0001549408-21-000006.txt : 20211027 0001549408-21-000006.hdr.sgml : 20211027 20211026190646 ACCESSION NUMBER: 0001549408-21-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211027 DATE AS OF CHANGE: 20211026 EFFECTIVENESS DATE: 20211027 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: 211350123 BUSINESS ADDRESS: STREET 1: 8910 UNIVERSITY CENTER LN STREET 2: STE 400 CITY: SAN DIEGO STATE: CA ZIP: 92122-1025 BUSINESS PHONE: 858-926-2058 MAIL ADDRESS: STREET 1: 8910 UNIVERSITY CENTER LN STREET 2: STE 400 CITY: SAN DIEGO STATE: CA ZIP: 92122-1025 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 09-30-2021 09-30-2021 ALETHEA CAPITAL MANAGEMENT, LLC

8910 UNIVERSITY CENTER LN STE 400 SAN DIEGO CA 92122-1025

13F HOLDINGS REPORT 028-16431 N Kasie Cole 8589262058 Kasie Cole Newcastle WA 10-26-2021 0 86 113591 false INFORMATION TABLE 2 21Q3_13f_XML_Report.xml AMAZON COM INC COM 023135106 910 277 SH SOLE 0 277 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 368 1350 SH SOLE 0 1350 0 0 REALTY INCOME CORP COM 756109104 341 5264 SH SOLE 0 5264 0 0 AMGEN INC COM 031162100 510 2400 SH SOLE 0 2400 0 0 DISH NETWORK CORPORATION CL A 25470M109 292 6718 SH SOLE 0 6718 0 0 INTEL CORP COM 458140100 320 6000 SH SOLE 0 6000 0 0 ILLINOIS TOOL WKS INC COM 452308109 458 2215 SH SOLE 0 2215 0 0 QUALCOMM INC COM 747525103 206 1600 SH SOLE 0 1600 0 0 DISNEY WALT CO COM 254687106 558 3301 SH SOLE 0 3301 0 0 HONEYWELL INTL INC COM 438516106 552 2602 SH SOLE 0 2602 0 0 SYSCO CORP COM 871829107 275 3500 SH SOLE 0 3500 0 0 US BANCORP DEL COM NEW 902973304 722 12146 SH SOLE 0 12146 0 0 MEDTRONIC PLC SHS G5960L103 439 3500 SH SOLE 0 3500 0 0 PFIZER INC COM 717081103 237 5500 SH SOLE 0 5500 0 0 MICROSOFT CORP COM 594918104 564 2000 SH SOLE 0 2000 0 0 AT&T INC COM 00206R102 439 16260 SH SOLE 0 16260 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 208 1500 SH SOLE 0 1500 0 0 COCA COLA CO COM 191216100 817 15566 SH SOLE 0 15566 0 0 LOCKHEED MARTIN CORP COM 539830109 631 1828 SH SOLE 0 1828 0 0 PEPSICO INC COM 713448108 451 3000 SH SOLE 0 3000 0 0 BK OF AMERICA CORP COM 060505104 680 16012 SH SOLE 0 16012 0 0 EXXON MOBIL CORP COM 30231G102 412 7000 SH SOLE 0 7000 0 0 ANTHEM INC COM 036752103 676 1813 SH SOLE 0 1813 0 0 CVS HEALTH CORP COM 126650100 280 3300 SH SOLE 0 3300 0 0 DEUTSCHE BANK A G NAMEN AKT D18190898 332 26169 SH SOLE 0 26169 0 0 QUEST DIAGNOSTICS INC COM 74834L100 762 5243 SH SOLE 0 5243 0 0 MERCK & CO INC COM 58933Y105 323 4300 SH SOLE 0 4300 0 0 PROCTER AND GAMBLE CO COM 742718109 594 4250 SH SOLE 0 4250 0 0 KIMBERLY-CLARK CORP COM 494368103 556 4200 SH SOLE 0 4200 0 0 HOME DEPOT INC COM 437076102 525 1600 SH SOLE 0 1600 0 0 JPMORGAN CHASE & CO COM 46625H100 532 3250 SH SOLE 0 3250 0 0 NORTONLIFELOCK INC COM 668771108 228 8995 SH SOLE 0 8995 0 0 UNITEDHEALTH GROUP INC COM 91324P102 624 1597 SH SOLE 0 1597 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 615 3547 SH SOLE 0 3547 0 0 3M CO COM 88579Y101 527 3003 SH SOLE 0 3003 0 0 WASTE MGMT INC DEL COM 94106L109 1238 8290 SH SOLE 0 8290 0 0 SMUCKER J M CO COM NEW 832696405 641 5340 SH SOLE 0 5340 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 697 7141 SH SOLE 0 7141 0 0 APPLE INC COM 037833100 552 3900 SH SOLE 0 3900 0 0 ALLIANT ENERGY CORP COM 018802108 695 12409 SH SOLE 0 12409 0 0 NEWMONT CORP COM 651639106 593 10918 SH SOLE 0 10918 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 685 11419 SH SOLE 0 11419 0 0 AUTOZONE INC COM 053332102 788 464 SH SOLE 0 464 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 450 1600 SH SOLE 0 1600 0 0 FREEPORT-MCMORAN INC CL B 35671D857 366 11240 SH SOLE 0 11240 0 0 NUCOR CORP COM 670346105 711 7214 SH SOLE 0 7214 0 0 EATON CORP PLC SHS G29183103 448 3000 SH SOLE 0 3000 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 162 13579 SH SOLE 0 13579 0 0 GALLAGHER ARTHUR J & CO COM 363576109 448 3016 SH SOLE 0 3016 0 0 SANOFI SPONSORED ADR 80105N105 868 18012 SH SOLE 0 18012 0 0 CUMMINS INC COM 231021106 337 1500 SH SOLE 0 1500 0 0 YUM BRANDS INC COM 988498101 736 6015 SH SOLE 0 6015 0 0 CBRE GROUP INC CL A 12504L109 410 4210 SH SOLE 0 4210 0 0 NATIONAL FUEL GAS CO COM 636180101 236 4500 SH SOLE 0 4500 0 0 BLACKROCK INC COM 09247X101 520 620 SH SOLE 0 620 0 0 FASTENAL CO COM 311900104 938 18184 SH SOLE 0 18184 0 0 SEAGATE TECHNOLOGY HLDNGS PL ORD SHS G7997R103 268 3247 SH SOLE 0 3247 0 0 OLD DOMINION FREIGHT LINE IN COM 679580100 1829 6395 SH SOLE 0 6395 0 0 BLACKROCK LTD DURATION INCOM COM SHS 09249W101 186 10871 SH SOLE 0 10871 0 0 ENBRIDGE INC COM 29250N105 203 5100 SH SOLE 0 5100 0 0 SL GREEN RLTY CORP COM 78440X804 248 3500 SH SOLE 0 3500 0 0 AXOS FINANCIAL INC COM 05465C100 227 4400 SH SOLE 0 4400 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 969 5812 SH SOLE 0 5812 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 3612 1656815 SH SOLE 0 1656815 0 0 BLACKSTONE INC COM 09260D107 535 4600 SH SOLE 0 4600 0 0 ISHARES TR MORTGE REL ETF 46435G342 291 8037 SH SOLE 0 8037 0 0 SPDR SER TR SPDR BLOOMBERG 78468R663 9885 108084 SH SOLE 0 108084 0 0 BGC PARTNERS INC CL A 05541T101 177 34052 SH SOLE 0 34052 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 305 4010 SH SOLE 0 4010 0 0 ABBVIE INC COM 00287Y109 892 8270 SH SOLE 0 8270 0 0 T-MOBILE US INC COM 872590104 416 3256 SH SOLE 0 3256 0 0 TWITTER INC COM 90184L102 269 4450 SH SOLE 0 4450 0 0 ALPHABET INC CAP STK CL C 02079K107 706 265 SH SOLE 0 265 0 0 AXSOME THERAPEUTICS INC COM 05464T104 37332 1132645 SH SOLE 0 1132645 0 0 CIDARA THERAPEUTICS INC COM 171757107 2625 1172044 SH SOLE 0 1172044 0 0 RA MED SYS INC COM 74933X203 39 12320 SH SOLE 0 12320 0 0 DOW INC COM 260557103 305 5300 SH SOLE 0 5300 0 0 OPEN LENDING CORP COM CL A 68373J104 433 12000 SH SOLE 0 12000 0 0 AVIDITY BIOSCIENCES INC COM 05370A108 22353 907567 SH SOLE 0 907567 0 0 NUCOR CORP COM 670346105 0 500 SH Put SOLE 0 500 0 0 HOME DEPOT INC COM 437076102 0 300 SH Call SOLE 0 300 0 0 FREEPORT-MCMORAN INC CL B 35671D857 1 400 SH Put SOLE 0 400 0 0 UNITEDHEALTH GROUP INC COM 91324P102 0 200 SH Call SOLE 0 200 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2 200 SH Put SOLE 0 200 0 0 HOME DEPOT INC COM 437076102 0 300 SH Put SOLE 0 300 0 0 NUCOR CORP COM 670346105 0 500 SH Call SOLE 0 500 0 0