0001549408-22-000002.txt : 20220214 0001549408-22-000002.hdr.sgml : 20220214 20220214150211 ACCESSION NUMBER: 0001549408-22-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220214 DATE AS OF CHANGE: 20220214 EFFECTIVENESS DATE: 20220214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALETHEA CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001549408 IRS NUMBER: 275349670 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16431 FILM NUMBER: 22630102 BUSINESS ADDRESS: STREET 1: 8910 UNIVERSITY CENTER LN STREET 2: STE 400 CITY: SAN DIEGO STATE: CA ZIP: 92122-1025 BUSINESS PHONE: 858-926-2058 MAIL ADDRESS: STREET 1: 8910 UNIVERSITY CENTER LN STREET 2: STE 400 CITY: SAN DIEGO STATE: CA ZIP: 92122-1025 FORMER COMPANY: FORMER CONFORMED NAME: Alethea Capital Management, LLC DATE OF NAME CHANGE: 20120507 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001549408 XXXXXXXX 12-31-2021 12-31-2021 ALETHEA CAPITAL MANAGEMENT, LLC
8910 UNIVERSITY CENTER LN STE 400 SAN DIEGO CA 92122-1025
13F HOLDINGS REPORT 028-16431 N
Kasie Cole Executive Assistant 858-926-2058 Kasie Cole NEWCASTLE WA 02-14-2022 0 108 117831 false
INFORMATION TABLE 2 21Q4_13f_XML_Report.xml 21Q4 13F 3M CO COM 88579Y101 516 2903 SH SOLE 0 2903 0 0 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 516 2314 SH SOLE 0 2314 0 0 ALPHABET INC CAP STK CL C 02079K107 1071 370 SH SOLE 0 370 0 0 AMGEN INC COM 031162100 540 2400 SH SOLE 0 2400 0 0 APPLE INC COM 037833100 675 3800 SH SOLE 0 3800 0 0 APPLE INC COM 037833100 105 600 SH Call SOLE 0 600 0 0 APPLE INC COM 037833100 105 600 SH Put SOLE 0 600 0 0 AVIDITY BIOSCIENCES INC COM 05370A108 21144 889537 SH SOLE 0 889537 0 0 AXSOME THERAPEUTICS INC COM 05464T104 42462 1123929 SH SOLE 0 1123929 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 404 1350 SH SOLE 0 1350 0 0 BK OF AMERICA CORP COM 060505104 690 15500 SH SOLE 0 15500 0 0 BLACKROCK INC COM 09247X101 568 620 SH SOLE 0 620 0 0 BLACKROCK LTD DURATION INCOM COM SHS 09249W101 180 10666 SH SOLE 0 10666 0 0 BLACKSTONE INC COM 09260D107 595 4600 SH SOLE 0 4600 0 0 CIDARA THERAPEUTICS INC COM 171757107 2460 1937044 SH SOLE 0 1937044 0 0 COCA COLA CO COM 191216100 385 6500 SH SOLE 0 6500 0 0 CUMMINS INC COM 231021106 327 1500 SH SOLE 0 1500 0 0 CVS HEALTH CORP COM 126650100 340 3300 SH SOLE 0 3300 0 0 DISNEY WALT CO COM 254687106 511 3301 SH SOLE 0 3301 0 0 DOVER CORP COM 260003108 522 2873 SH SOLE 0 2873 0 0 DOW INC COM 260557103 301 5300 SH SOLE 0 5300 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 577 5500 SH SOLE 0 5500 0 0 EATON CORP PLC SHS G29183103 518 3000 SH SOLE 0 3000 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 158 13579 SH SOLE 0 13579 0 0 EVERGY INC COM 30034W106 495 7219 SH SOLE 0 7219 0 0 EXTRA SPACE STORAGE INC COM 30225T102 604 2663 SH SOLE 0 2663 0 0 EXXON MOBIL CORP COM 30231G102 428 7000 SH SOLE 0 7000 0 0 EXXON MOBIL CORP COM 30231G102 48 600 SH Call SOLE 0 600 0 0 EXXON MOBIL CORP COM 30231G102 48 600 SH Put SOLE 0 600 0 0 HOME DEPOT INC COM 437076102 664 1600 SH SOLE 0 1600 0 0 HONEYWELL INTL INC COM 438516106 543 2602 SH SOLE 0 2602 0 0 ILLINOIS TOOL WKS INC COM 452308109 547 2215 SH SOLE 0 2215 0 0 INTEL CORP COM 458140100 309 6000 SH SOLE 0 6000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 200 1500 SH SOLE 0 1500 0 0 INTUIT COM 461202103 536 834 SH SOLE 0 834 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 72 200 SH Put SOLE 0 200 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 72 200 SH Call SOLE 0 200 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 72 200 SH Put SOLE 0 200 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 72 200 SH Call SOLE 0 200 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 72 200 SH Call SOLE 0 200 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 72 200 SH Call SOLE 0 200 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 72 200 SH Put SOLE 0 200 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 72 200 SH Put SOLE 0 200 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 41 200 SH Put SOLE 0 200 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 41 200 SH Put SOLE 0 200 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 20 100 SH Call SOLE 0 100 0 0 ISHARES TR 20 YR TR BD ETF 464287432 55 400 SH Call SOLE 0 400 0 0 ISHARES TR 20 YR TR BD ETF 464287432 55 400 SH Put SOLE 0 400 0 0 ISHARES TR 20 YR TR BD ETF 464287432 55 400 SH Call SOLE 0 400 0 0 ISHARES TR 20 YR TR BD ETF 464287432 55 400 SH Put SOLE 0 400 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 20 100 SH Put SOLE 0 100 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 41 200 SH Call SOLE 0 200 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 20 100 SH Call SOLE 0 100 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 41 200 SH Call SOLE 0 200 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 20 100 SH Put SOLE 0 100 0 0 ISHARES TR 20 YR TR BD ETF 464287432 8588 57954 SH SOLE 0 57954 0 0 JPMORGAN CHASE & CO COM 46625H100 515 3250 SH SOLE 0 3250 0 0 KIMBERLY-CLARK CORP COM 494368103 457 3200 SH SOLE 0 3200 0 0 KROGER CO COM 501044101 517 11428 SH SOLE 0 11428 0 0 KURA ONCOLOGY INC COM 50127T109 1201 85800 SH SOLE 0 85800 0 0 MEDTRONIC PLC SHS G5960L103 362 3500 SH SOLE 0 3500 0 0 MERCK & CO INC COM 58933Y105 307 4000 SH SOLE 0 4000 0 0 MICROSOFT CORP COM 594918104 673 2000 SH SOLE 0 2000 0 0 MID-AMER APT CMNTYS INC COM 59522J103 639 2786 SH SOLE 0 2786 0 0 MODERNA INC COM 60770K107 334 1317 SH SOLE 0 1317 0 0 MORGAN STANLEY COM NEW 617446448 528 5381 SH SOLE 0 5381 0 0 NATIONAL FUEL GAS CO COM 636180101 288 4500 SH SOLE 0 4500 0 0 NUCOR CORP COM 670346105 433 3795 SH SOLE 0 3795 0 0 NVIDIA CORPORATION COM 67066G104 735 2500 SH SOLE 0 2500 0 0 NVIDIA CORPORATION COM 67066G104 126 500 SH Put SOLE 0 500 0 0 OPEN LENDING CORP COM CL A 68373J104 270 12000 SH SOLE 0 12000 0 0 PAYCHEX INC COM 704326107 537 3936 SH SOLE 0 3936 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 227 6345 SH SOLE 0 6345 0 0 PEPSICO INC COM 713448108 521 3000 SH SOLE 0 3000 0 0 PERKINELMER INC COM 714046109 526 2616 SH SOLE 0 2616 0 0 PFIZER INC COM 717081103 325 5500 SH SOLE 0 5500 0 0 PROCTER AND GAMBLE CO COM 742718109 695 4250 SH SOLE 0 4250 0 0 QUALCOMM INC COM 747525103 293 1600 SH SOLE 0 1600 0 0 RA MED SYS INC COM 74933X203 19 12320 SH SOLE 0 12320 0 0 REGENERON PHARMACEUTICALS COM 75886F107 496 785 SH SOLE 0 785 0 0 RESMED INC COM 761152107 449 1722 SH SOLE 0 1722 0 0 ROBINHOOD MKTS INC COM CL A 770700102 510 28715 SH SOLE 0 28715 0 0 ROCKWELL AUTOMATION INC COM 773903109 533 1528 SH SOLE 0 1528 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 525 1349 SH SOLE 0 1349 0 0 SHOPIFY INC CL A 82509L107 88 100 SH Call SOLE 0 100 0 0 SHOPIFY INC CL A 82509L107 176 200 SH Put SOLE 0 200 0 0 SL GREEN RLTY CORP COM 78440X804 251 3500 SH SOLE 0 3500 0 0 SPDR GOLD TR GOLD SHS 78463V107 188 1100 SH SOLE 0 1100 0 0 SPDR GOLD TR GOLD SHS 78463V107 68 400 SH Put SOLE 0 400 0 0 SPDR GOLD TR GOLD SHS 78463V107 68 400 SH Call SOLE 0 400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 135 300 SH Put SOLE 0 300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 135 300 SH Put SOLE 0 300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 180 400 SH Put SOLE 0 400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 90 200 SH Call SOLE 0 200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 90 200 SH Put SOLE 0 200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 90 200 SH Call SOLE 0 200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 135 300 SH Call SOLE 0 300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 90 200 SH Put SOLE 0 200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 135 300 SH Put SOLE 0 300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 180 400 SH Call SOLE 0 400 0 0 SPDR SER TR BLOOMBERG 1-3 MO 78468R663 9082 99334 SH SOLE 0 99334 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 1495 1177115 SH SOLE 0 1177115 0 0 SYSCO CORP COM 871829107 275 3500 SH SOLE 0 3500 0 0 TWITTER INC COM 90184L102 205 4750 SH SOLE 0 4750 0 0 WASTE MGMT INC DEL COM 94106L109 559 3350 SH SOLE 0 3350 0 0 WATERS CORP COM 941848103 472 1266 SH SOLE 0 1266 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 321 4010 SH SOLE 0 4010 0 0 ZOETIS INC CL A 98978V103 562 2302 SH SOLE 0 2302 0 0