Managing Director

0001398344-14-002567.txt : 20140506 0001398344-14-002567.hdr.sgml : 20140506 20140506140602 ACCESSION NUMBER: 0001398344-14-002567 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140506 DATE AS OF CHANGE: 20140506 EFFECTIVENESS DATE: 20140506 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: 14816446 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 03-31-2014 03-31-2014 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 05-06-2014 0 106 449272 INFORMATION TABLE 2 fp0010415_13fhr-table.xml 13F INFORMATION TABLE ADVANCED SEMICONDUCTOR ENGR SP ADR 00756M404 10013 1804121 SH SOLE 1776112 0 28009 AK STEEL HOLDING CORP COM 001547108 2393 331453 SH SOLE 325218 0 6235 ALPINE TOTAL DYNAMIC DIVIDEND COM SH BEN INT N 021060207 4317 514487 SH SOLE 512874 0 1613 APOLLO GLOBAL MANAGEMENT CL A SHS 037612306 294 9253 SH SOLE 9253 0 0 APPLE INC COM 037833100 699 1302 SH SOLE 1302 0 0 BAIDU INC SP ADR REP A 056752108 10498 68946 SH SOLE 67937 0 1009 BANK OF AMERICA CORP COM 060505104 444 25837 SH SOLE 25837 0 0 BHP BILLITON LTD SP ADR 088606108 3680 54295 SH SOLE 53263 0 1032 BLACKROCK ENHANCED EQUITY DIV COM 09251A104 1283 161619 SH SOLE 161192 0 427 BLACKROCK MUN INC TRUST II COM 09249N101 1022 72910 SH SOLE 72910 0 0 BLACKROCK MUNICIPAL TARGET COM SHS BEN IN 09257P105 1536 80479 SH SOLE 80479 0 0 BLACKROCK MUNIHOLDINGS FUND COM 09253N104 911 58418 SH SOLE 58418 0 0 BLACKROCK MUNIHOLDINGS NY QU COM 09255C106 1383 103511 SH SOLE 103511 0 0 BLACKROCK MUNIHOLDINGS QU II COM 09254C107 3050 239429 SH SOLE 239429 0 0 BLACKROCK MUNIYIELD FUND COM 09253W104 516 37544 SH SOLE 37544 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254F100 1536 106133 SH SOLE 106133 0 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 9175 1030908 SH SOLE 1028202 0 2706 BLACKROCK RESOURCES & COMMOD SHS 09257A108 9196 799685 SH SOLE 797595 0 2090 BLACKSTONE GROUP LP COM UNIT LTD 09253U108 425 12794 SH SOLE 12794 0 0 BLACKSTONE/GSO LNG-SHRT CR INC COM SHS BN I 09257D102 5062 287445 SH SOLE 286692 0 753 CALAMOS STRATEGIC TOTAL RTN FD COM SH BEN I 128125101 3207 288362 SH SOLE 287442 0 920 CELANESE CORP COM SER A 150870103 3525 63505 SH SOLE 62304 0 1201 CEMEX SAB SP ADR NEW 151290889 11210 923069 SH SOLE 907717 0 15352 CIA ENERGETICA MINAS GERAIS SP ADR N-V P 204409601 11892 1748802 SH SOLE 1721119 0 27683 CIA SIDERURGICA NACL-SP ADR SP ADR 20440W105 6891 1580426 SH SOLE 1555995 0 24431 CIMAREX ENERGY CO COM 171798101 2472 20751 SH SOLE 20365 0 386 CITIGROUP INC COM NEW 172967424 372 7818 SH SOLE 7818 0 0 CLEARBRIDGE ENERGY MLP FUND COM 184692101 1288 48368 SH SOLE 48243 0 125 CLEARBRIDGE ENERGY MLP TOTAL COM 18469Q108 3462 161011 SH SOLE 160695 0 316 CLIFFS NATURAL RESOURCES INC COM 18683K101 2394 117017 SH SOLE 114864 0 2153 COHEN & STEERS SELECT PREFER COM 19248Y107 1057 42412 SH SOLE 42412 0 0 CONTINENTAL RESOURCES INC COM 212015101 2754 22165 SH SOLE 21761 0 404 CREDICORP LTD COM G2519Y108 7373 53457 SH SOLE 52611 0 846 DEERE & CO COM 244199105 3929 43274 SH SOLE 42464 0 810 DELEK US HOLDINGS INC COM 246647101 2136 73561 SH SOLE 72180 0 1381 DIANA SHIPPING INC COM Y2066G104 1227 102363 SH SOLE 100442 0 1921 DOMTAR CORP COM NEW 257559203 2691 23982 SH SOLE 23538 0 444 DRYSHIPS INC SHS Y2109Q101 1093 338391 SH SOLE 331705 0 6686 EASTMAN CHEMICAL COM 277432100 2055 23837 SH SOLE 23394 0 443 EATON VANCE CALIF MUNI BD FD COM 27828A100 2031 187056 SH SOLE 187056 0 0 EATON VANCE SENIOR INCOME TR SH BEN 27826S103 3161 458049 SH SOLE 456832 0 1217 EOG RESOURCES INC COM 26875P101 856 8724 SH SOLE 8581 0 143 FREEPORT-MCMORAN COPPER COM 35671D857 4733 143123 SH SOLE 140467 0 2656 GLOBAL HIGH INCOME FUND COM 37933G108 2349 237986 SH SOLE 237154 0 832 GLOBE SPECIALTY METALS INC COM 37954N206 2012 96617 SH SOLE 94827 0 1790 HALLIBURTON CO COM 406216101 6516 110654 SH SOLE 108590 0 2064 HDFC BANK LTD ADR REPS 3 S 40415F101 2637 64265 SH SOLE 63277 0 988 HOLLYFRONTIER CORP COM 436106108 1670 35091 SH SOLE 34441 0 650 HUNTSMAN CORP COM 447011107 3914 160276 SH SOLE 157256 0 3020 ICICI BANK LTD ADR 45104G104 6794 155124 SH SOLE 152711 0 2413 INFOSYS LTD SP ADR 456788108 13947 257417 SH SOLE 253369 0 4048 INVESCO AD MIT II SH BEN INT 46132E103 1010 91900 SH SOLE 91900 0 0 INVESCO MUNICIPAL OPPORTUNI COM 46132C107 1016 83249 SH SOLE 83249 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 5042 1004321 SH SOLE 1001637 0 2684 INVESCO VK DYNAMIC CREDIT OPP COM 46132R104 5052 390445 SH SOLE 389417 0 1028 ISHARES S&P NATL AMT-FREE MUN NAT AMT FREE BD 464288414 510 4760 SH SOLE 4760 0 0 ITAU UNIBANCO HLDG SA SP ADR REP P 465562106 11297 760222 SH SOLE 757735 0 2487 KB FINANCIAL GROUP INC SP ADR 48241A105 8509 242076 SH SOLE 238304 0 3772 KODIAK OIL & GAS CORP COM 50015Q100 2735 225320 SH SOLE 221126 0 4194 LYONDELLBASELL INDUSTRIES SHS - A - N53745100 4022 45217 SH SOLE 44382 0 835 METHANEX CORP COM 59151K108 2438 38129 SH SOLE 37426 0 703 NATIONAL OILWELL VARCO INC COM 637071101 4240 54448 SH SOLE 53441 0 1007 NEUBERGER BERMAN REAL ESTATE FD COM 64190A103 3597 762103 SH SOLE 759947 0 2156 NEWFIELD EXPLORATION CO COM 651290108 3308 105479 SH SOLE 103501 0 1978 NORTHERN OIL AND GAS INC COM 665531109 2617 178985 SH SOLE 175618 0 3367 NUVEEN CREDIT STRATEGIES INC FD COM SHS 67073D102 19263 2025522 SH SOLE 2020211 0 5311 NUVEEN DIVIDEND ADV MUNI FD 3 COM SH BEN I 67070X101 3047 232568 SH SOLE 232568 0 0 NUVEEN DIVIDEND ADV MUNI INC FD COM 67071L106 923 69239 SH SOLE 69239 0 0 NUVEEN ENERGY MLP TOTAL RETU COM 67074U103 3227 168081 SH SOLE 167637 0 444 NUVEEN FLOATING RATE INCOME COM 67072T108 3772 315393 SH SOLE 314565 0 828 NUVEEN MUNI ADVANTAGE FUND COM 67062H106 1010 77775 SH SOLE 77775 0 0 NUVEEN PFD INCOME OPPORTNY FD COM 67073B106 3878 417438 SH SOLE 416343 0 1095 NUVEEN SENIOR INCOME FUND COM 67067Y104 5086 710273 SH SOLE 708401 0 1872 NUVEEN SHORT DUR CREDIT OPP FD COM 67074X107 3112 168399 SH SOLE 167958 0 441 OASIS PETROLEUM INC COM 674215108 2318 55551 SH SOLE 54508 0 1043 OCEAN RIG UDW INC SHS Y64354205 2367 133038 SH SOLE 130570 0 2468 PETROLEO BRASILEIRO SA SP ADR NON V 71654V101 3056 220299 SH SOLE 217049 0 3250 PETROLEO BRASILEIRO SA SP ADR 71654V408 7157 544261 SH SOLE 536109 0 8152 POWERSHARES SENIOR LOAN SR LN PORT 73936Q769 2598 104726 SH SOLE 104456 0 270 RESOLUTE FOREST PRODUCTS COM 76117W109 723 35974 SH SOLE 35315 0 659 RIO TINTO PLC SP ADR 767204100 3301 59125 SH SOLE 58002 0 1123 SAFE BULKERS INC COM Y7388L103 1550 162832 SH SOLE 159801 0 3031 SANDRIDGE ENERGY INC COM 80007P307 2851 464335 SH SOLE 455582 0 8753 SESA STERLITE LTD-ADR SPONSORED ADR 78413F103 6314 508395 SH SOLE 500538 0 7857 SHINHAN FINANCIAL GROUP SP ADR RESTR 824596100 8463 192552 SH SOLE 189613 0 2939 SILVER STANDARD RESOURCES COM 82823L106 8707 876843 SH SOLE 862582 0 14261 SILVER WHEATON CORP COM 828336107 3410 150241 SH SOLE 147387 0 2854 SOUTHERN COPPER CORP COM 84265V105 8396 288413 SH SOLE 283680 0 4733 STEEL DYNAMICS INC COM 858119100 2417 135835 SH SOLE 133295 0 2540 TAIWAN SEMICONDUCTOR SP ADR 874039100 19886 993321 SH SOLE 977792 0 15529 TATA MOTORS LTD SP ADR 876568502 10405 293839 SH SOLE 289336 0 4503 TECK RESOURCES LTD CL B 878742204 2828 130448 SH SOLE 128000 0 2448 TEMPLETON GLOBAL INCOME FUND COM 880198106 2724 338791 SH SOLE 338368 0 423 TESORO CORP COM 881609101 1866 36878 SH SOLE 36192 0 686 TIDEWATER INC COM 886423102 3034 62402 SH SOLE 61244 0 1158 TRINITY INDUSTRIES INC COM 896522109 2776 38520 SH SOLE 37806 0 714 UNITED STATES STEEL CORP COM 912909108 2306 83512 SH SOLE 81954 0 1558 VALE SA SP ADR 91912E105 13969 1010038 SH SOLE 993856 0 16182 VOYA GLOBAL EQ DIV & PR OPP FD COM 92912T100 3948 429118 SH SOLE 427996 0 1122 VOYA NATURAL RES EQ INC FUND COM 92913C106 13525 1280823 SH SOLE 1277457 0 3366 VOYA PRIME RATE TRUST SH BEN INT 92913A100 5162 890053 SH SOLE 887728 0 2325 WESTERN REFINING INC COM 959319104 2022 52390 SH SOLE 51409 0 981 WESTLAKE CHEMICAL CORP COM 960413102 3006 45423 SH SOLE 44575 0 848 WHITING PETROLEUM CORP COM 966387102 3382 48733 SH SOLE 47822 0 911 WORTHINGTON INDUSTRIES COM 981811102 1871 48914 SH SOLE 48010 0 904 YANDEX NV-A SHS CLASS A N97284108 5145 170422 SH SOLE 168026 0 2396