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
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HENNESSY ADVISORS, INC.
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(Exact name of registrant as specified in its charter)
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California
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000-49872
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68-0176227
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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7250 Redwood Blvd., Suite 200
Novato, California
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94945
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(Address of principal executive offices)
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(Zip Code)
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Registrant's telephone number including area code: (415) 899-1555
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Not Applicable
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(Former name or former address, if changed since last report)
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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)
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£
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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£
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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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:
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For
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Withheld
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Broker Nonvotes
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Neil J. Hennessy
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3,466,651
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5,750
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1,834,495
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Teresa M. Nilsen
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3,399,903
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72,498
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1,834,495
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Daniel B. Steadman
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3,399,903
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72,498
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1,834,495
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Henry Hansel
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3,466,651
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5,750
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1,834,495
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Brian A. Hennessy
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3,399,903
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72,498
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1,834,495
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Daniel G. Libarle
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3,466,651
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5,750
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1,834,495
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Rodger Offenbach
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3,472,401
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0
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1,834,495
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Thomas L. Seavey
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3,466,651
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5,750
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1,834,495
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The following reflects the voting results for matters other than the election of directors brought for vote at the Annual Meeting:
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For
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Against
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Abstained
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Broker Nonvotes
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Approval of the non-binding advisory vote on executive compensation
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3,392,674
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70,535
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9,192
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1,834,495
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1 Year
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2 Years
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Three Years
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Abstained
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Broker Nonvotes
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Recommended frequency for the advisory vote on executive compensation
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389,412
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22,400
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3,048,472
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12,117
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1, 834,495
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For
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Against
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Abstained
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Broker Nonvotes
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Ratification of Marcum LLP as Hennessy Advisors’ independent registered public accounting firm
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5,303,478
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0
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3,418
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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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