HENNESSY ADVISORS INC Contracts & Agreements

61 Contracts & Agreements
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Filed
Form of Restricted Stock Unit Award Agreement for Employees
Stock Agreements
HENNESSY ADVISORS INC
2024
Form of Restricted Stock Unit Award Agreement for Directors and Advisory Committee Members
Stock Agreements
HENNESSY ADVISORS INC
2024
First Amendment to Fourth Amended and Restated Employment Agreement, dated as of February 8, 2024, between the registrant and Neil J. Hennessy
Employment Agreements
HENNESSY ADVISORS INC
2024
First Amendment to Employment Agreement, dated as of February 8, 2024, between the registrant and Teresa M. Nilsen
Employment Agreements
HENNESSY ADVISORS INC
2024
First Amendment to Investment Advisory Agreement, dated as of February 28, 2017, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Focus Fund, the...
Advisory Agreements
HENNESSY ADVISORS INC
2023
Amended and Restated Investment Advisory Agreement, dated as of February 28, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Energy Transition...
Transition Agreements
HENNESSY ADVISORS INC
2023
Investment Advisory Agreement, dated as of December22, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Stance ESG ETF)
Advisory Agreements
HENNESSY ADVISORS INC
2023
First Amendment to Investment Advisory Agreement, dated as of April 28, 2023, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Stance ESG ETF)
Advisory Agreements
HENNESSY ADVISORS INC
2023
SubAdvisory Agreement, dated as of December22, 2022, between the registrant and Stance Capital, LLC (for the Hennessy Stance ESG ETF (portfolio composition subadvisor))
HENNESSY ADVISORS INC
2023
First Amendment to SubAdvisory Agreement, dated as of April28, 2023, between the registrant and Stance Capital, LLC (for the Hennessy Stance ESG ETF (portfolio composition...
HENNESSY ADVISORS INC
2023
SubAdvisory Agreement, dated as of July14, 2023, between the registrant and Vident Advisory, LLC (for the Hennessy Stance ESG ETF (trading subadvisor))
Advisory Agreements
HENNESSY ADVISORS INC
2023
Second Amended and Restated Servicing Agreement, dated as of February28, 2022, between the registrant and Hennessy Funds Trust (on behalf ofall Hennessy Mutual Funds)
Servicing Agreements
HENNESSY ADVISORS INC
2023
Description of Securities
HENNESSY ADVISORS INC
Capital Markets
NY
2021
Indenture, dated as of October 20, 2021, between the Company and U.S. Bank National Association, as trustee
Indenture Agreements
HENNESSY ADVISORS INC
Capital Markets
NY
2021
First Supplemental Indenture, dated as of October 20, 2021, between Hennessy Advisors, Inc. and U.S. Bank National Association, as trustee
Indenture Agreements
HENNESSY ADVISORS INC
2021
Underwriting Agreement, dated October 13, 2021, between the Company and Oppenheimer & Co. Inc., as representative of the several underwriters named therein
Underwriting Agreements
HENNESSY ADVISORS INC
Capital Markets
WI
2021
Form of Underwriting Agreement
Underwriting Agreements
HENNESSY ADVISORS INC
2021
Form of Indenture
Indenture Agreements
HENNESSY ADVISORS INC
Capital Markets
NY
2021
Form of First Supplemental Indenture
Indenture Agreements
HENNESSY ADVISORS INC
Capital Markets
2021
Description of Securities
HENNESSY ADVISORS INC
Capital Markets
2020
Description of Securities
HENNESSY ADVISORS INC
2019
Investment Advisory Agreement, dated October 26, 2018, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy BP Energy Fund and the Hennessy BP Midstream Fund)
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2018
Sub-Advisory Agreement, dated October 26, 2018, between the registrant and BP Capital Fund Advisors, LLC (for the Hennessy BP Energy Fund and the Hennessy BP Midstream Fund)
HENNESSY ADVISORS INC
Capital Markets
DE
2018
Second Amendment to Amended and Restated Servicing Agreement, dated October 26, 2018, between the registrant and Hennessy Funds Trust (on behalf of all Funds)
Servicing Agreements
HENNESSY ADVISORS INC
2018
Transaction Agreement, dated as of July 10, 2018, between Hennessy Advisors, Inc. and BP Capital Fund Advisors, LLC
HENNESSY ADVISORS INC
Capital Markets
DE
2018
First Amendment to Sub-Advisory Agreement, dated February 28, 2018, between Hennessy Advisors, Inc. and SPARX Asset Management Co., Ltd. (for the Hennessy Japan Fund and the...
Management 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 TABLE OF CONTENTS
Management Agreements
HENNESSY ADVISORS INC
2017
FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENT
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2016
TRANSACTION AGREEMENT Between HENNESSY ADVISORS, INC. and WESTPORT ADVISERS, LLC May 2, 2016 TABLE OF CONTENTS
HENNESSY ADVISORS INC
2016
FIRST AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT
Servicing Agreements
HENNESSY ADVISORS INC
2015
TERM LOAN AGREEMENT HENNESSY ADVISORS, INC., AS BORROWER, U.S. BANK NATIONAL ASSOCIATION and CALIFORNIA BANK & TRUST, AS LENDERS, U.S. BANK NATIONAL ASSOCIATION, AS ADMINISTRATIVE...
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
CA
2015
INVESTMENT ADVISORY AGREEMENT
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2014
SUB-ADVISORY AGREEMENT
HENNESSY ADVISORS INC
2014
AMENDED AND RESTATED SERVICING AGREEMENT
Servicing Agreements
HENNESSY ADVISORS INC
2014
FIRST AMENDMENT TO BONUS AGREEMENT
Bonus & Incentive Agreements
HENNESSY ADVISORS INC
Capital Markets
2014
FIRST AMENDMENT TO BONUS AGREEMENT
Bonus & Incentive Agreements
HENNESSY ADVISORS INC
2014
SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT
Employment Agreements
HENNESSY ADVISORS INC
2014
INVESTMENT ADVISORY AGREEMENT
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2013
SUB-ADVISORY AGREEMENT
HENNESSY ADVISORS INC
Capital Markets
2013
SUB-ADVISORY AGREEMENT
HENNESSY ADVISORS INC
2013
SUB-ADVISORY AGREEMENT
HENNESSY ADVISORS INC
2013
SUB-ADVISORY AGREEMENT
HENNESSY ADVISORS INC
Capital Markets
2013
AMENDED AND RESTATED EMPLOYMENT AGREEMENT
Employment Agreements
HENNESSY ADVISORS INC
2012
ASSET PURCHASE AGREEMENT Between HENNESSY ADVISORS, INC. and FBR FUND ADVISERS, INC. June 6, 2012
Purchase Agreements
HENNESSY ADVISORS INC
2012
SCHEDULE A to the Servicing Agreement Amended March 1, 2009 Hennessy Cornerstone Growth Fund, Series II (f/k/a TheHenlopen Fund) Hennessy Select Large Value Fund Hennessy...
Servicing Agreements
HENNESSY ADVISORS INC
Capital Markets
2011
SERVICING AGREEMENT
Servicing Agreements
HENNESSY ADVISORS INC
2011
SHAREHOLDER SERVICING AGREEMENT
Servicing Agreements
HENNESSY ADVISORS INC
2011
SIXTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
2010
INVESTMENT ADVISORY AGREEMENT
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2009
INVESTMENT ADVISORY AGREEMENT
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2009
SUB-ADVISORY AGREEMENT
HENNESSY ADVISORS INC
2009
INVESTMENT ADVISORY AGREEMENT
Advisory Agreements
HENNESSY ADVISORS INC
Capital Markets
2009
SUB-ADVISORY AGREEMENT
HENNESSY ADVISORS INC
2009
FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT
Loan Agreements
HENNESSY ADVISORS INC
2009
SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT
Loan Agreements
HENNESSY ADVISORS INC
Capital Markets
MO
2009
AMENDMENT NO. 2 TO EMPLOYMENT AGREEMENT
Employment Agreements
HENNESSY ADVISORS INC
Capital Markets
2009
1,822,463 Shares Common Stock (No Par Value)
Stock Agreements
HENNESSY ADVISORS INC
2005
Amendment No. 1 to Hennessy Advisors, Inc. 2001 Omnibus Plan
HENNESSY ADVISORS INC
2005