US Global Invstr SEC Filings

U.S. Global Investors (GROW) insider activity: the CEO/CIO, a director and 10% owner, reported acquiring 959 Class A shares on 10/31/2025 at $2.49 per share. The transaction is labeled Code J and described as a restricted stock purchase under an employee stock purchase plan.

Following the transaction, beneficial ownership stood at 294,848 shares direct, plus 32,862 shares held indirectly via an IRA and 221,656.77 shares held indirectly via a 401(k).

U.S. Global Investors (GROW) reported an insider transaction by its CFO, Lisa Callicotte. On 10/31/2025, she acquired 380 shares of Class A common stock at $2.49 (transaction code J), noted as a restricted stock purchase under the employee stock purchase plan. After this transaction, she directly owns 35,836 shares.

Frank E. Holmes, listed as CEO/CIO, director and a >10% owner of U S Global Investors Inc (GROW), reported a purchase of Class A common stock under the company's employee stock purchase plan. On 09/30/2025 he acquired 867 shares at $2.75 each, increasing his direct beneficial ownership to 293,889 shares. The filing also shows indirect holdings of 32,862 shares in an IRA and 221,656.77 shares in a 401(k). The form is signed on 10/01/2025 by Lisa Callicotte. The filing explicitly states the transaction was a restricted stock purchase under the employee stock purchase plan.

Lisa Callicotte, CFO of U S Global Investors Inc (GROW), acquired 344 shares of Class A common stock on 09/30/2025 at $2.75 per share under a restricted stock purchase through the company's employee stock purchase plan. After the transaction she beneficially owned 35,456 shares. The filing reports this as an internal compensation-related purchase rather than an open-market trade, indicating participation in the company’s employee equity program by a senior executive.

U.S. Global Investors, Inc. (GROW) reports its annual results and disclosures showing a concentrated investment profile, related-party exposures, and corporate controls commentary. The company held equity investments representing about 28.6% of total assets at June 30, 2025, and owned other investments including held-to-maturity debt of $948,000. Convertible debentures and related HIVE exposure totaled $1.6 million at June 30, 2025, with principal repayments receivable of $750,000 and debenture interest income of $457,000 in fiscal 2025. The company recognized realized losses related to expired HIVE warrants of $5.9 million in January 2024 and recorded realized gains on HIVE debenture repayments of $610,000 in 2025. Management disclosed an impairment that reduced Sonar carrying value to $0 and a realized loss of $175,000. The firm recorded an $80,000 change in allowance for credit losses attributable to passage of time for fiscal 2025. Dividend payments totaled $1.1 million to class A holders and $186,000 to class C holders. The company has ~$4.1 million remaining under its share repurchase authorization and noted that class C shareholders control 99.81% of voting power, allowing reliance on Nasdaq controlled-company exemptions.

US Global Investors Inc (GROW) Form 4: The reporting person, Frank E. Holmes (identified as Director, CEO/CIO and 10% owner), recorded a restricted stock purchase under an employee stock purchase plan. On 08/29/2025 the report lists acquisition of 978 Class A common shares at a price of $2.44 per share. The filing shows beneficial ownership following the reported transaction of 293,022 shares (Direct), plus 32,862 shares held indirectly in an IRA and 221,656.77 shares held indirectly in a 401(k). The form is signed on behalf of the reporting person by Lisa Callicotte on 09/02/2025. The filing includes the explanation: "Restricted stock purchase under employee stock purchase plan."