Sec Form 4 Filing - Alexander James S @ Marygold Companies, Inc. - 2023-07-06

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Alexander James S 2. Issuer Name and Ticker or Trading Symbol Marygold Companies, Inc. [ MGLD] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X __ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) (Last) (First) (Middle) C/O THE MARYGOLD COMPANIES, INC., 120 CALLE IGLESIA, UNIT B 3. Date of Earliest Transaction (MM/DD/YY) 07/06/2023 (Street) SAN CLEMENTE, CA92672 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 07/06/2023 A( 1 ) 2,821 A $ 1.02 2,821 D Common Stock 12/06/2024 A( 2 ) 3,623 A $ 1.38 6,444 D Common Stock 12/09/2024 A( 3 ) 3,378 A $ 1.48 9,822 D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Alexander James S C/O THE MARYGOLD COMPANIES, INC. 120 CALLE IGLESIA, UNIT B SAN CLEMENTE, CA92672 X Signatures /s/ James Alexander 12/12/2024 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Restricted shares granted on July 6, 2023, as compensation for services as a director for the period April 17, 2023 through November 17, 2023, all of which vested on December 6, 2024. ( 2 )Shares granted on December 6, 2024, as compensation for services as a director for the period November 17, 2023 through November 8, 2024, all of which vested on December 6, 2024. ( 3 )Restricted shares granted on December 9, 2024, as compensation for services as a director for the period November 8, 2024 through November 7, 2025. 281 shares vested on December 9, 2024, and monthly thereafter and fully vesting on November 7, 2025.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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