SEC Form 4 · accession 0000754811-16-000177
U S GLOBAL INVESTORS INC · GROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank E Holmes
Officer — CEO · Director · 10% Owner
Period of report
Aug 19, 2016
Accepted (ET)
Aug 22, 2016 · 1:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000754811
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A common stock | Aug 19, 2016 | P | 1,031 | $2.02 | A | 197,886 | D | |
| Class A common stock | holding | — | — | — | 32,862 | I | IRA | |
| Class A common stock | holding | — | — | — | 221,534 | I | 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class C Common StockF2,F3 | $0.00 | holding | — | — | — | — | — | Class C Common Stock | 2,064,560 | 2,064,560 | D |
Explanation of responses
- F1purchase made pursuant to 10b5-1 stock purchase plan
- F2(1) Not an option
- F3(2) Not an option