0001398344-12-000285.txt : 20120202 0001398344-12-000285.hdr.sgml : 20120202 20120202101429 ACCESSION NUMBER: 0001398344-12-000285 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120202 DATE AS OF CHANGE: 20120202 EFFECTIVENESS DATE: 20120202 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: 12564698 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 fp0004126_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: December 31, 2011 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: 028-03871 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 February 1, 2012 ------------------- ------------- ---------------- [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: [If there are no entries in this list, omit this section.] Form 13F File Number Name Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 180 ----------- Form 13F Information Table Value Total: $ 1,129,106 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ---------------------------- ---------------- --------- ----------- -------------------- ---------- -------- ----------------------- VOTING AUTHORITY TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ----------------------- NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ---------------------------- ---------------- --------- ----------- ----------- --- ---- ---------- -------- --------- ------ ------ ABB LTD-SPON ADR SP ADR 000375204 10 506 SOLE N/A 506 0 AGIC EQUITY & CONVERTIBLE IN COM 00119P102 6,534 418,833 SOLE N/A 415,245 3,588 AGRIUM INC COM 008916108 10,011 149,167 SOLE N/A 147,431 1,736 ALBEMARLE CORP COM 012653101 9,253 179,639 SOLE N/A 177,520 2,119 ALLIANCEBERNSTEIN INC FUND COM 01881E101 14 SOLE N/A 14 0 AMERICA MOVIL-ADR SERIES L SP ADR 02364W105 24,968 1,104,793 SOLE N/A 1,086,773 18,020 AMERICAN SELECT PORTFOLIO COM 029570108 6,209 620,907 SOLE N/A 617,229 3,678 AMERICAN STRATEGIC INC III COM 03009T101 9,235 1,416,432 SOLE N/A 1,407,751 8,681 AMERICAN STRATEGIC INCOME II COM 030099105 6,242 774,462 SOLE N/A 769,646 4,816 ANDERSONS INC/THE COM 034164103 3,828 87,679 SOLE N/A 86,597 1,082 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P201 3,861 212,731 SOLE N/A 212,353 378 ANHUI CONCH CEMENT-H-UNS ADR ADR 035243104 5,287 362,105 SOLE N/A 361,426 679 ANTOFAGASTA PLC -SPON ADR SP ADR 037189107 4,857 129,800 SOLE N/A 129,560 240 APACHE CORP COM 037411105 7,672 84,698 SOLE N/A 83,682 1,016 APPLE INC COM 037833100 675 1,667 SOLE N/A 1,667 0 ARCOS DORADOS HOLDINGS INC-A COM G0457F107 11,027 537,095 SOLE N/A 525,991 11,104 ASHLAND INC COM 044209104 10,956 191,664 SOLE N/A 189,446 2,218 BAIDU INC - SPON ADR ADR 056752108 28,007 240,463 SOLE N/A 236,019 4,444 BANCO BRADESCO-ADR SP ADR 059460303 13,127 787,019 SOLE N/A 770,470 16,549 BANCO SANTANDER SA-SPON ADR ADR 05964H105 9 1,252 SOLE N/A 1,252 0 BANCO SANTANDER-CHILE-ADR SP ADR 05965X109 5,537 73,148 SOLE N/A 71,789 1,359 BANK OF AMERICA CORP COM 060505104 130 23,340 SOLE N/A 23,340 0 BARCLAYS PLC-SPONS ADR ADR 06738E204 11 990 SOLE N/A 990 0 BARRICK GOLD CORP COM 067901108 7,645 168,942 SOLE N/A 167,110 1,832 BASF SE-SPON ADR SP ADR 055262505 23 327 SOLE N/A 327 0 BLACKROCK CREDIT ALLOC III COM 09249V103 3,863 366,492 SOLE N/A 363,439 3,053 BLACKROCK CREDIT ALLOCAT II COM 09255H105 10 1,042 SOLE N/A 1,042 0 BLACKROCK ENHANCED GOVT FUND COM 09255K108 4,291 281,391 SOLE N/A 279,041 2,350 BLACKROCK MUNI INTERM DURATI COM 09253X102 2,007 130,989 SOLE N/A 130,989 0 BLACKROCK MUNIASSETS FUND COM 09254J102 2,140 170,821 SOLE N/A 170,821 0 BLACKROCK MUNIYIELD QUALITY COM 09254E103 3,738 264,348 SOLE N/A 264,348 0 BMW-UNSPONSORED ADR ADR 072743206 15 679 SOLE N/A 679 0 BNP PARIBAS-ADR ADR 05565A202 4 222 SOLE N/A 222 0 BRASIL TELECOM SA-ADR SP ADR 10553M101 1,092 61,395 SOLE N/A 61,395 0 BRASIL TELECOM SA-ADR SP ADR 10553M200 177 28,663 SOLE N/A 28,663 0 CAMERON INTERNATIONAL CORP COM 13342B105 7,456 151,567 SOLE N/A 149,774 1,793 CATERPILLAR INC COM 149123101 10,111 111,599 SOLE N/A 110,315 1,284 CBRE CLARION GL R/E INCOME F COM 12504G100 6,033 882,012 SOLE N/A 876,567 5,445 CELANESE CORP-SERIES A COM SER A 150870103 11,511 260,012 SOLE N/A 257,009 3,003 CHINA CONSTRUCT-UNSPON ADR ADR 168919108 14,637 1,050,012 SOLE N/A 1,048,000 2,012 CIA DE MINAS BUENAVENTUR-ADR SP ADR 204448104 1,601 41,767 SOLE N/A 41,767 0 CIE GEN GEOPHYSIQUE-SP ADR COM 204386106 11 479 SOLE N/A 479 0 CITIGROUP INC COM 172967424 157 5,953 SOLE N/A 5,953 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 12,513 200,683 SOLE N/A 198,365 2,318 CNOOC LTD-ADR SP ADR 126132109 27,152 155,438 SOLE N/A 151,734 3,704 COEUR D'ALENE MINES CORP COM 192108504 745 30,863 SOLE N/A 30,863 0 CONSOL ENERGY INC COM 20854P109 7,013 191,077 SOLE N/A 188,634 2,443 COSAN LTD-CLASS A SHARES COM G25343107 22,185 2,024,175 SOLE N/A 1,985,486 38,689 CREDICORP LTD COM G2519Y108 647 5,911 SOLE N/A 5,911 0 CREDIT SUISSE GROUP-SPON ADR SP ADR 225401108 5 216 SOLE N/A 216 0 CTRIP.COM INTERNATIONAL-ADR ADR 22943F100 21,296 910,076 SOLE N/A 894,414 15,662 DAIMLER AG-REGISTERED SHARES COM D1668R123 13 291 SOLE N/A 291 0 DEUTSCHE BANK AG-REGISTERED COM D18190898 5 121 SOLE N/A 121 0 DEVON ENERGY CORPORATION COM 25179M103 6,648 107,232 SOLE N/A 105,980 1,252 DOW CHEMICAL CO/THE COM 260543103 8,398 292,006 SOLE N/A 288,534 3,472 DRYSHIPS INC SHS Y2109Q101 6,887 3,443,346 SOLE N/A 3,400,595 42,751 DU PONT (E.I.) DE NEMOURS COM 263534109 8,737 190,845 SOLE N/A 188,583 2,262 DUFF & PHELPS UTIL & CORP BD COM 26432K108 19 1,577 SOLE N/A 1,577 0 EATON VANCE SENIOR INCOME TR SH BEN 27826S103 6,308 966,037 SOLE N/A 960,199 5,838 EATON VANCE TAX-MANAGED DIVE COM 27828N102 12,563 1,416,356 SOLE N/A 1,407,610 8,746 ENERGY SELECT SECTOR SPDR SBI INT-ENERGY 81369Y506 3 48 SOLE N/A 48 0 ENSCO PLC-SPON ADR COM 29358Q109 9 194 SOLE N/A 194 0 FANUC CORP-UNSP ADR ADR 307305102 5 210 SOLE N/A 210 0 FMC TECHNOLOGIES INC COM 30249U101 4 86 SOLE N/A 86 0 FOSTER WHEELER AG COM H27178104 7,214 376,900 SOLE N/A 372,358 4,542 FREEPORT-MCMORAN COPPER COM 35671D857 10,471 284,620 SOLE N/A 281,271 3,349 GAFISA SA-ADR SP ADR 362607301 10,738 2,334,424 SOLE N/A 2,279,730 54,694 GAZPROM OAO-SPON ADR SP ADR 368287207 8,585 803,746 SOLE N/A 802,291 1,455 GENERAL MARITIME CORP SHS Y2693R101 38 2,616,422 SOLE N/A 2,584,816 31,606 GERDAU SA -SPON ADR SP ADR 373737105 11,595 1,484,655 SOLE N/A 1,449,888 34,767 GLAXOSMITHKLINE PLC-SPON ADR SP ADR 37733W105 00 SOLE N/A 0 0 GLOBAL X BRAZIL CONSUMER ETF GLB X BRAZ CON 37950E846 7,515 498,313 SOLE N/A 485,615 12,698 GLOBAL X CHINA FINANCIALS ETF 37950E606 7,386 711,209 SOLE N/A 693,231 17,978 GOLDCORP INC COM 380956409 1,707 38,575 SOLE N/A 38,575 0 GOLDMAN SACHS GROUP INC COM 38141G104 141 1,562 SOLE N/A 1,562 0 GREAT BASIN GOLD LTD COM 390124105 5,871 6,444,794 SOLE N/A 6,365,266 79,528 HDFC BANK LTD-ADR ADR 40415F101 15,727 598,426 SOLE N/A 584,709 13,717 HELIOS STRATEGIC INCOME FUND COM 42328A203 3 460 SOLE N/A 460 0 HENKEL AG & CO- SPONS ADR SP ADR 42550U109 12 245 SOLE N/A 245 0 HESS CORP COM 42809H107 7,369 129,744 SOLE N/A 128,208 1,536 HONDA MOTOR CO LTD-SPONS ADR AMERN SHS 438128308 11 353 SOLE N/A 353 0 HSBC HOLDINGS PLC-SPONS ADR SP ADR 404280406 13 348 SOLE N/A 348 0 ICICI BANK LTD-SPON ADR ADR 45104G104 3,439 130,135 SOLE N/A 130,135 0 INFOSYS LTD-SP ADR SP ADR 456788108 14,537 282,923 SOLE N/A 277,761 5,162 ING PRIME RATE TRUST SH BEN INT 44977W106 6,138 1,203,591 SOLE N/A 1,196,289 7,302 INVESCO MUNICIPAL INC OPP II COM 46133A100 2,558 344,233 SOLE N/A 344,233 0 INVESCO VAN KAMPEN DYNAMIC C COM 46132R104 6,148 581,649 SOLE N/A 578,106 3,543 INVESCO VAN KAMPEN SENIOR IN COM 46131H107 9,838 2,298,517 SOLE N/A 2,284,596 13,921 IPATH MSCI INDIA INDEX ETN IPMS INDIA ETN 06739F291 4,341 93,119 SOLE N/A 93,119 0 ISHARES BARCLAYS AGGREGATE COM 464287226 1,189 10,788 SOLE N/A 9,478 1,310 ISHARES FTSE CHINA 25 INDEX FTSE CHINA25 IDX 464287184 41 1,190 SOLE N/A 958 232 ISHARES FTSE NAREIT MORTGAGE MRTG PLS CAP IDX 464288539 8,664 684,368 SOLE N/A 679,976 4,392 ISHARES MSCI BRAZIL MSCI BZ 464286400 16 285 SOLE N/A 126 159 ISHARES MSCI EMERGING MKT IN MSCI EMRG MKT 464287234 240 6,336 SOLE N/A 6,336 0 ISHARES MSCI SOUTH AFRICA IN MSCI S AFRCA 464286780 13 212 SOLE N/A 212 0 ISHARES MSCI SOUTH KOREA IND MSCI S KOREA 464286772 14 261 SOLE N/A 261 0 ISHARES S&P NA NAT RES S I F S&P NA NAT RES 464287374 10,886 286,486 SOLE N/A 285,605 881 ISHARES S&P NAT AMT-FREE MUN COM 464288414 1,438 13,285 SOLE N/A 13,285 0 ITAU UNIBANCO HLDNG-PREF ADR SP ADR 465562106 45,428 2,447,648 SOLE N/A 2,391,521 56,127 JOY GLOBAL INC COM 481165108 8,600 114,707 SOLE N/A 113,388 1,319 KB FINANCIAL GROUP INC-ADR SP ADR 48241A105 23,882 762,037 SOLE N/A 743,903 18,134 KINROSS GOLD CORP COM 496902404 8,152 715,125 SOLE N/A 706,731 8,394 KOMATSU LTD -SPONS ADR SP ADR 500458401 21 873 SOLE N/A 873 0 KUBOTA CORP-SPONS ADR ADR 501173207 17 401 SOLE N/A 401 0 LAS VEGAS SANDS CORP COM 517834107 30,297 709,045 SOLE N/A 694,474 14,571 LINDE AG-SPONSORED ADR SP ADR 535223200 11 763 SOLE N/A 763 0 LUKOIL OAO-SPON ADR SP ADR 677862104 5,991 112,617 SOLE N/A 112,412 205 LVMH MOET HENNESSY-UNSP ADR COM 502441306 9 312 SOLE N/A 312 0 LYONDELLBASELL INDU-CL A COM N53745100 8,216 252,876 SOLE N/A 249,906 2,970 MAN SE-UNSPONSORED ADR ADR 561641101 10 1,171 SOLE N/A 1,171 0 MARKET VECTORS RUSSIA ETF RUSSIA ETF 57060U506 10 366 SOLE N/A 62 304 MCDERMOTT INTL INC COM 580037109 9,333 810,895 SOLE N/A 801,088 9,807 MECHEL-SPONSORED ADR SP ADR 583840103 9,942 1,169,634 SOLE N/A 1,148,823 20,811 MFS GOVT MARKETS INC TRUST SH BEN INT 552939100 9 1,262 SOLE N/A 1,262 0 MFS MULTIMARKET INC TRUST SH BEN 552737108 1 110 SOLE N/A 110 0 MOBILE TELESYSTEMS-SP ADR SP ADR 607409109 30,247 2,060,443 SOLE N/A 2,019,091 41,352 MORGAN STANLEY EMRG MKT DEBT COM 61744H105 1,340 128,711 SOLE N/A 128,711 0 MOSAIC CO/THE COM 61945C103 9,181 182,063 SOLE N/A 179,875 2,188 MTN GROUP LTD-SPONS ADR ADR 62474M108 2,705 152,829 SOLE N/A 152,554 275 NABORS INDUSTRIES LTD COM G6359F103 8,370 482,680 SOLE N/A 476,925 5,755 NASPERS LTD-N SHS SPON ADR SP ADR 631512100 7,106 163,347 SOLE N/A 163,039 308 NATIONAL BANK OF GREECE-ADR ADR 633643606 29 14,780 SOLE N/A 14,780 0 NATIONAL OILWELL VARCO INC COM 637071101 13,686 201,293 SOLE N/A 198,981 2,312 NEUBERGER BERMAN REAL ESTATE COM 64190A103 8,049 2,146,413 SOLE N/A 2,133,023 13,390 NEW GOLD INC COM 644535106 7,266 720,784 SOLE N/A 713,094 7,690 NEWMONT MINING CORP COM 651639106 851 14,174 SOLE N/A 14,174 0 NIDEC CORPORATION-ADR ADR 654090109 15 708 SOLE N/A 708 0 NOBLE CORP COM H5833N103 8,779 290,506 SOLE N/A 287,000 3,506 NUVEEN CAL MUNI VALUE FUND COM 67062C107 845 88,857 SOLE N/A 88,857 0 NUVEEN DVD ADV MUNI FD 2 COM 67070F100 1,565 106,037 SOLE N/A 106,037 0 NUVEEN DVD ADVANTAGE MUNI FD COM 67066V101 1,882 129,284 SOLE N/A 129,284 0 NUVEEN MORTGAGE OPPORTUNITY COM 670735109 264 12,982 SOLE N/A 12,982 0 NUVEEN MULTI-ST INC & GTH 2 COM 67073D102 4 465 SOLE N/A 465 0 NUVEEN MUNICIPAL HIGH INCOME COM 670683101 3,146 275,015 SOLE N/A 275,015 0 NUVEEN NEW YORK PERF+ MUNI COM 67062R104 108 7,022 SOLE N/A 7,022 0 OCCIDENTAL PETROLEUM CORP COM 674599105 8,654 92,354 SOLE N/A 91,303 1,051 PATRIOT COAL CORP COM 70336T104 3,694 436,179 SOLE N/A 430,523 5,656 PEABODY ENERGY CORP COM 704549104 5,070 153,116 SOLE N/A 151,291 1,825 PETROLEO BRASILEIRO S.A.-ADR SP ADR 71654V408 19,095 768,419 SOLE N/A 754,429 13,990 PETROLEO BRASILEIRO-SPON ADR SP ADR 71654V101 21,333 908,159 SOLE N/A 891,865 16,294 PHILIPS ELECTRONICS-NY SHR COM 500472303 5 229 SOLE N/A 229 0 POSCO-ADR SP ADR 693483109 5,246 63,892 SOLE N/A 62,547 1,345 POTASH CORP OF SASKATCHEWAN COM 73755L107 123 2,977 SOLE N/A 2,977 0 POWERSHARES IN NATL MUN B PT INSUR NATL MUN 73936T474 1,440 58,906 SOLE N/A 58,906 0 PUTNAM MUNI OPPORTUNITIES TR SH BEN 746922103 769 62,670 SOLE N/A 62,670 0 PUTNAM PREMIER INCOME TRUST SH BEN 746853100 3,047 587,078 SOLE N/A 582,916 4,162 PYXIS CREDIT STRATEGIES FUND COM 74734W107 9,169 1,483,623 SOLE N/A 1,474,391 9,232 QUADRA FNX MINING LTD COM 74733X106 1,902 128,071 SOLE N/A 128,071 0 QUIMICA Y MINERA CHIL-SP ADR SP ADR 833635105 6,111 113,473 SOLE N/A 110,729 2,744 RIO TINTO PLC-SPON ADR SP ADR 767204100 8 161 SOLE N/A 161 0 SANDVIK AB-SPONSORED ADR SP ADR 800212201 10 800 SOLE N/A 800 0 SASOL LTD-SPONSORED ADR SP ADR 803866300 32 671 SOLE N/A 671 0 SCHLUMBERGER LTD COM 806857108 14,997 219,540 SOLE N/A 216,880 2,660 SHARP CORP-UNSPONSORED ADR ADR 819882200 4 498 SOLE N/A 498 0 SHINHAN FINANCIAL GROUP-ADR SP ADR 824596100 29,062 426,060 SOLE N/A 415,719 10,341 SIEMENS AG-SPONS ADR SP ADR 826197501 24 251 SOLE N/A 251 0 SILVER STANDARD RESOURCES COM 82823L106 10,139 733,613 SOLE N/A 716,299 17,314 SILVER WHEATON CORP COM 828336107 3,987 137,661 SOLE N/A 136,056 1,605 SOUTHWESTERN ENERGY CO COM 845467109 6,895 215,868 SOLE N/A 213,276 2,592 SPDR S&P METALS & MINING ETF S&P METALS MNG 78464A755 4 74 SOLE N/A 74 0 TAIWAN SEMICONDUCTOR-SP ADR SP ADR 874039100 22,880 1,772,300 SOLE N/A 1,729,504 42,796 TECHNIP SA-ADR SP ADR 878546209 16 681 SOLE N/A 681 0 TECK RESOURCES LTD-CLS B COM 878742204 9,899 281,306 SOLE N/A 277,995 3,311 TELEFONICA BRASIL-ADR SP ADR 87936R106 2,608 95,441 SOLE N/A 95,441 0 TELEFONICA SA-SPON ADR SP ADR 879382208 13 751 SOLE N/A 751 0 TOTAL SA-SPON ADR SP ADR 89151E109 9 167 SOLE N/A 167 0 TOYOTA MOTOR CORP -SPON ADR SP ADR 892331307 25 383 SOLE N/A 383 0 TURKIYE GARANTI BANKASI-ADR ADR 900148701 4,221 1,357,295 SOLE N/A 1,354,786 2,509 ULTRA PETROLEUM CORP COM 903914109 5,503 185,710 SOLE N/A 183,438 2,272 UNITED STATES STEEL CORP COM 912909108 88 3,318 SOLE N/A 3,318 0 VALE SA-SP ADR SP ADR 91912E105 36,631 1,707,758 SOLE N/A 1,670,804 36,954 VANGUARD MSCI EMERGING MARKE EM ETF 922042858 32,849 859,707 SOLE N/A 832,399 27,308 WALTER ENERGY INC COM 93317Q105 5,940 98,081 SOLE N/A 96,942 1,139 WEATHERFORD INTL LTD COM H27013103 3,797 259,360 SOLE N/A 256,310 3,050 WELLS FARGO ADVANTAGE MULTI COM 94987D101 5 345 SOLE N/A 345 0 WESTLAKE CHEMICAL CORP COM 960413102 48 1,205 SOLE N/A 1,205 0 WOORI FINANCE HOLDINGS-ADR ADR 981063100 1 52 SOLE N/A 52 0 XSTRATA PLC-UNSPONS ADR ADR 98418K105 3,254 1,099,232 SOLE N/A 1,099,232 0 YAMANA GOLD INC COM 98462Y100 22,345 1,521,126 SOLE N/A 1,491,691 29,435 YANZHOU COAL MINING-SP ADR SP ADR 984846105 23,768 1,120,588 SOLE N/A 1,097,007 23,581