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ACM

Alethea Capital Management Portfolio holdings

AUM $195M
1-Year Est. Return 51.17%
This Fund
S&P 500
This Quarter Est. Return
+5.66%
1 Year Est. Return
+51.17%
3 Year Est. Return
+200.24%
5 Year Est. Return
+277.75%
10 Year Est. Return
+2,049.08%
AUM
$79.3M
AUM Growth
+$7.18M
Cap. Flow
+$2.07M
Cap. Flow %
2.62%
Top 10 Hldgs %
42.35%
Holding
96
New
36
Increased
9
Reduced
12
Closed
23

Top Buys

Rank Stock Value
1
GAP
The Gap Inc
GAP
+$2.36M
2
HST icon
Host Hotels & Resorts
HST
+$2.21M
3
CME icon
CME Group
CME
+$2.17M
4
GIS icon
General Mills
GIS
+$2.16M
5
RTN
Raytheon Company
RTN
+$2.13M

Top Sells

Rank Stock Value
1
NAVI icon
Navient
NAVI
+$2.43M
2
MSI icon
Motorola Solutions
MSI
+$2.39M
3
OKE icon
Oneok
OKE
+$2.23M
4
WYNN icon
Wynn Resorts
WYNN
+$2.18M
5
HD icon
Home Depot
HD
+$2.07M

Sector Composition

Rank Sector Weight
1 Financials 21.07%
2 Industrials 17.16%
3 Consumer Staples 10.76%
4 Technology 7.15%
5 Consumer Discretionary 7.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EVM
51
DELISTED
Eaton Vance California Municipal Bond Fund
EVM
$431K 0.54%
37,840
– –
AMZN icon
52
PUT
Amazon
AMZN
$2.99T
$400K 0.5%
+2,000
New +$78.4K
EEM icon
53
iShares MSCI Emerging Markets ETF
EEM
$29.7B
$392K 0.49%
+11,198
New +$404K
IEF icon
54
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
$392K 0.49%
3,741
– –
KURA icon
55
Kura Oncology
KURA
$841M
$379K 0.48%
64,300
– –
DXJ icon
56
WisdomTree Japan Hedged Equity Fund
DXJ
$7.2B
$372K 0.47%
+7,512
New +$353K
ITW icon
57
Illinois Tool Works
ITW
$84.9B
$367K 0.46%
3,000
-100
-3% -$12.1K
QQQ icon
58
Invesco QQQ Trust
QQQ
$485B
$356K 0.45%
+3,008
New +$355K
XRT icon
59
State Street SPDR S&P Retail ETF
XRT
$332M
$339K 0.43%
+7,691
New +$342K
GOOG icon
60
Alphabet (Google) Class C
GOOG
$4.59T
$313K 0.39%
8,120
– –
JPM icon
61
JPMorgan Chase
JPM
$950B
$302K 0.38%
3,500
-500
-13% -$38.1K
QCOM icon
62
CALL
Qualcomm
QCOM
$171B
$300K 0.38%
+1,000
New +$67.2K
NFJ
63
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.44B
$288K 0.36%
22,822
– –
BAC icon
64
Bank of America
BAC
$440B
$243K 0.31%
+11,000
New +$212K
BLW icon
65
BlackRock Limited Duration Income Trust
BLW
$492M
$221K 0.28%
14,561
– –
MSFT icon
66
Microsoft
MSFT
$3.66T
$217K 0.27%
3,500
-10,088
-74% -$607K
NKX icon
67
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$653M
$199K 0.25%
13,888
– –
HIX
68
Western Asset High Income Fund II
HIX
$352M
$188K 0.24%
26,585
– –
AAPL icon
69
Apple
AAPL
$4.52T
$119K 0.15%
+4,116
New +$117K
SPPI
70
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
$109K 0.14%
24,577
– –
QCOM icon
71
Qualcomm
QCOM
$171B
$24K 0.03%
+375
New +$25.2K
AVGO icon
72
Broadcom
AVGO
$1.99T
$18K 0.02%
+1,000
New +$17.3K
AMZN icon
73
Amazon
AMZN
$2.99T
$4K 0.01%
+120
New +$4.7K
CHRW icon
74
C.H. Robinson
CHRW
$18.1B
– –
-27,458
Closed -$1.94M
DFS
75
DELISTED
Discover Financial Services
DFS
– –
-25,702
Closed -$1.45M
1 2
3
4

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KIM
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Alethea Capital Management's Q4 2016 Portfolio in Review

As of Q4 2016, Alethea Capital Management held 96 positions worth $79.3M, up 10% from $72.1M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Alethea Capital Management's Q4 2016 filing shows 36 new, 9 increased, 12 reduced and 23 closed positions. Its largest new stake was The Gap Inc: 91,672 shares worth $2.06M. The largest sale was Navient, an estimated $2.43M.

By sector, the portfolio is most concentrated in Financials at 21% of assets, down from 22% a quarter earlier, followed by Industrials and Consumer Staples.

  • Alethea Capital Management's largest Q4 2016 buy was The Gap Inc: 91,672 shares worth $2.06M.
  • Alethea Capital Management added most to Waste Management in Q4 2016, an estimated $2M increase.
  • Alethea Capital Management's biggest Q4 2016 reduction was Pfizer, cutting an estimated $1.86M.
  • Alethea Capital Management fully exited Navient in Q4 2016, selling an estimated $2.43M.
  • Alethea Capital Management's ten largest holdings make up 42% of its $79.3M portfolio in Q4 2016.
  • Alethea Capital Management opened 36 new positions and closed 23 in Q4 2016.
  • Alethea Capital Management's portfolio value rose 10% quarter-over-quarter to $79.3M.

Based on Alethea Capital Management's 13F filing for Q4 2016, filed 9 Feb 2017.