Managing Director

0001398344-14-000286.txt : 20140116 0001398344-14-000286.hdr.sgml : 20140116 20140116152216 ACCESSION NUMBER: 0001398344-14-000286 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140116 DATE AS OF CHANGE: 20140116 EFFECTIVENESS DATE: 20140116 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: 14531938 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 primary_doc.xml 13F-HR LIVE false false false 0000939761 XXXXXXXX 12-31-2013 12-31-2013 false NEWGATE CAPITAL MANAGEMENT LLC

One Sound Shore Drive Greenwich CT 06830

13F HOLDINGS REPORT 028-03871 N Sonia Rosenbaum Managing Director 203-661-0700 /s/ Sonia Rosenbaum GREENWICH CT 01-16-2014 0 108 508150 INFORMATION TABLE 2 fp0009198_13fhr-table.xml 13F INFORMATION TABLE ABERDEEN ASIA-PACIFIC INCOME FUND COM 003009107 3600 624974 SH SOLE 624526 0 448 ADVANCED SEMICONDUCTOR ENGR SP ADR 00756M404 10474 2181990 SH SOLE 2147248 0 34742 ALPINE TOTAL DYNAMIC DIV FD COM SBI 021060108 11594 2767172 SH SOLE 2760127 0 7045 ANADARKO PETROLEUM CORP COM 032511107 3077 38786 SH SOLE 38160 0 626 APOLLO GLOBAL MANAGEMENT CL A SHS 037612306 292 9253 SH SOLE 9253 0 0 APPLE INC COM 037833100 730 1302 SH SOLE 1302 0 0 BAIDU INC SP ADR REP A 056752108 14641 82308 SH SOLE 81091 0 1217 BAKER HUGHES INC COM 057224107 3930 71122 SH SOLE 69927 0 1195 BANK OF AMERICA CORP COM 060505104 405 26023 SH SOLE 26023 0 0 BHP BILLITON LTD SP ADR 088606108 3908 57305 SH SOLE 56342 0 963 BLACKROCK ENHANCED CAP & INC FD I COM 09256A109 4166 304746 SH SOLE 303763 0 983 BLACKROCK MUNIASSETS FUND COM 09254J102 515 44628 SH SOLE 44628 0 0 BLACKROCK MUNIHOLDINGS QU II COM 09254C107 332 27482 SH SOLE 27482 0 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 6164 707695 SH SOLE 705807 0 1888 BLACKROCK RESOURCES & COMMOD SHS 09257A108 5042 435043 SH SOLE 434669 0 374 BLACKSTONE GROUP LP COM UNIT LTD 09253U108 403 12794 SH SOLE 12794 0 0 BLACKSTONE/GSO LNG-SHRT CR INC FD COM SHS BN I 09257D102 3772 211106 SH SOLE 210790 0 316 CALAMOS STRATEGIC TOTAL RTN FD COM SH BEN I 128125101 3810 349874 SH SOLE 348984 0 890 CARPENTER TECHNOLOGY CORP COM 144285103 2392 38459 SH SOLE 37837 0 622 CELANESE CORP COM SER A 150870103 3566 64474 SH SOLE 63411 0 1063 CEMEX SAB SP ADR NEW 151290889 13341 1127713 SH SOLE 1109326 0 18387 CIA ENERGETICA MINAS GERAIS SP ADR N-V P 204409601 9429 1582726 SH SOLE 1556245 0 26481 CIA SIDERURGICA NACL-SP ADR SP ADR 20440W105 2412 388965 SH SOLE 382190 0 6775 CIMAREX ENERGY CO COM 171798101 2573 24524 SH SOLE 24125 0 399 CITIGROUP INC COM NEW 172967424 368 7068 SH SOLE 7068 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 3260 124381 SH SOLE 122350 0 2031 CNOOC LTD SP ADR 126132109 13387 71334 SH SOLE 70226 0 1108 COHEN & STEERS INFRASTRUCTUR COM 19248A109 3105 150721 SH SOLE 150307 0 414 COMPANHIA PARANAENSE DE ENERGIA SPON ADR PFD 20441B407 7601 578437 SH SOLE 569116 0 9321 CONSOL ENERGY INC COM 20854P109 3227 84823 SH SOLE 83437 0 1386 CONTINENTAL RESOURCES INC COM 212015101 3936 34978 SH SOLE 34419 0 559 CREDICORP LTD COM G2519Y108 8851 66682 SH SOLE 65607 0 1075 DOMTAR CORP COM NEW 257559203 3386 35889 SH SOLE 35309 0 580 EASTMAN CHEMICAL COM 277432100 3157 39115 SH SOLE 38445 0 670 EATON VANCE CALIF MUNI BD FD COM 27828A100 1427 139671 SH SOLE 139671 0 0 EATON VANCE SENIOR INCOME TR SH BEN 27826S103 3053 441886 SH SOLE 440720 0 1166 EOG RESOURCES INC COM 26875P101 1556 9270 SH SOLE 9123 0 147 FOSTER WHEELER AG COM H27178104 4066 123212 SH SOLE 121200 0 2012 FREEPORT-MCMORAN COPPER COM 35671D857 5988 158667 SH SOLE 156058 0 2609 GLOBAL HIGH INCOME FUND COM 37933G108 3838 386928 SH SOLE 386393 0 535 GLOBE SPECIALTY METALS INC COM 37954N206 1625 90219 SH SOLE 88759 0 1460 HALLIBURTON CO COM 406216101 6664 131320 SH SOLE 129179 0 2141 HOLLYFRONTIER CORP COM 436106108 1192 23992 SH SOLE 23602 0 390 HUNTSMAN CORP COM 447011107 4057 164935 SH SOLE 162238 0 2697 ICICI BANK LTD ADR 45104G104 4444 119546 SH SOLE 117661 0 1885 INFOSYS LTD SP ADR 456788108 18381 324755 SH SOLE 319611 0 5144 ING RISK MANAGED NATURAL RES FD COM 449810100 11611 1183599 SH SOLE 1182530 0 1069 INVESCO AD MIT II SH BEN INT 46132E103 672 63907 SH SOLE 63907 0 0 INVESCO MUNICIPAL OPPORTUNI COM 46132C107 578 49402 SH SOLE 49402 0 0 INVESCO VK DYNAMIC CREDIT OPP COM 46132R104 5085 394199 SH SOLE 393171 0 1028 ISHARES CORE TOTAL US BOND M CORE TOTUSBD ETF 464287226 2186 20538 SH SOLE 19673 0 865 ISHARES S&P NA NAT RES S I F S&P NA NAT RES 464287374 962 22162 SH SOLE 22162 0 0 ISHARES S&P NATL AMT-FREE MUN NAT AMT FREE BD 464288414 730 7034 SH SOLE 7034 0 0 ITAU UNIBANCO HLDG SA SP ADR REP P 465562106 12136 894314 SH SOLE 878693 0 15621 J HANCOCK PREMIUM DIVIDEND FD COM SH BEN I 41013T105 3437 296312 SH SOLE 296037 0 275 KB FINANCIAL GROUP INC SP ADR 48241A105 8635 213167 SH SOLE 209725 0 3442 KBR INC COM 48242W106 3316 103989 SH SOLE 102282 0 1707 KODIAK OIL & GAS CORP COM 50015Q100 3317 295916 SH SOLE 290956 0 4960 LYONDELLBASELL INDUSTRIES SHS - A - N53745100 5368 66865 SH SOLE 65781 0 1084 METHANEX CORP COM 59151K108 3175 53592 SH SOLE 52708 0 884 NATIONAL OILWELL VARCO INC COM 637071101 5661 71175 SH SOLE 70022 0 1153 NEUBERGER BERMAN REAL ESTATE FD COM 64190A103 4818 1110179 SH SOLE 1108969 0 1210 NEWFIELD EXPLORATION CO COM 651290108 1980 80395 SH SOLE 79036 0 1359 NEXPOINT CREDIT STRATEGIES COM 65340G106 1908 202555 SH SOLE 202000 0 555 NORTHERN OIL AND GAS INC COM 665531109 3124 207293 SH SOLE 203804 0 3489 NUCOR CORP COM 670346105 2252 42184 SH SOLE 41499 0 685 NUVEEN CREDIT STRATEGIES INC FD COM SHS 67073D102 14386 1478474 SH SOLE 1474666 0 3808 NUVEEN DIVIDEND ADV MUNI FD 2 COM 67070F100 644 50757 SH SOLE 50757 0 0 NUVEEN DIVIDEND ADV MUNI FD 3 COM SH BEN I 67070X101 2842 230128 SH SOLE 230128 0 0 NUVEEN DIVIDEND ADV MUNI INC FD COM 67071L106 2189 174878 SH SOLE 174878 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 2467 206957 SH SOLE 206422 0 535 NUVEEN LONG/SHORT COMMODITY COM UT BEN INT 670731108 596 34615 SH SOLE 34615 0 0 NUVEEN MUNI ADVANTAGE FUND COM 67062H106 2011 165387 SH SOLE 165387 0 0 NUVEEN MUNI MKT OPPORTUNITY FD COM 67062W103 1899 158246 SH SOLE 158246 0 0 NUVEEN PFD INCOME OPPORTNY FD COM 67073B106 6239 703333 SH SOLE 702641 0 692 NUVEEN QUALITY INCOME MUNI FD COM 670977107 1756 143337 SH SOLE 143337 0 0 NUVEEN QUALITY PFD INCOME FD II COM 67072C105 6150 755498 SH SOLE 754752 0 746 NUVEEN QUALITY PREFERRED INC COM 67071S101 2530 328945 SH SOLE 328663 0 282 NUVEEN SELECT QUALITY MUNI FUND COM 670973106 952 76810 SH SOLE 76810 0 0 NUVEEN SENIOR INCOME FUND COM 67067Y104 4632 649670 SH SOLE 648429 0 1241 NUVEEN SHORT DUR CREDIT OPP FD COM 67074X107 3127 165990 SH SOLE 165549 0 441 OASIS PETROLEUM INC COM 674215108 3050 64928 SH SOLE 63846 0 1082 OCEAN RIG UDW INC SHS Y64354205 2573 133688 SH SOLE 131522 0 2166 PEABODY ENERGY CORP COM 704549104 2521 129090 SH SOLE 126906 0 2184 PETROLEO BRASILEIRO SA SP ADR 71654V408 8818 639938 SH SOLE 629747 0 10191 PETROLEO BRASILEIRO SA SP ADR NON V 71654V101 3773 256841 SH SOLE 252690 0 4151 RIO TINTO PLC SP ADR 767204100 3971 70369 SH SOLE 69204 0 1165 SANDRIDGE ENERGY INC COM 80007P307 3331 548729 SH SOLE 539640 0 9089 SHINHAN FINANCIAL GROUP SP ADR RESTR 824596100 12719 278315 SH SOLE 273791 0 4524 SILVER STANDARD RESOURCES COM 82823L106 8240 1183890 SH SOLE 1163802 0 20088 SILVER WHEATON CORP COM 828336107 3440 170357 SH SOLE 167398 0 2959 SK TELECOM LTD SP ADR 78440P108 4792 194639 SH SOLE 191608 0 3031 SOUTHERN COPPER CORP COM 84265V105 10825 377058 SH SOLE 370953 0 6105 STEEL DYNAMICS INC COM 858119100 2456 125675 SH SOLE 123618 0 2057 TAIWAN SEMICONDUCTOR SP ADR 874039100 19643 1126346 SH SOLE 1108495 0 17851 TATA MOTORS LTD SP ADR 876568502 13626 442388 SH SOLE 435409 0 6979 TECK RESOURCES LTD CL B 878742204 3837 147525 SH SOLE 144988 0 2537 TESORO CORP COM 881609101 1190 20345 SH SOLE 20012 0 333 TIDEWATER INC COM 886423102 3176 53581 SH SOLE 52680 0 901 TRINITY INDUSTRIES INC COM 896522109 3125 57317 SH SOLE 56396 0 921 TURKCELL ILETISIM HIZMETLERI SP ADR NEW 900111204 3816 285817 SH SOLE 281097 0 4720 UNITED STATES STEEL CORP COM 912909108 2019 68433 SH SOLE 67338 0 1095 US SILICA HOLDINGS INC COM 90346E103 4295 125910 SH SOLE 123861 0 2049 VALE SA SP ADR 91912E105 16748 1098232 SH SOLE 1079902 0 18330 VANGUARD MSCI EMERGING MKT ETF MSCI EMR MKT ETF 922042858 6001 145858 SH SOLE 145059 0 799 WALTER ENERGY INC COM 93317Q105 2749 165307 SH SOLE 162584 0 2723 WESTLAKE CHEMICAL CORP COM 960413102 3312 27129 SH SOLE 26689 0 440 WHITING PETROLEUM CORP COM 966387102 3596 58125 SH SOLE 57180 0 945