SEC Form 5 · accession 0000754811-17-000061
U S GLOBAL INVESTORS INC · GROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank E Holmes
Officer — CEO/CIO · Director · 10% Owner
Period of report
Jun 30, 2017
Accepted (ET)
Aug 4, 2017 · 3:36 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 | Oct 20, 2016 | P | 1,000 | $1.70 | A | 229,500 | D | |
| Class A Common Stock | holding | — | — | — | 32,862 | I | IRA | |
| Class A Common Stock | holding | — | — | — | 221,657 | 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
- F1P4 Transaction should have originally been reported on a Form 4
- F21. Not an option
- F32. Not an option