# EDGAR Filing Document

**Accession Number:** 0001549408
**File Stem:** 0001549408-23-000002
**Filing Date:** 2023-2
**Character Count:** 7880
**Document Hash:** 44de91c6cdc2014ccc38a5e38e8ab98a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001549408-23-000002.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001549408-23-000002

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALETHEA CAPITAL MANAGEMENT, LLC
- **CENTRAL INDEX KEY:** 0001549408
- **IRS NUMBER:** 275349670
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-16431
- **FILM NUMBER:** 23632037

**BUSINESS ADDRESS:**
- **STREET 1:** 8910 UNIVERSITY CENTER LN
- **STREET 2:** STE 400
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92122-1025
- **BUSINESS PHONE:** 858-926-2058

**MAIL ADDRESS:**
- **STREET 1:** 8910 UNIVERSITY CENTER LN
- **STREET 2:** STE 400
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92122-1025

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Alethea Capital Management, LLC
- **DATE OF NAME CHANGE:** 20120507

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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<br>**Address:** 8910 UNIVERSITY CENTER LN<br>STE 400<br>SAN DIEGO, CA 92122-1025

**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<br>**Title:** Executive Assistant<br>**Phone:** 8589262058

**Signature, Place, and Date of Signing:**

Kasie Cole  Newcastle, WA  02-14-2023<br>[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 are reported 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:** 43

**Form 13F Information Table Value Total:** $104311893

      (round to nearest dollar)

**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.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 310555 | 3500 | SH |  | SOLE | 0 | 3500 | 0 | 0 |
| AMGEN INC | COM | 031162100 |  | 308602 | 1175 | SH |  | SOLE | 0 | 1175 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 305376 | 2350 | SH |  | SOLE | 0 | 2350 | 0 | 0 |
| AVIDITY BIOSCIENCES INC | COM | 05370A108 |  | 18317246 | 825473 | SH |  | SOLE | 0 | 825473 | 0 | 0 |
| AXSOME THERAPEUTICS INC | COM | 05464T104 |  | 60599730 | 785683 | SH |  | SOLE | 0 | 785683 | 0 | 0 |
| BANK AMERICA CORP | COM | 060505104 |  | 351072 | 10600 | SH |  | SOLE | 0 | 10600 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 339790 | 1100 | SH |  | SOLE | 0 | 1100 | 0 | 0 |
| BLACKROCK INC | COM | 09247X101 |  | 301168 | 425 | SH |  | SOLE | 0 | 425 | 0 | 0 |
| BLACKSTONE INC | COM | 09260D107 |  | 215151 | 2900 | SH |  | SOLE | 0 | 2900 | 0 | 0 |
| CIDARA THERAPEUTICS INC | COM | 171757107 |  | 1268462 | 1677194 | SH |  | SOLE | 0 | 1677194 | 0 | 0 |
| COCA COLA CO | COM | 191216100 |  | 340314 | 5350 | SH |  | SOLE | 0 | 5350 | 0 | 0 |
| CUMMINS INC | COM | 231021106 |  | 363435 | 1500 | SH |  | SOLE | 0 | 1500 | 0 | 0 |
| CVS HEALTH CORP | COM | 126650100 |  | 307527 | 3300 | SH |  | SOLE | 0 | 3300 | 0 | 0 |
| DISNEY WALT CO | COM | 254687106 |  | 252039 | 2901 | SH |  | SOLE | 0 | 2901 | 0 | 0 |
| DOW INC | COM | 260557103 |  | 267067 | 5300 | SH |  | SOLE | 0 | 5300 | 0 | 0 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 |  | 308970 | 3000 | SH |  | SOLE | 0 | 3000 | 0 | 0 |
| EATON CORP PLC | SHS | G29183103 |  | 384528 | 2450 | SH |  | SOLE | 0 | 2450 | 0 | 0 |
| EATON VANCE CALIF MUN BD FD | COM | 27828A100 |  | 113435 | 13129 | SH |  | SOLE | 0 | 13129 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 441200 | 4000 | SH |  | SOLE | 0 | 4000 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 363239 | 1150 | SH |  | SOLE | 0 | 1150 | 0 | 0 |
| HONEYWELL INTL INC | COM | 438516106 |  | 452173 | 2110 | SH |  | SOLE | 0 | 2110 | 0 | 0 |
| ILLINOIS TOOL WKS INC | COM | 452308109 |  | 385525 | 1750 | SH |  | SOLE | 0 | 1750 | 0 | 0 |
| INTEL CORP | COM | 458140100 |  | 216726 | 8200 | SH |  | SOLE | 0 | 8200 | 0 | 0 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 |  | 2459132 | 24700 | SH |  | SOLE | 0 | 24700 | 0 | 0 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 335250 | 2500 | SH |  | SOLE | 0 | 2500 | 0 | 0 |
| KIMBERLY-CLARK CORP | COM | 494368103 |  | 509198 | 3751 | SH |  | SOLE | 0 | 3751 | 0 | 0 |
| KURA ONCOLOGY INC | COM | 50127T109 |  | 4514423 | 363773 | SH |  | SOLE | 0 | 363773 | 0 | 0 |
| MEDTRONIC PLC | SHS | G5960L103 |  | 272020 | 3500 | SH |  | SOLE | 0 | 3500 | 0 | 0 |
| MERCK  CO INC | COM | 58933Y105 |  | 443800 | 4000 | SH |  | SOLE | 0 | 4000 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 257807 | 1075 | SH |  | SOLE | 0 | 1075 | 0 | 0 |
| NATIONAL FUEL GAS CO | COM | 636180101 |  | 284850 | 4500 | SH |  | SOLE | 0 | 4500 | 0 | 0 |
| OPEN LENDING CORP | COM CL A | 68373J104 |  | 81000 | 12000 | SH |  | SOLE | 0 | 12000 | 0 | 0 |
| PEPSICO INC | COM | 713448108 |  | 397452 | 2200 | SH |  | SOLE | 0 | 2200 | 0 | 0 |
| PFIZER INC | COM | 717081103 |  | 368364 | 7189 | SH |  | SOLE | 0 | 7189 | 0 | 0 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 409212 | 2700 | SH |  | SOLE | 0 | 2700 | 0 | 0 |
| QUALCOMM INC | COM | 747525103 |  | 245276 | 2231 | SH |  | SOLE | 0 | 2231 | 0 | 0 |
| ROBINHOOD MKTS INC | COM CL A | 770700102 |  | 107106 | 13158 | SH |  | SOLE | 0 | 13158 | 0 | 0 |
| SPDR GOLD TR | GOLD SHS | 78463V107 |  | 203568 | 1200 | SH |  | SOLE | 0 | 1200 | 0 | 0 |
| SPDR SER TR | BLOOMBERG 1-3 MO | 78468R663 |  | 5777794 | 63166 | SH |  | SOLE | 0 | 63166 | 0 | 0 |
| SPECTRUM PHARMACEUTICALS INC | COM | 84763A108 |  | 290368 | 787973 | SH |  | SOLE | 0 | 787973 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 216267 | 5489 | SH |  | SOLE | 0 | 5489 | 0 | 0 |
| WASTE MGMT INC DEL | COM | 94106L109 |  | 345136 | 2200 | SH |  | SOLE | 0 | 2200 | 0 | 0 |
| WISDOMTREE TR | EUROPE HEDGED EQ | 97717X701 |  | 280540 | 4010 | SH |  | SOLE | 0 | 4010 | 0 | 0 |

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