SMTK · SmartKem, Inc. · Shareholders & Ownership
Substantial doubt about the company's ability to continue as a going concern.
“There is substantial doubt that the Company will be able to pay its obligations as they fall due, and this substantial doubt is not alleviated by management plans.”View the 10-Q filed Aug 14, 2026
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Every disclosed holder of SMTK in one list: 13F institutions, Schedule 13D and 13G filers, insiders (Forms 3, 4 and 5) and registered funds, each from its own latest filing. Holders nest by CIK and SEC reporting links, never by name, and each is summed once.
Who Owns SMTK
13F quarter Sep 30, 2026, combined view: filers that have not filed yet carry their Jun 30, 2026 positions| Holder group | Shares | % Out |
|---|---|---|
| Institutional (13F) | 19,810 | 3.50% |
| Insiders (Forms 3, 4, 5) | 8,380 | 1.48% |
| 13D/G-only blocks | 46,646 | 8.25% |
| Remaining | 490,439 | 86.76% |
| Registered funds (N-PORT, not summed) | 873 | 0.15% |
Shares outstanding: 565,275, the issuer's latest cover-page count restated onto today's split basis.
13D/G-only counts each filer's latest 13D or 13G that no 13F report of the listing contains, that names no 13F filer and that no counted insider files. Funds are never summed: their shares sit inside their advisers' 13F reports.
Holders of SMTK
| # | Holder | Shares | As of | Notes |
|---|---|---|---|---|
| 1 |
Orin Hirschman
13G
CIK 1131362 · Investment adviser · Jun 30, 2026
Rule 13d-1(b), qualified institution
|
21,916 | ||
| 2 |
Lizzio Joseph Christopher
13G
CIK 2087723 · Unknown · Jun 30, 2026
Rule 13d-1(c), passive investor, not summed
|
8,380 | ||
| 2.1 |
|
8,380 | ||
| 3 |
PEAK6 LLC
13F
CIK 1389958 · Broker-dealer · Jun 30, 2026
carried, not yet filed for the newest quarter
|
6,781 | ||
| 4 |
|
5,744 | ||
| 5 |
UBS Group AG
13F
CIK 1610520 · Bank · Sep 30, 2026
|
5,590 | ||
| 6 |
Bleichroeder LP
13G
CIK 1781002 · Registered investment adviser · Sep 30, 2025
Rule 13d-1(b), qualified institution
|
4,633 | ||
| 7 |
|
4,454 | ||
| 8 |
MYDA Advisors LLC
13G
CIK 1589689 · Registered investment adviser · Jun 30, 2025
Rule 13d-1(b), qualified institution
|
4,343 | ||
| 9 |
Octopus Investments Ltd.
13D
CIK 1849530 · Holding company · May 8, 2025
Item 4 purpose: not restated by this amendment, the earlier 13D's purpose stands
|
4,272 | ||
| 10 |
CITADEL ADVISORS LLC
13F
CIK 1423053 · Registered investment adviser · Jun 30, 2026
carried, not yet filed for the newest quarter
|
3,461 | ||
| 11 |
Rossby Financial, LCC
13F
CIK 2056510 · Registered investment adviser · Sep 30, 2026
|
1,920 | ||
| 12 |
Virtu Financial LLC
13F
CIK 1533964 · Unknown · Jun 30, 2026
carried, not yet filed for the newest quarter
|
1,737 | ||
| 13 |
Mark N. Tompkins
13G
CIK 1455971 · Unknown · Dec 31, 2023
Rule 13d-1(d), exempt investor, unconfirmed, last confirmed Dec 31, 2023
|
1,284 | ||
| 14 |
Fidelity Nasdaq Composite Index Fund
Fund
S000055366 · Registered fund · Aug 31, 2026
Fidelity Concord Street Trust, not summed
|
873 | ||
| 15 |
XTX Topco Ltd
13F
CIK 1828301 · Unknown · Jun 30, 2026
carried, not yet filed for the newest quarter
|
290 | ||
| 16 |
Rockefeller Capital Management L.P.
13F
CIK 1739439 · Registered investment adviser · Jun 30, 2026
carried, not yet filed for the newest quarter
|
20 | ||
| 17 |
Caitong International Asset Management Co., Ltd
13F
CIK 1963355 · Unknown · Sep 30, 2026
|
7 | ||
| 18 |
Arax Advisory Partners
13F
CIK 1586767 · Registered investment adviser · Sep 30, 2026
|
3 | ||
| 19 |
JPMORGAN CHASE & CO
13F
CIK 19617 · Bank · Sep 30, 2026
|
1 |
Shares are restated onto today's split basis. Change compares each row with the same holder's previous filing in the same source; a dash means there is none to compare. Nested 13D/G, insider and fund rows are not summed, since a 13F report already holds them.