13F-HR filed by ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 60 holding rows worth $72,081,000.
- Accession
- 0001221073-16-000220
- Filer
- CIK 1549408
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 60 entries on the cover page, a total value of $72,081,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $72,081,000 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 | 157,990 | $11,348,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 72,984 | $2,472,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 168,006 | $2,431,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 31,321 | $2,389,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 43,312 | $2,226,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 22,367 | $2,179,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 16,675 | $2,069,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 30,158 | $2,041,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 28,147 | $1,988,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 8,257 | $1,979,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 17,105 | $1,973,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 22,481 | $1,969,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 27,458 | $1,935,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 25,661 | $1,932,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 51,483 | $1,932,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 26,652 | $1,926,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 52,952 | $1,610,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 25,702 | $1,453,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 44,138 | $1,410,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 5,899 | $1,326,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 125,075 | $1,266,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 107,581 | $1,131,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 14,045 | $1,115,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 22,369 | $1,102,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 6,200 | $1,093,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 8,700 | $1,014,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 3,244 | $939,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 16,283 | $878,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 9,401 | $873,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 6,200 | $782,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 30,201 | $776,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 30,598 | $710,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 2,137,061 | $684,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 10,768 | $681,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 13,003 | $660,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 12,703 | $623,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 7,000 | $605,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 13,588 | $581,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 114,755 | $580,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 9,000 | $574,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 37,840 | $513,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 7,500 | $493,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 2,876 | $466,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 8,258 | $453,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 3,500 | $449,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 32,097 | $440,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 3,741 | $419,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 64,300 | $402,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 3,100 | $372,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 12,700 | $356,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 1,501 | $324,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 406 | $316,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 22,822 | $288,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,500 | $271,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 4,000 | $266,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,710 | $235,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 13,888 | $231,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 14,561 | $226,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 26,585 | $191,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 24,577 | $115,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001221073-16-000220 | this filing | 2016-11-14 | acceptance time not in the bulk data set |