HENNESSY ADVISORS INC Contracts & Agreements

65 Contracts & Agreements
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Hennessy Advisors, Inc. 2024 Omnibus Incentive Plan Restricted Stock Unit Award Agreement (Employee)
Bonus & Incentive Agreements
HENNESSY ADVISORS INC
Capital Markets
2024
Hennessy Advisors, Inc. 2024 Omnibus Incentive Plan Restricted Stock Unit Award Agreement for Directors and Advisory Committee Members
Bonus & Incentive Agreements
HENNESSY ADVISORS INC
Capital Markets
2024
First Amendment to Fourth Amended and Restated Employment Agreement between Hennessy Advisors, Inc. and Neil J. Hennessy
Employment Agreements
HENNESSY ADVISORS INC
Capital Markets
2024
First Amendment to Employment Agreement between Hennessy Advisors, Inc. and Teresa M. Nilsen
Employment Agreements
HENNESSY ADVISORS INC
Capital Markets
2024
First Amendment to Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2023
Amended and Restated Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2023
Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc. dated December 22, 2022
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
DE
2023
First Amendment to Investment Advisory Agreement between Hennessy Advisors, Inc. and Hennessy Funds Trust
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2023
Sub-Advisory Agreement between Hennessy Advisors, Inc. and Stance Capital, LLC (December 22, 2022)
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
DE
2023
First Amendment to Sub-Advisory Agreement between Hennessy Advisors, Inc. and Stance Capital, LLC
Modification Agreements
HENNESSY ADVISORS INC
Capital Markets
2023
Sub-Advisory Agreement between Hennessy Advisors, Inc. and Vident Advisory, LLC (July 14, 2023)
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
DE
2023
Second Amended and Restated Servicing Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Services Agreements
HENNESSY ADVISORS INC
Capital Markets
2023
Description of Hennessy Advisors, Inc. Common Stock and 4.875% Notes Due 2026
Note Agreements
HENNESSY ADVISORS INC
Capital Markets
NY
2021
Indenture Agreement between Hennessy Advisors, Inc. and U.S. Bank National Association dated October 20, 2021
Indenture Agreements
HENNESSY ADVISORS INC
Capital Markets
NY
2021
First Supplemental Indenture between Hennessy Advisors, Inc. and U.S. Bank National Association (Trustee) – 4.875% Notes Due 2026
Indenture Agreements
HENNESSY ADVISORS INC
Capital Markets
2021
Underwriting Agreement for $35,000,000 4.875% Notes Due 2026 between Hennessy Advisors, Inc. and Oppenheimer & Co. Inc.
Underwriting Agreements
HENNESSY ADVISORS INC
Capital Markets
WI
2021
Underwriting Agreement for Hennessy Advisors, Inc. Notes Due 2026 with Oppenheimer & Co. Inc.
Underwriting Agreements
HENNESSY ADVISORS INC
Capital Markets
WI
2021
Indenture Agreement between Hennessy Advisors, Inc. and U.S. Bank National Association, as Trustee (2021)
Indenture Agreements
HENNESSY ADVISORS INC
Capital Markets
NY
2021
First Supplemental Indenture between Hennessy Advisors, Inc. and U.S. Bank National Association, Trustee, Dated October 2021
Indenture Agreements
HENNESSY ADVISORS INC
Capital Markets
2021
Description of Hennessy Advisors, Inc. Common Stock Registered Under Section 12 of the Exchange Act
Stock Agreements
HENNESSY ADVISORS INC
Capital Markets
2020
Description of Hennessy Advisors, Inc. Common Stock Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
HENNESSY ADVISORS INC
Capital Markets
2019
Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2018
Sub-Advisory Agreement between Hennessy Advisors, Inc. and BP Capital Fund Advisors, LLC dated October 26, 2018
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
DE
2018
Second Amendment to Amended and Restated Servicing Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Services Agreements
HENNESSY ADVISORS INC
Capital Markets
2018
Transaction Agreement between Hennessy Advisors, Inc. and BP Capital Fund Advisors, LLC (July 10, 2018)
Purchase Agreements
HENNESSY ADVISORS INC
Capital Markets
DE
2018
First Amendment to Sub-Advisory Agreement between Hennessy Advisors, Inc. and SPARX Asset Management Co., Ltd.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2018
Transaction Agreement among Hennessy Advisors, Inc., Rainier Investment Management, LLC, and Manning & Napier Group, LLC (May 10, 2017)
Purchase Agreements
HENNESSY ADVISORS INC
Capital Markets
DE
2017
First Amendment to Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2016
Transaction Agreement Between Hennessy Advisors, Inc. and Westport Advisers, LLC (May 2, 2016)
Purchase Agreements
HENNESSY ADVISORS INC
Capital Markets
CT
2016
First Amendment to Amended and Restated Servicing Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Services Agreements
HENNESSY ADVISORS INC
Capital Markets
2015
Term Loan Agreement among Hennessy Advisors, Inc., U.S. Bank National Association, and California Bank & Trust (2015)
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
CA
2015
Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc. (February 28, 2014)
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2014
Sub-Advisory Agreement between Hennessy Advisors, Inc. and SPARX Asset Management Co., Ltd. dated February 28, 2014
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
DE
2014
Amended and Restated Servicing Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Services Agreements
HENNESSY ADVISORS INC
Capital Markets
2014
Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2013
Sub-Advisory Agreement between Hennessy Advisors, Inc. and Broad Run Investment Management, LLC (Hennessy Focus Fund)
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2013
Sub-Advisory Agreement between Hennessy Advisors, Inc. and The London Company of Virginia (Hennessy Equity and Income Fund)
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2013
Sub-Advisory Agreement between Hennessy Advisors, Inc. and Financial Counselors, Inc. dated October 25, 2012
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2013
Sub-Advisory Agreement between Hennessy Advisors, Inc. and Financial Counselors, Inc. (October 25, 2012)
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2013
Asset Purchase Agreement between Hennessy Advisors, Inc. and FBR Fund Advisers, Inc. (June 6, 2012)
Purchase Agreements
HENNESSY ADVISORS INC
Capital Markets
DE
2012
Servicing Agreement between The Hennessy Funds, Inc. and Hennessy Advisors, Inc. (July 1, 2007)
Services Agreements
HENNESSY ADVISORS INC
Capital Markets
2011
Shareholder Servicing Agreement between Hennessy SPARX Funds Trust and Hennessy Advisors, Inc.
Services Agreements
HENNESSY ADVISORS INC
Capital Markets
2011
Sixth Amendment to Amended and Restated Loan Agreement between Hennessy Advisors, Inc. and U.S. Bank National Association
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
2010
Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2009
Investment Advisory Agreement between Hennessy Funds Trust and Hennessy Advisors, Inc.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2009
Sub-Advisory Agreement between Hennessy Advisors, Inc. and Voyageur Asset Management Inc. dated March 23, 2009
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
CA
2009
Investment Advisory Agreement between Hennessy SPARX Funds Trust and Hennessy Advisors, Inc.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2009
Sub-Advisory Agreement between Hennessy Advisors, Inc. and SPARX Asset Management Co., Ltd.
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
CA
2009
First Amendment to Amended and Restated Loan Agreement between Hennessy Advisors, Inc. and U.S. Bank National Association
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
Second Amendment to Amended and Restated Loan Agreement between Hennessy Advisors, Inc. and U.S. Bank National Association
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
Third Amendment to Amended and Restated Loan Agreement between Hennessy Advisors, Inc. and U.S. Bank National Association
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
Fourth Amendment to Amended and Restated Loan Agreement between Hennessy Advisors, Inc. and U.S. Bank National Association
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
Fifth Amendment to Amended and Restated Loan Agreement between Hennessy Advisors, Inc. and U.S. Bank National Association
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
Asset Purchase Agreement between Hennessy Advisors, Inc. and Voyageur Asset Management Inc. (Tamarack Value Fund)
Purchase Agreements
HENNESSY ADVISORS INC
Capital Markets
MN
2008
Asset Purchase Agreement between Hennessy Advisors, Inc. and Voyageur Asset Management Inc. (Tamarack Large Cap Growth Fund)
Purchase Agreements
HENNESSY ADVISORS INC
Capital Markets
MN
2008
Amendment No. 1 to Employment Agreement between Hennessy Advisors, Inc. and Neil J. Hennessy
Employment Agreements
HENNESSY ADVISORS INC
Capital Markets
2006
Bonus Agreement between Hennessy Advisors, Inc. and Teresa M. Nilsen (Change of Control)
Bonus & Incentive Agreements
HENNESSY ADVISORS INC
Capital Markets
2006
Bonus Agreement between Hennessy Advisors, Inc. and Daniel B. Steadman (August 28, 2006)
Bonus & Incentive Agreements
HENNESSY ADVISORS INC
Capital Markets
2006
Underwriting Agreement among Hennessy Advisors, Inc., Selling Shareholders, and A.G. Edwards & Sons, Inc. (as Representative of Underwriters)
Underwriting Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2005
Amendment No. 1 to Hennessy Advisors, Inc. 2001 Omnibus Plan
Compensation Agreements
HENNESSY ADVISORS INC
Capital Markets
2005
First Amendment to Bonus Agreement between Hennessy Advisors, Inc. and Teresa M. Nilsen
Bonus & Incentive Agreements
HENNESSY ADVISORS INC
Capital Markets
2014
First Amendment to Bonus Agreement between Hennessy Advisors, Inc. and Daniel B. Steadman
Bonus & Incentive Agreements
HENNESSY ADVISORS INC
Capital Markets
2014
Second Amended and Restated Employment Agreement between Hennessy Advisors, Inc. and Neil J. Hennessy
Employment Agreements
HENNESSY ADVISORS INC
Capital Markets
CA
2014
Amended and Restated Employment Agreement between Hennessy Advisors, Inc. and Neil J. Hennessy
Employment Agreements
HENNESSY ADVISORS INC
Capital Markets
CA
2012
Amendment No. 2 to Employment Agreement between Hennessy Advisors, Inc. and Neil J. Hennessy
Employment Agreements
HENNESSY ADVISORS INC
Capital Markets
2009