Alethea Capital Management, LLC — Q2 2016 13F Holdings

Name: Alethea Capital Management, LLC — 13F Holdings, Q2 2016
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001549408

Total reported value

$194.9M

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	COF	Capital One Financial CORP	Stock-Financials	14.00%	—	—
2	KMB	Kimberly-clark CORP	Stock-Consumer Staples	3.93%	—	+236.03%
3	KEL	Kellanova	Stock-Other	3.26%	—	+732.20%
4	SJM	Jm Smucker Co/the	Stock-Consumer Staples	3.16%	—	—
5	O	Realty Income CORP	Stock-Real Estate	3.03%	—	—
6	RTN1USD	Raytheon Company	Stock-Other	3.03%	—	-14.29%
7	T	At&t INC	Stock-Comm Services	3.01%	—	—
8	NEE	Nextera Energy INC	Stock-Utilities	3.00%	—	—
9	PG	Procter & Gamble Co/the	Stock-Consumer Staples	3.00%	—	—
10	WEC	Wec Energy Group INC	Stock-Utilities	2.98%	—	—
11	CLX	Clorox Company	Stock-Consumer Staples	2.97%	—	—
12	REYN	Reynolds Consumer Products Inc.	Stock-Other	2.90%	—	-23.50%
13	KDP	Keurig Dr Pepper Inc.	Stock-Consumer Staples	2.90%	—	—
14	WMT	Walmart INC	Stock-Consumer Staples	2.88%	—	—
15	ED	Consolidated Edison INC	Stock-Utilities	2.86%	—	—
16	SO	Southern Co/the	Stock-Utilities	2.84%	—	—
17	DRI	Darden Restaurants INC	Stock-Consumer Disc	2.58%	—	—
18	MAT	Mattel INC	Stock-Consumer Disc	2.50%	—	—
19	HRB	H&r Block INC	Stock-Consumer Disc	2.37%	—	+5.56%
20	TEVA	Teva Pharmaceutical-sp Adr	Stock-Healthcare	2.11%	—	—
21	✓	Delaware Enhanced Gbl Div &	Stock-Other	1.65%	—	-24.32%
22	TLT	iShares 20+ Year Treasury Bond ETF	ETF-Gov Bonds	1.51%	—	—
23	MMM	3m Co	Stock-Industrials	1.49%	—	-1.59%
24	HON	Honeywell International INC	Stock-Industrials	1.44%	—	—
25	MO	Altria Group INC	Stock-Consumer Staples	1.32%	—	-4.13%
26	HRSEUR	L3harris Technologies INC	Stock-Other	1.28%	—	—
27	DIS	Walt Disney Co/the	Stock-Comm Services	1.25%	—	-1.79%
28	AEP	American Electric Power Company, Inc.	Stock-Utilities	1.17%	—	-73.71%
29	DBL	Doubleline Opport Credit	Stock-Other	1.11%	—	-20.03%
30	XLE	Ss Energy Select Sector	ETF-Other	1.06%	—	-0.85%
31	IBB	Ishares Biotechnology ETF	ETF-Tech	1.00%	—	-44.84%
32	✓	Powershares	Stock-Other	0.96%	—	—
33	MSFT	Microsoft CORP	Stock-Tech	0.95%	—	-31.44%
34	TPR	Tapestry, Inc.	Stock-Consumer Disc	0.95%	—	—
35	FLOT	Ishares Floating Rate Bond E	ETF-Other	0.90%	—	—
36	WM	Waste Management INC	Stock-Industrials	0.86%	—	-25.20%
37	✓	Neuralstem INC	Stock-Other	0.85%	—	—
38	MDT	Medtronic plc	Stock-Healthcare	0.83%	—	-2.78%
39	DUK	Duke Energy CORP	Stock-Utilities	0.82%	—	—
40	XEVMX	Eaton Vance Cal Muni Bond	Stock-Other	0.81%	—	-45.99%
41	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	0.79%	-0.04%	—
42	HIO	Western Asset Hi INC Opport	Stock-Other	0.77%	—	-2.30%
43	PFE	Pfizer INC	Stock-Healthcare	0.73%	—	—
44	ETN	Eaton Corporation plc	Stock-Industrials	0.68%	—	-2.35%
45	MRK	Merck & Co. INC.	Stock-Healthcare	0.65%	—	+13.78%
46	REFI	Chicago Atlantic Real Estate Finance, Inc.	Stock-Other	0.62%	—	-39.25%
47	XEVVX	Eaton Vance LTD Durat INC	Stock-Other	0.59%	—	-52.80%
48	CMI	Cummins INC	Stock-Industrials	0.46%	—	—
49	JNJ	Johnson & Johnson	Stock-Healthcare	0.46%	—	—
50	GOOG	Alphabet Inc-cl C	Stock-Comm Services	0.43%	—	—

1–50 of 57

Holding changes this quarter

Position changes disclosed by Alethea Capital Management, LLC for the quarter ending Q2 2016, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	KMB	Kimberly-clark CORP	+3%	+236.03%	Add
2	KEL	Kellanova	+3%	+732.20%	Add
3	COF	Capital One Financial CORP	+1.6%	—	Unchanged
4	REYN	Reynolds Consumer Products Inc.	0%	-23.50%	Trim
5	XEVMX	Eaton Vance Cal Muni Bond	-0.3%	-45.99%	Trim
6	XEVVX	Eaton Vance LTD Durat INC	-0.4%	-52.80%	Trim
7	IBB	Ishares Biotechnology ETF	-0.5%	-44.84%	Trim
8	✓	Neuralstem INC	-0.9%	—	Unchanged
9	AEP	American Electric Power Company, Inc.	-2.5%	-73.71%	Trim
10	TLT	Ishares 20+ Year Treasury Bd	—	EXIT	Sold out
11	NI	Nisource INC	—	EXIT	Sold out
12	AEE	Ameren Corporation	—	EXIT	Sold out
13	KMI	Kinder Morgan INC	—	EXIT	Sold out
14	SYY	Sysco CORP	—	EXIT	Sold out
15	PSA	Public Storage	—	EXIT	Sold out
16	MSI	Motorola Solutions INC	—	EXIT	Sold out
17	UPS	United Parcel Service-cl B	—	EXIT	Sold out
18	PSX	Phillips 66	—	EXIT	Sold out
19	TXN	Texas Instruments INC	—	EXIT	Sold out
20	NTAP	Netapp INC	—	EXIT	Sold out
21	PAYX	Paychex INC	—	EXIT	Sold out
22	XLNXEUR	Xilinx INC	—	EXIT	Sold out
23	SJM	Jm Smucker Co/the	—	NEW	New buy
24	INTC	Intel CORP	—	EXIT	Sold out
25	O	Realty Income CORP	—	NEW	New buy
26	GM	General Motors Co	—	EXIT	Sold out
27	T	At&t INC	—	NEW	New buy
28	NEE	Nextera Energy INC	—	NEW	New buy
29	PG	Procter & Gamble Co/the	—	NEW	New buy
30	WEC	Wec Energy Group INC	—	NEW	New buy
31	CLX	Clorox Company	—	NEW	New buy
32	LBEUR	L Brands INC	—	EXIT	Sold out
33	KDP	Keurig Dr Pepper Inc.	—	NEW	New buy
34	WMT	Walmart INC	—	NEW	New buy
35	ED	Consolidated Edison INC	—	NEW	New buy
36	SO	Southern Co/the	—	NEW	New buy
37	DRI	Darden Restaurants INC	—	NEW	New buy
38	MAT	Mattel INC	—	NEW	New buy
39	EEM	Ishares Msci Emerging Market	—	EXIT	Sold out
40	ACWI	Ishares Msci Acwi ETF	—	EXIT	Sold out
41	SLV	Ishares Silver Trust	—	EXIT	Sold out
42	TEVA	Teva Pharmaceutical-sp Adr	—	NEW	New buy
43	TLT	iShares 20+ Year Treasury Bond ETF	—	NEW	New buy
44	HRSEUR	L3harris Technologies INC	—	NEW	New buy
45	NOK	Nokia Corp-spon Adr	—	EXIT	Sold out
46	✓	Powershares	—	NEW	New buy
47	TPR	Tapestry, Inc.	—	NEW	New buy
48	DUK	Duke Energy CORP	—	NEW	New buy
49	SPY	Ss Spdr S&p 500 ETF Trust-us	—	NEW	New buy
50	EQIX	Equinix INC	—	EXIT	Sold out