Marygold director Matt Gonzalez gets 2,538-share grant

Of the restricted award, 212 shares vested on the grant date, with monthly vesting thereafter through November 5, 2027.

Available on EDGAR 11/09/2026 - 11:21 AM EST Accepted by SEC EDGAR 11/09/2026 - 11:21 AM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Marygold Companies, Inc. director Matt Gonzalez received 2,538 restricted common shares on November 6, 2026, with a reported price of $1.97 per share, as compensation for director services from November 6, 2026 through November 5, 2027. Of these, 212 shares vested on the grant date, with monthly vesting thereafter and full vesting on November 5, 2027; his direct common-stock holdings after the grant were 17,317 shares. A general partnership in which Gonzalez is a 50% partner held 11,670 Series B preferred shares after a reported September 8, 2010 exercise/conversion; each preferred share is convertible into 20 common shares without additional consideration, and 233,400 underlying common shares are reported.

Insider Trade Summary

11,670 shares exercised/converted

Exercise 2 txns

Insider Gonzalez Matt

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	2,538	$1.97	$5K
Exercise	Series B, Convertible, Voting, Preferred Stock F2	11,670	$0.24	$3K

Holdings After Transaction: Series B, Convertible, Voting, Preferred Stock — 11,670 shares (Direct); Common Stock — 17,317 shares (Direct)

Holdings Before and After: Series B, Convertible, Voting, Preferred Stock, 0 to 11,670 shares (Direct); Common Stock, 14,779 to 17,317 shares (Direct)

Footnotes (2)

1. F1. Restricted shares granted November 6, 2026, as compensation for services as a director for the period November 6, 2026 through November 5, 2027. 212 shares vested on November 6, 2026, and monthly thereafter and fully vested on November 5, 2027.
2. F2. The shares of Series B Convertible, Voting, Preferred Stock ("Series B Preferred Stock") are owned by a general partnership of which the reporting person is a 50% partner. Each share of Series B Preferred Stock is convertible at any time into 20 shares of common stock, $0.001 par value per share, of the issuer and without payment of additional consideration therefore.

Key Figures

Restricted common shares granted: 2,538 shares Reported price per share: $1.97 per share Shares vested on grant date: 212 shares +4 more

7 metrics

Restricted common shares granted 2,538 shares Director compensation grant on November 6, 2026

Reported price per share $1.97 per share Restricted share grant

Shares vested on grant date 212 shares November 6, 2026

Direct common-stock holdings after grant 17,317 shares Matt Gonzalez, following the November 6, 2026 grant

Series B preferred shares after exercise/conversion 11,670 shares General partnership in which Matt Gonzalez is a 50% partner; September 8, 2010

Underlying common shares 233,400 shares Convertible from the Series B preferred shares

Conversion ratio 20 common shares per preferred share Series B preferred stock

Key Terms

Restricted shares, Series B Convertible, Voting, Preferred Stock, par value

3 terms

Restricted shares financial

"Restricted shares granted November 6, 2026"

Restricted shares are company stock that cannot be sold or transferred immediately because they are subject to legal or contractual limits, such as a required holding period or performance conditions. They matter to investors because these locked-up shares can affect a company’s available stock for trading, future dilution, and insider incentives—imagine a gift that can’t be cashed until certain conditions are met, which changes when and how much supply can suddenly enter the market.

Series B Convertible, Voting, Preferred Stock financial

"shares of Series B Convertible, Voting, Preferred Stock"

par value financial

"common stock, $0.001 par value per share"

Par value is the fixed amount printed on a bond or stock that represents its original value when issued. It’s like the face value of a coin or bill—what the issuer promises to pay back or the starting price of a stock—though it often doesn’t change with market prices. It matters because it helps determine certain financial details, like how much the company will pay back at maturity.

FAQ

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

How many MGLD shares did director Matt Gonzalez receive?

Matt Gonzalez received 2,538 restricted common shares on November 6, 2026, with a reported price of $1.97 per share. The award covered director services from November 6, 2026 through November 5, 2027; 212 shares vested on the grant date, with monthly vesting thereafter and full vesting on November 5, 2027.

How many common shares can MGLD Series B preferred stock convert into?

The 11,670 Series B preferred shares held by a general partnership in which Matt Gonzalez is a 50% partner are convertible into 233,400 common shares. Each preferred share is convertible into 20 common shares without additional consideration.

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

Form 4 Insider Transactions: What Each Field Means →

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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^*

Gonzalez Matt

(Last) (First) (Middle)

120 CALLE IGLESIA, UNIT B

(Street)

SAN CLEMENTE CALIFORNIA 92672

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Marygold Companies, Inc. [ MGLD ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/06/2026

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
Common Stock	11/06/2026		A(1)		2,538	A	$1.97	17,317	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
Series B, Convertible, Voting, Preferred Stock	(2)	09/08/2010		M		11,670(2)		(2)	(2)	Common Stock	233,400	$0.24	11,670(2)	D

Explanation of Responses:

1. Restricted shares granted November 6, 2026, as compensation for services as a director for the period November 6, 2026 through November 5, 2027. 212 shares vested on November 6, 2026, and monthly thereafter and fully vested on November 5, 2027.

2. The shares of Series B Convertible, Voting, Preferred Stock ("Series B Preferred Stock") are owned by a general partnership of which the reporting person is a 50% partner. Each share of Series B Preferred Stock is convertible at any time into 20 shares of common stock, $0.001 par value per share, of the issuer and without payment of additional consideration therefore.

	/s/ Matt Gonzalez	11/09/2026
	** 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)