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Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for U.S. Global Investors, Inc. for the quarterly period ended September 30, 2012.

How to fill out form 10-q

How to fill out FORM 10-Q

1. Gather financial data for the quarter, including income statements, balance sheets, and cash flow statements.
2. Complete the cover page with the company's name, fiscal year, and the period covered by the report.
3. Write a management discussion and analysis section to summarize the company's performance during the quarter.
4. Fill in Item 1, which includes financial statements, ensuring that they are accurate and conform to GAAP.
5. Complete Item 2, which covers other required disclosures, such as market risks and legal proceedings.
6. Review Item 3 for any unregistered sales of equity securities and default of senior securities.
7. Complete Item 4 regarding the controls and procedures in place to ensure the accuracy of financial reporting.
8. Prepare the signature section, ensuring the report is signed by the company's principal executive and financial officers.
9. Submit the FORM 10-Q electronically to the Securities and Exchange Commission (SEC) by the due date.
10. Ensure copies are back-archived for internal records and compliance.

Who needs FORM 10-Q?

1. Publicly-traded companies in the United States must file FORM 10-Q.
2. Investors and shareholders use FORM 10-Q to assess the company's financial health and performance.
3. Regulatory authorities such as the SEC require FORM 10-Q for compliance and monitoring purposes.

People Also Ask about

What triggers the filing of Form 10?

The SEC requires a company to file SEC Form 10 when it has more than $10 million in total assets and more than 500 shareholders. A company with fewer shareholders or assets may voluntarily make this SEC filing, but it is not required.

What is the difference between a 10-K and a 10-Q?

While 10K reports are due annually and must include audited financial statements, 10Q reports are due quarterly, three times a year, and include unaudited financial statements. 10Q filings provide shareholders and the public an on-going update on a company's performance over the year.

What is the difference between a Form 10-K and a Form 10-Q?

While 10K reports are due annually and must include audited financial statements, 10Q reports are due quarterly, three times a year, and include unaudited financial statements. 10Q filings provide shareholders and the public an on-going update on a company's performance over the year.

Is Form 10-Q audited?

Form 10-Q is similar to Form 10-K but less detailed. Additionally, the financial statements in a 10-Q are near the beginning of the filing, unlike the 10-K. The financial statements in a Form 10-Q are considered unaudited, unlike in the 10-K, where a full audit is performed.

Which of the following entities requires the filing of the Form 10-Q?

Yes, all U. S. public companies issuing common shares of stock that trade on exchanges are required to file Form 10-Q.

What is Form 10-Q used for?

The 10-Q provides a window into the financial health of a company. Investors can use the form to get a sense of its quarterly earnings and other elements of its operations and to compare them to previous quarters. Thus, it is a dependable performance-tracking tool.

Who signs 10-Q?

At least one complete copy of the report filed with the Commission and one such copy filed with each exchange must be manually signed on the registrant's behalf by a duly authorized officer of the registrant and by the principal financial or chief accounting officer of the registrant.

Who has to file 10-Q?

Any publicly traded company must file the Form 10-Q, along with the Form 10-K and other required filings. The SEC gives two timeframes for filing: Large accelerated and accelerated filers with a float exceeding $700 million need to submit Form 10-Q within forty days of the quarter's end.

For pdfFiller’s FAQs

What is FORM 10-Q?

FORM 10-Q is a quarterly report mandated by the U.S. Securities and Exchange Commission (SEC) that publicly traded companies must file to disclose their financial performance and other important information within 40 days after the end of each of their fiscal quarters.

Who is required to file FORM 10-Q?

All publicly traded companies in the United States that are required to register their securities with the SEC must file FORM 10-Q.

How to fill out FORM 10-Q?

To fill out FORM 10-Q, companies must complete specific sections detailing their financial statements, management's discussion and analysis, and other required disclosures, following the prescribed format and instructions provided by the SEC.

What is the purpose of FORM 10-Q?

The purpose of FORM 10-Q is to provide investors and the public with updated financial information about a company's performance and significant events that may have occurred during the quarter.

What information must be reported on FORM 10-Q?

FORM 10-Q must report unaudited financial statements, management's analysis of financial condition, and results of operations, along with certain disclosures about risk factors, legal proceedings, and changes in the company's internal controls.