U S Global Investors Inc GROW US Equity
U S Global Investors Inc (Nasdaq: GROW), an SEC filer in Investment Advice, closed at $3.33, -0.6%, on 2026-08-28, with a market cap of $35M, a return on equity of -0.7%, a net margin of -3.9% and 3-year sales growth of -29.8%. Institutional ownership, earnings history and filed financials are on the tabs below.
Legal & controls
Item 3 and Item 9A as filed · every verdict is the registrant’s own sentence, printed below it · a filing that fails an extraction gate reads “not extracted”
| Fiscal year | Filed | Item 3 | ICFR | disclosure controls | material weakness | Filing |
|---|---|---|---|---|---|---|
| 2025-06-30 | 2025-09-08 | none stated | effective | effective | remediated (prior year) | EDGAR |
Item 3 · There are no material legal proceedings in which the Company is involved. Item 9A · ICFR · Based on the Company’s assessment, management believes that, the Company's management has maintained effective internal control over financial reporting as of June 30, 2025. Item 9A · disclosure controls · Based on that evaluation, the CEO and CFO concluded that the Company’s disclosure controls and procedures were effective as of June 30, 2025. Item 9A · material weakness · Remediation of previously reported material weakness over regulatory compliance and remediation efforts. | ||||||
| 2024-06-30 | 2024-09-10 | none stated | NOT effective | NOT effective | disclosed | EDGAR |
Item 3 · There are no material legal proceedings in which the Company is involved. Item 9A · ICFR · Based on the Company’s assessment, management concluded that, due to the material weakness described below, the Company's management did not maintain effective internal control over financial reporting as of June 30, 2024. Item 9A · disclosure controls · Based on that evaluation, the CEO and CFO concluded that the Company’s disclosure controls and procedures were not effective as of June 30, 2024, due to the existence of the material weakness in internal control over financial reporting described below (which we view as an integral part of our disclosure controls and procedures). | ||||||
| 2023-06-30 | 2023-11-16 | none stated | NOT effective | NOT effective | disclosed | EDGAR |
Item 3 · There are no material legal proceedings in which the Company is involved. Item 9A · ICFR · Based on the Company’s assessment, management concluded that, due to the material weaknesses described below, the Company's management did not maintain effective internal control over financial reporting as of June 30, 2023. Item 9A · disclosure controls · Based on that evaluation, the CEO and CFO concluded that the Company’s disclosure controls and procedures were not effective as of June 30, 2023, due to the existence of the material weaknesses in internal control over financial reporting described below (which we view as an integral part of our disclosure controls and procedures). | ||||||
| 2022-06-30 | 2022-09-02 | none stated | not extracted | not extracted | disclosed | EDGAR |
Item 3 · There are no material legal proceedings in which the Company is involved. Item 9A · ICFR · Based on the Company’s assessment, management believes that the Company’s management has maintained effective internal control over financial reporting as of June 30, 2022. Item 9A · disclosure controls · Based on that evaluation, the CEO and CFO concluded that the Company’s disclosure controls and procedures were effective as of June 30, 2022. Item 9A · material weakness · Management identified a deficiency in the design and operating effectiveness of the Company’s internal controls as of September 30, 2021, that represented a material weakness in our internal control over financial reporting. | ||||||
| 2021-06-30 | 2021-12-08 | none stated | NOT effective | NOT effective | disclosed | EDGAR |
Item 3 · There are no material legal proceedings in which the Company is involved. Item 9A · ICFR · Based on the Company’s assessment, management concluded that, due to the material weakness described below (which was not remediated as of June 30, 2021), the Company’s management did not maintain effective internal control over financial reporting as of June 30, 2021. Item 9A · disclosure controls · Based on that evaluation, the CEO and CFO concluded that, due to the existence of the material weakness in internal control over financial reporting described below (which we view as an integral part of our disclosure controls and procedures), the Company’s disclosure controls and procedures were not effective as of June 30, 2021. | ||||||
5 of 5 annual reports on record have their filing text cached on this host; the rest are listed with their EDGAR link and no extraction, because this surface never fetches from SEC on a page load.
- Item 3 and Item 9A are located in the filing HTML already cached on this host and read with the same line-anchored item matcher and largest-gap body disambiguation the filing-narrative pass uses for Item 1A and Item 7 — no fetch, no model, no summarization.
- A heading is accepted as a section only when it is not a table-of-contents row (a trailing page number), not a quoted reference in prose, and names its own section; the span must then clear a per-item length band and carry readable text after the heading. Anything that fails a gate is served as 'not extracted' with the reason — never as a default value.
- An effectiveness conclusion is read only from a sentence that names its own control set (disclosure controls and procedures, or internal control over financial reporting) and states an outcome. Conditional sentences — the standard limitations paragraph and forward-looking remediation language — are excluded, because they are hypotheses rather than conclusions.
- When a filing's own sentences disagree — an effective conclusion beside an unremediated material-weakness disclosure, or two conclusions of opposite sign — no verdict is asserted. A wrong 'controls were effective' reading is worse than no reading.
- Every verdict is shown beside the verbatim sentence it was read from. The excerpt is the filing's own words, capped at 1,200 characters; the filing itself is one link away.