NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 124
New Positions 19
Increased Positions 26
Decreased Positions 95
Positions with Activity 121
Sold Out Positions 26
Total Mkt Value (in $ millions) 159

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

Sector Weighting

Basic Materials 10.07%
Capital Goods 2.32%
Conglomerates
Consumer Cyclical 0.85%
Consumer/Non-Cyclical
Energy 7.04%
Financial 70.75%
Healthcare
Services 0.6%
Technology 5.48%
Transportation 0.11%
Utilities 2.35%

26 INCREASED Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ALLIANCEBERNSTEIN GBL HGH INCM COM 8,416 3,142 59.59 676,497
INVESCO SR INCOME TR COM 5,877 392 7.14 1,291,635
INVESCO DYNAMIC CR OPP FD COM 4,835 484 11.12 410,399
NUVEEN SHT DUR CR OPP FD COM 3,918 1,201 44.20 234,468
EATON VANCE SR INCOME TR SH BEN INT 2,939 175 6.33 467,915
BLACKROCK DEBT STRAT FD INC COM 2,916 2,916 New 783,931
BLACKSTONE GSO STRATEGIC CR FD COM SHS BEN IN 2,898 1,495 106.60 182,396
ABERDEEN ASIA PACIFIC INCOM FD COM 2,780 2,780 New 509,100
HANCOCK JOHN PFD INCOME FD III COM 2,458 2,458 New 135,435
TEMPLETON EMERG MKTS INCOME FD COM 2,173 2,173 New 188,288
BLACKROCK MUNIHOLDINGS FD INC COM 2,127 682 47.23 126,170
CF INDS HLDGS INC COM 2,005 2,005 New 7,302
NUVEEN MUN VALUE FD INC COM 1,648 1,648 New 171,127
HUANENG PWR INTL INC SPON ADR H SHS 1,293 1,293 New 23,355
BAKER HUGHES INC COM 951 951 New 16,886
BLACKROCK MUNIHLDGS NY QLTY FD COM 826 826 New 59,312
ENTERGY CORP NEW COM 703 703 New 7,779
AES CORP COM 553 553 New 38,855
DBX ETF TR DBXTR HAR CS 300 552 552 New 15,274
STILLWATER MNG CO COM 490 490 New 32,957


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