<SEC-DOCUMENT>0000897069-18-000060.txt : 20180130
<SEC-HEADER>0000897069-18-000060.hdr.sgml : 20180130
<ACCEPTANCE-DATETIME>20180130163133
ACCESSION NUMBER:		0000897069-18-000060
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20180125
ITEM INFORMATION:		Submission of Matters to a Vote of Security Holders
FILED AS OF DATE:		20180130
DATE AS OF CHANGE:		20180130

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			HENNESSY ADVISORS INC
		CENTRAL INDEX KEY:			0001145255
		STANDARD INDUSTRIAL CLASSIFICATION:	INVESTMENT ADVICE [6282]
		IRS NUMBER:				680176227
		FISCAL YEAR END:			0930

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36423
		FILM NUMBER:		18559454

	BUSINESS ADDRESS:	
		STREET 1:		7250 REDWOOD BLVD.
		STREET 2:		SUITE 200
		CITY:			NOVATO
		STATE:			CA
		ZIP:			94945
		BUSINESS PHONE:		415-899-1555

	MAIL ADDRESS:	
		STREET 1:		7250 REDWOOD BLVD.
		STREET 2:		SUITE 200
		CITY:			NOVATO
		STATE:			CA
		ZIP:			94945
</SEC-HEADER>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">UNITED STATES</div>

<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">SECURITIES AND EXCHANGE COMMISSION</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">Washington, DC&#160; 20549</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">FORM 8-K</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">CURRENT REPORT</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</div>

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<div style="TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt"><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif">Date of Report (Date of earliest event reported):</font><font id="TRGRRTFtoHTMLTab" style="FONT-SIZE: 5.05pt">&#160;&#160;&#160;&#160; </font><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold">January 25, 2018</font></div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">HENNESSY ADVISORS, INC.</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">(Exact name of registrant as specified in its charter)</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt"><u>California</u></div>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">(State or other jurisdiction<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif"><br>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">(Commission<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif"><br>
</font> File Number)</div>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">(IRS Employer<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif"><br>
</font> Identification No.)</div>
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<tr>
<td style="WIDTH: 43.65%; VERTICAL-ALIGN: top">&#160;</td>
<td style="WIDTH: 24.44%; VERTICAL-ALIGN: top">&#160;</td>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; COLOR: #000000; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">7250 Redwood Blvd., Suite 200</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt"><u>94945</u></div>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">(Address of principal executive offices)</div>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">(Zip Code)</div>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">Registrant&#8217;s telephone number including area code:&#160;&#160;&#160;&#160;&#160;&#160; <font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold"><u>(415) 899-1555</u></font></div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt"><u>Not Applicable</u></div>

<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt">(Former name or former address, if changed since last report)</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt">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:</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a&#8209;12)</div>
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<div style="LINE-HEIGHT: 11.4pt">&#160;</div>

<div style="TEXT-ALIGN: left; LINE-HEIGHT: 11.4pt">
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<td style="FONT-SIZE: 10pt; FONT-FAMILY: 'Wingdings 2', serif; WIDTH: 27pt; VERTICAL-ALIGN: top; align: right">&#163;</td>
<td style="WIDTH: auto; VERTICAL-ALIGN: top; TEXT-ALIGN: left">
<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>
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<div style="LINE-HEIGHT: 11.4pt">&#160;</div>

<div style="TEXT-ALIGN: left; LINE-HEIGHT: 11.4pt">
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<td style="FONT-SIZE: 10pt; FONT-FAMILY: 'Wingdings 2', serif; WIDTH: 27pt; VERTICAL-ALIGN: top; align: right">&#163;</td>
<td style="WIDTH: auto; VERTICAL-ALIGN: top; TEXT-ALIGN: left">
<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</div>
</td>
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<div style="LINE-HEIGHT: 11.4pt">&#160;</div>

<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt">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 &#167;230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR &#167;240.12b-2).</div>

<div style="LINE-HEIGHT: 11.4pt">&#160;</div>

<div style="TEXT-ALIGN: left; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt"><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif">Emerging growth company</font><font id="TRGRRTFtoHTMLTab" style="FONT-SIZE: 5pt">&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'MS Mincho', '&#8218;l&#8218;r &#8211;&#190;&#8217;&#169;', monospace">&#9744;</font></div>

<div style="LINE-HEIGHT: 11.4pt">&#160;</div>

<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt">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. <font style="FONT-SIZE: 10pt; FONT-FAMILY: 'MS Mincho', '&#8218;l&#8218;r &#8211;&#190;&#8217;&#169;', monospace">&#9744;</font></div>

<div style="LINE-HEIGHT: 11.4pt">&#160;</div>

<div style="LINE-HEIGHT: 12.55pt"><br style="LINE-HEIGHT: 12.55pt">
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<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 12.55pt"><font style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold">Item 5.07</font><font id="TRGRRTFtoHTMLTab" style="FONT-SIZE: 5.14pt">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold">Submission of Matters to a Vote of Security Holders</font></div>

<div style="LINE-HEIGHT: 12.55pt">&#160;</div>

<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt; TEXT-INDENT: 36pt">The Annual Meeting of Hennessy Advisors, Inc. was held on January&#160;25, 2018.&#160; At the Annual Meeting, the following directors were elected for terms expiring at the annual meeting of shareholders to be held in 2019 by the votes indicated:</div>

<div style="LINE-HEIGHT: 12.55pt">&#160;</div>

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<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: bottom; BORDER-BOTTOM: #000000 2px solid">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">For</div>
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<td style="WIDTH: 17.91%; VERTICAL-ALIGN: bottom; BORDER-BOTTOM: #000000 2px solid">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">Withheld</div>
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<td style="WIDTH: 3.16%; VERTICAL-ALIGN: bottom">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: bottom; BORDER-BOTTOM: #000000 2px solid">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">Broker Nonvotes</div>
</td>
</tr>

<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top">&#160;</td>
<td style="BORDER-TOP: #000000 2px solid; WIDTH: 17.91%; VERTICAL-ALIGN: top">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top">&#160;</td>
<td style="BORDER-TOP: #000000 2px solid; WIDTH: 17.91%; VERTICAL-ALIGN: top">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top">&#160;</td>
<td style="BORDER-TOP: #000000 2px solid; WIDTH: 18.68%; VERTICAL-ALIGN: top">&#160;</td>
</tr>

<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Neil J. Hennessy</div>
</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">4,958,553</div>
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<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">81,731</div>
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<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">2,074,500</div>
</td>
</tr>

<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
</tr>

<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Teresa M. Nilsen</div>
</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">4,959,131</div>
</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">81,153</div>
</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">2,074,500</div>
</td>
</tr>

<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
</tr>

<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Daniel B. Steadman</div>
</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">4,949,869</div>
</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">90,415</div>
</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">2,074,500</div>
</td>
</tr>

<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
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<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Henry Hansel</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">80,371</div>
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<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Brian A. Hennessy</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">86,277</div>
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<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">2,074,500</div>
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<tr>
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<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Daniel G. Libarle</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">4,731,279</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">309,005</div>
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<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">2,074,500</div>
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<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Rodger Offenbach</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">4,731,279</div>
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<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">309,005</div>
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<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">2,074,500</div>
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<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Susan W. Pomilia</div>
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<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">4,725,807</div>
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<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">314,477</div>
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<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">2,074,500</div>
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<tr>
<td style="WIDTH: 39.19%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
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<tr>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt">Thomas L. Seavey</div>
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<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">4,722,130</div>
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<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 17.91%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">318,154</div>
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<td style="WIDTH: 3.16%; VERTICAL-ALIGN: top; TEXT-ALIGN: center">&#160;</td>
<td style="WIDTH: 18.68%; VERTICAL-ALIGN: top">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt; MARGIN-RIGHT: 9pt">2,074,500</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt; TEXT-INDENT: 36pt">The following reflects the voting results for matters other than the election of directors brought for vote at the Annual Meeting:</div>

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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">For</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">Against</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">Abstained</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">Broker Nonvotes</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; MARGIN-LEFT: 9pt; LINE-HEIGHT: 12.55pt; TEXT-INDENT: -9pt">Ratification of the selection of Marcum LLP as the independent registered public accounting firm for Hennessy Advisors, Inc. for fiscal year 2018</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">6,974,363</div>
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<td style="BORDER-TOP: #000000 2px solid; WIDTH: 12.27%; VERTICAL-ALIGN: middle">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">3,113</div>
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<td style="BORDER-TOP: #000000 2px solid; WIDTH: 12.27%; VERTICAL-ALIGN: middle">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">137,308</div>
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<td style="BORDER-TOP: #000000 2px solid; WIDTH: 12.27%; VERTICAL-ALIGN: middle">
<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">0</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: center; LINE-HEIGHT: 12.55pt">SIGNATURES</div>

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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; LINE-HEIGHT: 12.55pt; TEXT-INDENT: 36pt">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.</div>

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<div style="LINE-HEIGHT: 12.55pt">&#160;</div>

<div style="LINE-HEIGHT: 12.55pt">&#160;</div>

<div style="LINE-HEIGHT: 12.55pt">&#160;</div>

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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: justify; LINE-HEIGHT: 12.55pt">January<font style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; COLOR: #ff0000">&#160;</font>30, 2018</div>
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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; FONT-WEIGHT: bold; TEXT-ALIGN: justify; LINE-HEIGHT: 12.55pt">HENNESSY ADVISORS, INC.</div>

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<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: justify; LINE-HEIGHT: 12.55pt">By: <font style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif"><u>/s/ Neil J. Hennessy&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; </u></font></div>

<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; MARGIN-LEFT: 21.6pt; LINE-HEIGHT: 12.55pt">Neil J. Hennessy</div>

<div style="FONT-SIZE: 11pt; FONT-FAMILY: 'Times New Roman', serif; TEXT-ALIGN: left; MARGIN-LEFT: 21.6pt; LINE-HEIGHT: 12.55pt">Chief Executive Officer</div>

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