0001398344-16-015967.txt : 20160803 0001398344-16-015967.hdr.sgml : 20160803 20160802183514 ACCESSION NUMBER: 0001398344-16-015967 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160803 DATE AS OF CHANGE: 20160802 EFFECTIVENESS DATE: 20160803 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: 161801840 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 06-30-2016 06-30-2016 false NEWGATE CAPITAL MANAGEMENT LLC

One Sound Shore Drive Greenwich CT 06830

13F HOLDINGS REPORT 028-03871 N Sonia Rosenbaum 203-661-0700 /s/ Sonia Rosenbaum Greenwich CT 08-02-2016 0 89 121029 INFORMATION TABLE 2 fp0020694_13fhr-table.xml 13F INFORMATION TABLE ABERDEEN ASIA-PACIFIC INCOME FUND COM 003009107 7865 1580373 SH SOLE 1580373 0 0 ALIBABA SPONSORED ADS 01609W102 814 10236 SH SOLE 10236 0 0 ALLERGAN PLC SHS G0177J108 306 1322 SH SOLE 1322 0 0 ALLIANCE NATIONAL MUNI INCOME FUND COM 01864U106 2646 175968 SH SOLE 175968 0 0 ALLIANZGI NFJ DIVIDEND INT & PREM STRAT COM 01883A107 2306 186999 SH SOLE 186999 0 0 ALPHABET INC-CL A CAP STK CL A 02079K305 296 421 SH SOLE 421 0 0 ALPINE GLOBAL PREMIER PROPERTIES FUND COM SBI 02083A103 3042 559250 SH SOLE 559250 0 0 APACHE CORP COM 037411105 567 10239 SH SOLE 10239 0 0 APPLE INC COM 037833100 436 4558 SH SOLE 4558 0 0 BAIDU INC SPON ADR REP A 056752108 1325 8025 SH SOLE 8025 0 0 BAKER HUGHES INC COM 057224107 314 6966 SH SOLE 6966 0 0 BANK OF AMERICA CORP COM 060505104 171 12922 SH SOLE 12922 0 0 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 8419 2398291 SH SOLE 2398291 0 0 BLACKROCK FLOATING RATE INCOME STRAT COM 09255X100 1485 113428 SH SOLE 113428 0 0 BLACKROCK GLOBAL OPPORTUNITIES EQ TRUST COM 092501105 1549 131582 SH SOLE 131582 0 0 BRASKEM SA SP ADR PFD A 105532105 433 36567 SH SOLE 36567 0 0 CALAMOS STRATEGIC TOTAL RETURN FUND COM SH BEN INT 128125101 3712 378782 SH SOLE 378782 0 0 CALLON PETROLEUM CO COM 13123X102 326 29038 SH SOLE 29038 0 0 CANADIAN NATURAL RESOURCES LTD COM 136385101 416 13497 SH SOLE 13497 0 0 CELANESE CORPORATION COM SER A 150870103 651 9996 SH SOLE 9996 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 462 74887 SH SOLE 74887 0 0 CHICAGO BRIDGE & IRON CO NV COM 167250109 356 10274 SH SOLE 10274 0 0 CLOUGH GLOBAL OPPORTUNITIES FUND SH BEN INT 18914E106 2379 257692 SH SOLE 257692 0 0 CONTINENTAL RESOURCES INC COM 212015101 280 6193 SH SOLE 6193 0 0 DEVON ENERGY CORP COM 25179M103 636 17533 SH SOLE 17533 0 0 DIAMOND OFFSHORE DRILLING COM 25271C102 353 14501 SH SOLE 14501 0 0 DIVERSIFIED REAL ASSET INCOME FUND COM SHS 25533B108 1950 118627 SH SOLE 118627 0 0 EASTMAN CHEMICAL COMPANY COM 277432100 472 6950 SH SOLE 6950 0 0 EOG RESOURCES INC COM 26875P101 699 8395 SH SOLE 8395 0 0 FACEBOOK CL A 30303M102 541 4737 SH SOLE 4737 0 0 FREEPORT-MCMORAN COPPER & GOLD COM 35671D857 344 30906 SH SOLE 30906 0 0 FRONTLINE LTD SHS G3682E192 248 31524 SH SOLE 31524 0 0 GULFPORT ENERGY CORP COM NEW 402635304 399 12774 SH SOLE 12774 0 0 HALLIBURTON CO COM 406216101 1225 27042 SH SOLE 27042 0 0 HUNTSMAN CORP COM 447011107 258 19198 SH SOLE 19198 0 0 INFOSYS LTD SPONSORED ADR 456788108 457 25584 SH SOLE 25584 0 0 INVESCO DYNAMIC CREDIT OPPS FUND COM 46132R104 5339 487797 SH SOLE 487797 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 8122 1954365 SH SOLE 1954365 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF NASDQ BIOTEC ETF 464287556 425 1653 SH SOLE 1653 0 0 JD.COM INC SPON ADR CL A 47215P106 334 15734 SH SOLE 15734 0 0 KB FINANCIAL GROUP INC SP ADR 48241A105 533 18739 SH SOLE 18739 0 0 KOREA ELECTRIC POWER CORP SPONSORED ADR 500631106 1176 45358 SH SOLE 45358 0 0 KRATON PERFORMANCE POLYMERS COM 50077C106 570 20392 SH SOLE 20392 0 0 LAREDO PETROLEUM INC COM 516806106 270 25767 SH SOLE 25767 0 0 LYONDELLBASELL INDUSTRIES NV SHS - A - N53745100 648 8711 SH SOLE 8711 0 0 MARATHON PETROLEUM CORP COM 56585A102 476 12536 SH SOLE 12536 0 0 MCDERMOTT INTL INC COM 580037109 282 57162 SH SOLE 57162 0 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 424 51187 SH SOLE 51187 0 0 NETEASE INC SPONSORED ADR 64110W102 537 2780 SH SOLE 2780 0 0 NEWFIELD EXPLORATION CO COM 651290108 657 14874 SH SOLE 14874 0 0 NEWMONT MINING CORP COM 651639106 503 12868 SH SOLE 12868 0 0 NUVEEN AMT-FREE MUNI INCOME FUND COM 670657105 1875 125534 SH SOLE 125534 0 0 NUVEEN CREDIT STRATEGIES INCOME FUND COM SHS 67073D102 10802 1345215 SH SOLE 1345215 0 0 NUVEEN ENHANCED AMT-FREE MUNI CR OPP COM 67071L106 3054 188667 SH SOLE 188667 0 0 NUVEEN NY AMT-FREE MUNI INCOME FUND COM 670656107 377 26577 SH SOLE 26577 0 0 NUVEEN PREMIER MUNI INCOME FUND COM 670988104 756 50341 SH SOLE 50341 0 0 NUVEEN PREMIUM INC MUNI FUND COM 67062T100 1142 74330 SH SOLE 74330 0 0 NUVEEN PREMIUM INC MUNI FUND 2 COM 67063W102 758 49141 SH SOLE 49141 0 0 NUVEEN SENIOR INCOME FUND COM 67067Y104 2161 359880 SH SOLE 359880 0 0 PALO ALTO NETWORKS INC COM 697435105 284 2318 SH SOLE 2318 0 0 PBF ENERGY INC CL A 69318G106 413 17379 SH SOLE 17379 0 0 PHILLIPS 66 COM 718546104 499 6292 SH SOLE 6292 0 0 PIONEER NATURAL RESOURCES COM 723787107 1083 7163 SH SOLE 7163 0 0 POWERSHARES NATL AMT-FREE MUNI BOND INSUR NATL MUN 73936T474 2266 85592 SH SOLE 85592 0 0 RAYONIER ADVANCED MATERIALS COM 75508B104 224 16484 SH SOLE 16484 0 0 RIO TINTO PLC SP ADR 767204100 406 12966 SH SOLE 12966 0 0 ROWAN COMPANIES PLC SHS CL A G7665A101 234 13273 SH SOLE 13273 0 0 ROYAL DUTCH SHELL COM 780259206 586 10619 SH SOLE 10619 0 0 SCHLUMBERGER LTD COM 806857108 1423 17990 SH SOLE 17990 0 0 SHINHAN FINANCIAL GROUP SPN ADR RESTRD 824596100 518 15834 SH SOLE 15834 0 0 SILVER WHEATON CORP COM 828336107 743 31571 SH SOLE 31571 0 0 SINOPEC SHANGHAI SPON ADR H 82935M109 907 19778 SH SOLE 19778 0 0 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 938 35745 SH SOLE 35745 0 0 TEKLA HEALTHCARE INVESTORS SH BEN INT 87911J103 1468 62643 SH SOLE 62643 0 0 TEKLA HEALTHCARE OPPORTUNITIES SHS 879105104 1559 94379 SH SOLE 94379 0 0 TEKLA WORLD HEALTHCARE FUND BEN INT SHS 87911L108 1560 111558 SH SOLE 111558 0 0 TEMPLETON EMERGING MARKETS INC FUND COM 880192109 3072 293434 SH SOLE 293434 0 0 TESORO CORPORATION COM 881609101 634 8463 SH SOLE 8463 0 0 TRANSCANADA CORPORATION COM 89353D107 299 6620 SH SOLE 6620 0 0 TRANSOCEAN LTD REG SHS H8817H100 395 33226 SH SOLE 33226 0 0 TRINSEO SA SHS L9340P101 612 14356 SH SOLE 14356 0 0 TRONOX LTD-CL A SHS CL A Q9235V101 142 32145 SH SOLE 32145 0 0 VALERO ENERGY CORP COM 91913Y100 541 10602 SH SOLE 10602 0 0 VANECK VECTORS HIGH-YIELD MUNI HG YLD MUN ETF 92189F361 1872 58284 SH SOLE 58284 0 0 VIPSHOP HOLDINGS LTD SPONSORED ADR 92763W103 383 34304 SH SOLE 34304 0 0 VOYA PRIME RATE TRUST SH BEN INT 92913A100 7707 1513210 SH SOLE 1513210 0 0 WESTLAKE CHEMICAL CORP COM 960413102 326 7606 SH SOLE 7606 0 0 WHITING PETROLEUM CORP COM 966387102 137 14816 SH SOLE 14816 0 0 WILLIAMS COS INC COM 969457100 435 20089 SH SOLE 20089 0 0