NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 133
New Positions 35
Increased Positions 53
Decreased Positions 78
Positions with Activity 131
Sold Out Positions 29
Total Mkt Value (in $ millions) 157

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

Sector Weighting

Basic Materials 8.41%
Capital Goods 2.09%
Conglomerates 3.5%
Consumer Cyclical 0.85%
Consumer/Non-Cyclical
Energy 7.13%
Financial 65%
Healthcare 0.47%
Services 1.81%
Technology 5.27%
Transportation 0%
Utilities 4.37%

133 Positions as of 12/31/2014

Company ▲ Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
ABERDEEN ASIA PACIFIC INCOM FD COM -2,795 Sold Out 0
ADVANCED SEMICONDUCTOR ENGR SPONSORED ADR 1,378 -100 (6.76) 194,879
AES CORP COM 460 -64 (12.16) 34,131
ALIBABA GROUP HLDG LTD SPONSORED ADS 307 307 New 3,857
ALLIANCEBERNSTEIN GBL HGH INCM COM 7,506 -1,011 (11.87) 596,203
ALON USA ENERGY INC COM 298 298 New 18,043
AMERICA MOVIL SAB DE CV SPON ADR L SHS 1,088 1,088 New 52,480
APPLE INC COM 1,147 New 9,114
APPROACH RESOURCES INC COM -284 Sold Out 0
BAIDU INC SPON ADR REP A 1,876 -211 (10.12) 9,631
BAKER HUGHES INC COM 1,000 -142 (12.46) 14,782
BANCO BRADESCO S A SP ADR PFD NEW 1,029 462 81.60 97,526
BANK AMER CORP COM 422 New 25,837
BHP BILLITON PLC SPONSORED ADR 649 -103 (13.74) 13,232
BLACKROCK DEBT STRAT FD INC COM 7,106 4,135 139.17 1,874,924
BLACKROCK FLOAT RATE OME STRAT COM 1,676 1,676 New 120,463
BLACKROCK MUN INCOME TR SH BEN INT -1,847 Sold Out 0
BLACKROCK MUN TARGET TERM TR COM SHS BEN IN -550 Sold Out 0
BLACKROCK MUNI INCOME TR II COM -1,972 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM -833 Sold Out 0