UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM
CURRENT REPORT
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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 9, 2023. 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 2024:
| For | Withheld | Broker Non-votes |
||||||||||
| Neil J. Hennessy |
3,863,961 | 158,163 | 1,205,301 | |||||||||
| Teresa M. Nilsen |
3,864,827 | 157,297 | 1,205,301 | |||||||||
| Henry Hansel |
3,844,690 | 177,434 | 1,205,301 | |||||||||
| Brian A. Hennessy |
3,850,041 | 172,083 | 1,205,301 | |||||||||
| Lydia Knight-O’Riordan |
3,864,812 | 157,312 | 1,205,301 | |||||||||
| Kiera Newton |
3,865,237 | 156,887 | 1,205,301 | |||||||||
| Susan W. Pomilia |
3,839,906 | 182,218 | 1,205,301 | |||||||||
| Thomas L. Seavey |
3,844,023 | 178,101 | 1,205,301 | |||||||||
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 non-binding advisory vote on executive compensation |
3,783,215 | 194,047 | 44,862 | 1,205,301 | ||||||||||||
| Ratification of the selection of Marcum LLP as the independent registered public accounting firm for Hennessy Advisors, Inc. for fiscal year 2023 |
5,178,226 | 13,567 | 35,632 | 0 | ||||||||||||
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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 13, 2023 | By: | /s/ Teresa M. Nilsen | ||||
| Teresa M. Nilsen | ||||||
| President | ||||||
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