-----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, Qso2ZWEm8+8lplkV+DzWDwHc2oV05AgJ6mlNjXSwbiWF8e8jIq0dlmkW1tIt2Wgc /69Ode5qjbcKeSXaY3Qm5A== 0001012709-02-001055.txt : 20020724 0001012709-02-001055.hdr.sgml : 20020724 20020724114937 ACCESSION NUMBER: 0001012709-02-001055 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020724 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEWGATE LLP /CT 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: 02709481 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 MANAGEMENT ASSOCIATES /NY DATE OF NAME CHANGE: 19970725 13F-HR 1 x13f-702.txt NEWGATE LLP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06/30/2002 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 LLP 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 Partner Phone: 203-661-0700 Signature, Place, and Date of Signing: /s/ Sonia Rosenbaum Greenwich, CT 07/23/2002 --------------------- ------------- ---------- [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: 56 Form 13F Information Table Value Total: $ 202,571 ----------- (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 CLASS CUSIP FAIR SHARES OR INVESTMENT MANAGERS VOTING AUTHORITY NUMBER MARKET PRINCIPAL DISCRETION ------ ------- ------ VALUE AMOUNT ---------- (A) (B) (C) SOLE SHARED NONE - ------------------------------- -------------- --------- ------------ --------- ---------- --------- ------ ------- ------ ACM Managed Income COM 000919100 3,225,352.00 767,941 N X 767,941 Grupo Aeroportuario del Su SP ADR 40051E202 3,568,914.00 276,660 N X 276,660 Blackrock North Amer Govt COM 092475102 5,552,108.00 512,660 N X 512,660 Electrobras Centrais Elect SP ADR 15234Q108 2,778,217.00 588,730 N X 588,730 Cia Brasil Dist. Pao de Ac ADR 20440T201 3,447,702.00 193,800 N X 193,800 China Mobile (Hong Kong) SP ADR 16941M109 3,487,601.00 238,550 N X 238,550 Dreyfus Strategic Muni Bon COM 26202F107 1,218,448.00 138,460 N X 138,460 Cia Paranaense de Energia- SP ADR 20441B407 3,563,555.00 879,890 N X 879,890 Eaton Vance Senior Income SH BEN 27826S103 3,193,100.00 411,482 N X 411,482 iShares MSCI Malaysia MSCI M 464286830 5,515,167.00 964,190 N X 964,190 iShares MSCI Taiwan MSCI T 464286731 8,219,158.00 792,590 N X 792,590 iShares MSCI Mexico MSCI M 464286822 7,768,591.00 532,460 N X 532,460 Aberdeen Asia-Pacific Prim COM 003009107 8,668,473.00 1,817,290 N X 1,817,290 Gerdau SP ADR 373737105 2,172,555.00 207,900 N X 207,900 MSDW Government Income Tru SH BEN 61745P106 1,415,239.00 156,380 N X 156,380 HDFC Bank SP ADR 40415F101 161,895.00 12,550 N X 12,550 India Fund COM 454089103 234,175.00 24,650 N X 24,650 MSDW India Investment Fund COM 61745C105 726,347.00 78,609 N X 78,609 MSDW Insured Munipal Incom COM 61745P791 2,323,022.00 164,520 N X 164,520 Persero PT Indonesian Sate SP ADR 715680104 6,026,050.00 482,470 N X 482,470 MSDW Insured Municipal Tru COM 61745P866 3,072,718.00 213,680 N X 213,680 Infosys Technologies SP ADR 456788108 3,457,024.00 67,520 N X 67,520 Kookmin Bank SP ADR 50049M109 6,806,145.00 138,477 N X 138,477 Korea Electric Power SP ADR 500631106 8,587,180.00 820,170 N X 820,170 Korea Fund COM 500634100 6,936,858.00 421,950 N X 421,950 Scudder Intermediate Govt SH BEN 811163104 2,896,621.00 416,780 N X 416,780 KT Corporation SP ADR 48268K101 6,955,712.00 321,280 N X 321,280 Scudder Municipal Income T COM 48842C104 3,773,062.00 336,280 N X 336,280 Lukoil Holding SP ADR 677862104 2,994,913.00 45,550 N X 45,550 MFS Charter Income Trust SH BEN 552727109 6,886,579.00 811,140 N X 811,140 MFS Municipal Income Trust SH BEN 552738106 1,252,605.00 158,960 N X 158,960 MFS Govt Markets Income Tr SH BEN 552939100 3,989,318.00 591,010 N X 591,010 MFS Multimarket Income Tru SH BEN 552737108 910,026.00 155,030 N X 155,030 MuniYield Quality II COM 62630T104 4,717,497.00 394,110 N X 394,110 Magyar Tavkozlesi SP ADR 559776109 1,642,240.00 102,640 N X 102,640 Munivest Fund COM 626295109 1,089,604.00 122,290 N X 122,290 MuniYield Fund COM 626299101 3,781,837.00 280,760 N X 280,760 MuniYield Insured COM 62630E107 3,722,541.00 256,550 N X 256,550 Nuveen Premier Municipal I COM 670988104 1,086,575.00 73,170 N X 73,170 Nuveen Senior Income COM 67067Y104 5,615,253.00 734,020 N X 734,020 Petroleo Brasileiro SP ADR 71654V408 3,460,621.00 183,490 N X 183,490 Perez Companc SP ADR 71367B103 1,643,424.00 288,320 N X 288,320 Putnam Managed Municipal I COM 746823103 1,510,315.00 189,500 N X 189,500 ING Prime Rate Trust SH BEN 72146W103 6,358,615.00 1,009,304 N X 1,009,304 PetroChina Company SP ADR 71646E100 1,293,005.00 58,880 N X 58,880 Dr. Reddy's Laboratories SP ADR 256135203 194,776.00 10,040 N X 10,040 Companhia Vale do Rio Doce SP ADR 204412100 2,199,522.00 84,760 N X 84,760 ROC Taiwan Fund SH BEN 749651105 3,504,776.00 796,540 N X 796,540 China Petroleum and Chemic SP ADR 16941R108 535,920.00 30,450 N X 30,450 Turkcell Iletisim Hizmetle SP ADR 900111204 2,730,703.00 223,828 N X 223,828 Telekomunikasi Indonesia SP ADR 715684106 5,568,094.00 632,738 N X 632,738 Taiwan Semiconductor SP ADR 874039100 3,399,812.00 261,524 N X 261,524 Uniao de Bancos Brasileiro GDR RE 90458E107 3,388,605.00 205,370 N X 205,370 Van Kampen Merritt Muni In COM 920909108 2,711,552.00 306,390 N X 306,390 Videsh Sanchar Nigam SP ADR 92659G600 4,263,388.00 698,916 N X 698,916 Van Kampen Senior Income T COM 920961109 6,368,165.00 886,931 N X 886,931
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