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) 393

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

Sector Weighting

Basic Materials 18.26%
Capital Goods 4.35%
Conglomerates
Consumer Cyclical 2.71%
Consumer/Non-Cyclical
Energy 14.27%
Financial 44.2%
Healthcare
Services 0.56%
Technology 12.6%
Transportation 0.71%
Utilities 2.34%

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 -3,619 Sold Out 0
ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT N -4,569 Sold Out 0
APOLLO GLOBAL MGMT LLC CL A SHS -226 Sold Out 0
BLACKROCK ENHANCED EQT DIV TR COM -1,362 Sold Out 0
BLACKROCK MUNIHLDGS NY QLTY FD COM -1,412 Sold Out 0
BLACKSTONE GROUP L P COM UNIT LTD -429 Sold Out 0
CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT -3,466 Sold Out 0
CLEARBRIDGE ENERGY MLP FD INC COM -1,410 Sold Out 0
COHEN & STEERS SLT PFD INCM FD COM -1,101 Sold Out 0
EATON VANCE CALIF MUN BD FD COM -2,172 Sold Out 0
GLOBAL HIGH INCOME FUND INC COM -2,408 Sold Out 0
GLOBE SPECIALTY METALS INC COM -1,985 Sold Out 0
INVESCO ADVANTAGE MUNICIPAL IN SH BEN INT -1,041 Sold Out 0
KODIAK OIL & GAS CORP COM -3,666 Sold Out 0
NORTHERN OIL & GAS INC NEV COM -3,016 Sold Out 0
NOW INC COM -450 Sold Out 0
NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT -3,300 Sold Out 0
NUVEEN DIVID ADVANTAGE MUN INC COM -1,012 Sold Out 0
NUVEEN MUN ADVANTAGE FD INC COM -1,093 Sold Out 0
NUVEEN PFD INCOME OPPRTNY FD COM -3,957 Sold Out 0