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) 152

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

Sector Weighting

Basic Materials 7.68%
Capital Goods 2.1%
Conglomerates 3.57%
Consumer Cyclical 1.04%
Consumer/Non-Cyclical
Energy 6.16%
Financial 65.9%
Healthcare 0.5%
Services 1.98%
Technology 5.59%
Transportation 0%
Utilities 4.45%

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 -2,815 Sold Out 0
APPROACH RESOURCES INC COM -222 Sold Out 0
BLACKROCK MUN INCOME TR SH BEN INT -1,897 Sold Out 0
BLACKROCK MUN TARGET TERM TR COM SHS BEN IN -571 Sold Out 0
BLACKROCK MUNI INCOME TR II COM -2,175 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM -854 Sold Out 0
BLACKROCK MUNIHOLDINGS FD INC COM -2,229 Sold Out 0
BLACKROCK MUNIYIELD FD INC COM -545 Sold Out 0
BLACKROCK MUNIYIELD QUALITY FD COM -1,152 Sold Out 0
CIMAREX ENERGY CO COM -542 Sold Out 0
CLEARBRIDGE ENERGY MLP OPP FD COM -1,537 Sold Out 0
CLEARBRIDGE ENERGY MLP TR FD COM -4,582 Sold Out 0
CLIFFS NAT RES INC COM -199 Sold Out 0
CONTINENTAL RESOURCES INC COM -326 Sold Out 0
DEERE & CO COM -975 Sold Out 0
ENTERGY CORP NEW COM -699 Sold Out 0
HANCOCK JOHN PFD INCOME FD III COM -2,501 Sold Out 0
INFOSYS LTD SPONSORED ADR -564 Sold Out 0
NEWFIELD EXPL CO COM -257 Sold Out 0
OASIS PETE INC NEW COM -232 Sold Out 0