-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TcXfBf1XlXS4nWsmC8yW1G+0C04/TdGY1IptfnQLbgFdxWiooNXKnGII9bD6XsXP 81HXZC9lqLfYsTjHQ06aWQ== 0001144204-08-025001.txt : 20080430 0001144204-08-025001.hdr.sgml : 20080430 20080430094243 ACCESSION NUMBER: 0001144204-08-025001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080430 DATE AS OF CHANGE: 20080430 EFFECTIVENESS DATE: 20080430 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: 08788087 BUSINESS ADDRESS: STREET 1: 80 FIELD POINT RD STREET 2: 12TH FL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036610700 MAIL ADDRESS: STREET 1: 80 FIELD POINT RD 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 v112173_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3-31-2008 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Newgate Capital Management LLC Address: One Sound Shore Drive Greenwich, CT 06830 Form 13F File Number: 28-4822 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Sonia Rosenbaum Title: Managing Director Phone: 203-661-0700 Signature, Place, and Date of Signing: /s/ Sonia Rosenbaum Greenwich, CT 04-29-2008 --------------------- ------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 163 Form 13F Information Table Value Total: $ 2,559,043 ----------- (thousands) List of Other Included Managers: NONE
ITEM 1: ITEM 2: ITEM 3: ITEM 4: ITEM 5: ITEM 6: ITEM 7: ITEM 8: - ------------------------------- ---------- --------- ----------- ---------- ---------- --------- ----------------------- NAME OF ISSUER TITLE OF CUSIP FAIR SHARES OR INVESTMENT OTHER VOTING AUTHORITY CLASS NUMBER MARKET PRINCIPAL DISCRETION MANAGERS -------- ------ ------- VALUE AMOUNT (A) (B) (C) SOLE SHARED NONE - ------------------------------- ---------- --------- ----------- ---------- ---------- --------- ----------------------- ABERDEEN ASIA PACIFIC INCOME FUND COM 003009107 29,876,721 4,818,826 SOLE N/A 4,818,826 0 ACERGY SP ADR 00443E104 11,493,666 538,345 SOLE N/A 526,561 11,784 AGRIUM INC COM 008916108 18,077,923 291,063 SOLE N/A 285,920 5,143 ALCOA INC COM 013817101 10,979,188 304,470 SOLE N/A 298,605 5,865 ALLIANCE NATIONAL MUNICIPAL COM 01864U106 7,807,324 563,299 SOLE N/A 563,299 0 ALLIANCEBERNSTEIN INCOME FUND COM 01881E101 21,095,040 2,566,307 SOLE N/A 2,566,307 0 AMERICA MOVIL SP ADR 02364W105 103,713,433 1,628,410 SOLE N/A 1,609,791 18,619 ANGLO AMERICAN ADR 03485P201 24,726,635 830,589 SOLE N/A 815,031 15,558 APACHE CORP COM 037411105 12,301,265 101,815 SOLE N/A 100,043 1,772 APPLE INC COM 037833100 507,416 3,536 SOLE N/A 3,536 0 ARCH COAL INC COM 039380100 11,480,825 263,927 SOLE N/A 259,264 4,663 AU OPTRONICS SP ADR 002255107 18,211,332 1,059,414 SOLE N/A 1,037,623 21,791 BAIDU.COM ADR 056752108 14,540,748 60,680 SOLE N/A 59,998 682 BANCO BRADESCO SP ADR 059460303 4,502,228 162,184 SOLE N/A 158,845 3,339 BANCO ITAU HOLDING SP ADR 059602201 17,548,119 771,007 SOLE N/A 756,069 14,938 BARRICK GOLD CORP COM 067901108 6,646,199 152,962 SOLE N/A 149,632 3,330 BHP BILLITON SP ADR 088606108 8,973,840 136,277 SOLE N/A 133,299 2,978 BLACKROCK CORPORATE HIGH YIELD V COM 09255N102 11,047,899 1,019,179 SOLE N/A 1,019,179 0 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 11,480,097 2,182,528 SOLE N/A 2,182,528 0 BLACKROCK LTD DURATION INCOME COM 09249W101 9,784,176 661,093 SOLE N/A 661,093 0 BLACKROCK MUNI INCOME TRUST II COM 09249N101 6,989,569 495,012 SOLE N/A 495,012 0 BLACKROCK MUNIASSETS FUND COM 09254J102 1,581,792 114,789 SOLE N/A 114,789 0 BLACKROCK MUNICIPAL INCOME TRUST SH BEN 09248F109 512,169 35,592 SOLE N/A 35,592 0 BLACKROCK MUNIENHANCED FUND COM 09253Y100 788,210 78,821 SOLE N/A 78,821 0 BLACKROCK MUNIHOLDINGS FL INCOME COM 09254P108 8,318,492 686,911 SOLE N/A 686,911 0 BLACKROCK MUNIHOLDINGS FUND II COM 09253P109 4,133,276 312,181 SOLE N/A 312,181 0 BLACKROCK MUNIHOLDINGS INCOME II COM 09254C107 8,846,772 754,844 SOLE N/A 754,844 0 BLACKROCK MUNIVEST FUND COM 09253R105 1,447,733 167,368 SOLE N/A 167,368 0 BLACKROCK MUNIYIELD CA INSURED COM 09254N103 5,802,984 455,136 SOLE N/A 455,136 0 BLACKROCK MUNIYIELD NY INSURED COM 09255E102 6,353,489 515,287 SOLE N/A 515,287 0 BLACKROCK MUNIYIELD QUALITY II COM 09254G108 6,293,637 573,191 SOLE N/A 573,191 0 BLACKROCK PRFD OPPORTUNITY TRUST COM 09249V103 14,021,191 851,317 SOLE N/A 851,317 0 BRASIL TELECOM SP ADR 105530109 21,473,302 328,037 SOLE N/A 324,307 3,730 BUNGE LIMITED COM G16962105 7,740,226 89,091 SOLE N/A 87,281 1,810 CALAMOS CONVERTIBLE & HIGH INCOME COM 12811P108 11,887,879 939,011 SOLE N/A 939,011 0 CALAMOS CONVERTIBLE OPP & INCOME SH BEN 128117108 14,323,639 1,043,997 SOLE N/A 1,043,997 0 CAMECO CORP COM 13321L108 9,722,241 295,150 SOLE N/A 288,692 6,458 CEMEX SP ADR 151290889 8,975,929 343,642 SOLE N/A 339,753 3,889 CEMIG SP ADR 204409601 18,649,445 1,033,783 SOLE N/A 1,008,554 25,229 CENTURY ALUMINUM COMPANY COM 156431108 13,733,407 207,328 SOLE N/A 203,656 3,672 CF INDUSTRIES HOLDINGS COM 125269100 18,083,244 174,515 SOLE N/A 171,430 3,085 CHICAGO BRIDGE & IRON COM 167250109 14,353,364 365,784 SOLE N/A 359,349 6,435 CHINA LIFE INSURANCE COMPANY SP ADR 16939P106 13,399,828 257,392 SOLE N/A 252,064 5,328 CHINA MOBILE SP ADR 16941M109 112,894,749 1,505,063 SOLE N/A 1,483,690 21,373 CHUNGHWA TELECOM SP ADR 17133Q304 36,198,652 1,391,186 SOLE N/A 1,371,176 20,010 CIA VALE DO RIO DOCE SP ADR 204412209 58,022,866 1,675,025 SOLE N/A 1,640,382 34,643 CNOOC SP ADR 126132109 40,068,239 272,963 SOLE N/A 267,439 5,524 CONSOL ENERGY COM 20854P109 6,328,463 91,465 SOLE N/A 89,493 1,972 COSAN LTD COM G25342107 5,076,431 412,048 SOLE N/A 403,052 8,996 CREDIT SUISSE HIGH YIELD BOND SH BEN 22544F103 3,447,108 1,115,569 SOLE N/A 1,115,569 0 CTRIP.COM INTERNATIONAL ADR 22943F100 9,174,952 173,047 SOLE N/A 169,516 3,531 CURRENCYSHARES JAPANESE YEN SH BEN 23130A102 10,545,950 105,207 SOLE N/A 105,207 0 DEERE & CO COM 244199105 5,039,325 62,647 SOLE N/A 61,265 1,382 DESARROLLADORA HOMEX SP ADR 25030W100 33,946,421 584,779 SOLE N/A 572,775 12,004 DEVON ENERGY CORPORATION COM 25179M103 13,044,589 125,032 SOLE N/A 122,800 2,232 DWS HIGH INCOME TRUST COM 23337C109 5,898,179 1,290,630 SOLE N/A 1,290,630 0 EATON VANCE LIMITED DURATION FUND COM 27828H105 9,762,397 692,860 SOLE N/A 692,860 0 ENDESA CHILE SP ADR 29244T101 21,338,151 436,363 SOLE N/A 427,826 8,537 EVERGREEN INCOME ADVANTAGE FUND COM 30023Y105 11,612,793 1,101,783 SOLE N/A 1,101,783 0 EVERGREEN MANAGED INCOME FUND COM 30024Y104 7,276,818 461,727 SOLE N/A 461,727 0 EXXARO RESOURCES SP ADR 30231D109 300,977 20,974 SOLE N/A 20,974 0 FOMENTO ECONOMICO MEXICO SP ADR 344419106 34,485,922 825,417 SOLE N/A 814,516 10,901 FOSTER WHEELER COM G36535139 5,216,118 92,125 SOLE N/A 90,630 1,495 FREEPORT MCMORAN COPPER COM 35671D857 13,664,876 142,017 SOLE N/A 139,200 2,817 GAFISA SP ADR 362607301 25,835,519 774,446 SOLE N/A 760,539 13,907 GAMMON GOLD COM 36467T106 103,668 13,804 SOLE N/A 13,611 193 GERDAU SP ADR 373737105 23,406,822 765,679 SOLE N/A 750,489 15,190 GLOBAL GOLD CORP COM 37933T209 98,000 280,000 SOLE N/A 280,000 0 GOLD FIELDS SP ADR 38059T106 7,558,676 546,542 SOLE N/A 545,843 699 GOLDCORP COM 380956409 10,340,205 266,844 SOLE N/A 261,042 5,802 GREAT BASIN GOLD COM 390124105 10,011,337 2,735,338 SOLE N/A 2,679,411 55,927 GRUPO TELEVISA SP ADR 40049J206 13,683,528 564,502 SOLE N/A 552,617 11,885 HORNBECK OFFSHORE SERVICES COM 440543106 11,138,593 243,893 SOLE N/A 238,622 5,271 HUANENG POWER INTERNATIONAL ADR 443304100 4,090,955 133,954 SOLE N/A 131,074 2,880 IAMGOLD CORPORATION COM 450913108 13,442,025 1,833,837 SOLE N/A 1,801,870 31,967 ICICI BANK ADR 45104G104 27,585,554 722,324 SOLE N/A 713,065 9,259 IMPALA PLATINUM ADR 452553308 928,742 23,753 SOLE N/A 23,753 0 INDIA FUND COM 454089103 24,694,621 543,097 SOLE N/A 531,749 11,348 ISHARES FTSE/XINHUA CHINA MSCI CH 464287184 16,544,771 122,427 SOLE N/A 122,277 150 ISHARES MSCI HONG KONG MSCI HK 464286871 10,988,864 612,193 SOLE N/A 611,297 896 ISHARES MSCI MALAYSIA MSCI MY 464286830 7,176,161 605,583 SOLE N/A 604,857 726 ISHARES MSCI SINGAPORE MSCI SG 464286673 3,795,946 297,255 SOLE N/A 296,886 369 ISHARES MSCI SOUTH AFRICA MSCI SA 464286780 14,217,622 125,553 SOLE N/A 125,386 167 ISHARES MSCI SOUTH KOREA MSCI SK 464286772 10,023,031 179,656 SOLE N/A 179,415 241 ISHARES MSCI TAIWAN MSCI TW 464286731 11,927,585 752,529 SOLE N/A 751,540 989 JSC MMC NORILSK NICKEL ADR 46626D108 39,885,824 1,437,327 SOLE N/A 1,436,780 547 KEPCO SP ADR 500631106 6,614,600 439,801 SOLE N/A 439,136 665 KINROSS GOLD CORP COM 496902404 6,256,069 282,952 SOLE N/A 277,837 5,115 KOOKMIN BANK SP ADR 50049M109 76,668,553 1,367,860 SOLE N/A 1,346,270 21,590 KOREA FUND COM 500634100 11,415,831 510,547 SOLE N/A 509,748 799 LAS VEGAS SANDS CORP COM 517834107 315,253 4,281 SOLE N/A 4,281 0 LG DISPLAY COMPANY SP ADR 50186V102 24,879,773 1,114,186 SOLE N/A 1,091,064 23,122 LIHIR GOLD SP ADR 532349107 5,640,763 177,271 SOLE N/A 174,083 3,188 LINDSAY CORP COM 535555106 9,676,754 94,435 SOLE N/A 92,767 1,668 LUKOIL SP ADR 677862104 2,936,070 34,542 SOLE N/A 34,487 55 MCDERMOTT INTERNATIONAL COM 580037109 6,680,639 121,865 SOLE N/A 119,727 2,138 MECHEL STEEL SP ADR 583840103 5,234,568 46,002 SOLE N/A 45,929 73 MFS MULTIMARKET INCOME TRUST SH BEN 552737108 9,907,126 1,741,147 SOLE N/A 1,741,147 0 MOBILE TELESYSTEMS SP ADR 607409109 50,389,901 664,336 SOLE N/A 655,952 8,384 MORGAN STANLEY INDIA FUND COM 61745C105 12,827,773 338,553 SOLE N/A 334,097 4,456 MOSAIC COM 61945A107 14,456,237 140,899 SOLE N/A 138,414 2,485 MTN GROUP ADR 62474M108 899,456 58,788 SOLE N/A 58,788 0 NATIONAL OILWELL VARCO COM 637071101 5,027,219 86,112 SOLE N/A 84,585 1,527 NEXEN COM 65334H102 10,414,696 351,729 SOLE N/A 345,622 6,107 NICHOLAS APPLEGATE CONV & INCOME II COM 65370G109 4,721,394 429,218 SOLE N/A 429,218 0 NORSK HYDRO SP ADR 656531605 6,986,436 478,523 SOLE N/A 478,523 0 NUCOR CORP COM 670346105 16,112,365 237,856 SOLE N/A 233,652 4,204 NUVEEN DIVIDEND ADVANTAGE MUNI III COM 67070X101 7,380,920 547,546 SOLE N/A 547,546 0 NUVEEN INSURED DVD ADVANTAGE MUNI FUND COM 67071L106 1,690,882 127,134 SOLE N/A 127,134 0 NUVEEN INSURED MUNI OPPORTUNITY COM 670984103 4,542,586 341,035 SOLE N/A 341,035 0 NUVEEN INV QUALITY MUNI FUND COM 67062E103 5,054,441 371,377 SOLE N/A 371,377 0 NUVEEN MULTI-STRATEGY INCOME & GROWTH COM 67073B106 3,646,108 358,516 SOLE N/A 358,516 0 NUVEEN MULTI-STRATEGY INCOME & GROWTH II COM 67073D102 4,183,074 410,911 SOLE N/A 410,911 0 NUVEEN PREMIUM INCOME MUNI FUND IV COM 6706K4105 2,058,899 181,721 SOLE N/A 181,721 0 NUVEEN QUALITY PREFERRED II COM 67072C105 3,737,695 341,342 SOLE N/A 341,342 0 NUVEEN SELECT QUALITY MUNI FUND COM 670973106 201,743 14,715 SOLE N/A 14,715 0 OAO GAZPROM SP ADR 368287207 48,239,368 955,235 SOLE N/A 953,999 1,236 OCCIDENTAL PETROLEUM CORP COM 674599105 6,782,786 92,699 SOLE N/A 91,077 1,622 PEABODY ENERGY CORP COM 704549104 9,947,193 195,043 SOLE N/A 190,758 4,285 PETROCHINA SP ADR 71646E100 35,785,779 285,578 SOLE N/A 280,159 5,419 PETROLEO BRASILEIRO SP ADR 71654V101 171,374,365 2,023,549 SOLE N/A 2,000,063 23,486 PIMCO CORPORATE OPPORTUNITY COM 72201B101 17,270,811 1,206,905 SOLE N/A 1,206,905 0 POSCO SP ADR 693483109 38,789,979 326,021 SOLE N/A 319,157 6,864 POTASH CORP OF SASKATCHEWAN COM 73755L107 13,881,672 89,438 SOLE N/A 87,862 1,576 POWERSHARES DB AGRICULTURE FUND SH BEN 73936B408 5,140,710 141,112 SOLE N/A 141,112 0 PRIDE INTERNATIONAL COM 74153Q102 13,673,943 391,243 SOLE N/A 384,383 6,860 RESEARCH IN MOTION COM 760975102 649,363 5,786 SOLE N/A 5,786 0 RIO TINTO SP ADR 767204100 14,044,980 34,103 SOLE N/A 33,420 683 RMK ADVANTAGE INCOME FUND COM 74963L103 3,849,312 1,152,489 SOLE N/A 1,152,489 0 RMK STRATEGIC INCOME FUND COM 74963H102 3,994,577 1,256,156 SOLE N/A 1,256,156 0 ROYAL GOLD COM 780287108 6,852,512 227,130 SOLE N/A 223,028 4,102 SALESFORCE.COM COM 79466L302 250,635 4,331 SOLE N/A 4,331 0 SASOL SP ADR 803866300 6,506,965 134,469 SOLE N/A 131,658 2,811 SCHNITZER STEEL COM 806882106 7,585,788 106,812 SOLE N/A 104,887 1,925 SHINHAN FINANCIAL SP ADR 824596100 58,017,999 549,569 SOLE N/A 538,209 11,360 SILICONWARE PRECISION SP ADR 827084864 16,617,544 1,978,279 SOLE N/A 1,938,119 40,160 SK TELECOM SP ADR 78440P108 12,682,926 586,901 SOLE N/A 576,225 10,676 SOHU.COM COM 83408W103 16,848,112 373,324 SOLE N/A 369,270 4,054 SOUTHERN COPPER CORP COM 84265V105 21,612,734 208,155 SOLE N/A 203,853 4,302 SOUTHWESTERN ENERGY COM 845467109 14,840,849 440,512 SOLE N/A 432,738 7,774 STERLITE INDUSTRIES ADR 859737207 24,331,179 1,365,386 SOLE N/A 1,341,429 23,957 STILLWATER MINING COM 86074Q102 13,803,726 892,290 SOLE N/A 872,944 19,346 SUN HUNG KAI PROPERTIES SP ADR 86676H302 816,526 52,008 SOLE N/A 52,008 0 SUNPOWER CORP COM 867652109 6,172,557 82,842 SOLE N/A 81,363 1,479 T-3 ENERGY SERVICES COM 87306E107 10,889,870 255,871 SOLE N/A 250,238 5,633 TAIWAN GREATER CHINA FUND SH BEN 874037104 1,467,596 212,695 SOLE N/A 212,392 303 TAIWAN SEMICONDUCTOR SP ADR 874039100 25,720,363 2,504,417 SOLE N/A 2,483,623 20,794 TATA MOTORS SP ADR 876568502 26,805,810 1,716,121 SOLE N/A 1,682,918 33,203 TECK COMINCO COM 878742204 15,265,956 372,704 SOLE N/A 366,125 6,579 TELEFONOS DE MEXICO SP ADR 879403780 765,085 20,348 SOLE N/A 20,223 125 TELEKOMUNIKASI INDONESIA SP ADR 715684106 24,403,041 581,856 SOLE N/A 569,797 12,059 TEMPLETON GLOBAL INCOME FUND COM 880198106 1,028,497 107,471 SOLE N/A 107,471 0 TENARIS SP ADR 88031M109 76,778,222 1,540,185 SOLE N/A 1,519,763 20,422 TERRA INDUSTRIES COM 880915103 11,781,712 331,599 SOLE N/A 325,805 5,794 TRANSOCEAN COM G90073100 10,586,086 78,299 SOLE N/A 76,912 1,387 ULTRA PETROLEUM COM 903914109 14,758,558 190,433 SOLE N/A 187,077 3,356 UNIBANCO GDR 90458E107 27,033,303 231,767 SOLE N/A 226,928 4,839 VIMPELCOM SP ADR 68370R109 46,269,463 1,547,991 SOLE N/A 1,522,145 25,846 WA/CL US INFL LINKED OPP & INCOME FUND COM 95766R104 3,667,512 306,392 SOLE N/A 306,392 0 WEATHERFORD INTERNATIONAL COM G95089101 12,534,556 172,962 SOLE N/A 169,919 3,043 WSP HOLDINGS ADR 92934F104 71,553 10,370 SOLE N/A 10,370 0 YAMANA GOLD COM 98462Y100 10,436,238 713,833 SOLE N/A 700,243 13,590 YANZHOU COAL MINING SP ADR 984846105 24,809,571 349,283 SOLE N/A 342,080 7,203
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