Managing Director

0001398344-15-003267.txt : 20150514 0001398344-15-003267.hdr.sgml : 20150514 20150514130612 ACCESSION NUMBER: 0001398344-15-003267 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150514 DATE AS OF CHANGE: 20150514 EFFECTIVENESS DATE: 20150514 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: 15861684 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 03-31-2015 03-31-2015 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 05-14-2015 0 117 143154 INFORMATION TABLE 2 fp0014431_13fhr-table.xml 13F INFORMATION TABLE ADVANCED SEMICONDUCTOR ENGINEERING SP ADR 00756M404 1137 157940 SH SOLE 157940 0 0 AGRIUM INC COM 008916108 231 2212 SH SOLE 2212 0 0 ALIBABA COM 01609W102 791 9505 SH SOLE 9505 0 0 ALLIANCE NATIONAL MUNI INCOME COM 01864U106 496 36232 SH SOLE 36232 0 0 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FUND COM 01879R106 7418 590099 SH SOLE 590099 0 0 ALON USA ENERGY INC COM 020520102 310 18724 SH SOLE 18724 0 0 AMERICA MOVIL COM 02364W105 1193 58303 SH SOLE 58303 0 0 APPLE INC COM 037833100 1134 9114 SH SOLE 9114 0 0 AU OPTRONICS CORP ADR 002255107 716 142904 SH SOLE 142904 0 0 BAIDU INC SP ADR REP A 056752108 1979 9496 SH SOLE 9496 0 0 BAKER HUGHES INC COM 057224107 799 12562 SH SOLE 12562 0 0 BANCO BRADESCO SA SP ADR PFD NEW 059460303 802 86412 SH SOLE 86412 0 0 BANK OF AMERICA CORP COM 060505104 398 25837 SH SOLE 25837 0 0 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 9321 2498914 SH SOLE 2498914 0 0 BLACKROCK FLOATING RATE INCOME STRATEGIES COM 09255X100 2328 167456 SH SOLE 167456 0 0 BLACKROCK RESOURCES & COMM STRATEGY TR SHS 09257A108 3835 401131 SH SOLE 401131 0 0 BLACKSTONE/GSO LONG SHORT CREDIT INC FUND COM SHS BN INT 09257D102 4292 265946 SH SOLE 265946 0 0 BLACKSTONE/GSO STRATEGIC CREDIT FUND COM SHS BEN IN 09257R101 1729 106857 SH SOLE 106857 0 0 BOISE CASCADE CO COM 09739D100 625 16675 SH SOLE 16675 0 0 CANADIAN NATURAL RESOURCES LTD COM 136385101 357 11639 SH SOLE 11639 0 0 CELANESE CORPORATION COM SER A 150870103 593 10608 SH SOLE 10608 0 0 CELANESE CORPORATION COM SER A 150870103 211 3786 SH SOLE 3786 0 0 CEMEX SAB DE CV SP ADR NEW 151290889 405 42759 SH SOLE 42759 0 0 CEMEX SAB DE CV SP ADR NEW 151290889 1154 121877 SH SOLE 121877 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 410 1445 SH SOLE 1445 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 1152 4061 SH SOLE 4061 0 0 CITIGROUP INC COM NEW 172967424 416 8074 SH SOLE 8074 0 0 CO ENERGETICA DE MINAS GERAIS-CEMIG SP ADR N-V PFD 204409601 259 63209 SH SOLE 63209 0 0 CO ENERGETICA DE MINAS GERAIS-CEMIG SP ADR N-V PFD 204409601 581 142144 SH SOLE 142144 0 0 COHEN AND STEERS LTD DURATION FUND COM 19248C105 1182 49112 SH SOLE 49112 0 0 CREDICORP LTD COM G2519Y108 1065 7572 SH SOLE 7572 0 0 CVR ENERGY INC COM 12662P108 400 9396 SH SOLE 9396 0 0 DELTA AIRLINES COM NEW 247361702 441 9819 SH SOLE 9819 0 0 DEUTSCHE X-TRACKERS HARVEST CSI 300 CHINA DBXTR HAR CS 300 233051879 280 6730 SH SOLE 6730 0 0 DEVON ENERGY CORP COM 25179M103 275 4552 SH SOLE 4552 0 0 DREYFUS STRATEGIC MUNI BOND FUND COM 26202F107 2071 256017 SH SOLE 256017 0 0 DREYFUS STRATEGIC MUNICIPALS COM 261932107 1971 234866 SH SOLE 234866 0 0 EASTMAN CHEMICAL COMPANY COM 277432100 327 4720 SH SOLE 4720 0 0 EATON VANCE SENIOR INCOME TRUST SH BEN 27826S103 2696 414102 SH SOLE 414102 0 0 EGSHARES INDIA INFRASTRUCTURE ETF EGS INDI INF ETF 268461845 866 65839 SH SOLE 65839 0 0 ENBRIDGE INC COM 29250N105 757 15613 SH SOLE 15613 0 0 ENCANA CORP COM 292505104 248 22250 SH SOLE 22250 0 0 ENSCO PLC SHS CLASS A G3157S106 255 12100 SH SOLE 12100 0 0 EOG RESOURCES INC COM 26875P101 397 4332 SH SOLE 4332 0 0 FACEBOOK COM 30303M102 389 4737 SH SOLE 4737 0 0 FREEPORT-MCMORAN COPPER & GOLD COM 35671D857 649 34241 SH SOLE 34241 0 0 GREENBRIER COMPANIES INC COM 393657101 391 6743 SH SOLE 6743 0 0 HALLIBURTON CO COM 406216101 692 15775 SH SOLE 15775 0 0 HALLIBURTON CO COM 406216101 246 5613 SH SOLE 5613 0 0 HOLLYFRONTIER CORP COM 436106108 343 8519 SH SOLE 8519 0 0 HUANENG POWER INTERNATIONAL COM 443304100 631 13122 SH SOLE 13122 0 0 HUANENG POWER INTERNATIONAL COM 443304100 273 5685 SH SOLE 5685 0 0 HUNTSMAN CORP COM 447011107 581 26222 SH SOLE 26222 0 0 HUNTSMAN CORP COM 447011107 211 9522 SH SOLE 9522 0 0 ICICI BANK LTD ADR 45104G104 1286 124112 SH SOLE 124112 0 0 INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND COM 46132R104 5332 445485 SH SOLE 445485 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 4874 1028283 SH SOLE 1028283 0 0 ITAU UNIBANCO HOLDING SA SP ADR REP PFD 465562106 939 84896 SH SOLE 84896 0 0 KINDER MORGAN INC COM 49456B101 615 14632 SH SOLE 14632 0 0 KINROSS GOLD CORP COM 496902404 61 27100 SH SOLE 27100 0 0 KINROSS GOLD CORP COM 496902404 166 74303 SH SOLE 74303 0 0 KOREA ELECTRIC POWER SP ADR 500631106 345 16851 SH SOLE 16851 0 0 KOREA ELECTRIC POWER SP ADR 500631106 789 38475 SH SOLE 38475 0 0 LG DISPLAY CO LTD SPONS ADR REP 50186V102 1002 70013 SH SOLE 70013 0 0 LYONDELLBASELL INDUSTRIES NV SHS - A - N53745100 756 8607 SH SOLE 8607 0 0 MELCO CROWN ENTERTAINMENT ADR 585464100 541 25228 SH SOLE 25228 0 0 MELCO CROWN ENTERTAINMENT ADR 585464100 206 9621 SH SOLE 9621 0 0 METHANEX CORPORATION COM 59151K108 562 10486 SH SOLE 10486 0 0 MICRON TECHNOLOGY COM 595112103 348 12830 SH SOLE 12830 0 0 MORGAN STANLEY CHINA A SHARE FUND COM 617468103 386 11711 SH SOLE 11711 0 0 MORGAN STANLEY CHINA A SHARE FUND COM 617468103 973 29568 SH SOLE 29568 0 0 MOSAIC CO COM 61945C103 356 7725 SH SOLE 7725 0 0 NEWPARK RESOURCES INC COM 651718504 191 20952 SH SOLE 20952 0 0 NORDIC AMERICAN TANKERS LTD COM G65773106 448 37610 SH SOLE 37610 0 0 NUCOR CORP COM 670346105 388 8166 SH SOLE 8166 0 0 NUVEEN CREDIT STRATEGIES INCOME FUND COM SHS 67073D102 11766 1300156 SH SOLE 1300156 0 0 NUVEEN DIVIDEND ADV MUNI FUND 2 COM 67070F100 984 69405 SH SOLE 69405 0 0 NUVEEN FLOATING RATE INCOME FUND COM 67072T108 3607 318882 SH SOLE 318882 0 0 NUVEEN MUNICIPAL ADVANTAGE FUND COM 67062H106 357 25973 SH SOLE 25973 0 0 NUVEEN MUNICIPAL OPPORTUNITY FUND COM 670984103 1816 123689 SH SOLE 123689 0 0 NUVEEN QUALITY INCOME MUNI FUND COM 670977107 1802 128339 SH SOLE 128339 0 0 NUVEEN QUALITY MUNI FUND COM 67062N103 626 46720 SH SOLE 46720 0 0 NUVEEN SENIOR INCOME FUND COM 67067Y104 3914 587643 SH SOLE 587643 0 0 NUVEEN SHORT DURATION CREDIT OPP FUND COM 67074X107 3592 209455 SH SOLE 209455 0 0 OCEAN RIG UDW INC SHS Y64354205 237 35956 SH SOLE 35956 0 0 OGE ENERGY CORP COM 670837103 531 16784 SH SOLE 16784 0 0 PBF ENERGY INC COM 69318G106 598 17629 SH SOLE 17629 0 0 PETROLEO BRASILEIRO SA SP ADR 71654V408 631 104934 SH SOLE 104934 0 0 PHILLIPS 66 COM 718546104 285 3626 SH SOLE 3626 0 0 PIMCO DYNAMIC CREDIT INCOME FUND COM 72202D106 4007 196229 SH SOLE 196229 0 0 POWERSHARES NATL AMT-FREE MUNI BOND INSUR NATL MUN 73936T474 321 12561 SH SOLE 12561 0 0 PPL CORP COM 69351T106 625 18575 SH SOLE 18575 0 0 PUTNAM MANAGED MUNI INCOME TRUST COM 746823103 82 11071 SH SOLE 11071 0 0 RIO TINTO PLC SP ADR 767204100 409 9870 SH SOLE 9870 0 0 SESA STERLITE LTD SP ADR 92242Y100 445 36153 SH SOLE 36153 0 0 SHIP FINANCE INTERNATIONAL LTD SHS G81075106 805 54363 SH SOLE 54363 0 0 SOCIEDAD QUIMICA Y MINERA CHILE SPON ADR SER B 833635105 288 15755 SH SOLE 15755 0 0 SPDR NUVEEN BARCLAYS MUNI BOND ETF NUVN BRCLY MUNI 78464A458 320 13197 SH SOLE 13197 0 0 STEEL DYNAMICS INC COM 858119100 456 22696 SH SOLE 22696 0 0 TAIWAN SEMICONDUCTOR MANUFACTURING SP ADR 874039100 718 30586 SH SOLE 30586 0 0 TAIWAN SEMICONDUCTOR MANUFACTURING SP ADR 874039100 1648 70170 SH SOLE 70170 0 0 TATA MOTORS LTD SP ADR 876568502 457 10143 SH SOLE 10143 0 0 TEMPLETON EMERGING MARKETS INCOME FUND COM 880192109 1255 116496 SH SOLE 116496 0 0 TEMPLETON EMERGING MARKETS INCOME FUND COM 880192109 3320 308255 SH SOLE 308255 0 0 TEMPLETON GLOBAL INCOME FUND COM 880198106 939 130614 SH SOLE 130614 0 0 TEMPLETON GLOBAL INCOME FUND COM 880198106 2558 355744 SH SOLE 355744 0 0 TESORO CORPORATION COM 881609101 220 2411 SH SOLE 2411 0 0 TESORO CORPORATION COM 881609101 628 6874 SH SOLE 6874 0 0 TRANSCANADA CORPORATION COM 89353D107 365 8545 SH SOLE 8545 0 0 TRINITY INDUSTRIES COM 896522109 686 19329 SH SOLE 19329 0 0 TRINITY INDUSTRIES COM 896522109 241 6787 SH SOLE 6787 0 0 UNITED STATES STEEL CORP COM 912909108 317 12978 SH SOLE 12978 0 0 VALERO ENERGY CP DELA NEW COM 91913Y100 645 10134 SH SOLE 10134 0 0 VOYA PRIME RATE TRUST SH BEN INT 92913A100 6022 1087015 SH SOLE 1087015 0 0 WESTERN REFINING INC COM 959319104 509 10299 SH SOLE 10299 0 0 WESTLAKE CHEMICAL CORP COM 960413102 546 7585 SH SOLE 7585 0 0 WILLIAMS COS INC COM 969457100 306 6052 SH SOLE 6052 0 0