Hennessy Advisors Inc. filed SEC Form 8-K: Submission of Matters to a Vote of Security Holders
$HNNA
Investment Managers
Finance
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): February 5, 2026
(Exact name of registrant as specified in its charter)
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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:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a‑12)
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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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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading symbol
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Name of each exchange on which registered
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The
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The
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
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Item 5.07
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Submission of Matters to a Vote of Security Holders
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The Annual Meeting of Hennessy Advisors, Inc. was held on February 5, 2026. At the Annual Meeting, the following directors were elected by the votes indicated for terms expiring at the annual meeting of shareholders to be held in 2027:
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For
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Withheld
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Broker
Non‑votes
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Neil J. Hennessy
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4,245,079 | 126,584 | 1,683,841 | |||||||||
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Teresa M. Nilsen
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4,260,507 | 111,156 | 1,683,841 | |||||||||
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Henry Hansel
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4,200,354 | 171,309 | 1,683,841 | |||||||||
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Brian A. Hennessy
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4,277,887 | 143,776 | 1,683,841 | |||||||||
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Lydia Knight-O’Riordan
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4,220,419 | 151,244 | 1,683,841 | |||||||||
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Kiera Newton
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4,244,581 | 147,082 | 1,683,841 | |||||||||
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Susan W. Pomilia
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4,237,655 | 134,008 | 1,683,841 | |||||||||
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Thomas L. Seavey
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4,223,919 | 147,744 | 1,683,841 | |||||||||
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 Non‑votes
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Approval of the non-binding advisory vote on compensation of named executive officers
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4,122,373 | 214,703 | 34,590 | 1,683,841 | ||||||||||||
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Three Years
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Two Years
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One Year
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Abstained
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Broker Non‑votes
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Recommended frequency for the non-binding advisory vote on compensation of named executive officers
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2,847,910 | 55,974 | 1,393,229 | 74,553 | 1,683,841 | |||||||||||||||
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For
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Against
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Abstained
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Broker Non‑votes
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Ratification of the selection of CBIZ CPAs P.C. as the independent registered public accounting firm for Hennessy Advisors, Inc. for fiscal year 2026
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5,916,547 | 75,761 | 63,199 | 0 | ||||||||||||
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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HENNESSY ADVISORS, INC.
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February 9, 2026
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By:
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/s/ Teresa M. Nilsen
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Teresa M. Nilsen
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President
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