0001221073-17-000031.txt : 20170209 0001221073-17-000031.hdr.sgml : 20170209 20170209112514 ACCESSION NUMBER: 0001221073-17-000031 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170209 DATE AS OF CHANGE: 20170209 EFFECTIVENESS DATE: 20170209 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: 17586097 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 false false 0001549408 XXXXXXXX 12-31-2016 12-31-2016 Alethea Capital Management, LLC
15618 JUBE WRIGHT COURT SAN DIEGO CA 92127
13F HOLDINGS REPORT 028-16431 N
Tony Hsu Founder/CIO 858 926-2058 /s/ Tony Hsu San Diego CA 02-02-2017 0 73 79265 false
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1019825500SHSOLE 550000ALLIANZGI NFJ DIVID INT & PRCOM01883A10728822822SHSOLE 2282200ALPHABET INCCAP STK CL C02079K107313406SHSOLE 40600AMAZON COM INCCOM02313510646SHSOLE 600AMAZON COM INCCOM023135106400100SHPutSOLE 10000APPLE INCCOM0378331001191029SHSOLE 102900APPLE INCCOM0378331001100800SHCallSOLE 80000BANK AMER CORPCOM06050510424311000SHSOLE 1100000BLACKROCK LTD DURATION INC TCOM SHS09249W10122114561SHSOLE 1456100BLOCK H & R INCCOM093671105110247942SHSOLE 4794200BRISTOL MYERS SQUIBB COCOM110122108160127392SHSOLE 2739200BROADCOM LTDSHSY0982710918100SHSOLE 10000BROADCOM LTDSHSY0982710910003000SHPutSOLE 300000CAPITAL ONE FINL CORPCOM14040H10513190151194SHSOLE 15119400CHICAGO BRIDGE & IRON CO N VCOM16725010960319000SHSOLE 1900000CINCINNATI FINL CORPCOM1720621017139417SHSOLE 941700CME GROUP INCCOM12572Q105225019505SHSOLE 1950500CUMMINS INCCOM2310211064783500SHSOLE 350000DELAWARE ENHANCED GBL DIV &COM2460601071265125075SHSOLE 12507500DISNEY WALT COCOM DISNEY2546871069759351SHSOLE 935100DOUBLELINE OPPORTUNISTIC CRCOM25862310764127751SHSOLE 2775100DOW CHEM COCOM26054310357210000SHSOLE 1000000EATON CORP PLCSHSG291831034707000SHSOLE 700000EATON VANCE CALIF MUN BD FDCOM27828A10043137840SHSOLE 3784000EATON VANCE LTD DUR INCOME FCOM27828H10544032097SHSOLE 3209700GAP INC DELCOM364760108205791672SHSOLE 9167200GARMIN LTDSHSH2906T109205542377SHSOLE 4237700GENERAL ELECTRIC COCOM36960410377424500SHSOLE 2450000GENERAL MLS INCCOM370334104215734915SHSOLE 3491500HCP INCCOM40414L10951717392SHSOLE 1739200HERSHEY COCOM427866108220621324SHSOLE 2132400HONEYWELL INTL INCCOM4385161067766700SHSOLE 670000HOST HOTELS & RESORTS INCCOM44107P1042467130944SHSOLE 13094400ILLINOIS TOOL WKS INCCOM4523081093673000SHSOLE 300000ISHARES TR7-10 Y TR BD ETF4642874403923741SHSOLE 374100ISHARES TRFLTG RATE BD ETF46429B65566013003SHSOLE 1300300ISHARES TRMSCI EMG MKT ETF46428723439211198SHSOLE 1119800ISHARES TRMTG REL ETF NEW46435G342116927785SHSOLE 2778500ISHARES TRNASDQ BIOTEC ETF4642875568663264SHSOLE 326400JOHNSON & JOHNSONCOM478160104198817256SHSOLE 1725600JPMORGAN CHASE & COCOM46625H1003023500SHSOLE 350000KELLOGG COCOM4878361087099622SHSOLE 962200KIMBERLY CLARK CORPCOM4943681036856000SHSOLE 600000KURA ONCOLOGY INCCOM50127T10937964300SHSOLE 6430000LEGGETT & PLATT INCCOM52466010761512580SHSOLE 1258000LOCKHEED MARTIN CORPCOM53983010921258502SHSOLE 850200MACERICH COCOM554382101120517016SHSOLE 1701600MATTEL INCCOM577081102185567331SHSOLE 6733100MEDTRONIC PLCSHSG5960L1034997000SHSOLE 700000MERCK & CO INCCOM58933Y1054868258SHSOLE 825800MICROSOFT CORPCOM5949181042173500SHSOLE 350000MOSAIC CO NEWCOM61945C103193065819SHSOLE 6581900NUVEEN CALIFORNIA AMT QLT MUCOM67065110819913888SHSOLE 1388800PAYCHEX INCCOM704326107214535232SHSOLE 3523200PFIZER INCCOM71708110349215137SHSOLE 1513700PG&E CORPCOM69331C10870711640SHSOLE 1164000POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76975532325SHSOLE 3232500POWERSHARES QQQ TRUSTUNIT SER 173935A1043563008SHSOLE 300800QUALCOMM INCCOM74752510324375SHSOLE 37500QUALCOMM INCCOM7475251033001000SHCallSOLE 100000RAYTHEON COCOM NEW755111507212514965SHSOLE 1496500SEAGATE TECHNOLOGY PLCSHSG7945M107108828516SHSOLE 2851600SIMON PPTY GROUP INC NEWCOM82880610913257459SHSOLE 745900SMUCKER J M COCOM NEW832696405192615039SHSOLE 1503900SPDR S&P 500 ETF TRTR UNIT78462F10312245474SHSOLE 547400SPDR SERIES TRUSTS&P RETAIL ETF78464A7143397691SHSOLE 769100SPECTRUM PHARMACEUTICALS INCCOM84763A10810924577SHSOLE 2457700UNITED PARCEL SERVICE INCCL B911312106213718641SHSOLE 1864100WAL-MART STORES INCCOM93114210384812264SHSOLE 1226400WASTE MGMT INC DELCOM94106L109276438975SHSOLE 3897500WESTERN ASSET HIGH INCM FD ICOM95766J10218826585SHSOLE 2658500WESTERN ASSET HIGH INCM OPPCOM95766K109573114755SHSOLE 11475500WISDOMTREE TRJAPN HEDGE EQT97717W8513727512SHSOLE 751200