Welcome to our dedicated page for US Global Invstr SEC filings (Ticker: GROW), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
U.S. Global Investors Inc. filings document formal disclosures for a registered investment adviser whose revenue is generated by investment management services. Recent Item 2.02 Form 8-K reports furnish quarterly and fiscal-year earnings releases, including assets under management, operating revenue, investment income and profitability for the advisory business.
The company’s Exchange Act filings also record dividend-related other events, fund and ETF strategy updates, and reporting-status matters such as Form 12b-25 notifications for delayed periodic reports. These filings provide the formal record of GROW’s operating results disclosures, corporate investment activity, shareholder distributions and public-company compliance obligations.
U.S. Global Investors CEO/CIO Frank E. Holmes reported updated holdings of Class A Common Stock. The filing shows a transaction on June 30, 2026 labeled as an "other" transaction, where 764 shares of restricted stock were purchased under an employee stock purchase plan at $3.12 per share, bringing his direct holdings to 301,788 shares.
Holmes also reported indirect holdings of 221,656.77 shares in a 401(k) account and 32,862 shares in an IRA after the same date. These additional entries are reported as holdings rather than open-market trades, so the filing mainly updates the structure and location of his ownership.
U S Global Investors CFO Lisa Callicotte reported an internal equity transaction involving 303 shares of Class A Common Stock at $3.12 per share. The footnote describes this as a restricted stock purchase under an employee stock purchase plan. Following the transaction, she directly holds 38,588 shares, indicating a routine, small-scale adjustment to her equity position rather than an open-market trade.
U.S. Global Investors, Inc. filed an amended Form 10‑Q/A and an 8‑K after restating earnings per share (EPS) for the three and nine months ended March 31, 2026. A clerical omission understated weighted‑average shares, causing basic and diluted EPS to fall from $0.23 to $0.21 for the quarter and from $0.27 to $0.26 for the nine‑month period. The company states that net income, revenue, cash, and all other financial statement line items were unchanged.
Despite the EPS restatement, results show a strong quarter. Net income was $2.7 million, or $0.21 per share, compared with a net loss a year earlier. Operating revenues were $2.8 million, up 10% from the prior quarter and 31% from the same quarter in 2025, with average assets under management of $1.6 billion. Management also highlighted having repurchased more than 20% of outstanding shares over the past five years.
U.S. Global Investors, Inc. restated its March 31, 2026 quarter to correct earnings per share. The company identified an error that understated basic and diluted weighted‑average shares, which had overstated EPS. For the nine months, basic and diluted EPS were reduced by $0.01 to $0.26. For the three months, basic and diluted EPS were reduced by $0.02 to $0.21. Net income remained $3.3 million for the nine months and $2.7 million for the quarter, with no impact on revenues, expenses, cash flows, or period‑end shares.
Management concluded this error reflects a material weakness in internal control over financial reporting, tied to a review control over share‑count calculations that did not operate at sufficient precision. The company is implementing enhanced review procedures and strengthened spreadsheet controls. Operationally, nine‑month operating revenue was $7.5 million, net investment income was $4.5 million, and total assets were $48.9 million, supported by significant investment holdings.
U.S. Global Investors, Inc. insider activity centers on investment adviser-controlled accounts buying additional non-voting Class A shares. Derek Steven Pilecki, identified as a control person, reported two open-market purchases totaling 20,826 shares of Class A Common Stock (Non-Voting) at prices around $2.60 per share. Following these trades, the filing shows aggregate beneficial ownership of 1,121,593 shares held across Gator Financial Partners, LLC, Gator Qualified Partners, LLC, ECA Fund, LP, and a managed account, where Gator Capital Management, LLC exercises investment discretion and disclaims beneficial ownership except for its pecuniary interest.
Gator Capital Management, LLC, a more than ten percent holder of U S Global Investors, Inc., reported open-market purchases of Class A Common Stock (Non-Voting) made for client accounts over which it has investment discretion.
On June 2 and 3, it bought a total of 20,826 shares at weighted average prices of about $2.59–$2.60 per share. Following these transactions, its reported aggregate beneficial ownership is 1,121,593 Class A shares, held across several pooled investment vehicles and a managed account.
The filing notes these holdings are in entities such as Gator Financial Partners, LLC, Gator Qualified Partners, LLC, ECA Fund, LP, and a managed account, and that Gator Capital Management disclaims beneficial ownership except to the extent of its pecuniary interest.
Gator Capital Management, LLC, a ten percent owner of U S Global Investors, Inc. (GROW), reported a series of open-market purchases of Class A Common Stock (Non-Voting) during May 2026. Across nine transactions from May 1 to May 28, it bought 38,293 shares at prices generally around the mid‑$2.50s per share.
After these trades, the Form 4 and footnotes state that 1,100,767 shares are beneficially owned in the aggregate, held across Gator Financial Partners, LLC, Gator Qualified Partners, LLC, ECA Fund, LP, and a managed account, over which Gator Capital exercises investment discretion. The firm disclaims beneficial ownership except to the extent of its pecuniary interest. One transaction price is disclosed as a weighted average, and the filing notes that this Form 4 is being filed late.
U S Global Investors Inc saw adviser-managed client accounts associated with control person Derek Steven Pilecki buy a net 38,293 shares of Class A non-voting common stock in open-market transactions during May 2026, at prices around $2.55–$2.63 per share.
According to the disclosure, a total of 1,100,767 shares is held across Gator Financial Partners, LLC, Gator Qualified Partners, LLC, ECA Fund, LP, and a managed account, and Gator Capital Management, LLC disclaims beneficial ownership except to the extent of its pecuniary interest. The Form 4 notes that it is being filed late.
Gator Capital Management, LLC, an investment adviser, reported initial beneficial ownership of 1,062,474 shares of U S Global Investors Inc. Class A Non‑Voting Common Stock through multiple client accounts. The firm holds these shares with investment discretion and disclaims beneficial ownership beyond its pecuniary interest.
The filing notes that Gator Capital became a more than 10% beneficial owner on April 1, 2026, after the issuer’s share repurchase program reduced shares outstanding. The Form 3 was filed late, and the reporting person explains it had been monitoring ownership using earlier 10‑Q share counts.
U S Global Investors, Inc. disclosed that investment adviser Gator Capital Management, LLC, together with its managing member Derek Pilecki, became a more than 10% beneficial owner of the company’s Class A Common Stock (Non-Voting) as of April 1, 2026.
The filing reports indirect beneficial ownership of 1,062,474 shares held across multiple client accounts over which Gator Capital Management has investment discretion. These include Gator Financial Partners, LLC with 916,799 shares, Gator Qualified Partners, LLC with 64,753 shares, ECA Fund, LP with 74,922 shares, and an individual managed account with 6,000 shares.
The 10% threshold was crossed after a reduction in U S Global Investors’ shares outstanding from its share repurchase program, as reflected in the company’s Form 10-Q for the period ended December 31, 2025. Gator Capital Management and Derek Pilecki disclaim beneficial ownership beyond their pecuniary interest.