# EDGAR Filing Document

**Accession Number:** 0001005101
**File Stem:** 0001493152-26-022420
**Filing Date:** 2026-5
**Character Count:** 18076
**Document Hash:** 700071a54938658e433da9068d55e05a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-26-022420.hdr.sgml**: 20260512

**ACCESSION NUMBER**: 0001493152-26-022420

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20260511

**ITEM INFORMATION**: Results of Operations and Financial Condition

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20260512

**DATE AS OF CHANGE**: 20260512

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Marygold Companies, Inc.
- **CENTRAL INDEX KEY:** 0001005101
- **STANDARD INDUSTRIAL CLASSIFICATION:** FINANCE SERVICES [6199]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 954442384
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41318
- **FILM NUMBER:** 26966089

**BUSINESS ADDRESS:**
- **STREET 1:** 120 CALLE IGLESIA, UNIT B
- **CITY:** SAN CLEMENTE
- **STATE:** CA
- **ZIP:** 92672
- **BUSINESS PHONE:** 949-429-5370

**MAIL ADDRESS:**
- **STREET 1:** 120 CALLE IGLESIA, UNIT B
- **CITY:** SAN CLEMENTE
- **STATE:** CA
- **ZIP:** 92672

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CONCIERGE TECHNOLOGIES INC
- **DATE OF NAME CHANGE:** 20020329

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STARFEST INC
- **DATE OF NAME CHANGE:** 20000310

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, DC 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): May 11, 2026

**The Marygold Companies, Inc.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **<u>Nevada</u>** | **<u>001-41318</u>** | **<u>90-1133909</u>** |
| *(State or Other Jurisdiction* | *(Commission* | *(IRS Employer* |
| *of Incorporation)* | *File Number)* | *Identification No.)* |

---

**120 Calle Iglesia**

**Unit B**

**<u>San Clemente, CA 92672</u>**

(Address of Principal Executive Offices and Zip Code)

**<u>(949) 218-8542</u>**

*(Registrant's telephone number, including area code)*

Securities registered pursuant to Section 12(b) of the Act:

---

| | |
|:---|:---|
| **Title of each class** | **Name of each exchange on which registered** |
| Common Stock, $0.001 par value MGLD | NYSE American LLC |

---

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule l2b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 2.02 Results of Operations and Financial Condition.**

On May 11, 2026, The Marygold Companies, Inc. issued a press release announcing its financial results for the three month and nine month periods ended March 31, 2026. A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

Pursuant to the rules and regulations of the Securities and Exchange Commission, such exhibit and the information set forth therein and in this Item 2.02 have been furnished and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to liability under that section, nor shall they be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing regardless of any general incorporation language.

**Item 9.01 Financial Statements and Exhibits**.

(d) Exhibits.

99.1 [Earnings Press Release Dated May 11, 2026](ex99-1.htm) <br> 104 Cover Page Interactive Data File (embedded within the Inline XBRL document)

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | |
|:---|:---|:---|
| Date: May 12, 2026 | **THE MARYGOLD COMPANIES, INC.** | **THE MARYGOLD COMPANIES, INC.** |
|  | By: | */s/ Nicholas D. Gerber* |
|  |  | Nicholas D. Gerber |
|  |  | Chief Executive Officer (Principal Executive Officer) |

---

## Exhibit 99.1

**Exhibit 99.1**

**The Marygold Companies Reports 30.2% Revenue Increase and Profitability** 

**for the Third Fiscal Quarter ended March 31, 2026** 

***—Positive Performance Reflects Significant Growth in USCF Fund Management***

***Coupled with a Curtailment of Fintech Expenses—***

 ****

**San Clemente, Calif., May 11, 2026**—The Marygold Companies, Inc. (the "Company") (NYSE American: MGLD), a diversified global holding firm with a focus on financial services, today reported improved financial results for the three and nine months ended March 31, 2026.

Revenue for the 2026 third fiscal quarter rose 30.2% to $7.2 million, from $5.5 million last year, which included $0.6 million from the Company's Canadian subsidiary that was sold in July 2025. Net income increased to $222,000, equal to $0.01 per share, from a loss of $1.0 million, or a loss of $0.2 per share, a year ago.

For the nine months ended March 31, 2026, revenue advanced to $18.4 million from $17.9 million in the comparable prior year period, which included $1.8 million from the Company's previously owned Canadian subsidiary. The Company's net loss for the 2026 year-to-date period was reduced to $0.7 million, or a loss of $0.02 per share, from a net loss of $4.3 million, equal to a loss of $0.11 per share, a year ago. The current year to date period includes a $0.5 million gain on the sale of the Company's Canadian subsidiary.

The Company's balance sheet remains strong. At March 31, 2026, cash and cash equivalents amounted to $3.0 million, and investments totaled $7.9 million. Total assets at March 31, 2026, were $28.1 million, and total stockholders' equity at the quarter's end was $22.9 million.

"In keeping with our transformation strategy to refocus The Marygold Companies' resources on ETF fund management and financial services, we have initiated a formal process to sell our New Zealand businesses, comprised of Gourmet Foods and Printstock Products," said David Neibert, Chief Operations Officer. "These businesses have now been classified as discontinued operations, and it is our goal to effect a sale within the next 12 months. This initiative follows the disposition in July 2025 of our wholly owned Canadian subsidiary, Brigadier Security Systems Ltd., for $2.3 million.

"Our largest operating unit, USCF Investments, performed well during the quarter, with revenues increasing 55% to $6.3 million from $4.1 million a year ago. The growth was primarily attributable to an 81% increase in assets under management (AUM), which averaged $4.7 billion for the 2026 third fiscal quarter, compared with $2.6 billion last year. The AUM increase largely reflected the geopolitical situation in the Middle East and Eastern Europe, with oil and other commodity price increases. We also significantly decreased costs in the fintech sector, including reducing labor and other expenses that previously prevented us from achieving profitable operations on a consolidated basis."

Nicholas Gerber, Chief Executive Officer, added, "We are making deliberate, sometimes difficult, choices to reshape the Company around a clear, focused vision. By divesting businesses that do not align with our core financial services sector, we aim to concentrate our resources to position the Company to deliver strong long-term returns for our shareholders. During this process, we continue to support our non-core subsidiaries, which are expected to continue with normal operations until such time as a transaction is consummated."

**Business Units**

The Company's *USCF Investments* subsidiary, <u>https://www.uscfinvestments.com/</u>, acquired in 2016 and based in Walnut Creek, Calif., serves as manager, operator or investment adviser to 16 exchange traded products, structured as limited partnerships or investment trusts that issue shares trading on the NYSE Arca.

*Gourmet Foods,* <u>https://gourmetfoodsltd.co.nz/</u>, acquired in 2015, is a commercial-scale bakery that produces and distributes iconic meat pies and pastries throughout New Zealand under the brand names Pat's Pantry and Ponsonby Pies. Acquired by Gourmet Foods in 2020, Printstock Products Limited, <u>https://www.printstock.co.nz</u>, is a printer of specialized food wrappers and is located in Napier, New Zealand.

San Clemente, Calif.-based *Original Sprout*, <u>www.originalsprout.com</u>, acquired in 2017, produces a full line of hair and skin care products distributed throughout the U.S. and in many regions throughout the world.

*Marygold & Co. (UK) Limited,* <u>https://marygoldandco.uk/</u>, was established in the U.K. in 2021 and operates through two U.K.-based investment advisory business units: Marygold & Co Limited (fka/Tiger Financial and Asset Management), acquired in 2022, <u>http://www.tfam.co.uk</u>/, and Step-by-Step Financial Planners, acquired in 2024, <u>https://www.sbsfp.co.uk/</u>, that manage clients' financial wealth across a diverse product range. They also offer individuals and businesses in the U.K. a mobile fintech app that provides a high interest rate on deposits and intuitive money management tools.

**About The Marygold Companies, Inc.**

The Marygold Companies, Inc. was founded in 1996 and repositioned as a global holding firm in 2015. The Company currently has operating subsidiaries in financial services, food manufacturing, printing, and beauty products, under the trade names USCF Investments, Marygold & Co., Step-By-Step Financial Planners, Marygold & Co. Limited, Gourmet Foods, Printstock Products, and Original Sprout, respectively. Offices and manufacturing operations are in the U.S., New Zealand, and the U.K. For more information, visit <u>www.themarygoldcompanies.com</u>.

**Forward-Looking Statements**

This press release includes "forward-looking statements" within the meaning of U.S. federal securities laws. Words such as "expect," "estimate," "project," "budget," "forecast," "anticipate," "intend," "plan," "may" "will," "could," "should" "believes," "predicts," "potential," "continue" and similar expressions are intended to identify such forward-looking statements. Such forward-looking statements, including, but not limited to successfully divesting non-core businesses, involve significant risks and uncertainties that could cause the actual results to differ materially from the expected results and, consequently, you should not rely on these forward-looking statements as predictions of future events. Readers should refer to the further detail of the risks disclosed in the Company's Annual Report on Form 10-K filed with the Securities and Exchange Commission and in the Company's other filings with the Securities and Exchange Commission. The foregoing list of factors is not exclusive. Readers are cautioned not to place undue reliance upon any forward-looking statements, which speak only as of the date made. Except as required by law, the Company disclaims any obligation to update or publicly announce any revisions to any of the forward-looking statements contained in this press release.

**Media and investors, for more Information, contact:**

Roger S. Pondel

PondelWilkinson

310-279-5965

<u>rpondel@pondel.com</u>

**Contact the Company:**

David Neibert, Chief Operations Officer

949-429-5370

<u>dneibert@themarygoldcompanies.com</u>

(Financial Tables Follow)

**THE MARYGOLD COMPANIES, INC.**

**CONDENSED CONSOLIDATED BALANCE SHEETS**

**(in thousands, except per share data)**

**(unaudited)**

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| | | |
|:---|:---|:---|
|  | **March 31, 2026** | **June 30, 2025** |
| **ASSETS** |  |  |
| **CURRENT ASSETS** |  |  |
| &nbsp;&nbsp;&nbsp;Cash and cash equivalents | $2975 | $5004 |
| &nbsp;&nbsp;&nbsp;Accounts receivable, net (of which $2,719 and $1,281, respectively, due from related parties) | 2888 | 1778 |
| &nbsp;&nbsp;&nbsp;Inventories | 1055 | 928 |
| &nbsp;&nbsp;&nbsp;Prepaid income tax and tax receivable | 1018 | 833 |
| &nbsp;&nbsp;&nbsp;Investments, at fair value | 7931 | 7829 |
| &nbsp;&nbsp;&nbsp;Other current assets | 617 | 1046 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total current assets | 16484 | 17418 |
| &nbsp;&nbsp;&nbsp;Restricted cash |  | 51 |
| &nbsp;&nbsp;&nbsp;Property and equipment, net | 23 | 609 |
| &nbsp;&nbsp;&nbsp;Operating lease right-of-use assets | 551 | 599 |
| &nbsp;&nbsp;&nbsp;Goodwill | 1984 | 2206 |
| &nbsp;&nbsp;&nbsp;Intangible assets, net | 717 | 937 |
| &nbsp;&nbsp;&nbsp;Deferred tax assets, net | 3440 | 3440 |
| &nbsp;&nbsp;&nbsp;Assets held for sale | 2538 | 2821 |
| &nbsp;&nbsp;&nbsp;Other assets | 2314 | 2339 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total assets | $28051 | $30420 |
| **LIABILITIES AND STOCKHOLDERS' EQUITY** |  |  |
| **CURRENT LIABILITIES** |  |  |
| &nbsp;&nbsp;&nbsp;Accounts payable and accrued expenses | $3280 | $3224 |
| &nbsp;&nbsp;&nbsp;Lease liabilities, current portion | 393 | 307 |
| &nbsp;&nbsp;&nbsp;Advance from buyer |  | 720 |
| &nbsp;&nbsp;&nbsp;Purchase consideration payable, current portion | 247 | 257 |
| &nbsp;&nbsp;&nbsp;Note payable | - | 1268 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total current liabilities | 3920 | 5776 |
| &nbsp;&nbsp;&nbsp;Lease liabilities, net of current portion | 199 | 341 |
| &nbsp;&nbsp;&nbsp;Deferred tax liabilities, net | 221 | 221 |
| &nbsp;&nbsp;&nbsp;Liabilities associated with assets held for sale | 855 | 1095 |
| &nbsp;&nbsp;&nbsp;Total long-term liabilities | 1275 | 1657 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total liabilities | 5195 | 7433 |
| **STOCKHOLDERS' EQUITY** |  |  |
| &nbsp;&nbsp;&nbsp;Preferred stock, par value $0.001; 50,000 shares authorized Series B: 13 shares issued and outstanding at both March 31, 2026 and June 30, 2025 |  |  |
| &nbsp;&nbsp;&nbsp;Common stock, $0.001 par value; 900,000 shares authorized; 42,811 and 42,818 shares issued and outstanding at March 31, 2026 and June 30, 2025, respectively | 42 | 42 |
| &nbsp;&nbsp;&nbsp;Additional paid-in capital | 15342 | 15167 |
| &nbsp;&nbsp;&nbsp;Accumulated other comprehensive loss | (16) | (420) |
| &nbsp;&nbsp;&nbsp;Retained earnings | 7488 | 8198 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total stockholders' equity | 22856 | 22987 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total liabilities and stockholders' equity | $28051 | $30420 |

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**THE MARYGOLD COMPANIES, INC.**

**CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS**

**(in thousands, except per share data)**

**(unaudited)**

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| | | | | |
|:---|:---|:---|:---|:---|
|  | **Three Months Ended March 31,** | **Three Months Ended March 31,** | **Nine Months Ended March 31,** | **Nine Months Ended March 31,** |
|  | **2026** | **2025** | **2026** | **2025** |
| Revenue |  |  |  |  |
| &nbsp;&nbsp;&nbsp;Fund management - related party | $6327 | $4093 | $15220 | $13369 |
| &nbsp;&nbsp;&nbsp;Beauty products | 707 | 641 | 2537 | 2071 |
| &nbsp;&nbsp;&nbsp;Security systems |  | 568 |  | 1842 |
| &nbsp;&nbsp;&nbsp;Financial services | 155 | 220 | 631 | 644 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Revenue | 7189 | 5522 | 18388 | 17926 |
| Cost of revenue | 398 | 648 | 1400 | 2161 |
| Gross profit | 6791 | 4874 | 16988 | 15765 |
| Operating expense |  |  |  |  |
| &nbsp;&nbsp;&nbsp;Salaries and compensation | 2346 | 2483 | 7149 | 8262 |
| &nbsp;&nbsp;&nbsp;General and administrative expense | 1497 | 2020 | 4896 | 6588 |
| &nbsp;&nbsp;&nbsp;Fund operations | 2296 | 1140 | 5272 | 4118 |
| &nbsp;&nbsp;&nbsp;Marketing and advertising | 694 | 688 | 1618 | 2077 |
| &nbsp;&nbsp;&nbsp;Depreciation and amortization | 94 | 115 | 212 | 338 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total operating expenses | 6927 | 6446 | 19147 | 21383 |
| Loss from continuing operations | (136) | (1572) | (2159) | (5618) |
| Other income (expense): |  |  |  |  |
| &nbsp;&nbsp;&nbsp;Interest and dividend income | 75 | 75 | 286 | 1280 |
| &nbsp;&nbsp;&nbsp;Interest expense |  | (323) | (67) | (715) |
| &nbsp;&nbsp;&nbsp;Gain on sale of Brigadier |  |  | 521 |  |
| &nbsp;&nbsp;&nbsp;Other income (expense), net | 287 | 426 | 434 | (700) |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total other income (expense), net | 362 | 178 | 1174 | (135) |
| Income (loss) from continuing operations before income taxes | 226 | (1394) | (985) | (5753) |
| Benefit from income taxes | 43 | 307 | 184 | 1273 |
| Net income (loss) from continuing operations | 269 | (1087) | (801) | (4480) |
| Net (loss) income from discontinued operations | (47) | 75 | 91 | 136 |
| Net income (loss) | $222 | $(1012) | $(710) | $(4344) |
| Weighted average shares of common stock |  |  |  |  |
| &nbsp;&nbsp;&nbsp;Basic | 42960 | 40816 | 42954 | 40843 |
| &nbsp;&nbsp;&nbsp;Diluted | 43075 | 40816 | 42954 | 40843 |
| Net income (loss) per common share |  |  |  |  |
| &nbsp;&nbsp;&nbsp;Basic | $0.01 | $(0.02) | $(0.02) | $(0.11) |
| &nbsp;&nbsp;&nbsp;Diluted | $0.01 | $(0.02) | $(0.02) | $(0.11) |

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