$62.8 Million is the total value of ALETHEA CAPITAL MANAGEMENT, LLC's 79 reported holdings in Q4 2017. The portfolio turnover from Q3 2017 to Q4 2017 was 85.1% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| COF | CAPITAL ONE FINL CORP | $15,056,000 | +17.6% | 151,194 | 0.0% | 23.96% | +59.5% | |
| DUK | Buy | DUKE ENERGY CORP NEW | $1,466,000 | +249.0% | 17,431 | +248.6% | 2.33% | +373.2% |
| SPY | SPDR S&P 500 ETF TRtr unit | $1,460,000 | +6.2% | 5,472 | 0.0% | 2.32% | +43.9% | |
| KURA | Sell | KURA ONCOLOGY INC | $1,372,000 | -17.8% | 89,673 | -19.7% | 2.18% | +11.4% |
| WMT | Sell | WAL-MART STORES INC | $1,338,000 | -47.4% | 13,554 | -58.4% | 2.13% | -28.7% |
| REM | Sell | ISHARES TRmortge rel etf | $1,307,000 | -4.2% | 28,910 | -0.7% | 2.08% | +29.9% |
| BA | New | BOEING CO | $1,275,000 | – | 4,323 | +100.0% | 2.03% | – |
| MMM | 3M CO | $1,177,000 | +12.1% | 5,000 | 0.0% | 1.87% | +52.0% | |
| XBI | New | SPDR SERIES TRUSTs&p biotech | $1,176,000 | – | 13,861 | +100.0% | 1.87% | – |
| ANDV | New | ANDEAVOR | $1,169,000 | – | 10,220 | +100.0% | 1.86% | – |
| DEX | DELAWARE ENHANCED GBL DIV & | $1,169,000 | +2.3% | 96,344 | 0.0% | 1.86% | +38.6% | |
| MCD | New | MCDONALDS CORP | $1,158,000 | – | 6,728 | +100.0% | 1.84% | – |
| MDT | Buy | MEDTRONIC PLC | $1,099,000 | +304.0% | 13,605 | +288.7% | 1.75% | +448.3% |
| XEL | Sell | XCEL ENERGY INC | $1,077,000 | -57.7% | 22,388 | -58.4% | 1.71% | -42.7% |
| FE | New | FIRSTENERGY CORP | $1,047,000 | – | 34,196 | +100.0% | 1.67% | – |
| HRB | New | BLOCK H & R INC | $1,044,000 | – | 39,816 | +100.0% | 1.66% | – |
| PM | Buy | PHILIP MORRIS INTL INC | $1,008,000 | +127.0% | 9,540 | +138.7% | 1.60% | +207.9% |
| GILD | New | GILEAD SCIENCES INC | $965,000 | – | 13,464 | +100.0% | 1.54% | – |
| HON | Buy | HONEYWELL INTL INC | $905,000 | +12.0% | 5,900 | +3.5% | 1.44% | +51.9% |
| PEP | New | PEPSICO INC | $850,000 | – | 7,087 | +100.0% | 1.35% | – |
| NEE | New | NEXTERA ENERGY INC | $836,000 | – | 5,350 | +100.0% | 1.33% | – |
| GOOG | Buy | ALPHABET INCcap stk cl c | $786,000 | +11.3% | 751 | +2.0% | 1.25% | +50.9% |
| ABBV | ABBVIE INC | $774,000 | +8.9% | 8,000 | 0.0% | 1.23% | +47.5% | |
| BAC | Buy | BANK AMER CORP | $770,000 | +17.7% | 26,075 | +1.1% | 1.22% | +59.5% |
| RE | New | EVEREST RE GROUP LTD | $739,000 | – | 3,338 | +100.0% | 1.18% | – |
| BKLN | Sell | POWERSHARES ETF TRUST IIsenior ln port | $737,000 | -1.6% | 31,975 | -1.1% | 1.17% | +33.4% |
| HBI | New | HANESBRANDS INC | $718,000 | – | 34,352 | +100.0% | 1.14% | – |
| ETN | Buy | EATON CORP PLC | $711,000 | +27.2% | 9,000 | +23.7% | 1.13% | +72.4% |
| TPR | New | TAPESTRY INC | $711,000 | – | 16,078 | +100.0% | 1.13% | – |
| AXSM | New | AXSOME THERAPEUTICS INC | $652,000 | – | 116,500 | +100.0% | 1.04% | – |
| AEP | New | AMERICAN ELEC PWR INC | $647,000 | – | 8,791 | +100.0% | 1.03% | – |
| FLOT | Sell | ISHARES TRfltg rate nt etf | $645,000 | -2.6% | 12,690 | -2.4% | 1.03% | +32.0% |
| HSBC | New | HSBC HLDGS PLCspon adr new | $624,000 | – | 12,086 | +100.0% | 0.99% | – |
| INFY | New | INFOSYS LTDsponsored adr | $624,000 | – | 38,473 | +100.0% | 0.99% | – |
| CCL | New | CARNIVAL CORPunit 99/99/9999 | $622,000 | – | 9,378 | +100.0% | 0.99% | – |
| WEC | New | WEC ENERGY GROUP INC | $610,000 | – | 9,186 | +100.0% | 0.97% | – |
| WM | WASTE MGMT INC DEL | $604,000 | +10.2% | 7,000 | 0.0% | 0.96% | +49.5% | |
| HIO | Sell | WESTERN ASSET HIGH INCM OPP | $573,000 | -2.7% | 112,955 | -1.6% | 0.91% | +32.0% |
| JPM | JPMORGAN CHASE & CO | $572,000 | +11.9% | 5,350 | 0.0% | 0.91% | +51.7% | |
| EXC | New | EXELON CORP | $571,000 | – | 14,485 | +100.0% | 0.91% | – |
| CMI | CUMMINS INC | $565,000 | +5.0% | 3,200 | 0.0% | 0.90% | +42.2% | |
| MRK | Sell | MERCK & CO INC | $555,000 | -15.5% | 9,858 | -3.9% | 0.88% | +14.5% |
| KMB | Sell | KIMBERLY CLARK CORP | $537,000 | -0.7% | 4,450 | -3.3% | 0.85% | +34.5% |
| DWDP | Sell | DOWDUPONT INC | $499,000 | -15.1% | 7,000 | -17.6% | 0.79% | +15.1% |
| AAPL | APPLE INC | $488,000 | +9.9% | 2,884 | 0.0% | 0.78% | +49.1% | |
| ITW | ILLINOIS TOOL WKS INC | $484,000 | +12.8% | 2,900 | 0.0% | 0.77% | +52.8% | |
| EVV | EATON VANCE LTD DUR INCOME F | $438,000 | -2.7% | 32,097 | 0.0% | 0.70% | +32.0% | |
| PFE | PFIZER INC | $433,000 | +1.4% | 11,953 | 0.0% | 0.69% | +37.5% | |
| KO | New | COCA COLA CO | $429,000 | – | 9,358 | +100.0% | 0.68% | – |
| ING | New | ING GROEP N Vsponsored adr | $420,000 | – | 22,769 | +100.0% | 0.67% | – |
| EVM | Sell | EATON VANCE CALIF MUN BD FD | $420,000 | -7.9% | 36,480 | -3.6% | 0.67% | +24.9% |
| BX | Sell | BLACKSTONE GROUP L P | $414,000 | -30.8% | 12,919 | -27.9% | 0.66% | -6.1% |
| HD | Sell | HOME DEPOT INC | $404,000 | -49.6% | 2,129 | -56.6% | 0.64% | -31.6% |
| PG | Buy | PROCTER AND GAMBLE CO | $386,000 | +41.4% | 4,200 | +40.0% | 0.61% | +91.9% |
| DIS | Sell | DISNEY WALT CO | $376,000 | +2.5% | 3,501 | -6.0% | 0.60% | +38.7% |
| MSFT | MICROSOFT CORP | $376,000 | +14.6% | 4,400 | 0.0% | 0.60% | +55.3% | |
| IWR | ISHARES TRrus mid cap etf | $375,000 | +5.6% | 1,800 | 0.0% | 0.60% | +43.2% | |
| AMGN | New | AMGEN INC | $362,000 | – | 2,080 | +100.0% | 0.58% | – |
| CDTX | New | CIDARA THERAPEUTICS INC | $355,000 | – | 52,256 | +100.0% | 0.56% | – |
| BHP | New | BHP BILLITON LTDsponsored adr | $355,000 | – | 7,712 | +100.0% | 0.56% | – |
| PFG | New | PRINCIPAL FINL GROUP INC | $296,000 | – | 4,201 | +100.0% | 0.47% | – |
| NFJ | Sell | ALLIANZGI NFJ DIVID INT & PR | $293,000 | -4.2% | 22,472 | -1.5% | 0.47% | +29.8% |
| LMT | New | LOCKHEED MARTIN CORP | $291,000 | – | 906 | +100.0% | 0.46% | – |
| CUR | NEURALSTEM INC | $283,000 | +30.4% | 164,394 | 0.0% | 0.45% | +76.5% | |
| TSM | New | TAIWAN SEMICONDUCTOR MFG LTDsponsored adr | $274,000 | – | 6,909 | +100.0% | 0.44% | – |
| BAX | BAXTER INTL INC | $259,000 | +3.2% | 4,000 | 0.0% | 0.41% | +39.7% | |
| FB | FACEBOOK INCcl a | $252,000 | +3.3% | 1,430 | 0.0% | 0.40% | +40.2% | |
| BLW | BLACKROCK LTD DURATION INC T | $231,000 | -1.7% | 14,561 | 0.0% | 0.37% | +33.3% | |
| SCG | New | SCANA CORP NEW | $230,000 | – | 5,791 | +100.0% | 0.37% | – |
| WMB | Sell | WILLIAMS COS INC DEL | $215,000 | -69.3% | 7,050 | -69.8% | 0.34% | -58.4% |
| NKX | NUVEEN CALIFORNIA AMT QLT MU | $213,000 | -2.7% | 13,888 | 0.0% | 0.34% | +31.9% | |
| BBY | New | BEST BUY INC | $207,000 | – | 3,022 | +100.0% | 0.33% | – |
| TS | New | TENARIS S Asponsored adr | $201,000 | – | 6,311 | +100.0% | 0.32% | – |
| HIX | WESTERN ASSET HIGH INCM FD I | $185,000 | -3.6% | 26,585 | 0.0% | 0.29% | +30.7% | |
| UMC | New | UNITED MICROELECTRONICS CORPspon adr new | $94,000 | – | 39,357 | +100.0% | 0.15% | – |
| PEP | New | PEPSICO INCcall | $3,000 | – | 1,500 | +100.0% | 0.01% | – |
| MMM | New | 3M COcall | $2,000 | – | 400 | +100.0% | 0.00% | – |
| AAPL | Sell | APPLE INCput | $0 | -100.0% | 200 | -80.0% | 0.00% | -100.0% |
| AAPL | New | APPLE INCcall | $0 | – | 200 | +100.0% | 0.00% | – |
| GOOG | Exit | ALPHABET INCput | $0 | – | -400 | -100.0% | -0.00% | – |
| MSFT | Exit | MICROSOFT CORPcall | $0 | – | -800 | -100.0% | -0.00% | – |
| WM | Exit | WASTE MGMT INC DELcall | $0 | – | -10,000 | -100.0% | -0.03% | – |
| TLT | Exit | ISHARES TRcall | $0 | – | -79,500 | -100.0% | -0.23% | – |
| EQR | Exit | EQUITY RESIDENTIALsh ben int | $0 | – | -3,634 | -100.0% | -0.28% | – |
| KR | Exit | KROGER CO | $0 | – | -13,931 | -100.0% | -0.33% | – |
| EXR | Exit | EXTRA SPACE STORAGE INC | $0 | – | -4,476 | -100.0% | -0.42% | – |
| CL | Exit | COLGATE PALMOLIVE CO | $0 | – | -10,488 | -100.0% | -0.90% | – |
| SNY | Exit | SANOFIsponsored adr | $0 | – | -15,948 | -100.0% | -0.93% | – |
| LLY | Exit | LILLY ELI & CO | $0 | – | -9,449 | -100.0% | -0.95% | – |
| ES | Exit | EVERSOURCE ENERGY | $0 | – | -19,040 | -100.0% | -1.35% | – |
| IBB | Exit | ISHARES TRnasdaq biotech | $0 | – | -3,795 | -100.0% | -1.49% | – |
| DLR | Exit | DIGITAL RLTY TR INC | $0 | – | -13,167 | -100.0% | -1.83% | – |
| FL | Exit | FOOT LOCKER INC | $0 | – | -48,806 | -100.0% | -2.02% | – |
| ED | Exit | CONSOLIDATED EDISON INC | $0 | – | -21,318 | -100.0% | -2.02% | – |
| BTI | Exit | BRITISH AMERN TOB PLCsponsored adr | $0 | – | -29,227 | -100.0% | -2.14% | – |
| PPL | Exit | PPL CORP | $0 | – | -48,608 | -100.0% | -2.17% | – |
| DRI | Exit | DARDEN RESTAURANTS INC | $0 | – | -26,967 | -100.0% | -2.49% | – |
| PCG | Exit | PG&E CORP | $0 | – | -31,243 | -100.0% | -2.50% | – |
| UL | Exit | UNILEVER PLCspon adr new | $0 | – | -36,786 | -100.0% | -2.50% | – |
| UN | Exit | UNILEVER N V | $0 | – | -36,154 | -100.0% | -2.51% | – |
| UTX | Exit | UNITED TECHNOLOGIES CORP | $0 | – | -20,024 | -100.0% | -2.73% | – |
| ESS | Exit | ESSEX PPTY TR INC | $0 | – | -9,528 | -100.0% | -2.84% | – |
| PNW | Exit | PINNACLE WEST CAP CORP | $0 | – | -28,727 | -100.0% | -2.85% | – |
| EIX | Exit | EDISON INTL | $0 | – | -31,711 | -100.0% | -2.87% | – |
| CCI | Exit | CROWN CASTLE INTL CORP NEW | $0 | – | -24,796 | -100.0% | -2.91% | – |
| COP | Exit | CONOCOPHILLIPS | $0 | – | -53,148 | -100.0% | -3.12% | – |
| HPQ | Exit | HP INC | $0 | – | -139,138 | -100.0% | -3.26% | – |
| KLAC | Exit | KLA-TENCOR CORP | $0 | – | -26,797 | -100.0% | -3.33% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2018-02-14
Top long-term holdings
| Name | Quarters owned | Latest quarter owned | Max weighting |
|---|---|---|---|
| MERCK & CO INC NEW | 36 | Q3 2023 | 2.3% |
| MICROSOFT CORP | 36 | Q3 2023 | 1.2% |
| EATON VANCE CALIF MUN BD FD | 36 | Q3 2023 | 1.5% |
| KIMBERLY-CLARK CORP | 33 | Q3 2023 | 3.9% |
| HONEYWELL INTL INC | 33 | Q3 2023 | 1.4% |
| WASTE MGMT INC DEL | 33 | Q3 2023 | 3.5% |
| EATON CORP PLC | 32 | Q3 2023 | 1.1% |
| JPMORGAN CHASE & CO | 32 | Q3 2023 | 2.7% |
| MEDTRONIC PLC | 32 | Q3 2023 | 1.7% |
| CUMMINS INC | 32 | Q3 2023 | 0.9% |
View ALETHEA CAPITAL MANAGEMENT, LLC's complete holdings history.
Latest filings
| Type | Filed |
|---|---|
| 13F-HR | 2024-02-15 |
| 13F-HR | 2023-11-15 |
| 13F-HR | 2023-08-15 |
| 13F-HR | 2023-05-16 |
| 13F-HR | 2023-02-14 |
| 13F-HR | 2022-11-14 |
| 13F-HR | 2022-08-15 |
| 13F-HR | 2022-05-13 |
| 13F-HR | 2022-02-14 |
| 13F-HR | 2021-10-27 |
View ALETHEA CAPITAL MANAGEMENT, LLC's complete filings history.
All filings
- Holdings (13F-HR)
- Significant ownership (13-D/G)
- Insider transactions (4, 5, 6)
- Events (8-K)
- Shareholder votes (proxy)
View complete filings history.