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HNNA Hennessy Advisors

Filed: 22 Feb 21, 4:07pm


 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC  20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): February 11, 2021
HENNESSY ADVISORS, INC.
(Exact name of registrant as specified in its charter)
California
001-36423
68-0176227
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
   
7250 Redwood Blvd., Suite 200
                                                                     Novato, California 
94945
(Address of principal executive offices)(Zip code)

Registrant’s telephone number including area code:                   (415) 899-1555
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


☐      Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


☐      Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a‑12)


☐      Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


☐      Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading symbolName of each exchange on which registered
Common stock, no par valueHNNAThe NASDAQ Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company                ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐


 

Item 5.07 Submission of Matters to a Vote of Security Holders
The Annual Meeting of Hennessy Advisors, Inc. was held on February 11, 2021. At the Annual Meeting, the following directors were elected for terms expiring at the annual meeting of shareholders to be held in 2022 by the votes indicated:
 For Withheld Broker Non‑votes
Neil J. Hennessy
4,444,284 79,351 1,065,691
Teresa M. Nilsen
4,444,780 78,855 1,065,691
Daniel B. Steadman
4,444,042 79,593 1,065,691
Henry Hansel
4,446,470 77,165 1,065,691
Brian A. Hennessy
4,407,128 116,507 1,065,691
Daniel G. Libarle
4,392,459 131,176 1,065,691
Rodger Offenbach
4,391,496 132,139 1,065,691
Susan W. Pomilia
4,431,460 92,175 1,065,691
Thomas L. Seavey
4,440,425 83,210 1,065,691

The following reflects the voting results for matters other than the election of directors brought for vote at the Annual Meeting:

 For Against Abstained Broker Non‑votes
Ratification of the selection of Marcum LLP as the independent registered public accounting firm for Hennessy Advisors, Inc. for fiscal year 20215,423,500 12,181 153,645 0



SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
HENNESSY ADVISORS, INC.



February 22, 2021                                                         By:          /s/ Teresa M. Nilsen
Teresa M. Nilsen
President