0001204459-11-001416.txt : 20110516 0001204459-11-001416.hdr.sgml : 20110516 20110516160130 ACCESSION NUMBER: 0001204459-11-001416 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 EFFECTIVENESS DATE: 20110516 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: 11846694 BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-899-0800 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 13F-HR 1 form13f.txt FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2011 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 1960, Santa Monica, CA 90401 Form 13F File Number: 028-11851 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing this 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 May 14, 2011 Report Type (Check only one.): [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).) List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 172 Form 13F Information Table Value Total: $6,162,026 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AbitibiBowater, Inc. COM 003687209 216 8038 SH SOLE 8038 0 0 ADVANCED MICRO DEVICES INC C COM 007903107 104 12150 SH SOLE 12150 0 0 AES TR III 6.75% TR CONV PFD PFD 00808N202 856 17436 SH SOLE 17436 0 0 AGRIUM INC COM 008916108 9167 99361 SH SOLE 99361 0 0 ALCOA INC COM 013817101 4923 278769 SH SOLE 278769 0 0 ALLSTATE CORP DEL COM COM 020002101 5938 186856 SH SOLE 186856 0 0 AMER EXPRESS COMPANY COM 025816109 339 7500 SH SOLE 7500 0 0 AMERICA MOVIL SAB DE CV ADR 02364W105 2400 41304 SH SOLE 41304 0 0 AMERICAN EAGLE OUTFITTERS NEW COM 02553E106 790 49725 SH SOLE 49725 0 0 AMERICAN ELEC PWR INC COM COM 025537101 534 15192 SH SOLE 15192 0 0 AMERON INTL INC COM COM 030710107 1439 20614 SH SOLE 20614 0 0 AMR CORPORATION COM 001765106 4279 662446 SH SOLE 662446 0 0 ANNALY CAP MGMT INC COM COM 035710409 1141 65408 SH SOLE 65408 0 0 AOL Inc Common Stock COM 00184X105 93126 4768337 SH SOLE 4768337 0 0 ARCHER DANIELS MIDLAND CO COM COM 039483102 79023 2194482 SH SOLE 2194482 0 0 ARM HLDGS PLC SPONSORED ADR ADR 042068106 3710 131708 SH SOLE 131708 0 0 ASTRAZENECA PLC SPND ADR ADR 046353108 3583 77692 SH SOLE 77692 0 0 ATP OIL & GAS CORP COM COM 00208J108 94569 5221947 SH SOLE 5221947 0 0 AUTOMATIC DATA PROCESSING INC COM 053015103 564 11000 SH SOLE 11000 0 0 AVALONBAY CMMUN INC COM 053484101 4683 39001 SH SOLE 39001 0 0 BAIDU INC SPON ADR REP A ADR 056752108 1367 9920 SH SOLE 9920 0 0 BANCO BRADESCO S A ADR ADR 059460303 3740 180253 SH SOLE 180253 0 0 BANK OF AMERICA CORP COM 060505104 62930 4720920 SH SOLE 4720920 0 0 BANK OF AMERICA NON CUM PERPE PFD 060505682 1671 1653 SH SOLE 1653 0 0 BARCLAYS PLC ADR ADR 06738E204 1774 97778 SH SOLE 97778 0 0 BARNES & NOBLE INC COM COM 067774109 65510 7128407 SH SOLE 7128407 0 0 BARRICK GOLD CORP COM COM 067901108 178390 3436528 SH SOLE 3436528 0 0 BHP BILLITON LTD ADR ADR 088606108 3174 33103 SH SOLE 33103 0 0 BOEING COMPANY COM 097023105 124571 1684989 SH SOLE 1684989 0 0 BRASIL TELECOM SA ADR ADR 10553M101 4832 178882 SH SOLE 178882 0 0 Brookfield Properties Corp COM 112900105 3638 205303 SH SOLE 205303 0 0 CANADIAN NATURAL RES LTD COM 136385101 204077 4128599 SH SOLE 4128599 0 0 CATERPILLAR INC DEL COM 149123101 145356 1305393 SH SOLE 1305393 0 0 CEMEX S A SPON ADR 5 ORD ADR 151290889 4716 528139 SH SOLE 528139 0 0 CHINA PETE CHEM SPN ADR ADR 16941R108 2973 29556 SH SOLE 29556 0 0 CHINA TELECOM CORP LTD SPON A ADR 169426103 3185 52205 SH SOLE 52205 0 0 CHIQUITA BRANDS INTL INC COM COM 170032809 5471 356674 SH SOLE 356674 0 0 CIT GROUP INC COM COM 125581801 42427 997119 SH SOLE 997119 0 0 CITIGROUP INC COM 172967101 62487 14137303 SH SOLE 14137303 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 8798 89524 SH SOLE 89524 0 0 COCA-COLA COM COM 191216100 219278 3305373 SH SOLE 3305373 0 0 COEUR D ALENE MINES CORP IDAH COM 192108504 134620 3870622 SH SOLE 3870622 0 0 COMCAST CORP NEW CL A COM 20030N101 6730 272237 SH SOLE 272237 0 0 COMPANHIA ENERG DE ADR ADR 204409601 3955 205217 SH SOLE 205217 0 0 CONTINENTAL RESOURCES INC C COM 212015101 225138 3150098 SH SOLE 3150098 0 0 Copano Energy, L.L.C. UNIT 217202100 567 15914 SH SOLE 15914 0 0 CROWN CASTLE INTL CORP COM COM 228227104 71355 1676966 SH SOLE 1676966 0 0 CURRENCYSHARES AUSTRALIAN DLR ETF 23129U101 297 2857 SH SOLE 2857 0 0 CURRENCYSHARES CDN DLR TR CDN ETF 23129X105 760 7411 SH SOLE 7411 0 0 CYTORI THERAPEUTICS INC COM COM 23283K105 3919 501169 SH SOLE 501169 0 0 DEAN FOODS CO NEW COM 242370104 1752 175243 SH SOLE 175243 0 0 DEERE CO COM 244199105 141949 1465058 SH SOLE 1465058 0 0 DELL INC COM COM 24702R101 6853 472274 SH SOLE 472274 0 0 DEVON ENERGY CORP NEW COM 25179M103 55661 606522 SH SOLE 606522 0 0 DIRECTV COM CL A COM 25490A101 86626 1850980 SH SOLE 1850980 0 0 DIREXION SHS ETF TR 30YR BEAR ETF 25459W532 2503 57252 SH SOLE 57252 0 0 DOLE FOOD COMPANY INC COM USD COM 256603101 89484 6565200 SH SOLE 6565200 0 0 DOMINION RES INC VA NEW COM COM 25746U109 610 13656 SH SOLE 13656 0 0 DOW CHEMICAL CO COM 260543103 6987 185097 SH SOLE 185097 0 0 DU PONT E.I.DE NEMOURS COM 263534109 6685 121613 SH SOLE 121613 0 0 DUKE ENERGY CORP NEW COM COM 26441C105 6792 374200 SH SOLE 374200 0 0 EBAY INC COM COM 278642103 192752 6209805 SH SOLE 6209805 0 0 EMERSON ELEC CO COM 291011104 55966 957835 SH SOLE 957835 0 0 ENERGY RECOVERY INC COM COM 29270J100 69 21665 SH SOLE 21665 0 0 ESSEX PPTY TR INC COM COM 297178105 444 3578 SH SOLE 3578 0 0 EXXON MOBIL CORP COM COM 30231G102 244965 2911740 SH SOLE 2911740 0 0 FIFTH THIRD BANCORP COM 316773100 335 24130 SH SOLE 24130 0 0 FLUOR CORP NEW COM COM 343412102 63722 865085 SH SOLE 865085 0 0 FREEPORT MCMORAN CPR & GLD COM 35671D857 97675 1758327 SH SOLE 1758327 0 0 GAP INC DEL COM COM 364760108 7097 313177 SH SOLE 313177 0 0 GENERAL ELECTRIC CORPORATION COM 369604103 351 17525 SH SOLE 17525 0 0 General Motors Corporation COM 37045v100 4990 160824 SH SOLE 160824 0 0 GOLAR LNG LTD BERMUDA SHS COM G9456A100 3417 133574 SH SOLE 133574 0 0 GOLDCORP INC COM 380956409 79520 1596783 SH SOLE 1596783 0 0 GOLDCORP INC NEW WT EXP 06091 WRT 380956177 271 69900 SH SOLE 69900 0 0 GOODYEAR TIRE & RUBBER COMPA COM 382550101 4358 290944 SH SOLE 290944 0 0 HAWAIIAN HOLDINGS INC COM COM 419879101 1661 276316 SH SOLE 276316 0 0 HECLA MNG CO COM COM 422704106 474 52225 SH SOLE 52225 0 0 HEINZ H J CO PV 25CT COM 423074103 4043 82817 SH SOLE 82817 0 0 HESS CORP COM COM 42809H107 122089 1432806 SH SOLE 1432806 0 0 HSBC HLDG PLC SP ADR ADR 404280406 2234 43123 SH SOLE 43123 0 0 HUGOTON RTY TR TEX UNIT BEN I UNIT 444717102 2477 104172 SH SOLE 104172 0 0 HUMAN GENOME SCIENCES INC COM COM 444903108 67511 2459427 SH SOLE 2459427 0 0 INDIA FD INC COM ETF 454089103 7832 237689 SH SOLE 237689 0 0 INGERSOLL-RAND PLC SHS COM G47791101 324 6700 SH SOLE 6700 0 0 INTEL CORP COM 458140100 103375 5122634 SH SOLE 5122634 0 0 INTERCONTINENTAL HTLS GRP PLC ADR 45857P301 4676 225581 SH SOLE 225581 0 0 INTL BUSINESS MACHINES COM 459200101 244592 1499919 SH SOLE 1499919 0 0 Iridium Communications Inc. COM 46269c102 41415 5189868 SH SOLE 5189868 0 0 ISHARES SILVER TRUST ISHARES ETF 46428Q109 170097 4625980 SH SOLE 4625980 0 0 ITAU UNIBANCO BANCO HOLD ADR 465562106 2833 117816 SH SOLE 117816 0 0 IVANHOE ENERGY INC COM COM 465790103 175 62133 SH SOLE 62133 0 0 JOHNSON & JOHNSON COM COM 478160104 69639 1175336 SH SOLE 1175336 0 0 JPMORGAN CHASE & CO COM 46625H100 6955 150871 SH SOLE 150871 0 0 KINETIC CONCEPTS INC COMMON COM 49460W208 7408 136126 SH SOLE 136126 0 0 KOREA ELECTRIC PWR SPONSORED ADR 500631106 1872 152917 SH SOLE 152917 0 0 KRAFT FOODS INC VA CL A COM 50075N104 4862 155047 SH SOLE 155047 0 0 LAS VEGAS SANDS CORP COM COM 517834107 127837 3027874 SH SOLE 3027874 0 0 LOUISIANA PAC CORP COM COM 546347105 145 13825 SH SOLE 13825 0 0 MARKET VECTORS ETF TR GOLD MI ETF 57060U100 14525 241682 SH SOLE 241682 0 0 MCDONALDS CORP COM COM 580135101 159333 2094004 SH SOLE 2094004 0 0 MCMORAN EXPLORATION CO COM COM 582411104 84339 4762197 SH SOLE 4762197 0 0 MDC HOLDINGS INC COM 552676108 2748 108396 SH SOLE 108396 0 0 MEDTRONIC INC COM COM 585055106 67451 1714134 SH SOLE 1714134 0 0 MELCO CROWN ENTRTNMT LTD ADR 585464100 2121 279050 SH SOLE 279050 0 0 MEMC ELECTR MATLS INC COM COM 552715104 3399 262260 SH SOLE 262260 0 0 Merck & Co Inc COM 58933Y105 69140 2094509 SH SOLE 2094509 0 0 MESABI TR CTF BEN INT UNIT 590672101 393 9541 SH SOLE 9541 0 0 MGM MIRAGE COM COM 552953101 84763 6445868 SH SOLE 6445868 0 0 MITSUBISHI UFJ FINL GROUP INC ADR 606822104 3233 702865 SH SOLE 702865 0 0 MOSAIC CO COM COM 61945A107 121090 1537652 SH SOLE 1537652 0 0 MURPHY OIL CORP COM 626717102 448 6107 SH SOLE 6107 0 0 NATURAL RESOURCE PARTNERS L P UNIT 63900P103 650 18522 SH SOLE 18522 0 0 NEWMONT MINING CORP 3.000% Du NOTE 651639AK2 1264 1032000 PRN SOLE 1032000 0 0 NEWMONT MINING CORP COM COM 651639106 202872 3716960 SH SOLE 3716960 0 0 NOBLE ENERGY INC COM COM 655044105 108897 1126710 SH SOLE 1126710 0 0 NOMURA HLDGS INC SPONSORED AD ADR 65535H208 1587 305180 SH SOLE 305180 0 0 NOVAGOLD RES INC 5.500% Due 0 NOTE 66987eaa5 1481 988000 PRN SOLE 988000 0 0 NOVAGOLD RES INC COM NEW COM 66987E206 228454 17573371 SH SOLE 17573371 0 0 NOVARTIS ADR ADR 66987V109 2670 49117 SH SOLE 49117 0 0 NUCOR CORPORATION COM 670346105 2983 64827 SH SOLE 64827 0 0 NUSTAR GP HOLDINGS LLC UNIT R UNIT 67059L102 1634 44840 SH SOLE 44840 0 0 NV ENERGY INC COM COM 67073Y106 4308 289323 SH SOLE 289323 0 0 OPKO HEALTH INC COM COM 68375N103 13039 3495733 SH SOLE 3495733 0 0 ORIENT-EXPRESS HOTELS LTD CL COM G67743107 3505 283366 SH SOLE 283366 0 0 OVERSEAS SHIPHOLDING GROUP COM 690368105 3600 112003 SH SOLE 112003 0 0 PEABODY ENERGY CORP COM COM 704549104 1276 17738 SH SOLE 17738 0 0 PETRLEO BRAS VTG SPD ADR ADR 71654V408 10058 248782 SH SOLE 248782 0 0 PETROCHINA CO LTD SP ADR ADR 71646E100 2009 13196 SH SOLE 13196 0 0 PLUM CREEK TIMBER CO INC COM 729251108 4415 101241 SH SOLE 101241 0 0 POTASH CORP SASK INC COM COM 73755L107 307 5209 SH SOLE 5209 0 0 POWERSHS DB MULTI SECT COMM T ETF 73936B408 48286 1410645 SH SOLE 1410645 0 0 PROCTER & GAMBLE CO COM 742718109 43604 707850 SH SOLE 707850 0 0 PROSHARES TR II ULTRASHORT YE ETF 74347W858 840 51604 SH SOLE 51604 0 0 PROSHARES TR II ULTRASHRT EUR ETF 74347W882 800 44830 SH SOLE 44830 0 0 PUBLIC STORAGE COM COM 74460D109 937 8450 SH SOLE 8450 0 0 ROYAL DUTCH SHELL PLC SPONS ADR 780259206 1094 15017 SH SOLE 15017 0 0 SAIC INC COM COM 78390X101 54936 3246816 SH SOLE 3246816 0 0 SANOFI AVENTIS SPONSORED ADR ADR 80105N105 4960 140827 SH SOLE 140827 0 0 SCHLUMBERGER LTD COM COM 806857108 699 7500 SH SOLE 7500 0 0 SHARPS COMPLIANCE CORP COM 820017101 48 10200 SH SOLE 10200 0 0 SILVER WHEATON CORP COM 828336107 101690 2345243 SH SOLE 2345243 0 0 SIRIUS XM RADIO INC COM COM 82967N108 33 19895 SH SOLE 19895 0 0 SJW CORP COM COM 784305104 5594 241634 SH SOLE 241634 0 0 SOUTHERN CO COM COM 842587107 8092 212342 SH SOLE 212342 0 0 SPDR GOLD TRUST ETF 78463v107 106032 758127 SH SOLE 758127 0 0 STARWOOD HOTELS & RESORTS WOR COM 85590A401 300 5159 SH SOLE 5159 0 0 Starwood Property Trust Inc. COM 85571B105 899 40311 SH SOLE 40311 0 0 SUNCOR ENERGY INC COM COM 867224107 130868 2918558 SH SOLE 2918558 0 0 SUNPOWER CORP COM CL A COM 867652109 39958 2331272 SH SOLE 2331272 0 0 SUNTECH PWR HLDGS CO LTD ADR ADR 86800C104 1919 194593 SH SOLE 194593 0 0 TEJON RANCH CO DEL COM COM 879080109 39651 1110548 SH SOLE 1110548 0 0 TEVA PHARMACTCL INDS ADR ADR 881624209 2518 50185 SH SOLE 50185 0 0 THUNDERBIRD ENERGY CORP COM COM 886055102 9 70000 SH SOLE 70000 0 0 TITANIUM METALS CORP COM NEW COM 888339207 6573 353773 SH SOLE 353773 0 0 UDR INC COM COM 902653104 6449 264634 SH SOLE 264634 0 0 UNION PACIFIC CORP COM 907818108 7213 73358 SH SOLE 73358 0 0 UNITED CONTINENTAL HOLDINGS COM 910047109 49727 2162967 SH SOLE 2162967 0 0 UNITED STATES OIL FUND LP UNI UNIT 91232N108 717 16825 SH SOLE 16825 0 0 UNITED STATES STL CORP NEW 4. NOTE 912909AE8 1067 585000 PRN SOLE 585000 0 0 UNITED STS STL CORP NEW COM 912909108 15558 288428 SH SOLE 288428 0 0 VALE SA ADR 91912E105 1806 54155 SH SOLE 54155 0 0 VALENCE TECHNOLOGY INC COM COM 918914102 31 19800 SH SOLE 19800 0 0 VALERO ENERGY CORP NEW COM COM 91913Y100 319 10707 SH SOLE 10707 0 0 VERIZON COMMUNICATNS COM COM 92343V104 685 17767 SH SOLE 17767 0 0 WAL-MART STORES INC COM 931142103 143481 2756609 SH SOLE 2756609 0 0 WEYERHAEUSER CO COM COM 962166104 418 16993 SH SOLE 16993 0 0 WILLIAMS SONOMA INC COM COM 969904101 405 10000 SH SOLE 10000 0 0 WISDOMTREE TRUST BRAZILN RL E ETF 97717W240 450 16308 SH SOLE 16308 0 0 WISDOMTREE TRUST CHINESE YUAN ETF 97717W182 1855 73130 SH SOLE 73130 0 0 WISDOMTREE TRUST INDIAN RUP E ETF 97717W166 799 29530 SH SOLE 29530 0 0 WYNN RESORTS LTD COM COM 983134107 57264 450334 SH SOLE 450334 0 0