cg355.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 30, 2014
 
 
   
HENNESSY ADVISORS, INC.
    
   
 
(Exact name of registrant as specified in its charter)
    
 
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)

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 was held January 30, 2014. At the Annual Meeting, the following directors were elected for terms expiring at the annual meeting of shareholders to be held in 2015 by the votes indicated:
 
 
For
  
Withheld
  
Broker Nonvotes
Neil J. Hennessy
3,466,651
  
5,750
  
1,834,495
Teresa M. Nilsen
3,399,903
  
72,498
  
1,834,495
Daniel B. Steadman
3,399,903
  
72,498
  
1,834,495
Henry Hansel
3,466,651
  
5,750
  
1,834,495
Brian A. Hennessy
3,399,903
  
72,498
  
1,834,495
Daniel G. Libarle
3,466,651
  
5,750
  
1,834,495
Rodger Offenbach
3,472,401
  
0
  
1,834,495
Thomas L. Seavey
3,466,651
  
5,750
  
1,834,495

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 of the non-binding advisory vote on executive compensation
3,392,674
  
70,535
  
9,192
  
1,834,495


 
1 Year
  
2 Years
  
Three Years
  
Abstained
  
Broker Nonvotes
Recommended frequency for the advisory vote on executive compensation
389,412
  
22,400
  
3,048,472
  
12,117
  
1, 834,495


 
For
  
Against
  
Abstained
  
Broker Nonvotes
Ratification of Marcum LLP as Hennessy Advisors’ independent registered public accounting firm
5,303,478
  
0
  
3,418
  
0


 
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SIGNATURES
 
Pursuant to the requirements of the Securities and 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 6, 2014                                                                By:     /s/ Neil J. Hennessy                     
Neil J. Hennessy
President and CEO
 
 
 
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