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)
|
Title of each class
|
Trading symbol
|
Name of each exchange on which registered
|
Common stock, no par value
|
HNNA
|
The Nasdaq Stock Market LLC
|
4.875% Notes due 2026
|
HNNAZ
|
The Nasdaq Stock Market LLC
|
Item 5.07
|
Submission of Matters to a Vote of Security Holders
|
For
|
Withheld
|
Broker
Non‑votes |
||||||||||
Neil J. Hennessy
|
4,099,098 | 450,109 | 1,171,047 | |||||||||
Teresa M. Nilsen
|
4,100,403 | 448,804 | 1,171,047 | |||||||||
Henry Hansel
|
4,071,846 | 477,361 | 1,171,047 | |||||||||
Brian A. Hennessy
|
4,029,862 | 519,345 | 1,171,047 | |||||||||
Lydia Knight-O’Riordan
|
4,093,373 | 455,834 | 1,171,047 | |||||||||
Kiera Newton
|
3,886,137 | 663,070 | 1,171,047 | |||||||||
Susan W. Pomilia
|
3,872,714 | 676,493 | 1,171,047 | |||||||||
Thomas L. Seavey
|
3,863,463 | 685,744 | 1,171,047 |
For
|
Against
|
Abstained
|
Broker
Non‑votes |
|||||||||||||
Approval of the Hennessy Advisors, Inc. 2024 Omnibus Incentive Plan
|
3,547,031 | 983,318 | 18,859 | 1,171,047 | ||||||||||||
Ratification of the selection of Marcum LLP as the independent registered public accounting firm for Hennessy Advisors, Inc. for fiscal year 2024
|
5,656,134 | 50,693 | 13,428 | 0 |
HENNESSY ADVISORS, INC.
|
|||
February 9, 2024
|
By:
|
/s/ Teresa M. Nilsen
|
|
Teresa M. Nilsen
|
|||
President
|