NEWGATE CAPITAL MANAGEMENT LLC

13F filer, CIK 939761, Greenwich, CT

NEWGATE CAPITAL MANAGEMENT LLC reported $171,920,000 across 99 holdings for the quarter ended 2014-09-30, in a 13F-HR filed 2014-10-09. Its ten largest share positions make up 39.62% of the portfolio.

Filed 2014-10-09 (acceptance time not in the bulk data set), ingested 2026-10-07 19:26:03 UTC13F-HR 0001398344-14-005239

Period: 2014-09-30
Reported value: $172M
Holdings: 99
Top 10 weight: 39.62%
New: 19
Sold out: 26

Largest buys vs the previous quarter

Security	Shares change	Approx. value
XAWFXadded	+252,611	$3.44M
ABERDEEN ASIA-PACIFIC INCOM…new	+509,100	$3M
BLACKROCK DEBT STRAT FD INCnew	+783,931	$3M
TEInew	+188,288	$2.4M
HPSnew	+135,435	$2.37M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

Security	Shares change	Approx. value
TSMreduced	-642,987	-$13M
BIDUreduced	-46,943	-$10.2M
INFYreduced	-131,293	-$7.95M
TATA MTRS LTDreduced	-180,027	-$7.87M
VOYA NAT RES EQUITY INCOME Fexited	-659,945	-$7.59M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2014

Share positions as resolved from 13F-HR 0001398344-14-005239, largest first. % of portfolio is the value over $171,923,000, the sum of the share positions whose value is usable for ratios (method).

Security	Shares	Value	% of portfolio	Change	Timeline
XJQCXNUVEEN CR STRATEGIES INCOME	1,737,091	$15.5M	9.02%	-238,498	Timeline
XAWFXALLIANCEBERNSTEIN GLOBAL HIG	676,497	$9.2M	5.35%	+252,611	Timeline
BLACKROCK REAL ASSET EQUITYBLACKROCK REAL ASSET EQUITY	792,179	$6.71M	3.9%	-143,156
VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUST	1,133,597	$6.24M	3.63%	-67,319
VVRINVESCO SR INCOME TR	1,291,635	$6.13M	3.57%	+86,060	Timeline
BCXBLACKROCK RES & COMMODITIES	512,679	$5.76M	3.35%	-179,602	Timeline
CLEARBRIDGE MLP AND MIDSTRMCLEARBRIDGE MLP AND MIDSTRM	224,720	$5.18M	3.01%	-39,571
INVESCO DYNAMIC CR OPPORTUNIINVESCO DYNAMIC CR OPPORTUNI	410,399	$5.07M	2.95%	+41,057
TEMPLETON GLOBAL INCOME FDTEMPLETON GLOBAL INCOME FD	541,576	$4.31M	2.5%	-68,098
BGXBLACKSTONE LONG SHORT CR INC	240,811	$4.02M	2.34%	-29,476	Timeline
JFRNUVEEN FLOATING RATE INCOME	355,661	$4.01M	2.34%	-49,772	Timeline
NUVEEN SHORT DURATION CREDITNUVEEN SHORT DURATION CREDIT	234,468	$4.01M	2.33%	+71,864
NUVEEN SENIOR INCOME FUNDNUVEEN SENIOR INCOME FUND	598,468	$4M	2.33%	-87,089
BGBBLACKSTONE STRATEGIC CRED 20	182,396	$3.06M	1.78%	+94,112	Timeline
EVFEATON VANCE SR INCOME TR	467,915	$3.05M	1.77%	+27,873	Timeline
ABERDEEN ASIA-PACIFIC INCOM…ABERDEEN ASIA-PACIFIC INCOME F	509,100	$3M	1.75%	new
BLACKROCK DEBT STRAT FD INCBLACKROCK DEBT STRAT FD INC	783,931	$3M	1.74%	new
BLACKROCK MUNIHOLDINGS QUAL…BLACKROCK MUNIHOLDINGS QUALITY	186,448	$2.48M	1.44%	-17,815
TSMTAIWAN SEMICONDUCTOR MANUFAC	120,742	$2.44M	1.42%	-642,987	Timeline
TEITEMPLETON EMERGING MKTS INCO	188,288	$2.4M	1.39%	new	Timeline
HPSHANCOCK JOHN PFD INCOME FD I	135,435	$2.37M	1.38%	new	Timeline
BIDUBAIDU INC	10,715	$2.34M	1.36%	-46,943	Timeline
CFCF INDUSTRIES HOLD	7,302	$2.04M	1.19%	new	Timeline
MHDBLACKROCK MUNIHOLDINGS FD IN	126,170	$2.03M	1.18%	+40,475	Timeline
CXCEMEX SAB DE CV	146,867	$1.92M	1.11%	-559,679	Timeline
BLACKROCK MUNI INC TR IIBLACKROCK MUNI INC TR II	131,922	$1.9M	1.1%	-15,604
HALHALLIBURTON CO	28,576	$1.84M	1.07%	-55,263	Timeline
BLACKROCK MUN INCOME TRBLACKROCK MUN INCOME TR	129,247	$1.77M	1.03%	-34,636
CLEARBRIDGE ENERGY MIDSTRM OCLEARBRIDGE ENERGY MIDSTRM O	71,472	$1.74M	1.01%	-16,841
NUVNUVEEN MUN VALUE FD INC	171,127	$1.61M	0.94%	new	Timeline
IBNICICI BK LTD	30,991	$1.52M	0.89%	-82,470	Timeline
VALEVALE S A	133,952	$1.48M	0.86%	-407,012	Timeline
ITUBITAU UNIBANCO HLDG S A	106,123	$1.47M	0.86%	-517,252	Timeline
TATA MTRS LTDTATA MTRS LTD	32,694	$1.43M	0.83%	-180,027
LYBLYONDELLBASELL INDUSTRIES NV	11,676	$1.27M	0.74%	-22,496	Timeline
SCCOSOUTHERN COPPER CORP	42,549	$1.26M	0.73%	-144,600	Timeline
FCXFREEPORT MCMORAN INC	38,570	$1.26M	0.73%	-70,757	Timeline
ADVANCED SEMICONDUCTOR ENGRADVANCED SEMICONDUCTOR ENGR	209,016	$1.24M	0.72%	-1,045,298
BAKER HUGHES INCBAKER HUGHES INC	16,886	$1.1M	0.64%	new
WLKWESTLAKE CORPORATION	12,626	$1.09M	0.64%	-16,881	Timeline
MQYBLACKROCK MUNIYILD QULT FD I	71,818	$1.07M	0.62%	-23,225	Timeline
HUNHUNTSMAN CORP	40,826	$1.06M	0.62%	-80,945	Timeline
HUANENG PWR INTL INCHUANENG PWR INTL INC	23,355	$1.02M	0.59%	new
PBRPETROLEO BRASILEIRO S A	71,718	$1.02M	0.59%	-326,340	Timeline
MLCOMELCO RESORTS AND ENTMNT LTD	37,906	$997K	0.58%	-38,343	Timeline
NBISNEBIUS GROUP N.V.	35,450	$985K	0.57%	-102,235	Timeline
KBKB FINL GROUP INC	27,106	$982K	0.57%	-149,916	Timeline
CIGCIA ENERGETICA DE MINAS GERA	157,320	$980K	0.57%	-913,936	Timeline
CECELANESE CORP DEL	16,663	$975K	0.57%	-31,638	Timeline
RIORIO TINTO PLC	19,362	$952K	0.55%	-25,482	Timeline
DEDEERE & CO	11,350	$931K	0.54%	-21,675	Timeline
AAPLAPPLE INC	9,114	$918K	0.53%	0	Timeline
BHPBHP BILLITON LIMITED	15,340	$903K	0.53%	-25,887	Timeline
SESA STERLITE LTDSESA STERLITE LTD	51,489	$889K	0.52%	-255,266
DELEK US HOLDINGS INCDELEK US HOLDINGS INC	26,366	$873K	0.51%	-49,383
SHGSHINHAN FINANCIAL GROUP CO L	19,137	$870K	0.51%	-121,508	Timeline
WHITING PETE CORP NEWWHITING PETE CORP NEW	11,217	$870K	0.51%	-25,833
BAPCREDICORP LTD	5,565	$854K	0.5%	-28,112	Timeline
TRNTRINITY INDS INC	18,149	$848K	0.49%	-34,468	Timeline
TESORO CORPTESORO CORP	13,376	$816K	0.47%	-25,391
MEOHMETHANEX CORP	11,933	$797K	0.46%	-22,893	Timeline
STLDSTEEL DYNAMICS INC	35,122	$794K	0.46%	-68,396	Timeline
BLACKROCK MUNIHLDGS NY QLTYBLACKROCK MUNIHLDGS NY QLTY	59,312	$792K	0.46%	new
CHORD ENERGY CORPORATIONCHORD ENERGY CORPORATION	18,010	$753K	0.44%	-24,112
ENCANA CORPENCANA CORP	34,722	$736K	0.43%	-58,687
NATIONAL OILWELL VARCO INCNATIONAL OILWELL VARCO INC	9,526	$725K	0.42%	-18,352
CNQCANADIAN NAT RES LTD MED TER	18,145	$705K	0.41%	-34,085	Timeline
NABORS INDUSTRIES LTDNABORS INDUSTRIES LTD	30,120	$686K	0.4%	new
SHIP FINANCE INTL LTDSHIP FINANCE INTL LTD	40,401	$684K	0.4%	-51,140
CIMAREX ENERGY CO COMCIMAREX ENERGY CO COM	5,386	$681K	0.4%	-10,406
WESTERN REFNG INCWESTERN REFNG INC	16,098	$676K	0.39%	-30,882
OCEAN RIG UDW INCOCEAN RIG UDW INC	41,086	$662K	0.39%	-59,969
BBDBANCO BRADESCO S A	44,754	$638K	0.37%	-218,265	Timeline
UNITED STATES STL CORP NEWUNITED STATES STL CORP NEW	15,479	$606K	0.35%	-48,214
ETRENTERGY CORP NEW	7,779	$602K	0.35%	new	Timeline
WORWORTHINGTON ENTERPRISES INC	16,107	$600K	0.35%	-21,085	Timeline
HOLLYFRONTIER CORPHOLLYFRONTIER CORP	13,318	$582K	0.34%	-25,217
AESAES CORP	38,855	$551K	0.32%	new	Timeline
BTTBLACKROCK MUN TARGET TERM TR	26,550	$528K	0.31%	-62,989	Timeline
SANDRIDGE ENERGY INCSANDRIDGE ENERGY INC	121,750	$522K	0.3%	-231,544
XMYDXBLACKROCK MUNIYIELD FUND	35,880	$509K	0.3%	-3,369	Timeline
CONTINENTAL RES INCCONTINENTAL RES INC	7,641	$508K	0.3%	-9,140
EOGEOG RES INC	5,033	$498K	0.29%	-6,684	Timeline
STILLWATER MINING COSTILLWATER MINING CO	32,957	$495K	0.29%	new
INFYINFOSYS LTD	8,146	$493K	0.29%	-131,293	Timeline
APPROACH RESOURCES INCAPPROACH RESOURCES INC	33,531	$486K	0.28%	-22,071
EGA EMERGING GLOBAL SHS TREGA EMERGING GLOBAL SHS TR	36,060	$464K	0.27%	new
SILVER STD RES INCSILVER STD RES INC	72,418	$442K	0.26%	-139,702
BACBANK OF AMER CORP	25,837	$441K	0.26%	0	Timeline
COMPANHIA PARANAENSE ENERG CCOMPANHIA PARANAENSE ENERG C	30,032	$411K	0.24%	new
CCITIGROUP INC	7,818	$405K	0.24%	0	Timeline
ASHRDBX ETF TR	15,274	$394K	0.23%	new	Timeline
DVNDEVON ENERGY CORP NEW	5,276	$360K	0.21%	new	Timeline
CLIFFS NATURAL RESOURCESCLIFFS NATURAL RESOURCES	32,521	$338K	0.2%	-57,193
NEWFIELD EXPL CONEWFIELD EXPL CO	9,027	$335K	0.19%	-55,578
CVECENOVUS ENERGY INC	12,389	$333K	0.19%	-13,806	Timeline
SBSAFE BULKERS INC	41,806	$278K	0.16%	-82,558	Timeline
TWITTER INCTWITTER INC	4,326	$223K	0.13%	new
PMMFRANKLIN MANAGED MUN INCOME	19,417	$137K	0.08%	new	Timeline

Sold out in Q3 2014

Positions in the previous quarter's report that this quarter's report no longer lists.

Security	Shares before	Value before	Type
VOYA NAT RES EQUITY INCOME FVOYA NAT RES EQUITY INCOME F	659,945	$7.59M	shares
Anglogold Ashanti PlcAnglogold Ashanti Plc	294,858	$5.08M	shares
SIDCOMPANHIA SIDERURGICA NACION	1,154,682	$4.92M	shares
NUVEEN ENERGY MLP TOTL RTRNFNUVEEN ENERGY MLP TOTL RTRNF	168,016	$3.73M	shares
FIRST TRUST MLP AND ENERGY …FIRST TRUST MLP AND ENERGY INC	146,440	$3.16M	shares
BCHBANCO DE CHILE	32,582	$2.55M	shares
PBR-APETROLEO BRASILEIRO S A	161,014	$2.52M	shares
SUSUNCOR ENERGY INC NEW	56,479	$2.41M	shares
SILVER WHEATON CORPSILVER WHEATON CORP	89,746	$2.36M	shares
HDBHDFC BANK LTD	46,897	$2.2M	shares
POWERSHARESPOWERSHARES	73,456	$2.14M	shares
MKT VECTORS EMRG MKT LCL CMKT VECTORS EMRG MKT LCL C	87,869	$2.13M	shares
NRONEUBERGER R/EST SECS INC FD	323,227	$1.62M	shares
EMNEASTMAN CHEM CO	18,140	$1.58M	shares
DOMTAR CORPDOMTAR CORP	36,607	$1.57M	shares
RESOLUTE FOREST PRODUCTSRESOLUTE FOREST PRODUCTS	74,705	$1.25M	shares
MARATHON OIL CORPMARATHON OIL CORP	28,159	$1.12M	shares
NACNUVEEN CA DIVI ADV MUN	65,136	$910K	shares
VMOINVESCO MUN OPPORTUNIT TR	70,814	$892K	shares
DSXDIANA SHIPPING INC	78,048	$850K	shares
DRYSHIPS INCDRYSHIPS INC	259,070	$834K	shares
POWERSHARES GLOBAL ETF TRUSTPOWERSHARES GLOBAL ETF TRUST	18,271	$451K	shares
MUBISHARES TR	4,064	$442K	shares
GMGENERAL MTRS CO	11,790	$428K	shares
MMUWESTERN ASSET MANAGED MUNS F	12,873	$169K	shares
OI S.A.OI S.A.	74,700	$64K	shares

How Q3 2014 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

Filing	Role	Amendment	Filed	Accepted	Ingested
13F-HR 0001398344-14-005239	base		2014-10-09	acceptance time not in the bulk data set	2026-10-07 19:26:03 UTC