<SEC-DOCUMENT>0001398344-11-002377.txt : 20111021 <SEC-HEADER>0001398344-11-002377.hdr.sgml : 20111021 <ACCEPTANCE-DATETIME>20111021134422 ACCESSION NUMBER: 0001398344-11-002377 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111021 DATE AS OF CHANGE: 20111021 EFFECTIVENESS DATE: 20111021 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEWGATE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000939761 IRS NUMBER: 042941344 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03871 FILM NUMBER: 111152037 BUSINESS ADDRESS: STREET 1: 80 FIELD POINT RD STREET 2: 12TH FL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036610700 MAIL ADDRESS: STREET 1: 80 FIELD POINT RD CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: NEWGATE LLP /CT DATE OF NAME CHANGE: 19980123 FORMER COMPANY: FORMER CONFORMED NAME: NEWGATE MANAGEMENT ASSOCIATES /NY DATE OF NAME CHANGE: 19970725 </SEC-HEADER> <DOCUMENT> <TYPE>13F-HR <SEQUENCE>1 <FILENAME>fp0003605_13fhr.txt <TEXT> UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Newgate Capital Management LLC Address: One Sound Shore Drive Greenwich, CT 06830 Form 13F File Number: 028-4822 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Sonia Rosenbaum Title: Managing Director Phone: 203-661-0700 Signature, Place, and Date of Signing: /s/ Sonia Rosenbaum Greenwich, CT October 21, 2011 ------------------- ------------- ---------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name <PAGE> Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 174 ----------- Form 13F Information Table Value Total: $ 1,423,432 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE <PAGE> <TABLE> <CAPTION> COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ---------------------------- ---------------- --------- ----------- -------------------- ---------- -------- ----------------------- VOTING AUTHORITY TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ----------------------- NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ---------------------------- ---------------- --------- ----------- ----------- --- ---- ---------- -------- --------- ------ ------ <S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> ABB LTD-SPON ADR SP ADR 000375204 9 506 SOLE N/A 506 AGIC EQUITY & CONVERTIBLE IN COM 00119P102 6,911 453,745 SOLE N/A 455,842 2,097 AGRIUM INC COM 008916108 12,261 182,254 SOLE N/A 183,927 1,673 ALBEMARLE CORP COM 012653101 9,317 228,498 SOLE N/A 230,615 2,117 ALLIANCEBERNSTEIN INC FUND COM 01881E101 38 SOLE N/A 38 AMERICA MOVIL-ADR SERIES L SP ADR 02364W105 33,634 1,503,508 SOLE N/A 1,523,296 19,788 AMERICAN SELECT PORTFOLIO COM 029570108 6,543 671,643 SOLE N/A 674,036 2,393 AMERICAN STRATEGIC INC III COM 03009T101 7,605 1,108,561 SOLE N/A 1,111,874 3,313 AMERICAN STRATEGIC INCOME II COM 030099105 6,424 789,187 SOLE N/A 792,085 2,898 ANDERSONS INC/THE COM 034164103 12,693 373,750 SOLE N/A 377,416 3,666 ANTOFAGASTA PLC -SPON ADR SP ADR 037189107 6,679 233,231 SOLE N/A 233,443 212 APACHE CORP COM 037411105 8,387 103,531 SOLE N/A 104,522 991 APPLE INC COM 037833100 636 1,667 SOLE N/A 1,667 ASHLAND INC COM 044209104 10,276 230,675 SOLE N/A 232,812 2,137 BAIDU INC - SPON ADR ADR 056752108 27,112 250,109 SOLE N/A 253,595 3,486 BANCO BRADESCO-ADR SP ADR 059460303 22,227 1,480,238 SOLE N/A 1,503,801 23,563 BANCO SANTANDER SA-SPON ADR ADR 05964H105 11 1,374 SOLE N/A 1,374 BANCOLOMBIA S.A.-SPONS ADR SPON ADR PREF 05968L102 3 49 SOLE N/A 49 BANK OF AMERICA CORP COM 060505104 143 23,340 SOLE N/A 23,340 BARCLAYS PLC-SPONS ADR ADR 06738E204 10 990 SOLE N/A 990 BASF SE-SPON ADR SP ADR 055262505 20 327 SOLE N/A 327 BLACKROCK CREDIT ALLOC III COM 09249V103 8,286 836,309 SOLE N/A 838,631 2,322 BLACKROCK CREDIT ALLOCAT II COM 09255H105 4,872 519,193 SOLE N/A 521,590 2,397 BLACKROCK ENHANCED GOVT FUND COM 09255K108 7,409 481,717 SOLE N/A 483,605 1,888 BLACKROCK MUNI INTERM DURATI COM 09253X102 3,001 204,839 SOLE N/A 204,839 BLACKROCK MUNIASSETS FUND COM 09254J102 4,466 373,380 SOLE N/A 373,380 BLACKROCK MUNIYIELD NY QUALI COM 09255E102 741 56,369 SOLE N/A 56,369 BLACKROCK MUNIYIELD QUALITY COM 09254E103 2,836 214,540 SOLE N/A 214,540 BMW-UNSPONSORED ADR ADR 072743206 14 644 SOLE N/A 644 BNP PARIBAS-ADR ADR 05565A202 6 310 SOLE N/A 310 BRASIL TELECOM SA-ADR SP ADR 10553M101 1,185 67,857 SOLE N/A 67,857 BRASIL TELECOM SA-ADR SP ADR 10553M200 203 31,679 SOLE N/A 31,679 CAMERON INTERNATIONAL CORP COM 13342B105 8,156 194,522 SOLE N/A 196,342 1,820 CATERPILLAR INC COM 149123101 10,007 134,273 SOLE N/A 135,523 1,250 CBRE CLARION GL R/E INCOME F COM 12504G100 5,343 797,358 SOLE N/A 798,704 1,346 CELANESE CORP-SERIES A COM SER A 150870103 10,274 312,906 SOLE N/A 315,841 2,935 CF INDUSTRIES HOLDINGS INC COM 125269100 9,631 77,328 SOLE N/A 78,051 723 CHINA CONSTRUCT-UNSPON ADR ADR 168919108 23,534 1,975,896 SOLE N/A 1,977,672 1,776 CHINA SHENHUA-UNSPON ADR ADR 16942A302 7,170 183,426 SOLE N/A 183,621 195 CIE GEN GEOPHYSIQUE-SP ADR COM 204386106 8 447 SOLE N/A 447 CITIGROUP INC COM 172967424 152 5,953 SOLE N/A 5,953 CLIFFS NATURAL RESOURCES INC COM 18683K101 12,678 245,483 SOLE N/A 247,765 2,282 CNOOC LTD-ADR SP ADR 126132109 30,142 184,833 SOLE N/A 188,033 3,200 COEUR D'ALENE MINES CORP COM NEW 192108504 662 30,863 SOLE N/A 30,863 CONSOL ENERGY INC COM 20854P109 9,036 263,682 SOLE N/A 266,313 2,631 COSAN LTD-CLASS A SHARES COM G25343107 30,115 3,135,518 SOLE N/A 3,180,009 44,491 CREDICORP LTD COM G2519Y108 14,126 150,811 SOLE N/A 153,210 2,399 CREDIT SUISSE GROUP-SPON ADR SP ADR 225401108 6 216 SOLE N/A 216 CTRIP.COM INTERNATIONAL-ADR ADR 22943F100 40,088 1,230,017 SOLE N/A 1,246,708 16,691 DAIMLER AG-REGISTERED SHARES COM D1668R123 9 196 SOLE N/A 196 DEUTSCHE BANK AG-REGISTERED COM D18190898 7 216 SOLE N/A 216 DOW CHEMICAL CO/THE COM 260543103 8,515 375,702 SOLE N/A 379,100 3,398 DRYSHIPS INC SHS Y2109Q101 10,643 4,505,511 SOLE N/A 4,548,101 42,590 DU PONT (E.I.) DE NEMOURS COM 263534109 9,671 239,747 SOLE N/A 241,960 2,213 DUFF & PHELPS UTIL & CORP BD COM 26432K108 7,219 623,827 SOLE N/A 626,691 2,864 EATON VANCE SENIOR INCOME TR SH BEN INT 27826S103 5,087 808,248 SOLE N/A 810,433 2,185 EATON VANCE TAX-MANAGED DIVE COM 27828N102 12,114 1,414,894 SOLE N/A 1,420,142 5,248 ENERGY SELECT SECTOR SPDR SBI INT-ENERGY 81369Y506 3 50 SOLE N/A 50 ENSCO PLC-SPON ADR SP ADR 29358Q109 8 194 SOLE N/A 194 FANUC CORP-UNSP ADR ADR 307305102 5 210 SOLE N/A 210 FMC TECHNOLOGIES INC COM 30249U101 7,767 204,672 SOLE N/A 206,567 1,895 FOMENTO ECONOMICO MEX-SP ADR SP ADR 344419106 2,025 31,233 SOLE N/A 31,233 FOSTER WHEELER AG COM H27178104 8,639 481,190 SOLE N/A 485,632 4,442 FREEPORT-MCMORAN COPPER COM 35671D857 8,708 283,412 SOLE N/A 285,963 2,551 GAFISA SA-ADR SP ADR 362607301 19,272 3,282,659 SOLE N/A 3,339,979 57,320 GAZPROM OAO-SPON ADR SP ADR 368287207 13,360 1,397,632 SOLE N/A 1,398,914 1,282 GENERAL MARITIME CORP SHS Y2693R101 947 3,608,176 SOLE N/A 3,641,072 32,896 GERDAU SA -SPON ADR SP ADR 373737105 15,258 2,102,992 SOLE N/A 2,139,921 36,929 GLOBAL X BRAZIL CONSUMER ETF GLB X BRAZ CON 37950E846 7,083 501,299 SOLE N/A 510,414 9,115 GOLDCORP INC COM 380956409 938 20,575 SOLE N/A 20,575 GOLDMAN SACHS GROUP INC COM 38141G104 148 1,562 SOLE N/A 1,562 GREAT BASIN GOLD LTD COM 390124105 14,093 8,259,650 SOLE N/A 8,338,776 79,126 HDFC BANK LTD-ADR ADR 40415F101 25,124 847,180 SOLE N/A 861,876 14,696 HELIOS STRATEGIC INCOME FUND COM 42328A203 1,046 194,831 SOLE N/A 196,601 1,770 HENKEL AG & CO- SPONS ADR SP ADR 42550U109 11 245 SOLE N/A 245 HESS CORP COM 42809H107 8,488 160,312 SOLE N/A 161,804 1,492 HIGHLAND CREDIT STRATEGIES F COM 43005Q107 3,780 607,840 SOLE N/A 609,712 1,872 HONDA MOTOR CO LTD-SPONS ADR AMERN SHS 438128308 10 353 SOLE N/A 353 HSBC HOLDINGS PLC-SPONS ADR SP ADR 404280406 13 348 SOLE N/A 348 ICICI BANK LTD-SPON ADR ADR 45104G104 10,575 301,824 SOLE N/A 304,570 2,746 INFOSYS LTD-SP ADR SP ADR 456788108 37,483 722,626 SOLE N/A 733,947 11,321 ING PRIME RATE TRUST SH BEN INT 44977W106 3,291 643,712 SOLE N/A 646,047 2,335 INVESCO MUNICIPAL INC OPP II COM 46133A100 2,193 311,113 SOLE N/A 311,113 INVESCO VAN KAMPEN DYNAMIC C COM 46132R104 2,123 199,353 SOLE N/A 199,353 INVESCO VAN KAMPEN SENIOR IN COM 46131H107 9,600 2,266,772 SOLE N/A 2,274,975 8,203 IPATH MSCI INDIA INDEX ETN IPMS INDIA E 06739F291 5,570 103,475 SOLE N/A 103,475 ISHARES BARCLAYS AGGREGATE BARCLY USAGG B 464287226 80 731 SOLE N/A 731 ISHARES FTSE CHINA 25 INDEX FTSE CHINA25 464287184 39 1,087 SOLE N/A 1,272 185 ISHARES FTSE NAREIT MORTGAGE MRTG PLS CAP 464288539 9,319 746,271 SOLE N/A 749,087 2,816 ISHARES MSCI BRAZIL MSCI BRAZIL 464286400 17 163 SOLE N/A 318 155 ISHARES MSCI SOUTH AFRICA IN MSCI STH AFRCA 464286780 17 306 SOLE N/A 306 ISHARES MSCI SOUTH KOREA IND MSCI S KOREA 464286772 12 259 SOLE N/A 259 ISHARES S&P NA NAT RES S I F S&P NA NAT R 464287374 560 16,635 SOLE N/A 16,731 96 ITAU UNIBANCO HLDNG-PREF ADR SP ADR 465562106 53,452 3,387,760 SOLE N/A 3,445,603 57,843 JOY GLOBAL INC COM 481165108 8,744 138,891 SOLE N/A 140,173 1,282 KB FINANCIAL GROUP INC-ADR SP ADR 48241A105 32,006 960,840 SOLE N/A 976,973 16,133 KEPPEL CORP LTD-SPONS ADR SP ADR 492051305 3 231 SOLE N/A 231 KINROSS GOLD CORP COM NO PAR 496902404 5,773 387,647 SOLE N/A 390,612 2,965 KOMATSU LTD -SPONS ADR SP ADR 500458401 19 873 SOLE N/A 873 KUBOTA CORP-SPONS ADR ADR 501173207 16 401 SOLE N/A 401 LAS VEGAS SANDS CORP COM 517834107 37,770 969,690 SOLE N/A 985,140 15,450 LINDE AG-SPONSORED ADR SP ADR 535223200 10 763 SOLE N/A 763 LUKOIL OAO-SPON ADR SP ADR 677862104 16,146 321,416 SOLE N/A 321,697 281 LYONDELLBASELL INDU-CL A COM N53745100 7,650 310,308 SOLE N/A 313,158 2,850 MAN SE-UNSPONSORED ADR ADR 561641101 8 1,081 SOLE N/A 1,081 MARKET VECTORS RUSSIA ETF RUSSIA ETF 57060U506 14 182 SOLE N/A 556 374 MCDERMOTT INTL INC COM 580037109 21,897 2,009,936 SOLE N/A 2,035,043 25,107 MECHEL-SPONSORED ADR SP ADR 583840103 16,387 1,587,016 SOLE N/A 1,608,151 21,135 MFS GOVT MARKETS INC TRUST SH BEN INT 552939100 2,977 447,683 SOLE N/A 449,838 2,155 MFS MULTIMARKET INC TRUST SH BEN 552737108 1 110 SOLE N/A 110 MOBILE TELESYSTEMS-SP ADR SP ADR 607409109 35,142 2,813,950 SOLE N/A 2,857,059 43,109 MORGAN STANLEY EMRG MKT DEBT COM 61744H105 1,753 181,286 SOLE N/A 181,286 MOSAIC CO/THE COM 61945C103 11,382 230,295 SOLE N/A 232,438 2,143 MTN GROUP LTD-SPONS ADR ADR 62474M108 6,021 366,785 SOLE N/A 367,117 332 NABORS INDUSTRIES LTD SHS G6359F103 7,451 602,162 SOLE N/A 607,719 5,557 NASPERS LTD-N SHS SPON ADR SP ADR 631512100 12,539 291,000 SOLE N/A 291,270 270 NATIONAL BANK OF GREECE-ADR ADR 633643408 58 73,900 SOLE N/A 73,900 NATIONAL OILWELL VARCO INC COM 637071101 8,707 168,405 SOLE N/A 169,990 1,585 NAVIOS MARITIME HOLDINGS INC COM Y62196103 2,018 630,042 SOLE N/A 636,588 6,546 NEUBERGER BERMAN REAL ESTATE COM 64190A103 9,445 2,673,337 SOLE N/A 2,683,133 9,796 NEW GOLD INC COM 644535106 4,129 398,210 SOLE N/A 401,215 3,005 NEWMONT MINING CORP COM 651639106 1,095 17,396 SOLE N/A 17,396 NIDEC CORPORATION-ADR ADR 654090109 14 708 SOLE N/A 708 NOBLE CORP COM H5833N103 10,788 364,137 SOLE N/A 367,573 3,436 NOMURA HOLDINGS INC-ADR SP ADR 65535H208 7 1,952 SOLE N/A 1,952 NUVEEN CAL MUNI VALUE FUND COM 67062C107 2,974 328,624 SOLE N/A 328,624 NUVEEN DVD ADV MUNI FD 2 COM 67070F100 754 53,392 SOLE N/A 53,392 NUVEEN DVD ADVANTAGE MUNI FD COM 67066V101 551 39,490 SOLE N/A 39,490 NUVEEN INSD MUNI OPPORTUNITY COM 670984103 758 52,662 SOLE N/A 52,662 NUVEEN INSD PREM INC MUNI II COM 6706D8104 4,910 376,794 SOLE N/A 376,794 NUVEEN MULTI-ST INC & GTH 2 COM 67073D102 4 465 SOLE N/A 465 NUVEEN NEW YORK PERF+ MUNI COM 67062R104 1,294 86,659 SOLE N/A 86,659 NUVEEN NY INV QUAL MUNI FD COM 67062X101 992 69,018 SOLE N/A 69,018 OCCIDENTAL PETROLEUM CORP COM 674599105 7,560 104,758 SOLE N/A 105,737 979 PACIFIC RUBIALES ENERGY CORP COM 69480U206 10,143 480,287 SOLE N/A 480,731 444 PATRIOT COAL CORP COM 70336T104 4,998 585,288 SOLE N/A 590,838 5,550 PETROLEO BRASILEIRO S.A.-ADR SP ADR 71654V408 23,520 1,032,947 SOLE N/A 1,047,643 14,696 PETROLEO BRASILEIRO-SPON ADR SP ADR 71654V101 24,978 1,188,808 SOLE N/A 1,205,525 16,717 PHILIPS ELECTRONICS-NY SHR NY REG SH NEW 500472303 9 491 SOLE N/A 491 PING AN INSURANCE-ADR ADR 72341E304 27 2,416 SOLE N/A 2,416 POSCO-ADR SP ADR 693483109 26,451 342,143 SOLE N/A 347,991 5,848 POTASH CORP OF SASKATCHEWAN COM 73755L107 11,923 273,361 SOLE N/A 275,874 2,513 PUTNAM MUNI OPPORTUNITIES TR SH BEN INT 746922103 1,382 118,024 SOLE N/A 118,024 QUADRA FNX MINING LTD COM 74733X106 3,479 400,355 SOLE N/A 400,355 RIO TINTO PLC-SPON ADR SP ADR 767204100 7 161 SOLE N/A 161 SANDVIK AB-SPONSORED ADR SP ADR 800212201 9 800 SOLE N/A 800 SASOL LTD-SPONSORED ADR SP ADR 803866300 27 671 SOLE N/A 671 SCHLUMBERGER LTD COM 806857108 17,880 296,629 SOLE N/A 299,343 2,714 SHINHAN FINANCIAL GROUP-ADR SP ADR 824596100 36,597 525,641 SOLE N/A 534,728 9,087 SIEMENS AG-SPONS ADR SP ADR 826197501 23 251 SOLE N/A 251 SILVER STANDARD RESOURCES COM 82823L106 15,827 848,224 SOLE N/A 862,524 14,300 SILVER WHEATON CORP COM 828336107 5,055 170,096 SOLE N/A 171,646 1,550 SOUTHWESTERN ENERGY CO COM 845467109 8,994 267,323 SOLE N/A 269,858 2,535 SPDR S&P METALS & MINING ETF S&P METALS MNG 78464A755 4 79 SOLE N/A 79 TAIWAN SEMICONDUCTOR-SP ADR SP ADR 874039100 26,835 2,307,402 SOLE N/A 2,347,752 40,350 TECHNIP SA-ADR SP ADR 878546209 14 681 SOLE N/A 681 TECK RESOURCES LTD-CLS B COM 878742204 10,295 349,476 SOLE N/A 352,703 3,227 TELEFONICA SA-SPON ADR SP ADR 879382208 14 751 SOLE N/A 751 TENCENT HOLDINGS LTD-UNS ADR ADR 88032Q109 9,780 470,339 SOLE N/A 470,885 546 TOTAL SA-SPON ADR SP ADR 89151E109 9 206 SOLE N/A 206 TOYOTA MOTOR CORP -SPON ADR SP ADR 892331307 26 383 SOLE N/A 383 TURKIYE GARANTI BANKASI-ADR ADR 900148701 8,025 2,050,549 SOLE N/A 2,052,371 1,822 ULTRA PETROLEUM CORP COM 903914109 6,621 236,644 SOLE N/A 238,865 2,221 UNITED STATES STEEL CORP COM 912909108 43 1,950 SOLE N/A 1,950 UNITED TRACTORS-UNSPON ADR ADR 69367T108 8,474 178,610 SOLE N/A 178,814 204 VALE SA-SP ADR SP ADR 91912E105 81,327 3,513,371 SOLE N/A 3,566,982 53,611 VANGUARD MSCI EMERGING MARKE MSCI EMR MKT ETF 922042858 780 21,782 SOLE N/A 21,782 WALTER ENERGY INC COM 93317Q105 7,446 122,991 SOLE N/A 124,087 1,096 WELLS FARGO ADVANTAGE MULTI COM 94987D101 3,278 229,845 SOLE N/A 230,686 841 WESTLAKE CHEMICAL CORP COM 960413102 3,983 115,136 SOLE N/A 116,196 1,060 WOORI FINANCE HOLDINGS-ADR ADR 981063100 9,052 350,957 SOLE N/A 357,225 6,268 XSTRATA PLC-UNSPONS ADR ADR 98418K105 3,807 1,553,822 SOLE N/A 1,553,822 YAMANA GOLD INC COM 98462Y100 759 55,553 SOLE N/A 55,553 YANZHOU COAL MINING-SP ADR SP ADR 984846105 32,400 1,511,930 SOLE N/A 1,535,536 23,606 </TABLE> </TEXT> </DOCUMENT> </SEC-DOCUMENT>