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) 376

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

Sector Weighting

Basic Materials 18.2%
Capital Goods 4.53%
Conglomerates
Consumer Cyclical 2.75%
Consumer/Non-Cyclical
Energy 13.54%
Financial 44.69%
Healthcare
Services 0.56%
Technology 13.19%
Transportation 0.66%
Utilities 1.88%

130 Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held ▲
AK STL HLDG CORP COM -3,122 Sold Out 0
ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT N -4,527 Sold Out 0
APOLLO GLOBAL MGMT LLC CL A SHS -210 Sold Out 0
BLACKROCK ENHANCED EQT DIV TR COM -1,345 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM -1,383 Sold Out 0
BLACKSTONE GROUP L P COM UNIT LTD -424 Sold Out 0
CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT -3,481 Sold Out 0
CLEARBRIDGE ENERGY MLP FD INC COM -1,365 Sold Out 0
COHEN & STEERS SLT PFD INCM FD COM -1,088 Sold Out 0
EATON VANCE CALIF MUN BD FD COM -2,138 Sold Out 0
GLOBAL HIGH INCOME FUND INC COM -2,323 Sold Out 0
GLOBE SPECIALTY METALS INC COM -1,977 Sold Out 0
INVESCO ADVANTAGE MUNICIPAL IN SH BEN INT -1,031 Sold Out 0
KODIAK OIL & GAS CORP COM -3,163 Sold Out 0
NORTHERN OIL & GAS INC NEV COM -2,713 Sold Out 0
NOW INC COM -436 Sold Out 0
NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT -3,277 Sold Out 0
NUVEEN DIVID ADVANTAGE MUN INC COM -1,003 Sold Out 0
NUVEEN MUN ADVANTAGE FD INC COM -1,078 Sold Out 0
NUVEEN PFD INCOME OPPRTNY FD COM -3,874 Sold Out 0