13F HOLDINGS REPORT
ALETHEA CAPITAL MANAGEMENT, LLC
Quarter ended Q3 2023 · Filed August 15, 2023 · Accession 0001549408-23-000004
Total Value
$93.5M
Positions
51
Other Managers
0
Confidential Omitted
No
Holdings (51)
| # | Issuer | Ticker / CUSIP | Shares | Value | % of Filing |
|---|---|---|---|---|---|
| 1 | AXSOME THERAPEUTICS INC | AXSM | 759,944 | $54.6M | 58.40% |
| 2 | AVIDITY BIOSCIENCES INC | 05370A108 | 849,651 | $9.4M | 10.08% |
| 3 | KURA ONCOLOGY INC | KURA | 333,445 | $3.5M | 3.77% |
| 4 | ISHARES TR | 464287432 | 23,278 | $2.4M | 2.56% |
| 5 | CIDARA THERAPEUTICS INC | 171757107 | 1,627,670 | $1.8M | 1.97% |
| 6 | MERCK & CO INC | MRK | 8,312 | $959,122 | 1.03% |
| 7 | SPDR SER TR | 78468R663 | 10,000 | $918,200 | 0.98% |
| 8 | DOW INC | DOW | 15,607 | $831,229 | 0.89% |
| 9 | DUKE ENERGY CORP NEW | DUKB | 8,856 | $794,737 | 0.85% |
| 10 | CVS HEALTH CORP | CVS | 10,904 | $753,794 | 0.81% |
| 11 | PFIZER INC | PFE | 20,349 | $746,401 | 0.80% |
| 12 | SPECTRUM PHARMACEUTICALS INC | 84763A108 | 750,465 | $720,446 | 0.77% |
| 13 | AMERICAN INTL GROUP INC | 026874784 | 11,219 | $645,541 | 0.69% |
| 14 | VENTAS INC | VTR | 13,035 | $616,164 | 0.66% |
| 15 | EXELON CORP | EXC | 14,988 | $610,611 | 0.65% |
| 16 | NORFOLK SOUTHN CORP | 655844108 | 2,666 | $604,542 | 0.65% |
| 17 | BEST BUY INC | BBY | 7,219 | $591,597 | 0.63% |
| 18 | HORMEL FOODS CORP | HRL | 14,170 | $569,917 | 0.61% |
| 19 | ONEOK INC NEW | OKE | 8,893 | $548,876 | 0.59% |
| 20 | KRAFT HEINZ CO | KHC | 14,612 | $518,726 | 0.55% |
| 21 | HEALTHPEAK PROPERTIES INC | DOC | 25,722 | $517,012 | 0.55% |
| 22 | ALEXANDRIA REAL ESTATE EQ IN | 015271109 | 4,501 | $510,818 | 0.55% |
| 23 | ZIONS BANCORPORATION N A | 989701107 | 18,880 | $507,117 | 0.54% |
| 24 | CITIZENS FINL GROUP INC | CIA | 18,606 | $485,244 | 0.52% |
| 25 | APPLE INC | AAPL | 2,351 | $455,974 | 0.49% |
| 26 | JPMORGAN CHASE & CO | VYLD | 3,000 | $436,320 | 0.47% |
| 27 | STATE STR CORP | STT-PG | 5,881 | $430,372 | 0.46% |
| 28 | EXXON MOBIL CORP | XOM | 4,000 | $429,000 | 0.46% |
| 29 | NEWELL BRANDS INC | NWL | 45,425 | $395,198 | 0.42% |
| 30 | ALPHABET INC | GOOG | 3,250 | $393,153 | 0.42% |
| 31 | HONEYWELL INTL INC | 438516106 | 1,860 | $386,051 | 0.41% |
| 32 | WASTE MGMT INC DEL | 94106L109 | 2,200 | $381,524 | 0.41% |
| 33 | KIMBERLY-CLARK CORP | KMB | 2,750 | $379,665 | 0.41% |
| 34 | BERKSHIRE HATHAWAY INC DEL | BRK-A | 1,100 | $375,100 | 0.40% |
| 35 | EATON CORP PLC | ETN | 1,850 | $372,035 | 0.40% |
| 36 | CUMMINS INC | CMI | 1,500 | $367,740 | 0.39% |
| 37 | MICROSOFT CORP | MSFT | 1,075 | $366,081 | 0.39% |
| 38 | MEDTRONIC PLC | MDT | 4,150 | $365,615 | 0.39% |
| 39 | HOME DEPOT INC | HD | 1,150 | $357,236 | 0.38% |
| 40 | PROCTER AND GAMBLE CO | 742718109 | 2,200 | $333,828 | 0.36% |
| 41 | PEPSICO INC | PEP | 1,800 | $333,396 | 0.36% |
| 42 | ILLINOIS TOOL WKS INC | 452308109 | 1,325 | $331,462 | 0.35% |
| 43 | WISDOMTREE TR | WT | 4,010 | $328,299 | 0.35% |
| 44 | GEN DIGITAL INC | GENVR | 17,454 | $323,772 | 0.35% |
| 45 | COCA COLA CO | KO | 5,350 | $322,177 | 0.34% |
| 46 | BANK AMERICA CORP | 060505104 | 10,600 | $304,120 | 0.33% |
| 47 | BLACKROCK INC | BLK | 425 | $293,735 | 0.31% |
| 48 | INTEL CORP | INTC | 8,550 | $285,912 | 0.31% |
| 49 | RAYTHEON TECHNOLOGIES CORP | RTX | 2,793 | $273,602 | 0.29% |
| 50 | OPEN LENDING CORP | LPRO | 12,000 | $126,120 | 0.13% |
| 51 | EATON VANCE CALIF MUN BD FD | ETN | 13,129 | $116,848 | 0.12% |