Filed: 8/15/2023ACC: 0001549408-23-000004
📋 What this filing means
ALETHEA CAPITAL MANAGEMENT, LLC filed this quarterly 13F‑HR report disclosing 51 equity positions with a total reported market value of $93.51M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
51
Positions
$93.51M
Total AUM (reported)
4.73M
Total Shares
Allocation by class
COM$86.92M93.0%
20 YR TR BD ETF$2.40M2.6%
COM NEW$1.44M1.5%
BLOOMBERG 1-3 MO$918.2K1.0%
SHS$737.6K0.8%
CAP STK CL C$393.2K0.4%
CL B NEW$375.1K0.4%
Portfolio Concentration
Top 3$67.56M72.2%
4–10$8.49M9.1%
11–25$8.65M9.2%
Rest$8.81M9.4%
Top 3 weight
72.2%
Top 10 weight
81.3%
Voting Authority Distribution
Total shares with voting rights: 4.73M
Sole
Full voting authority
4.73M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole51
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings51
Rows:
AXSOME THERAPEUTICS INC
SOLEShares759.94K
TypeSH
Market value$54.61M
58.40%
Sole
759.94K
Shared
0.00
None
0.00
AVIDITY BIOSCIENCES INC
SOLEShares849.65K
TypeSH
Market value$9.42M
10.08%
Sole
849.65K
Shared
0.00
None
0.00
KURA ONCOLOGY INC
SOLEShares333.44K
TypeSH
Market value$3.53M
3.77%
Sole
333.44K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares23.28K
TypeSH
Market value$2.40M
2.56%
Sole
23.28K
Shared
0.00
None
0.00
CIDARA THERAPEUTICS INC
SOLEShares1.63M
TypeSH
Market value$1.84M
1.97%
Sole
1.63M
Shared
0.00
None
0.00
MERCK & CO INC
SOLEShares8.31K
TypeSH
Market value$959.1K
1.03%
Sole
8.31K
Shared
0.00
None
0.00
SPDR SER TR
SOLEShares10K
TypeSH
Market value$918.2K
0.98%
Sole
10K
Shared
0.00
None
0.00
DOW INC
SOLEShares15.61K
TypeSH
Market value$831.2K
0.89%
Sole
15.61K
Shared
0.00
None
0.00
DUKE ENERGY CORP NEW
SOLEShares8.86K
TypeSH
Market value$794.7K
0.85%
Sole
8.86K
Shared
0.00
None
0.00
CVS HEALTH CORP
SOLEShares10.90K
TypeSH
Market value$753.8K
0.81%
Sole
10.90K
Shared
0.00
None
0.00
PFIZER INC
SOLEShares20.35K
TypeSH
Market value$746.4K
0.80%
Sole
20.35K
Shared
0.00
None
0.00
SPECTRUM PHARMACEUTICALS INC
SOLEShares750.47K
TypeSH
Market value$720.4K
0.77%
Sole
750.47K
Shared
0.00
None
0.00
AMERICAN INTL GROUP INC
SOLEShares11.22K
TypeSH
Market value$645.5K
0.69%
Sole
11.22K
Shared
0.00
None
0.00
VENTAS INC
SOLEShares13.04K
TypeSH
Market value$616.2K
0.66%
Sole
13.04K
Shared
0.00
None
0.00
EXELON CORP
SOLEShares14.99K
TypeSH
Market value$610.6K
0.65%
Sole
14.99K
Shared
0.00
None
0.00
NORFOLK SOUTHN CORP
SOLEShares2.67K
TypeSH
Market value$604.5K
0.65%
Sole
2.67K
Shared
0.00
None
0.00
BEST BUY INC
SOLEShares7.22K
TypeSH
Market value$591.6K
0.63%
Sole
7.22K
Shared
0.00
None
0.00
HORMEL FOODS CORP
SOLEShares14.17K
TypeSH
Market value$569.9K
0.61%
Sole
14.17K
Shared
0.00
None
0.00
ONEOK INC NEW
SOLEShares8.89K
TypeSH
Market value$548.9K
0.59%
Sole
8.89K
Shared
0.00
None
0.00
KRAFT HEINZ CO
SOLEShares14.61K
TypeSH
Market value$518.7K
0.55%
Sole
14.61K
Shared
0.00
None
0.00
HEALTHPEAK PROPERTIES INC
SOLEShares25.72K
TypeSH
Market value$517.0K
0.55%
Sole
25.72K
Shared
0.00
None
0.00
ALEXANDRIA REAL ESTATE EQ IN
SOLEShares4.50K
TypeSH
Market value$510.8K
0.55%
Sole
4.50K
Shared
0.00
None
0.00
ZIONS BANCORPORATION N A
SOLEShares18.88K
TypeSH
Market value$507.1K
0.54%
Sole
18.88K
Shared
0.00
None
0.00
CITIZENS FINL GROUP INC
SOLEShares18.61K
TypeSH
Market value$485.2K
0.52%
Sole
18.61K
Shared
0.00
None
0.00
APPLE INC
SOLEShares2.35K
TypeSH
Market value$456.0K
0.49%
Sole
2.35K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
AXSOME THERAPEUTICS INCSOLE | COM | 759.94K | SH | $54.61M 58.40% | 759.94K | 0.00 | 0.00 |
AVIDITY BIOSCIENCES INCSOLE | COM | 849.65K | SH | $9.42M 10.08% | 849.65K | 0.00 | 0.00 |
KURA ONCOLOGY INCSOLE | COM | 333.44K | SH | $3.53M 3.77% | 333.44K | 0.00 | 0.00 |
ISHARES TRSOLE | 20 YR TR BD ETF | 23.28K | SH | $2.40M 2.56% | 23.28K | 0.00 | 0.00 |
CIDARA THERAPEUTICS INCSOLE | COM | 1.63M | SH | $1.84M 1.97% | 1.63M | 0.00 | 0.00 |
MERCK & CO INCSOLE | COM | 8.31K | SH | $959.1K 1.03% | 8.31K | 0.00 | 0.00 |
SPDR SER TRSOLE | BLOOMBERG 1-3 MO | 10K | SH | $918.2K 0.98% | 10K | 0.00 | 0.00 |
DOW INCSOLE | COM | 15.61K | SH | $831.2K 0.89% | 15.61K | 0.00 | 0.00 |
DUKE ENERGY CORP NEWSOLE | COM NEW | 8.86K | SH | $794.7K 0.85% | 8.86K | 0.00 | 0.00 |
CVS HEALTH CORPSOLE | COM | 10.90K | SH | $753.8K 0.81% | 10.90K | 0.00 | 0.00 |
PFIZER INCSOLE | COM | 20.35K | SH | $746.4K 0.80% | 20.35K | 0.00 | 0.00 |
SPECTRUM PHARMACEUTICALS INCSOLE | COM | 750.47K | SH | $720.4K 0.77% | 750.47K | 0.00 | 0.00 |
AMERICAN INTL GROUP INCSOLE | COM NEW | 11.22K | SH | $645.5K 0.69% | 11.22K | 0.00 | 0.00 |
VENTAS INCSOLE | COM | 13.04K | SH | $616.2K 0.66% | 13.04K | 0.00 | 0.00 |
EXELON CORPSOLE | COM | 14.99K | SH | $610.6K 0.65% | 14.99K | 0.00 | 0.00 |
NORFOLK SOUTHN CORPSOLE | COM | 2.67K | SH | $604.5K 0.65% | 2.67K | 0.00 | 0.00 |
BEST BUY INCSOLE | COM | 7.22K | SH | $591.6K 0.63% | 7.22K | 0.00 | 0.00 |
HORMEL FOODS CORPSOLE | COM | 14.17K | SH | $569.9K 0.61% | 14.17K | 0.00 | 0.00 |
ONEOK INC NEWSOLE | COM | 8.89K | SH | $548.9K 0.59% | 8.89K | 0.00 | 0.00 |
KRAFT HEINZ COSOLE | COM | 14.61K | SH | $518.7K 0.55% | 14.61K | 0.00 | 0.00 |
HEALTHPEAK PROPERTIES INCSOLE | COM | 25.72K | SH | $517.0K 0.55% | 25.72K | 0.00 | 0.00 |
ALEXANDRIA REAL ESTATE EQ INSOLE | COM | 4.50K | SH | $510.8K 0.55% | 4.50K | 0.00 | 0.00 |
ZIONS BANCORPORATION N ASOLE | COM | 18.88K | SH | $507.1K 0.54% | 18.88K | 0.00 | 0.00 |
CITIZENS FINL GROUP INCSOLE | COM | 18.61K | SH | $485.2K 0.52% | 18.61K | 0.00 | 0.00 |
APPLE INCSOLE | COM | 2.35K | SH | $456.0K 0.49% | 2.35K | 0.00 | 0.00 |
Page 1 of 3