-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Q21HE0S5FZ83ismU5DNElCvM4HrKPOhAuAOVhbP4ckeq5EMv5GeFpKeoDhijmlR2 C+I5qsCMXYaJ6vrUniqt5w== 0000919574-99-000411.txt : 19990222 0000919574-99-000411.hdr.sgml : 19990222 ACCESSION NUMBER: 0000919574-99-000411 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990219 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: U S GLOBAL INVESTORS INC CENTRAL INDEX KEY: 0000754811 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 741598370 STATE OF INCORPORATION: TX FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-37411 FILM NUMBER: 99546187 BUSINESS ADDRESS: STREET 1: 7900 CALLAGHAN RD CITY: SAN ANTONIO STATE: TX ZIP: 78229 BUSINESS PHONE: 2103081234 MAIL ADDRESS: STREET 1: 7900 CALLAGHAN ROAD CITY: SAN ANTONIO STATE: TX ZIP: 78229 FORMER COMPANY: FORMER CONFORMED NAME: UNITED SERVICES ADVISORS INC /TX/ DATE OF NAME CHANGE: 19950321 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CONSTABLE LOURDE JOHN CENTRAL INDEX KEY: 0001060522 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 5 RADNOR CORP CENTER STREET 2: 100 MATSONFORD ROAD SUITE 520 CITY: RADNOR STATE: PA ZIP: 19087 BUSINESS PHONE: 6109640750 MAIL ADDRESS: STREET 1: 5 RADNOR CORP CENTER STREET 2: 100 MATSONFORD ROAD SUITE 520 CITY: RADNOR STATE: PA ZIP: 19087 SC 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No.: 3 Name of Issuer: U.S. Global Investors, Inc. (formerly United Services Advisors) Title of Class of Securities: Class A Common Stock (formerly Preferred Stock) CUSIP Number: 902952100 (Name, Address and Telephone Number of Person Authorized To Receive Notices and Communications) Lourde John Constable d/b/a Constable Asset Management, Ltd. 5 Radnor Corp. Center 100 Matsonford Rd., Suite #520 Radnor, Pennsylvania 19087 (Date of Event which Requires Filing of this Statement) February 3, 1999 If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No.: 902952100 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Constable Partners, L.P. 2. Check the Appropriate Box if a Member of a Group a. b. X 3. SEC Use Only 4. Source of Funds WC 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6. Citizenship or Place of Organization Delaware Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power: 8. Shared Voting Power: 47,632 9. Sole Dispositive Power: 10. Shared Dispositive Power: 47,632 11. Aggregate Amount Beneficially Owned by Each Reporting Person 47,632 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares 2 13. Percent of Class Represented by Amount in Row (11) 0.8% 14. Type of Reporting Person PN 3 CUSIP No.: 902952100 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Lourde John Constable d/b/a Constable Asset Management, Ltd. 2. Check the Appropriate Box if a Member of a Group a. b. X 3. SEC Use Only 4. Source of Funds WC 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6. Citizenship or Place of Organization United States Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power: 8. Shared Voting Power: 67,632 9. Sole Dispositive Power: 10. Shared Dispositive Power: 67,632 11. Aggregate Amount Beneficially Owned by Each Reporting Person 67,632 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares 4 13. Percent of Class Represented by Amount in Row (11) 1.1% 14. Type of Reporting Person IN 5 The purpose of this Amendment No. 3 to the previously filed Schedule 13D is to report that Constable Partners, L.P. (the "Partnership") and Lourde John Constable d/b/a Constable Asset Management, Ltd. ("Constable") (together, the "Reporting Persons") have ceased to be the beneficial owners of more than five percent of the Class A Common Stock (the "Shares") of U.S. Global Investors, Inc. Item 1. Security and Issuer Since the last filing by the Reporting Persons on the Schedule 13D, the Issuer has changed its name and has reclassified the securities that were reported on the last filing. On June 4, 1996, United Services Advisors, Inc. changed its name to U.S. Global Investors, Inc. (the "Issuer"). The Issuer had also on June 4, 1996, reclassified its Preferred Stock as Class A Common Stock. Item 2. Identity and Background No change. Item 3. Source and Amount of Funds or Other Consideration As of the date hereof, the Partnership owns 47,632 Shares and Constable is deemed to beneficially own 67,632 Shares. All of the Shares were purchased in open market transactions. The Shares owned by the Partnership were purchased for an aggregate purchase price of $102,228. The Shares beneficially owned by Constable were purchased for an aggregate purchase price of $162,928. The funds for the purchase of the Shares held by the Partnership and Constable have come from the working capital of the Partnership and Constable. No funds were borrowed to purchase any of the Shares. Item 4. Purpose of Transactions No change. Item 5. Interest in Securities of Issuer As of the date hereof, the Reporting Persons have ceased to be the beneficial owners of more than five percent of the Shares. 6 As of the date hereof, the Partnership owns 47,632 Shares and Constable is deemed to be the beneficial owner of 67,632 Shares. Based on information provided by the Issuer, as of October 26, 1998, there were 6,299,444 Shares outstanding. Therefore, the Partnership owns 0.8% and Constable is deemed to beneficially own 1.1% of the outstanding Shares. The Reporting Persons have the sole or shared power to vote, direct the vote, dispose of or direct the disposition of all the Shares that they are deemed to beneficially own. All transactions in the Shares effected by the Reporting Persons since the most recent filing on Schedule 13D were effected in open-market transactions and are set forth in Exhibit B hereto. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer No change. Item 7. Material to be Filed as Exhibits 1. An agreement relating to the filing of a joint statement as required by Rule 13d-1(f) under the Securities Exchange Act of 1934 is filed herewith as Exhibit A. 2. A description of the transactions in the Shares that were effected by the Reporting Persons since the most recent filing on Schedule 13D is filed herewith as Exhibit B. Signature The undersigned, after reasonable inquiry and to the best of their knowledge and belief, certify that the information set forth in this statement is true, complete and correct. CONSTABLE PARTNERS, L.P. By: /s/ Lourde John Constable _______________________________ Lourde John Constable General Partner /s/ Lourde John Constable _______________________________ Lourde John Constable February 19, 1999 7 Exhibit A AGREEMENT The undersigned agree that this Schedule 13D dated February 19, 1999 relating to the Common Stock of U.S. Global Investors, Inc. shall be filed on behalf of the undersigned. CONSTABLE PARTNERS, L.P. By: /s/ Lourde John Constable _______________________________ Lourde John Constable General Partner /s/ Lourde John Constable _______________________________ Lourde John Constable 8 Exhibit B SCHEDULE OF TRANSACTIONS - Constable and the Partnership Price Per Share Date Shares Purchased or (Sold) (excluding commission) ____ __________________________ _____________________ 1/28/99 (12,187) $2.3299 2/3/99 (81,890) 3.4099 2/4/99 (84,725) 3.3299 2/5/99 (25,300) 2.1899 2/11/99 (73,266) 2.3869 9 02414001.AB7 -----END PRIVACY-ENHANCED MESSAGE-----