0001549408-19-000008.txt : 20191114 0001549408-19-000008.hdr.sgml : 20191114 20191114172431 ACCESSION NUMBER: 0001549408-19-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 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: 191221704 BUSINESS ADDRESS: STREET 1: 18029 CALLE AMBIENTE STREET 2: SUITE 509 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: 858-926-2058 MAIL ADDRESS: STREET 1: 255 S. KING STREET STREET 2: FLOOR 9 CITY: SEATTLE STATE: WA ZIP: 98104 FORMER COMPANY: FORMER CONFORMED NAME: Alethea Capital Management, LLC DATE OF NAME CHANGE: 20120507 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001549408 XXXXXXXX 09-30-2019 09-30-2019 ALETHEA CAPITAL MANAGEMENT, LLC
255 S. KING STREET FLOOR 9 SEATTLE WA 98104
13F HOLDINGS REPORT 028-16431 N
Rina Kawano Operations Specialist 8589262058 Rina Kawano Rancho Santa Fe CA 11-14-2019 0 81 157933 false
INFORMATION TABLE 2 form13finfotable-19Q3.xml 3M CO COM 88579Y101 559 3400 SH SOLE 3400 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 741 3854 SH SOLE 3854 0 0 ALBEMARLE CORP COM 012653101 281 4041 SH SOLE 4041 0 0 ALLERGAN PLC SHS G0177J108 448 2664 SH SOLE 2664 0 0 ALPHABET INC CAP STK CL C 02079K107 698 573 SH SOLE 573 0 0 ALTRIA GROUP INC COM 02209S103 295 7210 SH SOLE 7210 0 0 AMERICAN ELEC PWR CO INC COM 025537101 758 8093 SH SOLE 8093 0 0 AMERICAN TOWER CORP NEW COM 03027X100 1090 4931 SH SOLE 4931 0 0 AMGEN INC COM 031162100 503 2600 SH SOLE 2600 0 0 APPLE INC COM 037833100 1062 4741 SH SOLE 4741 0 0 AXSOME THERAPEUTICS INC COM 05464T104 26359 1302346 SH SOLE 1302346 0 0 BANK AMER CORP COM 060505104 499 17090 SH SOLE 17090 0 0 BGC PARTNERS INC CL A 05541T101 188 34177 SH SOLE 34177 0 0 BLACKROCK INC COM 09247X101 312 700 SH SOLE 700 0 0 BLACKROCK LTD DURATION INC T COM SHS 09249W101 180 11516 SH SOLE 11516 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 293 6000 SH SOLE 6000 0 0 CAPITAL ONE FINL CORP COM 14040H105 10524 115676 SH SOLE 115676 0 0 CARMAX INC COM 143130102 639 7257 SH SOLE 7257 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 816 971 SH SOLE 971 0 0 CIDARA THERAPEUTICS INC COM 171757107 1126 564313 SH SOLE 564313 0 0 COCA COLA CO COM 191216100 245 4502 SH SOLE 4502 0 0 COMCAST CORP NEW CL A 20030N101 759 16844 SH SOLE 16844 0 0 CONAGRA BRANDS INC COM 205887102 511 16672 SH SOLE 16672 0 0 CONSOLIDATED EDISON INC COM 209115104 767 8122 SH SOLE 8122 0 0 CONSTELLATION BRANDS INC CL A 21036P108 958 4623 SH SOLE 4623 0 0 CUMMINS INC COM 231021106 569 3500 SH SOLE 3500 0 0 D R HORTON INC COM 23331A109 870 16511 SH SOLE 16511 0 0 DENTSPLY SIRONA INC COM 24906P109 808 15161 SH SOLE 15161 0 0 DISCOVERY INC COM SER C 25470F302 380 15429 SH SOLE 15429 0 0 DISCOVERY INC COM SER A 25470F104 383 14394 SH SOLE 14394 0 0 DISNEY WALT CO COM DISNEY 254687106 430 3301 SH SOLE 3301 0 0 DISNEY WALT CO COM DISNEY 254687106 1 200 SH Put SOLE 200 0 0 DOVER CORP COM 260003108 500 5018 SH SOLE 5018 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 479 5000 SH SOLE 5000 0 0 EASTMAN CHEMICAL CO COM 277432100 221 3000 SH SOLE 3000 0 0 EATON CORP PLC SHS G29183103 582 7000 SH SOLE 7000 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 154 13579 SH SOLE 13579 0 0 EXTRA SPACE STORAGE INC COM 30225T102 784 6713 SH SOLE 6713 0 0 EXXON MOBIL CORP COM 30231G102 318 4500 SH SOLE 4500 0 0 HASBRO INC COM 418056107 520 4383 SH SOLE 4383 0 0 HENRY JACK & ASSOC INC COM 426281101 316 2167 SH SOLE 2167 0 0 HERSHEY CO COM 427866108 1166 7521 SH SOLE 7521 0 0 HOME DEPOT INC COM 437076102 464 2000 SH SOLE 2000 0 0 HONEYWELL INTL INC COM 438516106 702 4150 SH SOLE 4150 0 0 ILLINOIS TOOL WKS INC COM 452308109 595 3800 SH SOLE 3800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 218 1500 SH SOLE 1500 0 0 ISHARES TR MORTGE REL ETF 46435G342 369 8763 SH SOLE 8763 0 0 JOHNSON & JOHNSON COM 478160104 357 2759 SH SOLE 2759 0 0 JOHNSON CTLS INTL PLC SHS G51502105 314 7164 SH SOLE 7164 0 0 JPMORGAN CHASE & CO COM 46625H100 483 4100 SH SOLE 4100 0 0 KIMBERLY CLARK CORP COM 494368103 925 6513 SH SOLE 6513 0 0 KURA ONCOLOGY INC COM 50127T109 4043 266527 SH SOLE 266527 0 0 MCCORMICK & CO INC COM NON VTG 579780206 1016 6502 SH SOLE 6502 0 0 MEDTRONIC PLC SHS G5960L103 380 3500 SH SOLE 3500 0 0 MERCK & CO INC COM 58933Y105 253 3000 SH SOLE 3000 0 0 MICROSOFT CORP COM 594918104 542 3900 SH SOLE 3900 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 382 2241 SH SOLE 2241 0 0 NORDSTROM INC COM 655664100 257 7640 SH SOLE 7640 0 0 PAYCHEX INC COM 704326107 716 8655 SH SOLE 8655 0 0 PEPSICO INC COM 713448108 1156 8431 SH SOLE 8431 0 0 PHILIP MORRIS INTL INC COM 718172109 405 5334 SH SOLE 5334 0 0 PROCTER & GAMBLE CO COM 742718109 516 4150 SH SOLE 4150 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 425 6842 SH SOLE 6842 0 0 QUALCOMM INC COM 747525103 939 12311 SH SOLE 12311 0 0 RA MED SYS INC COM 74933X104 736 525680 SH SOLE 525680 0 0 ROPER TECHNOLOGIES INC COM 776696106 694 1945 SH SOLE 1945 0 0 SCHLUMBERGER LTD COM 806857108 368 10770 SH SOLE 10770 0 0 SMUCKER J M CO COM NEW 832696405 419 3809 SH SOLE 3809 0 0 SOUTHERN CO COM 842587107 554 8974 SH SOLE 8974 0 0 SPDR SERIES TRUST SPDR BLOOMBERG 78468R663 75728 826812 SH SOLE 826812 0 0 SYSCO CORP COM 871829107 849 10690 SH SOLE 10690 0 0 TARGET CORP COM 87612E106 300 2805 SH SOLE 2805 0 0 TC ENERGY CORP COM 87807B107 253 4886 SH SOLE 4886 0 0 TWITTER INC COM 90184L102 435 10558 SH SOLE 10558 0 0 TYSON FOODS INC CL A 902494103 760 8819 SH SOLE 8819 0 0 ULTA BEAUTY INC COM 90384S303 364 1454 SH SOLE 1454 0 0 UNILEVER PLC SPON ADR NEW 904767704 287 4776 SH SOLE 4776 0 0 US BANCORP DEL COM NEW 902973304 294 5308 SH SOLE 5308 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 400 6634 SH SOLE 6634 0 0 VIACOM INC NEW CL B 92553P201 333 13857 SH SOLE 13857 0 0 WASTE MGMT INC DEL COM 94106L109 610 5300 SH SOLE 5300 0 0