U.S. Global Investors CEO logs ESPP share purchase

U.S. Global Investors CEO/CIO Frank E. Holmes reported an employee stock purchase plan transaction in Class A common stock.

Rhea-AI Filing Summary

U.S. Global Investors CEO/CIO Frank E. Holmes reported an employee stock purchase plan transaction in Class A common stock. On February 27, 2026, he acquired 716 shares at $3.33 per share through a restricted stock purchase under the plan, bringing his direct holdings to 298,250 shares. Indirectly, he reported 32,862 shares held in an IRA and 221,656.77 shares held in a 401(k) account.

Insider Trade Summary

Other: 716 shares

Other 3 txns

Insider HOLMES FRANK E

Role CEO/CIO

Type	Security	Shares	Price	Value
Other	Class A Common Stock	716	$3.33	$2K
holding	Class A Common Stock	--	--	--
holding	Class A Common Stock	--	--	--

Holdings After Transaction: Class A Common Stock — 298,250 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.

FAQ

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

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

Frank E. Holmes reported an employee stock purchase plan transaction in Class A common stock, involving a restricted stock purchase. The filing classifies this activity under an “other acquisition or disposition” code rather than a standard open-market buy or sell transaction.

How many U.S. Global Investors (GROW) shares were acquired in the plan?

The filing shows 716 Class A common shares acquired at $3.33 per share through a restricted stock purchase under an employee stock purchase plan. This increased Frank E. Holmes’ directly held position as part of his ongoing equity ownership in the company.

What are Frank E. Holmes’ direct GROW share holdings after the transaction?

After the reported employee stock purchase plan transaction, Frank E. Holmes directly holds 298,250 shares of U.S. Global Investors Class A common stock. This figure reflects his updated direct ownership as of the February 27, 2026 reporting date in the Form 4.

What indirect GROW holdings does Frank E. Holmes report in retirement accounts?

Frank E. Holmes reports indirect ownership of 32,862 Class A shares in an IRA and 221,656.77 Class A shares in a 401(k) account. These positions are listed as indirect holdings, separate from his directly owned U.S. Global Investors stock.

What does transaction code J mean in this GROW Form 4 filing?

In this Form 4, transaction code J is described as “Other acquisition or disposition,” and the footnote clarifies it as a restricted stock purchase under an employee stock purchase plan. It is not labeled as a typical open-market buy or sell trade.

On what date did the reported GROW insider stock transaction occur?

The reported transaction in U.S. Global Investors Class A common stock occurred on February 27, 2026. That date applies to the restricted stock purchase under the employee stock purchase plan and the updated direct and indirect holdings reported.

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

Form 4 Insider Transactions: What Each Field Means →

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Accepted by SEC EDGAR 03/02/2026 - 03:07 PM EST 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 TX 78229

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
02/27/2026

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

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

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

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	02/27/2026	02/27/2026	J(1)		716	A	$3.33	298,250	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	03/02/2026
	** 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.