U S GLOBAL INVESTORS INC (GROW): Nasdaq/NYSE listing notice — U.S. Global Investors receives Nasdaq non-compliance notice for late filing of Q1 FY2024 Form 10-Q

U S GLOBAL INVESTORS INC

Nasdaq notified GROW on Nov 16, 2023 for failure to timely file Form 10-Q (quarter ended Sep 30, 2023) per Listing Rule 5250(c)(1).
Company must submit a plan to regain compliance by Dec 15, 2023; extension possible until Apr 10, 2024 if accepted.
Form 10-K filed Nov 16, 2023; delay due to tax reserve determination caused cascading delay for Form 10-Q.
Notice has no immediate impact on listing or 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

November 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 Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 (the “Form 10-Q”) within the prescribed time period and was delinquent in its filing of its Form 10-K for the period ended June 30, 2023 (the “Form 10-K”), the Company is not in compliance with the timely filing requirement for continued listing under Nasdaq Listing Rule 5250(c

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Source: SEC EDGAR

accession 0001437749-23-032919

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