U.S. Global Investors CEO acquires 829 shares

The CEO/CIO's direct holdings stood at 304,181 shares after the purchase, alongside indirect positions through an IRA and a 401(k).

Rhea-AI Filing Summary

U S Global Investors (GROW) CEO/CIO, director and ten percent owner Frank E. Holmes acquired 829 shares of Class A Common Stock at $2.88 per share on September 30, 2026, in a restricted stock purchase under the employee stock purchase plan. His reported direct holdings afterward were 304,181 shares. The report also lists indirect holdings of 32,862 shares in an IRA and 221,657 shares in a 401(k).

Insider Trade Summary

Other: 829 shares

Other 3 txns

Insider HOLMES FRANK E

Role CEO/CIO

Type	Security	Shares	Price	Value
Other	Class A Common Stock F1	829	$2.88	$2K
holding	Class A Common Stock	--	--	--
holding	Class A Common Stock	--	--	--

Holdings After Transaction: Class A Common Stock — 304,181 shares (Direct); Class A Common Stock — 32,862 shares (Indirect, IRA); Class A Common Stock — 221,656.77 shares (Indirect, 401(k))

Footnotes (1)

1. F1. Restricted stock purchase under employee stock purchase plan.

Key Figures

Shares acquired: 829 shares Price per share: $2.88 per share Direct shares following transaction: 304,181 shares +2 more

5 metrics

Shares acquired 829 shares Restricted stock purchase on September 30, 2026

Price per share $2.88 per share Restricted stock purchase on September 30, 2026

Direct shares following transaction 304,181 shares September 30, 2026

IRA-held shares 32,862 shares Indirect holdings reported September 30, 2026

401(k)-held shares 221,657 shares Indirect holdings reported September 30, 2026

Key Terms

restricted stock purchase, employee stock purchase plan, Class A Common Stock, 401(k)

4 terms

restricted stock purchase financial

"Restricted stock purchase under employee stock purchase plan."

employee stock purchase plan financial

"under employee stock purchase plan"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Class A Common Stock financial

"829 shares of Class A Common Stock"

Class A common stock is a category of a company’s shares that carries a specific set of ownership rights—most commonly defined voting power and claims on dividends—set out in the company’s charter. For investors it matters because the class determines how much influence you have over corporate decisions, the share’s likely dividend and trading behavior, and how it compares in value to other share classes, like choosing a particular seat with different privileges at the company’s decision-making table.

401(k) financial

"401(k) holdings"

A 401(k) is a type of retirement savings plan offered by employers that allows workers to set aside a portion of their paycheck before taxes are taken out. The money saved in a 401(k) can grow over time through investments, helping individuals build funds for their future retirement. It matters to investors because it provides a tax-advantaged way to save and invest for long-term financial security.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many GROW shares did Frank E. Holmes acquire?

Frank E. Holmes acquired 829 shares at $2.88 per share on September 30, 2026, in a restricted stock purchase under the employee stock purchase plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/01/2026 - 01:34 PM Accepted by SEC EDGAR 10/01/2026 - 01:34 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

HOLMES FRANK E

(Last) (First) (Middle)

7900 CALLAGHAN ROAD

(Street)

SAN ANTONIO TEXAS 78229

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
U S GLOBAL INVESTORS INC [ GROW ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	CEO/CIO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/30/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Class A Common Stock	09/30/2026	09/30/2026	J(1)		829	A	$2.88	304,181	D
Class A Common Stock								32,862	I	IRA
Class A Common Stock								221,656.77	I	401(k)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Restricted stock purchase under employee stock purchase plan.

	Lisa Callicotte	10/01/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)