13F-HR filed by NEWGATE CAPITAL MANAGEMENT LLC
NEWGATE CAPITAL MANAGEMENT LLC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-10-15, with 119 holding rows worth $571,184,000.
- Accession
- 0001398344-13-004832
- Filer
- CIK 939761
- Filed
- 2013-10-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 119 entries on the cover page, a total value of $571,184,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $571,189,000 with VALUE read as thousands by filing date, 13F file number 028-03871. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 1,260,417 | $21,377,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 1,071,793 | $16,731,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 4,008,908 | $16,116,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 100,914 | $15,660,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 1,083,747 | $15,303,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 673,304 | $15,284,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 73,684 | $14,869,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 1,706,025 | $14,740,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 302,857 | $14,570,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 540,778 | $14,396,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 2,855,767 | $13,651,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 312,171 | $12,643,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 763,176 | $11,822,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 798,683 | $11,150,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 986,798 | $11,032,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 1,663,505 | $10,231,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 75,112 | $9,649,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 889,577 | $9,252,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,597,334 | $9,233,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 580,163 | $8,557,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 1,583,802 | $8,331,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 268,430 | $8,262,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 295,681 | $8,054,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 217,356 | $7,612,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 84,065 | $6,566,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 766,009 | $6,251,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 717,452 | $6,227,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 520,106 | $6,226,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 616,590 | $6,166,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 606,847 | $6,081,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 645,184 | $6,032,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 370,073 | $5,903,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 959,501 | $5,815,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 79,228 | $5,802,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 534,873 | $5,504,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 54,876 | $5,103,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 383,211 | $4,959,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 293,343 | $4,919,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 147,633 | $4,884,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 100,470 | $4,838,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 153,028 | $4,664,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 41,250 | $4,424,000 | thousands by filing date | |
| CAMERON INTERNATIONAL CORP | 13342B105 | COM | 75,582 | $4,412,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 176,706 | $4,377,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 162,094 | $4,351,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 122,818 | $4,133,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 76,882 | $4,059,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 195,567 | $4,031,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 148,850 | $3,921,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 102,247 | $3,864,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 571,373 | $3,811,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 265,993 | $3,764,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 62,863 | $3,762,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 191,130 | $3,714,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 47,145 | $3,673,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 100,451 | $3,654,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 404,334 | $3,631,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 73,824 | $3,600,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 53,222 | $3,539,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 64,136 | $3,447,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 205,687 | $3,441,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 55,338 | $3,403,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 267,115 | $3,392,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 35,229 | $3,258,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 543,972 | $3,253,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 686,368 | $3,102,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 146,956 | $3,026,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 121,158 | $3,017,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 230,319 | $2,962,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 157,299 | $2,916,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 157,285 | $2,863,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 217,467 | $2,821,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 99,807 | $2,732,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 154,266 | $2,661,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 45,327 | $2,634,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 358,276 | $2,572,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 148,230 | $2,478,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 173,085 | $2,460,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 204,409 | $2,445,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 49,825 | $2,442,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 192,083 | $2,438,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 53,617 | $2,417,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 386,739 | $2,359,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 116,920 | $2,308,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 345,445 | $2,024,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 11,488 | $1,919,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 99,529 | $1,902,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 59,069 | $1,895,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 24,390 | $1,886,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 148,121 | $1,868,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 152,281 | $1,867,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 148,252 | $1,855,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 37,325 | $1,834,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 10,806 | $1,829,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 127,363 | $1,787,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 14,832 | $1,783,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 30,010 | $1,663,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 132,998 | $1,374,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 227,501 | $1,110,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 72,937 | $926,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 66,988 | $845,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 114,162 | $803,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,302 | $621,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 21,223 | $552,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 44,302 | $538,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 53,869 | $407,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 31,869 | $384,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 26,023 | $359,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 7,068 | $343,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 6,216 | $336,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 12,794 | $318,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 57,471 | $290,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 9,860 | $277,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 24,941 | $273,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,593 | $271,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 9,253 | $261,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 54,653 | $260,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 35,928 | $254,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 3,005 | $243,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-13-004832 | this filing | 2013-10-15 | acceptance time not in the bulk data set |