-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EM8Ar3zUhw+vAw1fcvRq3ez/dFMOPKsbv5P9dkbMe+GjMxlPQ8pUnbtwaLclx/NX DKYJksdTbXQ8niZLmYldmA== 0001169232-08-003099.txt : 20080814 0001169232-08-003099.hdr.sgml : 20080814 20080814160052 ACCESSION NUMBER: 0001169232-08-003099 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080814 DATE AS OF CHANGE: 20080814 EFFECTIVENESS DATE: 20080814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Aletheia Research & Management, Inc. CENTRAL INDEX KEY: 0001302506 IRS NUMBER: 954647814 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11851 FILM NUMBER: 081018890 BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-899-0800 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 13F-HR 1 d74714_13f-hr.txt 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2008. Check here if Amendment |_|; Amendment Number: This Amendment (Check only one): |_| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Aletheia Research and Management, Inc. Address: 100 Wilshire Boulevard, Suite 1960, Santa Monica, CA 90401. Form 13F File Number: 028-11851 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Roger B. Peikin Title: Executive Vice President Phone: 310-899-0800 Signature, Place and Date of Signing: /s/ Roger B. Peikin Santa Monica, CA August 14, 2008 Report Type (Check one only): |X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |_| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |_| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Aletheia Research and Management, Inc. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 211 Form 13F Information Table Value Total: $9,252,816,000 List of Other Included Managers: None FORM 13F INFORMATION TABLE
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ----------------------- -------- --------- -------- ------- --- ---- ------- --------- ----- ------ ---- AES Corp COMMON 00130H105 121,554 6,399,898 SH SOLE SOLE - - Agnico-Eagle Mines Ltd COMMON 008474108 198,291 2,662,816 SH SOLE SOLE - - Alexander & Baldwin Inc COMMON 014482103 5,880 129,176 SH SOLE SOLE - - Alnylam Pharmaceuticals Inc COMMON 02043Q107 82,041 3,073,965 SH SOLE SOLE - - American Capital Ltd COMMON 02503Y103 1,799 72,297 SH SOLE SOLE - - American Eagle Outfitters Inc. COMMON 02553E106 68,521 5,071,826 SH SOLE SOLE - - American Elec Pwr Co Inc COMMON 025537101 2,219 56,023 SH SOLE SOLE - - American Express Co COMMON 025816109 206,953 5,328,826 SH SOLE SOLE - - American International Group Inc COMMON 026874107 70,328 2,572,067 SH SOLE SOLE - - AmeriCredit Corp COMMON 03060R101 6,279 695,823 SH SOLE SOLE - - Ameron International Corp COMMON 030710107 2,053 17,400 SH SOLE SOLE - - Amgen Inc COMMON 031162100 449 9,675 SH SOLE SOLE - - AMR Corp COMMON 001765106 4,139 816,577 SH SOLE SOLE - - Amylin Pharmaceuticals Inc COMMON 032346108 87,176 3,330,001 SH SOLE SOLE - - Anglo American PLC COMMON 03485P201 2,736 78,062 SH SOLE SOLE - - Anheuser Busch Companies Inc COMMON 035229103 133,021 2,140,241 SH SOLE SOLE - - Annaly Capital Management Inc COMMON 035710409 4,304 276,858 SH SOLE SOLE - - Apache Corp COMMON 037411105 116,689 839,306 SH SOLE SOLE - - Apartment Investment & Mgmt Co COMMON 03748R101 15,892 466,744 SH SOLE SOLE - - AstraZeneca PLC COMMON 046353108 9,268 217,348 SH SOLE SOLE - - Automatic Data Processing Inc COMMON 053015103 416 10,000 SH SOLE SOLE - - AvalonBay Communities Inc COMMON 053484101 6,137 69,508 SH SOLE SOLE - - Banco Bradesco S.A. COMMON 059460303 10,751 524,748 SH SOLE SOLE - - Barclays Bank PLC COMMON 06738E204 975 42,082 SH SOLE SOLE - - Barnes & Noble Inc COMMON 067774109 5,347 213,802 SH SOLE SOLE - - Barrick Gold Corp COMMON 067901108 11,110 243,411 SH SOLE SOLE - - Baxter International Inc COMMON 071813109 459 7,230 SH SOLE SOLE - - BHP Billiton Ltd COMMON 088606108 3,609 42,769 SH SOLE SOLE - - BJ's Restaurants Inc COMMON 09180C106 150 15,000 SH SOLE SOLE - - Boston Properties Inc COMMON 101121101 18,451 204,088 SH SOLE SOLE - - Brasil Telecom SA COMMON 10553M101 3,947 124,155 SH SOLE SOLE - - Bristol Myers Squibb Co COMMON 110122108 17,771 868,142 SH SOLE SOLE - - Brookdale Senior Living Inc COMMON 112463104 648 30,393 SH SOLE SOLE - - Brookfield Asset Management Inc COMMON 112585104 1,914 58,913 SH SOLE SOLE - - Brookfield Homes Corp COMMON 112723101 11,952 957,899 SH SOLE SOLE - - Burlington Northern Santa Fe Corp COMMON 12189T104 27,601 283,060 SH SOLE SOLE - - Cameco Corp COMMON 13321L108 136,336 3,314,972 SH SOLE SOLE - - Canadian Natural Resources Ltd COMMON 136385101 149,883 1,485,913 SH SOLE SOLE - - Capstead Mortgage Corp COMMON 14067E506 1,334 119,584 SH SOLE SOLE - - Cardinal Health Inc COMMON 14149Y108 298 5,880 SH SOLE SOLE - - Caterpillar Inc COMMON 149123101 270,955 3,667,059 SH SOLE SOLE - - CBRE Realty Finance Inc COMMON 12498B307 1,565 417,684 SH SOLE SOLE - - Cemex SAB de CV COMMON 151290889 8,100 332,741 SH SOLE SOLE - - Chesapeake Energy Corp COMMON 165167107 354,898 5,390,197 SH SOLE SOLE - - Cheung Kong Holdings Ltd COMMON 166744201 2,778 206,374 SH SOLE SOLE - - China Petroleum & Chemical Corp COMMON 16941R108 1,661 17,926 SH SOLE SOLE - - China Telecom Corp Ltd COMMON 169426103 2,101 38,739 SH SOLE SOLE - - Citadel Broadcasting Corp COMMON 17285T106 7,244 6,027,706 SH SOLE SOLE - - Citigroup Inc COMMON 172967101 9,822 571,147 SH SOLE SOLE - - Citrix Systems Inc COMMON 177376100 204 6,884 SH SOLE SOLE - - CKE Restaurants Inc COMMON 12561E105 10,353 825,728 SH SOLE SOLE - - Clorox Co COMMON 189054109 2,616 50,410 SH SOLE SOLE - - Coeur D Alene Mines Corp COMMON 192108108 413 136,775 SH SOLE SOLE - - Colonial Properties Trust COMMON 195872106 29,372 1,476,959 SH SOLE SOLE - - Comcast Corp PREFERR 20030N101 246 13,176 SH SOLE SOLE - - Companhia Vale do Rio Doce COMMON 204412209 1,559 44,041 SH SOLE SOLE - - ConocoPhillips COMMON 20825C104 152,007 1,638,751 SH SOLE SOLE - - CurrencyShares Australian Dollar Trust ETF 23129U101 1,605 16,617 SH SOLE SOLE - - CurrencyShares Canadian Dollar Trust ETF 23129X105 5,736 58,138 SH SOLE SOLE - - CurrencyShares Euro Trust ETF 23130C108 1,353 8,554 SH SOLE SOLE - - CurrencyShares Japanese Yen Trust ETF 23130A102 4,265 45,389 SH SOLE SOLE - - Dean Foods Co COMMON 242370104 5,264 270,820 SH SOLE SOLE - - Deere & Co COMMON 244199105 99,536 1,378,309 SH SOLE SOLE - - Dell Inc COMMON 24702R101 18,224 820,164 SH SOLE SOLE - - Delta Petroleum Corp COMMON 247907207 136,352 5,443,809 SH SOLE SOLE - - Devon Energy Corp COMMON 25179M103 238,007 2,020,837 SH SOLE SOLE - - Dominion Resources Inc COMMON 25746U109 17,893 382,914 SH SOLE SOLE - - Dow Chemical Co COMMON 260543103 15,770 451,100 SH SOLE SOLE - - DR Pepper Snapple Group Inc COMMON 26138E109 432 20,000 SH SOLE SOLE - - DST Systems Inc COMMON 233326107 828 15,000 SH SOLE SOLE - - Duke Energy Corp COMMON 26441C105 15,100 880,580 SH SOLE SOLE - - E I du Pont de Nemours and Co COMMON 263534109 7,621 178,598 SH SOLE SOLE - - E ON AG COMMON 268780103 2,459 36,778 SH SOLE SOLE - - Eagle Materials Inc COMMON 26969P108 3,555 136,690 SH SOLE SOLE - - EMC Corp COMMON 268648102 326 22,165 SH SOLE SOLE - - Emerson Electric Co COMMON 291011104 122,288 2,503,059 SH SOLE SOLE - - Enbridge Energy Partners LP COMMON 29250R106 214 4,250 SH SOLE SOLE - - EnCana Corp COMMON 292505104 1,986 21,868 SH SOLE SOLE - - Equity Residential COMMON 29476L107 19,822 518,470 SH SOLE SOLE - - Exxon Mobil Corp COMMON 30231G102 8,605 98,304 SH SOLE SOLE - - Ferrellgas Partners LP COMMON 315293100 253 12,830 SH SOLE SOLE - - Freeport-McMoRan Copper & Gold Inc COMMON 35671D857 28,586 238,416 SH SOLE SOLE - - General Cable Corp COMMON 369300108 90,828 1,514,441 SH SOLE SOLE - - General Electric Co COMMON 369604103 200,318 7,527,342 SH SOLE SOLE - - General Growth Properties Inc COMMON 370021107 81,292 2,330,406 SH SOLE SOLE - - General Motors Corp COMMON 370442105 9,692 834,604 SH SOLE SOLE - - Goldcorp Inc COMMON 380956409 234,134 4,976,940 SH SOLE SOLE - - Goodrich Petroleum Corp COMMON 382410405 8,890 116,819 SH SOLE SOLE - - H and R Block Inc COMMON 093671105 5,582 267,253 SH SOLE SOLE - - Haemonetics Corp COMMON 405024100 55,515 981,168 SH SOLE SOLE - - Harvest Energy Trust UNIT RESTG LLC 41752X101 27,804 1,177,617 SH SOLE SOLE - - Heineken NV COMMON 423012202 1,725 67,493 SH SOLE SOLE - - HJ Heinz Company COMMON 423074103 8,217 172,008 SH SOLE SOLE - - Home Depot Inc COMMON 437076102 17,530 738,350 SH SOLE SOLE - - Hovnanian Enterprises Inc COMMON 442487203 1,196 200,000 SH SOLE SOLE - - HSBC Holdings PLC COMMON 404280406 1,817 23,760 SH SOLE SOLE - - Hugoton Royalty Trust COMMON 444717102 24,580 679,882 SH SOLE SOLE - - Ingersoll-Rand Co Ltd COMMON G4776G101 247 6,700 SH SOLE SOLE - - InterContinental Hotels Group PLC COMMON 45857P301 2,013 151,853 SH SOLE SOLE - - International Business Machines Corp COMMON 459200101 407,227 3,400,996 SH SOLE SOLE - - Intl Assets Holding Corp COMMON 459028106 7,506 261,626 SH SOLE SOLE - - Iron Mountain Inc COMMON 462846106 216 8,175 SH SOLE SOLE - - iShares Silver Trust ETF 46428Q109 1,176 6,731 SH SOLE SOLE - - Ivanhoe Energy Inc COMMON 465790103 1,469 404,658 SH SOLE SOLE - - Javo Beverage Co Inc COMMON 47189R104 1,575 2,100,000 SH SOLE SOLE - - Jefferies Group Inc COMMON 472319102 7,508 426,306 SH SOLE SOLE - - Johnson and Johnson COMMON 478160104 17,129 267,770 SH SOLE SOLE - - Johnson Controls Inc COMMON 478366107 8,030 277,531 SH SOLE SOLE - - JPMorgan Chase and Co COMMON 46625H100 16,476 475,126 SH SOLE SOLE - - Kennedy Wilson Inc COMMON 489399204 4,780 121,455 SH SOLE SOLE - - Kinder Morgan Management LLC COMMON 49455U100 0 163,431 SH SOLE SOLE - - Korea Electric Power Corp COMMON 500631106 1,478 101,557 SH SOLE SOLE - - Kraft Foods Inc COMMON 50075N104 12,671 446,259 SH SOLE SOLE - - L-1 Identity Solutions Inc COMMON 50212A106 57,105 4,329,545 SH SOLE SOLE - - La Jolla Pharmaceutical Co COMMON 503459307 1,170 601,628 SH SOLE SOLE - - Limited Brands Inc COMMON 532716107 7,391 438,882 SH SOLE SOLE - - Lukoil Co COMMON 677862104 2,412 24,570 SH SOLE SOLE - - LVMH Moet Hennessy Louis Vuitton COMMON 502441306 2,607 76,773 SH SOLE SOLE - - Macy's Inc COMMON 55616P104 79,635 4,092,908 SH SOLE SOLE - - McDonald's Corporation COMMON 580135101 139,352 2,452,957 SH SOLE SOLE - - McMoRan Exploration Co COMMON 582411104 173,530 6,356,901 SH SOLE SOLE - - MDC Holdings Inc COMMON 552676108 11,857 300,474 SH SOLE SOLE - - Medtronic Inc COMMON 585055106 138,767 2,703,327 SH SOLE SOLE - - Melco Crown Entertainment Ltd COMMON 585464100 1,671 178,995 SH SOLE SOLE - - MEMC Electronic Materials Inc COMMON 552715104 51,454 834,532 SH SOLE SOLE - - Meritage Homes Corp COMMON 59001A102 170 10,820 SH SOLE SOLE - - Merrill Lynch & Co Inc COMMON 590188108 9,513 292,568 SH SOLE SOLE - - Mesabi Trust COMMON 590672101 1,237 40,775 SH SOLE SOLE - - Meta Financial Group Inc COMMON 59100U108 385,994 (45,973) SH SOLE SOLE - - MGM Mirage COMMON 552953101 104,312 3,092,663 SH SOLE SOLE - - Microsoft Corp COMMON 594918104 431 15,746 SH SOLE SOLE - - Mitsubishi UFJ Financial Group Inc COMMON 606822104 4,415 502,184 SH SOLE SOLE - - Murphy Oil Corp COMMON 626717102 337,277 3,441,315 SH SOLE SOLE - - Mylan Inc COMMON 628530107 6,038 496,811 SH SOLE SOLE - - NASDAQ OMX Group Inc COMMON 631103108 102,082 3,718,626 SH SOLE SOLE - - National Grid PLC COMMON 636274300 2,060 31,504 SH SOLE SOLE - - Natural Resource Partners LP COMMON 63900P103 1,792 44,858 SH SOLE SOLE - - Newmont Mining Corp COMMON 651639106 323,069 6,102,791 SH SOLE SOLE - - Nippon Telegraph and Telephone Corp COMMON 654624105 2,160 88,741 SH SOLE SOLE - - Nomura Holdings Inc COMMON 65535H208 1,532 103,931 SH SOLE SOLE - - Nordstrom Inc COMMON 655664100 78,921 2,551,691 SH SOLE SOLE - - Novartis AG COMMON 66987V109 1,669 30,432 SH SOLE SOLE - - NuStar GP Holdings LLC COMMON 67059L102 4,048 182,305 SH SOLE SOLE - - NVR Inc COMMON 62944T105 465 898 SH SOLE SOLE - - Oilsands Quest Inc COMMON 678046103 173,807 28,450,963 SH SOLE SOLE - - Patriot Coal Corp COMMON 70336T104 409 2,740 SH SOLE SOLE - - Peabody Energy Corp COMMON 704549104 2,303 27,400 SH SOLE SOLE - - Perini Corp COMMON 713839108 48,538 1,501,905 SH SOLE SOLE - - PetroChina Company Ltd COMMON 71646E100 1,294 10,074 SH SOLE SOLE - - Petroleo Brasileiro SA COMMON 71654V408 240,920 3,458,797 SH SOLE SOLE - - Powell Industries Inc COMMON 739128106 6,667 133,437 SH SOLE SOLE - - PriceSmart Inc COMMON 741511109 4,110 199,753 SH SOLE SOLE - - Procter & Gamble Co COMMON 742718109 101,237 1,657,637 SH SOLE SOLE - - Public Storage COMMON 74460D109 2,339 29,390 SH SOLE SOLE - - Quiksilver Inc COMMON 74838C106 125 12,300 SH SOLE SOLE - - Rowan Companies Inc COMMON 779382100 3,992 86,136 SH SOLE SOLE - - RPC Inc COMMON 749660106 4,874 290,691 SH SOLE SOLE - - sanofi-aventis COMMON 80105N105 8,103 245,454 SH SOLE SOLE - - Schlumberger Ltd COMMON 806857108 2,823 26,625 SH SOLE SOLE - - Scientific Learning Corp COMMON 808760102 112 28,162 SH SOLE SOLE - - Sears Holdings Corp COMMON 812350106 8,263 108,681 SH SOLE SOLE - - Sempra Energy COMMON 816851109 17,323 308,174 SH SOLE SOLE - - Sepracor Inc COMMON 817315104 307 15,500 SH SOLE SOLE - - Sierra Pacific Resources COMMON 826428104 7,505 589,180 SH SOLE SOLE - - Silver Wheaton Corp COMMON 828336107 95,103 6,425,954 SH SOLE SOLE - - SJW Corp COMMON 784305104 11,187 419,904 SH SOLE SOLE - - SLM Corp COMMON 78442P106 292 15,000 SH SOLE SOLE - - Sovereign Bancorp Inc COMMON 845905108 3,995 523,654 SH SOLE SOLE - - SPDR Gold Trust ETF 78463V107 204,886 2,229,226 SH SOLE SOLE - - Standard Pacific Corp COMMON 85375C101 35 10,076 SH SOLE SOLE - - Starbucks Corp COMMON 855244109 5,632 352,971 SH SOLE SOLE - - Starwood Hotels & Resorts Worldwide Inc COMMON 85590A401 13,273 334,324 SH SOLE SOLE - - StemCells Inc COMMON 85857R105 42 35,000 SH SOLE SOLE - - Suncor Energy Inc COMMON 867229106 372,802 6,399,676 SH SOLE SOLE - - Suntech Power Holdings Co Ltd COMMON 86800C104 50,717 1,421,865 SH SOLE SOLE - - Swiss Reinsurance Co COMMON 870887205 2,076 31,471 SH SOLE SOLE - - Target Corporation COMMON 87612E106 347 7,253 SH SOLE SOLE - - TECO Energy Inc COMMON 872375100 598 28,505 SH SOLE SOLE - - Telanetix Inc COMMON 879180107 11 30,676 SH SOLE SOLE - - Tesco Plc COMMON 881575302 1,498 68,393 SH SOLE SOLE - - Tesoro Corp COMMON 881609101 239,695 12,474,788 SH SOLE SOLE - - The Bank of Nova Scotia COMMON 064149107 1,538 33,481 SH SOLE SOLE - - The Boeing Co COMMON 097023105 6,757 102,099 SH SOLE SOLE - - The Coca Cola Co COMMON 191216100 293,292 5,693,849 SH SOLE SOLE - - The Hershey Co COMMON 427866108 7,916 242,907 SH SOLE SOLE - - Titanium Metals Corp COMMON 888339207 176,785 12,713,785 SH SOLE SOLE - - United Parcel Service Inc PREFERR 911312106 784 12,975 SH SOLE SOLE - - Uranium Resources Inc COMMON 916901507 1,407 380,360 SH SOLE SOLE - - USG Corp COMMON 903293405 11,444 391,220 SH SOLE SOLE - - Valeant Pharmaceuticals International COMMON 91911X104 256 15,000 SH SOLE SOLE - - Valence Technology Inc COMMON 918914102 549 113,969 SH SOLE SOLE - - Valero Energy Corp COMMON 91913Y100 20,364 507,159 SH SOLE SOLE - - Verizon Communications COMMON 92343V104 19,111 549,425 SH SOLE SOLE - - Vertex Pharmaceuticals Inc COMMON 92532F100 92,520 2,784,420 SH SOLE SOLE - - Vimpel-Communications COMMON 68370R109 1,997 68,049 SH SOLE SOLE - - VolgaTelecom COMMON 928660109 2,164 230,740 SH SOLE SOLE - - Volkswagen Ag Spons COMMON 928662303 5,772 102,053 SH SOLE SOLE - - Wal-Mart Stores Inc COMMON 931142103 267,409 4,726,429 SH SOLE SOLE - - Weatherford International Inc COMMON G95089101 2,787 57,514 SH SOLE SOLE - - WebMD Health Corp COMMON 94770V102 123,258 4,250,759 SH SOLE SOLE - - Wells Fargo & Co COMMON 949746101 7,302 303,400 SH SOLE SOLE - - Weyerhaeuser Co COMMON 962166104 317 6,287 SH SOLE SOLE - - Whole Foods Market Inc COMMON 966837106 742 30,104 SH SOLE SOLE - - Williams Companies Inc COMMON 969457100 253 6,340 SH SOLE SOLE - - Williams-Sonoma Inc COMMON 969904101 206 10,000 SH SOLE SOLE - - WisdomTree Dreyfus Brazilian Real Fund ETF 97717W240 1,198 44,985 SH SOLE SOLE - - WisdomTree Dreyfus Chinese Yuan Fund ETF 23252E106 5,705 223,293 SH SOLE SOLE - - WisdomTree Dreyfus Indian Rupee Fund ETF 97717W166 1,547 62,621 SH SOLE SOLE - - WorldSpace Inc COMMON 981579105 26,475 15,876,558 SH SOLE SOLE - - Wynn Resorts Ltd COMMON 983134107 82,075 1,017,366 SH SOLE SOLE - - Zimmer Holdings Inc COMMON 98956P102 225 3,350 SH SOLE SOLE - - 9,252,816
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