NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 130
New Positions 23
Increased Positions 37
Decreased Positions 90
Positions with Activity 127
Sold Out Positions 24
Total Mkt Value (in $ millions) 377

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

Sector Weighting

Basic Materials 18.18%
Capital Goods 4.46%
Conglomerates
Consumer Cyclical 2.77%
Consumer/Non-Cyclical
Energy 13.56%
Financial 44.66%
Healthcare
Services 0.57%
Technology 13.07%
Transportation 0.67%
Utilities 2.04%

130 Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) ▲ Shares Held
AK STL HLDG CORP COM -3,020 Sold Out 0
ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT N -4,543 Sold Out 0
APOLLO GLOBAL MGMT LLC CL A SHS -218 Sold Out 0
BLACKROCK ENHANCED EQT DIV TR COM -1,329 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM -1,380 Sold Out 0
BLACKSTONE GROUP L P COM UNIT LTD -414 Sold Out 0
CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT -3,406 Sold Out 0
CLEARBRIDGE ENERGY MLP FD INC COM -1,365 Sold Out 0
COHEN & STEERS SLT PFD INCM FD COM -1,092 Sold Out 0
EATON VANCE CALIF MUN BD FD COM -2,157 Sold Out 0
GLOBAL HIGH INCOME FUND INC COM -2,356 Sold Out 0
GLOBE SPECIALTY METALS INC COM -1,879 Sold Out 0
INVESCO ADVANTAGE MUNICIPAL IN SH BEN INT -1,023 Sold Out 0
KODIAK OIL & GAS CORP COM -3,299 Sold Out 0
NORTHERN OIL & GAS INC NEV COM -2,832 Sold Out 0
NOW INC COM -440 Sold Out 0
NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT -3,265 Sold Out 0
NUVEEN DIVID ADVANTAGE MUN INC COM -1,002 Sold Out 0
NUVEEN MUN ADVANTAGE FD INC COM -1,070 Sold Out 0
NUVEEN PFD INCOME OPPRTNY FD COM -3,857 Sold Out 0