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)
|
☐ 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))
|
Title of each class
|
Trading symbol
|
Name of each exchange on which registered
|
Common stock, no par value
|
HNNA
|
The NASDAQ Stock Market LLC
|
For
|
Withheld
|
Broker Non‑votes
|
|||
Neil J. Hennessy
|
4,093,266
|
53,803
|
1,750,754
|
||
Teresa M. Nilsen
|
4,091,405
|
55,664
|
1,750,754
|
||
Daniel B. Steadman
|
4,085,317
|
61,752
|
1,750,754
|
||
Henry Hansel
|
4,096,673
|
50,396
|
1,750,754
|
||
Brian A. Hennessy
|
4,068,053
|
79,016
|
1,750,754
|
||
Daniel G. Libarle
|
4,096,433
|
50,636
|
1,750,754
|
||
Rodger Offenbach
|
4,096,673
|
50,396
|
1,750,754
|
||
Susan W. Pomilia
|
4,074,645
|
72,424
|
1,750,754
|
||
Thomas L. Seavey
|
4,096,042
|
51,027
|
1,750,754
|
For
|
Against
|
Abstained
|
Broker Non‑votes
|
||||||
Approval of the non-binding advisory vote on executive compensation
|
3,703,779
|
414,843
|
28,446
|
1,750,754
|
|||||
Three Years
|
Two Years
|
One Year
|
Abstained
|
Broker Non‑votes
|
|||||
Recommended frequency for the advisory vote on executive compensation
|
3,357,390
|
111,331
|
620,840
|
57,508
|
1,750,754
|
||||
For
|
Against
|
Abstained
|
Broker Non‑votes
|
||||||
Ratification of the selection of Marcum LLP as the independent registered public accounting firm for
Hennessy Advisors, Inc. for fiscal year 2020
|
5,807,502
|
70,102
|
20,218
|
0
|