Welcome to our dedicated page for US Global Invstr SEC filings (Ticker: GROW), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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. reported a solid turnaround for the quarter ended March 31, 2026, posting net income of $2.7 million, or $0.23 per share, compared with a net loss of $0.03 per share a year earlier. Operating revenues were $2.8 million, up 10% from the prior quarter and 31% year over year, driven by strength in gold and natural resources strategies, which helped lift average assets under management to $1.6 billion.
The firm also highlighted rapid growth in its U.S. Global Technology and Aerospace & Defense ETF (WAR), whose assets nearly doubled to about $20 million over the quarter, and continued resilience in its airline (JETS) and shipping (SEA) ETFs. Shareholder returns remain a focus: shareholder yield for the 12 months ended March 31, 2026, was 9.96%, supported by monthly dividends of $0.0075 per share through June 2026 and an active buyback program that repurchased 776,299 shares over the past year.
The company ended the quarter with approximately $36.2 million in net working capital and $24.6 million in cash and cash equivalents, indicating a strong liquidity position. Management plans to discuss these results on a webcast scheduled for May 14, 2026.
U.S. Global Investors, Inc. reports a return to profitability for the quarter and nine months ended March 31, 2026, driven largely by investment gains. For the nine‑month period, operating revenue from advisory and administrative fees rose to $7.524 million from $6.492 million, while operating expenses were $8.039 million, yielding an operating loss of $0.515 million, narrower than the prior year’s loss.
Net investment income increased to $4.482 million from $1.819 million, supported by unrealized gains on trading securities and other investments. As a result, nine‑month net income improved to $3.338 million versus a net loss of $0.153 million a year earlier, with basic and diluted EPS of $0.27 compared with a loss of $(0.01) per share. For the March 2026 quarter, net income was $2.677 million versus a loss of $0.382 million.
Total assets were $48.921 million at March 31, 2026, including cash, cash equivalents, and restricted cash of $25.575 million and trading securities at fair value of $12.428 million. Shareholders’ equity increased to $46.048 million, reflecting earnings despite ongoing share repurchases. The company repurchased 597,861 Class A shares for about $1.6 million in the first nine months of fiscal 2026 and continued monthly cash dividends of $0.0075 per share, authorized through June 2026. Assets under management, including ETFs and USGIF funds, were approximately $1.4 billion at March 31, 2026, up from about $1.2 billion a year earlier.
U.S. Global Investors, Inc. ownership disclosure: a group led by Gator Capital Management, LLC and associated entities reports beneficial ownership of Class A shares. Gator Capital Management, LLC and Derek Pilecki each report 1,041,374 shares (9.93%). The filing is a joint Schedule 13G/A.
U S Global Investors Inc filed a Form 13F reporting $857,577,723 in equity holdings across 162 information-table entries. The report, signed by CFO Lisa Callicotte, is dated 05-01-2026. The filing states Number of Other Included Managers: 0.
U S GLOBAL INVESTORS INC CEO/CIO and 10% owner Frank E. Holmes reported an employee stock purchase plan transaction in Class A Common Stock. He acquired 907 shares coded as an “other” transaction at $2.63 per share through a restricted stock purchase.
Following this transaction, Holmes directly holds 300,120 Class A shares. He also indirectly holds 221,656.77 shares through a 401(k) and 32,862 shares through an IRA. These entries are compensation- and retirement-related, rather than open‑market trades.
U S Global Investors CFO Lisa Callicotte reported a routine compensation-related stock transaction. She acquired 359 shares of Class A Common Stock at $2.63 per share through a restricted stock purchase under the company’s employee stock purchase plan. Following this transaction, she directly holds 37,926 Class A shares.
US Global Investors Inc reported that Vanguard Capital Management beneficially owns 582,173 shares of common stock, representing 5.55% of the class. The filing states Vanguard has sole dispositive power over 582,173 shares and sole voting power for 65,092 shares. The reporting party indicates these holdings include securities held for Vanguard-managed funds and other clients; ownership is reported on behalf of multiple managed accounts and investment companies.
U S Global Investors Inc CEO/CIO Frank E. Holmes reported a Form 4 showing an “other” transaction involving 963 shares of Class A Common Stock at $2.48 per share. A footnote explains this was a restricted stock purchase under an employee stock purchase plan.
Following the transaction, Holmes directly holds 299,213 Class A shares. He also has indirect holdings of 32,862 shares through an IRA and 221,656.77 shares through a 401(k), reflecting both personal and retirement-plan ownership stakes in the company.
U S Global Investors CFO Lisa Callicotte reported an employee stock purchase transaction involving 382 shares of Class A Common Stock at $2.48 per share. The filing notes this was a restricted stock purchase under an employee stock purchase plan, and she now directly holds 37,567 shares following the transaction.
The Vanguard Group filed an amendment (Schedule 13G/A) reporting zero beneficial ownership of US Global Investors Inc. common stock. The amendment states that following an internal realignment effective January 12, 2026, certain Vanguard subsidiaries will report holdings separately and The Vanguard Group no longer is deemed to beneficially own those securities. The filing lists 0 shares and 0% ownership and is signed by Ashley Grim, Head of Global Fund Administration on 03/27/2026.