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): 1,511

Sector Weighting Percent Energy 17.4% Healthcare 16.8% Services 16.4% Basic Materials 12.3% Technology 11.1% Capital Goods 9.2% Consumer/Non-Cyclical 7.7% 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
ATP OIL & GAS CORP	COM	$0	($27)	Sold Out	0
HOVNANIAN ENTERPRISES I...	CL A	$0	($58)	Sold Out	0
DELTA AIR LINES INC DEL	COM NEW	$0	($198)	Sold Out	0
NUSTAR GP HOLDINGS LLC	UNIT RESTG LLC	$0	($221)	Sold Out	0
WISDOMTREE TRUST	INDIAN RUP ETF	$0	($231)	Sold Out	0
WISDOMTREE TR	ASIA LC DBT FD	$0	($253)	Sold Out	0
PROSHARES TR II	ULTRASHRT EURO	$0	($254)	Sold Out	0
DIGITAL RLTY TR INC	COM	$0	($263)	Sold Out	0
AMERICAN ELEC PWR INC	COM	$0	($317)	Sold Out	0
CURRENCYSHARES SWISS FR...	SWISS FRANC SH	$0	($343)	Sold Out	0
AES TR III	PFD CV 6.75%	$0	($367)	Sold Out	0
PROSHARES TR II	ULTRASHORT YEN N	$0	($387)	Sold Out	0
DIREXION SHS ETF TR	20YR TRES BEAR	$0	($409)	Sold Out	0
SPDR S&P 500 ETF TR	TR UNIT	$0	($502)	Sold Out	0
ISHARES TR	RUSSELL 2000	$0	($506)	Sold Out	0
WISDOMTREE TRUST	CHINESE YUAN ETF	$0	($574)	Sold Out	0
BANK OF AMERICA CORPORA...	7.25%CNV PFD L	$0	($1,113)	Sold Out	0
NUCOR CORP	COM	$0	($1,542)	Sold Out	0
MORGAN STANLEY	COM NEW	$0	($1,956)	Sold Out	0
UNION PAC CORP	COM	$0	($1,979)	Sold Out	0

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