NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 12/31/2015

Position Statistics

Total Positions 111
New Positions 16
Increased Positions 44
Decreased Positions 61
Positions with Activity 105
Sold Out Positions 15
Total Mkt Value (in $ millions) 140

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

Sector Weighting

Basic Materials 2.57%
Capital Goods 1.05%
Conglomerates 1.85%
Consumer Cyclical
Consumer/Non-Cyclical
Energy 5.41%
Financial 73.39%
Healthcare
Services 1.06%
Technology 3.73%
Transportation 1.33%
Utilities 4.57%

111 Positions as of 12/31/2015

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) ▲ Shares Held
BANCO BRADESCO S A SP ADR PFD NEW -913 Sold Out 0
BLACKROCK CR ALLCTN INC TR COM -1,371 Sold Out 0
BOISE CASCADE CO DEL COM -306 Sold Out 0
COMMERCIAL METALS CO COM -617 Sold Out 0
DREYFUS STRATEGIC MUN BD FD COM -2,252 Sold Out 0
HUDBAY MINERALS INC COM -249 Sold Out 0
HUNTSMAN CORP COM -327 Sold Out 0
INVESCO MUN TR COM -689 Sold Out 0
ITAU UNIBANCO HLDG SA SPON ADR REP PFD -953 Sold Out 0
LG DISPLAY CO LTD SPONS ADR REP -697 Sold Out 0
METHANEX CORP COM -294 Sold Out 0
MOSAIC CO NEW COM -202 Sold Out 0
NUVEEN PREM INCOME MUN FD COM -639 Sold Out 0
NUVEEN SELECT TAX FREE INCM PT SH BEN INT -384 Sold Out 0
STEEL DYNAMICS INC COM -389 Sold Out 0
BLACKSTONE GSO STRATEGIC CR FD COM SHS BEN IN 685 -2,006 (74.55) 49,571
NUVEEN FLOATING RATE INCOME FD COM 995 -2,850 (74.12) 96,523
EGA EMERGING GLOBAL SHS TR EGS INDI INF ETF 258 -441 (63.09) 24,518
NUVEEN MUN MKT OPPORTUNITY FD COM 419 -616 (59.48) 28,498
CEMEX SAB DE CV SPON ADR NEW 734 -578 (44.07) 96,938