U.S. Global Investors, Inc. and its subsidiaries provide investment advisory services. The company offers services to U.S. Global Investors Funds (USGIF) and U.S. Global Accolade Funds (USGAF), both Massachusetts business trusts (the ‘Trusts’ or ‘Funds’), as well as four offshore clients. USGIF and USGAF are investment companies offering shares of nine and four mutual funds, respectively. The company, as part of the mutual fund management business, provides: investment advisory services; transfer agency and record keeping services; mailing services; and distribution services, through its wholly owned broker/dealer, to mutual funds advised by the company. In addition, the company provides investment advisory services to other offshore institutional clients. Lines of Business Investment Management Services Investment Advisory Services: The company furnishes an investment program for each of the clients it manages and determines, subject to overall supervision by the applicable board of trustees of the clients, the clients’ investments pursuant to advisory agreements. The portfolio team for each client determines what investments should be purchased, sold and held, and makes changes in the portfolio deemed to be necessary or appropriate. The company also manages, supervises, and conducts certain other affairs of USGIF and USGAF, subject to the control of the boards of trustees. It provides office space, facilities, and certain business equipment as well as the services of executive and clerical personnel for administering the affairs of the mutual funds. U.S. Global and its affiliates compensate all personnel, officers, directors, and interested trustees of the funds if such persons are also employees of the company or its affiliates. The company, in addition to providing mutual fund management and transfer agent services to USGIF and USGAF funds, provides advisory services to four offshore clients: the Meridian Global Gold and Resources Fund Ltd.; the Meridian Global Energy and Resources Fund; the U.S. Global Investors Balanced Natural Resources Fund, Ltd.; and Endeavour Mining Capital Corporation’s equity investment portfolio. Transfer Agent and Other Services The company’s wholly owned subsidiary, United Shareholder Services, Inc. (USSI), provides transfer agency, and printing services to investment company clients. The transfer agency utilizes a third-party external system providing the company’s fund shareholder communication network with computer equipment and software designed to meet the operating requirements of a mutual fund transfer agency. The transfer agency agreements provide that USSI would receive, as compensation for services rendered as transfer agent, certain annual and activity-based fees and would be reimbursed for out-of-pocket expenses. Brokerage Services The company has registered its wholly owned subsidiary, U.S. Global Brokerage, Inc. (USGB), with the National Association of Securities Dealers (NASD), the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and appropriate state regulatory authorities as a limited-purpose broker/dealer for the purpose of distributing USGIF and USGAF fund shares. Mailing Services A&B Mailers, Inc., a wholly owned subsidiary of the company, provides mail-handling services to various entities. A&B Mailers’ primary customers include the company in connection with its efforts to promote the funds and the company’s investment company clients in connection with required mailings. History U.S. Global Investors, Inc. was founded in 1968.
u.s. global investors inc-a
(GROW:Consolidated Issue listed on NASDAQ Capital Market)
7900 Callaghan Road
San Antonio, TX 78229
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