NEWGATE CAPITAL MANAGEMENT LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 124
New Positions 19
Increased Positions 26
Decreased Positions 95
Positions with Activity 121
Sold Out Positions 26
Total Mkt Value (in $ millions) 153

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

Sector Weighting

Basic Materials 9.65%
Capital Goods 2.32%
Conglomerates
Consumer Cyclical 0.86%
Consumer/Non-Cyclical
Energy 6.72%
Financial 71.68%
Healthcare
Services 0.55%
Technology 5.43%
Transportation 0.11%
Utilities 2.24%

124 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
ANGLOGOLD ASHANTI LTD SPONSORED ADR -2,217 Sold Out 0
BANCO DE CHILE SPONSORED ADR -2,253 Sold Out 0
COMPANHIA SIDERURGICA NACIONAL SPONSORED ADR -2,055 Sold Out 0
DIANA SHIPPING INC COM -492 Sold Out 0
DOMTAR CORP COM NEW -1,426 Sold Out 0
DRYSHIPS INC SHS -202 Sold Out 0
EASTMAN CHEM CO COM -1,298 Sold Out 0
FIRST TR MLP & ENERGY INCOME COM -2,794 Sold Out 0
GENERAL MTRS CO COM -362 Sold Out 0
HDFC BANK LTD ADR REPS 3 SHS -2,290 Sold Out 0
INVESCO MUN OPPORTUNITY TR COM -899 Sold Out 0
ISHARES NAT AMT FREE BD -448 Sold Out 0
MARATHON OIL CORP COM -713 Sold Out 0
MARKET VECTORS ETF TR EM LC CURR DBT -1,822 Sold Out 0
NEUBERGER BERMAN RE ES SEC FD COM -1,639 Sold Out 0
NUVEEN CA DIVIDEND ADV MUN FD COM -965 Sold Out 0
NUVEEN ENERGY MLP TOTL RTRNFD COM -3,058 Sold Out 0
OI S.A. SPN ADR REP PFD -26 Sold Out 0
PETROLEO BRASILEIRO SA PETROBR SP ADR NON VTG -1,082 Sold Out 0
POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN -465 Sold Out 0