0001437749-24-003522 Sample Contracts

FIRST AMENDMENT TO FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT
Employment Agreement • February 8th, 2024 • Hennessy Advisors Inc • Investment advice

This FIRST AMENDMENT TO FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Amendment”), effective as of February 8, 2024, is made by and between Hennessy Advisors, Inc. (the “Company”) and Neil J. Hennessy (the “Employee”).

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Form of Restricted Stock Unit Award Agreement for Employees HENNESSY ADVISORS, INC. 2024 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Restricted Stock Unit Award Agreement for Employees • 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 AMENDMENT TO EMPLOYMENT AGREEMENT
Employment Agreement • February 8th, 2024 • Hennessy Advisors Inc • Investment advice

This FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (this “Amendment”), effective as of February 8, 2024, is made by and between Hennessy Advisors, Inc. (the “Company”) and Teresa M. Nilsen (the “Employee”).

Form of Restricted Stock Unit Award Agreement for Directors and Advisory Committee Members HENNESSY ADVISORS, INC. 2024 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Restricted 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.

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