Jennifer Emerson Email & Phone Number

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.

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.

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.

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.

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.

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)

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

Doctor Of Law - Jd, Cum Laude

Activities and Societies: Michigan Law Review, Articles Editor (2001-2002), Associate Editor (2000-2001) Michigan Journal of Gender.

Bachelor Of Business Administration, Summa Cum Laude, Accounting And Sociology

Activities and Societies: Beta Alpha Psi, Beta Gamma Sigma, Alpha Kappa Delta