NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 06/30/2015

Position Statistics

Total Positions 120
New Positions 18
Increased Positions 51
Decreased Positions 64
Positions with Activity 115
Sold Out Positions 23
Total Mkt Value (in $ millions) 132

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

Sector Weighting

Basic Materials 5.29%
Capital Goods 2.08%
Conglomerates 0.63%
Consumer Cyclical 0%
Consumer/Non-Cyclical
Energy 6.7%
Financial 73.25%
Healthcare
Services 0.84%
Technology 5.06%
Transportation 2.27%
Utilities 2.9%

64 DECREASED Positions as of 06/30/2015

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
NUVEEN CR STRATEGIES INCM FD COM SHS 10,921 -248 (2.22) 1,271,326
VOYA PRIME RATE TR SH BEN INT 5,181 -678 (11.58) 961,193
INVESCO DYNAMIC CR OPP FD COM 5,128 -66 (1.28) 439,806
BLACKSTONE GSO LNG SHRT CR INC COM SHS BN INT 4,048 -24 (0.59) 264,370
NUVEEN SHT DUR CR OPP FD COM 3,389 -48 (1.39) 206,548
NUVEEN FLOATING RATE INCOME FD COM 3,358 -45 (1.32) 314,673
EATON VANCE SR INCOME TR SH BEN INT 2,147 -433 (16.78) 344,598
INVESCO SR INCOME TR COM 2,055 -2,500 (54.89) 463,851
DREYFUS STRATEGIC MUN BD FD COM 1,961 -28 (1.43) 252,355
DREYFUS STRATEGIC MUNS INC COM 1,765 -135 (7.11) 218,161
BAIDU INC SPON ADR REP A 1,617 -22 (1.37) 9,366
BLACKROCK RES & COMM STRAT TR SHS 1,491 -1,802 (54.72) 181,622
CEMEX SAB DE CV SPON ADR NEW 1,439 -17 (1.14) 169,268
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 1,400 -828 (37.17) 63,302
ICICI BK LTD ADR 1,246 -4 (0.31) 123,725
CF INDS HLDGS INC COM 1,159 -470 (28.87) 19,583
TEMPLETON GLOBAL INCOME FD COM 854 -2,468 (74.29) 125,043
TESORO CORP COM 838 -66 (7.27) 8,610
HALLIBURTON CO COM 828 -65 (7.32) 19,822
SHIP FINANCE INTERNATIONAL LTD SHS 815 -95 (10.41) 48,704