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
ANADARKO PETE CORP	COM	$14,333	$3,715	34.99%	156,872
ARCHER DANIELS MIDLAND ...	COM	$18,577	$3,156	20.47%	535,201
CHESAPEAKE ENERGY CORP	COM	$41,188	$23,514	133.04%	1,975,462
CHESAPEAKE ENERGY CORP	PFD CONV	$356	$356	New	3,888
CREDIT SUISSE AG NASSAU...	ETN LKD SPVXSP	$15	$9	149.10%	5,692
DIAGEO P L C	SPON ADR NEW	$14,661	$11,862	423.87%	119,106
DOLE FOOD CO INC NEW	COM	$28,927	$8,054	38.59%	2,596,662
EBAY INC	COM	$15,853	$15,853	New	288,503
EQUITY RESIDENTIAL	SH BEN INT	$1,741	$1,741	New	28,657
FIRST NIAGARA FINL GP I...	COM	$8,442	$8,442	New	840,452
FIRST SOLAR INC	COM	$6,851	$6,851	New	123,160
FRANCO NEVADA CORP	COM	$22,872	$21,134	1,215.48%	569,391
GOLAR LNG LTD BERMUDA	SHS	$3,605	$1,187	49.11%	96,706
GOLDCORP INC NEW	COM	$24,147	$3,615	17.61%	906,434
GOOGLE INC	CL A	$14,745	$14,745	New	16,257
ISHARES SILVER TRUST	ISHARES	$32,431	$2,888	9.78%	1,500,041
JOHNSON & JOHNSON	COM	$16,653	$14,691	748.64%	187,982
MOLYCORP INC DEL	PFD CONV SER A	$191	$3	1.55%	8,761
MONSANTO CO NEW	COM	$24,557	$4,482	22.33%	230,384
MOSAIC CO NEW	COM	$23,135	$1,258	5.75%	383,795

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