18 unchanged sentences
DIRECTORS, EXECUTIVE OFFICERS, AND CORPORATE GOVERNANCE
−Removed: The information required by this item can be found in our Proxy Statement for our 2025 Annual Meeting (“Proxy Statement”) under the captions “Election of Directors,” “Corporate Governance,” "Section 16(A) Beneficial Ownership Reporting Compliance," and “Executive Officers.” Such information is incorporated by reference as if fully set forth in this report.
+Added: The information required by this item can be found in our Proxy Statement for our 2026 Annual Meeting (“Proxy Statement”) under the captions “Election of Directors,” “Corporate Governance,” “Delinquent Section 16 (A) Reports,” and “Executive Officers.” Such information is incorporated by reference as if fully set forth in this report.
CODE OF ETHICS
50 unchanged sentences
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 Fund and the Hennessy Midstream Fund) (16)
−Removed: Investment Advisory Agreement, dated as of December 22, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Stance ESG ETF) (16)
−Removed: 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) (16)
+Added: Investment Advisory Agreement, dated as of December 22, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Sustainable ETF) (16)
+Added: First Amendment to Investment Advisory Agreement, dated as of April 28, 2023, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Sustainable ETF) (16)
+Added: Second Amendment to Investment Advisory Agreement, dated as of May 12, 2025, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Sustainable ETF)
Sub-Advisory Agreement, dated as of October 25, 2012, between the registrant and Broad Run Investment Management, LLC (for the Hennessy Focus Fund) (4)
5 unchanged sentences
(for the Hennessy Japan Fund and the Hennessy Japan Small Cap Fund) (12)
−Removed: Sub-Advisory Agreement, dated as of December 22, 2022, between the registrant and Stance Capital, LLC (for the Hennessy Stance ESG ETF (portfolio composition sub-advisor)) (16)
−Removed: First Amendment to Sub-Advisory Agreement, dated as of April 28, 2023, between the registrant and Stance Capital, LLC (for the Hennessy Stance ESG ETF (portfolio composition sub-advisor)) (16)
−Removed: Sub-Advisory Agreement, dated as of July 14, 2023, between the registrant and Vident Advisory, LLC (for the Hennessy Stance ESG ETF (trading sub-advisor)) (16)
+Added: Sub-Advisory Agreement, dated as of December 22, 2022, between the registrant and Stance Capital, LLC (for the Hennessy Sustainable ETF (portfolio composition sub-advisor)) (16)
+Added: First Amendment to Sub-Advisory Agreement, dated as of April 28, 2023, between the registrant and Stance Capital, LLC (for the Hennessy Sustainable ETF (portfolio composition sub-advisor)) (16)
+Added: Second Amendment to Sub-Advisory Agreement, dated as of May 12, 2025, between the registrant and Stance Capital, LLC (for the Hennessy Sustainable ETF (portfolio composition sub-advisor))
+Added: Sub-Advisory Agreement, dated as of July 14, 2023, between the registrant and Vident Advisory, LLC (for the Hennessy Sustainable ETF (trading sub-advisor)) (16)
+Added: First Amendment to Sub-Advisory Agreement, dated as of May 12, 2025, between the registrant and Vident Advisory, LLC (for the Hennessy Sustainable ETF (trading sub-advisor))
Second Amended and Restated Servicing Agreement, dated as of February 28, 2022, between the registrant and Hennessy Funds Trust (on behalf of all Hennessy Mutual Funds) (16)
19 unchanged sentences
Nilsen (1)(20)
+Added: Letter from Marcum LLP dated December 16, 2024 (21)
Code of Ethics (which includes the Company’s Insider Trading Policy) (22)
+Added: Consent of CBIZ CPAs P.C., Independent Registered Public Accounting Firm
Consent of Marcum LLP, Independent Registered Public Accounting Firm
52 unchanged sentences
001-36423) filed September 20, 2024.
+Added: Incorporated by reference from the Company’s Current Report on Form 8-K (SEC File No.
+Added: 001-36423) filed December 16, 2024.
+Added: Incorporated by reference from the Company’s Form 10-K for the fiscal year ended September 30, 2024 (SEC File No.
+Added: 001‑36423), filed December 11, 2024.
FORM 10-K SUMMARY
3 unchanged sentences
/s/ Teresa M.
−Removed: President, Chief Operating Officer, Secretary, and Director
+Added: President, Chief Operating Officer, and Secretary
(As a duly authorized officer on behalf of the registrant and as Principal Executive Officer)
18 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.