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
|
4,444,284
|
79,351
|
1,065,691
|
||
Teresa M. Nilsen
|
4,444,780
|
78,855
|
1,065,691
|
||
Daniel B. Steadman
|
4,444,042
|
79,593
|
1,065,691
|
||
Henry Hansel
|
4,446,470
|
77,165
|
1,065,691
|
||
Brian A. Hennessy
|
4,407,128
|
116,507
|
1,065,691
|
||
Daniel G. Libarle
|
4,392,459
|
131,176
|
1,065,691
|
||
Rodger Offenbach
|
4,391,496
|
132,139
|
1,065,691
|
||
Susan W. Pomilia
|
4,431,460
|
92,175
|
1,065,691
|
||
Thomas L. Seavey
|
4,440,425
|
83,210
|
1,065,691
|
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 2021
|
5,423,500
|
12,181
|
153,645
|
0
|