Managing Director

0001398344-14-004040.txt : 20140811 0001398344-14-004040.hdr.sgml : 20140811 20140808164040 ACCESSION NUMBER: 0001398344-14-004040 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140808 DATE AS OF CHANGE: 20140808 EFFECTIVENESS DATE: 20140808 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: 141027991 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 06-30-2014 06-30-2014 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 08-07-2014 0 106 381792 INFORMATION TABLE 2 fp0011226_13fhr-table.xml 13F INFORMATION TABLE ADVANCED SEMICONDUCTOR ENGINEERING SP ADR 00756M404 8153 1254314 SH SOLE 1237678 0 16636 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME COM 01879R106 6091 423886 SH SOLE 422655 0 1231 ANGLOGOLD ASHANTI SP ADR 035128206 5075 294858 SH SOLE 290990 0 3868 APPLE INC COM 037833100 847 9114 SH SOLE 9114 0 0 APPROACH RESOURCES INC COM 03834A103 1264 55602 SH SOLE 54524 0 1078 BAIDU INC SP ADR REP A 056752108 10771 57658 SH SOLE 56933 0 725 BANCO BRADESCO SP ADR PFD NEW 059460303 3819 263019 SH SOLE 259499 0 3520 BANCO DE CHILE SP ADR 059520106 2551 32582 SH SOLE 32153 0 429 BANK OF AMERICA CORP COM 060505104 397 25837 SH SOLE 25837 0 0 BHP BILLITON LTD SP ADR 088606108 2822 41227 SH SOLE 40414 0 813 BLACKROCK MUNI INCOME TRUST II COM 09249N101 2145 147526 SH SOLE 147526 0 0 BLACKROCK MUNI TARGET TERM TR COM 09257P105 1819 89539 SH SOLE 89539 0 0 BLACKROCK MUNICIPAL INCOME TR SH BEN 09248F109 2248 163883 SH SOLE 163883 0 0 BLACKROCK MUNIHLDNGS QUALITY II COM 09254C107 2706 204263 SH SOLE 204263 0 0 BLACKROCK MUNIHOLDINGS FUND COM 09253N104 1391 85695 SH SOLE 85695 0 0 BLACKROCK MUNIYIELD FUND COM 09253W104 565 39249 SH SOLE 39249 0 0 BLACKROCK MUNIYIELD QUALITY FUND COM 09254F100 1432 95043 SH SOLE 95043 0 0 BLACKROCK REAL ASSET EQUITY TRUST COM 09254B109 8783 935335 SH SOLE 932629 0 2706 BLACKROCK RESOURCES & COMM STRATEG TR SHS 09257A108 8591 692281 SH SOLE 690293 0 1988 BLACKSTONE GSO LONG SHORT CREDIT INCOME COM SHS BN INT 09257D102 4792 270287 SH SOLE 269516 0 771 BLACKSTONE GSO STRATEGIC CREDIT FUND COM SHS BEN IN 09257R101 1569 88284 SH SOLE 88086 0 198 CANADIAN NATURAL RESOURCES LTD COM 136385101 2398 52230 SH SOLE 51217 0 1013 CELANESE CORPORATION COM SER A 150870103 3105 48301 SH SOLE 47357 0 944 CEMEX SAB DE CV SP ADR NEW 151290889 9348 706546 SH SOLE 695907 0 10639 CENOVOUS ENERGY INC COM 15135U109 848 26195 SH SOLE 25683 0 512 CIMAREX ENERGY CO COM 171798101 2266 15792 SH SOLE 15488 0 304 CITIGROUP INC COM NEW 172967424 368 7818 SH SOLE 7818 0 0 CLEARBRIDGE ENERGY MLP OPPORTUNITY FD COM 18469P100 2243 88313 SH SOLE 88076 0 237 CLEARBRIDGE ENERGY MLP TOTAL RET COM 18469Q108 6327 264291 SH SOLE 263534 0 757 CLIFFS NATURAL RESOURCES COM 18683K101 1350 89714 SH SOLE 88018 0 1696 CO ENERGETICA DE MINAS GERAIS-CEMIG SP ADR N-V PFD 204409601 8559 1071256 SH SOLE 1057235 0 14021 COMPANHIA SIDERURGICA NACIONAL SP ADR 20440W105 4919 1154682 SH SOLE 1139559 0 15123 CONTINENTAL RESOURCES INC COM 212015101 2652 16781 SH SOLE 16463 0 318 CREDICORP LTD COM G2519Y108 5236 33677 SH SOLE 33244 0 433 DEERE & CO COM 244199105 2990 33025 SH SOLE 32386 0 639 DELEK US HOLDINGS INC COM 246647101 2138 75749 SH SOLE 74253 0 1496 DIANA SHIPPING INC COM Y2066G104 850 78048 SH SOLE 76539 0 1509 DOMTAR CORPORATION NEW COM NEW 257559203 1569 36607 SH SOLE 35909 0 698 DRYSHIPS INC SHS Y2109Q101 834 259070 SH SOLE 253835 0 5235 EASTMAN CHEMICAL COMPANY COM 277432100 1585 18140 SH SOLE 17791 0 349 EATON VANCE SENIOR INCOME TRUST SH BEN 27826S103 2997 440042 SH SOLE 438765 0 1277 ENCANA CORP COM 292505104 2215 93409 SH SOLE 91596 0 1813 EOG RESOURCES INC COM 26875P101 1369 11717 SH SOLE 11490 0 227 FIRST TRUST MLP & ENERGY INCOME FUND COM 33739B104 3157 146440 SH SOLE 146018 0 422 FREEPORT-MCMORAN COPPER & GOLD COM 35671D857 3990 109327 SH SOLE 107236 0 2091 GENERAL MOTORS COM 37045V100 428 11790 SH SOLE 11790 0 0 HALLIBURTON CO COM 406216101 5953 83839 SH SOLE 82217 0 1622 HDFC BANK LTD ADR REPS 3 SHS 40415F101 2196 46897 SH SOLE 46288 0 609 HOLLYFRONTIER CORP COM COM 436106108 1684 38535 SH SOLE 37790 0 745 HUNTSMAN CORP COM 447011107 3422 121771 SH SOLE 119399 0 2372 ICICI BANK LTD ADR 45104G104 5662 113461 SH SOLE 111969 0 1492 INFOSYS LTD SP ADR 456788108 7498 139439 SH SOLE 137598 0 1841 INVESCO DYNAMIC CREDIT OPPORTUNITIES COM 46132R104 4783 369342 SH SOLE 368289 0 1053 INVESCO MUNICIPAL OPPORTUNITY TRUST COM 46132C107 892 70814 SH SOLE 70814 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 6040 1205575 SH SOLE 1202049 0 3526 ISHARES NATL AMT-FREE MUNI BOND ETF NAT AMT FREE BD 464288414 442 4064 SH SOLE 4064 0 0 ITAU UNIBANCO HOLDING SA SP ADR REP PFD 465562106 8964 623375 SH SOLE 614965 0 8410 KB FINANCIAL GROUP INC SP ADR 48241A105 6153 177022 SH SOLE 174687 0 2335 LYONDELLBASELL INDUSTRIES NV SHS - 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