Q3 2023 · 13F-HR
ALETHEA CAPITAL MANAGEMENT, LLCholdings as filed
Filed 2023-11-15 · accession 0001549408-23-000005
$81.4M
Reported value
51
Positions
2023-09-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 05464T104 | AXSM | AXSOME THERAPEUTICS INC | $53.0M | 65.1% | 758,794 | Common | SOLE |
| 05370A108 | RNAGBP | AVIDITY BIOSCIENCES INC | $5.5M | 6.70% | 854,651 | Common | SOLE |
| 50127T109 | KURA | KURA ONCOLOGY INC | $3.2M | 3.93% | 350,445 | Common | SOLE |
| 464287432 | TLT | ISHARES TR | $2.1M | 2.54% | 23,278 | Common | SOLE |
| 171757107 | — | CIDARA THERAPEUTICS INC | $1.5M | 1.88% | 1,627,670 | Common | SOLE |
| 58933Y105 | MRK | MERCK & CO INC | $587,124 | 0.72% | 5,703 | Common | SOLE |
| 00287Y109 | ABBV | ABBVIE INC | $517,238 | 0.64% | 3,470 | Common | SOLE |
| 12572Q105 | CME | CME GROUP INC | $505,355 | 0.62% | 2,524 | Common | SOLE |
| H2906T109 | GRMN | GARMIN LTD | $471,927 | 0.58% | 4,486 | Common | SOLE |
| 375558103 | GILD | GILEAD SCIENCES INC | $454,811 | 0.56% | 6,069 | Common | SOLE |
| 501044101 | KR | KROGER CO | $445,352 | 0.55% | 9,952 | Common | SOLE |
| 209115104 | ED | CONSOLIDATED EDISON INC | $442,532 | 0.54% | 5,174 | Common | SOLE |
| 00206R102 | T | AT&T INC | $440,477 | 0.54% | 29,326 | Common | SOLE |
| 842587107 | SO | SOUTHERN CO | $430,906 | 0.53% | 6,658 | Common | SOLE |
| 98389B100 | XEL | XCEL ENERGY INC | $430,523 | 0.53% | 7,524 | Common | SOLE |
| 92939U106 | WEC | WEC ENERGY GROUP INC | $426,915 | 0.52% | 5,300 | Common | SOLE |
| 110122108 | BMY | BRISTOL-MYERS SQUIBB CO | $424,563 | 0.52% | 7,315 | Common | SOLE |
| 134429109 | CPB | CAMPBELL SOUP CO | $420,331 | 0.52% | 10,232 | Common | SOLE |
| 539830109 | LMT | LOCKHEED MARTIN CORP | $415,094 | 0.51% | 1,015 | Common | SOLE |
| 651639106 | NEM | NEWMONT CORP | $405,157 | 0.50% | 10,965 | Common | SOLE |
| 037833100 | AAPL | APPLE INC | $402,507 | 0.49% | 2,351 | Common | SOLE |
| 237194105 | DRI | DARDEN RESTAURANTS INC | $401,016 | 0.49% | 2,800 | Common | SOLE |
| 370334104 | GIS | GENERAL MLS INC | $390,275 | 0.48% | 6,099 | Common | SOLE |
| 189054109 | CLX | CLOROX CO DEL | $385,579 | 0.47% | 2,942 | Common | SOLE |
| 46625H100 | JPM | JPMORGAN CHASE & CO | $362,550 | 0.45% | 2,500 | Common | SOLE |
| 437076102 | HD | HOME DEPOT INC | $347,484 | 0.43% | 1,150 | Common | SOLE |
| 438516106 | HON | HONEYWELL INTL INC | $343,911 | 0.42% | 1,862 | Common | SOLE |
| 231021106 | CMI | CUMMINS INC | $342,690 | 0.42% | 1,500 | Common | SOLE |
| 04546C205 | — | ASSERTIO HOLDINGS INC | $342,510 | 0.42% | 133,793 | Common | SOLE |
| 02079K107 | GOOG | ALPHABET INC | $336,218 | 0.41% | 2,550 | Common | SOLE |
| 94106L109 | WM | WASTE MGMT INC DEL | $335,368 | 0.41% | 2,200 | Common | SOLE |
| 742718109 | PG | PROCTER AND GAMBLE CO | $320,892 | 0.39% | 2,200 | Common | SOLE |
| 97717X701 | HEDJ | WISDOMTREE TR | $316,790 | 0.39% | 8,020 | Common | SOLE |
| 30231G102 | XOM | EXXON MOBIL CORP | $305,708 | 0.38% | 2,600 | Common | SOLE |
| 452308109 | ITW | ILLINOIS TOOL WKS INC | $305,161 | 0.37% | 1,325 | Common | SOLE |
| 713448108 | PEP | PEPSICO INC | $304,992 | 0.37% | 1,800 | Common | SOLE |
| 191216100 | KO | COCA COLA CO | $299,493 | 0.37% | 5,350 | Common | SOLE |
| 084670702 | BRK/B | BERKSHIRE HATHAWAY INC DEL | $297,755 | 0.37% | 850 | Common | SOLE |
| 594918104 | MSFT | MICROSOFT CORP | $292,069 | 0.36% | 925 | Common | SOLE |
| 060505104 | BAC | BANK AMERICA CORP | $290,443 | 0.36% | 10,608 | Common | SOLE |
| G29183103 | ETN | EATON CORP PLC | $287,928 | 0.35% | 1,350 | Common | SOLE |
| 494368103 | KMB | KIMBERLY-CLARK CORP | $283,998 | 0.35% | 2,350 | Common | SOLE |
| 09247X101 | BLKCHF | BLACKROCK INC | $274,758 | 0.34% | 425 | Common | SOLE |
| G5960L103 | MDT | MEDTRONIC PLC | $274,260 | 0.34% | 3,500 | Common | SOLE |
| 12541W209 | CHRW | C H ROBINSON WORLDWIDE INC | $273,893 | 0.34% | 3,180 | Common | SOLE |
| 260557103 | DOW | DOW INC | $273,268 | 0.34% | 5,300 | Common | SOLE |
| 26441C204 | DUK | DUKE ENERGY CORP NEW | $264,780 | 0.33% | 3,000 | Common | SOLE |
| 458140100 | INTC | INTEL CORP | $248,850 | 0.31% | 7,000 | Common | SOLE |
| 126650100 | CVS | CVS HEALTH CORP | $230,406 | 0.28% | 3,300 | Common | SOLE |
| 68373J104 | LPRO | OPEN LENDING CORP | $87,840 | 0.11% | 12,000 | Common | SOLE |
| 27828A100 | XEVMX | EATON VANCE CALIF MUN BD FD | $86,543 | 0.11% | 10,658 | Common | SOLE |
Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.