U.S. Global CEO buys 729 shares at $3.27

CEO/CIO Frank E. Holmes’ restricted purchase on Aug. 31, 2026 increased his direct GROW holdings to 303,352 shares at $3.27 each.

Rhea-AI Filing Summary

U S GLOBAL INVESTORS INC (GROW) reported that CEO/CIO and ten percent owner Frank E. Holmes acquired Class A Common Stock on August 31, 2026. He obtained 729 shares at $3.27 per share in a restricted stock purchase under an employee stock purchase plan, bringing his direct holdings to 303,352 shares. Reported indirect holdings include 32,862 shares in an IRA and 221,656.77 shares in a 401(k) account.

Insider Trade Summary

Other: 729 shares

Other 3 txns

Insider HOLMES FRANK E

Role CEO/CIO

Type	Security	Shares	Price	Value
Other	Class A Common Stock F1	729	$3.27	$2K
holding	Class A Common Stock	--	--	--
holding	Class A Common Stock	--	--	--

Holdings After Transaction: Class A Common Stock — 303,352 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: 729 shares of Class A Common Stock Purchase price: $3.27 per share Direct holdings after transaction: 303,352 shares +2 more

5 metrics

Shares acquired 729 shares of Class A Common Stock Restricted stock purchase on August 31, 2026 under employee stock purchase plan

Purchase price $3.27 per share Price for the 729 acquired shares of Class A Common Stock

Direct holdings after transaction 303,352 shares Direct ownership of Class A Common Stock following August 31, 2026 acquisition

Indirect IRA holdings 32,862 shares Indirect ownership in IRA as of August 31, 2026

Indirect 401(k) holdings 221,656.77 shares Indirect ownership in 401(k) as of August 31, 2026

Key Terms

restricted stock, employee stock purchase plan, Class A Common Stock, indirect ownership

4 terms

restricted stock financial

"Restricted stock purchase under employee stock purchase plan."

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.

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.

Class A Common Stock financial

"security_title: 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.

indirect ownership financial

"Indirect ownership reported via IRA and 401(k) accounts."

FAQ

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

What insider transaction in GROW did Frank E. Holmes report?

Frank E. Holmes reported acquiring 729 shares of U S GLOBAL INVESTORS INC Class A Common Stock on August 31, 2026 through a restricted stock purchase under an employee stock purchase plan at a price of $3.27 per share.

What is Frank E. Holmes’ direct share ownership in GROW after this Form 4?

After the reported transaction, Frank E. Holmes directly holds 303,352 shares of U S GLOBAL INVESTORS INC Class A Common Stock, according to the Form 4 holdings data for August 31, 2026.

At what price were the newly acquired GROW shares purchased?

The newly acquired U S GLOBAL INVESTORS INC Class A Common Stock shares were purchased at $3.27 per share in a restricted stock purchase under an employee stock purchase plan.

Were the GROW shares acquired under an employee stock purchase plan?

Yes. A footnote states the transaction was a restricted stock purchase under an employee stock purchase plan, indicating the shares were obtained through a company-sponsored plan rather than an open-market trade.

What indirect GROW shareholdings does Frank E. Holmes report?

Frank E. Holmes reports indirect ownership of 32,862 shares held in an IRA and 221,656.77 shares held in a 401(k) account, in addition to his direct holdings of 303,352 shares.

What security class is involved in Frank E. Holmes’ GROW Form 4 filing?

All reported positions in the Form 4 relate to Class A Common Stock of U S GLOBAL INVESTORS INC, including the 729-share acquisition and the direct and indirect holdings.

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

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Available on EDGAR 09/01/2026 - 06:27 PM EDT Accepted by SEC EDGAR 09/01/2026 - 06:26 PM EDT 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)
08/31/2026

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	08/31/2026	08/31/2026	J(1)		729	A	$3.27	303,352	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	09/01/2026
	** 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)