13F-HR filed by ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-04, with 70 holding rows worth $83,310,000.
- Accession
- 0001221073-17-000054
- Filer
- CIK 1549408
- Filed
- 2017-05-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 70 entries on the cover page, a total value of $83,310,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $83,310,000 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 | $13,102,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 61,602 | $2,868,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 28,831 | $2,748,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 52,084 | $2,560,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 24,416 | $2,437,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 21,732 | $2,418,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 38,136 | $2,407,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 75,219 | $2,308,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 21,284 | $2,271,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 46,749 | $2,177,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 41,053 | $2,168,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 62,884 | $2,065,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 64,306 | $2,046,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 168,835 | $2,038,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 197,005 | $2,017,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 24,593 | $2,007,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 34,039 | $1,952,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 30,135 | $1,915,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 42,309 | $1,782,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 28,189 | $1,467,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 125,075 | $1,375,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 45,733 | $1,353,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 5,472 | $1,290,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 11,811 | $1,286,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 27,785 | $1,258,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 23,760 | $1,094,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 9,351 | $1,060,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 3,264 | $957,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 5,000 | $957,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 10,956 | $883,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 164,394 | $868,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 32,325 | $752,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 84,769 | $746,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 28,470 | $692,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 27,751 | $662,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 13,003 | $661,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 5,000 | $658,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 4,700 | $587,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 114,755 | $578,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 8,500 | $540,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 3,500 | $529,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 7,000 | $519,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 15,137 | $518,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 4,257 | $517,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 7,000 | $510,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 5,650 | $508,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,300 | $466,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 32,097 | $444,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 37,840 | $430,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 5,000 | $410,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,900 | $384,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 4,623 | $382,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 14,500 | $342,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 406 | $337,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 8,034 | $336,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,200 | $323,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 6,697 | $303,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 500 | $300,000 | thousands by filing date | call |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 22,822 | $294,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 9,739 | $289,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 6,750 | $234,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 6,400 | $231,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 3,500 | $231,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 14,561 | $227,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 6,612 | $223,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,000 | $207,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 6,950 | $206,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 13,888 | $205,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,430 | $203,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 26,585 | $192,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001221073-17-000054 | this filing | 2017-05-04 | acceptance time not in the bulk data set |