13F-HR filed by ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-04, with 76 holding rows worth $176,150,000.
- Accession
- 0001221073-17-000075
- Filer
- CIK 1549408
- Filed
- 2017-08-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 76 entries on the cover page, a total value of $176,150,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $176,150,000 with VALUE read as thousands by filing date, 13F file number 028-16431. A later restatement replaced it, so the quarter does not use it. 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 | 302,388 | $24,984,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 38,426 | $5,886,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 21,558 | $5,546,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 70,274 | $5,234,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 63,718 | $5,126,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 97,188 | $5,046,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 139,388 | $5,028,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 52,716 | $4,818,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 74,390 | $4,784,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 166,818 | $4,664,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 87,240 | $4,550,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 119,752 | $4,518,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 45,176 | $4,242,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 35,186 | $4,216,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 45,280 | $4,196,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 21,418 | $3,866,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 78,306 | $3,632,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 100,974 | $3,610,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 58,858 | $3,218,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 54,076 | $3,014,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 248,150 | $2,828,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 11,272 | $2,726,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 58,220 | $2,700,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 39,196 | $2,570,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 54,612 | $2,438,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 7,590 | $2,354,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 16,720 | $2,116,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 10,000 | $2,082,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 328,788 | $1,904,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 14,936 | $1,818,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 193,346 | $1,798,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 19,346 | $1,794,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 9,264 | $1,776,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 15,252 | $1,620,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 64,650 | $1,496,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 35,728 | $1,478,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 55,502 | $1,400,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 26,006 | $1,324,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 20,516 | $1,314,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 10,000 | $1,292,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 9,400 | $1,252,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 14,000 | $1,242,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 7,400 | $1,200,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 35,838 | $1,196,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 229,510 | $1,164,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 16,000 | $1,160,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 14,550 | $1,132,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 31,888 | $1,076,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 17,000 | $1,072,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 14,000 | $1,026,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 30,274 | $1,016,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,112 | $1,010,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 64,194 | $906,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 75,680 | $880,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 6,000 | $860,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 10,000 | $836,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 13,288 | $830,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 5,206 | $798,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 28,800 | $698,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 3,600 | $692,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 8,800 | $606,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 45,644 | $598,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 6,486 | $590,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 6,660 | $570,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 3,768 | $542,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,102 | $534,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 6,000 | $522,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 15,624 | $490,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 8,000 | $484,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 29,122 | $460,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,960 | $446,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 5,624 | $438,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 27,776 | $432,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 53,170 | $382,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 700 | $4,000 | thousands by filing date | call |
| Altria Group Inc | 02209S103 | COM | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001221073-17-000075 | this filing | 2017-08-04 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001221073-17-000084 | base | 2017-08-11 | acceptance time not in the bulk data set |