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) 390

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

Sector Weighting

Basic Materials 18.75%
Capital Goods 4.29%
Conglomerates
Consumer Cyclical 2.65%
Consumer/Non-Cyclical
Energy 13.81%
Financial 44.06%
Healthcare
Services 0.58%
Technology 12.76%
Transportation 0.7%
Utilities 2.38%

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 -3,387 Sold Out 0
ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT N -4,538 Sold Out 0
APOLLO GLOBAL MGMT LLC CL A SHS -219 Sold Out 0
BLACKROCK ENHANCED EQT DIV TR COM -1,338 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM -1,396 Sold Out 0
BLACKSTONE GROUP L P COM UNIT LTD -421 Sold Out 0
CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT -3,472 Sold Out 0
CLEARBRIDGE ENERGY MLP FD INC COM -1,436 Sold Out 0
COHEN & STEERS SLT PFD INCM FD COM -1,114 Sold Out 0
EATON VANCE CALIF MUN BD FD COM -2,177 Sold Out 0
GLOBAL HIGH INCOME FUND INC COM -2,382 Sold Out 0
GLOBE SPECIALTY METALS INC COM -1,893 Sold Out 0
INVESCO ADVANTAGE MUNICIPAL IN SH BEN INT -1,040 Sold Out 0
KODIAK OIL & GAS CORP COM -3,445 Sold Out 0
NORTHERN OIL & GAS INC NEV COM -2,935 Sold Out 0
NOW INC COM -442 Sold Out 0
NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT -3,251 Sold Out 0
NUVEEN DIVID ADVANTAGE MUN INC COM -1,001 Sold Out 0
NUVEEN MUN ADVANTAGE FD INC COM -1,069 Sold Out 0
NUVEEN PFD INCOME OPPRTNY FD COM -3,936 Sold Out 0