NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 144
New Positions 25
Increased Positions 54
Decreased Positions 85
Positions with Activity 139
Sold Out Positions 36
Total Mkt Value (in $ millions) 530

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

Sector Weighting

Basic Materials 18.9%
Capital Goods 6.9%
Conglomerates
Consumer Cyclical 3.12%
Consumer/Non-Cyclical
Energy 16.23%
Financial 36.47%
Healthcare
Services 1.64%
Technology 12.55%
Transportation
Utilities 3.75%

144 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
3-D SYS CORP DEL COM NEW -299 Sold Out 0
ASHLAND INC NEW COM -3,409 Sold Out 0
AXIALL CORP COM -4,900 Sold Out 0
BLACKROCK INCOME TR INC COM -3,731 Sold Out 0
BRASKEM S A SP ADR PFD A -5,373 Sold Out 0
CALPINE CORP COM NEW -4,084 Sold Out 0
CAMERON INTERNATIONAL CORP COM -4,806 Sold Out 0
COEUR MNG INC COM NEW -271 Sold Out 0
COLUMBIA SELIGM PREM TECH GRW COM -2,769 Sold Out 0
DWS HIGH INCOME OPPORT FD INC COM NEW -3,854 Sold Out 0
ENSCO PLC SHS CLASS A -3,206 Sold Out 0
FMC TECHNOLOGIES INC COM -1,645 Sold Out 0
FOREST OIL CORP COM PAR $0.01 -746 Sold Out 0
GOLDCORP INC NEW COM -501 Sold Out 0
HDFC BANK LTD ADR REPS 3 SHS -10,944 Sold Out 0
HESS CORP COM -2,129 Sold Out 0
IAMGOLD CORP COM -188 Sold Out 0
ISHARES MSCI STH KOR ETF -3,524 Sold Out 0
KAYNE ANDERSON MDSTM ENERGY FD COM -2,060 Sold Out 0
KINROSS GOLD CORP COM NO PAR -234 Sold Out 0