---
schema_version: "secwatch.filing_event.v1"
accession: "0001437749-23-032919"
form_type: "8-K"
ticker: "GROW"
cik: "0000754811"
company_name: "U S GLOBAL INVESTORS INC"
filed_at: "2023-11-22T23:59:59+00:00"
generated_at: "2026-06-07T22:25:57.522424+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 non-compliance notice for late filing of Q1 FY2024 Form 10-Q

## Summary
- 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.

## SEC filing metadata
- accession: 0001437749-23-032919
- form_type: 8-K
- ticker: GROW
- cik: 0000754811
- company_name: U S GLOBAL INVESTORS INC
- filed_at: 2023-11-22T23:59:59+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/754811/000143774923032919/0001437749-23-032919-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/754811/000143774923032919/usglobal20231122_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001437749-23-032919
- JSON: https://secwatch.observer/filing/0001437749-23-032919.json
- Plain text: https://secwatch.observer/filing/0001437749-23-032919.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: 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
  evidence_url: https://www.sec.gov/Archives/edgar/data/754811/000143774923032919/0001437749-23-032919-index.htm

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