NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 124
New Positions 19
Increased Positions 26
Decreased Positions 95
Positions with Activity 121
Sold Out Positions 26
Total Mkt Value (in $ millions) 159

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

Sector Weighting

Basic Materials 10.07%
Capital Goods 2.32%
Conglomerates
Consumer Cyclical 0.85%
Consumer/Non-Cyclical
Energy 7.04%
Financial 70.75%
Healthcare
Services 0.6%
Technology 5.48%
Transportation 0.11%
Utilities 2.35%

124 Positions as of 09/30/2014

Company ▲ Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
ABERDEEN ASIA PACIFIC INCOM FD COM 2,780 2,780 New 509,100
ADVANCED SEMICONDUCTOR ENGR SPONSORED ADR 1,298 -6,491 (83.34) 209,016
AES CORP COM 553 553 New 38,855
ALLIANCEBERNSTEIN GBL HGH INCM COM 8,416 3,142 59.59 676,497
ANGLOGOLD ASHANTI LTD SPONSORED ADR -2,577 Sold Out 0
APPLE INC COM 1,039 New 9,114
APPROACH RESOURCES INC COM 234 -154 (39.7) 33,531
BAIDU INC SPON ADR REP A 2,517 -11,026 (81.42) 10,715
BAKER HUGHES INC COM 951 951 New 16,886
BANCO BRADESCO S A SP ADR PFD NEW 585 -2,853 (82.98) 44,754
BANCO DE CHILE SPONSORED ADR -2,290 Sold Out 0
BANK AMER CORP COM 465 New 25,837
BHP BILLITON PLC SPONSORED ADR 665 -1,122 (62.79) 15,340
BLACKROCK DEBT STRAT FD INC COM 2,916 2,916 New 783,931
BLACKROCK MUN INCOME TR BRIC ETF 1,821 -488 (21.14) 129,247
BLACKROCK MUN TARGET TERM TR COM SHS BEN IN 535 -1,269 (70.35) 26,550
BLACKROCK MUNI INCOME TR II COM 2,087 -247 (10.58) 131,922
BLACKROCK MUNIHLDGS NY QLTY FD COM 826 826 New 59,312
BLACKROCK MUNIHLDNGS QLTY II COM 2,497 -239 (8.72) 186,448
BLACKROCK MUNIHOLDINGS FD INC COM 2,127 682 47.23 126,170


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