Item 5.07 Submission of Matters to a Vote of Security Holders The Annual Meeting of Hennessy Advisors, Inc. was held on February 11, 2020. At the Annual Meeting, the following directors were elected for terms expiring at the annual meeting of shareholders to be held in 2021 by the votes indicated:


                      For      Withheld   Broker Non­votes
Neil J. Hennessy   4,093,266     53,803          1,750,754
Teresa M. Nilsen   4,091,405     55,664          1,750,754
Daniel B. Steadman 4,085,317     61,752          1,750,754
Henry Hansel       4,096,673     50,396          1,750,754
Brian A. Hennessy  4,068,053     79,016          1,750,754
Daniel G. Libarle  4,096,433     50,636          1,750,754
Rodger Offenbach   4,096,673     50,396          1,750,754
Susan W. Pomilia   4,074,645     72,424          1,750,754
Thomas L. Seavey   4,096,042     51,027          1,750,754

The following reflects the voting results for matters other than the election of directors brought for vote at the Annual Meeting:


                                                                             Broker
                                           For       Against    Abstained   Non­votes

Approval of the non-binding advisory 3,703,779 414,843 28,446 1,750,754 vote on executive compensation


                              Three                                          Broker
                              Years     Two Years   One Year    Abstained   Non­votes
Recommended frequency for
the advisory vote on        3,357,390     111,331     620,840      57,508   1,750,754
executive compensation
                                                                             Broker
                                           For       Against    Abstained   Non­votes
Ratification of the selection of Marcum
LLP as the independent registered       5,807,502      70,102      20,218           0
public accounting firm for Hennessy
Advisors, Inc. for fiscal year 2020



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