13F-HR filed by ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-09, with 73 holding rows worth $79,265,000.
- Accession
- 0001221073-17-000031
- Filer
- CIK 1549408
- Filed
- 2017-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 73 entries on the cover page, a total value of $79,265,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $79,265,000 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 | 151,194 | $13,190,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 38,975 | $2,764,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 130,944 | $2,467,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 19,505 | $2,250,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 21,324 | $2,206,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 34,915 | $2,157,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 35,232 | $2,145,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 18,641 | $2,137,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 8,502 | $2,125,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 14,965 | $2,125,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 91,672 | $2,057,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 42,377 | $2,055,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 17,256 | $1,988,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 65,819 | $1,930,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 15,039 | $1,926,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 67,331 | $1,855,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 27,392 | $1,601,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 7,459 | $1,325,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 125,075 | $1,265,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 5,474 | $1,224,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 17,016 | $1,205,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 27,785 | $1,169,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 47,942 | $1,102,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 800 | $1,100,000 | thousands by filing date | call |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 28,516 | $1,088,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 3,000 | $1,000,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 5,500 | $982,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 9,351 | $975,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 3,264 | $866,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 12,264 | $848,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 6,700 | $776,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 24,500 | $774,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 32,325 | $755,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 9,417 | $713,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 9,622 | $709,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 11,640 | $707,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 6,000 | $685,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 13,003 | $660,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 27,751 | $641,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 12,580 | $615,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 19,000 | $603,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 114,755 | $573,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 10,000 | $572,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 17,392 | $517,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 7,000 | $499,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 15,137 | $492,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 8,258 | $486,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 3,500 | $478,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 7,000 | $470,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 32,097 | $440,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 37,840 | $431,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 100 | $400,000 | thousands by filing date | put |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 11,198 | $392,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 3,741 | $392,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 64,300 | $379,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 7,512 | $372,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 3,000 | $367,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 3,008 | $356,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 7,691 | $339,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 406 | $313,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,500 | $302,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 1,000 | $300,000 | thousands by filing date | call |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 22,822 | $288,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 11,000 | $243,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 14,561 | $221,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 3,500 | $217,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 13,888 | $199,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 26,585 | $188,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,029 | $119,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 24,577 | $109,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 375 | $24,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 100 | $18,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 6 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001221073-17-000031 | this filing | 2017-02-09 | acceptance time not in the bulk data set |