---
schema_version: "secwatch.filing_event.v1"
accession: "0001437749-23-003985"
form_type: "8-K"
ticker: "GROW"
cik: "0000754811"
company_name: "U S GLOBAL INVESTORS INC"
filed_at: "2023-02-21T23:59:59+00:00"
generated_at: "2026-06-19T07:31:02.812155+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# U.S. Global Investors receives Nasdaq notice for late Form 10-Q filing; 60 days to submit compliance plan

## Summary
- Nasdaq notice dated Feb 16, 2023 for non-compliance with Listing Rule 5250(c)(1) due to late Form 10-Q.
- No immediate impact on listing or trading of GROW common stock on Nasdaq Capital Market.
- Company has until April 17, 2023 to submit a plan to regain compliance.
- If plan accepted, Nasdaq may grant extension up to August 14, 2023 to file.
- Delay caused by additional time needed to determine fair value on certain corporate investments.

## SEC filing metadata
- accession: 0001437749-23-003985
- form_type: 8-K
- ticker: GROW
- cik: 0000754811
- company_name: U S GLOBAL INVESTORS INC
- filed_at: 2023-02-21T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 3.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/754811/000143774923003985/0001437749-23-003985-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/754811/000143774923003985/usglobal20230221_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001437749-23-003985
- JSON: https://secwatch.observer/filing/0001437749-23-003985.json
- Plain text: https://secwatch.observer/filing/0001437749-23-003985.txt

## Key facts
- Listing & Compliance Notices
  U S GLOBAL INVESTORS INC received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Deficiency: late filing
  - Rules: 5250(c)(1)
  source text: February 16, 2023, U.S. Global Investors, Inc. (the “Company”) received a letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, because the Company has not filed its Quarterly Report on Form 10-Q for the period ended December 31, 2022 (the “Form 10-Q”) within the prescribed time period, the Company is not in compliance with the timely filing requirement for continued listing under Nasdaq Listing Rule 5250(c)(1). In accordance with Nasdaq Listing Rules, the Company has 60 calendar days to submit a plan to regain compliance. Following receip
  evidence_url: https://www.sec.gov/Archives/edgar/data/754811/000143774923003985/0001437749-23-003985-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.