-----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, AuJtjajDzssEBCZ89wplBSo6UdysiQ30dpi+15aXGT/Do3NySctc+fAFmcL7BTN4 H5dZ4+FbkAh2KEG81nPvsQ== 0001144204-08-058953.txt : 20081023 0001144204-08-058953.hdr.sgml : 20081023 20081023110917 ACCESSION NUMBER: 0001144204-08-058953 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081023 DATE AS OF CHANGE: 20081023 EFFECTIVENESS DATE: 20081023 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: 081136604 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 v129511_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: 9-30-2008 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 10-23-2008 --------------------- ------------- ---------- [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: 160 Form 13F Information Table Value Total: $ 1,747,796 ----------- (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 23,220,818 4,625,661 SOLE N/A 4,625,661 0 ACERGY SP ADR 00443E104 4,752,525 472,418 SOLE N/A 465,855 6,563 AFRICAN BANK INVESTMENTS ADR 00828W109 490,160 33,458 SOLE N/A 33,458 0 AGRIUM INC COM 008916108 14,327,879 255,490 SOLE N/A 252,510 2,980 ALCOA INC COM 013817101 7,691,787 340,646 SOLE N/A 336,725 3,921 ALLIANCEBERNSTEIN INCOME FUND COM 01881E101 7,424,230 985,954 SOLE N/A 985,954 0 ALLIANCE NATIONAL MUNICIPAL COM 01864U106 2,021,865 190,742 SOLE N/A 190,742 0 ALUMINUM CORP OF CHINA SP ADR 022276109 8,571,325 565,764 SOLE N/A 554,883 10,881 AMERICA MOVIL SP ADR 02364W105 76,730,204 1,655,095 SOLE N/A 1,637,732 17,363 ANGLO AMERICAN ADR 03485P201 9,371,159 560,141 SOLE N/A 555,504 4,637 APACHE CORP COM 037411105 9,988,773 95,788 SOLE N/A 94,686 1,102 APPLE INC COM 037833100 371,214 3,266 SOLE N/A 3,266 0 ARACRUZ CELULOSE SP ADR 038496204 2,568,415 69,965 SOLE N/A 69,277 688 ARCH COAL INC COM 039380100 6,384,475 194,116 SOLE N/A 191,720 2,396 BAIDU.COM ADR 056752108 231,350 932 SOLE N/A 932 0 BAKER HUGHES INC COM 057224107 9,784,596 161,622 SOLE N/A 159,740 1,882 BANCO BRADESCO SP ADR 059460303 20,499,921 1,273,287 SOLE N/A 1,255,649 17,638 BANCO ITAU HOLDING SP ADR 059602201 7,352,958 420,169 SOLE N/A 412,159 8,010 BHP BILLITON SP ADR 088606108 4,631,061 89,076 SOLE N/A 87,821 1,255 BLACKROCK CORPORATE HIGH YIELD FUND V COM 09255N102 6,456,655 807,082 SOLE N/A 807,082 0 BLACKROCK CORPORATE HIGH YIELD FUND VI COM 09255P107 2,462,970 306,721 SOLE N/A 306,721 0 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 97,250 25,000 SOLE N/A 25,000 0 BLACKROCK INVT QUALITY MUNI COM 09247D105 2,811,177 273,195 SOLE N/A 273,195 0 BLACKROCK LTD DURATION INCOME COM 09249W101 10,957,864 877,331 SOLE N/A 877,331 0 BLACKROCK MUN INCOME TRUST II COM 09249N101 5,584,042 539,521 SOLE N/A 539,521 0 BLACKROCK MUNICIPAL INCOME TRUST SH BEN 09248F109 855,045 84,158 SOLE N/A 84,158 0 BLACKROCK MUNIHOLDINGS FL INCOME COM 09254P108 7,579,537 782,202 SOLE N/A 782,202 0 BLACKROCK MUNIHOLDINGS FUND II COM 09253P109 2,454,556 236,015 SOLE N/A 236,015 0 BLACKROCK MUNIHOLDINGS INCOME II COM 09254C107 7,786,685 830,137 SOLE N/A 830,137 0 BLACKROCK MUNIVEST FUND COM 09253R105 4,298,037 629,288 SOLE N/A 629,288 0 BLACKROCK MUNIYIELD CA INSURED COM 09254N103 5,623,321 543,316 SOLE N/A 543,316 0 BLACKROCK MUNIYIELD FUND COM 09253W104 239,054 22,986 SOLE N/A 22,986 0 BLACKROCK MUNIYIELD NY INSURED COM 09255E102 5,784,789 579,058 SOLE N/A 579,058 0 BLACKROCK MUNIYIELD QUALITY II COM 09254G108 5,337,503 609,304 SOLE N/A 609,304 0 BLACKROCK PRFD OPPORTUNITY TRUST COM 09249V103 6,841,143 716,350 SOLE N/A 716,350 0 BRASIL TELECOM SP ADR 105530109 14,215,280 290,939 SOLE N/A 287,971 2,968 BUCYRUS INTERNATIONAL COM 118759109 4,016,777 89,901 SOLE N/A 88,889 1,012 BUNGE LIMITED COM G16962105 10,112,149 160,053 SOLE N/A 158,183 1,870 CALAMOS CONVERTIBLE & HIGH INCOME COM 12811P108 7,882,588 788,259 SOLE N/A 788,259 0 CALAMOS CONVERTIBLE OPP & INCOME SH BEN 128117108 11,208,733 1,046,567 SOLE N/A 1,046,567 0 CAMECO CORP COM 13321L108 8,418,165 377,327 SOLE N/A 372,028 5,299 CEMIG SP ADR 204409601 8,996,564 455,753 SOLE N/A 447,085 8,668 CENTURY ALUMINUM COMPANY COM 156431108 2,486,950 89,814 SOLE N/A 88,770 1,044 CF INDUSTRIES HOLDINGS COM 125269100 12,027,813 131,509 SOLE N/A 129,949 1,560 CHICAGO BRIDGE & IRON COM 167250109 3,261,142 169,498 SOLE N/A 167,552 1,946 CHINA LIFE INSURANCE COMPANY SP ADR 16939P106 67,572,682 1,214,899 SOLE N/A 1,191,600 23,299 CHINA MOBILE SP ADR 16941M109 96,909,157 1,935,087 SOLE N/A 1,906,869 28,218 CHUNGHWA TELECOM SP ADR 17133Q304 18,331,515 774,462 SOLE N/A 766,833 7,629 CIA VALE DO RIO DOCE SP ADR 204412209 38,737,578 2,022,850 SOLE N/A 1,984,890 37,960 CLEVELAND - CLIFFS COM 185896107 5,428,150 102,534 SOLE N/A 101,362 1,172 CNOOC SP ADR 126132109 12,706,373 110,963 SOLE N/A 108,839 2,124 CONSOL ENERGY COM 20854P109 3,832,870 83,523 SOLE N/A 82,361 1,162 DESARROLLADORA HOMEX SP ADR 25030W100 17,931,431 405,505 SOLE N/A 397,738 7,767 DREYFUS STRATEGIC MUNI BOND FUND COM 26202F107 844,380 130,709 SOLE N/A 130,709 0 DRIL-QUIP INC COM 262037104 5,270,583 121,470 SOLE N/A 120,058 1,412 DWS HIGH INCOME TRUST COM 23337C109 3,973,932 1,189,800 SOLE N/A 1,189,800 0 EATON VANCE LIMITED DURATION FUND COM 27828H105 7,572,933 687,199 SOLE N/A 687,199 0 EMCOR GROUP INC COM 29084Q100 367,980 13,981 SOLE N/A 13,981 0 EMPRESA CHILE SP ADR 29244T101 1,896,838 42,616 SOLE N/A 41,933 683 EVERGREEN INCOME ADVANTAGE FUND COM 30023Y105 7,891,420 1,059,251 SOLE N/A 1,059,251 0 EVERGREEN MANAGED INCOME FUND COM 30024Y104 7,670,462 621,090 SOLE N/A 621,090 0 EXXARO RESOURCES SP ADR 30231D109 308,038 29,619 SOLE N/A 29,619 0 FOMENTO ECONOMICO MEXICO SP ADR 344419106 43,776,367 1,147,781 SOLE N/A 1,133,456 14,325 FOSTER WHEELER COM G36535139 3,116,907 86,317 SOLE N/A 85,387 930 FREEPORT MCMORAN COPPER COM 35671D857 6,695,509 117,775 SOLE N/A 116,389 1,386 GAFISA SP ADR 362607301 9,132,906 355,366 SOLE N/A 348,460 6,906 GERDAU SP ADR 373737105 18,840,444 1,697,337 SOLE N/A 1,668,068 29,269 GREAT BASIN GOLD COM 390124105 8,294,145 3,949,593 SOLE N/A 3,893,657 55,936 GRUPO TELEVISA SP ADR 40049J206 9,982,277 456,437 SOLE N/A 447,850 8,587 HORNBECK OFFSHORE SERVICES COM 440543106 781,051 20,224 SOLE N/A 19,938 286 ICICI BANK ADR 45104G104 9,303,501 395,557 SOLE N/A 390,780 4,777 IMPALA PLATINUM ADR 452553308 528,917 26,184 SOLE N/A 26,184 0 INDIA FUND COM 454089103 1,803,557 54,953 SOLE N/A 54,704 249 ING PRIME RATE TRUST SH BEN 44977W106 8,524,810 1,964,242 SOLE N/A 1,964,242 0 IPATH DOW JONES-AIG LIVESTOCK TOTAL RETURN IPTH LV 06739H743 1,696,282 42,556 SOLE N/A 42,556 0 IPATH MSCI INDIA INDEX MSCI IN 06739F291 9,628,612 212,740 SOLE N/A 212,446 294 ISHARES FTSE/XINHUA CHINA MSCI CH 464287184 36,190,811 1,049,922 SOLE N/A 1,048,095 1,827 ISHARES LEHMAN AGGREGATE BOND FUND COM 464287226 232,081 2,354 SOLE N/A 2,354 0 ISHARES MSCI EMERGING MARKETS MSCI EM 464287234 2,050,610 60,012 SOLE N/A 60,012 0 ISHARES MSCI SINGAPORE MSCI SG 464286673 6,695,451 687,418 SOLE N/A 686,220 1,198 ISHARES MSCI SOUTH AFRICA MSCI SA 464286780 13,767,413 280,624 SOLE N/A 280,111 513 ISHARES MSCI SOUTH KOREA MSCI SK 464286772 23,160,460 582,946 SOLE N/A 581,904 1,042 ISHARES MSCI TAIWAN MSCI TW 464286731 1,238,144 114,643 SOLE N/A 114,430 213 ISHARES MSCI TURKEY MSCI TR 464286715 10,134,413 227,229 SOLE N/A 226,816 413 ISHARES S&P NATIONAL MUNICIPAL BOND FUND COM 464288414 270,814 2,783 SOLE N/A 2,783 0 JPMORGAN CHASE & CO COM 46625H100 269,599 5,773 SOLE N/A 5,773 0 KAISER ALUMINUM CORP COM 483007704 1,872,148 43,589 SOLE N/A 42,969 620 KB FINANCIAL GROUP SP ADR 48241A105 7,145,413 156,389 SOLE N/A 156,157 232 KOREA FUND COM 500634100 8,086,572 524,421 SOLE N/A 522,932 1,489 LUKOIL SP ADR 677862104 13,260,318 221,930 SOLE N/A 221,410 520 MCDERMOTT INTERNATIONAL COM 580037109 3,124,535 122,291 SOLE N/A 120,869 1,422 MECHEL STEEL SP ADR 583840103 4,331,072 241,151 SOLE N/A 240,668 483 MFS MULTIMARKET INCOME TRUST SH BEN 552737108 2,916,960 583,392 SOLE N/A 583,392 0 MOBILE TELESYSTEMS SP ADR 607409109 48,375,624 863,696 SOLE N/A 852,552 11,144 MORGAN STANLEY EMRG MRKTS DOMESTIC DEBT FUND COM 617477104 3,503,632 293,191 SOLE N/A 293,191 0 MORGAN STANLEY INDIA FUND COM 61745C105 4,028,994 202,462 SOLE N/A 202,069 393 MOSAIC COM 61945A107 15,391,702 226,282 SOLE N/A 224,896 1,386 MTN GROUP ADR 62474M108 328,860 23,659 SOLE N/A 23,659 0 NATIONAL OILWELL VARCO COM 637071101 3,817,229 75,995 SOLE N/A 75,108 887 NEWMONT MINING CORP COM 651639106 2,970,528 76,639 SOLE N/A 75,735 904 NEXEN COM 65334H102 7,469,653 321,552 SOLE N/A 317,844 3,708 NICHOLAS-APPLEGATE CONV & INCOME II COM 65370G109 1,139,458 152,131 SOLE N/A 152,131 0 NORSK HYDRO SP ADR 656531605 2,840,840 425,913 SOLE N/A 425,913 0 NUCOR CORP COM 670346105 8,866,881 224,478 SOLE N/A 221,889 2,589 NUVEEN DIVIDEND ADVANTAGE MUNI III COM 67070X101 6,260,989 566,093 SOLE N/A 566,093 0 NUVEEN FLOATING RATE INCOME COM 67072T108 2,470,054 322,041 SOLE N/A 322,041 0 NUVEEN INSURED DVD ADVANTAGE MUNI FUND COM 67071L106 2,962,141 275,548 SOLE N/A 275,548 0 NUVEEN INSURED MUNI OPPORTUNITY COM 670984103 3,871,438 365,230 SOLE N/A 365,230 0 NUVEEN INV QUALITY MUNI FUND COM 67062E103 5,270,847 498,661 SOLE N/A 498,661 0 NUVEEN MULTI-STRATEGY INCOME & GROWTH COM 67073B106 5,127,581 847,534 SOLE N/A 847,534 0 NUVEEN MULTI-STRATEGY INCOME & GROWTH II COM 67073D102 4,978,108 835,253 SOLE N/A 835,253 0 NUVEEN PREMIUM INCOME MUNI FUND IV COM 6706K4105 2,656,784 284,148 SOLE N/A 284,148 0 NUVEEN QUALITY PREFERRED II COM 67072C105 2,092,151 351,622 SOLE N/A 351,622 0 NUVEEN SELECT QUALITY MUNI FUND COM 670973106 1,356,564 119,206 SOLE N/A 119,206 0 OAO GAZPROM SP ADR 368287207 27,217,729 869,576 SOLE N/A 867,780 1,796 OCCIDENTAL PETROLEUM CORP COM 674599105 6,029,041 85,579 SOLE N/A 84,591 988 PEABODY ENERGY CORP COM 704549104 6,623,190 147,182 SOLE N/A 145,140 2,042 PETROLEO BRASILEIRO SP ADR 71654V101 122,859,402 3,283,255 SOLE N/A 3,248,852 34,403 PIMCO CORPORATE OPPORTUNITY COM 72201B101 4,477,896 441,172 SOLE N/A 441,172 0 POSCO SP ADR 693483109 43,632,735 467,310 SOLE N/A 459,372 7,938 POTASH CORP OF SASKATCHEWAN COM 73755L107 10,522,913 79,713 SOLE N/A 78,796 917 RESEARCH IN MOTION COM 760975102 314,317 4,602 SOLE N/A 4,602 0 RIO TINTO SP ADR 767204100 5,681,365 22,771 SOLE N/A 22,510 261 RMK ADVANTAGE INCOME FUND COM 74963L103 1,290,577 1,265,271 SOLE N/A 1,265,271 0 RMK STRATEGIC INCOME FUND COM 74963H102 1,057,218 1,089,916 SOLE N/A 1,089,916 0 SADIA SP ADR 786326108 2,867,154 305,993 SOLE N/A 301,702 4,291 SALESFORCE.COM COM 79466L302 207,636 4,290 SOLE N/A 4,290 0 SASOL SP ADR 803866300 2,614,325 61,528 SOLE N/A 61,416 112 SCHNITZER STEEL COM 806882106 3,756,484 95,731 SOLE N/A 94,613 1,118 SHINHAN FINANCIAL SP ADR 824596100 45,895,146 644,052 SOLE N/A 631,883 12,169 SILICONWARE PRECISION SP ADR 827084864 17,765,784 3,078,992 SOLE N/A 3,020,867 58,125 SIMS GROUP SP ADR 829160100 7,216,348 312,396 SOLE N/A 308,720 3,676 SOUTHERN COPPER COM 84265V105 7,144,544 374,452 SOLE N/A 367,072 7,380 SOUTHWESTERN ENERGY CO COM 845467109 9,392,608 307,551 SOLE N/A 303,975 3,576 STATOILHYDRO SP ADR 85771P102 4,466,427 187,665 SOLE N/A 185,477 2,188 STERLITE INDUSTRIES ADR 859737207 12,081,031 1,340,847 SOLE N/A 1,314,277 26,570 STILLWATER MINING COM 86074Q102 10,402,108 1,790,380 SOLE N/A 1,764,651 25,729 T-3 ENERGY SERVICES COM 87306E107 5,281,285 142,276 SOLE N/A 140,270 2,006 TAIWAN SEMICONDUCTOR SP ADR 874039100 25,349,073 2,705,344 SOLE N/A 2,685,467 19,877 TATA MOTORS SP ADR 876568502 6,067,700 792,128 SOLE N/A 776,736 15,392 TECK COMINCO COM 878742204 6,000,351 206,056 SOLE N/A 203,659 2,397 TEMPLETON GLOBAL INCOME FUND COM 880198106 9,485,870 1,200,743 SOLE N/A 1,200,743 0 TENARIS SP ADR 88031M109 28,042,714 752,017 SOLE N/A 743,586 8,431 TERRA INDUSTRIES COM 880915103 8,549,638 290,804 SOLE N/A 287,458 3,346 TIM PARTICIPACOES SP ADR 88706P106 6,444,801 308,955 SOLE N/A 305,810 3,145 TOTAL SP ADR 89151E109 10,570,335 174,198 SOLE N/A 172,188 2,010 TRANSOCEAN COM G90073100 8,469,794 77,110 SOLE N/A 77,110 0 TURKCELL ILETISIM HIZMET SP ADR 900111204 32,514,119 2,169,054 SOLE N/A 2,132,242 36,812 TYSON FOODS COM 902494103 8,567,893 717,579 SOLE N/A 709,289 8,290 ULTRA PETROLEUM CORP COM 903914109 9,458,713 170,920 SOLE N/A 168,945 1,975 UNIBANCO GDR 90458E107 28,377,910 281,192 SOLE N/A 275,743 5,449 UNITED STATES STEEL COM 912909108 3,378,519 43,532 SOLE N/A 42,934 598 VALERO ENERGY COM 91913Y100 4,904,510 161,865 SOLE N/A 159,967 1,898 VAN KAMPEN SENIOR INCOME TRUST COM 920961109 6,275,220 1,538,044 SOLE N/A 1,538,044 0 VIMPELCOM SP ADR 68370R109 51,101,961 2,517,338 SOLE N/A 2,484,681 32,657 VIVO PARTICIPACOES SP ADR 92855S101 18,016,216 4,351,743 SOLE N/A 4,306,166 45,577 WEATHERFORD INTERNATIONAL COM G95089101 11,803,859 469,525 SOLE N/A 464,050 5,475 WESTERN ASSET HIGH INCOME OPP FUND COM 95766K109 915,501 210,945 SOLE N/A 210,945 0 WIMM-BILL-DANN FOODS SP ADR 97263M109 3,971,101 55,931 SOLE N/A 55,824 107 YAMANA GOLD COM 98462Y100 5,787,392 694,765 SOLE N/A 686,688 8,077 YANZHOU COAL MINING SP ADR 984846105 20,856,917 1,986,373 SOLE N/A 1,947,097 39,276 1,747,796,349
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