U S Global (GROW) CFO reports restricted stock purchase under employee plan

Rhea-AI Filing Summary

U S Global Investors CFO Lisa Callicotte reported an “other” stock transaction involving company shares. On the reported date, a restricted stock purchase under the employee stock purchase plan covered 284 shares of Class A Common Stock at $3.33 per share. After this plan-related transaction, her directly held position in Class A Common Stock stood at 37,185 shares.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Callicotte Lisa

Role CFO

Type	Security	Shares	Price	Value
Other	Class A Common Stock	284	$3.33	$945.72

Holdings After Transaction: Class A Common Stock — 37,185 shares (Direct)

Footnotes (1)

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Form 4 Insider Transactions: What Each Field Means →

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^*

Callicotte Lisa

(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)

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

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)		284	A	$3.33	37,185	D

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.

FAQ

What did GROW CFO Lisa Callicotte report in this Form 4 filing?

Lisa Callicotte reported an “other” stock transaction involving company shares. The activity was a restricted stock purchase under an employee stock purchase plan, rather than a typical open-market buy or sell, and it affected her directly held Class A Common Stock position.

How many U S Global Investors (GROW) shares were involved in the CFO’s transaction?

The transaction involved 284 shares of U S Global Investors Class A Common Stock. These shares were tied to a restricted stock purchase under an employee stock purchase plan, rather than a standard market trade, according to the details reported for this Form 4 event.

At what price were the GROW shares transacted for the CFO’s Form 4 event?

The reported transaction price was $3.33 per share for the 284 Class A Common Stock shares. This price applies to the restricted stock purchase carried out under the company’s employee stock purchase plan, as described in the Form 4 footnote disclosure.

What is Lisa Callicotte’s direct U S Global Investors shareholding after this transaction?

Following the reported transaction, Lisa Callicotte directly held 37,185 shares of U S Global Investors Class A Common Stock. This figure reflects her position after giving effect to the restricted stock purchase under the employee stock purchase plan noted in the Form 4.

Was the GROW CFO’s Form 4 transaction part of an employee stock purchase plan?

Yes, the transaction was specifically described as a restricted stock purchase under an employee stock purchase plan. This indicates the activity was plan-based rather than a discretionary open-market trade, and it is categorized as an “other acquisition or disposition” transaction type.