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) 168

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

Sector Weighting

Basic Materials 10.57%
Capital Goods 2.49%
Conglomerates
Consumer Cyclical 0.87%
Consumer/Non-Cyclical
Energy 8.09%
Financial 69.21%
Healthcare
Services 0.58%
Technology 5.54%
Transportation 0.12%
Utilities 2.15%

19 New Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
BLACKROCK DEBT STRAT FD INC COM 2,979 2,979 New 783,931
ABERDEEN ASIA PACIFIC INCOM FD COM 2,927 2,927 New 509,100
HANCOCK JOHN PFD INCOME FD III COM 2,464 2,464 New 135,435
TEMPLETON EMERG MKTS INCOME FD COM 2,372 2,372 New 188,288
CF INDS HLDGS INC COM 1,984 1,984 New 7,302
NUVEEN MUN VALUE FD INC COM 1,634 1,634 New 171,127
HUANENG PWR INTL INC SPON ADR H SHS 1,126 1,126 New 23,355
BAKER HUGHES INC COM 1,057 1,057 New 16,886
BLACKROCK MUNIHLDGS NY QLTY FD COM 814 814 New 59,312
ENTERGY CORP NEW COM 639 639 New 7,779
AES CORP COM 537 537 New 38,855
EGA EMERGING GLOBAL SHS TR EGS INDI INF ETF 488 488 New 36,060
NABORS INDUSTRIES LTD SHS 454 454 New 30,120
DBX ETF TR DBXTR HAR CS 300 452 452 New 15,274
STILLWATER MNG CO COM 446 446 New 32,957
COMPANHIA PARANAENSE ENERG COP SPON ADR PFD 426 426 New 30,032
DEVON ENERGY CORP NEW COM 338 338 New 5,276
TWITTER INC COM 178 178 New 4,326
PUTNAM MANAGED MUN INCOM TR COM 137 137 New 19,417


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