CEO of U S Global Investors (NASDAQ: GROW) adds 907 shares via plan
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
U S GLOBAL INVESTORS INC CEO/CIO and 10% owner Frank E. Holmes reported an employee stock purchase plan transaction in Class A Common Stock. He acquired 907 shares coded as an “other” transaction at $2.63 per share through a restricted stock purchase.
Following this transaction, Holmes directly holds 300,120 Class A shares. He also indirectly holds 221,656.77 shares through a 401(k) and 32,862 shares through an IRA. These entries are compensation- and retirement-related, rather than open‑market trades.
Positive
- None.
Negative
- None.
Insider Trade Summary
3 transactions reported
Mixed
3 txns
Insider
HOLMES FRANK E
Role
CEO/CIO
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Other | Class A Common Stock | 907 | $2.63 | $2K |
| holding | Class A Common Stock | -- | -- | -- |
| holding | Class A Common Stock | -- | -- | -- |
Holdings After Transaction:
Class A Common Stock — 300,120 shares (Direct, null);
Class A Common Stock — 32,862 shares (Indirect, IRA)
Footnotes (1)
- [object Object]
Key Figures
Restricted shares acquired: 907 shares
Purchase price: $2.63 per share
Direct holdings after transaction: 300,120 shares
+2 more
5 metrics
Restricted shares acquired
907 shares
Class A Common Stock under employee stock purchase plan
Purchase price
$2.63 per share
Restricted stock purchase on April 30, 2026
Direct holdings after transaction
300,120 shares
Class A Common Stock held by Frank E. Holmes
401(k) indirect holdings
221,656.77 shares
Class A Common Stock held indirectly via 401(k)
IRA indirect holdings
32,862 shares
Class A Common Stock held indirectly via IRA
Key Terms
Form 4, employee stock purchase plan, restricted stock, 401(k), +1 more
5 terms
Form 4 regulatory
"This Form 4 reports insider holdings and a restricted stock purchase."
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
employee stock purchase plan financial
"Restricted stock purchase 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.
restricted stock financial
"Footnote describes the transaction as a restricted stock purchase."
Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.
401(k) financial
"Holmes indirectly holds shares through a 401(k) account."
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.
IRA financial
"Additional indirect holdings are reported through an IRA."
An individual retirement account (IRA) is a savings account designed to help people put aside money for their retirement, often with tax advantages that encourage long-term savings. It matters to investors because it can grow over time, providing financial security later in life, and offers benefits that can reduce current taxes or allow investments to compound more effectively.
FAQ
What insider transaction did GROW CEO Frank E. Holmes report?
Frank E. Holmes reported acquiring 907 shares of U S GLOBAL INVESTORS Class A Common Stock. The shares were obtained as a restricted stock purchase under an employee stock purchase plan, not through an open-market trade, and were priced at $2.63 per share.
What indirect GROW holdings does Frank Holmes report in retirement accounts?
Frank E. Holmes reports 221,656.77 U S GLOBAL INVESTORS Class A shares held indirectly in a 401(k) and 32,862 shares held indirectly in an IRA. These positions represent retirement-related holdings rather than direct trading activity in the open market.
What does transaction code J mean in this GROW Form 4 filing?
Transaction code J in this Form 4 represents an “other acquisition or disposition” event. Here, the footnote clarifies it as a restricted stock purchase under an employee stock purchase plan, indicating a compensation-related share acquisition instead of a standard market trade.