U S GLOBAL INVESTORS INC (GROW): Nasdaq/NYSE listing notice — Nasdaq warns U.S. Global Investors for late 10-K filing; 60 days to submit compliance plan

U S GLOBAL INVESTORS INC

Received Nasdaq notice on Oct 16, 2023, for failure to file Form 10-K for FY ended June 30, 2023 on time.
Company has 60 calendar days to submit a plan to regain compliance under Nasdaq Listing Rule 5250(c)(1).
If plan accepted, Nasdaq may grant extension up to 180 calendar days from extended due date, or April 10, 2024.
Delay is due to review of whether a reserve for certain taxes is required under ASC 740-10 (FIN 48).
Notice has no immediate impact on trading of GROW common stock on Nasdaq Capital Market.

item 3.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.95

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)

Exact text from the filing

October 16, 2023, U.S. Global Investors, Inc. (the “Company”) received a letter (the “Non-Compliance Letter”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, because the Company has not filed its Annual Report on Form 10-K for the fiscal year ended June 30, 2023 (the “Form 10-K”) 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 c

View on SEC.gov

Browse all listing & compliance notices →

U S GLOBAL INVESTORS INC filing history →

Source: SEC EDGAR

accession 0001437749-23-028689

view filing index on sec.gov

view primary document

Machine-readable: JSON · Markdown · Plain text

This headline and bullets were generated automatically by deepseek-v4-flash:cloud@v2 from the public filing. Read the source on SEC.gov before relying on any specific claim. Not investment advice. See methodology for how this pipeline works.