U.S. Global Investors: Gator buys 33,034 shares

Available on EDGAR 11/13/2026 - 03:08 PM EST Accepted by SEC EDGAR 11/13/2026 - 03:07 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

U.S. Global Investors Inc. (GROW) had 33,034 shares of its non-voting Class A common stock purchased for Gator Qualified Partners, LLC on November 6, 2026, at a weighted average price of $2.5032 per share. Gator Capital Management, LLC, a 10% owner, exercises investment discretion over the account. Aggregate beneficial ownership across accounts after the transaction was 1,162,333 shares; Gator Capital Management disclaimed beneficial ownership except to the extent of its pecuniary interest. No Rule 10b5-1 plan is reported.

Insider Trade Summary

Net Buyer: 33,034 shares

Net Buy 1 txn

Insider Gator Capital Management, LLC

Role 10% Owner

Bought 33,034 shs ($83K)

Type	Security	Shares	Price	Value
Purchase	Class A Common Stock (Non-Voting) F1, F2, F3	33,034	$2.5032	$83K

Holdings After Transaction: Class A Common Stock (Non-Voting) — 1,162,333 shares (Indirect, Investment Investment adviserwith discretion over multiple client accounts (See Footnote 1, 2 and 3))

Footnotes (3)

1. F1. Shares purchased in Gator Qualified Partners, LLC, an account over which Gator Capital Management, LLC exercises investment discretion.
2. F2. As of the date of this report, the Reporting Person’s aggregate beneficial ownership of 1,162,333 shares is held across the following accounts: Gator Financial Partners, LLC (937,228 shares); Gator Qualified Partners, LLC (142,740 shares); ECA Fund, LP (76,365 shares); Managed Account (6,000 shares). Gator Capital Management, LLC disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein.
3. F3. The price reported is a weighted average price. The reporting person will provide full information regarding the number of shares purchased at each separate price upon request to the SEC staff or the issuer.

Key Figures

Shares purchased: 33,034 shares Weighted average price: $2.5032 per share Aggregate beneficial ownership: 1,162,333 shares

3 metrics

Shares purchased 33,034 shares Non-voting Class A common stock purchased on November 6, 2026

Weighted average price $2.5032 per share Price for the reported purchase

Aggregate beneficial ownership 1,162,333 shares Held across four accounts as of the report date

Key Terms

weighted average price, beneficial ownership, pecuniary interest

3 terms

weighted average price financial

"price reported is a weighted average price"

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

beneficial ownership financial

"aggregate beneficial ownership of 1,162,333 shares"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

pecuniary interest financial

"except to the extent of its pecuniary interest therein"

FAQ

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

How many GROW shares did Gator Capital Management buy, and at what price?

Gator Capital Management, LLC reported that 33,034 shares of GROW’s non-voting Class A common stock were purchased for Gator Qualified Partners, LLC on November 6, 2026, at a weighted average price of $2.5032 per share. No Rule 10b5-1 plan is reported.

How were the 1,162,333 GROW shares held across accounts?

The reported aggregate beneficial ownership was held across four accounts: Gator Financial Partners, LLC held 937,228 shares; Gator Qualified Partners, LLC held 142,740; ECA Fund, LP held 76,365; and a Managed Account held 6,000. Gator Capital Management disclaimed beneficial ownership except to the extent of its pecuniary interest.

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

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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^*

Gator Capital Management, LLC

(Last) (First) (Middle)

2502 N. ROCKY POINT DR.

SUITE 665

(Street)

TAMPA FLORIDA 33607

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/06/2026

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 (Non-Voting)	11/06/2026		P		33,034	A	$2.5032	1,162,333	I	Investment Investment adviserwith discretion over multiple client accounts (See Footnote 1, 2 and 3)(1)(2)(3)

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. Shares purchased in Gator Qualified Partners, LLC, an account over which Gator Capital Management, LLC exercises investment discretion.

2. As of the date of this report, the Reporting Person’s aggregate beneficial ownership of 1,162,333 shares is held across the following accounts: Gator Financial Partners, LLC (937,228 shares); Gator Qualified Partners, LLC (142,740 shares); ECA Fund, LP (76,365 shares); Managed Account (6,000 shares). Gator Capital Management, LLC disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein.

3. The price reported is a weighted average price. The reporting person will provide full information regarding the number of shares purchased at each separate price upon request to the SEC staff or the issuer.

	/s/ Gator Capital Management, LLC	11/09/2026
	** 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)