0001398344-10-000910.txt : 20100715 0001398344-10-000910.hdr.sgml : 20100715 20100715162729 ACCESSION NUMBER: 0001398344-10-000910 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100715 DATE AS OF CHANGE: 20100715 EFFECTIVENESS DATE: 20100715 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: 10954555 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 fp0001867_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: 6-30-2010 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 7-15-2010 --------------------- ------------- --------- [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: 153 Form 13F Information Table Value Total: $ 1,627,701 ----------- (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 ------------------------------- ---------- --------- ----------- ---------- ---------- --------- ----------------------- AGRIUM INC COM 008916108 6,578,047 134,410 SOLE N/A 133,097 1,313 ALCOA INC COM 013817101 1,651,922 164,207 SOLE N/A 162,477 1,730 ALLIANCE NATIONAL MUNI INCOME COM 01864U106 390,475 27,911 SOLE N/A 27,911 0 ALLIANCEBERNSTEIN INCOME FUND COM 01881E101 28,314,161 3,478,398 SOLE N/A 3,469,683 8,715 ALPHA NATURAL RESOURCES COM 02076X102 4,255,325 125,637 SOLE N/A 124,393 1,244 AMERICA MOVIL SP ADR 02364W105 59,353,103 1,249,539 SOLE N/A 1,233,431 16,108 ANGLO AMERICAN ADR 03485P201 3,662,719 212,578 SOLE N/A 212,502 76 ANGLOGOLD ASHANTI SP ADR 035128206 18,474,174 427,841 SOLE N/A 418,999 8,842 APACHE CORP COM 037411105 5,848,561 69,469 SOLE N/A 68,736 733 APPLE INC COM 037833100 419,301 1,667 SOLE N/A 1,667 0 ARCELORMITTAL COM 03938L104 3,880,842 145,024 SOLE N/A 143,596 1,428 ARCHER DANIELS MIDLAND COM 039483102 11,238,155 435,250 SOLE N/A 430,612 4,638 BAIDU.COM ADR 056752108 307,722 4,520 SOLE N/A 4,520 0 BANCO BRADESCO SP ADR 059460303 4,651,801 293,304 SOLE N/A 293,271 33 BANK OF AMERICA COM 060505104 159,823 11,122 SOLE N/A 11,122 0 BARRICK GOLD CORP COM 067901108 6,704,923 147,653 SOLE N/A 146,165 1,488 BHP BILLITON SP ADR 088606108 4,680,066 75,497 SOLE N/A 74,683 814 BLACKROCK APEX MUNICIPAL FUND COM 09254H106 2,397,151 269,646 SOLE N/A 269,646 0 BLACKROCK CORE BOND TRUST SH BEN 09249E101 4,015,610 305,602 SOLE N/A 304,414 1,188 BLACKROCK CREDIT ALLOCATION COM 09249V103 8,757,515 853,559 SOLE N/A 851,407 2,152 BLACKROCK CREDIT ALLOCATION II COM 09255H105 4,477,534 454,111 SOLE N/A 452,976 1,135 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 1,464,183 386,328 SOLE N/A 385,360 968 BLACKROCK ENHANCED GOVT FUND COM 09255K108 7,391,353 441,012 SOLE N/A 439,901 1,111 BLACKROCK INCOME OPPTY TRUST COM 092475102 2,628,419 263,105 SOLE N/A 262,170 935 BLACKROCK INVESTMENT QUAL MUNI COM 09247D105 1,147,117 80,218 SOLE N/A 80,218 0 BLACKROCK MUNIASSETS FUND COM 09254J102 2,760,561 219,615 SOLE N/A 219,615 0 BLACKROCK MUNIYIELD CA INSURED COM 09254N103 1,163,401 86,821 SOLE N/A 86,821 0 BRASIL FOODS SP ADR 10552T107 9,983,308 752,889 SOLE N/A 736,085 16,804 BRASIL TELECOM SP ADR 10553M101 13,071,196 650,956 SOLE N/A 642,707 8,249 BRASIL TELECOM SP ADR 10553M200 3,209,479 371,038 SOLE N/A 366,481 4,557 BUCYRUS INTERNATIONAL COM 118759109 6,007,977 126,617 SOLE N/A 125,373 1,244 CALAMOS CONVERTIBLE & HIGH INCOME COM 12811P108 1,878,624 156,552 SOLE N/A 155,941 611 CALAMOS CONVERTIBLE OPP & INCOME SH BEN 128117108 5,416,829 452,156 SOLE N/A 451,244 912 CAMERON INTERNATIONAL CORP COM 13342B105 3,651,573 112,287 SOLE N/A 111,181 1,106 CATERPILLAR INC COM 149123101 3,987,146 66,375 SOLE N/A 65,716 659 CEMIG SP ADR 204409601 11,817,903 805,583 SOLE N/A 788,528 17,055 CF INDUSTRIES HOLDINGS COM 125269100 8,417,485 132,663 SOLE N/A 131,344 1,319 CHESAPEAKE ENERGY CORP COM 165167107 3,382,503 161,456 SOLE N/A 159,877 1,579 CHEVRON CORP COM 166764100 7,348,831 108,294 SOLE N/A 107,236 1,058 CHINA LIFE INSURANCE SP ADR 16939P106 36,843,151 565,079 SOLE N/A 552,428 12,651 CHINA MOBILE SP ADR 16941M109 15,066,344 304,925 SOLE N/A 298,019 6,906 CHINA PETROLEUM & CHEMICAL SP ADR 16941R108 15,104,481 187,610 SOLE N/A 183,424 4,186 CHINA UNICOM SP ADR 16945R104 13,251,508 996,354 SOLE N/A 973,849 22,505 CHUNGHWA TELECOM SP ADR 17133Q106 9,293,582 471,995 SOLE N/A 461,614 10,381 CITIGROUP COM 172967101 223,825 59,528 SOLE N/A 59,528 0 CLIFFS NATURAL RESOURCES COM 18683K101 13,296,387 281,942 SOLE N/A 279,131 2,811 CNOOC SP ADR 126132109 33,319,626 195,802 SOLE N/A 191,984 3,818 COMPANHIA DE BEBIDAS SP ADR 20441W203 26,051,295 257,908 SOLE N/A 254,556 3,352 CONOCOPHILLIPS COM 20825C104 4,200,585 85,569 SOLE N/A 84,733 836 CONSOL ENERGY COM 20854P109 7,459,665 220,962 SOLE N/A 218,765 2,197 COSAN COM G25343107 10,239,395 1,096,295 SOLE N/A 1,084,848 11,447 CREDICORP COM G2519Y108 14,064,955 154,747 SOLE N/A 152,607 2,140 CTRIP.COM INTERNATIONAL ADR 22943F100 281,512 7,495 SOLE N/A 7,310 185 DRYSHIPS ADR Y2109Q101 8,642,677 2,420,918 SOLE N/A 2,397,011 23,907 DUFF & PHELPS UTIL & CORP BD TRUST COM 26432K108 13,439,368 1,078,601 SOLE N/A 1,075,571 3,030 EATON VANCE INSURED MUNI BOND COM 27827X101 367,556 27,615 SOLE N/A 27,615 0 EATON VANCE MUNICIPAL INCOME SH BEN 27826U108 3,140,153 255,297 SOLE N/A 255,297 0 EL PASO CORP COM 28336L109 10,755,880 968,126 SOLE N/A 958,556 9,570 EMPRESA NACIONAL DE ELECTRICIDAD SP ADR 29244T101 21,782,090 471,678 SOLE N/A 464,901 6,777 FOMENTO ECONOMICO MEXICO SP ADR 344419106 25,975,092 601,972 SOLE N/A 594,153 7,819 FREEPORT-MCMORAN COPPER COM 35671D857 4,533,861 76,676 SOLE N/A 75,907 769 GENERAL MARITIME CORP SH BEN Y2693R101 6,429,979 1,064,566 SOLE N/A 1,054,102 10,464 GERDAU SP ADR 373737105 16,048,166 1,217,615 SOLE N/A 1,190,854 26,761 GLOBAL X CHINA FINANCIALS ETF 37950E606 31,731,656 2,473,239 SOLE N/A 2,471,198 2,041 GLOBAL X CHINA INDUSTRIALS ETF 37950E705 7,627,451 570,917 SOLE N/A 570,445 472 GLOBAL X CHINA MATERIALS ETF 37950E879 10,627,544 987,690 SOLE N/A 986,879 811 GOLDMAN SACHS GROUP COM 38141G104 205,044 1,562 SOLE N/A 1,562 0 GOODRICH PETROLEUM CORP COM 382410405 3,384,336 282,028 SOLE N/A 279,204 2,824 GREAT BASIN GOLD COM 390124105 5,915,958 3,500,567 SOLE N/A 3,465,884 34,683 HELIOS ADVANTAGE INCOME FUND COM 42327W206 2,742,874 408,774 SOLE N/A 407,707 1,067 HELIOS STRATEGIC INCOME FUND I COM 42328A203 3,093,193 585,832 SOLE N/A 584,129 1,703 HESS CORP COM 42809H107 6,543,697 129,990 SOLE N/A 128,687 1,303 HORSEHEAD HOLDING CORP COM 440694305 7,956,469 1,052,443 SOLE N/A 1,042,014 10,429 HUANENG POWER INTL ADR 443304100 19,028,146 808,676 SOLE N/A 790,363 18,313 ICICI BANK ADR 45104G104 20,178,046 558,330 SOLE N/A 548,043 10,287 INFOSYS TECHNOLOGIES SP ADR 456788108 17,241,379 287,788 SOLE N/A 282,218 5,570 INVESCO VAN KAMPEN MUNICIPAL SH BEN 46131J103 512,638 36,907 SOLE N/A 36,907 0 IPATH MSCI INDIA INDEX MSCI IN 06739F291 23,230,144 362,971 SOLE N/A 362,743 228 ISHARES FTSE NAREIT MORTGAGE ETF BD 464288539 7,300,980 517,433 SOLE N/A 517,433 0 ISHARES FTSE/XINHUA CHINA 25 MSCI CH 464287184 11,634,520 297,330 SOLE N/A 297,097 233 ISHARES MSCI SOUTH AFRICA MSCI SA 464286780 25,762,761 489,321 SOLE N/A 488,916 405 ISHARES MSCI SOUTH KOREA MSCI SK 464286772 26,461,491 591,847 SOLE N/A 591,371 476 ISHARES MSCI TAIWAN MSCI TW 464286731 26,069,908 2,327,670 SOLE N/A 2,325,777 1,893 ISHARES MSCI TURKEY MSCI TR 464286715 12,969,332 245,028 SOLE N/A 244,826 202 ITAU UNIBANCO SP ADR 465562106 43,113,581 2,393,869 SOLE N/A 2,341,614 52,255 JOHN HANCOCK PFD INCOME II COM 41013X106 1,517,486 87,262 SOLE N/A 87,045 217 JOY GLOBAL COM 481165108 5,161,724 103,049 SOLE N/A 102,041 1,008 JPMORGAN ALERIAN MLP INDEX ETN 46625H365 942,446 30,490 SOLE N/A 30,479 11 JSC MMC NORILSK NICKEL ADR 46626D108 4,364,319 302,029 SOLE N/A 301,786 243 KB FINANCIAL GROUP SP ADR 48241A105 25,178,398 664,513 SOLE N/A 649,629 14,884 KENNAMETAL COM 489170100 3,797,487 149,331 SOLE N/A 147,858 1,473 KOREA FUND COM 500634209 4,767,754 137,241 SOLE N/A 136,858 383 LAS VEGAS SANDS COM 517834107 8,751,344 395,273 SOLE N/A 386,586 8,687 LUKOIL SP ADR 677862104 22,296,874 432,949 SOLE N/A 432,644 305 MECHEL SP ADR 583840103 17,598,648 970,157 SOLE N/A 958,716 11,441 MELCO PBL ENTERTAINMENT ADR 585464100 38,715,706 10,351,793 SOLE N/A 10,194,595 157,198 MFS GOVT MARKETS INCOME TRUST SH BEN 552939100 1,837,239 240,162 SOLE N/A 238,690 1,472 MOBILE TELESYSTEMS SP ADR 607409109 25,420,856 1,326,767 SOLE N/A 1,307,248 19,519 MONSANTO COM 61166W101 8,017,645 173,467 SOLE N/A 171,745 1,722 MOSAIC COM 61945A107 10,607,746 272,133 SOLE N/A 269,442 2,691 MTN GROUP ADR 62474M108 268,548 20,131 SOLE N/A 20,131 0 NASPERS SP ADR 631512100 250,241 7,397 SOLE N/A 7,397 0 NATIONAL BANK OF GREECE ADR 633643408 169,145 77,947 SOLE N/A 77,947 0 NATIONAL OILWELL VARCO COM 637071101 5,121,518 154,869 SOLE N/A 153,309 1,560 NAVIOS MARITIME HOLDINGS COM Y62196103 2,977,471 637,574 SOLE N/A 637,372 202 NICHOLAS-APPLEGATE EQUITY & CONV FD COM 65370K100 3,967,414 260,329 SOLE N/A 259,638 691 NUVEEN CAL MUNI VALUE FUND COM 67062C107 3,852,371 418,736 SOLE N/A 418,736 0 NUVEEN DIVIDEND ADVANTAGE MUNI III COM 67070X101 1,243,448 86,171 SOLE N/A 86,171 0 NUVEEN MULTI-STRATEGY INCOME & GROWTH COM 67073B106 4,272,386 582,069 SOLE N/A 580,697 1,372 NUVEEN MUNICIPAL VALUE FUND COM 670928100 4,733,453 478,610 SOLE N/A 478,610 0 NUVEEN QUALITY PREFERRED II COM 67072C105 9,187,464 1,223,364 SOLE N/A 1,220,146 3,218 OAO GAZPROM SP ADR 368287207 9,456,107 502,717 SOLE N/A 502,311 406 OCCIDENTAL PETROLEUM CORP COM 674599105 12,546,338 162,623 SOLE N/A 161,000 1,623 PETROLEO BRASILEIRO SP ADR 71654V101 46,714,689 1,567,607 SOLE N/A 1,547,060 20,547 PETROLEO BRASILEIRO SP ADR 71654V408 31,261,093 910,871 SOLE N/A 896,151 14,720 PIMCO MUNICIPAL INCOME FUND II COM 72200W106 2,747,960 242,111 SOLE N/A 242,111 0 PIMCO STRATEGIC GLOBAL GOVT COM 72200X104 7,442,149 713,533 SOLE N/A 711,753 1,780 POSCO SP ADR 693483109 28,252,613 299,540 SOLE N/A 292,880 6,660 POTASH CORP OF SASKATCHEWAN COM 73755L107 7,144,836 82,848 SOLE N/A 82,011 837 POWERSHARES INS NATL MUNI BOND FUND SH BEN 73936T474 2,932,209 122,584 SOLE N/A 122,584 0 RADIAN GROUP COM 750236101 114,392 15,800 SOLE N/A 15,800 0 REPSOL YPF SP ADR 76026T205 12,820,644 637,843 SOLE N/A 631,535 6,308 RIO TINTO SP ADR 767204100 5,345,098 122,594 SOLE N/A 121,235 1,359 SASOL SP ADR 803866300 7,037,353 199,528 SOLE N/A 194,994 4,534 SCHLUMBERGER COM 806857108 2,146,307 38,784 SOLE N/A 38,382 402 SHINHAN FINANCIAL SP ADR 824596100 27,700,356 379,353 SOLE N/A 370,991 8,362 SILICONWARE PRECISION SP ADR 827084864 7,805,003 1,458,879 SOLE N/A 1,457,660 1,219 SK TELECOM SP ADR 78440P108 11,407,707 774,454 SOLE N/A 757,308 17,146 SOUTHERN COPPER CORP COM 84265V105 8,781,369 330,873 SOLE N/A 324,570 6,303 SOUTHWESTERN ENERGY COM 845467109 10,927,237 282,796 SOLE N/A 280,063 2,733 SPDR BARCLAYS CAPITAL MUNICIPAL BOND SH BEN 78464A458 2,940,822 128,196 SOLE N/A 128,196 0 STANDARD BANK GROUP ADR 853118107 545,960 20,494 SOLE N/A 20,494 0 TAIWAN SEMICONDUCTOR SP ADR 874039100 22,838,341 2,339,994 SOLE N/A 2,305,928 34,066 TECK COMINCO COM 878742204 7,734,993 261,494 SOLE N/A 258,908 2,586 TEEKAY CORP COM Y8564W103 2,623,726 100,257 SOLE N/A 99,284 973 TEMPLETON GLOBAL INCOME FUND COM 880198106 3,776,663 391,770 SOLE N/A 390,798 972 TEVA PHARMACEUTICAL SP ADR 881624209 35,353,200 680,000 SOLE N/A 671,408 8,592 THOMPSON CREEK METALS COM 884768102 4,321,598 497,880 SOLE N/A 492,636 5,244 TOTAL SP ADR 89151E109 5,633,747 126,204 SOLE N/A 124,973 1,231 TRANSOCEAN COM H8817H100 1,835,600 39,620 SOLE N/A 39,212 408 ULTRA PETROLEUM CORP COM 903914109 10,753,104 243,008 SOLE N/A 240,652 2,356 UNITED STATES STEEL CORP COM 912909108 6,081,263 157,750 SOLE N/A 156,194 1,556 VALE SP ADR 91912E105 64,381,522 2,644,005 SOLE N/A 2,591,653 52,352 VIMPELCOM SP ADR 92719A106 20,371,656 1,259,064 SOLE N/A 1,242,403 16,661 VIVO PARTICIPACOES SP ADR 92855S200 15,763,766 608,170 SOLE N/A 600,428 7,742 WESTERN ASSET CLYM INFL SEC SH BEN 95766Q106 4,575,636 362,570 SOLE N/A 361,699 871 WESTERN ASSET CLYM INFL OPP COM 95766R104 7,041,679 572,029 SOLE N/A 570,463 1,566 WALTER ENERGY COM 93317Q105 5,024,871 82,578 SOLE N/A 81,763 815 WEATHERFORD INTERNATIONAL COM H27013103 8,860,814 674,339 SOLE N/A 667,738 6,601 WESTERN ASSET MUNI HIGH INCOME COM 95766N103 1,915,463 250,715 SOLE N/A 250,715 0 WILLIAMS COS INC COM 969457100 4,503,333 246,353 SOLE N/A 243,928 2,425 WYNN RESORTS COM 983134107 15,899,931 208,469 SOLE N/A 203,728 4,741 YANZHOU COAL MINING SP ADR 984846105 19,231,981 1,004,281 SOLE N/A 983,967 20,314