California
|
000-49872
|
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))
|
Item
5.02.
|
Departure
of Directors or Certain Officers; Election of Directors; Appointment of
Certain Officers; Compensatory Arrangements of Certain
Officers
|
Item
9.01.
|
Financial
Statements and Exhibits
|
Exhibit
|
Description
|
99.1
|
Amendment
to Employment Agreement Dated September 3,
2009
|
HENNESSY ADVISORS,
INC.
(registrant)
|
|||
September
9, 2009
|
By:
|
/s/ Daniel B. Steadman | |
Daniel B. Steadman | |||
Executive Vice President | |||
Exhibit
|
Description
|
|
|
99.1
|
Amendment
to Employment Agreement Dated September 3,
2009
|