cg686.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 28, 2016
 
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 28, 2016.  At the Annual Meeting, the following directors were elected for terms expiring at the annual meeting of shareholders to be held in 2017 by the votes indicated:
 
 
For
  
Withheld
  
Broker Nonvotes
           
Neil J. Hennessy
3,081,651
  
38,214
  
1,538,719
           
Teresa M. Nilsen
3,045,564
  
74,301
  
1,538,719
           
Daniel B. Steadman
3,044,764
  
75,101
  
1,538,719
           
Henry Hansel
3,073,651
  
46,214
  
1,538,719
           
Brian A. Hennessy
3,036,764
  
83,101
  
1,538,719
           
Daniel G. Libarle
3,073,651
  
46,214
  
1,538,719
           
Rodger Offenbach
3,073,651
  
46,214
  
1,538,719
           
Susan W. Pomilia
3,073,651
  
46,214
  
1,538,719
           
Thomas L. Seavey
3,073,651
  
46,214
  
1,538,719

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
Ratification of the selection of Marcum LLP as the independent registered public accounting firm for Hennessy Advisors, Inc. for fiscal year 2016
4,654,062
  
100
  
4,422
  
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 3, 2016                                                                By:     /s/ Daniel Steadman 
Daniel Steadman
Executive Vice President


 
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