NEWGATE CAPITAL MANAGEMENT LLC Information

ONE SOUND SHORE DRIVE, GREENWICH, Connecticut, 06830, (203) 661-0700

Report Date: 03/31/2016

Position Statistics

Total Positions 117
New Positions 21
Increased Positions 45
Decreased Positions 67
Positions with Activity 112
Sold Out Positions 27
Total Mkt Value (in $ millions) 114

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 4.69%
Capital Goods 0.87%
Conglomerates 0%
Consumer Cyclical
Consumer/Non-Cyclical
Energy 7.47%
Financial 70.94%
Healthcare
Services 1.69%
Technology 4.29%
Transportation 1.65%
Utilities 3.46%

117 Positions as of 03/31/2016

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
NUVEEN CR STRATEGIES INCM FD COM SHS 10,271 -3,376 (24.74) 1,295,189
BLACKROCK DEBT STRAT FD INC COM 8,134 -3,037 (27.19) 2,317,365
ABERDEEN ASIA PACIFIC INCOM FD COM 7,488 -240 (3.1) 1,485,804
VOYA PRIME RATE TR SH BEN INT 5,983 1,401 30.57 1,184,760
INVESCO DYNAMIC CR OPP FD COM 5,209 -1,562 (23.07) 481,867
CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT 5,084 339 7.15 515,126
INVESCO SR INCOME TR COM 4,810 94 2 1,179,018
NUVEEN SR INCOME FD COM 3,794 -1,394 (26.87) 629,247
TEMPLETON EMERG MKTS INCOME FD COM 3,036 -1,644 (35.13) 288,000
NUVEEN SHT DUR CR OPP FD COM 2,944 -957 (24.53) 193,080
ALLIANZGI NFJ DIVID INT & PREM COM 2,826 -161 (5.39) 226,435
ALLIANCEBERNSTEIN NATL MUNI IN COM 2,654 802 43.30 177,513
POWERSHARES ETF TR II INSUR NATL MUN 2,511 2,511 New 96,908
BLACKROCK FLOAT RATE OME STRAT COM 1,969 -309 (13.56) 148,707
NUVEEN ENHANCED AMT FREE MUNI COM 1,831 -55 (2.92) 118,261
MARKET VECTORS ETF TR HG YLD MUN ETF 1,802 1,802 New 56,890
BLACKROCK GLOBAL OPP EQTY TR COM 1,732 1,732 New 145,508
ALLIANZGI CONV & INCOME FD COM 1,587 9 .58 268,507
ALPINE GLOBAL PREMIER PPTYS FD COM SBI 1,576 1,576 New 275,927
BAIDU INC SPON ADR REP A 1,558 -170 (9.84) 8,017