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Institutional Investment Manager
ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA CAPITAL MANAGEMENT, LLC (CIK: 0001549408) incorporated in California, located at 6384 Montez Villa Rd, San Diego, CA. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Original 13F HR (0001221073-16-000220) filed in 2016.11.14
#
Name
Shares
Value ($)
%
Options
Notes
1 3M CO 6,200 1,093 1.52%
2 ALLIANZGI DIVIDEND INT PRM 22,822 288 0.40%
3 ALPHABET INC 406 316 0.44%
4 ALTRIA GROUP INC 10,768 681 0.94%
5 BLACKROCK LIMITED DURATION INCORPORATED TR COM SHS 14,561 226 0.31%
6 BRISTOL MYERS SQUIBB CO 16,283 878 1.22%
7 C H ROBINSON WORLDWIDE INC 27,458 1,935 2.68%
8 CAPITAL ONE FINL CORP 157,990 11,348 15.74%
9 CHICAGO BRIDGE & IRON CO N V 12,700 356 0.49%
10 CONSOLIDATED EDISON INC 25,661 1,932 2.68%
11 CUMMINS INC 3,500 449 0.62%
12 DELAWARE ENHANCED GBL DIV & 125,075 1,266 1.76%
13 DISCOVER FINL SVCS 25,702 1,453 2.02%
14 DISNEY WALT CO 9,401 873 1.21%
15 DOUBLELINE OPPORTUNISTIC CR 30,201 776 1.08%
16 DOW CHEM CO 22,369 1,102 1.53%
17 EASTMAN CHEM CO 30,158 2,041 2.83%
18 EATON CORP PLC 7,500 493 0.68%
19 EATON VANCE CALIF MUN BD FD 37,840 513 0.71%
20 EATON VANCE LTD DURATION INC 32,097 440 0.61%
21 EDISON INTL 26,652 1,926 2.67%
22 EXTRA SPACE STORAGE INC 14,045 1,115 1.55%
23 GRAINGER W W INC 5,899 1,326 1.84%
24 HOME DEPOT INC 16,675 2,069 2.87%
25 HONEYWELL INTL INC 8,700 1,014 1.41%
26 ILLINOIS TOOL WKS INC 3,100 372 0.52%
27 IRON MTN INC NEW 51,483 1,932 2.68%
28 ISHARES 20 YEAR TREASURY BOND ETF 1,710 235 0.33%
29 ISHARES 7-10 YEAR TREASURY BOND ETF 3,741 419 0.58%
30 ISHARES TR 3,244 939 1.30%
31 ISHARES TR 13,003 660 0.92%
32 JPMORGAN CHASE & CO 4,000 266 0.37%
33 KELLOGG CO 3,500 271 0.38%
34 KIMBERLY CLARK CORP 6,200 782 1.08%
35 KURA ONCOLOGY INC 64,300 402 0.56%
36 LOCKHEED MARTIN CORP 8,257 1,979 2.75%
37 MCDONALDS CORP 17,105 1,973 2.74%
38 MEDTRONIC PLC 7,000 605 0.84%
39 MERCK & CO INC 8,258 453 0.63%
40 MICROSOFT CORP 13,588 581 0.81%
41 MOTOROLA SOLUTIONS INC 31,321 2,389 3.31%
42 MURPHY OIL 52,952 1,610 2.23%
43 NAVIENT 168,006 2,431 3.37%
44 NEURALSTEM INC COM 2,137,061 684 0.95%
45 NUVEEN CALIFORNIA AMT QLT MU 13,888 231 0.32%
46 ONEOK INC NEW 43,312 2,226 3.09%
47 PFIZER INC 72,984 2,472 3.43%
48 POWERSHARES ETF TRUST II 30,598 710 0.99%
49 SPDR S&P 500 ETF TR 1,501 324 0.45%
50 SPECTRUM PHARMACEUTICALS INC COM 24,577 115 0.16%
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