UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
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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 10, 2022. 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 2023:
| For | Withheld | Broker Non-votes |
||||||||||
| Neil J. Hennessy |
3,856,674 | 110,111 | 983,511 | |||||||||
| Teresa M. Nilsen |
3,858,604 | 108,182 | 983,511 | |||||||||
| Daniel B. Steadman |
3,856,810 | 109,976 | 983,511 | |||||||||
| Henry Hansel |
3,844,658 | 122,128 | 983,511 | |||||||||
| Brian A. Hennessy |
3,834,622 | 132,163 | 983,511 | |||||||||
| Lydia Knight-O’Riordan |
3,863,351 | 103,435 | 983,511 | |||||||||
| Daniel G. Libarle |
3,707,056 | 259,730 | 983,511 | |||||||||
| Rodger Offenbach |
3,708,157 | 258,629 | 983,511 | |||||||||
| Susan W. Pomilia |
3,701,171 | 265,615 | 983,511 | |||||||||
| Thomas L. Seavey |
3,707,159 | 259,627 | 983,511 | |||||||||
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 2022 |
4,911,145 | 34,305 | 7,502 | 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 11, 2022 | By: | /s/ Teresa M. Nilsen | ||||
| Teresa M. Nilsen | ||||||
| President | ||||||
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