0000897069-17-000047.txt : 20170130 0000897069-17-000047.hdr.sgml : 20170130 20170130160902 ACCESSION NUMBER: 0000897069-17-000047 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170126 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20170130 DATE AS OF CHANGE: 20170130 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: 17557542 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 8-K 1 cg848.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
 
Washington, DC  20549
 
FORM 8-K
 
CURRENT REPORT
 
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported)        January 26, 2017
 
HENNESSY ADVISORS, INC.
 
(Exact name of registrant as specified in its charter)
 
California
001-36423
68-0176227
(State or other jurisdiction
 of incorporation)
(Commission
 File Number)
(IRS Employer
 Identification No.)
     
7250 Redwood Blvd., Suite 200
                      Novato, California                                        
94945
(Address of principal executive offices)
(Zip Code)

Registrant’s telephone number including area code:    (415) 899-1555
 
Not Applicable
(Former name or former address, if changed since last report)
 
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))
 
 
Item 5.07                          Submission of Matters to a Vote of Security Holders
 
The Annual Meeting of Hennessy Advisors, Inc. was held January 26, 2017.  At the Annual Meeting, the following directors were elected for terms expiring at the annual meeting of shareholders to be held in 2018 by the votes indicated:
 
 
For
  
Withheld
  
Broker Nonvotes
Neil J. Hennessy
3,344,689
  
67,464
  
1,317,088
Teresa M. Nilsen
3,314,764
  
97,389
  
1,317,088
Daniel B. Steadman
3,325,871
  
86,282
  
1,317,088
Henry Hansel
3,348,548
  
63,605
  
1,317,088
Brian A. Hennessy
3,320,102
  
92,051
  
1,317,088
Daniel G. Libarle
3,348,548
  
63,605
  
1,317,088
Rodger Offenbach
3,348,548
  
63,605
  
1,317,088
Susan W. Pomilia
3,343,675
  
68,478
  
1,317,088
Thomas L. Seavey
3,348,548
  
63,605
  
1,317,088


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 Nonvotes
Approval, by a non-binding advisory vote, of executive compensation
3,233,257
  
160,017
  
18,879
  
1,317,088
               
 
For
  
Against
  
Abstained
  
Broker Nonvotes
Ratification of the selection of Marcum LLP as the independent registered public accounting firm for Hennessy Advisors, Inc. for fiscal year 2017
4,619,631
  
12,187
  
97,423
  
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.
 

 
 
 
January 30, 2017
HENNESSY ADVISORS, INC.
 
 
By:            /s/ Neil J. Hennessy                               
Neil J. Hennessy
President and CEO
 
 
 

 
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