ARTICLE I DUTIES OF THE MANAGERManagement Agreement • October 11th, 2001 • Hennessy Advisors Inc • Investment advice • New York
RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • July 26th, 2005 • Hennessy Advisors Inc • Investment advice
ARTICLE I DUTIES OF HAIServicing Agreement • July 26th, 2005 • Hennessy Advisors Inc • Investment advice
AGREEMENT OF MERGER OF HENNESSY ADVISORS, INC., a California corporationMerger Agreement • August 6th, 2001 • Hennessy Advisors Inc • Textile mill products
RECITALS: --------Asset Purchase Agreement • December 14th, 2004 • Hennessy Advisors Inc • Investment advice • Illinois
Exhibit 10.5 INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • July 26th, 2005 • Hennessy Advisors Inc • Investment advice
Exhibit 10.7 LOAN AGREEMENT THIS LOAN AGREEMENT is dated as of April 10, 2000, by and between EDWARD J. HENNESSY, INCORPORATED, a California corporation (hereinafter referred to as "Borrower") and FIRSTAR BANK, N.A., a national banking association...Loan Agreement • August 6th, 2001 • Hennessy Advisors Inc • Textile mill products
ANDLoan Agreement • May 12th, 2004 • Hennessy Advisors Inc • Investment advice • Missouri
Exhibit 10.6 LICENSE AGREEMENTLicense Agreement • August 6th, 2001 • Hennessy Advisors Inc • Textile mill products • New York
ANDLoan Agreement • July 26th, 2005 • Hennessy Advisors Inc • Investment advice • Missouri
HENNESSY ADVISORS, INC. 750 Grant Avenue, Suite 100 Novato, California 94945-7024 (the "Company") andEmployment Agreement • August 6th, 2001 • Hennessy Advisors Inc • Textile mill products • California
INDENTURE Dated as of [_________], 2021 between HENNESSY ADVISORS, INC. and U.S. BANK NATIONAL ASSOCIATION, as TrusteeIndenture • October 12th, 2021 • Hennessy Advisors Inc • Investment advice
THIS INDENTURE, dated as of [_________], 2021, between Hennessy Advisors, Inc., a California corporation (the “Company”), and U.S. Bank National Association, a national banking association, as trustee (the “Trustee”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • January 17th, 2013 • Hennessy Advisors Inc • Investment advice • Delaware
This Sub-Advisory Agreement is made as of the 25th day of October, 2012, by and between Hennessy Advisors, Inc. (the “Adviser”) and Financial Counselors, Inc. (the “Sub-Adviser”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 7th, 2023 • Hennessy Advisors Inc • Investment advice • Delaware
THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made as of July 14, 2023, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Vident Advisory, LLC, a Delaware limited liability company (the “Sub‑Adviser”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 17th, 2013 • Hennessy Advisors Inc • Investment advice
THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made this 25th day of October, 2012 between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hennessy Advisors, Inc., a California corporation (the “Adviser”).
Exhibit 10.4(a) HENNESSY ADVISORS, INC. 2001 OMNIBUS PLAN OPTION AWARD AGREEMENT FOR KEY EMPLOYEES THIS AGREEMENT is made and entered into as of the date set forth on the signature page hereof by and between HENNESSY ADVISORS, INC., a California...Option Award Agreement • August 6th, 2001 • Hennessy Advisors Inc • Textile mill products • California
Exhibit 10.7(a) TERM PROMISSORY NOTE --------------------Term Promissory Note • August 6th, 2001 • Hennessy Advisors Inc • Textile mill products
EDWARD J. HENNESSY, INCORPORATED, a California corporation (herein called "Borrower"), for value received, hereby promises to pay to the order of FIRSTAR BANK, N.A. (the "Bank") or its assigns or successors, on or before April 10, 2005, the principal sum of Two Million Five Hundred Thousand Dollars ($2,500,000.00), or such portion thereof as may be outstanding pursuant to the Loan Agreement (as hereinafter defined) and to pay interest from the date hereof (computed on the basis of a 360-day year) on the unpaid balance thereof at a per annum rate of interest equal at all times as specified in the Loan Agreement (as hereinafter defined).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • August 6th, 2014 • Hennessy Advisors Inc • Investment advice • Delaware
THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made and entered into effective as of February 28, 2014, by and between Hennessy Advisors, Inc., a California corporation (“Manager”), and SPARX Asset Management Co., Ltd., a corporation organized under the laws of Japan (“Sub-Adviser”).
AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 7th, 2023 • Hennessy Advisors Inc • Investment advice
THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of February 28, 2022, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hennessy Advisors, Inc., a California corporation (the “Adviser”).
Exhibit 10.3 INVESTMENT ADVISORY AGREEMENT Agreement made this 30th day of June, 1998 between The Hennessy Funds, Inc., a Maryland corporation (the "Company"), and Hennessy Management Company 2, L.P., a California limited partnership (the "Adviser")....Investment Advisory Agreement • October 11th, 2001 • Hennessy Advisors Inc • Investment advice
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 7th, 2023 • Hennessy Advisors Inc • Investment advice • Delaware
THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of December 22, 2022 by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hennessy Advisors, Inc., a California corporation (the “Adviser”).
SECOND AMENDED AND RESTATED BONUS AGREEMENTBonus Agreement • January 25th, 2018 • Hennessy Advisors Inc • Investment advice • California
This Agreement amends and restates the Amended and Restated Bonus Agreement made as of October 10, 2016, by and between the Company and Executive, which in turn amended and restated the Bonus Agreement made as of August 28, 2006, as amended pursuant to the First Amendment to Bonus Agreement effective as of March 26, 2014.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • August 6th, 2014 • Hennessy Advisors Inc • Investment advice
THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of February 28, 2014 by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hennessy Advisors, Inc., a California corporation (the “Adviser”).
35,000,000 4.875% Notes Due 2026 UNDERWRITING AGREEMENTUnderwriting Agreement • October 14th, 2021 • Hennessy Advisors Inc • Investment advice • New York
Form of Restricted Stock Unit Award Agreement for Employees HENNESSY ADVISORS, INC. 2024 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENTRestricted Stock Unit Award Agreement • February 8th, 2024 • Hennessy Advisors Inc • Investment advice
You have been granted an award of restricted stock units of Hennessy Advisors, Inc. (the “Company”) under the Hennessy Advisors, Inc. 2024 Omnibus Incentive Plan (the “Plan”) and this Restricted Stock Unit Award Agreement (this “Agreement”). Capitalized terms used herein and not defined have the meaning given to them in the Plan.
FIRST SUPPLEMENTAL INDENTURE between HENNESSY ADVISORS, INC. and U.S. BANK NATIONAL ASSOCIATION, Trustee Dated as of October 20, 2021 FIRST SUPPLEMENTAL INDENTUREFirst Supplemental Indenture • October 20th, 2021 • Hennessy Advisors Inc • Investment advice • New York
THIS FIRST SUPPLEMENTAL INDENTURE (this “First Supplemental Indenture”), dated as of October 20, 2021 is between Hennessy Advisors, Inc., a California corporation (the “Company”), and U.S. Bank National Association, a national banking association, as trustee (the “Trustee”). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).
SIXTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENTLoan Agreement • December 3rd, 2010 • Hennessy Advisors Inc • Investment advice • Missouri
THIS SIXTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this “Amendment”) is made and entered into as of September 30, 2010, by and between HENNESSY ADVISORS, INC., a California corporation (“Borrower”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”), and has reference to the following facts and circumstances (the “Recitals”):
ASSET PURCHASE AGREEMENT Between HENNESSY ADVISORS, INC. and FBR FUND ADVISERS, INC. June 6, 2012Asset Purchase Agreement • June 8th, 2012 • Hennessy Advisors Inc • Investment advice • New York
THIS ASSET PURCHASE AGREEMENT is made and entered into on this 6th day of June, 2012, by and between HENNESSY ADVISORS, INC., a California corporation (“Buyer”), and FBR Fund Advisers, Inc., a Delaware corporation (“Seller”).
THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENTLoan Agreement • January 29th, 2009 • Hennessy Advisors Inc • Investment advice • Missouri
THIS THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this “Amendment”) is made and entered into as of June 25, 2008, by and between HENNESSY ADVISORS, INC., a California corporation (“Borrower”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”), and has reference to the following facts and circumstances (the “Recitals”):
FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENTLoan Agreement • January 29th, 2009 • Hennessy Advisors Inc • Investment advice • Missouri
THIS FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this “Amendment”) is made and entered into as of January 26, 2009, by and between HENNESSY ADVISORS, INC., a California corporation (“Borrower”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”), and has reference to the following facts and circumstances (the “Recitals”):
BONUS AGREEMENTBonus Agreement • August 30th, 2006 • Hennessy Advisors Inc • Investment advice • California
THIS BONUS AGREEMENT is made as of the 28th day of August, 2006 by and between HENNESSY ADVISORS, INC., a California corporation (the “Company”), and TERESA M. NILSEN, Executive Vice President and Chief Financial Officer of the Company (“Executive”).
ASSET PURCHASE AGREEMENTAsset Purchase Agreement • April 29th, 2005 • Hennessy Advisors Inc • Investment advice • Delaware
THIS ASSET PURCHASE AGREEMENT is made and entered into on this 15th day of March, 2005, by and between HENNESSY ADVISORS, INC., a California corporation (“Buyer”) and LANDIS ASSOCIATES LLC, a Delaware limited liability company (“Seller”) (Buyer and Seller are hereinafter sometimes referred to collectively as the “Parties”).
Exhibit 99.1 ESCROW AGREEMENT Firstar Bank, N.A. agrees to hold subscription funds for investors on record in the office of Hennessy Advisors, Inc. in an escrow account. All of the proceeds may be released upon receipt of a letter from Hennessy...Escrow Agreement • September 24th, 2001 • Hennessy Advisors Inc • Investment advice
THIRD AMENDED AND RESTATED EMPLOYMENT AGREEMENTEmployment Agreement • October 13th, 2016 • Hennessy Advisors Inc • Investment advice • California
WHEREAS, this Agreement amends the Employment Agreement dated as of May 2, 2001 (the “Original Agreement”), by and between the Company and the Employee, as amended pursuant to Amendment No. 1, Amendment No. 2, Amendment No. 3, the Amended and Restated Employment Agreement dated as of October 8, 2012, and the Second Amended and Restated Employment Agreement dated as of February 21, 2014; and
HENNESSY ADVISORS, INC. 2013 OMNIBUS INCENTIVE PLAN STOCK OPTION AWARD AGREEMENTStock Option Award Agreement • September 18th, 2013 • Hennessy Advisors Inc • Investment advice
You have been granted an option (your “Option”) to purchase shares of common stock of Hennessy Advisors, Inc. (the “Company”) under the Hennessy Advisors, Inc. 2013 Omnibus Incentive Plan (the “Plan”) and this Stock Option Award Agreement (this “Agreement”). Capitalized terms used herein and not defined have the meaning given to them in the Plan.
