Managing Director

0001398344-16-012580.txt : 20160429 0001398344-16-012580.hdr.sgml : 20160429 20160429151530 ACCESSION NUMBER: 0001398344-16-012580 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160429 DATE AS OF CHANGE: 20160429 EFFECTIVENESS DATE: 20160429 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: 161605861 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 03-31-2016 03-31-2016 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 04-29-2016 0 90 111193 INFORMATION TABLE 2 fp0019339_13fhr-table.xml 13F INFORMATION TABLE ABERDEEN ASIA-PACIFIC INCOME FUND COM 003009107 7377 1485804 SH SOLE 1485804 0 0 AGRIUM INC COM 008916108 248 2814 SH SOLE 2814 0 0 ALIBABA SPONSORED ADS 01609W102 663 8389 SH SOLE 8389 0 0 ALLIANCE NATIONAL MUNI INCOME FUND COM 01864U106 2554 177513 SH SOLE 177513 0 0 ALLIANZGI CONVERTIBLE & INCOME FUND COM 018828103 1470 268507 SH SOLE 268507 0 0 ALLIANZGI NFJ DIVIDEND INT & PREM STRAT COM 01883A107 2776 226435 SH SOLE 226435 0 0 ALPHABET INC-CL A CAP STK CL A 02079K305 321 421 SH SOLE 421 0 0 ALPINE GLOBAL PREMIER PROPERTIES FUND COM SBI 02083A103 1529 275927 SH SOLE 275927 0 0 APPLE INC COM 037833100 993 9114 SH SOLE 9114 0 0 BAIDU INC SPON ADR REP A 056752108 1530 8017 SH SOLE 8017 0 0 BANK OF AMERICA CORP COM 060505104 349 25837 SH SOLE 25837 0 0 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 7995 2317365 SH SOLE 2317365 0 0 BLACKROCK FLOATING RATE INCOME STRATEGIES COM 09255X100 1934 148707 SH SOLE 148707 0 0 BLACKROCK GLOBAL OPPORTUNITIES EQ TRST COM 092501105 1714 145508 SH SOLE 145508 0 0 BLACKROCK MUNI 2020 TERM TRUST COM SHS 09249X109 358 22170 SH SOLE 22170 0 0 BLACKROCK RESOURCES & COMMOD SHS 64110W102 649 4523 SH SOLE 4523 0 0 BRASKEM SA SP ADR PFD A 105532105 512 42041 SH SOLE 42041 0 0 CALAMOS STRATEGIC TOTAL RETURN FUND COM SH BEN INT 128125101 4856 515126 SH SOLE 515126 0 0 CANADIAN NATURAL RESOURCES LTD COM 136385101 328 12154 SH SOLE 12154 0 0 CELANESE CORPORATION COM SER A 150870103 478 7335 SH SOLE 7335 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 598 82101 SH SOLE 82101 0 0 CHENIERE ENERGY PARTNERS LP COM REP LLC IN 16411W108 258 14270 SH SOLE 14270 0 0 CHICAGO BRIDGE & IRON CO NV COM 167250109 328 8969 SH SOLE 8969 0 0 CITIGROUP INC COM NEW 172967424 337 8074 SH SOLE 8074 0 0 CO ENERGETICA DE MINAS GERAIS-CEMIG SP ADR N-V PFD 204409601 772 341426 SH SOLE 341426 0 0 DEVON ENERGY CORP COM 25179M103 420 15324 SH SOLE 15324 0 0 DIAMOND OFFSHORE DRILLING COM 25271C102 299 13770 SH SOLE 13770 0 0 DIVERSIFIED REAL ASST INC FD COM SHS 25533B108 294 18743 SH SOLE 18743 0 0 DORIAN LPG LTD SHS USD Y2106R110 271 28778 SH SOLE 28778 0 0 EASTMAN CHEMICAL COMPANY COM 277432100 365 5050 SH SOLE 5050 0 0 EGSHARES INDIA INFRASTRUCTURE ETF EGS INDI INF ETF 268461845 235 22849 SH SOLE 22849 0 0 ENBRIDGE INC COM 29250N105 362 9296 SH SOLE 9296 0 0 EOG RESOURCES INC COM 26875P101 401 5532 SH SOLE 5532 0 0 FACEBOOK CL A 30303M102 540 4737 SH SOLE 4737 0 0 FIRSTENERGY CORP COM 337932107 443 12308 SH SOLE 12308 0 0 FRONTLINE LTD SHS G3682E192 288 34396 SH SOLE 34396 0 0 HALLIBURTON CO COM 406216101 801 22433 SH SOLE 22433 0 0 HOLLYFRONTIER CORP COM 436106108 267 7567 SH SOLE 7567 0 0 ICICI BANK LTD ADR 45104G104 419 58465 SH SOLE 58465 0 0 INFOSYS LTD SPONSORED ADR 456788108 547 28774 SH SOLE 28774 0 0 INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND COM 46132R104 5143 481867 SH SOLE 481867 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 4732 1179018 SH SOLE 1179018 0 0 JD.COM INC SPON ADR CL A 47215P106 462 17442 SH SOLE 17442 0 0 KOREA ELECTRIC POWER CORP SPONSORED ADR 500631106 1330 51657 SH SOLE 51657 0 0 KRATON PERFORMANCE POLYMERS COM 50077C106 411 23736 SH SOLE 23736 0 0 LYONDELLBASELL INDUSTRIES NV SHS - A - N53745100 509 5942 SH SOLE 5942 0 0 MARATHON PETROLEUM CORP COM 56585A102 404 10867 SH SOLE 10867 0 0 MARKET VECTORS HIGH YIELD MUNI HG YLD MUN ETF 57060U878 1776 56890 SH SOLE 56890 0 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 477 58985 SH SOLE 58985 0 0 NETFLIX INC COM 64110L106 347 3391 SH SOLE 3391 0 0 NEWMONT MINING CORP COM 651639106 486 18277 SH SOLE 18277 0 0 NORDIC AMERICAN TANKERS LTD COM G65773106 433 30739 SH SOLE 30739 0 0 NUVEEN AMT-FREE MUNI INCOME FUND COM 670657105 1414 99920 SH SOLE 99920 0 0 NUVEEN CREDIT STRATEGIES INCOME FUND COM SHS 67073D102 10177 1295189 SH SOLE 1295189 0 0 NUVEEN MUNICIPAL OPPORTUNITY FUND COM 670984103 1799 122830 SH SOLE 122830 0 0 NUVEEN MUNICIPAL VALUE FUND COM 670928100 364 34856 SH SOLE 34856 0 0 NUVEEN NY AMT-FREE MUNI INCOME FUND COM 670656107 1189 88845 SH SOLE 88845 0 0 NUVEEN PREMIER MUNI INCOME FUND COM 670988104 337 23963 SH SOLE 23963 0 0 NUVEEN SENIOR INCOME FUND COM 67067Y104 3691 629247 SH SOLE 629247 0 0 NUVEEN SHORT DURATION CREDIT OPP FUND COM 67074X107 2901 193080 SH SOLE 193080 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 276 4039 SH SOLE 4039 0 0 OGE ENERGY CORP COM 670837103 498 17558 SH SOLE 17558 0 0 PBF ENERGY INC CL A 69318G106 550 16561 SH SOLE 16561 0 0 PHILLIPS 66 COM 718546104 369 4261 SH SOLE 4261 0 0 PIONEER NATURAL RESOURCES COM 723787107 386 2744 SH SOLE 2744 0 0 POWERSHARES NATL AMT-FREE MUNI BOND INSUR NATL MUN 73936T474 2488 96908 SH SOLE 96908 0 0 ROWAN COMPANIES PLC SHS CL A G7665A101 162 10077 SH SOLE 10077 0 0 SCHLUMBERGER LTD COM 806857108 877 11894 SH SOLE 11894 0 0 SCORPIO TANKERS INC SHS Y7542C106 315 53999 SH SOLE 53999 0 0 SHINHAN FINANCIAL GROUP SPN ADR RESTRD 824596100 385 10927 SH SOLE 10927 0 0 SHIP FINANCE INTERNATIONAL LTD SHS G81075106 524 37693 SH SOLE 37693 0 0 SILVER WHEATON CORP COM 828336107 488 29441 SH SOLE 29441 0 0 SINOPEC SHANGHAI SPON ADR H 82935M109 1044 20707 SH SOLE 20707 0 0 SPDR BARCLAYS INTERNATIONAL TREASURY BRCLYS INTL ETF 78464A516 1470 26365 SH SOLE 26365 0 0 SPDR NUVEEN BARCLAYS MUNI BOND ETF ETF 78468R721 717 14554 SH SOLE 14554 0 0 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 1204 45948 SH SOLE 45948 0 0 TEEKAY TANKERS LTD CL A Y8565N102 336 91512 SH SOLE 91512 0 0 TEKLA HEALTHCARE INVESTORS SH BEN INT 87911J103 930 38744 SH SOLE 38744 0 0 TEMPLETON EMERGING MARKETS INCOME FUND COM 880192109 2961 288000 SH SOLE 288000 0 0 TESORO CORPORATION COM 881609101 508 5904 SH SOLE 5904 0 0 TRANSCANADA CORPORATION COM 89353D107 551 14025 SH SOLE 14025 0 0 TRANSOCEAN LTD REG SHS H8817H100 249 27254 SH SOLE 27254 0 0 TRINSEO SA SHS L9340P101 509 13841 SH SOLE 13841 0 0 TSAKOS ENERGY NAVIGATION LTD SHS G9108L108 416 67368 SH SOLE 67368 0 0 VALERO ENERGY CP DELA NEW COM 91913Y100 529 8253 SH SOLE 8253 0 0 VIPSHOP HOLDINGS LTD SPONSORED ADR 92763W103 421 32678 SH SOLE 32678 0 0 VOYA PRIME RATE TRUST SH BEN INT 92913A100 5940 1184760 SH SOLE 1184760 0 0 WESTERN REFINING INC COM 959319104 231 8063 SH SOLE 8063 0 0 WESTLAKE CHEMICAL CORP COM 960413102 289 6240 SH SOLE 6240 0 0 WILLIAMS COS INC COM 969457100 307 19100 SH SOLE 19100 0 0