NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 137
New Positions 28
Increased Positions 54
Decreased Positions 80
Positions with Activity 134
Sold Out Positions 30
Total Mkt Value (in $ millions) 494

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

Sector Weighting

Basic Materials 21.92%
Capital Goods 4.96%
Conglomerates
Consumer Cyclical 2.53%
Consumer/Non-Cyclical
Energy 13.05%
Financial 39.9%
Healthcare
Services 0.09%
Technology 13.39%
Transportation 0.69%
Utilities 3.18%

137 Positions as of 03/31/2014

Company Class ▲ Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
ICICI BK LTD ADR 8,023 1,840 29.76 155,124
VALE S A ADR 14,575 -1,273 (8.03) 1,010,038
HDFC BANK LTD ADR REPS 3 SHS 3,159 3,159 New 64,265
APOLLO GLOBAL MGMT LLC CL A SHS 253 New 9,253
FREEPORT-MCMORAN INC CL B 5,542 -602 (9.8) 143,123
TECK RESOURCES LTD CL B 3,090 -405 (11.58) 130,448
ABERDEEN ASIA PACIFIC INCOM FD COM -3,881 Sold Out 0
AK STL HLDG CORP COM 2,960 2,960 New 331,453
ANADARKO PETE CORP COM -4,201 Sold Out 0
APPLE INC COM 863 New 9,114
BAKER HUGHES INC COM -5,312 Sold Out 0
BANK OF AMERICA CORPORATION COM 401 -3 (0.72) 25,837
BLACKROCK ENH CAP & INC FD INC COM -4,593 Sold Out 0
BLACKROCK ENHANCED EQT DIV TR COM 1,359 1,359 New 161,619
BLACKROCK MUNI INCOME TR II COM 1,048 1,048 New 72,910
BLACKROCK MUNIASSETS FD INC COM -575 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM 1,403 1,403 New 103,511
BLACKROCK MUNIHLDNGS QLTY II COM 3,127 2,768 771.22 239,429
BLACKROCK MUNIHOLDINGS FD INC COM 938 938 New 58,418
BLACKROCK MUNIYIELD FD INC COM 535 535 New 37,544