0001221073-15-000098.txt : 20151023 0001221073-15-000098.hdr.sgml : 20151023 20151023164149 ACCESSION NUMBER: 0001221073-15-000098 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151023 DATE AS OF CHANGE: 20151023 EFFECTIVENESS DATE: 20151023 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Alethea Capital Management, LLC CENTRAL INDEX KEY: 0001549408 IRS NUMBER: 275349670 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16431 FILM NUMBER: 151173236 BUSINESS ADDRESS: STREET 1: 15618 JUBE WRIGHT COURT CITY: SAN DIEGO STATE: CA ZIP: 92127 BUSINESS PHONE: 858-926-2058 MAIL ADDRESS: STREET 1: 15618 JUBE WRIGHT COURT CITY: SAN DIEGO STATE: CA ZIP: 92127 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001549408 XXXXXXXX 09-30-2015 09-30-2015 Alethea Capital Management, LLC

15618 JUBE WRIGHT COURT SAN DIEGO CA 92127

13F HOLDINGS REPORT 028-16431 N Stephen LaFata 858 926-2058 /s/ Stephen LaFata San Diego CA 10-21-2015 0 63 65870 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE AES CORPCOM00130H1051676171190SHSOLE 17119000AFLAC INCCOM0010551024197214SHSOLE 721400ALLIANZGI NFJ DIVID INT & PRCOM01883A10729222871SHSOLE 2287100ALTRIA GROUP INCCOM02209S10376113984SHSOLE 1398400ARCHER DANIELS MIDLAND COCOM0394831023197688SHSOLE 768800BLACKROCK LTD DURATION INC TCOM SHS09249W10142329308SHSOLE 2930800BRISTOL MYERS SQUIBB COCOM1101221084858190SHSOLE 819000CANADIAN NAT RES LTDCOM136385101115959566SHSOLE 5956600CAPITAL ONE FINL CORPCOM14040H10511724161667SHSOLE 16166700CME GROUP INCCOM12572Q10598310604SHSOLE 1060400COACH INCCOM1897541042217631SHSOLE 763100CURRENCYSHS JAPANESE YEN TRJAPANESE YEN23130A10210975400SHPutSOLE 7540000DELAWARE ENHANCED GBL DIV &COM2460601071633176326SHSOLE 17632600DOUBLELINE OPPORTUNISTIC CRCOM25862310797038992SHSOLE 3899200EATON VANCE CALIF MUN BD FDCOM27828A10096683097SHSOLE 8309700EATON VANCE LTD DUR INCOME FCOM27828H10589470527SHSOLE 7052700EQUINIX INCCOM PAR $0.00129444U700285610446SHSOLE 1044600HARRIS CORP DELCOM413875105141819390SHSOLE 1939000HASBRO INCCOM418056107217130101SHSOLE 3010100HELMERICH & PAYNE INCCOM4234521013978393SHSOLE 839300IMMUNOCELLULAR THERAPEUTICSCOM452536105511000SHSOLE 1100000INVESCO LTDSHSG491BT108123239443SHSOLE 3944300ISHARES TRFLTG RATE BD ETF46429B65565913065SHSOLE 1306500ISHARES TRMSCI EAFE ETF46428746523401SHSOLE 40100ISHARES TRNASDQ BIOTEC ETF46428755621136967SHSOLE 696700ISHARES TRU.S. PFD STK ETF46428868740810571SHSOLE 1057100KINDER MORGAN INC DELCOM49456B101195570637SHSOLE 7063700KOHLS CORPCOM500255104100121615SHSOLE 2161500LYONDELLBASELL INDUSTRIES NSHS - A -N537451004595501SHSOLE 550100MCDONALDS CORPCOM580135101116111788SHSOLE 1178800MERCK & CO INC NEWCOM58933Y1053597276SHSOLE 727600MICROSOFT CORPCOM59491810444910139SHSOLE 1013900NEURALSTEM INCCOM64127R30226072137061SHSOLE 213706100NUVEEN AMT-FREE MUN INCOME FCOM67065710542232398SHSOLE 3239800NUVEEN CAL AMT-FREE MUN INCCOM67065110820513957SHSOLE 1395700OCATA THERAPEUTICS INCCOM67457L1004611000SHSOLE 1100000PFIZER INCCOM71708110379525305SHSOLE 2530500POWERSHS DB US DOLLAR INDEXDOLL INDX BULL73936D107140255800SHCallSOLE 25580000SCHLUMBERGER LTDCOM806857108104415143SHSOLE 1514300SCHLUMBERGER LTDCOM80685710851800SHCallSOLE 180000SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407146419713SHSOLE 1971300SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3084499511SHSOLE 951100SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2094506797SHSOLE 679700SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y506229837554SHSOLE 3755400SELECT SECTOR SPDR TRSBI INT-FINL81369Y60542418699SHSOLE 1869900SELECT SECTOR SPDR TRSBI INT-INDS81369Y7044048088SHSOLE 808800SELECT SECTOR SPDR TRSBI INT-UTILS81369Y8864279872SHSOLE 987200SELECT SECTOR SPDR TRSBI MATERIALS81369Y1003719303SHSOLE 930300SELECT SECTOR SPDR TRTECHNOLOGY81369Y80344111163SHSOLE 1116300SMUCKER J M COCOM NEW832696405152013319SHSOLE 1331900SPDR GOLD TRUSTGOLD SHS78463V10712621100SHPutSOLE 2110000SPDR S&P 500 ETF TRTR UNIT78462F1033952063SHSOLE 206300SPDR SERIES TRUSTS&P HOMEBUILD78464A88895827988SHSOLE 2798800SPDR SERIES TRUSTS&P TELECOM78464A5404408307SHSOLE 830700SPECTRA ENERGY CORPCOM84756010946717775SHSOLE 1777500THE ADT CORPORATIONCOM00101J106239880198SHSOLE 8019800UBS GROUP AGSHSH42097107184699654SHSOLE 9965400VERIZON COMMUNICATIONS INCCOM92343V10451511833SHSOLE 1183300WESTERN ASSET HIGH INCM FD ICOM95766J10223636529SHSOLE 3652900WESTERN ASSET HIGH INCM OPPCOM95766K109612130471SHSOLE 13047100WESTERN UN COCOM9598021092601141652SHSOLE 14165200WISDOMTREE TRJAPN HEDGE EQT97717W85155911488SHSOLE 1148800XILINX INCCOM983919101150535493SHSOLE 3549300