0001549408-19-000007.txt : 20190812 0001549408-19-000007.hdr.sgml : 20190812 20190812132603 ACCESSION NUMBER: 0001549408-19-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190812 DATE AS OF CHANGE: 20190812 EFFECTIVENESS DATE: 20190812 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: 191015365 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 false false 0001549408 XXXXXXXX 06-30-2019 06-30-2019 ALETHEA CAPITAL MANAGEMENT, LLC
255 S. KING STREET FLOOR 9 SEATTLE WA 98104
13F HOLDINGS REPORT 028-16431 N
Rina Kawano Operations Specialist 858-926-2058 Rina Kawano Rancho Santa Fe CA 08-12-2019 0 83 153532 false
INFORMATION TABLE 2 form13finfotable-19Q2.xml 3M CO COM 88579Y101 667 3850 SH SOLE 3850 0 0 ABBVIE INC COM 00287Y109 0 200 SH Call SOLE 200 0 0 ABBVIE INC COM 00287Y109 342 4707 SH SOLE 4707 0 0 ABBVIE INC COM 00287Y109 0 200 SH Put SOLE 200 0 0 ALASKA AIR GROUP INC COM 011659109 1120 17530 SH SOLE 17530 0 0 ALBEMARLE CORP COM 012653101 285 4041 SH SOLE 4041 0 0 ALLERGAN PLC SHS G0177J108 446 2664 SH SOLE 2664 0 0 ALPHABET INC CAP STK CL C 02079K107 746 690 SH SOLE 690 0 0 ALTRIA GROUP INC COM 02209S103 375 7910 SH SOLE 7910 0 0 AMGEN INC COM 031162100 479 2600 SH SOLE 2600 0 0 APPLE INC COM 037833100 549 2775 SH SOLE 2775 0 0 APPLE INC COM 037833100 5 500 SH Call SOLE 500 0 0 AXSOME THERAPEUTICS INC COM 05464T104 33535 1302346 SH SOLE 1302346 0 0 BANK AMER CORP COM 060505104 589 20300 SH SOLE 20300 0 0 BGC PARTNERS INC CL A 05541T101 179 34177 SH SOLE 34177 0 0 BLACKROCK INC COM 09247X101 329 700 SH SOLE 700 0 0 BLACKROCK LTD DURATION INC T COM SHS 09249W101 173 11516 SH SOLE 11516 0 0 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 267 6000 SH SOLE 6000 0 0 CAPITAL ONE FINL CORP COM 14040H105 10542 116176 SH SOLE 116176 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 497 10667 SH SOLE 10667 0 0 CENTERPOINT ENERGY INC COM 15189T107 917 32044 SH SOLE 32044 0 0 CIDARA THERAPEUTICS INC COM 171757107 948 564313 SH SOLE 564313 0 0 COMERICA INC COM 200340107 1993 27433 SH SOLE 27433 0 0 CONAGRA BRANDS INC COM 205887102 442 16672 SH SOLE 16672 0 0 CONSTELLATION BRANDS INC CL A 21036P108 495 2515 SH SOLE 2515 0 0 CUMMINS INC COM 231021106 600 3500 SH SOLE 3500 0 0 DISCOVERY INC COM SER C 25470F302 439 15429 SH SOLE 15429 0 0 DISCOVERY INC COM SER A 25470F104 442 14394 SH SOLE 14394 0 0 DISNEY WALT CO COM DISNEY 254687106 461 3301 SH SOLE 3301 0 0 DOVER CORP COM 260003108 503 5018 SH SOLE 5018 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 1406 15931 SH SOLE 15931 0 0 EASTMAN CHEMICAL CO COM 277432100 1288 16543 SH SOLE 16543 0 0 EATON CORP PLC SHS G29183103 583 7000 SH SOLE 7000 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 150 13579 SH SOLE 13579 0 0 EVEREST RE GROUP LTD COM G3223R108 2302 9312 SH SOLE 9312 0 0 EXXON MOBIL CORP COM 30231G102 345 4500 SH SOLE 4500 0 0 FIFTH THIRD BANCORP COM 316773100 1088 39008 SH SOLE 39008 0 0 FOOT LOCKER INC COM 344849104 681 16236 SH SOLE 16236 0 0 GENERAL MTRS CO COM 37045V100 1253 32518 SH SOLE 32518 0 0 HASBRO INC COM 418056107 463 4383 SH SOLE 4383 0 0 HCP INC COM 40414L109 1005 31432 SH SOLE 31432 0 0 HENRY JACK & ASSOC INC COM 426281101 290 2167 SH SOLE 2167 0 0 HOME DEPOT INC COM 437076102 416 2000 SH SOLE 2000 0 0 HONEYWELL INTL INC COM 438516106 786 4500 SH SOLE 4500 0 0 ILLINOIS TOOL WKS INC COM 452308109 603 4000 SH SOLE 4000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 207 1500 SH SOLE 1500 0 0 INTERPUBLIC GROUP COS INC COM 460690100 987 43686 SH SOLE 43686 0 0 IRON MTN INC NEW COM 46284V101 868 27743 SH SOLE 27743 0 0 ISHARES TR MORTGE REL ETF 46435G342 370 8763 SH SOLE 8763 0 0 JOHNSON & JOHNSON COM 478160104 384 2759 SH SOLE 2759 0 0 JPMORGAN CHASE & CO COM 46625H100 458 4100 SH SOLE 4100 0 0 KB FINANCIAL GROUP INC SPONSORED ADR 48241A105 1095 27727 SH SOLE 27727 0 0 KIMBERLY CLARK CORP COM 494368103 614 4605 SH SOLE 4605 0 0 KRAFT HEINZ CO COM 500754106 931 29985 SH SOLE 29985 0 0 KROGER CO COM 501044101 868 39991 SH SOLE 39991 0 0 KURA ONCOLOGY INC COM 50127T109 5248 266527 SH SOLE 266527 0 0 MEDTRONIC PLC SHS G5960L103 341 3500 SH SOLE 3500 0 0 MERCK & CO INC COM 58933Y105 252 3000 SH SOLE 3000 0 0 METLIFE INC COM 59156R108 1148 23111 SH SOLE 23111 0 0 MICROSOFT CORP COM 594918104 522 3900 SH SOLE 3900 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 374 2241 SH SOLE 2241 0 0 NEURALSTEM INC COM NEW 64127R401 48 164394 SH SOLE 164394 0 0 NEWELL BRANDS INC COM 651229106 989 64133 SH SOLE 64133 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 939 41562 SH SOLE 41562 0 0 NORDSTROM INC COM 655664100 243 7640 SH SOLE 7640 0 0 OMNICOM GROUP INC COM 681919106 1105 13478 SH SOLE 13478 0 0 PEPSICO INC COM 713448108 393 3000 SH SOLE 3000 0 0 PHILIP MORRIS INTL INC COM 718172109 419 5334 SH SOLE 5334 0 0 PROCTER AND GAMBLE CO COM 742718109 548 5000 SH SOLE 5000 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 402 6842 SH SOLE 6842 0 0 RA MED SYS INC COM 74933X104 1903 525680 SH SOLE 525680 0 0 SCHLUMBERGER LTD COM 806857108 428 10770 SH SOLE 10770 0 0 SMUCKER J M CO COM NEW 832696405 439 3809 SH SOLE 3809 0 0 SPDR SERIES TRUST SPDR BLOOMBERG 78468R663 54579 595781 SH SOLE 595781 0 0 ULTA BEAUTY INC COM 90384S303 504 1454 SH SOLE 1454 0 0 US BANCORP DEL COM NEW 902973304 278 5308 SH SOLE 5308 0 0 VENTAS INC COM 92276F100 857 12536 SH SOLE 12536 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 362 6334 SH SOLE 6334 0 0 VIACOM INC NEW CL B 92553P201 414 13857 SH SOLE 13857 0 0 WASTE MGMT INC DEL COM 94106L109 611 5300 SH SOLE 5300 0 0 WELLTOWER INC COM 95040Q104 1034 12678 SH SOLE 12678 0 0 WHIRLPOOL CORP COM 963320106 563 3958 SH SOLE 3958 0 0 WYNN RESORTS LTD COM 983134107 783 6316 SH SOLE 6316 0 0