NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 133
New Positions 35
Increased Positions 53
Decreased Positions 78
Positions with Activity 131
Sold Out Positions 29
Total Mkt Value (in $ millions) 153

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

Sector Weighting

Basic Materials 7.85%
Capital Goods 2.17%
Conglomerates 3.57%
Consumer Cyclical 0.93%
Consumer/Non-Cyclical
Energy 6.69%
Financial 65.92%
Healthcare 0.5%
Services 1.85%
Technology 5.45%
Transportation 0%
Utilities 3.99%

78 DECREASED Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
NUVEEN CR STRATEGIES INCM FD COM SHS 13,625 -2,200 (13.9) 1,495,627
ALLIANCEBERNSTEIN GBL HGH INCM COM 7,464 -1,005 (11.87) 596,203
BLACKROCK RES & COMM STRAT TR SHS 5,557 -4,893 (46.82) 591,199
INVESCO SR INCOME TR COM 5,402 -759 (12.32) 1,132,507
TEMPLETON GLOBAL INCOME FD COM 3,647 -274 (7) 503,690
NUVEEN FLOATING RATE INCOME FD COM 3,626 -418 (10.34) 318,901
NUVEEN SHT DUR CR OPP FD COM 3,600 -417 (10.38) 210,133
NUVEEN SR INCOME FD COM 3,521 -477 (11.92) 527,113
BLACKSTONE GSO LNG SHRT CR INC COM SHS BN INT 3,470 -407 (10.49) 215,550
EATON VANCE SR INCOME TR SH BEN INT 2,729 -322 (10.54) 418,604
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 2,385 -385 (13.91) 103,951
CF INDS HLDGS INC COM 2,051 -57 (2.7) 7,105
BLACKSTONE GSO STRATEGIC CR FD COM SHS BEN IN 2,016 -948 (31.98) 124,073
BLACKROCK MUNIHLDNGS QLTY II COM 2,010 -537 (21.07) 147,164
BAIDU INC SPON ADR REP A 1,997 -225 (10.12) 9,631
NUVEEN MUN VALUE FD INC COM 1,592 -97 (5.74) 161,308
ICICI BK LTD ADR 1,431 -145 (9.18) 140,736
ADVANCED SEMICONDUCTOR ENGR SPONSORED ADR 1,405 -102 (6.76) 194,879
HALLIBURTON CO COM 1,180 -56 (4.56) 27,273
TATA MTRS LTD SPONSORED ADR 1,106 -333 (23.15) 25,125