13F-HR filed by ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-10-23, with 63 holding rows worth $65,870,000.
- Accession
- 0001221073-15-000098
- Filer
- CIK 1549408
- Filed
- 2015-10-23
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 63 entries on the cover page, a total value of $65,870,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $65,870,000 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 | 161,667 | $11,724,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 10,446 | $2,856,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 2,137,061 | $2,607,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 141,652 | $2,601,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 80,198 | $2,398,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 37,554 | $2,298,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 30,101 | $2,171,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 6,967 | $2,113,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 70,637 | $1,955,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 99,654 | $1,846,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 171,190 | $1,676,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 176,326 | $1,633,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 13,319 | $1,520,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 35,493 | $1,505,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 19,713 | $1,464,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 19,390 | $1,418,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 39,443 | $1,232,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 11,788 | $1,161,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 59,566 | $1,159,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 15,143 | $1,044,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 21,615 | $1,001,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 10,604 | $983,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 38,992 | $970,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 83,097 | $966,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 27,988 | $958,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 70,527 | $894,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 25,305 | $795,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 13,984 | $761,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 13,065 | $659,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 130,471 | $612,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 11,488 | $559,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 11,833 | $515,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 8,190 | $485,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 17,775 | $467,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 5,501 | $459,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 6,797 | $450,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 10,139 | $449,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 9,511 | $449,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 11,163 | $441,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 8,307 | $440,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 9,872 | $427,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 18,699 | $424,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 29,308 | $423,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 32,398 | $422,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 7,214 | $419,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 10,571 | $408,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 8,088 | $404,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 8,393 | $397,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 2,063 | $395,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 9,303 | $371,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 7,276 | $359,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 7,688 | $319,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 22,871 | $292,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 36,529 | $236,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 7,631 | $221,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 13,957 | $205,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 255,800 | $140,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 21,100 | $126,000 | thousands by filing date | put |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 75,400 | $109,000 | thousands by filing date | put |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 11,000 | $46,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 401 | $23,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 1,800 | $5,000 | thousands by filing date | call |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 11,000 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001221073-15-000098 | this filing | 2015-10-23 | acceptance time not in the bulk data set |