. We cannot make changes to accounts via emailed instructions.

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For the Media

To Schedule an Interview:

To schedule an interview with Hennessy Funds' CMS/Portfolio Manager, Neil Hennessy, or any of our Portfolio Managers, please contact our media relations firm, SunStar Strategic. If SunStar cannot be reached, please contact Hennessy Funds directly for urgent requests.

Sunstar Strategic Contact:

Hibre Teklemariam

Hennessy Funds Contact:

Lauri Hammer

To Book an Appearance:

Hennessy offers television interviews directly from our in-house studio, providing the media with immediate access to a number of experienced and well-respected mutual fund managers.

To book an appearance, simply arrange the interview with Hennessy Funds’ media relations firm, SunStar Strategic, and then for technical and transmission details call Reel & Co.

Reel & Co. Contact:

Download a high resolution photo and biography of our media spokespersons:

  • Neil J. Hennessy

    Neil J. Hennessy | Chief Market Strategist and Portfolio Manager

    With over four decades of investment management experience, Neil Hennessy is a nationally recognized and respected asset manager and frequent contributor to the financial media.

  • Ryan C. Kelley

    Ryan C. Kelley | Chief Investment Officer and Portfolio Manager

    Ryan Kelley brings over two decades of experience to his role as Chief Investment Officer and Portfolio Manager.  He is often quoted in the financial media for his market outlook and expertise in both the Natural Gas and Financial Services sectors.

  • David Ellison

    David Ellison | Portfolio Manager

    With over three decades of investment management experience, Dave Ellison is the most tenured mutual fund portfolio manager in the Financial Services sector.

  • L. Joshua Wein, CAIA

    L. Joshua Wein, CAIA | Portfolio Manager

    Josh Wein brings over two decades of experience to his role as Portfolio Manager of the Hennessy Gas Utility, Energy Transition, Midstream, Technology, Cornerstone, and multi-asset funds.

  • David Rainey

    David Rainey | Co-Portfolio Manager

    David Rainey brings over three decades of experience to his role as Portfolio Manager for the Hennessy Focus Fund. He is often quoted regarding his expertise in high active share, concentrated portfolios.

  • Brian Macauley

    Brian Macauley | Co-Portfolio Manager

    Brian Macauley brings nearly two decades of experience to his role as Portfolio Manager for the Hennessy Focus Fund. He is often quoted regarding his expertise in high active share, concentrated portfolios.

  • Ira Rothberg

    Ira Rothberg | Co-Portfolio Manager

    Ira Rothberg brings nearly two decades of experience to his role as Portfolio Manager for the Hennessy Focus Fund. He is often quoted regarding his expertise in high active share, concentrated portfolios.

  • Ben Cook

    Ben Cook | Portfolio Manager

    Ben Cook brings two decades of Energy sector investing experience to his role as Portfolio Manager of the Hennessy Energy Transition and Hennessy Midstream Funds. 

  • Masakazu Takeda

    Masakazu Takeda | Portfolio Manager

    Masa Takeda brings over two decades of Japanese investing expertise to his role as Portfolio Manager of the Hennessy Japan Fund, which he has managed since 2006.
     

  • Mark E. DeVaul

    Mark E. DeVaul | Portfolio Manager

    Mark Devaul brings over two decades of experience to his role as Co-Portfolio Manager of the equity portion of the Hennessy Equity and Income Fund which he has managed since 2011.

  • Gary B. Cloud

    Gary B. Cloud | Portfolio Manager

    Gary Cloud brings over three decades of experience to his role as Co-Portfolio Manager of the fixed income  portion of the Hennessy Equity and Income Fund which he has managed since 2007.

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Contact Us
Hennessy Funds
7250 Redwood Boulevard, Suite 200
 Novato, CA 94945
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The Funds' investment objectives, risks, charges, and expenses must be considered carefully before investing. The prospectus contains this and other important information about the investment company. Please read it carefully before investing. A hard copy of the prospectus can be requested by calling 1-800-966-4354.

Performance data quoted represents past performance; past performance does not guarantee future results. The investment return and principal value of an investment will fluctuate so that an investor's shares, when redeemed, may be worth more or less than their original cost. Current performance of the Fund may be lower or higher than the performance quoted and can be found here. Performance data current to the most recent month end may be obtained from HennessyFunds.com Hennessy Funds Standardized Performance

Neither forward earnings nor earnings growth is a measure of a fund’s future performance.

Mutual fund investing involves risk. Principal loss is possible. Current and future holdings are subject to risk. Small and medium-sized companies may have more limited liquidity and greater price volatility than larger companies. Investments in foreign securities may involve political, economic, and currency risks, greater volatility, and differences in accounting methods. The Focus, Total Return, Balanced, Large Cap Financial, Small Cap Financial, and Midstream Funds are considered non-diversified funds. A non-diversified fund, which may concentrate its assets in fewer individual holdings than a diversified fund, is more exposed to individual stock volatility than a diversified fund. A fund that concentrates its investments within one country, one sector, or a small group of industries, such as Japan, Technology, Financials, or Energy, may be subject to a higher degree of market risk. Investments in debt securities typically decrease in value when interest rates rise. The risk is greater for longer-term debt securities. Investments in lower-rated and non-rated securities present a greater risk of loss to principal and interest than higher-rated securities. Mortgage- and asset-backed securities are subject to prepayment risk, which is the risk that the borrower will prepay some or all of the principal owed to the issuer. Funds that invest in pooled investment vehicles (including ETFs) may experience higher fees. The formula-based strategy employed by some Funds may cause those Funds to buy or sell securities at times when it may not be advantageous.

ETFs are subject to additional risks that do not apply to conventional mutual funds, including the risks that the market price of an ETF’s shares may trade at a premium or discount to its net asset value, an active secondary trading market may not develop or be maintained, or trading may be halted by the exchange in which they trade, which may impact a Fund’s ability to sell its shares. Shares of any ETF are bought and sold at market price (not NAV) and are not individually redeemed from the Fund. Brokerage commissions will reduce returns.

ESG investing risk is the risk stemming from the Environmental, Social, and Governance factors that the Fund applies in selecting securities. The Fund intends to invest in companies with measurable high ESG ratings relative to their sector peers, and screen out particular companies that do not meet its ESG criteria. This may affect the Fund’s exposure to certain companies or industries and cause the Fund to forego certain investment opportunities. The Fund’s returns may be lower than other funds that do not seek to invest in companies based on ESG ratings. The Fund seeks to pursue its investment objective by using proprietary models that incorporate quantitative analysis. There is no guarantee that the Portfolio Managers’ use of these models will result in effective investment decisions for the Fund. From time to time, the Fund may concentrate its investments in one or more industry sectors. The Fund is currently substantially invested in the Consumer Discretionary and Health Care sectors and its performance is therefore tied closely to, and affected by, developments in these industries.

Master Limited Partnerships (MLPs) and MLP investments have unique characteristics. A Fund does not receive the same tax benefits as a direct investment in an MLP.

The prices of MLP units may fluctuate abruptly and trading volume may be low, making it difficult for a Fund to sell its units at a favorable price. MLP general partners have the power to take actions that adversely affect the interests of unit holders. Most MLPs do not pay U.S. federal income tax at the partnership level, but an adverse change in tax laws could result in MLPs being treated as corporations for federal income tax purposes, which could reduce or eliminate distributions paid by MLPs to the Fund. If the Energy Transition Fund’s MLP investments exceed 25% of its assets, it may not qualify for treatment as a regulated investment company (“RIC”) under the Internal Revenue Code (“Code”), and the Fund would be taxed as an ordinary corporation, which could substantially reduce its net assets and its distributions to shareholders. The Midstream Fund is treated as a regular corporation, or “C” corporation, for U.S. federal income tax purposes, and therefore, is subject to U.S. federal income tax on its taxable income at the graduated rates applicable to corporations (currently a maximum rate of 21%) as well as state and local income taxes. The Midstream Fund will not benefit from current favorable federal income tax rates on long-term capital gains, and Fund income and losses will not be passed on to shareholders. The Midstream Fund accrues deferred income taxes for future tax liabilities associated with the portion of MLP distributions considered to be a tax-deferred return of capital and for any net operating gains as well as capital appreciation of its investments. This deferred tax liability is reflected in the daily NAV, and as a result, the Fund’s after-tax performance could differ significantly from the underlying assets even if the pre-tax performance is closely tracked.

Glossary of Terms contains definitions and additional information.

To view the top 10 holdings of a Fund, please click the Fund name: Cornerstone Growth, Focus, Cornerstone Mid Cap 30, Cornerstone Large Growth, Cornerstone Value, Total Return, Equity and Income, Balanced, Energy Transition, Midstream, Gas Utility, Japan, Japan Small Cap, Large Cap Financial, Small Cap Financial, Technology. Fund holdings are subject to change and not recommendations to buy or sell any security.

Opinions expressed are subject to change at any time, are not guaranteed, and should not be considered investment advice.

News and Media Page:

To view the Morningstar ratings for the Japan Fund, please click here. (Media - TD Ameritrade)

To view the Morningstar ratings for the Focus Fund, please click here. (Media - CNBC-B. Macualey).

1 USD = 105.36 Yen as of 07/27/2020 (Media - Ticker - M. Takeda)

Tom White is a TD Ameritrade Network contributor and is not affiliated with the Hennessy Funds. Content is not investment advice, or a recommendation of any security, strategy, or account type. Options involve risks and are not suitable for all investors as the special risks inherent to options trading may expose investors to potentially rapid and substantial losses.(Media - TD Ameritrade-Rothberg)

To view the Morningstar ratings, please click here.

The Hennessy Funds are offered only to United States residents, and information on this web site is intended only for such persons. Nothing on this web site should be considered a solicitation to buy or an offer to sell shares of any Hennessy Fund in any jurisdiction where the offer or solicitation would be unlawful under the securities laws of such jurisdiction.

Quasar Distributors, LLC, Distributor.

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