13F-HR filed by ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA CAPITAL MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-02, with 74 holding rows worth $85,193,000.
- Accession
- 0001221073-17-000097
- Filer
- CIK 1549408
- Filed
- 2017-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 74 entries on the cover page, a total value of $85,193,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $85,193,000 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 | $12,800,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 26,797 | $2,840,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 139,138 | $2,777,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 53,148 | $2,660,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 53,847 | $2,548,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 32,576 | $2,545,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 24,796 | $2,479,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 31,711 | $2,447,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 28,727 | $2,429,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 9,528 | $2,420,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 20,024 | $2,324,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 36,154 | $2,135,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 36,786 | $2,132,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 31,243 | $2,127,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 26,967 | $2,124,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 48,608 | $1,845,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 29,227 | $1,825,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 21,318 | $1,720,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 48,806 | $1,719,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 111,673 | $1,670,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 13,167 | $1,558,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 5,472 | $1,375,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 29,110 | $1,364,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 3,795 | $1,266,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 19,040 | $1,151,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 96,344 | $1,143,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 5,000 | $1,050,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 9,449 | $808,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 5,700 | $808,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 4,900 | $801,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 15,948 | $794,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 10,488 | $764,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 32,325 | $749,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 8,000 | $711,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 736 | $706,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 23,326 | $700,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 13,003 | $662,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 10,258 | $657,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 25,800 | $654,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 17,919 | $598,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 114,755 | $589,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 8,500 | $588,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 7,275 | $559,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 7,000 | $548,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 4,600 | $541,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 3,200 | $538,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,350 | $511,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 37,840 | $456,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 32,097 | $450,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 2,884 | $444,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,996 | $444,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,900 | $429,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 11,953 | $427,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 5,000 | $420,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,726 | $367,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 4,476 | $358,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 1,800 | $355,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 4,400 | $328,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 22,822 | $306,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 13,931 | $279,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,000 | $273,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 3,500 | $272,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,000 | $251,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,430 | $244,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 3,634 | $240,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 14,561 | $235,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 13,888 | $219,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 164,394 | $217,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 79,500 | $198,000 | thousands by filing date | call |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 26,585 | $192,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 10,000 | $25,000 | thousands by filing date | call |
| Microsoft Corp | 594918104 | COM | 800 | $3,000 | thousands by filing date | call |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 400 | $1,000 | thousands by filing date | put |
| Apple Inc | 037833100 | COM | 1,000 | $1,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001221073-17-000097 | this filing | 2017-11-02 | acceptance time not in the bulk data set |