U.S. Global Investors Inc. filings document formal disclosures for a registered investment adviser whose revenue is generated by investment management services. Recent Item 2.02 Form 8-K reports furnish quarterly and fiscal-year earnings releases, including assets under management, operating revenue, investment income and profitability for the advisory business.
The company’s Exchange Act filings also record dividend-related other events, fund and ETF strategy updates, and reporting-status matters such as Form 12b-25 notifications for delayed periodic reports. These filings provide the formal record of GROW’s operating results disclosures, corporate investment activity, shareholder distributions and public-company compliance obligations.
U S Global Investors Inc. filed a Form 13F reporting its institutional equity holdings as of the filing, signed in San Antonio on 10-21-2025. The report lists 171 holdings with a combined Form 13F value of $885,802,999. The filing was signed by Lisa Callicotte, CFO.
Frank E. Holmes, listed as CEO/CIO, director and a >10% owner of U S Global Investors Inc (GROW), reported a purchase of Class A common stock under the company's employee stock purchase plan. On 09/30/2025 he acquired 867 shares at $2.75 each, increasing his direct beneficial ownership to 293,889 shares. The filing also shows indirect holdings of 32,862 shares in an IRA and 221,656.77 shares in a 401(k). The form is signed on 10/01/2025 by Lisa Callicotte. The filing explicitly states the transaction was a restricted stock purchase under the employee stock purchase plan.
Lisa Callicotte, CFO of U S Global Investors Inc (GROW), acquired 344 shares of Class A common stock on 09/30/2025 at $2.75 per share under a restricted stock purchase through the company's employee stock purchase plan. After the transaction she beneficially owned 35,456 shares. The filing reports this as an internal compensation-related purchase rather than an open-market trade, indicating participation in the company’s employee equity program by a senior executive.
U.S. Global Investors, Inc. filed Amendment No. 1 to its annual report for the year ended June 30, 2025. The amendment is solely to correct the dates on the Section 906 certifications signed by the Chief Executive Officer and Chief Financial Officer; all other disclosures from the original filing remain unchanged and are not updated for subsequent events.
The filing confirms the company’s Class A common stock trades on the NASDAQ Capital Market under the symbol GROW and lists existing corporate governance and contractual exhibits, including stock incentive plans, advisory and distribution agreements, and codes of ethics. It also notes that shares of Class A and Class C common stock were held by nonaffiliates as of December 31, 2024, and provides share counts for each class as of August 21, 2025.
U.S. Global Investors, Inc. filed a current report to notify investors that it has released a press release with its earnings and other financial results for the fiscal year ended June 30, 2025. The company states that this press release, dated September 8, 2025, is being furnished as Exhibit 99.1 to the report rather than filed, which affects how it is treated under securities laws. The filing also notes that the information in the exhibit is not automatically incorporated into other securities filings unless specifically referenced.
U.S. Global Investors, Inc. (GROW) reports its annual results and disclosures showing a concentrated investment profile, related-party exposures, and corporate controls commentary. The company held equity investments representing about 28.6% of total assets at June 30, 2025, and owned other investments including held-to-maturity debt of $948,000. Convertible debentures and related HIVE exposure totaled $1.6 million at June 30, 2025, with principal repayments receivable of $750,000 and debenture interest income of $457,000 in fiscal 2025. The company recognized realized losses related to expired HIVE warrants of $5.9 million in January 2024 and recorded realized gains on HIVE debenture repayments of $610,000 in 2025. Management disclosed an impairment that reduced Sonar carrying value to $0 and a realized loss of $175,000. The firm recorded an $80,000 change in allowance for credit losses attributable to passage of time for fiscal 2025. Dividend payments totaled $1.1 million to class A holders and $186,000 to class C holders. The company has ~$4.1 million remaining under its share repurchase authorization and noted that class C shareholders control 99.81% of voting power, allowing reliance on Nasdaq controlled-company exemptions.
US Global Investors Inc (GROW) Form 4: The reporting person, Frank E. Holmes (identified as Director, CEO/CIO and 10% owner), recorded a restricted stock purchase under an employee stock purchase plan. On 08/29/2025 the report lists acquisition of 978 Class A common shares at a price of $2.44 per share. The filing shows beneficial ownership following the reported transaction of 293,022 shares (Direct), plus 32,862 shares held indirectly in an IRA and 221,656.77 shares held indirectly in a 401(k). The form is signed on behalf of the reporting person by Lisa Callicotte on 09/02/2025. The filing includes the explanation: "Restricted stock purchase under employee stock purchase plan."
Insider transaction summary: Lisa Callicotte, Chief Financial Officer of U S Global Investors Inc (GROW), purchased 388 shares of Class A Common Stock on 08/29/2025 at a price of $2.44 per share. After the transaction she beneficially owned 35,112 shares. The filing indicates the purchase was a restricted stock purchase under an employee stock purchase plan as noted in the explanation. The Form 4 was signed by Lisa Callicotte on 09/02/2025 and reports the transaction code J(1).
Schedule 13G/A filed 06/30/2025 reports that Gator Capital Management, LLC, its affiliate Gator Financial Partners, LLC, portfolio vehicle ECA Fund, LP and Managing Member Derek Pilecki together hold a passive position in U.S. Global Investors, Inc. (Class A, ticker GROW).
- Total beneficial ownership: 684,223 shares
- % of class: 6.18 %
- Key entities: Gator Financial Partners (625,223 shares; 5.64 %), ECA Fund LP (53,000 shares; 0.48 %)
- Voting/Dispositive power: 100 % shared; none sole
- Rule cited: 13d-1(b)/(c); certifies the stake is not for the purpose of influencing control
The 5 % threshold triggers reporting status but the amendment supplies no transaction details, purchase dates or prior ownership levels. It simply confirms that, as of 05/25/2025, the Gator group is a significant passive holder of GROW shares.