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) 393

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

Sector Weighting

Basic Materials 18.26%
Capital Goods 4.35%
Conglomerates
Consumer Cyclical 2.71%
Consumer/Non-Cyclical
Energy 14.27%
Financial 44.2%
Healthcare
Services 0.56%
Technology 12.6%
Transportation 0.71%
Utilities 2.34%

130 Positions as of 06/30/2014

Company Class ▲ Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
ICICI BK LTD ADR 6,070 -2,229 (26.86) 113,461
MELCO CROWN ENTMT LTD ADR 2,162 2,162 New 76,249
VALE S A ADR 7,065 -6,126 (46.44) 540,964
HDFC BANK LTD ADR REPS 3 SHS 2,330 -863 (27.03) 46,897
BLACKROCK MUN INCOME TR BRIC ETF 2,286 2,286 New 163,883
APOLLO GLOBAL MGMT LLC CL A SHS -226 Sold Out 0
FREEPORT-MCMORAN INC CL B 3,976 -1,229 (23.61) 109,327
TECK RESOURCES LTD CL B -2,966 Sold Out 0
AK STL HLDG CORP COM -3,619 Sold Out 0
ALLIANCEBERNSTEIN GBL HGH INCM COM 5,917 5,917 New 423,886
APPLE INC COM 934 New 9,114
APPROACH RESOURCES INC COM 994 994 New 55,602
BANK OF AMERICA CORPORATION COM 416 New 25,837
BLACKROCK ENHANCED EQT DIV TR COM -1,362 Sold Out 0
BLACKROCK MUNI INCOME TR II COM 2,170 1,098 102.34 147,526
BLACKROCK MUNIHLDGS NY QLTY FD COM -1,412 Sold Out 0
BLACKROCK MUNIHLDNGS QLTY II COM 2,700 -465 (14.69) 204,263
BLACKROCK MUNIHOLDINGS FD INC COM 1,390 442 46.69 85,695
BLACKROCK MUNIYIELD FD INC COM 570 25 4.54 39,249
BLACKROCK MUNIYIELD QUALITY FD COM 1,450 -169 (10.45) 95,043