{"schema_version":"secwatch.filing_event.v1","accession":"0001437749-23-028689","form_type":"8-K","ticker":"GROW","cik":"0000754811","company_name":"U S GLOBAL INVESTORS INC","filed_at":"2023-10-20T23:59:59+00:00","discovered_at":"2026-05-14T18:03:31.954580+00:00","generated_at":"2026-06-09T19:20:34.534886+00:00","sec_items":["3.01","9.01"],"event_type":"regulatory","sentiment":"negative","materiality_score":0.5,"calibrated_materiality_score":0.5,"confidence":"high","headline":"Nasdaq warns U.S. Global Investors for late 10-K filing; 60 days to submit compliance plan","bullets":["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."],"urls":{"canonical":"https://secwatch.observer/filing/0001437749-23-028689","json":"https://secwatch.observer/filing/0001437749-23-028689.json","markdown":"https://secwatch.observer/filing/0001437749-23-028689.md","text":"https://secwatch.observer/filing/0001437749-23-028689.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/754811/000143774923028689/0001437749-23-028689-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/754811/000143774923028689/usglobal20231020_8k.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-06-09T19:20:34.534886+00:00"},"review":{"review_status":"machine_generated","human_reviewed":false,"corrected":false,"correction_note":null,"correction_timestamp":null,"superseded_by":null,"related_filings":[]},"source_grounded_claims":[{"claim_id":"89b62c3c2a82041d43fb3e5b413094ae3e0a71be","claim":"U S GLOBAL INVESTORS INC received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).","evidence_excerpt":"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","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/754811/000143774923028689/0001437749-23-028689-index.htm","confidence":0.95,"family_label":"Listing & Compliance Notices","details":[{"label":"Exchange","value":"nasdaq"},{"label":"Notice","value":"deficiency notice"},{"label":"Deficiency","value":"late filing"},{"label":"Rules","value":"5250(c)(1)"}],"fact_type":"exchange_compliance_notice"}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}