HENNESSY ADVISORS INC Contracts & Agreements

First Amendment to Employment Agreement, dated as of February 8, 2024, between the registrant and Teresa M. Nilsen (Filed With SEC on February 8, 2024)

Form of Restricted Stock Unit Award Agreement for Employees (Filed With SEC on February 8, 2024)

Form of Restricted Stock Unit Award Agreement for Directors and Advisory Committee Members (Filed With SEC on February 8, 2024)

First Amendment to Fourth Amended and Restated Employment Agreement, dated as of February 8, 2024, between the registrant and Neil J. Hennessy (Filed With SEC on February 8, 2024)

Second Amended and Restated Servicing Agreement, dated as of February28, 2022, between the registrant and Hennessy Funds Trust (on behalf ofall Hennessy Mutual Funds) (Filed With SEC on December 7, 2023)

SubAdvisory Agreement, dated as of July14, 2023, between the registrant and Vident Advisory, LLC (for the Hennessy Stance ESG ETF (trading subadvisor)) (Filed With SEC on December 7, 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... (Filed With SEC on December 7, 2023)

SubAdvisory Agreement, dated as of December22, 2022, between the registrant and Stance Capital, LLC (for the Hennessy Stance ESG ETF (portfolio composition subadvisor)) (Filed With SEC on December 7, 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) (Filed With SEC on December 7, 2023)

Investment Advisory Agreement, dated as of December22, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Stance ESG ETF) (Filed With SEC on December 7, 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... (Filed With SEC on December 7, 2023)

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... (Filed With SEC on December 7, 2023)

Description of Securities (Filed With SEC on November 24, 2021)

Indenture, dated as of October 20, 2021, between the Company and U.S. Bank National Association, as trustee (Filed With SEC on October 20, 2021)

First Supplemental Indenture, dated as of October 20, 2021, between Hennessy Advisors, Inc. and U.S. Bank National Association, as trustee (Filed With SEC on October 20, 2021)

Underwriting Agreement, dated October 13, 2021, between the Company and Oppenheimer & Co. Inc., as representative of the several underwriters named therein (Filed With SEC on October 14, 2021)

Form of First Supplemental Indenture (Filed With SEC on October 12, 2021)

Form of Indenture (Filed With SEC on October 12, 2021)

Form of Underwriting Agreement (Filed With SEC on October 12, 2021)

Description of Securities (Filed With SEC on December 1, 2020)

Description of Securities (Filed With SEC on December 3, 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) (Filed With SEC on November 28, 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) (Filed With SEC on November 28, 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) (Filed With SEC on November 28, 2018)

Transaction Agreement, dated as of July 10, 2018, between Hennessy Advisors, Inc. and BP Capital Fund Advisors, LLC (Filed With SEC on July 11, 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... (Filed With SEC on May 2, 2018)

TRANSACTION AGREEMENT Among HENNESSY ADVISORS, INC., RAINIER INVESTMENT MANAGEMENT, LLC and MANNING & NAPIER GROUP, LLC May 10, 2017 TABLE OF CONTENTS (Filed With SEC on May 11, 2017)

FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENT (Filed With SEC on December 1, 2016)

TRANSACTION AGREEMENT Between HENNESSY ADVISORS, INC. and WESTPORT ADVISERS, LLC May 2, 2016 TABLE OF CONTENTS (Filed With SEC on May 3, 2016)

FIRST AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT (Filed With SEC on November 30, 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... (Filed With SEC on September 23, 2015)

INVESTMENT ADVISORY AGREEMENT (Filed With SEC on August 6, 2014)

SUB-ADVISORY AGREEMENT (Filed With SEC on August 6, 2014)

AMENDED AND RESTATED SERVICING AGREEMENT (Filed With SEC on August 6, 2014)

FIRST AMENDMENT TO BONUS AGREEMENT (Filed With SEC on March 27, 2014)

SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT (Filed With SEC on February 21, 2014)

INVESTMENT ADVISORY AGREEMENT (Filed With SEC on January 17, 2013)

SUB-ADVISORY AGREEMENT (Filed With SEC on January 17, 2013)

AMENDED AND RESTATED EMPLOYMENT AGREEMENT (Filed With SEC on October 10, 2012)

ASSET PURCHASE AGREEMENT Between HENNESSY ADVISORS, INC. and FBR FUND ADVISERS, INC. June 6, 2012 (Filed With SEC on June 8, 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... (Filed With SEC on December 9, 2011)

SERVICING AGREEMENT (Filed With SEC on December 9, 2011)

SHAREHOLDER SERVICING AGREEMENT (Filed With SEC on December 9, 2011)

SIXTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on December 3, 2010)

SUB-ADVISORY AGREEMENT (Filed With SEC on December 4, 2009)

INVESTMENT ADVISORY AGREEMENT (Filed With SEC on December 4, 2009)

SUB-ADVISORY AGREEMENT (Filed With SEC on December 4, 2009)

INVESTMENT ADVISORY AGREEMENT (Filed With SEC on December 4, 2009)

FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on January 29, 2009)

AMENDMENT NO. 2 TO EMPLOYMENT AGREEMENT (Filed With SEC on January 29, 2009)

FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on January 29, 2009)

FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on January 29, 2009)

THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on January 29, 2009)

SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on January 29, 2009)

1,822,463 Shares Common Stock (No Par Value) (Filed With SEC on September 21, 2005)

Amendment No. 1 to Hennessy Advisors, Inc. 2001 Omnibus Plan (Filed With SEC on September 2, 2005)

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HENNESSY ADVISORS INC Contracts & Agreements