0001144204-12-008160.txt : 20120214 0001144204-12-008160.hdr.sgml : 20120214 20120214092333 ACCESSION NUMBER: 0001144204-12-008160 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 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: 12602977 BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 1900 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-899-0800 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 1900 CITY: SANTA MONICA STATE: CA ZIP: 90401 13F-HR 1 v301938_13f-hr.txt 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: December 31, 2011 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 1900, 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 this 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 Peter J. Eichler, Jr. Title Chief Executive Officer Phone 310-899-0800 Signature, Place, and Date of Signing: /s/ Peter J. Eichler, Jr. Santa Monica, CA February 14, 2012 Report Type (Check only one.): [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: 179 Form 13F Information Table Value Total: $3,224,977 (thousands) 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 (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE --------------------------------- -------- --------- --------- ----------- --- ---- ------- -------- ----------- -------- -------- ACE LIMITED COM H0023R105 2,878 41,047 SH SOLE 41,047 AGRIUM INC COM 008916108 4,003 59,643 SH SOLE 59,643 ALCOA INC COM 013817101 1,595 184,405 SH SOLE 184,405 ALLSTATE CORP DEL COM COM 020002101 2,015 73,518 SH SOLE 73,518 AMERICA MOVIL SAB DE CV ADR 02364W105 2,122 93,891 SH SOLE 93,891 AMERICAN EAGLE OUTFITTERS NEW COM COM 02553E106 25,108 1,642,157 SH SOLE 1,642,157 AMERICAN ELEC PWR INC COM COM 025537101 377 9,126 SH SOLE 9,126 ANGLOGOLD ASHANTI LTD SPONSORED A ADR 035128206 2,387 56,220 SH SOLE 56,220 ANNALY CAP MGMT INC COM COM 035710409 644 40,322 SH SOLE 40,322 AOL INC COMMON COM 00184X105 22,670 1,501,350 SH SOLE 1,501,350 APPLE INC COM 037833100 52,167 128,806 SH SOLE 128,806 ARCHER DANIELS MIDLAND CO COM 039483102 46,950 1,641,606 SH SOLE 1,641,606 ARM HLDGS PLC SPONSORED ADR ADR 042068106 3,008 108,708 SH SOLE 108,708 ASTRAZENECA PLC SPND ADR ADR 046353108 2,948 63,686 SH SOLE 63,686 ATP OIL & GAS CORP COMMON COM 00208J108 29,321 3,983,890 SH SOLE 3,983,890 AUTOMATIC DATA PROCESSING INC COM COM 053015103 540 10,000 SH SOLE 10,000 AVALONBAY CMMUN INC COM 053484101 3,197 24,483 SH SOLE 24,483 BAIDU INC SPON ADR REP A ADR 056752108 1,348 11,574 SH SOLE 11,574 BANCO BRADESCO S A ADR ADR 059460303 3,006 180,239 SH SOLE 180,239 BANK OF AMERICA CORPORATION COMMO COM 060505104 23,573 4,239,492 SH SOLE 4,239,492 BANK OF AMERICA NON CUM PERPETUAL PFD 060505682 930 1,183 SH SOLE 1,183 BARCLAYS BK PLC IPATH SHRT ETN ETN 06740C261 992 27,924 SH SOLE 27,924 BARCLAYS PLC ADR ADR 06738E204 1,271 115,641 SH SOLE 115,641 BARNES & NOBLE INC COM COM 067774109 12,996 897,554 SH SOLE 897,554 BARRICK GOLD CORP COM COM 067901108 88,755 1,961,431 SH SOLE 1,961,431 BHP BILLITON LTD ADR ADR 088606108 2,499 35,380 SH SOLE 35,380 BOEING COMPANY COMMON COM 097023105 80,238 1,093,901 SH SOLE 1,093,901 BRASIL TELECOM SA ADR ADR 10553M101 2,395 134,613 SH SOLE 134,613 BROOKFIELD OFFICE PROPERTIES INC. COM 112900105 3,453 220,775 SH SOLE 220,775 CAMPBELL SOUP CO COM COM 134429109 3,218 96,799 SH SOLE 96,799 CANADIAN NATURAL RES LTD COM 136385101 82,876 2,217,697 SH SOLE 2,217,697 CATERPILLAR INC COM 149123101 70,476 777,868 SH SOLE 777,868 CATHAY GENERAL BANCORP COM COM 149150104 224 15,000 SH SOLE 15,000 CELGENE CORP COM COM 151020104 32,724 484,072 SH SOLE 484,072 CEMEX S A SPON ADR 5 ORD ADR 151290889 2,450 454,508 SH SOLE 454,508 CHESAPEAKE ENERGY CORPORATION COM 165167107 29,093 1,305,197 SH SOLE 1,305,197 CHINA PETE CHEM SPN ADR ADR 16941R108 2,618 24,924 SH SOLE 24,924 CHINA TELECOM CORP LTD SPON ADR H ADR 169426103 2,637 46,159 SH SOLE 46,159 CHIQUITA BRANDS INTL INC COM COM 170032809 2,109 252,904 SH SOLE 252,904 CITIGROUP INC COM NEW COM 172967424 57,969 2,203,254 SH SOLE 2,203,254 CLEARWIRE CORP NEW CL A COM 18538Q105 23,913 12,326,392 SH SOLE 12,326,392 CLIFFS NATURAL RESOURCES INC COM 18683K101 3,533 56,655 SH SOLE 56,655 COCA-COLA CO COM 191216100 111,266 1,590,206 SH SOLE 1,590,206 COEUR D ALENE MINES CORP IDAHO COM 192108504 30,334 1,256,576 SH SOLE 1,256,576 COMCAST CORP CL A NEW COM 20030N101 3,512 148,114 SH SOLE 148,114 COMPANHIA ENERG DE ADR ADR 204409601 3,241 182,198 SH SOLE 182,198 CONTINENTAL RESOURCES INC/OKLA CO COM 212015101 82,822 1,241,512 SH SOLE 1,241,512 COPANO ENERGY, L.L.C. UNIT 217202100 212 6,190 SH SOLE 6,190 CORNING INC COM COM 219350105 1,900 146,381 SH SOLE 146,381 CURRENCYSHARES AUSTRALIAN DLR AUS ETF 23129U101 201 1,955 SH SOLE 1,955 CURRENCYSHARES CDN DLR TR CDN DOL ETF 23129X105 497 5,093 SH SOLE 5,093 CYTORI THERAPEUTICS INC COM COM 23283K105 581 264,263 SH SOLE 264,263 DEAN FOODS CO NEW COM 242370104 1,453 129,712 SH SOLE 129,712 DEERE & CO COMMON COM 244199105 61,183 790,973 SH SOLE 790,973 DEVON ENERGY CORPORATION NEW COM 25179M103 21,458 346,103 SH SOLE 346,103 DIGITAL RLTY TR INC COM 253868103 620 9,303 SH SOLE 9,303 DIRECTV COMMON CL A COM 25490A101 27,399 640,753 SH SOLE 640,753 DIREXION SHS ETF TRDAILY 20+ YR T ETF 25459Y678 798 11,737 SH SOLE 11,737 DISNEY (WALT) CO COM STK COM 254687106 27,922 744,578 SH SOLE 744,578 DOLE FOOD CO INC NEW COMMON COM 256603101 34,308 3,966,241 SH SOLE 3,966,241 DOMINION RES INC VA NEW COM COM 25746U109 4,184 78,822 SH SOLE 78,822 DOW CHEMICAL CO COM 260543103 3,167 110,128 SH SOLE 110,128 DU PONT E.I.DE NEMOURS COM 263534109 3,337 72,898 SH SOLE 72,898 EBAY INC COM COM 278642103 49,084 1,618,334 SH SOLE 1,618,334 ELECTRONIC ARTS INC COM COM 285512109 42,417 2,059,120 SH SOLE 2,059,120 EMERSON ELEC COMPANY COMMON COM 291011104 28,906 620,426 SH SOLE 620,426 ENERGY RECOVERY INC COM COM 29270J100 30 11,580 SH SOLE 11,580 EXXON MOBIL CORPORATION COMMON COM 30231G102 98,870 1,166,465 SH SOLE 1,166,465 FIFTH THIRD BANCORP COM 316773100 295 23,220 SH SOLE 23,220 FORD MOTOR CO NEW COM 345370860 3,244 301,510 SH SOLE 301,510 FREEPORT MCMORAN COPPER & GOLD IN COM 35671D857 75,149 2,042,610 SH SOLE 2,042,610 GAP INC COM 364760108 21,659 1,167,623 SH SOLE 1,167,623 GENERAL MOTORS CORPORATION COM 37045V100 2,195 108,292 SH SOLE 108,292 GOLAR LNG LTD BERMUDA SHS COM G9456A100 28,024 630,456 SH SOLE 630,456 GOLDCORP INC COM 380956409 9,987 225,689 SH SOLE 225,689 GOODYEAR TIRE & RUBBER COMPANY COM 382550101 3,215 226,926 SH SOLE 226,926 HANSEN MEDICAL INC COM COM 411307101 107 41,542 SH SOLE 41,542 HAWAIIAN HOLDINGS INC COM COM 419879101 1,028 177,225 SH SOLE 177,225 HECLA MNG CO COM COM 422704106 193 36,895 SH SOLE 36,895 HEINZ H J CO PV 25CT COM 423074103 2,152 39,820 SH SOLE 39,820 HESS CORP COMMON COM 42809H107 38,968 686,055 SH SOLE 686,055 HSBC HLDG PLC SP ADR ADR 404280406 3,971 104,217 SH SOLE 104,217 HUGOTON RTY TR TEX UNIT BEN INT UNIT 444717102 841 44,637 SH SOLE 44,637 HUMAN GENOME CN 11/15/2018 3.000% NOTE 444903AN8 472 529,000 PRN SOLE 529,000 HUMAN GENOME SCIENCES INC COM 444903108 19,996 2,705,794 SH SOLE 2,705,794 INDIA FD INC COM ETF 454089103 4,389 230,523 SH SOLE 230,523 INGERSOLL-RAND PLC SHS COM G47791101 204 6,700 SH SOLE 6,700 INTEL CORP COM 458140100 37,639 1,552,121 SH SOLE 1,552,121 INTERCONTINENTAL HTLS GRP PLC SPO ADR 45857P301 4,333 240,834 SH SOLE 240,834 INTERNATIONAL BUSINESS MACHINES C COM 459200101 117,934 641,363 SH SOLE 641,363 IRIDIUM COMMUNICATIONS INC COMMON COM 46269C102 19,460 2,524,042 SH SOLE 2,524,042 ISHARES SILVER TRUST FD ETF 46428Q109 64,943 2,410,606 SH SOLE 2,410,606 ITAU UNIBANCO BANCO HOLD ADR 465562106 2,542 136,942 SH SOLE 136,942 IVANHOE ENERGY INC COM COM 465790103 37 32,900 SH SOLE 32,900 JOHNSON & JOHNSON COM 478160104 27,534 419,852 SH SOLE 419,852 JPMORGAN CHASE & CO COM 46625H100 3,025 90,970 SH SOLE 90,970 KINROSS GOLD CORP COM NO PAR COM 496902404 40,681 3,568,525 SH SOLE 3,568,525 KOREA ELECTRIC PWR SPONSORED ADR ADR 500631106 1,984 180,719 SH SOLE 180,719 KRAFT FOODS INC VA CL A COM 50075N104 5,933 158,805 SH SOLE 158,805 LAS VEGAS SANDS CORP COM COM 517834107 45,333 1,060,901 SH SOLE 1,060,901 LENNAR CORP CL A COM 526057104 38,359 1,952,062 SH SOLE 1,952,062 MARKET VECTORS GOLD MINERS ETF 57060U100 9,376 182,300 SH SOLE 182,300 MARVELL TECHNOLOGY GROUP LTD COM G5876H105 34,010 2,455,558 SH SOLE 2,455,558 MCDONALDS CORP COM 580135101 100,649 1,003,176 SH SOLE 1,003,176 MCMORAN EXPLORATION CO COM COM 582411104 40,288 2,768,977 SH SOLE 2,768,977 MDC HOLDINGS INC COM 552676108 1,354 76,803 SH SOLE 76,803 MEDTRONIC INC COM 585055106 23,831 623,040 SH SOLE 623,040 MELCO CROWN ENTRTNMT LTD ADR 585464100 1,317 136,876 SH SOLE 136,876 MEMC ELECTR MATLS INC COM COM 552715104 548 139,141 SH SOLE 139,141 MERCK & CO INC NEW COMMON COM 58933Y105 49,280 1,307,158 SH SOLE 1,307,158 MGM RESORTS INTERNATIONAL COMMON COM 552953101 26,624 2,552,506 SH SOLE 2,552,506 MITSUBISHI UFJ FINL GROUP INC SPO ADR 606822104 2,806 669,784 SH SOLE 669,784 MOLYCORP INC COM 608753109 70,153 2,925,405 SH SOLE 2,925,405 MONSANTO Co COM 61166W101 27,548 393,149 SH SOLE 393,149 MORGAN STANLEY COM NEW COM 617446448 2,492 164,715 SH SOLE 164,715 MOSAIC CO / THE WI COMMON COM 61945C103 37,488 743,365 SH SOLE 743,365 NATURAL RESOURCE PARTNERS LP UNIT 63900P103 360 13,295 SH SOLE 13,295 NEWMONT MINING CORP COM 651639106 56,770 946,012 SH SOLE 946,012 NOBLE ENERGY INC COMMON COM 655044105 82,928 878,570 SH SOLE 878,570 NOMURA HLDGS INC SPONSORED ADR ADR 65535H208 1,195 400,870 SH SOLE 400,870 NOVAGOLD RES INC 5.500% Due 05-01 NOTE 66987EAA5 1,041 938,000 PRN SOLE 938,000 NOVAGOLD RES INC COM NEW COM 66987E206 85,540 10,087,178 SH SOLE 10,087,178 NOVARTIS ADR ADR 66987V109 3,102 54,264 SH SOLE 54,264 NUCOR CORPORATION COM 670346105 1,765 44,607 SH SOLE 44,607 NUSTAR GP HOLDINGS LLC UNIT RESTG UNIT 67059L102 603 18,124 SH SOLE 18,124 NV ENERGY INC COM COM 67073Y106 3,057 186,968 SH SOLE 186,968 NVIDIA CORP COM COM 67066G104 25,244 1,821,383 SH SOLE 1,821,383 OCCIDENTAL PETE CORP CAL COM 674599105 613 6,545 SH SOLE 6,545 OPKO HEALTH INC COMMON COM 68375N103 58,164 11,870,110 SH SOLE 11,870,110 ORIENT-EXPRESS HOTELS LTD CL A COM G67743107 2,244 300,459 SH SOLE 300,459 OVERSEAS SHIPHOLDING GROUP INC COM 690368105 2,647 242,154 SH SOLE 242,154 PEABODY ENERGY CORP COM COM 704549104 5,490 165,789 SH SOLE 165,789 PETRLEO BRAS VTG SPD ADR ADR 71654V408 1,810 72,817 SH SOLE 72,817 PETROCHINA CO LTD SP ADR ADR 71646E100 1,812 14,576 SH SOLE 14,576 PLAINS ALL AMERICAN PIPELINE LP UNIT 726503105 218 2,966 SH SOLE 2,966 PLUM CREEK TIMBER CO INC COM 729251108 2,515 68,798 SH SOLE 68,798 POTASH CORP SASK INC COM COM 73755L107 526 12,733 SH SOLE 12,733 POWERSHARES DB COMMUNITY INDEX FD ETF 73936B408 19,990 692,171 SH SOLE 692,171 PROCTER & GAMBLE CO COM 742718109 1,504 22,552 SH SOLE 22,552 PROSHARES TR II ULTRASHORT YEN NE ETF 74347W569 477 11,637 SH SOLE 11,637 PROSHARES TR II ULTRASHRT EURO ETF 74347W882 621 30,505 SH SOLE 30,505 PUBLIC STORAGE COM COM 74460D109 992 7,375 SH SOLE 7,375 ROYAL DUTCH SHELL PLC SPONS ADR A ADR 780259206 548 7,500 SH SOLE 7,500 SAIC INC COM COM 78390X101 20,918 1,702,029 SH SOLE 1,702,029 SANOFI AVENTIS SPONSORED ADR ADR 80105N105 4,129 112,988 SH SOLE 112,988 SARA LEE CORP COM COM 803111103 2,647 139,882 SH SOLE 139,882 SCHLUMBERGER LTD COM COM 806857108 353 5,169 SH SOLE 5,169 SILVER WHEATON CORP COM 828336107 30,612 1,057,039 SH SOLE 1,057,039 SIRIUS XM RADIO INC COM COM 82967N108 36 19,895 SH SOLE 19,895 SJW CORP COM COM 784305104 3,885 164,334 SH SOLE 164,334 SMITHFIELD FOODS INC COM COM 832248108 23,441 965,469 SH SOLE 965,469 SOUTHERN CO COM COM 842587107 4,161 89,893 SH SOLE 89,893 SPDR GOLD TRUST SHS ETF 78463V107 50,853 334,581 SH SOLE 334,581 STARWOOD HOTELS & RESORTS WORLDWI COM 85590A401 233 4,860 SH SOLE 4,860 STARWOOD PROPERTY TRUST INC. COM 85571B105 462 24,954 SH SOLE 24,954 SUNCOR ENERGY INC COM COM 867224107 76,037 2,637,390 SH SOLE 2,637,390 SUNPOWER CORP 4.500% Due 03-15-15 NOTE 867652AE9 302 368,000 PRN SOLE 368,000 SUNPOWER CORP COM COM 867652406 36,052 5,786,636 SH SOLE 5,786,636 SUNTECH PWR HLDGS CO LTD ADR ADR 86800C104 433 195,813 SH SOLE 195,813 TEJON RANCH COMPANY 08JAN01 COM 879080109 21,599 882,321 SH SOLE 882,321 TEVA PHARMACTCL INDS ADR ADR 881624209 2,403 59,544 SH SOLE 59,544 TITANIUM METALS CORP COM NEW COM 888339207 3,882 259,120 SH SOLE 259,120 UDR INC COM COM 902653104 4,520 180,066 SH SOLE 180,066 UNION PACIFIC CORP COM 907818108 2,380 22,466 SH SOLE 22,466 UNITED CONTL HOLDINGS INC COM 910047109 16,715 885,779 SH SOLE 885,779 UNITED STATES OIL FUND LP UNITS UNIT 91232N108 437 11,475 SH SOLE 11,475 UNITED STATES STL CORP NEW 4.000% NOTE 912909AE8 248 224,000 PRN SOLE 224,000 UNITED STS STL CORP NEW COM 912909108 5,661 213,936 SH SOLE 213,936 VALE SA ADR 91912E105 991 46,203 SH SOLE 46,203 VALEANT PHARMACEUTICALS INTL COM COM 91911K102 21,922 469,519 SH SOLE 469,519 VALENCE TECHNOLOGY INC COM COM 918914102 18 18,300 SH SOLE 18,300 VERIZON COMMUNICATNS COM COM 92343V104 729 18,160 SH SOLE 18,160 WAL MART STORES INC COM 931142103 58,270 975,061 SH SOLE 975,061 WEYERHAEUSER CO COM COM 962166104 317 16,993 SH SOLE 16,993 WILLIAMS SONOMA INC COM COM 969904101 385 10,000 SH SOLE 10,000 WISDOMTREE TRUST BRAZILN RL ETF ETF 97717W240 212 10,885 SH SOLE 10,885 WISDOMTREE TRUST CHINESE YUAN ETF ETF 97717W182 1,311 52,040 SH SOLE 52,040 WISDOMTREE TRUST INDIAN RUP ETF ETF 97717W166 443 22,025 SH SOLE 22,025 WYNN RESORTS LTD COMMON COM 983134107 35,684 322,958 SH SOLE 322,958