UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number (811-07493)
Hennessy Funds, Inc.
(Exact name of registrant as specified in charter)
7250 Redwood Blvd., Suite 200
Novato, CA 94945
(Address of principal executive offices) (Zip code)
Neil J. Hennessy
7250 Redwood Blvd., Suite 200
Novato, CA 94945
(Name and address of agent for service)
Registrant's telephone number, including area code: 1-800-966-4354
Date of fiscal year end: October 31
Date of reporting period: July 1, 2011 – June 30, 2012
Item 1. Proxy Voting Record.
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Procter & Gamble | 10/11/2011 | 742 718 109 | PG | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. public a/cing firm | Issuer | For | ||
For | 3. Advisory vote on the company Say on Pay vote | Issuer | For | ||
1 year | 4. Frequency of future votes on executive comp. | Issuer | 1 year | ||
For | 5. Amend the Companys articles of inc. | Issuer | For | ||
Against | 6. Cumulative voting | shareholder | Against | ||
Against | 7. Animal testing | shareholder | Against | ||
Against | 8. Electioneering contributions | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Johnson & Johnson | 4/26/2012 | 478 160 104 | JNJ | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Advisory vote to approve executive comp. | Issuer | For | ||
For | 3. Approval of companys 2012 l/t incentive plan | Issuer | For | ||
For | 4. Rat PricewaterhouseCoopers | Issuer | For | ||
Against | 5. Prop on ind. Board chairman | shareholder | Against | ||
Against | 6. On binding vote on political contributions | shareholder | Against | ||
Against | 7. On adopting non-animal methods for training | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Pfizer Incorp. | 4/26/2012 | 717 081 103 | PFE | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat KPMG | Issuer | For | ||
For | 3. Approval of executive compensation | Issuer | For | ||
Against | 4. Re publication of political contributions | shareholder | Against | ||
Against | 5. Re actions by written consent | shareholder | Against | ||
Against | 6. Re special shareholder meetins | shareholder | Against | ||
Against | 7. Re advisory vote on director pay | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Johnson & Johnson | 4/26/2012 | 478 160 104 | JNJ | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Advisory vote to approve executive comp. | Issuer | For | ||
For | 3. Approval of companys 2012 l/t incentive plan | Issuer | For | ||
For | 4. Rat PricewaterhouseCoopers | Issuer | For | ||
Against | 5. Prop on ind. Board chairman | shareholder | Against | ||
Against | 6. On binding vote on political contributions | shareholder | Against | ||
Against | 7. On adopting non-animal methods for training | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
A T & T Incorp. | 4/27/2012 | 002 06R 102 | T | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat of independent auditors | Issuer | For | ||
For | 3. Advisory approval of executive compensation | Issuer | For | ||
For | 4. Amend Certificate of incorporation | Issuer | For | ||
Against | 5. Political contirbutions report | Shareholder | Against | ||
Against | 6. Limit wireless network manangement | Shareholder | Against | ||
Against | 7. Independent Board Chairman | Shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
General Electric | 4/25/2012 | 369 604 103 | GE | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. public a/ting firm | Issuer | For | ||
For | 3. Approval of amendment to GE 2007 l/t incentive plan | Issuer | For | ||
For | 4. Approval of material terms of senior officer perf. Goals | Issuer | For | ||
Against | 5. Cumulative voting | shareholder | Against | ||
Against | 6. Nuclear activities | shareholder | Against | ||
Against | 7. Independent Bard Chariman | shareholder | Against | ||
Against | 8. Shareowner action b written consent | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Verizon | 5/3/2012 | 923 43V 104 | VZ | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. public a/cing firm | Issuer | For | ||
For | 3. Vote to approve executive compensation | Issuer | For | ||
Against | 4. Disclosure of prior governemnt service | shareholder | Against | ||
Against | 5. Disclosure oflobbing activities | shareholder | Against | ||
Against | 6. Vesting of performance stock units | shareholder | Against | ||
Against | 7. Right to calla special meeting | shareholder | Against | ||
Against | 8. Action by written consent | shareholder | Against | ||
Against | 9. Network neutrality for wireless broadband | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
E.I. Du Pont | 4/25/2012 | 263 534 109 | DD | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind reg publicv accounting firm | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. On independent chair | shareholder | against | ||
Against | 5. On executive compensation report | shareholder | against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Verizon Comm. | 5/3/2012 | 923 43V 104 | VZ | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. pubic a/c firm | Issuer | For | ||
For | 3. Vote to approve executive compensation | Issuer | For | ||
Against | 4. Disclosure of prior government service | shareholder | against | ||
Against | 5. Dislcosure of lobbying acitivities | shareholder | against | ||
Against | 6. Vesting of performance stock units | shareholder | against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Kraft Foods, Inc. | 5/23/2012 | 500 75N 104 | KFT | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Approve executive compensation | Issuer | For | ||
For | 3. Amendment of Articles of Incorporation | Issuer | For | ||
For | 4. Rat independent auditors | Issuer | For | ||
Against | 5. Sustainable forestry report | shareholder | Against | ||
Against | 6. Producer responsibility for packaging | shareholder | Against | ||
Against | 7. Report on lobbying | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Chevron Corp | 5/30/2012 | 166 764 100 | CVS | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat reg public a/c ing firm | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. Exclusive forum provisions | shareholder | Against | ||
Against | 5. Independent chairman | shareholder | Against | ||
Against | 6. Lobbying disclosure | shareholder | Against | ||
Against | 7. Country selection guidelines | shareholder | Against | ||
Against | 8. Hydraulic fracturing | shareholder | Against | ||
Against | 9. Accident risk oversight | shareholder | Against | ||
10. Special meetings | shareholder | Against | |||
11. Independent Director w/environamental expertise | shareholder | Against | |||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Merck & Co. Inc. | 5/22/2012 | 589 33Y 105 | MRK | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. public a/cing firm | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. Action by written consent | shareholder | Against | ||
Against | 5. Special shareholder meetings | shareholder | Against | ||
Against | 6. Report on charitable and poitical contribtuions | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Intel Corp. | 5/17/2012 | 458 140 100 | INTC | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat Ernst & Young | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. Whether to hold an advisory vote on political contrib. | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
The Travelers | 5/23/2012 | 894 17E 109 | TRV | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat KPMG | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. Political contribtions and expenditures | shareholder | Against | ||
Hennessy Balanced | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
McDonald's Corp | 5/24/2012 | 580 135 101 | MCD | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Approve executive compensation | Issuer | For | ||
For | 3. Approval of 2012 omnibus tock ownership plan | Issuer | For | ||
For | 4. Approval of declassification of the BOD | Issuer | For | ||
For | 5. Approval of shareholder's right to call special meetngs | Issuer | For | ||
For | 6. Approve Ernst & Young | Issuer | For | ||
Against | 7. Requesting a nutrition report | shareholder | Against |
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Procter & Gamble | 10/11/2011 | 742 718 109 | PG | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. public a/cing firm | Issuer | For | ||
For | 3. Advisory vote on the company Say on Pay vote | Issuer | For | ||
1 year | 4. Frequency of future votes on executive comp. | Issuer | 1 year | ||
For | 5. Amend the Companys articles of inc. | Issuer | For | ||
Against | 6. Cumulative voting | shareholder | Against | ||
Against | 7. Animal testing | shareholder | Against | ||
Against | 8. Electioneering contributions | shareholder | Against | ||
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Johnson & Johnson | 4/26/2012 | 478 160 104 | JNJ | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Advisory vote to approve executive comp. | Issuer | For | ||
For | 3. Approval of companys 2012 l/t incentive plan | Issuer | For | ||
For | 4. Rat PricewaterhouseCoopers | Issuer | For | ||
Against | 5. Prop on ind. Board chairman | shareholder | Against | ||
Against | 6. On binding vote on political contributions | shareholder | Against | ||
Against | 7. On adopting non-animal methods for training | shareholder | Against | ||
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Pfizer Incorp. | 4/26/2012 | 717 081 103 | PFE | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat KPMG | Issuer | For | ||
For | 3. Approval of executive compensation | Issuer | For | ||
Against | 4. Re publication of political contributions | shareholder | Against | ||
Against | 5. Re actions by written consent | shareholder | Against | ||
Against | 6. Re special shareholder meetins | shareholder | Against | ||
Against | 7. Re advisory vote on director pay | shareholder | Against | ||
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
A T & T Incorp. | 4/27/2012 | 002 06R 102 | T | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat of independent auditors | Issuer | For | ||
For | 3. Advisory approval of executive compensation | Issuer | For | ||
For | 4. Amend Certificate of incorporation | Issuer | For | ||
Against | 5. Political contirbutions report | Shareholder | Against | ||
Against | 6. Limit wireless network manangement | Shareholder | Against | ||
Against | 7. Independent Board Chairman | Shareholder | Against | ||
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
General Electric | 4/25/2012 | 369 604 103 | GE | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. public a/ting firm | Issuer | For | ||
For | 3. Approval of amendment to GE 2007 l/t incentive plan | Issuer | For | ||
For | 4. Approval of material terms of senior officer perf. Goals | Issuer | For | ||
Against | 5. Cumulative voting | shareholder | Against | ||
Against | 6. Nuclear activities | shareholder | Against | ||
Against | 7. Independent Bard Chariman | shareholder | Against | ||
Against | 8. Shareowner action b written consent | shareholder | Against | ||
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
E.I. Du Pont | 4/25/2012 | 263 534 109 | DD | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind reg publicv accounting firm | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. On independent chair | shareholder | against | ||
Against | 5. On executive compensation report | shareholder | against | ||
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Verizon Comm. | 5/3/2012 | 923 43V 104 | VZ | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. pubic a/c firm | Issuer | For | ||
For | 3. Vote to approve executive compensation | Issuer | For | ||
Against | 4. Disclosure of prior government service | shareholder | against | ||
Against | 5. Dislcosure of lobbying acitivities | shareholder | against | ||
Against | 6. Vesting of performance stock units | shareholder | against | ||
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Kraft Foods, Inc. | 5/23/2012 | 500 75N 104 | KFT | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Approve executive compensation | Issuer | For | ||
For | 3. Amendment of Articles of Incorporation | Issuer | For | ||
For | 4. Rat independent auditors | Issuer | For | ||
Against | 5. Sustainable forestry report | shareholder | Against | ||
Against | 6. Producer responsibility for packaging | shareholder | Against | ||
Against | 7. Report on lobbying | shareholder | Against | ||
Hennnessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Chevron Corp | 5/30/2012 | 166 764 100 | CVS | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat reg public a/c ing firm | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. Exclusive forum provisions | shareholder | Against | ||
Against | 5. Independent chairman | shareholder | Against | ||
Against | 6. Lobbying disclosure | shareholder | Against | ||
Against | 7. Country selection guidelines | shareholder | Against | ||
Against | 8. Hydraulic fracturing | shareholder | Against | ||
Against | 9. Accident risk oversight | shareholder | Against | ||
10. Special meetings | shareholder | Against | |||
11. Independent Director w/environamental expertise | shareholder | Against | |||
Hennnessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Merck & Co. Inc. | 5/22/2012 | 589 33Y 105 | MRK | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat ind. Reg. public a/cing firm | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. Action by written consent | shareholder | Against | ||
Against | 5. Special shareholder meetings | shareholder | Against | ||
Against | 6. Report on charitable and poitical contribtuions | shareholder | Against | ||
Hennnessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
Intel Corp. | 5/17/2012 | 458 140 100 | INTC | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat Ernst & Young | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. Whether to hold an advisory vote on political contrib. | shareholder | Against | ||
Hennnessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
The Travelers | 5/23/2012 | 894 17E 109 | TRV | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Rat KPMG | Issuer | For | ||
For | 3. Approve executive compensation | Issuer | For | ||
Against | 4. Political contribtions and expenditures | shareholder | Against | ||
Hennessy Total Return | |||||
Period: | 7/1/2011 to 6/30/2012 | ||||
Company Name | Meeting Date | Cusip | Ticker | For/Against Mgmnt | |
McDonald's Corp | 5/24/2012 | 580 135 101 | MCD | ||
Vote: | MRV: n/a | Proposal: | Proposed by Issuer or shareholder: | ||
For | 1. Directors | Issuer | For | ||
For | 2. Approve executive compensation | Issuer | For | ||
For | 3. Approval of 2012 omnibus tock ownership plan | Issuer | For | ||
For | 4. Approval of declassification of the BOD | Issuer | For | ||
For | 5. Approval of shareholder's right to call special meetngs | Issuer | For | ||
For | 6. Approve Ernst & Young | Issuer | For | ||
Against | 7. Requesting a nutrition report | shareholder | Against |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) Hennessy Funds, Inc.
By (Signature and Title)* /s/ Neil J. Hennessy
Neil J. Hennessy
Principal Executive Officer
Date 7/31/12