0001144204-12-062520.txt : 20121114 0001144204-12-062520.hdr.sgml : 20121114 20121114160911 ACCESSION NUMBER: 0001144204-12-062520 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Aletheia Research & Management, Inc. CENTRAL INDEX KEY: 0001302506 IRS NUMBER: 954647814 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11851 FILM NUMBER: 121204539 BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 1900 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-899-0800 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 1900 CITY: SANTA MONICA STATE: CA ZIP: 90401 13F-HR 1 v327850_13fhr.txt QUARTERLY HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012. Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Aletheia Research and Management, Inc. Address: 100 Wilshire Boulevard, Suite 1900, Santa Monica, CA 90401. Form 13F File Number: 28-11851 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Peter J. Eichler, Jr. Title: Chief Executive Officer Phone: 310-899-0800 Signature, Place and Date of Signing: /s/ Peter J. Eichler, Jr. Santa Monica, CA November 14, 2012 Report Type (Check one only): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Aletheia Research and Management, Inc. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 162 Form 13F Information Table Value Total: $1,433,111 (thousands) List of Other Included Managers: None ALETHEIA RESEARCH AND MANAGEMENT, INC. FORM 13F INFORMATION TABLE FOR THE QUARTER ENDED 09/30/2012
VOTING AUTHORITY ---------------------- TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER NAME OF ISSUER CLASS CUSIP (x $1,000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ ACE LIMITED COM H0023R105 2,562 33,892 SH SOLE 33,892 AGRIUM INC COM 008916108 3,532 34,134 SH SOLE 34,134 AKAMAI TECHNOLOGIES INC COM 00971T101 13,881 362,805 SH SOLE 362,805 ALCOA INC COM 013817101 985 111,211 SH SOLE 111,211 ALKERMES PLC SHS G01767105 14,406 694,235 SH SOLE 694,235 ALLSTATE CORP DEL COM COM 020002101 1,291 32,586 SH SOLE 32,586 AMERICA MOVIL SAB DE CV ADR 02364W105 2,210 86,891 SH SOLE 86,891 ANADARKO PETE CORP COM 032511107 10,968 156,872 SH SOLE 156,872 ANGLOGOLD ASHANTI LTD SPONSORED ADR ADR 035128206 1,840 52,510 SH SOLE 52,510 ANNALY CAP MGMT INC COM COM 035710409 335 19,901 SH SOLE 19,901 AOL INC COMMON COM 00184X105 17,367 492,948 SH SOLE 492,948 APPLE INC COM COM 037833100 22,895 34,320 SH SOLE 34,320 ARCHER DANIELS MIDLAND CO COM 039483102 14,547 535,201 SH SOLE 535,201 ASTRAZENECA PLC SPND ADR ADR 046353108 1,602 33,478 SH SOLE 33,478 AVALONBAY CMMUN INC COM 053484101 1,091 8,027 SH SOLE 8,027 BANCO BRADESCO S A ADR ADR 059460303 2,581 160,610 SH SOLE 160,610 BANK OF AMERICA CORPORATION CO COM 060505104 1,020 115,495 SH SOLE 115,495 BARCLAYS BK PLC IPATH SHRT ETN ETN 06740C261 96 10,706 SH SOLE 10,706 BARCLAYS BK PLC IPATH SHRT ETN ETN 06740C901 338 37,500 SH CALL SOLE BARCLAYS PLC ADR ADR 06738E204 1,494 107,706 SH SOLE 107,706 BARRICK GOLD CORP COM COM 067901108 514 12,314 SH SOLE 12,314 BEST BUY CO INC COM 086516101 909 52,809 SH SOLE 52,809 BHP BILLITON LTD ADR ADR 088606108 2,033 29,624 SH SOLE 29,624 BOEING COMPANY COMMON COM 097023105 21,524 309,279 SH SOLE 309,279 BRIDGEPOINT ED INC COM COM 10807M955 203 20,000 SH PUT SOLE 20,000 CAESARS ENTERTAINMENT CORPORATION COM 127686953 510 75,000 SH PUT SOLE 75,000 CAMPBELL SOUP CO COM COM 134429109 1,055 30,284 SH SOLE 30,284 CANADIAN NATURAL RES LTD COM 136385101 2,777 90,207 SH SOLE 90,207 CATERPILLAR INC COM 149123101 23,305 270,862 SH SOLE 270,862 CELGENE CORP COM COM 151020104 17,368 227,335 SH SOLE 227,335 CEMEX S A SPON ADR 5 ORD ADR 151290889 2,462 295,603 SH SOLE 295,603 CHESAPEAKE ENERGY CORP PFD CON PFD 165167842 317 3,888 SH SOLE 3,888 CHESAPEAKE ENERGY CORPORATION COM 165167107 37,277 1,975,462 SH SOLE 1,975,462 CHESAPEAKE ENERGY CORPORATION COM 165167907 5,942 314,900 SH CALL SOLE CHINA PETE CHEM SPN ADR ADR 16941R108 1,819 19,686 SH SOLE 19,686 CHINA TELECOM CORP LTD SPON ADR ADR 169426103 2,523 43,526 SH SOLE 43,526 CHIQUITA BRANDS INTL INC COM COM 170032809 1,329 173,982 SH SOLE 173,982 CITIGROUP INC COM NEW COM 172967424 1,248 38,163 SH SOLE 38,163 CLEARWIRE CORP NEW CL A COM 18538Q105 4,993 3,726,294 SH SOLE 3,726,294 CLIFFS NATURAL RESOURCES INC COM 18683K101 1,161 29,676 SH SOLE 29,676 COCA COLA CO COM 191216100 40,952 1,079,669 SH SOLE 1,079,669 COMCAST CORP CL A NEW COM 20030N101 1,206 33,726 SH SOLE 33,726 COMPANHIA ENERG DE ADR ADR 204409601 2,344 193,398 SH SOLE 193,398 CONTINENTAL RESOURCES/OKLA COM COM 212015101 58,959 766,694 SH SOLE 766,694 CORNING INC COM COM 219350105 18,757 1,426,360 SH SOLE 1,426,360 CYTORI THERAPEUTICS INC COM 23283K105 169 38,400 SH SOLE 38,400 CYTORI THERAPEUTICS INC COM 23283K905 88 20,000 SH CALL SOLE DEAN FOODS CO NEW COM 242370104 1,081 66,133 SH SOLE 66,133 DEERE & CO COMMON COM 244199105 19,526 236,759 SH SOLE 236,759 DENDREON CORP COM COM 24823Q107 9,599 1,995,537 SH SOLE 1,995,537 DIAGEO PLC SPSD ADR NEW ADR 25243Q205 13,427 119,106 SH SOLE 119,106 DIRECTV COMMON CL A COM 25490A309 11,003 209,819 SH SOLE 209,819 DISNEY (WALT) CO COM STK COM 254687106 22,372 427,918 SH SOLE 427,918 DOLE FOOD CO INC NEW COMMON COM 256603101 36,439 2,596,662 SH SOLE 2,596,662 DOLE FOOD CO INC NEW COMMON COM 256603901 1,136 81,000 SH CALL SOLE DOMINION RES INC VA NEW COM COM 25746U109 2,214 41,814 SH SOLE 41,814 DOW CHEMICAL CO COM 260543103 1,145 39,552 SH SOLE 39,552 DU PONT E.I.DE NEMOURS COM 263534109 1,312 26,111 SH SOLE 26,111 EBAY INC COM COM 278642103 13,955 288,503 SH SOLE 288,503 ELAN CORP PLC ADR ADR 284131208 126 11,797 SH SOLE 11,797 EQUITY RESIDENTIAL (REIT) SHS 29476L107 1,648 28,657 SH SOLE 28,657 EXXON MOBIL CORPORATION COMMON COM 30231G102 1,242 13,580 SH SOLE 13,580 FIRST NIAGARA FINL GP INC COM COM 33582V108 6,782 840,452 SH SOLE 840,452 FIRST SOLAR INC COM COM 336433107 2,728 123,160 SH SOLE 123,160 FORD MOTOR CO NEW COM 345370860 1,130 114,613 SH SOLE 114,613 FRANCO NEVADA CORP COM 351858105 33,554 569,391 SH SOLE 569,391 FREEPORT MCMORAN COPPER & GOLD COM 35671D857 23,697 598,715 SH SOLE 598,715 FUSION-IO, INC. COM 36112J957 454 15,000 SH PUT SOLE 15,000 GOLAR LNG LTD BERMUDA SHS COM G9456A100 3,732 96,706 SH SOLE 96,706 GOLDCORP INC COM 380956409 41,560 906,434 SH SOLE 906,434 GOODYEAR TIRE & RUBBER COMPANY COM 382550101 804 65,891 SH SOLE 65,891 GOOGLE INC CL A COM 38259P508 12,266 16,257 SH SOLE 16,257 HANSEN MEDICAL INC COM COM 411307101 41 21,350 SH SOLE 21,350 HAWAIIAN HOLDINGS INC COM COM 419870900 84 15,000 SH CALL SOLE HEINZ H J CO PV 25CT COM 423074103 839 14,987 SH SOLE 14,987 HSBC HLDG PLC SP ADR ADR 404280406 3,015 64,892 SH SOLE 64,892 HUGOTON RTY TR TEX UNIT BEN INT UTS 444717102 107 16,163 SH SOLE 16,163 INDIA FD INC COM COM 454089103 1,767 76,012 SH SOLE 76,012 INFOSYS TECHNOLOGIES LTD SPONS ADR 456788108 1,467 30,216 SH SOLE 30,216 INTERCONTINENTAL HTLS GRP PLC ADR 45857P301 4,625 176,188 SH SOLE 176,188 INTERNATIONAL BUSINESS MACHS CORP COM 459200101 34,582 166,698 SH SOLE 166,698 ISHARES SILVER TRUST FD ETF 46428Q109 50,221 1,500,041 SH SOLE 1,500,041 ISHARES SILVER TRUST FD ETF 46428Q909 1,256 37,500 SH CALL SOLE ITAU UNIBANCO BANCO HOLD ADR 465562106 1,699 111,200 SH SOLE 111,200 JOHNSON & JOHNSON COM 478160104 12,953 187,982 SH SOLE 187,982 JPMORGAN CHASE & CO COM 46625H100 983 24,284 SH SOLE 24,284 KOREA ELECTRIC PWR SPONSORED ADR ADR 500631106 2,104 169,422 SH SOLE 169,422 KRAFT FOODS INC VA CL A COM 50075N104 1,978 47,836 SH SOLE 47,836 LAM RESEARCH CORP COM COM 512807108 5,651 177,808 SH SOLE 177,808 LAS VEGAS SANDS CORP COM COM 517834107 20,838 449,377 SH SOLE 449,377 LENNAR CORP CL A COM 526057104 18,411 529,519 SH SOLE 529,519 MARKET VECTORS GOLD MINERS ETF 57060U100 1,069 19,911 SH SOLE 19,911 MCDONALDS CORP COM 580135101 28,120 306,489 SH SOLE 306,489 MCMORAN EXPLORATION CO COM COM 582411104 8,067 686,517 SH SOLE 686,517 MDC HOLDINGS INC COM 552676108 14,023 364,137 SH SOLE 364,137 MEDTRONIC INC COM 585055106 9,111 211,287 SH SOLE 211,287 MELCO CROWN ENTRTNMT LTD ADR 585464100 1,594 118,250 SH SOLE 118,250 MEMC ELECTR MATLS INC COM COM 552715104 165 59,890 SH SOLE 59,890 MERCK & CO INC NEW COMMON COM 58933Y105 29,743 659,562 SH SOLE 659,562 MITSUBISHI UFJ FINL GROUP INC ADR 606822104 2,125 457,025 SH SOLE 457,025 MOLSON COORS BREWING CO CL B COM 60871R209 894 19,842 SH SOLE 19,842 MOLYCORP INC COM 608753109 29,772 2,588,839 SH SOLE 2,588,839 MOLYCORP INC COM 608753909 518 45,000 SH CALL SOLE MOLYCORP, INC. PFD CONV SER A PFD 608753208 393 8,761 SH SOLE 8,761 MONSANTO CO COM 61166W101 20,970 230,384 SH SOLE 230,384 MOSAIC CO / THE WI COMMON COM 61945C103 22,110 383,795 SH SOLE 383,795 NEWMONT MINING CORP COM 651639106 34,026 607,446 SH SOLE 607,446 NOBLE ENERGY INC COMMON COM 655044105 38,276 412,860 SH SOLE 412,860 NOMURA HLDGS INC SPONSORED ADR ADR 65535H208 1,379 387,297 SH SOLE 387,297 NOVACOPPER INC COM NPV COM 66988K102 5,056 2,351,603 SH SOLE 2,351,603 NOVAGOLD RES INC COM NEW COM 66987E206 24,304 4,340,047 SH SOLE 4,340,047 NOVAGOLD RES INC COM NEW COM 66987E906 283 50,500 SH CALL SOLE NOVARTIS ADR ADR 66987V109 4,899 79,967 SH SOLE 79,967 NOVO-NORDISK A S ADR ADR 670100205 13,668 86,608 SH SOLE 86,608 NUSTAR ENERGY LP UNIT COM COM 67058H102 237 4,658 SH SOLE 4,658 OCCIDENTAL PETE CORP CAL COM 674599105 24,106 280,114 SH SOLE 280,114 OI S.A. ADR ADR 670851203 2,327 578,817 SH SOLE 578,817 OPKO HEALTH INC COMMON COM 68375N103 28,117 6,726,683 SH SOLE 6,726,683 ORIENT-EXPRESS HOTELS LTD CL A COM G67743107 2,143 240,835 SH SOLE 240,835 PAN AMERICAN SILVER CORP COM COM 697900108 25,986 1,212,045 SH SOLE 1,212,045 PEABODY ENERGY CORP COM COM 704549104 243 10,924 SH SOLE 10,924 PETROCHINA CO LTD SP ADR ADR 71646E100 1,662 12,868 SH SOLE 12,868 PFIZER INC COM 717081103 1,109 44,622 SH SOLE 44,622 PLAINS ALL AMERICAN PIPELINE LP UTS 726503105 258 2,921 SH SOLE 2,921 PLUM CREEK TIMBER CO INC COM 729251108 1,992 45,432 SH SOLE 45,432 PROSHARES TR PSHS ULSHT SP500 COM 74347B300 169 12,400 SH SOLE 12,400 PUBLIC STORAGE COM COM 74460D109 925 6,650 SH SOLE 6,650 SAFEWAY INC COM NEW COM 786514208 31,943 1,985,253 SH SOLE 1,985,253 SAFEWAY INC COM NEW COM 786514908 9,678 601,500 SH CALL SOLE SANOFI AVENTIS SPONSORED ADR ADR 80105N105 2,672 62,046 SH SOLE 62,046 SILVER WHEATON CORP COM 828336107 20,993 528,659 SH SOLE 528,659 SIRIUS XM RADIO INC COM COM 82967N108 52 19,895 SH SOLE 19,895 SJW CORP COM COM 784305104 1,543 60,854 SH SOLE 60,854 SOUTHERN CO COM COM 842587107 1,365 29,622 SH SOLE 29,622 SPDR GOLD TRUST SHS ETF 78463V107 25,526 148,505 SH SOLE 148,505 STARWOOD HOTELS & RESORTS WORLDWIDE INC COM 85590A401 282 4,860 SH SOLE 4,860 STARWOOD PROPERTY TRUST INC COM 85571B105 212 9,090 SH SOLE 9,090 SUNCOR ENERGY INC COM COM 867224107 44,177 1,344,815 SH SOLE 1,344,815 SUNPOWER CORP COM COM 867652406 5,864 1,300,131 SH SOLE 1,300,131 SUNTECH PWR HLDGS CO LTD ADR ADR 86800C104 187 216,993 SH SOLE 216,993 SYNGENTA AG SPONSORED ADR ADR 87160A100 2,248 30,039 SH SOLE 30,039 TARGET CORP COM COM 87612e106 842 13,262 SH SOLE 13,262 TATA MOTORS LTD - SPON ADR ADR 876568502 2,359 91,859 SH SOLE 91,859 TEJON RANCH CO COM COM 879080109 5,949 198,045 SH SOLE 198,045 TESORO CORP COM COM 881609101 1,423 33,959 SH SOLE 33,959 TEVA PHARMACTCL INDS ADR ADR 881624209 2,070 49,990 SH SOLE 49,990 TIME WARNER INC SHS COM 887317303 20,399 449,959 SH SOLE 449,959 TITANIUM METALS CORP COM NEW COM 888339207 1,048 81,690 SH SOLE 81,690 U S G CORP NEW COM 903293405 18,437 839,958 SH SOLE 839,958 UDR INC COM COM 902653104 1,134 45,678 SH SOLE 45,678 UNITED CONTL HOLDINGS INC COM 910047109 2,026 103,876 SH SOLE 103,876 UNITED CONTL HOLDINGS INC COM 910047909 1,170 60,000 SH CALL SOLE UNITED STS STL CORP NEW COM 912909108 986 51,744 SH SOLE 51,744 UNITED THERAPEUTICS CORP COM 91307C102 20,015 358,169 SH SOLE 358,169 VALEANT PHARMACEUTICALS INTL COM COM 91911K102 26,403 477,709 SH SOLE 477,709 VALENCE TECHNOLOGY INC COM COM 918914102 0 18,300 SH SOLE 18,300 VELOCITYSHARES DAILY 2x VIX ST ETN ETN 22542D761 87 56,920 SH SOLE 56,920 VERIZON COMMUNICATNS COM COM 92343V104 2,509 55,045 SH SOLE 55,045 VODAFONE GROUP PLC NEW ADR 92857W209 2,975 104,397 SH SOLE 104,397 VORNADO REALTY TRUST COM 929042109 2,015 24,859 SH SOLE 24,859 WENDYS CO COM 95058W100 55 12,049 SH SOLE 12,049 YAHOO INC COM COM 984332106 2,291 143,401 SH SOLE 143,401