U.S. Global CEO buys 764 shares at $3.12
U.S. Global Investors CEO/CIO Frank E. Holmes reported updated holdings of Class A Common Stock.
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Form Type
4
Rhea-AI Filing Summary
U.S. Global Investors CEO/CIO Frank E. Holmes reported updated holdings of Class A Common Stock. The filing shows a transaction on June 30, 2026 labeled as an "other" transaction, where 764 shares of restricted stock were purchased under an employee stock purchase plan at $3.12 per share, bringing his direct holdings to 301,788 shares.
Holmes also reported indirect holdings of 221,656.77 shares in a 401(k) account and 32,862 shares in an IRA after the same date. These additional entries are reported as holdings rather than open-market trades, so the filing mainly updates the structure and location of his ownership.
Insider Trade Summary
Other: 764 shares
Other
3 txns
Insider
HOLMES FRANK E
Role
CEO/CIO
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Other | Class A Common Stock | 764 | $3.12 | $2K |
| holding | Class A Common Stock | -- | -- | -- |
| holding | Class A Common Stock | -- | -- | -- |
Holdings After Transaction:
Class A Common Stock — 301,788 shares (Direct);
Class A Common Stock — 32,862 shares (Indirect, IRA);
Class A Common Stock — 221,656.77 shares (Indirect, 401(k))
Footnotes (1)
- F1. Restricted stock purchase under employee stock purchase plan.
Key Figures
Restricted shares purchased: 764 shares
Purchase price: $3.12 per share
Direct holdings after transaction: 301,788 shares
+2 more
5 metrics
Restricted shares purchased
764 shares
Restricted stock purchase under employee stock purchase plan on June 30, 2026
Purchase price
$3.12 per share
Price for 764 restricted shares under employee stock purchase plan
Direct holdings after transaction
301,788 shares
Class A Common Stock directly owned after June 30, 2026 transaction
401(k) indirect holdings
221,656.77 shares
Class A Common Stock held indirectly via 401(k) as of June 30, 2026
IRA indirect holdings
32,862 shares
Class A Common Stock held indirectly via IRA as of June 30, 2026
Key Terms
Class A Common Stock, employee stock purchase plan, restricted stock, 401(k), +1 more
5 terms
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.
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
"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.
401(k) financial
"nature_of_ownership": "401(k)""
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
"nature_of_ownership": "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
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What insider transaction did GROW CEO Frank E. Holmes report on June 30, 2026?
Frank E. Holmes reported an "other" transaction involving 764 shares of Class A Common Stock at $3.12 per share. The footnote states this was a restricted stock purchase under an employee stock purchase plan, rather than an open-market trade.
What indirect GROW holdings did Frank E. Holmes report in his 401(k) account?
Holmes reported indirect ownership of 221,656.77 shares of U.S. Global Investors Class A Common Stock in a 401(k) account as of June 30, 2026. This entry is categorized as a holding, updating the share balance rather than disclosing an open-market transaction.
Was the June 30, 2026 GROW insider transaction an open-market buy or sale?
The June 30, 2026 transaction is coded "J" for other acquisition or disposition and priced at $3.12 per share. A footnote clarifies it was a restricted stock purchase under an employee stock purchase plan, not a standard open-market purchase or sale.
Does the June 30, 2026 GROW Form 4 show any derivative security exercises?
No derivative exercises are shown in this Form 4. The derivative section is empty, and the transaction summary lists zero derivative transactions, indicating the filing only covers common stock holdings and a restricted stock purchase under the employee stock purchase plan.
AI-generated analysis. How Rhea-AI works. Not financial advice.
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