13F-HR 1 v320773_13fhr.txt 13F-HR 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, 2012. 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: 28-11851 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: 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 August 14, 2012 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: 171 Form 13F Information Table Value Total: $1,820,096 (thousands) List of Other Included Managers: None ALETHEIA RESEARCH AND MANAGEMENT, INC. FORM 13F INFORMATION TABLE FOR THE QUARTER ENDED 06/30/2012
VOTING AUTHORITY ---------------------- TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER NAME OF ISSUER CLASS CUSIP (x $1,000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ ACE LIMITED COM H0023R105 2,841 38,324 SH SOLE 38,324 AES CORP. COM 00130H105 21,242 1,655,685 SH SOLE 1,655,685 AES TR III 6.75 CONV PFD PFD 00808N202 358 7,263 SH SOLE 7,263 AKAMAI TECHNOLOGIES INC COM 00971T101 25,494 802,957 SH SOLE 802,957 AGRIUM INC COM 008916108 4,072 46,025 SH SOLE 46,025 ALCOA INC COM 013817101 1,726 197,288 SH SOLE 197,288 ALKERMES PLC COM G01767105 18,075 1,065,138 SH SOLE 1,065,138 ALLSTATE CORP DEL COM COM 020002101 2,047 58,335 SH SOLE 58,335 AMERICA MOVIL SAB DE CV ADR 02364W105 2,378 91,259 SH SOLE 91,259 AMERICAN ELEC PWR INC COM COM 025537101 256 6,425 SH SOLE 6,425 ANADARKO PETROLEUM CORP COM 032511107 7,693 116,212 SH SOLE 116,212 ANGLOGOLD ASHANTI LTD SPONSORED ADR ADR 035128206 1,883 54,839 SH SOLE 54,839 ANNALY CAP MGMT INC COM COM 035710409 513 30,601 SH SOLE 30,601 AOL INC COMMON COM 00184X105 14,301 509,286 SH SOLE 509,286 APPLE INC COM COM 037833100 41,348 70,801 SH SOLE 70,801 ARCHER DANIELS MIDLAND CO COM 039483102 13,115 444,270 SH SOLE 444,270 ASTRAZENECA PLC SPND ADR ADR 046353108 1,574 35,184 SH SOLE 35,184 ATP OIL & GAS CORP COMMON COM 00208J108 1,196 355,934 SH SOLE 355,934 AVALONBAY CMMUN INC COM 053484101 2,029 14,340 SH SOLE 14,340 BANCO BRADESCO S A ADR ADR 059460303 2,554 171,779 SH SOLE 171,779 BANK OF AMERICA CORPORATION COMMON COM 060505104 14,946 1,827,182 SH SOLE 1,827,182 BANK OF AMERICA NON CUM PERPETUAL 7.25% CONV PFD PFD 060505682 858 880 SH SOLE 880 BARCLAYS BK PLC IPATH SHRT ETN ETN 06740C261 192 12,615 SH SOLE 12,615 BARCLAYS PLC ADR ADR 06738E204 1,158 112,407 SH SOLE 112,407 BARRICK GOLD CORP COM COM 067901108 36,405 968,979 SH SOLE 968,979 BEST BUY CO. INC. COM 086516101 2,558 122,043 SH SOLE 122,043 BHP BILLITON LTD ADR ADR 088606108 2,025 31,012 SH SOLE 31,012 BOEING COMPANY COMMON COM 097023105 37,784 508,538 SH SOLE 508,538 BROOKFIELD OFFICE PROPERTIES INC. COM 112900105 2,310 132,590 SH SOLE 132,590 CAMPBELL SOUP CO COM COM 134429109 2,355 70,557 SH SOLE 70,557 CANADIAN NATURAL RES LTD COM 136385101 2,552 95,043 SH SOLE 95,043 CATERPILLAR INC COM 149123101 33,230 391,351 SH SOLE 391,351 CELGENE CORP COM COM 151020104 22,347 348,300 SH SOLE 348,300 CEMEX S A SPON ADR 5 ORD ADR 151290889 2,474 367,607 SH SOLE 367,607 CHESAPEAKE ENERGY CORPORATION COM 165167107 15,767 847,679 SH SOLE 847,679 CHINA PETE CHEM SPN ADR ADR 16941R108 1,833 20,554 SH SOLE 20,554 CHINA TELECOM CORP LTD SPON ADR H SHS ADR 169426103 2,003 45,507 SH SOLE 45,507 CHIQUITA BRANDS INTL INC COM COM 170032809 1,568 313,504 SH SOLE 313,504 CITIGROUP INC COM NEW COM 172967424 13,513 492,996 SH SOLE 492,996 CLEARWIRE CORP NEW CL A COM 18538Q105 8,940 7,982,192 SH SOLE 7,982,192 CLIFFS NATURAL RESOURCES INC COM 18683K101 2,633 53,426 SH SOLE 53,426 COCA COLA CO COM 191216100 62,380 797,798 SH SOLE 797,798 COEUR D ALENE MINES CORP IDAHO COM 192108504 11,149 634,913 SH SOLE 634,913 COMCAST CORP CL A NEW COM 20030N101 2,640 82,565 SH SOLE 82,565 COMPANHIA ENERG DE ADR ADR 204409601 3,753 203,753 SH SOLE 203,753 CONTINENTAL RESOURCES/OKLA COMMON COM 212015101 71,030 1,066,196 SH SOLE 1,066,196 CORNING INC COM COM 219350105 23,962 1,853,194 SH SOLE 1,853,194 CURRENCYSHARES SWISS FRANC TR ETF 23129V109 351 3,385 SH SOLE 3,385 CYTORI THERAPEUTICS INC COM COM 23283K105 318 117,950 SH SOLE 117,950 DEAN FOODS CO NEW COM 242370104 2,106 123,681 SH SOLE 123,681 DEERE & CO COMMON COM 244199105 26,025 321,817 SH SOLE 321,817 DELTA AIR LINES INC COM 247361702 119 10,900 SH SOLE 10,900 DENDREON CORP COM 24823Q107 20,811 2,812,332 SH SOLE 2,812,332 DENDREON CORP CN 4.750% 11/15/2018 4.750% DUE 6-15-14 NOTE 24823QAB3 222 197,000 PRN SOLE 197,000 DIAGEO PLC ADR 25243Q205 2,343 22,736 SH SOLE 22,736 DIGITAL RLTY TR INC COM 253868103 308 4,100 SH SOLE 4,100 DIRECTV COMMON CL A COM 25490A101 22,906 469,193 SH SOLE 469,193 DIREXION SHS ETF TRDAILY 20+ YR TREASURY BEAR 3X SHS NEW ETF 25459Y678 409 7,449 SH SOLE 7,449 DISNEY (WALT) CO COM STK COM 254687106 37,116 765,273 SH SOLE 765,273 DOLE FOOD CO INC NEW COMMON COM 256603101 16,451 1,873,667 SH SOLE 1,873,667 DOMINION RES INC VA NEW COM COM 25746U109 4,106 76,046 SH SOLE 76,046 DOW CHEMICAL CO COM 260543103 2,406 76,391 SH SOLE 76,391 DU PONT E.I.DE NEMOURS COM 263534109 2,372 46,896 SH SOLE 46,896 ELAN PLC ADR 284131208 19,819 1,358,376 SH SOLE 1,358,376 ELECTRONIC ARTS INC COM COM 285512109 11,810 956,285 SH SOLE 956,285 EXXON MOBIL CORPORATION COMMON COM 30231G102 2,623 30,653 SH SOLE 30,653 FORD MOTOR CO NEW COM 345370860 2,002 208,782 SH SOLE 208,782 FRANCO NEVADA CORP COM 351858105 1,956 43,284 SH SOLE 43,284 FREEPORT MCMORAN COPPER & GOLD INC COM 35671D857 44,423 1,303,888 SH SOLE 1,303,888 GENOMIC HEALTY INC COM 37244C101 7,048 211,008 SH SOLE 211,008 GOLAR LNG LTD BERMUDA SHS COM G9456A100 2,445 64,855 SH SOLE 64,855 GOLDCORP INC COM 380956409 28,964 770,731 SH SOLE 770,731 GOODYEAR TIRE & RUBBER COMPANY COM 382550101 2,002 169,495 SH SOLE 169,495 HANSEN MEDICAL INC COM COM 411307101 57 25,315 SH SOLE 25,315 HEINZ H J CO PV 25CT COM 423074103 1,583 29,106 SH SOLE 29,106 HOVNANIAN ENTERPRISES INC COM 442487203 29 10,000 SH SOLE 10,000 HSBC HLDG PLC SP ADR ADR 404280406 3,055 69,225 SH SOLE 69,225 HUGOTON RTY TR TEX UNIT BEN INT UNIT 444717102 188 24,134 SH SOLE 24,134 INDIA FD INC COM ETF 454089103 1,629 79,930 SH SOLE 79,930 INFOSYS TECHNOLOGIES LTD ADR 456788108 1,426 31,646 SH SOLE 31,646 INTERCONTINENTAL HTLS GRP PLC SPONS ADR NEW ADR 45857P301 4,848 201,172 SH SOLE 201,172 INTERNATIONAL BUSINESS MACHS CORP COM 459200101 47,144 241,046 SH SOLE 241,046 IRIDIUM COMMUNICATIONS INC COMMON COM 46269C102 9,525 1,065,458 SH SOLE 1,065,458 ISHARES SILVER TRUST FD ETF 46428Q109 36,416 1,366,451 SH SOLE 1,366,451 ISHARES TRUST RUSSELL 2000 ETF 464287655 406 5,100 SH SOLE 5,100 ITAU UNIBANCO BANCO HOLD ADR 465562106 1,619 116,337 SH SOLE 116,337 JOHNSON & JOHNSON COM 478160104 1,497 22,151 SH SOLE 22,151 JPMORGAN CHASE & CO COM 46625H100 1,430 40,009 SH SOLE 40,009 KOREA ELECTRIC PWR SPONSORED ADR ADR 500631106 1,985 177,567 SH SOLE 177,567 KRAFT FOODS INC VA CL A COM 50075N104 3,301 85,477 SH SOLE 85,477 LAM RESEARCH CORP COM 512807108 12,846 340,374 SH SOLE 340,374 LAS VEGAS SANDS CORP COM COM 517834107 30,561 702,704 SH SOLE 702,704 LENNAR CORP CL A COM 526057104 27,694 895,966 SH SOLE 895,966 LIFE TECHNOLOGIES CORP COM 53217V109 15,697 348,893 SH SOLE 348,893 MARKET VECTORS GOLD MINERS ETF 57060U100 1,526 34,090 SH SOLE 34,090 MARVELL TECHNOLOGY GROUP LTD COM G5876H105 15,361 1,361,775 SH SOLE 1,361,775 MCDONALDS CORP COM 580135101 41,660 470,576 SH SOLE 470,576 MCMORAN EXPLORATION CO COM COM 582411104 13,828 1,091,435 SH SOLE 1,091,435 MDC HOLDINGS INC COM 552676108 18,440 564,432 SH SOLE 564,432 MEDTRONIC INC COM 585055106 12,726 328,571 SH SOLE 328,571 MELCO CROWN ENTRTNMT LTD ADR 585464100 1,424 123,592 SH SOLE 123,592 MEMC ELECTR MATLS INC COM COM 552715104 206 94,775 SH SOLE 94,775 MERCK & CO INC NEW COMMON COM 58933Y105 44,419 1,063,917 SH SOLE 1,063,917 MITSUBISHI UFJ FINL GROUP INC SPONSORED ADR ADR 606822104 2,283 480,624 SH SOLE 480,624 MOLSON COORS BREWING CO CL B COM 60871R209 1,849 44,433 SH SOLE 44,433 MOLYCORP INC COM 608753109 56,540 2,623,654 SH SOLE 2,623,654 MOLYCORP INC PFD CONV SER A PFD 608753208 449 8,627 SH SOLE 8,627 MONSANTO CO COM 61166W101 15,590 188,333 SH SOLE 188,333 MORGAN STANLEY COM NEW COM 617446448 1,136 77,874 SH SOLE 77,874 MOSAIC CO / THE WI COMMON COM 61945C103 19,874 362,924 SH SOLE 362,924 NEWMONT MINING CORP COM 651639106 28,954 596,872 SH SOLE 596,872 NOBLE ENERGY INC COMMON COM 655044105 54,660 644,421 SH SOLE 644,421 NOMURA HLDGS INC SPONSORED ADR ADR 65535H208 1,481 401,402 SH SOLE 401,402 NOVACOPPER INC COM 66988K102 3,450 1,716,430 SH SOLE 1,716,430 NOVAGOLD RES INC 5.50% 5/1/2015 5.500% DUE 05-01-15 NOTE 66987EAA5 604 587,000 PRN SOLE 587,000 NOVAGOLD RES INC COM NEW COM 66987E206 52,400 9,924,220 SH SOLE 9,924,220 NOVARTIS ADR ADR 66987V109 4,926 88,126 SH SOLE 88,126 NOVO-NORDISK AS ADR 670100205 13,520 93,024 SH SOLE 93,024 NUCOR CORPORATION COM 670346105 1,241 32,733 SH SOLE 32,733 NUSTAR GP HOLDINGS LLC UNIT RESTG LLC UNIT 67059L102 229 7,380 SH SOLE 7,380 NVIDIA CORP COM COM 67066G104 15,839 1,146,116 SH SOLE 1,146,116 OCCIDENTAL PETE CORP CAL COM 674599105 50,264 586,031 SH SOLE 586,031 OI SA ADR 670851203 1,645 133,306 SH SOLE 133,306 OPKO HEALTH INC COMMON COM 68375N103 44,251 9,619,877 SH SOLE 9,619,877 ORIENT-EXPRESS HOTELS LTD CL A COM G67743107 2,088 249,466 SH SOLE 249,466 PAN AMERICAN SILVER CORP COM COM 697900108 13,494 799,408 SH SOLE 799,408 PEABODY ENERGY CORP COM COM 704549104 2,302 93,879 SH SOLE 93,879 PETROCHINA CO LTD SP ADR ADR 71646E100 1,748 13,533 SH SOLE 13,533 PFIZER INC COM 717081103 2,791 121,341 SH SOLE 121,341 PLUM CREEK TIMBER CO INC COM 729251108 1,910 48,101 SH SOLE 48,101 PROSHARES TR II ULTRASHORT YEN NEW ETF 74347W569 244 5,599 SH SOLE 5,599 PROSHARES TR II ULTRASHRT EURO ETF 74347W882 270 12,908 SH SOLE 12,908 PUBLIC STORAGE COM COM 74460D109 960 6,650 SH SOLE 6,650 SAFEWAY INC COM 786514208 3,409 187,815 SH SOLE 187,815 SANOFI AVENTIS SPONSORED ADR ADR 80105N105 2,943 77,892 SH SOLE 77,892 SILVER WHEATON CORP COM 828336107 18,419 686,248 SH SOLE 686,248 SIRIUS XM RADIO INC COM COM 82967N108 37 19,895 SH SOLE 19,895 SJW CORP COM COM 784305104 2,652 110,444 SH SOLE 110,444 SOUTHERN CO COM COM 842587107 2,471 53,373 SH SOLE 53,373 SPDR GOLD TRUST SHS ETF 78463V107 21,816 140,574 SH SOLE 140,574 SPDR S&P 500 ETF TR ETF 78462F103 408 3,000 SH SOLE 3,000 STARWOOD HOTELS & RESORTS WORLDWIDE INC COM 85590A401 258 4,860 SH SOLE 4,860 STARWOOD PROPERTY TRUST INC. COM 85571B105 303 14,209 SH SOLE 14,209 SUNCOR ENERGY INC COM COM 867224107 46,877 1,619,232 SH SOLE 1,619,232 SUNPOWER CORP 4.50% 3/15/2012 4.500% DUE 03-15-15 NOTE 867652AE9 239 274,000 PRN SOLE 274,000 SUNPOWER CORP COM COM 867652406 8,781 1,833,226 SH SOLE 1,833,226 SUNTECH PWR HLDGS CO LTD ADR ADR 86800C104 396 210,885 SH SOLE 210,885 SYNGENTA AG ADR 87160A100 2,161 31,575 SH SOLE 31,575 TARGET CORP COM 87612E106 1,381 23,737 SH SOLE 23,737 TATA MOTORS LTD ADR 876568502 2,116 96,374 SH SOLE 96,374 TEJON RANCH CO COM COM 879080109 11,752 410,612 SH SOLE 410,612 TESLA MOTORS, INC. COM 88160R101 7,572 241,984 SH SOLE 241,984 TEVA PHARMACTCL INDS ADR ADR 881624209 2,069 52,455 SH SOLE 52,455 TIME WARNER INC COM 887317303 13,351 346,771 SH SOLE 346,771 TITANIUM METALS CORP COM NEW COM 888339207 1,628 143,916 SH SOLE 143,916 USG CORP COM 903293405 27,232 1,429,518 SH SOLE 1,429,518 UDR INC COM COM 902653104 2,173 84,102 SH SOLE 84,102 UNION PACIFIC CORP COM 907818108 1,490 12,486 SH SOLE 12,486 UNITED STATES STL CORP NEW 4.00% 5/15/2014 4.000% DUE 05-15-14 NOTE 912909AE8 150 148,000 PRN SOLE 148,000 UNITED STS STL CORP NEW COM 912909108 1,918 93,116 SH SOLE 93,116 UNITED THERAPEUTICS CORP COM 91307C102 26,897 544,698 SH SOLE 544,698 VALEANT PHARMACEUTICALS INTL COM COM 91911K102 26,795 598,227 SH SOLE 598,227 VALENCE TECHNOLOGY INC COM COM 918914102 11 18,300 SH SOLE 18,300 VELOCITYSHARES DAILY2X VIX ST ETN ETF 22542D761 112 22,854 SH SOLE 22,854 VERIZON COMMUNICATNS COM COM 92343V104 4,358 98,058 SH SOLE 98,058 VODAFONE GROUP PLC NEW ADR 92857W209 3,101 110,035 SH SOLE 110,035 VORNADO REALTY TRUST COM 929042109 3,676 43,769 SH SOLE 43,769 WENDYS CO COM 95058W100 12,085 2,560,280 SH SOLE 2,560,280 WISDOMTREE ASIA LOCAL DEBT ETF ETF 97717X842 248 4,855 SH SOLE 4,855 WISDOMTREE TRUST CHINESE YUAN ETF ETF 97717W182 555 22,012 SH SOLE 22,012 WISDOMTREE TRUST INDIAN RUP ETF ETF 97717W166 218 10,818 SH SOLE 10,818