# EDGAR Filing Document

**Accession Number:** 0001145255
**File Stem:** 0001193125-23-035840
**Filing Date:** 2023-2
**Character Count:** 5289
**Document Hash:** a09e05d956c2e57300177f4e9721d6bc
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-035840.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001193125-23-035840

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230209

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**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:** 23618683

**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

?xml version="1.0" encoding="utf-8" ? Form 8-K

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, DC 20549

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### FORM 8-K

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#### 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 9, 2023

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## HENNESSY ADVISORS, INC.

#### (Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **California** | **001-36423** | **68-0176227** |
| **(State or other jurisdiction<br>of incorporation)** | **(Commission<br>File Number)** | **(IRS Employer<br>Identification No.)** |

---

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| | |
|:---|:---|
| **7250 Redwood Blvd., Suite 200**<br> **Novato, California** | **94945** |
| **(Address of principal executive offices)** | **(Zip code)** |

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#### Registrant's telephone number including area code: (415) 899-1555

#### Not Applicable

#### (Former name or former address, if changed since last report)

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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:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading**<br> **symbol** | **Name of each exchange**<br> **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 |

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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. ☐

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| | |
|:---|:---|
| **Item 5.07** | **Submission of Matters to a Vote of Security Holders**  |

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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:

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| | | | |
|:---|:---|:---|:---|
|  | **For** | **Withheld** | **Broker<br>Non-votes** |
|  Neil J. Hennessy | 3863961 | 158163 | 1205301 |
|  Teresa M. Nilsen | 3864827 | 157297 | 1205301 |
|  Henry Hansel | 3844690 | 177434 | 1205301 |
|  Brian A. Hennessy | 3850041 | 172083 | 1205301 |
|  Lydia Knight-O'Riordan | 3864812 | 157312 | 1205301 |
|  Kiera Newton | 3865237 | 156887 | 1205301 |
|  Susan W. Pomilia | 3839906 | 182218 | 1205301 |
|  Thomas L. Seavey | 3844023 | 178101 | 1205301 |

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The following reflects the voting results for matters other than the election of directors brought for vote at the Annual Meeting:

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| | | | | |
|:---|:---|:---|:---|:---|
|  | **For** | **Against** | **Abstained** | **Broker<br>Non-votes** |
|  Approval of the non-binding advisory vote on executive compensation | 3783215 | 194047 | 44862 | 1205301 |
|  Ratification of the selection of Marcum LLP as the independent registered public accounting firm for Hennessy Advisors, Inc. for fiscal year 2023 | 5178226 | 13567 | 35632 | 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.

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| | | |
|:---|:---|:---|
|  | **HENNESSY ADVISORS, INC.** | **HENNESSY ADVISORS, INC.** |
| February 13, 2023 | By: | /s/ Teresa M. Nilsen |
|  |  | Teresa M. Nilsen |
|  |  | President |

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