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 21.88%
Capital Goods 4.95%
Conglomerates
Consumer Cyclical 2.51%
Consumer/Non-Cyclical
Energy 13.01%
Financial 40%
Healthcare
Services 0.09%
Technology 13.47%
Transportation 0.68%
Utilities 3.12%

137 Positions as of 03/31/2014

Company ▲ Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
ABERDEEN ASIA PACIFIC INCOM FD COM -3,906 Sold Out 0
ADVANCED SEMICONDUCTOR ENGR SPONSORED ADR 11,871 -2,486 (17.32) 1,804,121
AK STL HLDG CORP COM 2,996 2,996 New 331,453
ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT N 4,600 -7,770 (62.82) 514,487
ANADARKO PETE CORP COM -4,298 Sold Out 0
APOLLO GLOBAL MGMT LLC CL A SHS 256 New 9,253
APPLE INC COM 886 New 9,114
BAIDU INC SPON ADR REP A 13,797 -2,674 (16.23) 68,946
BAKER HUGHES INC COM -5,309 Sold Out 0
BANK OF AMERICA CORPORATION COM 401 -3 (0.72) 25,837
BHP BILLITON PLC SPONSORED ADR 3,810 -211 (5.25) 54,295
BLACKROCK ENH CAP & INC FD INC COM -4,629 Sold Out 0
BLACKROCK ENHANCED EQT DIV TR COM 1,366 1,366 New 161,619
BLACKROCK MUN TARGET TERM TR COM SHS BEN IN 1,581 1,581 New 80,479
BLACKROCK MUNI INCOME TR II COM 1,054 1,054 New 72,910
BLACKROCK MUNIASSETS FD INC COM -575 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM 1,406 1,406 New 103,511
BLACKROCK MUNIHLDNGS QLTY II COM 3,144 2,783 771.22 239,429
BLACKROCK MUNIHOLDINGS FD INC COM 939 939 New 58,418
BLACKROCK MUNIYIELD FD INC COM 535 535 New 37,544