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3 1 dkm90.txt FORM 3 FOR DANIEL G. LIBARLE ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0104 Expires: January 31, 2005 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ________________________________________________________________________________ 1. Name and Address of Reporting Person* Libarle Daniel G. -------------------------------------------------------------------------------- (Last) (First) (Middle) 128 Liberty Street -------------------------------------------------------------------------------- (Street) Petaluma CA 94952 -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) June 17, 2002* *anticipated effective date of Hennessy Advisors, Inc. Form 8-A ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol Hennessy Advisors, Inc. ________________________________________________________________________________ 5. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) _______________________ ________________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form Filed by One Reporting Person [_] Form Filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================

* If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Form 3-07/98) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================

Explanation of Responses: /s/ Linda Y. Kelso June 13, 2002 ----------------------------------------- ----------------------- Linda Y. Kelso, as attorney-in-fact for Daniel G. Libarle ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. EXHIBIT A POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned, whose signature appears below, constitutes and appoints Neil J. Hennessy, Teresa M. Nilsen and Linda Y. Kelso, and each or either of them, as such person's true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for such person in his/her name, place and stead, in any and all capacities, to sign the undersigned's Form 3 and any and all Forms 4 or 5 (and any amendments to any of the foregoing) relating to the securities of Hennessy Advisors, Inc. required to be filed with the Securities and Exchange Commission by the undersigned for the period beginning from the date hereof through December 31, 2003, as such forms may be promulgated from time to time under Section 16 of the Securities Exchange Act of 1934, as amended, and to file the same with the Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he/she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents or his or her substitute may lawfully do or cause to be done by virtue hereof. IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney as of the 24th day of January, 2002. /s/ Daniel G. Libarle --------------------------------------- Daniel G. Libarle