0001398344-13-002087.txt : 20130426
0001398344-13-002087.hdr.sgml : 20130426
20130426115405
ACCESSION NUMBER: 0001398344-13-002087
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130426
DATE AS OF CHANGE: 20130426
EFFECTIVENESS DATE: 20130426
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: 13785670
BUSINESS ADDRESS:
STREET 1: ONE SOUND SHORE DRIVE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 2036610700
MAIL ADDRESS:
STREET 1: ONE SOUND SHORE DRIVE
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
13F-HR
1
fp0007095_13fhr.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2013
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: 028-03871
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 April 25, 2013
------------------- ------------- --------------
[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
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
-----------
Form 13F Information Table Entry Total: 169
-----------
Form 13F Information Table Value Total: $ 928,740
-----------
(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
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
---------------------------- ---------------- --------- ----------- ----------- --- ---- ---------- -------- --------- ------ ------
3D SYSTEMS CORPORATION COM NEW 88554D205 179 5,542 SOLE N/A 5,542
ABB LTD-SPON ADR SP ADR 000375204 6 248 SOLE N/A 248
ADVANCED SEMICONDUCTOR E-ADR SP ADR 00756M404 16,820 4,092,415 SOLE N/A 4,022,126 70,289
ADVENT CLAYMORE CONVERTIBLE COM 007639107 10 1,334 SOLE N/A 1,334
AGCO CORP COM 001084102 3,651 70,044 SOLE N/A 69,430 614
AGIC EQUITY & CONVERTIBLE IN COM 018829101 11 615 SOLE N/A 615
AGRIUM INC COM 008916108 5,449 55,889 SOLE N/A 55,398 491
ALBEMARLE CORP COM 012653101 8,535 136,520 SOLE N/A 135,309 1,211
ALERIAN MLP ETF ALPS ETF TR 00162Q866 6 340 SOLE N/A 340
ALLIANZGI NFJ DIV INT PREM S COM SHS 01883A107 9,149 543,909 SOLE N/A 539,330 4,579
ALPINE TOTAL DYNAMIC COM SBI 021060108 15,637 3,823,280 SOLE N/A 3,791,524 31,756
AMERICA MOVIL-ADR SERIES L SP ADR 02364W105 18,026 860,016 SOLE N/A 847,997 12,019
AMERICAN SELECT PORTFOLIO COM 029570108 4 413 SOLE N/A 413
AMERICAN STRATEGIC INC III COM 03009T101 3,086 423,444 SOLE N/A 419,382 4,062
AMERICAN STRATEGIC INCOME II COM 030099105 4,690 527,504 SOLE N/A 522,366 5,138
ANADARKO PETROLEUM CORP COM 032511107 7,708 88,140 SOLE N/A 87,366 774
ANHUI CONCH CEMENT-H-UNS ADR ADR 035243104 12,773 765,295 SOLE N/A 752,199 13,096
ANTOFAGASTA PLC -SPON ADR SP ADR 037189107 14,939 498,795 SOLE N/A 491,394 7,401
APACHE CORP COM 037411105 3,063 39,703 SOLE N/A 39,363 340
APPLE INC COM 037833100 879 1,986 SOLE N/A 1,986
ASHLAND INC COM 044209104 4,166 56,069 SOLE N/A 55,590 479
AURICO GOLD INC COM 05155C105 2,737 435,139 SOLE N/A 431,426 3,713
BAIDU INC - SPON ADR ADR 056752108 20,364 232,200 SOLE N/A 228,947 3,253
BANCO BRADESCO-ADR SP ADR 059460303 13,459 790,773 SOLE N/A 777,382 13,391
BANK OF AMERICA CORP COM 060505104 317 26,023 SOLE N/A 26,023
BARCLAYS PLC-SPONS ADR ADR 06738E204 8 441 SOLE N/A 441
BASF SE-SPON ADR SP ADR 055262505 3 29 SOLE N/A 29
BLACKROCK CREDIT ALLOC IV COM 092508100 96 6,862 SOLE N/A 6,862 0
BLACKROCK GLOBAL OPP EQTY TR COM 092501105 12,772 920,194 SOLE N/A 912,444 7,750
BLACKROCK INCOME TRUST COM 09247F100 5,221 724,097 SOLE N/A 719,992 4,105
BLACKSTONE GROUP LP/THE COM UNIT LTD 09253U108 318 16,062 SOLE N/A 16,062
BMW-UNSPONSORED ADR ADR 072743206 8 268 SOLE N/A 268
BRASKEM SA- SPONS ADR SP ADR 105532105 6,369 470,382 SOLE N/A 463,702 6,680
C&J ENERGY SERVICES INC COM 12467B304 4,022 175,618 SOLE N/A 174,098 1,520
CALAMOS CONV & HIGH INC FD COM 12811P108 3,562 278,100 SOLE N/A 275,777 2,323
CALAMOS CONV OPP & INC FD SH BEN 128117108 3,534 280,032 SOLE N/A 277,645 2,387
CAMERON INTERNATIONAL CORP COM 13342B105 7,001 107,374 SOLE N/A 106,432 942
CARPENTER TECHNOLOGY COM 144285103 2,939 59,635 SOLE N/A 59,119 516
CATERPILLAR INC COM 149123101 7,949 91,403 SOLE N/A 90,597 806
CELANESE CORP-SERIES A COM SER A 150870103 5,487 124,556 SOLE N/A 123,456 1,100
CEMIG SA-SP ADR SP ADR 204409601 9,538 804,872 SOLE N/A 791,074 13,798
CF INDUSTRIES HOLDINGS INC COM 125269100 5,446 28,607 SOLE N/A 28,364 243
CHINA CONSTRUCT-UNSPON ADR ADR 168919108 21,753 1,336,993 SOLE N/A 1,313,930 23,063
CIE GEN GEOPHYSIQUE-SP ADR COM 204386106 5 235 SOLE N/A 235
CITIGROUP INC COM 172967424 313 7,068 SOLE N/A 7,068
CLIFFS NATURAL RESOURCES INC COM 18683K101 41 2,145 SOLE N/A 2,145
CNOOC LTD-ADR SP ADR 126132109 20,097 104,943 SOLE N/A 103,398 1,545
COEUR D'ALENE MINES CORP COM 192108504 601 31,869 SOLE N/A 31,869
COHEN & STEERS QUAL INC REAL COM 19247L106 1,774 153,085 SOLE N/A 150,412 2,673
CONSOL ENERGY INC COM 20854P109 6,550 194,641 SOLE N/A 192,921 1,720
CONTINENTAL RESOURCES INC/OK COM 212015101 5,795 66,662 SOLE N/A 66,090 572
CUMMINS INC COM 231021106 4,438 38,321 SOLE N/A 37,992 329
DAIMLER AG-REGISTERED SHARES COM D1668R123 6 110 SOLE N/A 110
DELAWARE ENHANCED GLOBAL DIV COM 246060107 1,032 84,716 SOLE N/A 83,745 971
DEVON ENERGY CORPORATION COM 25179M103 5,088 90,172 SOLE N/A 89,391 781
DOCTOR REDDY'S LAB-ADR ADR 256135203 11,008 340,267 SOLE N/A 335,238 5,029
DRIL-QUIP INC COM 262037104 90 1,030 SOLE N/A 1,030
DWS HIGH INCOME OPPORTUNITIE COM NEW 23339M204 3,630 234,028 SOLE N/A 232,134 1,894
EASTMAN CHEMICAL CO COM 277432100 34 481 SOLE N/A 481
EATON VANCE CAL MUNI BOND COM 27828A100 2,628 214,921 SOLE N/A 214,921
EATON VANCE SENIOR INCOME TR SH BEN 27826S103 7 914 SOLE N/A 914
EATON VANCE TAX-MANAGED DIVE COM 27828N102 18 1,768 SOLE N/A 1,768
EGSHARES INDIA CONSUMER ETF INDIA CONSUMER 268461761 22 SOLE N/A 22 0
EGSHARES INDIA INFRA ETF EGS INDI INF ETF 268461845 4,716 383,759 SOLE N/A 377,960 5,799
ENI SPA - SP ADR SP ADR 26874R108 2,389 53,218 SOLE N/A 52,519 699
EXXON MOBIL CORP COM 30231G102 193 2,143 SOLE N/A 2,143
FMC TECHNOLOGIES INC COM 30249U101 3,694 67,915 SOLE N/A 67,329 586
FOREST OIL CORP COM 346091705 3,256 618,939 SOLE N/A 613,459 5,480
FOSTER WHEELER AG COM H27178104 6,270 274,398 SOLE N/A 271,973 2,425
FRANCO NEVADA CORP COM 351858105 2,650 58,121 SOLE N/A 57,614 507
FREEPORT-MCMORAN COPPER COM 35671D857 7,505 226,739 SOLE N/A 224,745 1,994
GAZPROM OAO-SPON ADR SP ADR 368287207 8,744 1,028,649 SOLE N/A 1,011,256 17,393
GLOBAL HIGH INCOME FUND INC COM 37933G108 4,454 349,902 SOLE N/A 345,512 4,390
GLOBAL X CHINA INDUSTRIALS CHINA INDL ETF 37950E705 21 1,882 SOLE N/A 1,882 0
GOLDCORP INC COM 380956409 4,094 121,737 SOLE N/A 120,885 852
HDFC BANK LTD-ADR ADR 40415F101 16,649 444,910 SOLE N/A 438,237 6,673
HUNTSMAN CORP COM 447011107 5,815 312,825 SOLE N/A 310,104 2,721
ICICI BANK LTD-SPON ADR ADR 45104G104 25,299 589,710 SOLE N/A 580,888 8,822
INFOSYS LTD-SP ADR SP ADR 456788108 5,419 100,519 SOLE N/A 99,048 1,471
ING PRIME RATE TRUST SH BEN INT 44977W106 14 2,103 SOLE N/A 2,103
ING RISK MNGD NATURAL RES FD COM 449810100 115 10,280 SOLE N/A 10,280 0
INVESCO VAN KAMPEN DYNAMIC C COM 46132R104 7 552 SOLE N/A 552
INVESCO VAN KAMPEN SENIOR IN COM 46131H107 25 4,301 SOLE N/A 4,301
ISHARES FTSE CHINA 25 INDEX FTSE CHINA25 464287184 20 538 SOLE N/A 409 129
ISHARES FTSE NAREIT MORTGAGE MRTG PLS CAP 464288539 18 1,128 SOLE N/A 1,128
ISHARES MSCI BRAZIL MSCI BZ 464286400 8 138 SOLE N/A 38 100
ISHARES MSCI SOUTH KOREA IND MSCI S KOREA 464286772 11,533 194,068 SOLE N/A 190,780 3,288
ISHARES S&P NA NAT RES S I F S&P NA NAT RES 464287374 432 10,652 SOLE N/A 10,652 0
ITAU UNIBANCO HLDNG-PREF ADR SP ADR 465562106 25,432 1,428,780 SOLE N/A 1,404,119 24,661
JON HAN PREMIUM DIVIDEND FD COM SH BEN I 41013T105 3,497 246,782 SOLE N/A 244,696 2,086
JOY GLOBAL INC COM 481165108 6,431 108,052 SOLE N/A 107,098 954
KB FINANCIAL GROUP INC-ADR SP ADR 48241A105 16,038 485,424 SOLE N/A 477,104 8,320
KINROSS GOLD CORP COM 496902404 4,145 522,730 SOLE N/A 518,708 4,022
KT CORPORATION ADR SP ADR 48268K101 10,558 672,041 SOLE N/A 660,485 11,556
KYOCERA CORP -SPONS ADR SP ADR 501556203 6 61 SOLE N/A 61
LG DISPLAY CO LTD-ADR SP ADR 50186V102 13,321 912,998 SOLE N/A 897,331 15,667
LUKOIL OAO-SPON ADR SP ADR 677862104 24,306 376,844 SOLE N/A 370,471 6,373
LVMH MOET HENNESSY-UNSP ADR COM 502441306 8 230 SOLE N/A 230
LYONDELLBASELL INDU-CL A COM N53745100 10,177 160,803 SOLE N/A 159,394 1,409
MARKET VECTORS CHINA ETF CHINA A SHS ETF 57060U597 4 117 SOLE N/A 117
MARKET VECTORS INDIA S/C INDIA SMALL CP 57060U563 6,564 747,621 SOLE N/A 736,150 11,471
MARKET VECTORS RUSSIA ETF RUSSIA ETF 57060U506 13 455 SOLE N/A 79 376
MCDERMOTT INTL INC COM 580037109 5,551 505,072 SOLE N/A 500,604 4,468
MMC NORILSK NICKEL JSC-ADR ADR 46626D108 4,235 250,429 SOLE N/A 247,331 3,098
INVESCO QUAL MUNI INC TRUST COM 46133G107 215 16,145 SOLE N/A 16,145
MOSAIC CO/THE COM 61945C103 2,908 48,791 SOLE N/A 48,371 420
NASPERS LTD-N SHS SPON ADR SP ADR 631512100 14,956 238,996 SOLE N/A 234,938 4,058
NATIONAL OILWELL VARCO INC COM 637071101 10,950 154,776 SOLE N/A 153,414 1,362
NEUBERGER BERMAN REAL ESTATE COM 64190A103 3,984 772,154 SOLE N/A 765,105 7,049
NEW GOLD INC COM 644535106 7,279 799,868 SOLE N/A 793,772 6,096
NEWFIELD EXPLORATION CO COM 651290108 3,548 158,252 SOLE N/A 156,842 1,410
NEWMONT MINING CORP COM 651639106 413 9,864 SOLE N/A 9,864
NEXPOINT CREDIT STRATEGIES COM 65340G106 33 4,312 SOLE N/A 4,312
NISSAN MOTOR CO LTD-SPON ADR SP ADR 654744408 3 138 SOLE N/A 138
NUVEEN DIVIDEND ADVANTAGE MU COM 67071L106 2,078 139,344 SOLE N/A 139,344
NUVEEN DIVIDEND ADV MUNI 3 COM 67070X101 4,947 330,894 SOLE N/A 330,894
NUVEEN DVD ADV MUNI FUND 2 COM 67070F100 4,163 274,408 SOLE N/A 274,408
NUVEEN GLOBAL VALUE OPP FUND COM 6706EH103 5,150 363,731 SOLE N/A 359,399 4,332
NUVEEN MUNI ADVANTAGE FUND COM 67062H106 1,391 93,471 SOLE N/A 93,471
NUVEEN MUNI MKT OPPORTUNITY COM 67062W103 2,791 194,233 SOLE N/A 194,233
NUVEEN PA INV QUAL MUNI FUND COM 670972108 766 51,068 SOLE N/A 51,068
NUVEEN PREMIER MUNICIPAL OPP COM 670987106 2,073 137,526 SOLE N/A 137,526
NUVEEN QUALITY INCOME MUNI COM 670977107 2,322 152,348 SOLE N/A 152,348
NUVEEN SELECT QUALITY MUNI F COM 670973106 1,402 93,260 SOLE N/A 93,260
OCCIDENTAL PETROLEUM CORP COM 674599105 4,093 52,229 SOLE N/A 51,780 449
OCEAN RIG UDW INC SHS Y64354205 3,114 193,310 SOLE N/A 191,584 1,726
PETROLEO BRASILEIRO SA-ADR SP ADR 71654V408 5 275 SOLE N/A 275 0
PETROLEO BRASILEIRO-SPON ADR SP ADR 71654V101 12,626 695,628 SOLE N/A 686,141 9,487
PING AN INSURANCE-ADR ADR 72341E304 4,992 315,158 SOLE N/A 309,893 5,265
POTASH CORP OF SASKATCHEWAN COM 73755L107 4,423 112,686 SOLE N/A 111,689 997
POWERSHARES SENIOR LOAN SR LN PORT 73936Q769 13,921 554,602 SOLE N/A 549,898 4,704
PPG INDUSTRIES INC COM 693506107 1,349 10,075 SOLE N/A 9,994 81
PRAXAIR INC COM 74005P104 1,403 12,581 SOLE N/A 12,478 103
PUTNAM MASTER INTERM INCOME SH BEN 746909100 501 96,168 SOLE N/A 96,168 0
PUTNAM MUNI OPPORTUNITIES TR SH BEN 746922103 301 23,932 SOLE N/A 23,932
PUTNAM PREMIER INCOME TRUST SH BEN 746853100 11,072 1,998,467 SOLE N/A 1,981,601 16,866
QUALCOMM INC COM 747525103 127 1,900 SOLE N/A 1,900
RIO TINTO PLC-SPON ADR SP ADR 767204100 5,359 113,827 SOLE N/A 112,824 1,003
ROYAL DUTCH SHELL PLC-ADR SP ADR 780259206 2,877 44,156 SOLE N/A 43,770 386
SEADRILL LTD COM G7945E105 3,211 86,306 SOLE N/A 85,561 745
SHINHAN FINANCIAL GROUP-ADR SP ADR 824596100 16,235 452,223 SOLE N/A 444,493 7,730
SIEMENS AG-SPONS ADR SP ADR 826197501 11 102 SOLE N/A 102
SILICONWARE PRECISION-SP ADR SP ADR 827084864 12,860 2,205,771 SOLE N/A 2,168,116 37,655
SILVER STANDARD RESOURCES COM 82823L106 13,538 1,283,256 SOLE N/A 1,263,247 20,009
SILVER WHEATON CORP COM 828336107 6,201 197,788 SOLE N/A 196,057 1,731
SK TELECOM CO LTD-ADR SP ADR 78440P108 10,625 594,583 SOLE N/A 584,532 10,051
SOUTHERN COPPER CORP COM 84265V105 9,180 244,334 SOLE N/A 241,008 3,326
SOUTHWESTERN ENERGY CO COM 845467109 6,011 161,320 SOLE N/A 159,912 1,408
STILLWATER MINING CO COM 86074Q102 31 2,367 SOLE N/A 2,367
SUMITOMO CORP-SPON ADR SP ADR 865613103 9 739 SOLE N/A 739
TAIWAN SEMICONDUCTOR-SP ADR SP ADR 874039100 22,184 1,290,505 SOLE N/A 1,268,294 22,211
TATA MOTORS LTD-SPON ADR SP ADR 876568502 12,730 521,503 SOLE N/A 513,872 7,631
TECHNIP SA-ADR SP ADR 878546209 3,902 152,066 SOLE N/A 150,600 1,466
TECK RESOURCES LTD-CLS B COM 878742204 7,274 258,315 SOLE N/A 256,026 2,289
TOTAL SA-SPON ADR SP ADR 89151E109 1,846 38,466 SOLE N/A 37,959 507
TOYOTA MOTOR CORP -SPON ADR SP ADR 892331307 10 93 SOLE N/A 93
TRANSOCEAN LTD REG SHS H8817H100 6,113 117,642 SOLE N/A 116,609 1,033
TURKCELL ILETISIM HIZMET-ADR SP ADR 900111204 7,190 432,076 SOLE N/A 424,731 7,345
TURKIYE GARANTI BANKASI-ADR ADR 900148701 17,420 3,237,990 SOLE N/A 3,181,902 56,088
UNITED MICROELECTRON-SP ADR SP ADR NEW 910873405 7 3,898 SOLE N/A 3,898 0
VALE SA-SP ADR SP ADR 91912E105 22,169 1,282,202 SOLE N/A 1,262,314 19,888
VOLKSWAGEN AG-SPONS ADR COM 928662303 5 135 SOLE N/A 135
WALTER ENERGY INC COM 93317Q105 4,083 143,272 SOLE N/A 142,008 1,264
WEATHERFORD INTL LTD REG SHS H27013103 52 4,291 SOLE N/A 4,291
WESTERN ASSET HI YLD OPP FD COM 95768B107 3,383 178,137 SOLE N/A 176,596 1,541
WIPRO LIMITED SP ADR 1 SH 97651M109 5,640 626,120 SOLE N/A 616,900 9,220
WOORI FINANCE HOLDINGS-ADR ADR 981063100 8 225 SOLE N/A 225 0
YAMANA GOLD INC COM 98462Y100 22,195 1,445,939 SOLE N/A 1,429,283 16,656
YANDEX NV-A SHS CL A N97284108 8,618 372,444 SOLE N/A 367,230 5,214