13F-HR 1 f13hr.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: June 30, 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 1900 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 August 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: 180 Form 13F Information Table Value Total: $5,598,814 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACE LIMITED COM h0023r105 2721 41335 SH SOLE 41335 0 0 AES TR III 6.75% TR CONV PFD PFD 00808N202 461 9377 SH SOLE 9377 0 0 AGRIUM INC COM 008916108 8077 92036 SH SOLE 92036 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 52636 1672567 SH SOLE 1672567 0 0 ALCOA INC COM 013817101 3782 238485 SH SOLE 238485 0 0 ALLSTATE CORP DEL COM COM 020002101 3972 130111 SH SOLE 130111 0 0 AMER EXPRESS COMPANY COM 025816109 388 7500 SH SOLE 7500 0 0 AMERICA MOVIL SAB DE CV ADR 02364W105 2497 46351 SH SOLE 46351 0 0 AMERICAN EAGLE OUTFITTERS NEW COM 02553E106 634 49725 SH SOLE 49725 0 0 AMERICAN ELEC PWR INC COM COM 025537101 534 14167 SH SOLE 14167 0 0 AMERON INTL INC COM COM 030710107 1354 20614 SH SOLE 20614 0 0 AMR CORPORATION COM 001765106 3209 594339 SH SOLE 594339 0 0 ANNALY CAP MGMT INC COM COM 035710409 1112 61633 SH SOLE 61633 0 0 AOL Inc Common Stock COM 00184X105 82506 4154405 SH SOLE 4154405 0 0 ARCHER DANIELS MIDLAND CO COM COM 039483102 61761 2048602 SH SOLE 2048602 0 0 ARM HLDGS PLC SPONSORED ADR ADR 042068106 3926 138084 SH SOLE 138084 0 0 ASTRAZENECA PLC SPND ADR ADR 046353108 4225 84376 SH SOLE 84376 0 0 ATP OIL & GAS CORP COM COM 00208J108 87353 5705611 SH SOLE 5705611 0 0 AUTOMATIC DATA PROCESSING INC COM 053015103 579 11000 SH SOLE 11000 0 0 AVALONBAY CMMUN INC COM 053484101 4312 33582 SH SOLE 33582 0 0 BAIDU INC SPON ADR REP A ADR 056752108 1390 9920 SH SOLE 9920 0 0 BANCO BRADESCO S A ADR ADR 059460303 3705 180820 SH SOLE 180820 0 0 BANK OF AMERICA CORP COM 060505104 43674 3984831 SH SOLE 3984831 0 0 BANK OF AMERICA NON CUM PERPE PFD 060505682 1542 1538 SH SOLE 1538 0 0 BARCLAYS BK PLC IPATH SHRT ET ETN 06740c261 1818 85990 SH SOLE 85990 0 0 BARCLAYS PLC ADR ADR 06738E204 1784 108607 SH SOLE 108607 0 0 BARNES & NOBLE INC COM COM 067774109 25725 1551578 SH SOLE 1551578 0 0 BARRICK GOLD CORP COM COM 067901108 146601 3236932 SH SOLE 3236932 0 0 BHP BILLITON LTD ADR ADR 088606108 3312 34999 SH SOLE 34999 0 0 BOEING COMPANY COM 097023105 143754 1944467 SH SOLE 1944467 0 0 BRASIL TELECOM SA ADR ADR 10553M101 4461 155662 SH SOLE 155662 0 0 BROOKFIELD OFFICE PROPERTIES COM 112900105 4315 223815 SH SOLE 223815 0 0 Brookfield Residential Proper COM 11283W104 198 19947 SH SOLE 19947 0 0 CANADIAN NATURAL RES LTD COM 136385101 161029 3846843 SH SOLE 3846843 0 0 CATERPILLAR INC DEL COM 149123101 126419 1187481 SH SOLE 1187481 0 0 CEMEX S A SPON ADR 5 ORD ADR 151290889 4521 525692 SH SOLE 525692 0 0 CHINA PETE CHEM SPN ADR ADR 16941R108 3332 32843 SH SOLE 32843 0 0 CHINA TELECOM CORP LTD SPON A ADR 169426103 3752 57319 SH SOLE 57319 0 0 CHIQUITA BRANDS INTL INC COM COM 170032809 4165 319869 SH SOLE 319869 0 0 CIT GROUP INC COM COM 125581801 41025 926914 SH SOLE 926914 0 0 CITIGROUP INC COM 172967424 46027 1105351 SH SOLE 1105351 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 7493 81045 SH SOLE 81045 0 0 COCA-COLA COM COM 191216100 190580 2832226 SH SOLE 2832226 0 0 COEUR D ALENE MINES CORP IDAH COM 192108504 69542 2866542 SH SOLE 2866542 0 0 COMCAST CORP NEW CL A COM 20030N101 64105 2529782 SH SOLE 2529782 0 0 COMPANHIA ENERG DE ADR ADR 204409601 4599 222836 SH SOLE 222836 0 0 CONTINENTAL RESOURCES INC C COM 212015101 138618 2135541 SH SOLE 2135541 0 0 Copano Energy, L.L.C. UNIT 217202100 515 15044 SH SOLE 15044 0 0 CROWN CASTLE INTL CORP COM COM 228227104 23016 564244 SH SOLE 564244 0 0 CURRENCYSHARES AUSTRALIAN DLR ETF 23129U101 290 2692 SH SOLE 2692 0 0 CURRENCYSHARES CDN DLR TR CDN ETF 23129X105 721 6991 SH SOLE 6991 0 0 CYTORI THERAPEUTICS INC COM COM 23283K105 1845 385101 SH SOLE 385101 0 0 DEAN FOODS CO NEW COM 242370104 1953 159169 SH SOLE 159169 0 0 DEERE CO COM 244199105 108913 1320958 SH SOLE 1320958 0 0 DELL INC COM COM 24702R101 4284 256959 SH SOLE 256959 0 0 DEVON ENERGY CORP NEW COM 25179M103 44337 562582 SH SOLE 562582 0 0 DIGITAL RLTY TR INC COM 253868103 1024 16578 SH SOLE 16578 0 0 DIRECTV COM CL A COM 25490A101 82377 1620959 SH SOLE 1620959 0 0 DIREXION SHS ETF TR 30YR BEAR ETF 25459W532 1922 50052 SH SOLE 50052 0 0 DOLE FOOD COMPANY INC COM USD COM 256603101 68394 5058748 SH SOLE 5058748 0 0 DOMINION RES INC VA NEW COM COM 25746U109 611 12666 SH SOLE 12666 0 0 DOW CHEMICAL CO COM 260543103 5687 157959 SH SOLE 157959 0 0 DU PONT E.I.DE NEMOURS COM 263534109 5872 108639 SH SOLE 108639 0 0 DUKE ENERGY CORP NEW COM COM 26441C105 6319 335585 SH SOLE 335585 0 0 E-TRACS UBS LONG PLATINUM ETN ETN 902641786 271 13478 SH SOLE 13478 0 0 EBAY INC COM COM 278642103 155569 4820859 SH SOLE 4820859 0 0 EMERSON ELEC CO COM 291011104 53500 951114 SH SOLE 951114 0 0 ENERGY RECOVERY INC COM COM 29270J100 38 11580 SH SOLE 11580 0 0 ESSEX PPTY TR INC COM COM 297178105 361 2671 SH SOLE 2671 0 0 EXXON MOBIL CORP COM COM 30231G102 209952 2579892 SH SOLE 2579892 0 0 FIFTH THIRD BANCORP COM 316773100 299 23465 SH SOLE 23465 0 0 FLUOR CORP NEW COM COM 343412102 50411 779631 SH SOLE 779631 0 0 FREEPORT MCMORAN CPR & GLD COM 35671D857 167287 3162320 SH SOLE 3162320 0 0 GAP INC DEL COM COM 364760108 41523 2294063 SH SOLE 2294063 0 0 GENERAL ELECTRIC CORPORATION COM 369604103 351 18628 SH SOLE 18628 0 0 General Motors Corporation COM 37045v100 4365 143785 SH SOLE 143785 0 0 GOLAR LNG LTD BERMUDA SHS COM G9456A100 4920 141018 SH SOLE 141018 0 0 GOLDCORP INC COM 380956409 72043 1492507 SH SOLE 1492507 0 0 GOODYEAR TIRE & RUBBER COMPA COM 382550101 4367 260413 SH SOLE 260413 0 0 HANSEN MEDICAL INC COM COM 411307101 240 70422 SH SOLE 70422 0 0 HAWAIIAN HOLDINGS INC COM COM 419879101 1593 279504 SH SOLE 279504 0 0 HECLA MNG CO COM COM 422704106 284 36895 SH SOLE 36895 0 0 HEINZ H J CO PV 25CT COM 423074103 3931 73788 SH SOLE 73788 0 0 HESS CORP COM COM 42809H107 80631 1078526 SH SOLE 1078526 0 0 HSBC HLDG PLC SP ADR ADR 404280406 2399 48353 SH SOLE 48353 0 0 HUGOTON RTY TR TEX UNIT BEN I UNIT 444717102 1823 80179 SH SOLE 80179 0 0 HUMAN GENOME SCIENCES INC COM COM 444903108 54393 2216508 SH SOLE 2216508 0 0 INDIA FD INC COM ETF 454089103 7546 249031 SH SOLE 249031 0 0 INGERSOLL-RAND PLC SHS COM G47791101 304 6700 SH SOLE 6700 0 0 INTEL CORP COM 458140100 100675 4543114 SH SOLE 4543114 0 0 INTERCONTINENTAL HTLS GRP PLC ADR 45857P301 4967 240277 SH SOLE 240277 0 0 INTL BUSINESS MACHINES COM 459200101 224141 1306562 SH SOLE 1306562 0 0 Iridium Communications Inc. COM 46269c102 41883 4841995 SH SOLE 4841995 0 0 ISHARES SILVER TRUST ISHARES ETF 46428Q109 123028 3635572 SH SOLE 3635572 0 0 ITAU UNIBANCO BANCO HOLD ADR 465562106 3124 132663 SH SOLE 132663 0 0 IVANHOE ENERGY INC COM COM 465790103 118 61978 SH SOLE 61978 0 0 JOHNSON & JOHNSON COM COM 478160104 49772 748226 SH SOLE 748226 0 0 JPMORGAN CHASE & CO COM 46625H100 5006 122280 SH SOLE 122280 0 0 KINETIC CONCEPTS INC COMMON COM 49460W208 6480 112433 SH SOLE 112433 0 0 KINROSS GOLD CORP COM NO PAR COM 496902404 39948 2528379 SH SOLE 2528379 0 0 KOREA ELECTRIC PWR SPONSORED ADR 500631106 2319 174785 SH SOLE 174785 0 0 KRAFT FOODS INC VA CL A COM 50075N104 9758 276966 SH SOLE 276966 0 0 LAS VEGAS SANDS CORP COM COM 517834107 96848 2294421 SH SOLE 2294421 0 0 LENNAR CORP CL A COM 526057104 66676 3673626 SH SOLE 3673626 0 0 MARKET VECTORS ETF TR GOLD MI ETF 57060U100 14391 263615 SH SOLE 263615 0 0 MARVELL TECHNOLOGY GROUP COM g5876h105 70823 4796673 SH SOLE 4796673 0 0 MCDONALDS CORP COM COM 580135101 172292 2043308 SH SOLE 2043308 0 0 MCMORAN EXPLORATION CO COM COM 582411104 81636 4417548 SH SOLE 4417548 0 0 MDC HOLDINGS INC COM 552676108 2396 97253 SH SOLE 97253 0 0 MEDTRONIC INC COM COM 585055106 53772 1395579 SH SOLE 1395579 0 0 MELCO CROWN ENTRTNMT LTD ADR 585464100 2716 212686 SH SOLE 212686 0 0 MEMC ELECTR MATLS INC COM COM 552715104 1670 195750 SH SOLE 195750 0 0 Merck & Co Inc COM 58933Y105 54231 1536713 SH SOLE 1536713 0 0 MESABI TR CTF BEN INT UNIT 590672101 300 8971 SH SOLE 8971 0 0 MGM MIRAGE COM COM 552953101 72328 5475266 SH SOLE 5475266 0 0 MITSUBISHI UFJ FINL GROUP INC ADR 606822104 3263 675639 SH SOLE 675639 0 0 MOSAIC CO COM COM 61945C103 89995 1328736 SH SOLE 1328736 0 0 NATURAL RESOURCE PARTNERS L P UNIT 63900P103 580 17472 SH SOLE 17472 0 0 NEWMONT MINING CORP 3.000% Du NOTE 651639AK2 1196 976000 PRN SOLE 976000 0 0 NEWMONT MINING CORP COM COM 651639106 177120 3281826 SH SOLE 3281826 0 0 NOBLE ENERGY INC COM COM 655044105 109813 1225180 SH SOLE 1225180 0 0 NOMURA HLDGS INC SPONSORED AD ADR 65535H208 1813 367677 SH SOLE 367677 0 0 NOVAGOLD RES INC 5.500% Due 0 NOTE 66987EAA5 1131 932000 PRN SOLE 932000 0 0 NOVAGOLD RES INC COM NEW COM 66987E206 147015 15979839 SH SOLE 15979839 0 0 NOVARTIS ADR ADR 66987V109 3318 54302 SH SOLE 54302 0 0 NOVELLUS SYS INC COM COM 670008101 35175 973312 SH SOLE 973312 0 0 NUCOR CORPORATION COM 670346105 2382 57796 SH SOLE 57796 0 0 NUSTAR GP HOLDINGS LLC UNIT R UNIT 67059L102 1003 27856 SH SOLE 27856 0 0 NV ENERGY INC COM COM 67073Y106 3959 257883 SH SOLE 257883 0 0 OPKO HEALTH INC COM COM 68375N103 18710 5070458 SH SOLE 5070458 0 0 ORIENT-EXPRESS HOTELS LTD CL COM G67743107 3174 295243 SH SOLE 295243 0 0 OVERSEAS SHIPHOLDING GROUP COM 690368105 4421 164114 SH SOLE 164114 0 0 PEABODY ENERGY CORP COM COM 704549104 6348 107764 SH SOLE 107764 0 0 PETRLEO BRAS VTG SPD ADR ADR 71654V408 7067 208726 SH SOLE 208726 0 0 PETROCHINA CO LTD SP ADR ADR 71646E100 2125 14549 SH SOLE 14549 0 0 Pharmacyclics Inc. COM 716933106 147 14090 SH SOLE 14090 0 0 PLUM CREEK TIMBER CO INC COM 729251108 3678 90716 SH SOLE 90716 0 0 POTASH CORP SASK INC COM COM 73755L107 224 3935 SH SOLE 3935 0 0 POWERSHS DB MULTI SECT COMM T ETF 73936B408 43020 1355402 SH SOLE 1355402 0 0 PROCTER & GAMBLE CO COM 742718109 42322 665755 SH SOLE 665755 0 0 PROSHARES TR II ULTRASHORT YE ETF 74347W858 733 48469 SH SOLE 48469 0 0 PROSHARES TR II ULTRASHRT EUR ETF 74347W882 706 42145 SH SOLE 42145 0 0 PUBLIC STORAGE COM COM 74460D109 963 8450 SH SOLE 8450 0 0 ROYAL DUTCH SHELL PLC SPONS ADR 780259206 1067 15000 SH SOLE 15000 0 0 SAIC INC COM COM 78390X101 49858 2964232 SH SOLE 2964232 0 0 SANOFI AVENTIS SPONSORED ADR ADR 80105N105 5470 136168 SH SOLE 136168 0 0 SARA LEE CORP COM COM 803111103 4899 257988 SH SOLE 257988 0 0 SCHLUMBERGER LTD COM COM 806857108 663 7669 SH SOLE 7669 0 0 SHARPS COMPLIANCE CORP COM 820017101 43 10200 SH SOLE 10200 0 0 SILVER WHEATON CORP COM 828336107 35475 1075009 SH SOLE 1075009 0 0 SIRIUS XM RADIO INC COM COM 82967N108 44 19895 SH SOLE 19895 0 0 SJW CORP COM COM 784305104 5316 219318 SH SOLE 219318 0 0 SOUTHERN CO COM COM 842587107 5025 124452 SH SOLE 124452 0 0 SPDR GOLD TRUST ETF 78463v107 99082 678639 SH SOLE 678639 0 0 STARWOOD HOTELS & RESORTS WOR COM 85590A401 272 4860 SH SOLE 4860 0 0 Starwood Property Trust Inc. COM 85571B105 781 38086 SH SOLE 38086 0 0 SUNCOR ENERGY INC COM COM 867224107 106883 2733590 SH SOLE 2733590 0 0 SUNPOWER CORP COM CL A COM 867652109 102797 5317981 SH SOLE 5317981 0 0 SUNTECH PWR HLDGS CO LTD ADR ADR 86800C104 1653 210081 SH SOLE 210081 0 0 TEJON RANCH CO DEL COM COM 879080109 65523 1992621 SH SOLE 1992621 0 0 TEVA PHARMACTCL INDS ADR ADR 881624209 2768 57405 SH SOLE 57405 0 0 THUNDERBIRD ENERGY CORP COM COM 886055102 8 70000 SH SOLE 70000 0 0 TITANIUM METALS CORP COM NEW COM 888339207 6100 332952 SH SOLE 332952 0 0 UDR INC COM COM 902653104 6049 246379 SH SOLE 246379 0 0 UNION PACIFIC CORP COM 907818108 5916 56671 SH SOLE 56671 0 0 UNITED CONTINENTAL HOLDINGS COM 910047109 45520 2011499 SH SOLE 2011499 0 0 UNITED STATES OIL FUND LP UNI UNIT 91232N108 589 15825 SH SOLE 15825 0 0 UNITED STATES STL CORP NEW 4. NOTE 912909AE8 875 551000 PRN SOLE 551000 0 0 UNITED STS STL CORP NEW COM 912909108 12489 271258 SH SOLE 271258 0 0 VALE SA ADR 91912E105 1823 57072 SH SOLE 57072 0 0 VALENCE TECHNOLOGY INC COM COM 918914102 22 18300 SH SOLE 18300 0 0 VALERO ENERGY CORP NEW COM COM 91913Y100 225 8785 SH SOLE 8785 0 0 VERIZON COMMUNICATNS COM COM 92343V104 615 16522 SH SOLE 16522 0 0 WAL-MART STORES INC COM 931142103 106899 2011643 SH SOLE 2011643 0 0 WEYERHAEUSER CO COM COM 962166104 371 16993 SH SOLE 16993 0 0 WILLIAMS SONOMA INC COM COM 969904101 365 10000 SH SOLE 10000 0 0 WISDOMTREE TRUST BRAZILN RL E ETF 97717W240 446 15263 SH SOLE 15263 0 0 WISDOMTREE TRUST CHINESE YUAN ETF 97717W182 1757 69115 SH SOLE 69115 0 0 WISDOMTREE TRUST INDIAN RUP E ETF 97717W166 771 28095 SH SOLE 28095 0 0 WYNN RESORTS LTD COM COM 983134107 57650 401629 SH SOLE 401629 0 0