FORM OF AMENDED AND RESTATED WRITTEN INSTRUMENT
DESIGNATING AND ESTABLISHING SERIES AND CLASSES
DESIGNATING AND ESTABLISHING SERIES AND CLASSES
At a meeting duly called and held on July 26, 2022, all of the Trustees of Hennessy Funds Trust (the “Trust”), acting pursuant to Article II of the Trust Instrument of the Trust, as amended and supplemented, established a new series designated as Hennessy Stance Large Cap ESG ETF, with all relative rights and preferences of the existing series of the Trust. The number of beneficial interests in the new series (the “Shares”) shall be unlimited. The new series shall have one class of Shares.
All of the Trust’s series and classes, as of the date hereof, are set forth below.
Exchange Traded Fund Series | Ticker Symbol |
Hennessy Stance ESG Large Cap ETF | [____] |
Mutual Fund Series | Investor Class – Ticker Symbol | Institutional Class – Ticker Symbol |
Hennessy Cornerstone Growth Fund | HFCGX | HICGX |
Hennessy Focus Fund | HFCSX | HFCIX |
Hennessy Cornerstone Mid Cap 30 Fund | HFMDX | HIMDX |
Hennessy Cornerstone Large Growth Fund | HFLGX | HILGX |
Hennessy Cornerstone Value Fund | HFCVX | HICVX |
Hennessy Total Return Fund | HDOGX | N/A |
Hennessy Equity and Income Fund | HEIFX | HEIIX |
Hennessy Balanced Fund | HBFBX | N/A |
Hennessy Energy Transition Fund | HNRGX | HNRIX |
Hennessy Midstream Fund | HMSFX | HMSIX |
Hennessy Gas Utility Fund | GASFX | HGASX |
Hennessy Japan Fund | HJPNX | HJPIX |
Hennessy Japan Small Cap Fund | HJPSX | HJSIX |
Hennessy Large Cap Financial Fund | HLFNX | HILFX |
Hennessy Small Cap Financial Fund | HSFNX | HISFX |
Hennessy Technology Fund | HTECX | HTCIX |
* * *
OFFICER’S CERTIFICATE
The undersigned, being the duly elected, qualified and active ____________ of Hennessy Funds Trust (the “Trust”), hereby certifies that the foregoing instrument amending and restating all designated and established classes of interests of all of the current series of the Trust, was duly adopted pursuant to Section 2.6 of Article II of the Trust Instrument of the Trust, as amended and supplemented to date.
Dated as of: December ___, 2022
_____________________________
[Name]
[Title]