NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 133
New Positions 35
Increased Positions 53
Decreased Positions 78
Positions with Activity 131
Sold Out Positions 29
Total Mkt Value (in $ millions) 154

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

Sector Weighting

Basic Materials 7.92%
Capital Goods 2.18%
Conglomerates 3.54%
Consumer Cyclical 0.93%
Consumer/Non-Cyclical
Energy 6.77%
Financial 65.74%
Healthcare 0.5%
Services 1.88%
Technology 5.45%
Transportation 0%
Utilities 4.02%

133 Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) ▲ Shares Held
ABERDEEN ASIA PACIFIC INCOM FD COM -2,785 Sold Out 0
APPROACH RESOURCES INC COM -258 Sold Out 0
BLACKROCK MUN INCOME TR SH BEN INT -1,844 Sold Out 0
BLACKROCK MUN TARGET TERM TR COM SHS BEN IN -555 Sold Out 0
BLACKROCK MUNI INCOME TR II COM -1,985 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM -836 Sold Out 0
BLACKROCK MUNIHOLDINGS FD INC COM -2,184 Sold Out 0
BLACKROCK MUNIYIELD FD INC COM -535 Sold Out 0
BLACKROCK MUNIYIELD QUALITY FD COM -1,100 Sold Out 0
CIMAREX ENERGY CO COM -601 Sold Out 0
CLEARBRIDGE ENERGY MLP OPP FD COM -1,488 Sold Out 0
CLEARBRIDGE ENERGY MLP TR FD COM -4,425 Sold Out 0
CLIFFS NAT RES INC COM -165 Sold Out 0
CONTINENTAL RESOURCES INC COM -313 Sold Out 0
DEERE & CO COM -1,002 Sold Out 0
ENTERGY CORP NEW COM -599 Sold Out 0
HANCOCK JOHN PFD INCOME FD III COM -2,527 Sold Out 0
INFOSYS LTD SPONSORED ADR -571 Sold Out 0
NEWFIELD EXPL CO COM -305 Sold Out 0
OASIS PETE INC NEW COM -240 Sold Out 0