NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 125
New Positions 19
Increased Positions 26
Decreased Positions 96
Positions with Activity 122
Sold Out Positions 26
Total Mkt Value (in $ millions) 165

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

Sector Weighting

Basic Materials 10.51%
Capital Goods 2.41%
Conglomerates
Consumer Cyclical 0.84%
Consumer/Non-Cyclical
Energy 8.34%
Financial 69.53%
Healthcare
Services 0.59%
Technology 5.04%
Transportation 0.14%
Utilities 2.25%

19 New Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ABERDEEN ASIA PACIFIC INCOM FD COM 2,948 2,948 New 509,100
BLACKROCK DEBT STRAT FD INC COM 2,940 2,940 New 783,931
TEMPLETON EMERG MKTS INCOME FD COM 2,371 2,371 New 188,288
HANCOCK JOHN PFD INCOME FD III COM 2,363 2,363 New 135,435
CF INDS HLDGS INC COM 1,789 1,789 New 7,302
NUVEEN MUN VALUE FD INC COM 1,626 1,626 New 171,127
HUANENG PWR INTL INC SPON ADR H SHS 1,077 1,077 New 23,355
BAKER HUGHES INC COM 897 897 New 16,886
BLACKROCK MUNIHLDGS NY QLTY FD COM 816 816 New 59,312
ENTERGY CORP NEW COM 617 617 New 7,779
NABORS INDUSTRIES LTD SHS 534 534 New 30,120
AES CORP COM 516 516 New 38,855
EGA EMERGING GLOBAL SHS TR EGS INDI INF ETF 461 461 New 36,060
STILLWATER MNG CO COM 459 459 New 32,957
COMPANHIA PARANAENSE ENERG COP SPON ADR PFD 431 431 New 30,032
DBX ETF TR DBXTR HAR CS 300 393 393 New 15,274
DEVON ENERGY CORP NEW COM 307 307 New 5,276
TWITTER INC COM 211 211 New 4,326
PUTNAM MANAGED MUN INCOM TR COM 140 140 New 19,417