NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 137
New Positions 28
Increased Positions 54
Decreased Positions 80
Positions with Activity 134
Sold Out Positions 30
Total Mkt Value (in $ millions) 486

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

Sector Weighting

Basic Materials 21.64%
Capital Goods 5.05%
Conglomerates
Consumer Cyclical 2.47%
Consumer/Non-Cyclical
Energy 12.62%
Financial 40.2%
Healthcare
Services 0.08%
Technology 13.99%
Transportation 0.72%
Utilities 2.93%

137 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
WESTLAKE CHEM CORP COM 3,832 -745 (16.28) 45,423
NEUBERGER BERMAN RE ES SEC FD COM 3,826 -1,747 (31.35) 762,103
DEERE & CO COM 3,813 3,813 New 43,274
CLEARBRIDGE ENERGY MLP TR FD COM 3,800 3,800 New 161,011
NUVEEN FLOATING RATE INCOME FD COM 3,747 1,288 52.40 315,393
NUVEEN ENERGY MLP TOTL RTRNFD COM 3,646 3,646 New 168,081
BHP BILLITON PLC SPONSORED ADR 3,624 -201 (5.25) 54,295
PETROLEO BRASILEIRO SA PETROBR SP ADR NON VTG 3,584 -595 (14.23) 220,299
CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT 3,455 -737 (17.58) 288,362
CONTINENTAL RESOURCES INC COM 3,434 -1,985 (36.63) 22,165
TRINITY INDS INC COM 3,400 -1,659 (32.8) 77,040
KODIAK OIL & GAS CORP COM 3,283 -1,029 (23.86) 225,320
RIO TINTO PLC SPONSORED ADR 3,261 -620 (15.98) 59,125
TECK RESOURCES LTD CL B 3,182 -417 (11.58) 130,448
SANDRIDGE ENERGY INC COM 3,176 -577 (15.38) 464,335
TIDEWATER INC COM 3,159 447 16.46 62,402
OASIS PETE INC NEW COM 3,140 -530 (14.44) 55,551
NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT 3,128 33 1.06 232,568
NUVEEN SHT DUR CR OPP FD COM 3,119 45 1.45 168,399
EATON VANCE SR INCOME TR SH BEN INT 3,115 110 3.66 458,049