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