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Form 13F-HR ALETHEA CAPITAL MANAGEME For: Dec 31

February 14, 2022 3:02 PM EST

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The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE

OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8

Report for the Calendar Year or Quarter Ended: 12-31-2021
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: ALETHEA CAPITAL MANAGEMENT, LLC
Address: 8910 UNIVERSITY CENTER LN
STE 400
SAN DIEGO , CA92122-1025
Form 13F File Number: 028-16431

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: Kasie Cole
Title: Executive Assistant
Phone: 858-926-2058
Signature, Place, and Date of Signing:
Kasie Cole NEWCASTLE , WA 02-14-2022
[Signature] [City, State] [Date]
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).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 108
Form 13F Information Table Value Total: 117,831
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name

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.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
3M CO COM 88579Y101 516 2,903 SH SOLE 0 2,903 0 0
ALEXANDRIA REAL ESTATE EQ IN COM 015271109 516 2,314 SH SOLE 0 2,314 0 0
ALPHABET INC CAP STK CL C 02079K107 1,071 370 SH SOLE 0 370 0 0
AMGEN INC COM 031162100 540 2,400 SH SOLE 0 2,400 0 0
APPLE INC COM 037833100 675 3,800 SH SOLE 0 3,800 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 21,144 889,537 SH SOLE 0 889,537 0 0
AXSOME THERAPEUTICS INC COM 05464T104 42,462 1,123,929 SH SOLE 0 1,123,929 0 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 404 1,350 SH SOLE 0 1,350 0 0
BK OF AMERICA CORP COM 060505104 690 15,500 SH SOLE 0 15,500 0 0
BLACKROCK INC COM 09247X101 568 620 SH SOLE 0 620 0 0
BLACKROCK LTD DURATION INCOM COM SHS 09249W101 180 10,666 SH SOLE 0 10,666 0 0
BLACKSTONE INC COM 09260D107 595 4,600 SH SOLE 0 4,600 0 0
CIDARA THERAPEUTICS INC COM 171757107 2,460 1,937,044 SH SOLE 0 1,937,044 0 0
COCA COLA CO COM 191216100 385 6,500 SH SOLE 0 6,500 0 0
CUMMINS INC COM 231021106 327 1,500 SH SOLE 0 1,500 0 0
CVS HEALTH CORP COM 126650100 340 3,300 SH SOLE 0 3,300 0 0
DISNEY WALT CO COM 254687106 511 3,301 SH SOLE 0 3,301 0 0
DOVER CORP COM 260003108 522 2,873 SH SOLE 0 2,873 0 0
DOW INC COM 260557103 301 5,300 SH SOLE 0 5,300 0 0
DUKE ENERGY CORP NEW COM NEW 26441C204 577 5,500 SH SOLE 0 5,500 0 0
EATON CORP PLC SHS G29183103 518 3,000 SH SOLE 0 3,000 0 0
EATON VANCE CALIF MUN BD FD COM 27828A100 158 13,579 SH SOLE 0 13,579 0 0
EVERGY INC COM 30034W106 495 7,219 SH SOLE 0 7,219 0 0
EXTRA SPACE STORAGE INC COM 30225T102 604 2,663 SH SOLE 0 2,663 0 0
EXXON MOBIL CORP COM 30231G102 428 7,000 SH SOLE 0 7,000 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 1,600 SH SOLE 0 1,600 0 0
HONEYWELL INTL INC COM 438516106 543 2,602 SH SOLE 0 2,602 0 0
ILLINOIS TOOL WKS INC COM 452308109 547 2,215 SH SOLE 0 2,215 0 0
INTEL CORP COM 458140100 309 6,000 SH SOLE 0 6,000 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 200 1,500 SH SOLE 0 1,500 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 8,588 57,954 SH SOLE 0 57,954 0 0
JPMORGAN CHASE & CO COM 46625H100 515 3,250 SH SOLE 0 3,250 0 0
KIMBERLY-CLARK CORP COM 494368103 457 3,200 SH SOLE 0 3,200 0 0
KROGER CO COM 501044101 517 11,428 SH SOLE 0 11,428 0 0
KURA ONCOLOGY INC COM 50127T109 1,201 85,800 SH SOLE 0 85,800 0 0
MEDTRONIC PLC SHS G5960L103 362 3,500 SH SOLE 0 3,500 0 0
MERCK & CO INC COM 58933Y105 307 4,000 SH SOLE 0 4,000 0 0
MICROSOFT CORP COM 594918104 673 2,000 SH SOLE 0 2,000 0 0
MID-AMER APT CMNTYS INC COM 59522J103 639 2,786 SH SOLE 0 2,786 0 0
MODERNA INC COM 60770K107 334 1,317 SH SOLE 0 1,317 0 0
MORGAN STANLEY COM NEW 617446448 528 5,381 SH SOLE 0 5,381 0 0
NATIONAL FUEL GAS CO COM 636180101 288 4,500 SH SOLE 0 4,500 0 0
NUCOR CORP COM 670346105 433 3,795 SH SOLE 0 3,795 0 0
NVIDIA CORPORATION COM 67066G104 735 2,500 SH SOLE 0 2,500 0 0
NVIDIA CORPORATION COM 67066G104 126 500 SH Put SOLE 0 500 0 0
OPEN LENDING CORP COM CL A 68373J104 270 12,000 SH SOLE 0 12,000 0 0
PAYCHEX INC COM 704326107 537 3,936 SH SOLE 0 3,936 0 0
PELOTON INTERACTIVE INC CL A COM 70614W100 227 6,345 SH SOLE 0 6,345 0 0
PEPSICO INC COM 713448108 521 3,000 SH SOLE 0 3,000 0 0
PERKINELMER INC COM 714046109 526 2,616 SH SOLE 0 2,616 0 0
PFIZER INC COM 717081103 325 5,500 SH SOLE 0 5,500 0 0
PROCTER AND GAMBLE CO COM 742718109 695 4,250 SH SOLE 0 4,250 0 0
QUALCOMM INC COM 747525103 293 1,600 SH SOLE 0 1,600 0 0
RA MED SYS INC COM 74933X203 19 12,320 SH SOLE 0 12,320 0 0
REGENERON PHARMACEUTICALS COM 75886F107 496 785 SH SOLE 0 785 0 0
RESMED INC COM 761152107 449 1,722 SH SOLE 0 1,722 0 0
ROBINHOOD MKTS INC COM CL A 770700102 510 28,715 SH SOLE 0 28,715 0 0
ROCKWELL AUTOMATION INC COM 773903109 533 1,528 SH SOLE 0 1,528 0 0
SBA COMMUNICATIONS CORP NEW CL A 78410G104 525 1,349 SH SOLE 0 1,349 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 3,500 SH SOLE 0 3,500 0 0
SPDR GOLD TR GOLD SHS 78463V107 188 1,100 SH SOLE 0 1,100 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 9,082 99,334 SH SOLE 0 99,334 0 0
SPECTRUM PHARMACEUTICALS INC COM 84763A108 1,495 1,177,115 SH SOLE 0 1,177,115 0 0
SYSCO CORP COM 871829107 275 3,500 SH SOLE 0 3,500 0 0
TWITTER INC COM 90184L102 205 4,750 SH SOLE 0 4,750 0 0
WASTE MGMT INC DEL COM 94106L109 559 3,350 SH SOLE 0 3,350 0 0
WATERS CORP COM 941848103 472 1,266 SH SOLE 0 1,266 0 0
WISDOMTREE TR EUROPE HEDGED EQ 97717X701 321 4,010 SH SOLE 0 4,010 0 0
ZOETIS INC CL A 98978V103 562 2,302 SH SOLE 0 2,302 0 0


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