false 0001145255 0001145255 2024-02-08 2024-02-08 0001145255 hnna:CommonStockNoParValueCustomMember 2024-02-08 2024-02-08 0001145255 hnna:NotesDue20264875CustomMember 2024-02-08 2024-02-08
 
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 8, 2024
 
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 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
 
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. ☐
 
 
1
 
 
Item 5.07
Submission of Matters to a Vote of Security Holders
 
The Annual Meeting of Hennessy Advisors, Inc. was held on February 8, 2024. At the Annual Meeting, the following directors were elected by the votes indicated for terms expiring at the annual meeting of shareholders to be held in 2025:
 
   
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  
 
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
  
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  
 
2
 
 
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 9, 2024
By:
/s/ Teresa M. Nilsen
Teresa M. Nilsen
President
 
 
3
v3.24.0.1
Document And Entity Information
Feb. 08, 2024
Document Information [Line Items]  
Entity, Registrant Name HENNESSY ADVISORS, INC.
Document, Type 8-K
Document, Period End Date Feb. 08, 2024
Entity, Incorporation, State or Country Code CA
Entity, File Number 001-36423
Entity, Tax Identification Number 68-0176227
Entity, Address, Address Line One 7250 Redwood Blvd., Suite 200
Entity, Address, City or Town Novato
Entity, Address, State or Province CA
Entity, Address, Postal Zip Code 94945
City Area Code 415
Local Phone Number 899-1555
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity, Emerging Growth Company false
Amendment Flag false
Entity, Central Index Key 0001145255
CommonStockNoParValue Custom [Member]  
Document Information [Line Items]  
Title of 12(b) Security Common stock, no par value
Trading Symbol HNNA
Security Exchange Name NASDAQ
NotesDue20264875 Custom [Member]  
Document Information [Line Items]  
Title of 12(b) Security 4.875% Notes due 2026
Trading Symbol HNNAZ
Security Exchange Name NASDAQ
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