Institutional Portfolio

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Address ALETHEIA RESEARCH & MANAGEMENT, INC. 100 WILSHIRE BOULEVARD SANTA MONICA, CA 90401 310-899-0800   Position Statistics Report Date: 9/30/2012 Total Positions: 180 New Positions: 12 Increased Positions: 34 Decreased Positions: 142 Positions With Activity: 176 Sold Out Positions: 30 Total Market Value (in $ millions): 1,508

Sector Weighting Percent Energy 17.4% Healthcare 16.9% Services 16.5% Basic Materials 12.1% Technology 11.1% Capital Goods 9.3% Consumer/Non-Cyclical 7.8% Financial 6% Conglomerates 1.5% Utilities 0.7% Transportation 0.5% Consumer Cyclical 0.3% Unknown 0%

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Company	Class	Value of Shares ($1000)	Change in Value ($1000)	% Change in Value	Shares Held
EBAY INC	COM	$16,361	$16,361	New	288,503
GOOGLE INC	CL A	$14,781	$14,781	New	16,257
FIRST NIAGARA FINL GP I...	COM	$8,371	$8,371	New	840,452
FIRST SOLAR INC	COM	$6,156	$6,156	New	123,160
YAHOO INC	COM	$3,803	$3,803	New	143,401
UNITED CONTL HLDGS INC	COM	$3,610	$3,610	New	103,876
TESORO CORP	COM	$2,114	$2,114	New	33,959
EQUITY RESIDENTIAL	SH BEN INT	$1,708	$1,708	New	28,657
PROSHARES TR	PSHS ULSHT SP500	$477	$477	New	12,400
CHESAPEAKE ENERGY CORP	PFD CONV	$354	$354	New	3,888
PLAINS ALL AMERN PIPELI...	UNIT LTD PARTN	$339	$339	New	5,842
NUSTAR ENERGY LP	UNIT COM	$231	$231	New	4,658

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