Managing Director

0001398344-14-005239.txt : 20141015 0001398344-14-005239.hdr.sgml : 20141009 20141009162409 ACCESSION NUMBER: 0001398344-14-005239 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141009 DATE AS OF CHANGE: 20141009 EFFECTIVENESS DATE: 20141009 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: 141150376 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 09-30-2014 09-30-2014 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 10-09-2014 0 99 171920 INFORMATION TABLE 2 fp0011876_13fhr-table.xml 13F INFORMATION TABLE ABERDEEN ASIA-PACIFIC INCOME FUND COM 003009107 3004 509100 SH SOLE 509100 0 0 ADVANCED SEMICONDUCTOR ENGINEERING SP ADR 00756M404 1235 209016 SH SOLE 209016 0 0 AES CORPORATION COM 00130H105 551 38855 SH SOLE 38855 0 0 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME COM 01879R106 9200 676497 SH SOLE 676497 0 0 APPLE INC COM 037833100 918 9114 SH SOLE 9114 0 0 APPROACH RESOURCES INC COM 03834A103 486 33531 SH SOLE 33531 0 0 BAIDU INC SP ADR REP A 056752108 2338 10715 SH SOLE 10715 0 0 BAKER HUGHES INC COM 057224107 1099 16886 SH SOLE 16886 0 0 BANCO BRADESCO SP ADR PFD NEW 059460303 638 44754 SH SOLE 44754 0 0 BANK OF AMERICA CORP COM 060505104 441 25837 SH SOLE 25837 0 0 BHP BILLITON LTD SP ADR 088606108 903 15340 SH SOLE 15340 0 0 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 2995 783931 SH SOLE 783931 0 0 BLACKROCK MUNI INCOME TRUST II COM 09249N101 1896 131922 SH SOLE 131922 0 0 BLACKROCK MUNI TARGET TERM TR COM 09257P105 528 26550 SH SOLE 26550 0 0 BLACKROCK MUNICIPAL INCOME TR SH BEN 09248F109 1767 129247 SH SOLE 129247 0 0 BLACKROCK MUNIHLDNG NY QUAL FD COM 09255C106 792 59312 SH SOLE 59312 0 0 BLACKROCK MUNIHLDNGS QUALITY II COM 09254C107 2476 186448 SH SOLE 186448 0 0 BLACKROCK MUNIHOLDINGS FUND COM 09253N104 2031 126170 SH SOLE 126170 0 0 BLACKROCK MUNIYIELD FUND COM 09253W104 509 35880 SH SOLE 35880 0 0 BLACKROCK MUNIYIELD QUALITY FUND COM 09254F100 1071 71818 SH SOLE 71818 0 0 BLACKROCK REAL ASSET EQUITY TRUST COM 09254B109 6710 792179 SH SOLE 792179 0 0 BLACKROCK RESOURCES & COMM STRATEG TR SHS 09257A108 5757 512679 SH SOLE 512679 0 0 BLACKSTONE GSO LONG SHORT CREDIT INCOME COM SHS BN INT 09257D102 4022 240811 SH SOLE 240811 0 0 BLACKSTONE GSO STRATEGIC CREDIT FUND COM SHS BEN IN 09257R101 3061 182396 SH SOLE 182396 0 0 CANADIAN NATURAL RESOURCES LTD COM 136385101 705 18145 SH SOLE 18145 0 0 CELANESE CORPORATION COM SER A 150870103 975 16663 SH SOLE 16663 0 0 CEMEX SAB DE CV SP ADR NEW 151290889 1915 146867 SH SOLE 146867 0 0 CENOVOUS ENERGY INC COM 15135U109 333 12389 SH SOLE 12389 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 2039 7302 SH SOLE 7302 0 0 CIMAREX ENERGY CO COM 171798101 681 5386 SH SOLE 5386 0 0 CITIGROUP INC COM NEW 172967424 405 7818 SH SOLE 7818 0 0 CLEARBRIDGE ENERGY MLP OPPORTUNITY FD COM 18469P100 1744 71472 SH SOLE 71472 0 0 CLEARBRIDGE ENERGY MLP TOTAL RET COM 18469Q108 5178 224720 SH SOLE 224720 0 0 CLIFFS NATURAL RESOURCES COM 18683K101 338 32521 SH SOLE 32521 0 0 CO ENERGETICA DE MINAS GERAIS-CEMIG SP ADR N-V PFD 204409601 980 157320 SH SOLE 157320 0 0 COMPANHIA PARANAENSE DE ENERGIA SPON ADR PFD 20441B407 411 30032 SH SOLE 30032 0 0 CONTINENTAL RESOURCES INC COM 212015101 508 7641 SH SOLE 7641 0 0 CREDICORP LTD COM G2519Y108 854 5565 SH SOLE 5565 0 0 DEERE & CO COM 244199105 931 11350 SH SOLE 11350 0 0 DELEK US HOLDINGS INC COM 246647101 873 26366 SH SOLE 26366 0 0 DEUTSCHE X-TRACKERS HARVEST CSI 300 CHINA XTRAK MSCI EMKT 233051879 394 15274 SH SOLE 15274 0 0 DEVON ENERGY CORP COM 25179M103 360 5276 SH SOLE 5276 0 0 EATON VANCE SENIOR INCOME TRUST SH BEN 27826S103 3046 467915 SH SOLE 467915 0 0 EGSHARES INDIA INFRASTRUCTURE ETF EGS INDI INF ETF 268461845 464 36060 SH SOLE 36060 0 0 ENCANA CORP COM 292505104 736 34722 SH SOLE 34722 0 0 ENTERGY CORP COM 29364G103 602 7779 SH SOLE 7779 0 0 EOG RESOURCES INC COM 26875P101 498 5033 SH SOLE 5033 0 0 FREEPORT-MCMORAN COPPER & GOLD COM 35671D857 1259 38570 SH SOLE 38570 0 0 HALLIBURTON CO COM 406216101 1843 28576 SH SOLE 28576 0 0 HOLLYFRONTIER CORP COM COM 436106108 582 13318 SH SOLE 13318 0 0 HUANENG POWER INTL-SP ADR SPON ADR H SHS 443304100 1020 23355 SH SOLE 23355 0 0 HUNTSMAN CORP COM 447011107 1061 40826 SH SOLE 40826 0 0 ICICI BANK LTD ADR 45104G104 1522 30991 SH SOLE 30991 0 0 INFOSYS LTD SP ADR 456788108 493 8146 SH SOLE 8146 0 0 INVESCO DYNAMIC CREDIT OPPORTUNITIES COM 46132R104 5068 410399 SH SOLE 410399 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 6135 1291635 SH SOLE 1291635 0 0 ITAU UNIBANCO HOLDING SA SP ADR REP PFD 465562106 1473 106123 SH SOLE 106123 0 0 J HANCOCK PREF INCOME FUND III COM 41021P103 2371 135435 SH SOLE 135435 0 0 KB FINANCIAL GROUP INC SP ADR 48241A105 982 27106 SH SOLE 27106 0 0 LYONDELLBASELL INDUSTRIES NV SHS - 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