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| Name: |
Alethea Capital Management LLC |
| City: |
SAN DIEGO |
| State: |
CA |
| Zip: |
92127 |
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 |
Ticker |
Company Name |
Position
Rank |
New/Closed
Postion |
Last
Close |
Value |
Shares Held |
% of
Portfolio |
Value
Change |
Change In
Shares Held |
% of Company |
Industry |
|
AXSM |
Axsome Therapeutics, Inc. |
1 |
- |
$74.80 |
$59,855,000 |
752,044 |
69.06% |
6,823,000 |
-6,750 |
2.014 |
N/A |
|
|
RNA |
Avidity Biosciences, Inc. |
2 |
- |
$26.45 |
$7,735,000 |
854,651 |
8.92% |
2,282,000 |
0 |
1.075 |
N/A |
|
|
KURA |
Kura Oncology Inc |
3 |
- |
$20.63 |
$5,039,000 |
350,445 |
5.81% |
1,843,000 |
0 |
0.46 |
N/A |
|
|
TLT |
iShares Tr Lehman 20+yr Tres |
4 |
- |
$89.84 |
$2,302,000 |
23,278 |
2.66% |
237,000 |
0 |
0.002 |
Closed - End Fund - E... |
|
|
VBK |
Vanguard Small Cap Gr VIPERS |
5 |
New |
$248.04 |
$1,843,000 |
7,625 |
2.13% |
1,843,000 |
7,625 |
0.014 |
Closed - End Fund - E... |
|
|
CDTX |
Cidara Therapeutics, Inc. |
6 |
- |
$0.00 |
$1,292,000 |
1,627,670 |
1.49% |
-242,000 |
0 |
3.704 |
N/A |
|
|
HON |
Honeywell International Inc |
7 |
- |
$195.81 |
$391,000 |
1,863 |
0.45% |
47,000 |
1 |
0 |
Conglomerates |
|
|
BAC |
Bank of America Corp |
8 |
- |
$37.25 |
$357,000 |
10,617 |
0.41% |
67,000 |
9 |
0 |
Domestic Money Center... |
|
|
AAPL |
Apple Inc |
9 |
- |
$183.38 |
$356,000 |
1,851 |
0.41% |
-47,000 |
-500 |
0 |
Personal Computers |
|
|
GOOG |
Alphabet Inc |
10 |
- |
$168.99 |
$354,000 |
2,515 |
0.41% |
18,000 |
-35 |
0 |
Search Engines & Info... |
|
|
INTC |
Intel Corp |
11 |
- |
$30.90 |
$352,000 |
7,000 |
0.41% |
103,000 |
0 |
0 |
Semiconductor- Broad... |
|
|
WM |
Waste Management Inc |
12 |
- |
$207.88 |
$349,000 |
1,950 |
0.4% |
14,000 |
-250 |
0 |
Waste Management |
|
|
MSFT |
Microsoft Corp |
13 |
- |
$406.66 |
$348,000 |
925 |
0.4% |
56,000 |
0 |
0 |
Application Software |
|
|
ITW |
Illinois Tool Works Inc |
14 |
- |
$243.92 |
$347,000 |
1,325 |
0.4% |
42,000 |
0 |
0.001 |
Diversified Machinery |
|
|
HD |
Home Depot Inc |
15 |
- |
$342.85 |
$347,000 |
1,000 |
0.4% |
0 |
-150 |
0 |
Home Improvement Stores |
|
|
BLK |
BlackRock Inc A |
16 |
- |
$763.91 |
$345,000 |
425 |
0.4% |
70,000 |
0 |
0 |
Investment Brokerage ... |
|
|
HEDJ |
Wisdomtree International He... |
17 |
- |
$46.60 |
$344,000 |
8,020 |
0.4% |
27,000 |
0 |
0.028 |
N/A |
|
|
JPM |
JP Morgan Chase & Co |
18 |
- |
$190.51 |
$340,000 |
2,000 |
0.39% |
-23,000 |
-500 |
0 |
Domestic Money Center... |
|
|
ETN |
Eaton Corp |
19 |
- |
$320.50 |
$325,000 |
1,350 |
0.37% |
37,000 |
0 |
0 |
Diversified Machinery |
|
|
KO |
Coca-Cola Co |
20 |
- |
$62.17 |
$315,000 |
5,350 |
0.36% |
16,000 |
0 |
0 |
Beverage Soft Drinks... |
|
|
CMI |
Cummins Inc |
21 |
- |
$280.74 |
$311,000 |
1,300 |
0.36% |
-32,000 |
-200 |
0.001 |
Diversified Machinery |
|
|
PEP |
Pepsico Inc |
22 |
- |
$176.15 |
$306,000 |
1,800 |
0.35% |
1,000 |
0 |
0 |
Beverage Soft Drinks... |
|
|
BRK.B |
Berkshire Hathaway B |
23 |
- |
$400.87 |
$303,000 |
850 |
0.35% |
5,000 |
0 |
0 |
Property & Casualty I... |
|
|
PG |
Procter & Gamble Co |
24 |
- |
$164.46 |
$293,000 |
2,000 |
0.34% |
-28,000 |
-200 |
0 |
Cleaning Products |
|
|
DUK |
Duke Energy Corp |
26 |
- |
$100.26 |
$291,000 |
3,000 |
0.34% |
26,000 |
0 |
0 |
Electric Utilities |
|
|
DOW |
DOW Inc |
25 |
- |
$57.04 |
$291,000 |
5,300 |
0.34% |
18,000 |
0 |
0.001 |
Diversified Chemicals |
|
|
MDT |
Medtronic Plc |
27 |
- |
$81.69 |
$288,000 |
3,500 |
0.33% |
14,000 |
0 |
0 |
Medical Appliances & ... |
|
|
KMB |
Kimberly Clark Corp |
28 |
- |
$136.09 |
$286,000 |
2,350 |
0.33% |
2,000 |
0 |
0.001 |
Paper & Paper Products |
|
|
MRK |
Merck & Co Inc |
29 |
- |
$131.20 |
$273,000 |
2,500 |
0.31% |
-314,000 |
-3,203 |
0 |
Drug Manufacturers - ... |
|
|
CVS |
CVS/Caremark Corp |
30 |
- |
$55.90 |
$261,000 |
3,300 |
0.3% |
31,000 |
0 |
0 |
Drug Stores |
|
|
XOM |
Exxon Mobil Corp |
31 |
- |
$116.00 |
$260,000 |
2,600 |
0.3% |
-46,000 |
0 |
0 |
Integrated Oil & Gas |
|
|
QCOM |
QUALCOMM Inc |
32 |
New |
$179.64 |
$231,000 |
1,600 |
0.27% |
231,000 |
1,600 |
0 |
Communication Equipment |
|
|
ASRT |
Assertio Holdings Inc |
33 |
- |
$1.03 |
$143,000 |
133,793 |
0.16% |
-200,000 |
0 |
0.308 |
Drug Manufacturers - ... |
|
|
LPRO |
Open Lending Inc Class A |
34 |
- |
$13.75 |
$102,000 |
12,000 |
0.12% |
14,000 |
0 |
0.01 |
N/A |
|
|
EVM |
Eaton Vance Insured Califor... |
35 |
- |
$9.38 |
$98,000 |
10,658 |
0.11% |
11,000 |
0 |
0.05 |
Closed - End Fund - E... |
|
|
XEL |
Xcel Energy Inc |
51 |
Closed |
$54.25 |
$0 |
0 |
0% |
-431,000 |
-7,524 |
0 |
Electric Utilities |
|
|
ED |
Consolidated Edison Inc |
40 |
Closed |
$95.56 |
$0 |
0 |
0% |
-443,000 |
-5,174 |
0 |
Multi Utilities |
|
|
T |
AT&T Corp |
46 |
Closed |
$16.85 |
$0 |
0 |
0% |
-440,000 |
-29,326 |
0 |
Long Distance Carriers |
|
|
GILD |
Gilead Sciences Inc |
37 |
Closed |
$64.78 |
$0 |
0 |
0% |
-455,000 |
-6,069 |
0 |
Biotechnology |
|
|
ABBV |
Abbvie Inc. |
39 |
Closed |
$163.79 |
$0 |
0 |
0% |
-517,000 |
-3,470 |
0 |
Drug Manufacturers - ... |
|
|
LMT |
Lockheed Martin Corp |
45 |
Closed |
$461.91 |
$0 |
0 |
0% |
-415,000 |
-1,015 |
0 |
Aerospace/Defense - M... |
|
|
GIS |
General Mills Inc |
36 |
Closed |
$69.91 |
$0 |
0 |
0% |
-390,000 |
-6,099 |
0 |
Food - Major Diversified |
|
|
GRMN |
Garmin Ltd |
38 |
Closed |
$165.97 |
$0 |
0 |
0% |
-472,000 |
-4,486 |
0 |
Scientific & Technica... |
|
|
SO |
Southern Co |
44 |
Closed |
$75.85 |
$0 |
0 |
0% |
-431,000 |
-6,658 |
0 |
Electric Utilities |
|
|
NEM |
Newmont Mining Corp |
50 |
Closed |
$40.66 |
$0 |
0 |
0% |
-405,000 |
-10,965 |
0 |
Gold |
|
|
WEC |
WEC Energy Group Inc |
43 |
Closed |
$83.22 |
$0 |
0 |
0% |
-427,000 |
-5,300 |
0 |
Multi Utilities |
|
|
CPB |
Campbell Soup Co |
49 |
Closed |
$44.88 |
$0 |
0 |
0% |
-420,000 |
-10,232 |
0 |
Food - Major Diversified |
|
|
KR |
Kroger Co |
53 |
Closed |
$54.78 |
$0 |
0 |
0% |
-445,000 |
-9,952 |
0 |
Grocery Stores |
|
|
CME |
CME Group Inc |
42 |
Closed |
$207.65 |
$0 |
0 |
0% |
-505,000 |
-2,524 |
0 |
Business Services |
|
|
CHRW |
CH Robinson Worldwide Inc |
48 |
Closed |
$81.20 |
$0 |
0 |
0% |
-274,000 |
-3,180 |
0 |
AirDelivery & Freight... |
|
|
DRI |
Darden Restaurants Inc |
52 |
Closed |
$149.25 |
$0 |
0 |
0% |
-401,000 |
-2,800 |
0 |
Restaurants |
|
|
CLX |
Clorox Co |
41 |
Closed |
$138.23 |
$0 |
0 |
0% |
-386,000 |
-2,942 |
0 |
Cleaning Products |
|
|
BMY |
Bristol-Myers Squibb Co |
47 |
Closed |
$43.99 |
$0 |
0 |
0% |
-425,000 |
-7,315 |
0 |
Drug Manufacturers - ... |
|
