-----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, Rp557j6WpuD05AbplkJfGbkyYDGP4qJob2+u8664fsICexjZKN28RzZRyQ8nQgT+ Uf0+KPhQ8g6xOXl4mBjDQg== 0001398344-09-000407.txt : 20090421 0001398344-09-000407.hdr.sgml : 20090421 20090421134703 ACCESSION NUMBER: 0001398344-09-000407 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090421 DATE AS OF CHANGE: 20090421 EFFECTIVENESS DATE: 20090421 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: 09761231 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 fp0000647_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: 3-31-2009 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 4-21-2009 --------------------- ------------- ---------- [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: 170 Form 13F Information Table Value Total: $ 1,108,836 ----------- (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 16,849,367 3,532,362 SOLE N/A 3,532,362 0 AFRICAN BANK INVESTMENTS ADR 00828W109 549,139 41,134 SOLE N/A 41,134 0 AGRIUM INC COM 008916108 4,813,827 134,502 SOLE N/A 132,800 1,702 ALCOA INC COM 013817101 4,257,061 579,981 SOLE N/A 572,691 7,290 ALLIANCEBERNSTEIN INCOME FUND COM 01881E101 7,785,999 1,090,476 SOLE N/A 1,090,476 0 AMERICA MOVIL SP ADR 02364W105 27,170,339 1,003,336 SOLE N/A 990,867 12,469 ANGLO AMERICAN ADR 03485P201 507,646 59,513 SOLE N/A 59,472 41 ANGLOGOLD ASHANTI SP ADR 035128206 6,684,365 181,838 SOLE N/A 176,547 5,291 APACHE CORP COM 037411105 4,021,583 62,749 SOLE N/A 61,954 795 APPLE INC COM 037833100 350,050 3,330 SOLE N/A 3,330 0 ARCH COAL INC COM 039380100 4,630,365 346,325 SOLE N/A 341,918 4,407 AU OPTRONICS SP ADR 002255107 3,860,650 460,149 SOLE N/A 449,771 10,378 BAIDU.COM ADR 056752108 19,724,984 111,693 SOLE N/A 110,473 1,220 BANCO BRADESCO SP ADR 059460303 8,521,079 860,715 SOLE N/A 848,924 11,791 BANCO SANTANDER CHILE SP ADR 05965X109 10,932,162 318,258 SOLE N/A 311,594 6,664 BARRICK GOLD CORP COM 067901108 3,518,834 108,539 SOLE N/A 107,035 1,504 BHP BILLITON SP ADR 088606108 6,973,478 156,356 SOLE N/A 154,365 1,991 BLACKROCK CORPORATE HIGH YIELD FD V COM 09255N102 3,915,630 604,264 SOLE N/A 604,264 0 BLACKROCK CORPORATE HIGH YIELD FD VI COM 09255P107 114,192 17,541 SOLE N/A 17,541 0 BLACKROCK INVESTMENT QUAL MUNI COM 09247D105 4,624,113 430,150 SOLE N/A 430,150 0 BLACKROCK LTD DURATION INCOME COM 09249W101 3,682,485 300,121 SOLE N/A 300,121 0 BLACKROCK MUNI INCOME TRUST II COM 09249N101 2,918,419 283,617 SOLE N/A 283,617 0 BLACKROCK MUNIHOLDINGS FUND II COM 09253P109 2,754,320 258,379 SOLE N/A 258,379 0 BLACKROCK MUNIHOLDINGS INCOME II COM 09254C107 6,930,967 665,160 SOLE N/A 665,160 0 BLACKROCK MUNIHOLDINGS INSURED INVEST FD COM 09254P108 7,294,583 720,097 SOLE N/A 720,097 0 BLACKROCK MUNIVEST FUND COM 09253R105 3,596,750 477,656 SOLE N/A 477,656 0 BLACKROCK MUNIYIELD CA INSURED COM 09254N103 6,043,983 591,967 SOLE N/A 591,967 0 BLACKROCK MUNIYIELD NY INSURED COM 09255E102 4,297,910 437,669 SOLE N/A 437,669 0 BLACKROCK MUNIYIELD QUALITY COM 09254F100 173,261 15,132 SOLE N/A 15,132 0 BLACKROCK MUNIYIELD QUALITY II COM 09254G108 4,440,214 462,041 SOLE N/A 462,041 0 BLACKROCK PRFD OPP TRUST COM 09249V103 1,511,972 270,478 SOLE N/A 270,478 0 BRASIL TELECOM SP ADR 105530109 16,342,675 452,455 SOLE N/A 447,370 5,085 BUCYRUS INTERNATIONAL COM 118759109 1,836,036 120,951 SOLE N/A 119,417 1,534 BUNGE LIMITED COM G16962105 3,863,247 68,195 SOLE N/A 67,319 876 CALAMOS CONVERTIBLE & HIGH INCOME COM 12811P108 5,413,695 664,257 SOLE N/A 664,257 0 CALAMOS CONVERTIBLE OPP & INCOME SH BEN 128117108 6,899,547 799,484 SOLE N/A 799,484 0 CALAMOS GLOBAL DYNAMIC INCOME FUND COM 12811L107 1,222,980 224,400 SOLE N/A 224,400 0 CEMIG SP ADR 204409601 12,023,944 813,528 SOLE N/A 796,066 17,462 CF INDUSTRIES HOLDINGS COM 125269100 3,047,351 42,842 SOLE N/A 42,297 545 CHINA LIFE INSURANCE SP ADR 16939P106 51,206,498 1,039,937 SOLE N/A 1,017,561 22,376 CHINA MOBILE SP ADR 16941M109 37,399,739 859,369 SOLE N/A 842,083 17,286 CHINA PETROLEUM & CHEMICAL SP ADR 16941R108 3,725,004 58,049 SOLE N/A 56,810 1,239 CHUNGHWA TELECOM SP ADR 17133Q304 8,506,009 466,594 SOLE N/A 455,988 10,606 CIA VALE DO RIO DOCE SP ADR 204412209 21,916,285 1,647,841 SOLE N/A 1,614,015 33,826 CITIGROUP COM 172967101 141,634 55,982 SOLE N/A 55,982 0 CLIFFS NATURAL RESOURCES COM 18683K101 3,984,776 219,426 SOLE N/A 216,673 2,753 CNOOC SP ADR 126132109 25,832,269 256,782 SOLE N/A 251,185 5,597 COMPANHIA DE BEBIDAS SP ADR 20441W203 15,435,382 323,254 SOLE N/A 319,508 3,746 CONSOL ENERGY COM 20854P109 2,248,051 89,067 SOLE N/A 87,935 1,132 CREDICORP COM G2519Y108 19,629,098 419,067 SOLE N/A 414,369 4,698 DESARROLLADORA HOMEX SP ADR 25030W100 2,317,993 175,075 SOLE N/A 171,258 3,817 DREYFUS STRATEGIC MUNI BOND FUND COM 26202F107 2,258,524 356,234 SOLE N/A 356,234 0 DRIL-QUIP INC COM 262037104 2,738,287 89,195 SOLE N/A 88,071 1,124 DWS HIGH INCOME TRUST COM 23337C109 1,830,250 622,534 SOLE N/A 622,534 0 E-TRACS UBS LONG PLATINUM COM 902641786 2,336,205 169,413 SOLE N/A 169,413 0 EAGLE BULK SHIPPING COM Y2187A101 2,296,233 540,290 SOLE N/A 533,297 6,993 EATON VANCE LTD DURATION FUND COM 27828H105 5,971,572 568,180 SOLE N/A 568,180 0 EVERGREEN INC ADVANTAGE FUND COM 30023Y105 2,928,643 470,843 SOLE N/A 470,843 0 EVERGREEN MANGD INCOME FUND COM 30024Y104 6,174,562 597,153 SOLE N/A 597,153 0 EXXON MOBIL CORP COM 30231G102 3,426,043 50,309 SOLE N/A 49,674 635 FOMENTO ECONOMICO MEXICO SP ADR 344419106 14,481,784 574,446 SOLE N/A 567,770 6,676 FOSTER WHEELER COM H27178104 1,237,872 70,857 SOLE N/A 70,031 826 FREEPORT MCMORAN COPPER COM 35671D857 3,843,165 100,844 SOLE N/A 99,578 1,266 GENERAL ELECTRIC CO COM 369604103 119,298 11,800 SOLE N/A 11,800 0 GERDAU SP ADR 373737105 6,177,774 1,129,392 SOLE N/A 1,104,760 24,632 GOLD FIELDS SP ADR 38059T106 7,705,916 679,534 SOLE N/A 664,486 15,048 GOLDCORP COM 380956409 2,024,923 60,772 SOLE N/A 59,994 778 GRUPO TELEVISA SP ADR 40049J206 4,743,883 347,792 SOLE N/A 340,209 7,583 HELIOS ADVANTAGE INCOME FUND COM 42327W107 1,350,327 1,350,327 SOLE N/A 1,350,327 0 HELIOS STRATEGIC INCOME FUND I COM 42328A104 1,317,136 1,606,264 SOLE N/A 1,606,264 0 HENDERSON LAND DEVELOPMENT ADR 425166303 173,699 46,074 SOLE N/A 46,074 0 HESS CORP COM 42809H107 3,796,385 70,044 SOLE N/A 69,156 888 HUANENG POWER INTL ADR 443304100 10,480,790 390,346 SOLE N/A 381,854 8,492 ICICI BANK ADR 45104G104 7,791,050 586,234 SOLE N/A 576,678 9,556 IMPALA PLATINUM ADR 452553308 229,804 13,614 SOLE N/A 13,614 0 INFOSYS TECHNOLOGIES SP ADR 456788108 6,001,896 225,381 SOLE N/A 221,702 3,679 ING PRIME RATE TRUST SH BEN 44977W106 5,848,015 1,685,307 SOLE N/A 1,685,307 0 INTREPID POTASH COM 46121Y102 4,657,666 252,448 SOLE N/A 249,019 3,429 IPATH MSCI INDIA INDEX MSCI IN 06739F291 1,848,798 60,936 SOLE N/A 60,919 17 ISHARES BARCLAYS MBS BOND FUND ISH BD 464288588 1,162,480 10,973 SOLE N/A 10,973 0 ISHARES BARCLAYS TIPS BOND FUND ISH BD 464287176 4,208,332 40,957 SOLE N/A 40,957 0 ISHARES FTSE NAREIT MORTGAGE FUND ISH BD 464288539 664,596 53,683 SOLE N/A 53,683 0 ISHARES FTSE XINHUA CHINA 25 MSCI CH 464287184 24,683,041 865,161 SOLE N/A 864,813 348 ISHARES IBOXX HIGH YIELD CORP BOND FUND ISH BD 464288513 2,463,513 36,335 SOLE N/A 36,335 0 ISHARES MSCI EMERGING MKTS FUND MSCI EM 464287234 258,272 10,410 SOLE N/A 10,410 0 ISHARES MSCI HONG KONG INDEX MSCI HK 464286871 4,745,800 466,647 SOLE N/A 466,449 198 ISHARES MSCI MALAYSIA MSCI MY 464286830 2,443,473 349,567 SOLE N/A 349,429 138 ISHARES MSCI SOUTH AFRICA MSCI SA 464286780 18,228,193 490,005 SOLE N/A 489,785 220 ISHARES MSCI SOUTH KOREA MSCI SK 464286772 14,138,263 496,777 SOLE N/A 496,557 220 ISHARES MSCI TAIWAN MSCI TW 464286731 7,093,347 878,977 SOLE N/A 878,618 359 ISHARES MSCI TURKEY MSCI TR 464286715 3,058,683 126,706 SOLE N/A 126,659 47 ITAU UNIBANCO SP ADR 465562106 9,405,162 864,445 SOLE N/A 851,709 12,736 JOY GLOBAL COM 481165108 1,889,757 88,721 SOLE N/A 87,594 1,127 KB FINANCIAL GROUP SP ADR 48241A105 10,945,771 451,372 SOLE N/A 441,344 10,028 KINROSS GOLD CORP COM 496902404 8,390,162 469,511 SOLE N/A 463,604 5,907 KOREA FUND COM 500634100 3,395,510 148,665 SOLE N/A 148,280 385 LUKOIL SP ADR 677862104 8,813,016 233,767 SOLE N/A 233,658 109 MFS MULTIMARKET INCOME TRUST SH BEN 552737108 3,364,849 657,197 SOLE N/A 657,197 0 MOBILE TELESYSTEMS SP ADR 607409109 19,630,512 656,100 SOLE N/A 647,468 8,632 MONSANTO COM 61166W101 7,335,819 88,277 SOLE N/A 87,160 1,117 MORGAN STANLEY EM MKTS DOMESTIC DEBT FD COM 617477104 5,697,863 627,518 SOLE N/A 627,518 0 MORGAN STANLEY INDIA INVEST COM 61745C105 2,801,225 229,797 SOLE N/A 229,688 109 MOSAIC COM 61945A107 5,104,978 121,605 SOLE N/A 120,045 1,560 MTN GROUP ADR 62474M108 274,390 23,860 SOLE N/A 23,860 0 NATIONAL OILWELL VARCO COM 637071101 2,783,808 96,963 SOLE N/A 95,718 1,245 NAVIOS MARITIME HOLDINGS COM Y62196103 916,472 398,466 SOLE N/A 398,466 0 NEWMONT MINING CORP COM 651639106 3,546,872 79,242 SOLE N/A 78,127 1,115 NEXEN COM 65334H102 4,140,479 244,132 SOLE N/A 240,934 3,198 NICHOLAS APPLEGATE CONV & INCOME II COM 65370G109 1,931,670 465,463 SOLE N/A 465,463 0 NORFOLK SOUTHERN CORP COM 655844108 4,276,868 126,722 SOLE N/A 125,056 1,666 NUCOR CORP COM 670346105 4,942,939 129,498 SOLE N/A 127,924 1,574 NUVEEN CA DIVIDEND ADV MUNI FD III COM 67070Y109 1,024,813 101,668 SOLE N/A 101,668 0 NUVEEN DIVIDEND ADVANTAGE MUNI III COM 67070X101 5,489,030 490,092 SOLE N/A 490,092 0 NUVEEN INSURED DVD ADV MUNI FUND COM 67071L106 1,926,034 157,099 SOLE N/A 157,099 0 NUVEEN INSURED MUNI OPPORTUNITY COM 670984103 2,409,034 206,784 SOLE N/A 206,784 0 NUVEEN INV QUALITY MUNI FUND COM 67062E103 4,943,277 419,633 SOLE N/A 419,633 0 NUVEEN MULTI-STRATEGY INC & GROWTH COM 67073B106 4,183,579 1,152,501 SOLE N/A 1,152,501 0 NUVEEN MULTI-STRATEGY INC & GROWTH II COM 67073D102 4,913,655 1,286,297 SOLE N/A 1,286,297 0 NUVEEN PREMIUM INC MUNI FUND IV COM 6706K4105 1,243,270 124,327 SOLE N/A 124,327 0 NUVEEN QUALITY PREFERRED II COM 67072C105 87,088 21,772 SOLE N/A 21,772 0 NUVEEN SELECT QUALITY MUNI FUND COM 670973106 1,287,677 113,652 SOLE N/A 113,652 0 OAO GAZPROM SP ADR 368287207 7,187,343 482,372 SOLE N/A 482,151 221 OCCIDENTAL PETROLEUM CORP COM 674599105 4,412,767 79,295 SOLE N/A 78,294 1,001 PEABODY ENERGY CORP COM 704549104 2,806,358 112,075 SOLE N/A 110,610 1,465 PETROCHINA SP ADR 71646E100 6,122,634 76,821 SOLE N/A 75,147 1,674 PETROLEO BRASILEIRO SP ADR 71654V101 58,970,275 2,406,950 SOLE N/A 2,380,163 26,787 PHILIPPINE LONG DISTANCE SP ADR 718252604 5,561,439 126,024 SOLE N/A 123,255 2,769 PIMCO CORPORATE OPPORTUNITY COM 72201B101 3,951,360 493,920 SOLE N/A 493,920 0 PIONEER MUNI HIGH INCOME TRUST COM 723763108 581,561 60,203 SOLE N/A 60,203 0 POSCO SP ADR 693483109 18,832,627 281,799 SOLE N/A 275,666 6,133 POTASH CORP OF SASKATCHEWAN COM 73755L107 7,760,184 96,030 SOLE N/A 94,811 1,219 RESEARCH IN MOTION COM 760975102 202,272 4,692 SOLE N/A 4,692 0 RIO TINTO SP ADR 767204100 7,642,761 57,010 SOLE N/A 56,289 721 SASOL SP ADR 803866300 11,970,738 413,497 SOLE N/A 405,765 7,732 SCHLUMBERGER COM 806857108 2,883,208 70,980 SOLE N/A 70,077 903 SCHNITZER STEEL COM 806882106 1,476,523 47,038 SOLE N/A 46,455 583 SHINHAN FINANCIAL SP ADR 824596100 12,724,710 353,366 SOLE N/A 345,751 7,615 SILICONWARE PRECISION SP ADR 827084864 3,487,215 601,244 SOLE N/A 600,967 277 SILVER WHEATON CORP COM 828336107 1,230,780 149,548 SOLE N/A 147,653 1,895 SIMS GROUP SP ADR 829160100 2,840,000 238,255 SOLE N/A 235,223 3,032 SK TELECOM SP ADR 78440P108 6,307,169 408,231 SOLE N/A 399,367 8,864 SOCIEDAD QUIMICA Y MINERA DE CHILE SP ADR 833635105 1,846,132 69,508 SOLE N/A 68,642 866 SOUTHERN COPPER CORP COM 84265V105 9,137,609 524,547 SOLE N/A 515,115 9,432 STATOILHYDRO SP ADR 85771P102 2,473,847 141,849 SOLE N/A 140,051 1,798 STERLITE INDUSTRIES ADR 859737207 2,287,350 323,529 SOLE N/A 316,781 6,748 STILLWATER MINING COM 86074Q102 941,017 254,329 SOLE N/A 251,035 3,294 TAIWAN SEMICONDUCTOR SP ADR 874039100 24,934,798 2,786,011 SOLE N/A 2,755,398 30,613 TECK COMINCO COM 878742204 343,162 61,831 SOLE N/A 61,831 0 TELEFONOS DE MEXICO SP ADR 879403780 2,533,684 168,463 SOLE N/A 168,463 0 TELEKOMUNIKASI INDONESIA SP ADR 715684106 5,675,588 220,840 SOLE N/A 215,994 4,846 TELKOM SOUTH AFRICA SP ADR 879603108 2,278,490 50,712 SOLE N/A 48,922 1,790 TEMPLETON EMERGING MKTS FUND COM 880192109 3,667,430 400,812 SOLE N/A 400,812 0 TEMPLETON GLOBAL INCOME FUND COM 880198106 11,844,133 1,594,096 SOLE N/A 1,594,096 0 TENARIS SP ADR 88031M109 3,032,257 150,335 SOLE N/A 148,434 1,901 TERRA INDUSTRIES COM 880915103 3,276,165 116,631 SOLE N/A 115,124 1,507 TEVA PHARMACEUTICAL SP ADR 881624209 22,393,319 497,077 SOLE N/A 491,369 5,708 TOTAL SP ADR 89151E109 3,803,033 77,518 SOLE N/A 76,531 987 TRANSOCEAN COM H8817H100 6,940,014 117,947 SOLE N/A 116,472 1,475 TURKCELL ILETISIM HIZMET SP ADR 900111204 15,361,775 1,249,941 SOLE N/A 1,224,445 25,496 ULTRA PETROLEUM CORP COM 903914109 1,930,272 53,783 SOLE N/A 53,103 680 UNIBANCO ADR 90458E107 9,608,816 151,990 SOLE N/A 148,089 3,901 UNITED STATES STEEL CORP COM 912909108 878,015 41,553 SOLE N/A 41,023 530 VALERO ENERGY CORP COM 91913Y100 3,248,796 181,497 SOLE N/A 179,193 2,304 VAN KAMPEN SENIOR INCOME TRUST COM 920961109 5,649,501 2,373,740 SOLE N/A 2,373,740 0 VIMPELCOM SP ADR 68370R109 16,451,435 2,515,510 SOLE N/A 2,487,167 28,343 VIVO PARTICIPACOES SP ADR 92855S200 8,315,434 637,198 SOLE N/A 629,932 7,266 WEATHERFORD INTL COM H27013103 4,912,202 443,740 SOLE N/A 438,050 5,690 WESTERN ASSET GLOBAL HIGH INCOME FUND COM 79550G102 639,597 92,294 SOLE N/A 92,294 0 XTO ENERGY COM 98385X106 3,178,203 103,795 SOLE N/A 102,501 1,294 YAMANA GOLD COM 98462Y100 3,825,624 413,581 SOLE N/A 408,305 5,276
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