<SEC-DOCUMENT>0000897069-21-000109.txt : 20210222
<SEC-HEADER>0000897069-21-000109.hdr.sgml : 20210222
<ACCEPTANCE-DATETIME>20210222160712
ACCESSION NUMBER:		0000897069-21-000109
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210222
ITEM INFORMATION:		Submission of Matters to a Vote of Security Holders
FILED AS OF DATE:		20210222
DATE AS OF CHANGE:		20210222

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:		21660281

	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>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>cmw275.htm
<TEXT>
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    <div style="text-align: center; font-weight: bold;">UNITED STATES</div>
    <div style="text-align: center; margin-bottom: 12pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
    <div style="text-align: center; margin-bottom: 12pt; font-weight: bold;">Washington, DC&#160; 20549</div>
    <div style="text-align: center; margin-bottom: 12pt; font-weight: bold;">FORM 8-K</div>
    <div style="text-align: center; margin-bottom: 12pt;">CURRENT REPORT</div>
    <div style="text-align: center; margin-bottom: 12pt;">Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</div>
    <div style="text-align: center; margin-bottom: 12pt;">Date of Report (Date of earliest event reported):<font id="TRGRRTFtoHTMLTab" style="display: inline-block; text-indent: 0px; font-size: 1px; width: 288pt">&#160;</font><font style="font-weight: bold;">February 11, 2021</font></div>
    <div style="text-align: center; margin-bottom: 12pt; font-weight: bold;">HENNESSY ADVISORS, INC.</div>
    <div style="text-align: center; margin-bottom: 12pt;">(Exact name of registrant as specified in its charter)</div>
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        <tr>
          <td style="width: 43.64%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;"><u>California</u></div>
          </td>
          <td style="width: 24.44%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;"><u>001-36423</u></div>
          </td>
          <td style="width: 31.92%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;"><u>68-0176227</u></div>
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        <tr>
          <td style="width: 43.64%; vertical-align: top;">
            <div style="text-align: center;">(State or other jurisdiction<br>
              of incorporation)</div>
          </td>
          <td style="width: 24.44%; vertical-align: top;">
            <div style="text-align: center;">(Commission<br>
              File Number)</div>
          </td>
          <td style="width: 31.92%; vertical-align: top;">
            <div style="text-align: center;">(IRS Employer<br>
              Identification No.)</div>
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        </tr>
        <tr>
          <td style="width: 43.64%; vertical-align: top;">&#160;</td>
          <td style="width: 24.44%; vertical-align: top;">&#160;</td>
          <td style="width: 31.92%; vertical-align: top;">&#160;</td>
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        <tr>
          <td style="width: 68.08%; vertical-align: bottom;" colspan="2">
            <div style="text-align: center; font-weight: bold;">7250 Redwood Blvd., Suite 200</div>
            <div style="text-align: center;"><font style="font-weight: bold;">&#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;&#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;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; <u>Novato, California</u></font><font id="TRGRRTFtoHTMLTab" style="display: inline-block; text-indent: 0px; font-size: 1px; width: 171pt">&#160;</font></div>
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            <div style="text-align: center; font-weight: bold;"><u>94945</u></div>
          </td>
        </tr>
        <tr>
          <td style="width: 68.08%; vertical-align: top;" colspan="2">
            <div style="text-align: center;">(Address of principal executive offices)</div>
          </td>
          <td style="width: 31.92%; vertical-align: top;">
            <div style="text-align: center;">(Zip code)</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="text-align: center; margin-bottom: 12pt;">Registrant&#8217;s telephone number including area code:&#160; &#160; &#160; &#160; &#160; &#160; &#160; &#160; &#160;&#160; <font style="font-weight: bold;"><u>(415) 899-1555</u></font></div>
    <div style="text-align: center; font-weight: bold;"><u>Not Applicable</u></div>
    <div style="text-align: center; margin-bottom: 12pt;">(Former name or former address, if changed since last report)</div>
    <div style="text-align: justify; text-indent: 36pt; margin-bottom: 12pt;">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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          <td style="width: 36pt;"><br>
          </td>
          <td style="width: 27pt; vertical-align: top; align: right; font-family: 'Wingdings 2', serif;"><br>
          </td>
          <td style="width: auto; vertical-align: top;">
            <div>&#9744;&#160;&#160;&#160;&#160;&#160; Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>
          </td>
        </tr>

    </table>
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          <td style="width: 36pt;"><br>
          </td>
          <td style="width: 27pt; vertical-align: top; align: right; font-family: 'Wingdings 2', serif;"><br>
          </td>
          <td style="width: auto; vertical-align: top;">
            <div>&#9744;&#160;&#160;&#160;&#160;&#160; Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a&#8209;12)</div>
          </td>
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          </td>
          <td style="width: 27pt; vertical-align: top; align: right; font-family: 'Wingdings 2', serif;"><br>
          </td>
          <td style="width: auto; vertical-align: top;">
            <div>&#9744;&#160;&#160;&#160;&#160;&#160; Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>
          </td>
        </tr>

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          <td style="width: 36pt;"><br>
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          <td style="width: 27pt; vertical-align: top; align: right; font-family: 'Wingdings 2', serif;"><br>
          </td>
          <td style="width: auto; vertical-align: top;">
            <div>&#9744;&#160;&#160;&#160;&#160;&#160; Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</div>
          </td>
        </tr>

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    <div style="text-align: justify; text-indent: 36pt; margin-bottom: 12pt;">Securities registered pursuant to Section 12(b) of the Act:</div>
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            <div style="text-align: center;">Title of each class</div>
          </td>
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            <div style="text-align: center;">Trading symbol</div>
          </td>
          <td style="width: 37.14%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;">Name of each exchange on which registered</div>
          </td>
        </tr>
        <tr>
          <td style="width: 36.24%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0); border-left: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center; font-weight: bold;">Common stock, no par value</div>
          </td>
          <td style="width: 26.62%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0); border-left: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center; font-weight: bold;">HNNA</div>
          </td>
          <td style="width: 37.14%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0); border-left: 2px solid rgb(0, 0, 0); border-right: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center; font-weight: bold;">The NASDAQ Stock Market LLC</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="text-indent: 36pt; margin-bottom: 12pt;">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="text-indent: 36pt; margin-bottom: 12pt;">Emerging growth company&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; &#9744;</div>
    <div style="text-indent: 36pt; margin-bottom: 12pt;">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. &#9744;</div>
    <div style="text-align: justify;">
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    <div style="text-align: justify;"><font id="TRGRRTFtoHTMLTab" style="display: inline-block; text-indent: 0px; font-size: 1px; width: 540pt">&#160;</font><br>
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    <div style="text-align: justify; margin-bottom: 12pt;"><font style="font-weight: bold;">Item 5.07</font><font id="TRGRRTFtoHTMLTab" style="display: inline-block; text-indent: 0px; font-size: 1px; width: 72pt">&#160;</font><font style="font-weight: bold;">Submission of Matters to a Vote of Security Holders</font></div>
    <div style="text-indent: 36pt; margin-bottom: 12pt;">The Annual Meeting of Hennessy Advisors, Inc. was held on February 11, 2021. At the Annual Meeting, the following
      directors were elected for terms expiring at the annual meeting of shareholders to be held in 2022 by the votes indicated:</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="text-align: center; font-weight: bold;">For</div>
          </td>
          <td style="width: 3.16%; vertical-align: bottom;">&#160;</td>
          <td style="width: 17.91%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center; font-weight: bold;">Withheld</div>
          </td>
          <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="text-align: center; font-weight: bold;">Broker Non&#8209;votes</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top;">
            <div>Neil J. Hennessy</div>
          </td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">4,444,284</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">79,351</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top; background-color: #F2F2F2;">
            <div>Teresa M. Nilsen</div>
          </td>
          <td style="width: 17.91%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">4,444,780</div>
          </td>
          <td style="width: 3.16%; vertical-align: top; background-color: #F2F2F2;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">78,855</div>
          </td>
          <td style="width: 3.16%; vertical-align: top; background-color: #F2F2F2;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top;">
            <div>Daniel B. Steadman</div>
          </td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">4,444,042</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">79,593</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top; background-color: #F2F2F2;">
            <div>Henry Hansel</div>
          </td>
          <td style="width: 17.91%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">4,446,470</div>
          </td>
          <td style="width: 3.16%; vertical-align: top; background-color: #F2F2F2;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">77,165</div>
          </td>
          <td style="width: 3.16%; vertical-align: top; background-color: #F2F2F2;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top;">
            <div>Brian A. Hennessy</div>
          </td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">4,407,128</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">116,507</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top; background-color: #F2F2F2;">
            <div>Daniel G. Libarle</div>
          </td>
          <td style="width: 17.91%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">4,392,459</div>
          </td>
          <td style="width: 3.16%; vertical-align: top; background-color: #F2F2F2;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">131,176</div>
          </td>
          <td style="width: 3.16%; vertical-align: top; background-color: #F2F2F2;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top;">
            <div>Rodger Offenbach</div>
          </td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">4,391,496</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">132,139</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top; background-color: #F2F2F2;">
            <div>Susan W. Pomilia</div>
          </td>
          <td style="width: 17.91%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">4,431,460</div>
          </td>
          <td style="width: 3.16%; vertical-align: top; background-color: #F2F2F2;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">92,175</div>
          </td>
          <td style="width: 3.16%; vertical-align: top; background-color: #F2F2F2;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top; background-color: #F2F2F2;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>
        <tr>
          <td style="width: 39.19%; vertical-align: top;">
            <div>Thomas L. Seavey</div>
          </td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">4,440,425</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 17.91%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">83,210</div>
          </td>
          <td style="width: 3.16%; vertical-align: top;">&#160;</td>
          <td style="width: 18.68%; vertical-align: top;">
            <div style="text-align: right; margin-right: 9pt;">1,065,691</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="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>
    <div style="text-indent: 36pt;"> <br>
    </div>
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        <tr>
          <td style="width: 46.69%; vertical-align: top;">&#160;</td>
          <td style="width: 11.29%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center; font-weight: bold;">For</div>
          </td>
          <td style="width: 2.39%; vertical-align: bottom;">&#160;</td>
          <td style="width: 11.29%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center; font-weight: bold;">Against</div>
          </td>
          <td style="width: 2.35%; vertical-align: bottom;">&#160;</td>
          <td style="width: 11.99%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center; font-weight: bold;">Abstained</div>
          </td>
          <td style="width: 2.39%; vertical-align: bottom;">&#160;</td>
          <td style="width: 11.6%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center; font-weight: bold;">Broker Non&#8209;votes</div>
          </td>
        </tr>
        <tr>
          <td style="width: 46.69%; vertical-align: top;">
            <div style="text-indent: -9.35pt; margin-left: 9.35pt;">Ratification of the selection of Marcum LLP as the independent registered public accounting firm for
              Hennessy Advisors, Inc. for fiscal year 2021</div>
          </td>
          <td style="width: 11.29%; vertical-align: middle;">
            <div style="text-align: right;">5,423,500</div>
          </td>
          <td style="width: 2.39%; vertical-align: middle;">&#160;</td>
          <td style="width: 11.29%; vertical-align: middle;">
            <div style="text-align: right;">12,181</div>
          </td>
          <td style="width: 2.35%; vertical-align: middle;">&#160;</td>
          <td style="width: 11.99%; vertical-align: middle;">
            <div style="text-align: right;">153,645</div>
          </td>
          <td style="width: 2.39%; vertical-align: middle;">&#160;</td>
          <td style="width: 11.6%; vertical-align: middle;">
            <div style="text-align: right;">0</div>
          </td>
        </tr>

    </table>
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    </div>
    <div style="margin-bottom: 12pt;"><br>
    </div>
    <div style="text-align: center; margin-bottom: 12pt; font-weight: bold;">SIGNATURES</div>
    <div style="text-indent: 36pt; margin-bottom: 12pt;">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>
    <div style="text-align: justify; text-indent: 216pt; font-weight: bold;">HENNESSY ADVISORS, INC.</div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div style="text-align: justify;">February 22, 2021&#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;&#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;&#160;&#160;&#160;&#160; By:&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; <u>/s/ Teresa M. Nilsen</u></div>
    <div style="margin-left: 234pt;">Teresa M. Nilsen<br>
      President</div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
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