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VTGN · Vistagen Therapeutics, Inc. · Holdings

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$0.16 0.00 (-0.85%) At close · Nov 6 Play latest call Q3 2026 earnings call transcript
Rebalance outlook locked
Going-concern doubt — flagged Aug 14, 2026

Substantial doubt about the company's ability to continue as a going concern.

“As of June 30, 2026, we had cash, cash equivalents, and marketable securities of approximately $31.7 million. As of August 14, 2026, the issuance date of the condensed consolidated financial statements in this Quarterly Report as of and for the three months ended June 30, 2026, there is uncertainty about whether our combined cash, cash equivalents, and marketable securities will be sufficient to fund operations beyond twelve months from the issuance date of the condensed consolidated financial statements in this Report and therefore we concluded that substantial doubt exists about our ability to continue as a going concern.”
View the 10-Q filed Aug 14, 2026
Market Cap
$7.27M
Shares
44.38M
Volume · Nov 6 525.18K Avg daily vol (3M) 10.23M

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of VTGN: 13F, 13D and 13G, insiders and funds →
Some SEC filings for this period have not finished importing. Holder totals and changes may be incomplete; these filings remain queued for recovery.
The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.
Holders: 51
Total Value: $2,919,446
Total Shares: 13,054,367

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 53 13F filers
Top Holder
22.3%
Sep 2023 → Jun 2026 · range 14.8% – 44.4%
of institutional value
Top 5
53.9%
Sep 2023 → Jun 2026 · range 53.9% – 76.1%
of institutional value
Top 10
71.4%
Sep 2023 → Jun 2026 · range 71.4% – 89.1%
of institutional value
HHI
891
Sep 2023 → Jun 2026 · range 886 – 2,329
Broadly held

Who Holds VTGN

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 48 filers, like-for-like change -20.1%; actively managed books -23.4%; index-like books -6.3%.

Holder type Share Filers Change
Registered adviser 72.8% 18 -3.9%
Exempt adviser 0.0% 0 -100.0%
Adviser 3.4% 1 +1.8%
Bank 2.4% 7 +2.2%
Broker-dealer 2.6% 1 +1431.5%
Non-US 0.1% 3 +3984.7%
Holding company 3.3% 3 -13.9%
Insurer 0.0% 0 -100.0%
Benefit plan 0.0% 0 —
Unknown 15.4% 15 -60.5%

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 1 holder with no observed 2026-06-30 13F.

Conviction and Crowding

48 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders
0
0.000% of filers hold it in their top 10
Mar 31, 2026: 0
Holders above 5%
0
median weight 0.000%
Mar 31, 2026: 0
Crowding
18.8%
of shares outstanding, 55th percentile
Mar 31, 2026: 19.6%
Private-fund advisers
15.0%
of shares outstanding
Institutional ownership
28.7%
28.8% of the estimated free float
Top 10 holders
77.1%
of 13F shares, Herfindahl 0.100
Active holders
-23.4%
like-for-like share change of active filers
5% stakes on record
4
0 13D, 4 13G (0 institutional, 4 passive, 0 exempt)
How long holders have held it value-weighted 5.6 quarters
Under 1 year 58.6% 1 to 3 years 35.4% 3 years or more 5.95% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net sellers of $63,630 (0 buying, 1 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost
$0.97
estimated per share
Mar 31, 2026: $2.75
Quarter-end price
$0.22
implied by 13F values
Estimated gain or loss
-77.3%
price against the estimated cost
Estimated at a loss
100.0%
of costed 13F value

Estimated cost covers 56.1% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Shared Holders

Companies VTGN's active holders also own, quarter ended Mar 31, 2026
# Company Shared holders
1 SPRB Spruce Biosciences, Inc. 3
2 LPCN Lipocine Inc. 3
3 PEPG PepGen Inc. 3
4 SRZN Surrozen, Inc. 3
5 RLMD Relmada Therapeutics, Inc. 3
6 CAPR Capricor Therapeutics, Inc. 3
7 TENX Tenax Therapeutics, Inc. 3
8 KOD Kodiak Sciences Inc. 3
9 BHVN Biohaven Ltd. 3
10 PHVS Pharvaris N.V. 3

Shareholder Targets

13F filers that own its peers but not VTGN, quarter ended Mar 31, 2026

Found through its holder-overlap peers: SPRB, LPCN, PEPG, SRZN, RLMD, CAPR, TENX, KOD, BHVN, PHVS, ABVX, PCVX, QURE, GPCR, DNTH, RVMD. 889 filers in all.

# Filer In peers
1 FMR LLC Holding company, Diversified active $3,243,373,729 13 held
2 JANUS HENDERSON GROUP PLC Adviser, Diversified active $2,576,234,696 11 held
3 BAKER BROS. ADVISORS LP Registered adviser, Concentrated $1,937,266,304 7 held
4 WELLINGTON MANAGEMENT GROUP LLP Holding company, Diversified active $1,563,451,610 9 held
5 FARALLON CAPITAL MANAGEMENT LLC Registered adviser, Diversified active $1,468,407,189 6 held
6 VANGUARD PORTFOLIO MANAGEMENT LLC Registered adviser, Diversified active $1,168,581,013 6 held
7 Paradigm Biocapital Advisors LP Registered adviser, Concentrated $1,038,087,209 4 held
8 RA CAPITAL MANAGEMENT, L.P. Registered adviser, Concentrated $987,831,969 5 held
9 T. Rowe Price Investment Management, Inc. Adviser, Diversified active $909,565,635 4 held
10 PRICE T ROWE ASSOCIATES INC /MD/ Registered adviser, Diversified active $799,028,896 12 held

Fund Ownership of VTGN by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 4.40% of shares outstanding.

Fund type Of shares outstanding Shares
Index funds 0.85% 378,044
Index ETFs 3.55% 1,574,200
Active ETFs 0.99% 438,643
Active funds 0.01% 4,985
Unclassified 0.00% 0
All registered funds 5.40% 2,395,872
How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 20 Exempt adviser 1 Adviser 1 Bank 8 Broker-dealer 1 Non-US 2 Holding company 3 Unknown 15
Showing 56 of 56
All Common Calls Puts
Export CSV
Holder Value (USD) % of 13F Shares Open
Commodore Capital LP $641,382 21.97% 2,788,620
VANGUARD CAPITAL MANAGEMENT LLC $362,066 12.40% 1,574,200
TWO SIGMA INVESTMENTS, LP $195,038 6.68% 847,992
ACADIAN ASSET MANAGEMENT LLC $182,753 6.26% 794,579
RENAISSANCE TECHNOLOGIES LLC $168,015 5.76% 730,500
Ikarian Capital, LLC $119,387 4.09% 519,077
GEODE CAPITAL MANAGEMENT, LLC $108,324 3.71% 351,935
AdvisorShares Investments LLC $100,887 3.46% 438,643
SUSQUEHANNA INTERNATIONAL GROUP, LLP $95,542 3.27% 415,400
LUMINUS MANAGEMENT LLC $92,716 3.18% 403,115
ADAR1 Capital Management, LLC $80,762 2.77% 351,141
BlackRock, Inc. $79,448 2.72% 345,432
MILLENNIUM MANAGEMENT LLC $70,518 2.42% 306,600
GROUP ONE TRADING LLC $70,008 2.40% 304,385
Verdad Advisers, LP $67,468 2.31% 293,343
VANGUARD FIDUCIARY TRUST CO $50,071 1.72% 217,700
TUDOR INVESTMENT CORP ET AL $38,410 1.32% 167,000
JANE STREET GROUP, LLC $37,910 1.30% 164,827
CITADEL ADVISORS LLC $34,270 1.17% 149,000
BOOTHBAY FUND MANAGEMENT, LLC $30,951 1.06% 134,571
STATE STREET CORP $27,856 0.95% 121,114
XTX Topco Ltd $27,227 0.93% 118,380
StoneX Group Inc. $21,806 0.75% 70,846
NORTHERN TRUST CORP $18,589 0.64% 80,823
JANE STREET GROUP, LLC $17,595 0.60% 76,500
STEMPOINT CAPITAL LP $17,276 0.59% 616,749
CITADEL ADVISORS LLC $15,832 0.54% 68,839
Virtu Financial LLC $15,184 0.52% 66,021
UBS Group AG $13,300 0.46% 57,830
DIADEMA PARTNERS LP $13,271 0.45% 57,700
GSA CAPITAL PARTNERS LLP $12,554 0.43% 54,584
BARCLAYS PLC $11,898 0.41% 38,657
SUSQUEHANNA INTERNATIONAL GROUP, LLP $10,189 0.35% 44,300
OSAIC HOLDINGS, INC. $10,093 0.35% 43,888
Kestra Advisory Services, LLC $8,002 0.27% 26,000
Scientech Research LLC $6,965 0.24% 30,283
JANE STREET GROUP, LLC $5,635 0.19% 24,500
HighTower Advisors, LLC $4,744 0.16% 20,628
Farther Finance Advisors, LLC $4,617 0.16% 15,000
SIMPLEX TRADING, LLC $4,602 0.16% 14,952
Tower Research Capital LLC (TRC) $4,171 0.14% 18,136
BANK OF AMERICA CORP /DE/ $3,811 0.13% 16,570
Truvestments Capital LLC $3,574 0.12% 15,540
CITADEL ADVISORS LLC $3,473 0.12% 15,100
RAYMOND JAMES FINANCIAL INC $3,415 0.12% 14,851
Performa Ltd (US), LLC $3,308 0.11% 10,750
Vanguard Global Advisers, LLC $2,486 0.09% 10,809
CITIGROUP INC $1,382 0.05% 4,491
SBI Securities Co., Ltd. $397 0.01% 1,290
ROYAL BANK OF CANADA $115 0.00% 500
MORGAN STANLEY $67 0.00% 298
Persistent Asset Partners Ltd $33 0.00% 147
JONES FINANCIAL COMPANIES LLLP $26 0.00% 114
JPMORGAN CHASE & CO $18 0.00% 82
Fairman Group, LLC $8 0.00% 29
BNP PARIBAS ARBITRAGE, SA $1 0.00% 6
Key facts CIK 1411685 CUSIP 92840H400 13F (30d) 18 filings 11 filers Visit website Investor relations