13F-HR filed by ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-09, with 89 holding rows worth $98,145,000.
- Accession
- 0001221073-15-000016
- Filer
- CIK 1549408
- Filed
- 2015-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 89 entries on the cover page, a total value of $98,145,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $98,145,000 with VALUE read as thousands by filing date, 13F file number 028-16431. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| CAPITAL ONE FINL CORP | 14040H105 | COM | 172,658 | $14,253,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 2,134,442 | $5,806,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 78,896 | $4,615,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 16,942 | $2,768,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 13,280 | $2,744,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 56,648 | $2,738,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 36,470 | $2,731,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 102,449 | $2,628,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 77,879 | $2,623,000 | thousands by filing date | |
| GANNETT INC | 364730101 | COM | 80,912 | $2,584,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 163,592 | $2,536,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 69,737 | $2,531,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 62,239 | $2,505,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 174,453 | $1,966,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 29,560 | $1,739,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 31,453 | $1,485,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 25,524 | $1,444,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 20,049 | $1,410,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 19,830 | $1,379,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 28,066 | $1,261,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 51,579 | $1,205,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 144,739 | $1,193,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 15,292 | $1,046,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 41,725 | $1,025,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 9,782 | $1,010,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 20,803 | $1,009,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 70,527 | $996,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 39,709 | $982,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 83,097 | $978,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 13,507 | $975,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 23,445 | $969,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 8,744 | $965,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 13,390 | $962,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 11,833 | $937,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 5,700 | $936,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 24,533 | $880,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 8,600 | $859,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 46,916 | $840,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 6,900 | $797,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 105,984 | $761,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 7,105 | $743,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 29,300 | $740,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 7,788 | $733,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 19,500 | $707,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 128,922 | $692,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 14,842 | $689,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 13,662 | $673,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 17,551 | $644,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 12,630 | $638,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 15,000 | $630,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 33,500 | $600,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 12,394 | $580,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 6,500 | $575,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 16,036 | $563,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 10,000 | $513,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 8,421 | $486,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 6,450 | $479,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 29,810 | $469,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 3,227 | $465,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 33,163 | $458,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 9,376 | $455,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,933 | $432,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 111,700 | $414,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 7,030 | $399,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 21,881 | $350,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 1,541 | $316,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 36,140 | $300,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 4,000 | $289,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 7,500 | $286,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,700 | $283,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 3,000 | $275,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 4,000 | $216,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 3,500 | $214,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 3,500 | $160,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 12,700 | $132,000 | thousands by filing date | call |
| iShares Russell 2000 ETF | 464287655 | SHS | 30,300 | $118,000 | thousands by filing date | call |
| VALE S A | 91912E105 | SPONSORED ADS | 12,517 | $102,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 11,500 | $85,000 | thousands by filing date | call |
| iShares Russell 2000 ETF | 464287655 | SHS | 399 | $48,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 24,000 | $37,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 83,700 | $32,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 413 | $20,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 8,000 | $16,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 5,000 | $12,000 | thousands by filing date | call |
| Qualcomm Incorporated | 747525103 | COM | 2,000 | $2,000 | thousands by filing date | call |
| HALLIBURTON CO COM | 406216101 | Stock | 20,000 | $2,000 | thousands by filing date | call |
| Dow Chemical Company | 260543103 | COM | 10,000 | $1,000 | thousands by filing date | call |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 12,200 | $1,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 25,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001221073-15-000016 | this filing | 2015-02-09 | acceptance time not in the bulk data set |