NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 144
New Positions 25
Increased Positions 54
Decreased Positions 85
Positions with Activity 139
Sold Out Positions 36
Total Mkt Value (in $ millions) 523

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

Sector Weighting

Basic Materials 19.08%
Capital Goods 6.87%
Conglomerates
Consumer Cyclical 3.1%
Consumer/Non-Cyclical
Energy 16.02%
Financial 36.54%
Healthcare
Services 1.64%
Technology 12.64%
Transportation
Utilities 3.66%

144 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ISHARES CORE TOTUSBD ETF 2,228 2,228 New 20,538
NUCOR CORP COM 2,180 -395 (15.34) 42,184
PEABODY ENERGY CORP COM 2,176 -424 (16.32) 129,090
NUVEEN MUN ADVANTAGE FD INC COM 2,150 223 11.56 165,387
NUVEEN MUN MKT OPPORTUNITY FD COM 2,035 77 3.92 158,246
NUVEEN QUALITY INCOME MUN FD COM 1,909 -64 (3.23) 143,337
EOG RES INC COM 1,875 -311 (14.21) 18,540
UNITED STATES STL CORP NEW COM 1,855 -2,128 (53.43) 68,433
GLOBE SPECIALTY METALS INC COM 1,804 1,804 New 90,219
COMPANHIA SIDERURGICA NACIONAL SPONSORED ADR 1,568 1,568 New 388,965
EATON VANCE CALIF MUN BD FD COM 1,534 73 5.02 139,671
WALTER ENERGY INC COM 1,352 310 29.79 165,307
HOLLYFRONTIER CORP COM 1,168 1,168 New 23,992
TESORO CORP COM 1,043 1,043 New 20,345
NUVEEN SELECT QUALITY MUN FD COM 1,020 51 5.31 76,810
ISHARES NA NAT RES 999 999 New 22,162
ISHARES NAT AMT FREE BD 758 479 171.27 7,034
INVESCO ADVANTAGE MUNICIPAL IN SH BEN INT 701 701 New 63,907
NUVEEN DIV ADVANTAGE MUN FD 2 COM 691 -2,271 (76.66) 50,757
APPLE INC COM 674 New 1,302


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