GROW SEC Filing News — U.S. Global Investors, Inc.

Latest SEC filings for U.S. Global Investors, Inc. (GROW) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-01.

U.S. Global Investors, Inc. is a publicly owned investment manager. It primarily provides its services to investment companies. The firm is a large advisory firm, an investment adviser to an investment company which provides portfolio management for investment companies. The firm manages and launches equity/balanced funds, fixed income funds and other funds. It also manages hedge funds. The firm primarily invests in no-load mutual funds and exchange traded funds (ETFs). U.S. Global Investors, In…
Sector: Financial Services Industry: Asset Management Market Cap: $33.0M
12
Total Filings
0
Bullish Classifications
0
Bearish Classifications
8
Insider Transactions
2
Material Events (8-K)
2
Periodic Reports
What you're looking at: Each item below is parsed from an actual SEC filing submitted by U.S. Global Investors, Inc.. Form 4 = confirmed insider transaction · Form 144 = proposed sale notice · 8-K = material event (earnings, M&A, leadership change, etc.) · 10-Q / 10-K = quarterly / annual report.
GROW Filing Activity Snapshot 2026-06-05 — 2026-10-01
Insider Transactions (Form 4)
0 buys vs 0 sells
Insider buying and selling activity is balanced in this period.
Insider Transactions 8 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 8 filings in this group are Form 4s for U.S. Global Investors, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 8 insider filings shown, the breakdown is 8 other reported transaction. None of the classified filings involved a discretionary open-market trade, so this period says nothing about what insiders think of the price.

What each transaction type means

Other reported transaction ×8
The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.
Form 4 Other reported transaction Tax / Compensation Filing 2026-10-01

GROW insider Form 4 filed for equity award, exercise, or tax withholding

HOLMES FRANK E (Director, CEO/CIO, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code Nature Shares Price Value
J Other transaction 829 $2.88 $2.4K
Filing: Form 4 (Insider Transaction) Insider: HOLMES FRANK E (Director, CEO/CIO, 10% Owner) Shares: 829
View on SEC EDGAR → Open Filing Document →
Form 4 Other reported transaction Tax / Compensation Filing 2026-10-01

GROW insider Form 4 filed for equity award, exercise, or tax withholding

Callicotte Lisa (CFO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code Nature Shares Price Value
J Other transaction 328 $2.88 $944.64
Filing: Form 4 (Insider Transaction) Insider: Callicotte Lisa (CFO) Shares: 328
View on SEC EDGAR → Open Filing Document →
Form 4 Other reported transaction Tax / Compensation Filing 2026-09-01

GROW insider Form 4 filed for equity award, exercise, or tax withholding

HOLMES FRANK E (Director, CEO/CIO, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code Nature Shares Price Value
J Other transaction 729 $3.27 $2.4K
Filing: Form 4 (Insider Transaction) Insider: HOLMES FRANK E (Director, CEO/CIO, 10% Owner) Shares: 729
View on SEC EDGAR → Open Filing Document →
Form 4 Other reported transaction Tax / Compensation Filing 2026-09-01

GROW insider Form 4 filed for equity award, exercise, or tax withholding

Callicotte Lisa (CFO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code Nature Shares Price Value
J Other transaction 289 $3.27 $945.03
Filing: Form 4 (Insider Transaction) Insider: Callicotte Lisa (CFO) Shares: 289
View on SEC EDGAR → Open Filing Document →
Form 4 Other reported transaction Tax / Compensation Filing 2026-08-03

GROW insider Form 4 filed for equity award, exercise, or tax withholding

HOLMES FRANK E (Director, CEO/CIO, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code Nature Shares Price Value
J Other transaction 835 $2.86 $2.4K
Filing: Form 4 (Insider Transaction) Insider: HOLMES FRANK E (Director, CEO/CIO, 10% Owner) Shares: 835
View on SEC EDGAR → Open Filing Document →
Form 4 Other reported transaction Tax / Compensation Filing 2026-08-03

GROW insider Form 4 filed for equity award, exercise, or tax withholding

Callicotte Lisa (CFO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code Nature Shares Price Value
J Other transaction 331 $2.86 $946.66
Filing: Form 4 (Insider Transaction) Insider: Callicotte Lisa (CFO) Shares: 331
View on SEC EDGAR → Open Filing Document →
Form 4 Other reported transaction Tax / Compensation Filing 2026-07-01

GROW insider Form 4 filed for equity award, exercise, or tax withholding

HOLMES FRANK E (Director, CEO/CIO, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code Nature Shares Price Value
J Other transaction 764 $3.12 $2.4K
Filing: Form 4 (Insider Transaction) Insider: HOLMES FRANK E (Director, CEO/CIO, 10% Owner) Shares: 764
View on SEC EDGAR → Open Filing Document →
Form 4 Other reported transaction Tax / Compensation Filing 2026-07-01

GROW insider Form 4 filed for equity award, exercise, or tax withholding

Callicotte Lisa (CFO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code Nature Shares Price Value
J Other transaction 303 $3.12 $945.36
Filing: Form 4 (Insider Transaction) Insider: Callicotte Lisa (CFO) Shares: 303
View on SEC EDGAR → Open Filing Document →
Material Events 2 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 2 in this period for U.S. Global Investors, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-03

GROW filed 8-K — material company event

U S GLOBAL INVESTORS INC filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-06-08

GROW filed 8-K — material company event

U S GLOBAL INVESTORS INC filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Periodic Reports 2 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 1 annual report (10-K) and 1 quarterly report (10-Q) for U.S. Global Investors, Inc.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-K Annual Report 2026-09-03

GROW filed Annual Report (10-K)

U S GLOBAL INVESTORS INC filed its annual report with the SEC. This report includes audited financial statements, business overview, risk factors, and management discussion.

Filing: 10-K (Annual Report)
View on SEC EDGAR → Open Filing Document →
Form 10-Q/A Quarterly Report Amendment 2026-06-05

GROW filed amended Quarterly Report (10-Q/A)

U S GLOBAL INVESTORS INC filed its amended quarterly report with the SEC. This amendment updates or corrects a previously filed quarterly report.

Filing: 10-Q/A (Quarterly Report Amendment)
View on SEC EDGAR → Open Filing Document →

How we classify U.S. Global Investors, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on GROW. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — GROW SEC Filings

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.
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