Jennifer Emerson

Jennifer Emerson Email and Phone Number

General Counsel | CPA | Compliance | M&A | Financial Services | 10-Year Austinite | Board Candidate | He Rules the World | Screen Free Kids @ Hennessy Advisors, Inc.
novato, california, united states
Jennifer Emerson's Location
Austin, Texas, United States, United States
About Jennifer Emerson

I am a Licensed Certified Public Accountant, General Counsel, and Chief Compliance Officer with over 20 years’ experience in mergers and acquisitions, securities regulation, and financial reporting. Additionally, I am a C-suite executive and trusted advisor with expertise in the investment advisory, mutual fund, and international hedge fund sectors currently positioned in a $3 billion investment fund family with approximately $30 million of annual revenues. I have over a decade of experience working with, preparing materials for, and attending all meetings for a public company board and investment company board, including numerous Audit, Compensation, and Nominating Committee meetings. I was born and raised in the Midwest but got to Texas as fast as I could for the warmer weather - first seven years in Dallas and currently ten years and counting in Austin. I now understand and appreciate the motto “Don’t Mess with Texas” and am actively involved in state and local politics. I am also a big fan of y’all (and its plural all y’all!). I enjoy playing Pickleball and tennis, eating good food, and getting together with friends as often as possible. I’m passionate about letting kids be kids, which includes unstructured free time, striving for simplicity, mud and other things that can be found outdoors, and the intentional avoidance of devices and other screens. (We don’t even have a television or cable!)In a huge leap out of my comfort zone, I have also recently ventured into the entertainment world as the Executive Producer of a Christmas rock concert called He Rules the World.I am certified as a Qualified Board Candidate (CDI.D) through Corporate Directors International and am currently seeking public or private board opportunities.

Jennifer Emerson's Current Company Details
Hennessy Advisors, Inc.

Hennessy Advisors, Inc.

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General Counsel | CPA | Compliance | M&A | Financial Services | 10-Year Austinite | Board Candidate | He Rules the World | Screen Free Kids
novato, california, united states
Employees:
11
Jennifer Emerson Work Experience Details
  • Hennessy Advisors, Inc.
    General Counsel | Cpa | Public Company | Securities | Governance | Internal Controls
    Hennessy Advisors, Inc. Jun 2013 - Present
    Austin, Texas, United States
    Hennessy Advisors, Inc. (Nasdaq: HNNA) (www.hennessyadvisors.com) is a publicly traded investment manager whose primary business activity is managing, servicing, and marketing a family of open-end investment funds branded as the Hennessy Funds (AUM of $3.9 billion as of March 31, 2024). Hennessy offers a broad range of investment funds, including traditional equity, specialty category, and sector funds, as well as more conservative multi-asset products.Responsibilities as General Counsel pertaining to the Board include preparing Board and Committee agendas and meeting materials, regularly presenting to the Board, updating committee charters, drafting meeting minutes and written consents, updating and reviewing annual D&O questionnaires, and revising and improving the content of Board materials, including using summaries wherever possible. Responsibilities as General Counsel include acting as primary lead on asset acquisitions and securities transactions (including a $25 million self-tender offer, stock split, potential stock offering, and $40.25 million baby bond offering), preparing all public company SEC filings, assisting with the development of the company’s internal controls over financial reporting, conducting contract reviews, and facilitating the company’s initial and continued listing on Nasdaq.
  • Hennessy Funds
    Chief Compliance Officer | Senior Vice President | Advisor To The Board | Investment Funds | Sec
    Hennessy Funds Jun 2013 - Present
    Austin, Texas, United States
    Hennessy Funds Trust (www.hennessyfunds.com) is a Delaware statutory trust with 17 series of open-end investment funds (16 mutual funds and one ETF) that are commonly referred to as the Hennessy Funds.Responsibilities as CCO pertaining to the Board include preparing Board and Committee agendas, being the primary presenter at meetings, providing an annual compliance report to the Trustees, leading the annual review and approval of the continuation of all investment advisory agreements and other material service agreements, regularly updating the Audit Committee charter and preapproval procedures, drafting meeting minutes and written consents, updating and reviewing annual D&O questionnaires, revising and improving the content of Board materials, including using summaries wherever possible, and holding an annual executive session with the independent Trustees. Responsibilities as CCO and SVP include preparing all investment fund SEC filings, conducting and presenting an annual compliance review and an annual liquidity assessment to the Board, draft and update compliance policies as needed, prepare and lead annual compliance training for all employees, and coordinating response to all SEC requests, including routine examinations of the investment adviser and trust.
  • Itsuic Music Llc
    Executive Producer | Ceo And Gc | He Rules The World | Christmas | Family Friendly | Rock Concert
    Itsuic Music Llc Mar 2022 - Present
    Austin, Texas, United States
    ITSUIC Music LLC is a production company that I co-founded with my husband, Peter B. Emerson. The company name is an acronym for It’s You I See, which comes from the title track of Peter’s album It’s You I See, a collection of original compositions and jazz standards (available on all major streaming platforms).Our current project is He Rules the World (www.HeRulesTheWorld.com), a high-energy concert telling of the Nativity story written and arranged by Peter. HRTW uses familiar Christmas melodies to launch into new musical material (think rock concert) that tells the greatest story ever told as sung from the perspective of Mary, Joseph, the Angel Gabriel, the Innkeeper, Herod, and more. The premiere performance of the show took place at the Dell Performing Arts Center, in Austin, Texas on December 3, 2022, and featured Broadway vocalist David Gaschen (The Phantom of the Opera) and narration by actor Kevin Sorbo (God's Not Dead, Hercules). We are currently planning December 2024 performances for Waco, TX.
  • Mamas Austin (Mother Attorney Mentoring Association)
    Treasurer | Director | Cpa | Board Of Directors | Non-Profit
    Mamas Austin (Mother Attorney Mentoring Association) Aug 2017 - Present
    Austin, Texas, United States
    Mother Attorneys Mentoring Association (MAMAs Austin) (www.mamasaustin.org) is a unique networking and support organization that provides educational opportunities for its members (mothers and mothers-to-be who are lawyers, in the legal field, or pursuing legal careers) on a wide range of professional and personal topics. Responsibilities include managing cash flow, reconciling bank statements, providing financial reports, filing tax notices, and planning events.
  • Carlson Capital, L.P.
    Attorney | Hedge Fund | Private Equity | Accounting | Organizational Restructuring | Negotiation
    Carlson Capital, L.P. Feb 2010 - May 2013
    Dallas, Texas, United States
    Carlson Capital, L.P. is an SEC-registered alternative asset management firm that was founded in 1993 (AUM of over $6.2 billion at time of employment). Private equity fund formation and oversight of accounting services to the fund; hedge fund offering memorandums; management company restructuring and governance (both U.S. and U.K.); general contracts drafting and negotiation.
  • Gibson, Dunn & Crutcher Llp
    Attorney | Author | Poison Pills | M&A | Securities | Sox | Bylaws | Indemnification | Negotiation
    Gibson, Dunn & Crutcher Llp Sep 2005 - Feb 2010
    Dallas, Texas, United States
    Gibson, Dunn & Crutcher is one of the world’s leading international law firms with more than 1,400 lawyers and 20 offices. The firm is known for excellence in the practice of law and consistently ranks among the world’s top law firms in industry surveys and major publications. Gibson Dunn is well known for its litigation and trial work, antitrust, M&A, private equity, and real estate work, among others.I was a member of the firm’s Corporate Transactions, Mergers and Acquisitions, and Securities Regulation and Corporate Governance practice groups as an associate in the Dallas office. I focused on the representation of business entities and advised corporate clients with respect to a wide array of matters, including mergers and acquisitions, securities regulation, shareholder rights plans and other takeover defenses, corporate governance, indemnification, and board committees. PublicationsThe Wisdom of Addressing Derivative Arrangements in Shareholder Rights Plans, author, InSights (March 2009)To Let Expire or Not to Let Expire? Responding to an Expiring Rights Plan, co-author with Steven I. Glover and Anthony Shoemaker, InSights (January 2008)
  • Foley & Lardner Llp
    Attorney | Author | Speaker | M&A | Registration Statements | Mutual Funds | Sarbanes-Oxley
    Foley & Lardner Llp Sep 2002 - Aug 2005
    Milwaukee, Wisconsin, United States
    Foley & Lardner LLP is an international law firm with over 1,100 lawyers and 24 offices.I was a member of the firm’s Transactional and Securities Department in the Milwaukee office. Among other things, I (i) drafted and negotiated merger, stock purchase, and asset purchase agreements, together with ancillary documents, on both the buy and sell side, (ii) drafted prospectuses and statements of additional information for a family of mutual funds, (iii) drafted and filed periodic SEC filings (including 10-Ks, 10-Qs, 8-Ks, and proxy statements) for public companies, and (iv) assisted with advising public companies on issues related to Sarbanes-Oxley and related developments. I also wrote several articles and frequently spoke on related topics. PUBLICATIONSFederal Securities Regulation, co-author with Steven R. Barth, The Wisconsin Business Advisor Series: Securities, Mergers and Acquisitions (2006)How Sarbanes-Oxley Will Affect Private Companies, co-author with Steven R. Barth, Business Law News (January 2005)The Conveyance Glitch in the Next Economy Law, author, Wisconsin Lawyer (July 2003)SPEAKING ENGAGEMENTSCorporate Insiders and Their Issues Effecting Transactions in Company Stock, 2005 Baird Private Client Group SymposiumSarbanes Best Practices: Public and Private Companies, Ajilon Finance Roundtable SeriesHow Sarbanes-Oxley Will Affect Private Companies, 2004 Wisconsin State Bar ConventionThe Wisconsin Paralegal’s Role in Corporate Maintenance, National Business Institute seminarIntroduction to LLCs and LLPs for the Wisconsin Paralegal, National Business Institute seminar

Jennifer Emerson Education Details

Frequently Asked Questions about Jennifer Emerson

What company does Jennifer Emerson work for?

Jennifer Emerson works for Hennessy Advisors, Inc.

What is Jennifer Emerson's role at the current company?

Jennifer Emerson's current role is General Counsel | CPA | Compliance | M&A | Financial Services | 10-Year Austinite | Board Candidate | He Rules the World | Screen Free Kids.

What schools did Jennifer Emerson attend?

Jennifer Emerson attended University Of Michigan Law School, University Of Notre Dame.

Who are Jennifer Emerson's colleagues?

Jennifer Emerson's colleagues are Lauren Puliafico.

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