Managing Director

0001398344-15-004703.txt : 20150727 0001398344-15-004703.hdr.sgml : 20150727 20150727105221 ACCESSION NUMBER: 0001398344-15-004703 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150727 DATE AS OF CHANGE: 20150727 EFFECTIVENESS DATE: 20150727 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: 151006283 BUSINESS ADDRESS: STREET 1: ONE SOUND SHORE DRIVE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036610700 MAIL ADDRESS: STREET 1: ONE SOUND SHORE DRIVE 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 primary_doc.xml 13F-HR LIVE false false false 0000939761 XXXXXXXX 06-30-2015 06-30-2015 false NEWGATE CAPITAL MANAGEMENT LLC

One Sound Shore Drive Greenwich CT 06830

13F HOLDINGS REPORT 028-03871 N Sonia Rosenbaum Managing Director 203-661-0700 /s/ Sonia Rosenbaum Greenwich CT 07-24-2015 0 97 135104 INFORMATION TABLE 2 fp0015212_13fhr-table.xml 13F INFORMATION TABLE ABERDEEN ASIA-PACIFIC INCOME FUND COM 003009107 2565 520798 SH SOLE 2565 0 0 ADVANCED SEMICONDUCTOR ENGINEERING SP ADR 00756M404 635 96162 SH SOLE 635 0 0 AGRIUM INC COM 008916108 354 3340 SH SOLE 354 0 0 ALBEMARLE CORP COM 012653101 464 8389 SH SOLE 464 0 0 ALIBABA COM 01609W102 721 8768 SH SOLE 721 0 0 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FUND COM 01879R106 7632 639262 SH SOLE 7632 0 0 APPLE INC COM 037833100 1143 9114 SH SOLE 1143 0 0 AU OPTRONICS CORP ADR 002255107 713 166201 SH SOLE 713 0 0 BAIDU INC SP ADR REP A 056752108 1865 9366 SH SOLE 1865 0 0 BAKER HUGHES INC COM 057224107 499 8087 SH SOLE 499 0 0 BANCO BRADESCO SA SP ADR PFD NEW 059460303 1041 113688 SH SOLE 1041 0 0 BANK OF AMERICA CORP COM 060505104 440 25837 SH SOLE 440 0 0 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 9446 2626932 SH SOLE 9446 0 0 BLACKROCK FLOATING RATE INCOME STRATEGIES COM 09255X100 2444 181660 SH SOLE 2444 0 0 BLACKROCK RESOURCES & COMM STRATEGY TR SHS 09257A108 1644 181622 SH SOLE 1644 0 0 BLACKSTONE/GSO LONG SHORT CREDIT INC FUND COM SHS BN INT 09257D102 4069 264370 SH SOLE 4069 0 0 BLACKSTONE/GSO STRATEGIC CREDIT FUND COM SHS BEN IN 09257R101 2558 164750 SH SOLE 2558 0 0 BOISE CASCADE CO COM 09739D100 561 15302 SH SOLE 561 0 0 CALAMOS STRG TTL RETURN FD COM SH BEN INT 128125101 3381 310552 SH SOLE 3381 0 0 CANADIAN NATURAL RESOURCES LTD COM 136385101 403 14846 SH SOLE 403 0 0 CELANESE CORPORATION COM SER A 150870103 787 10948 SH SOLE 787 0 0 CEMEX SAB DE CV SP ADR NEW 151290889 1550 169268 SH SOLE 1550 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 1259 19583 SH SOLE 1259 0 0 CITIGROUP INC COM NEW 172967424 446 8074 SH SOLE 446 0 0 CO ENERGETICA DE MINAS GERAIS-CEMIG SP ADR N-V PFD 204409601 722 189371 SH SOLE 722 0 0 COMMERCIAL METALS CO COM 201723103 480 30077 SH SOLE 480 0 0 CVR ENERGY INC COM 12662P108 327 8686 SH SOLE 327 0 0 DELTA AIRLINES COM NEW 247361702 403 9819 SH SOLE 403 0 0 DEVON ENERGY CORP COM 25179M103 347 5835 SH SOLE 347 0 0 DORIAN LPG LTD COM Y2106R110 294 17653 SH SOLE 294 0 0 DOUBLELINE INCOME SOLUTIONS FUND COM 258622109 853 43481 SH SOLE 853 0 0 DREYFUS STRATEGIC MUNI BOND FUND COM 26202F107 1925 252355 SH SOLE 1925 0 0 DREYFUS STRATEGIC MUNICIPALS COM 261932107 1714 218161 SH SOLE 1714 0 0 EASTMAN CHEMICAL COMPANY COM 277432100 484 5915 SH SOLE 484 0 0 EATON VANCE SENIOR INCOME TRUST SH BEN 27826S103 2128 344598 SH SOLE 2128 0 0 EGSHARES INDIA INFRASTRUCTURE ETF EGS INDI INF ETF 268461845 875 70684 SH SOLE 875 0 0 ENBRIDGE INC COM 29250N105 682 14574 SH SOLE 682 0 0 ENSCO PLC SHS CLASS A G3157S106 254 11393 SH SOLE 254 0 0 EOG RESOURCES INC COM 26875P101 477 5463 SH SOLE 477 0 0 EQT CORP COM 26884L109 348 4281 SH SOLE 348 0 0 FACEBOOK COM 30303M102 406 4737 SH SOLE 406 0 0 GREENBRIER COMPANIES INC COM 393657101 403 8636 SH SOLE 403 0 0 HALLIBURTON CO COM 406216101 854 19822 SH SOLE 854 0 0 HOLLYFRONTIER CORP COM 436106108 494 11563 SH SOLE 494 0 0 HUDBAY MINERALS INC COM 443628102 443 53217 SH SOLE 443 0 0 HUNTSMAN CORP COM 447011107 472 21383 SH SOLE 472 0 0 ICICI BANK LTD ADR 45104G104 1289 123725 SH SOLE 1289 0 0 INVESCO DYNAMIC CREDIT OPPORT FUND COM 46132R104 5073 439806 SH SOLE 5073 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 2057 463851 SH SOLE 2057 0 0 INVESCO VAN KAMPEN MUNICIPAL COM 46131J103 616 51535 SH SOLE 616 0 0 ITAU UNIBANCO HOLDING SA SP ADR REP PFD 465562106 948 95215 SH SOLE 948 0 0 KINDER MORGAN INC COM 49456B101 521 13565 SH SOLE 521 0 0 KOREA ELECTRIC POWER SP ADR 500631106 1202 59044 SH SOLE 1202 0 0 LG DISPLAY CO LTD SPONS ADR REP 50186V102 820 70731 SH SOLE 820 0 0 LYONDELLBASELL INDUSTRIES NV SHS - A - N53745100 821 7930 SH SOLE 821 0 0 MELCO CROWN ENTERTAINMENT ADR 585464100 628 32008 SH SOLE 628 0 0 METHANEX CORPORATION COM 59151K108 483 8684 SH SOLE 483 0 0 MORGAN STANLEY CHINA A SHARE FUND COM 617468103 1513 44592 SH SOLE 1513 0 0 MOSAIC CO COM 61945C103 342 7292 SH SOLE 342 0 0 NORDIC AMERICAN TANKERS LTD COM G65773106 503 35363 SH SOLE 503 0 0 NUVEEN AMT-FREE MUNI INC FD COM 670657105 606 47803 SH SOLE 606 0 0 NUVEEN CREDIT STRATEGIES INCOME FUND COM SHS 67073D102 10882 1271326 SH SOLE 10882 0 0 NUVEEN DIVIDEND ADV MUNI FUND 2 COM 67070F100 2446 183304 SH SOLE 2446 0 0 NUVEEN FLOATING RATE INCOME FUND COM 67072T108 3361 314673 SH SOLE 3361 0 0 NUVEEN MUNICIPAL ADVANTAGE FUND COM 67062H106 610 47127 SH SOLE 610 0 0 NUVEEN QUALITY INCOME MUNI FUND COM 670977107 1839 138560 SH SOLE 1839 0 0 NUVEEN QUALITY MUNI FUND COM 67062N103 596 47428 SH SOLE 596 0 0 NUVEEN SENIOR INCOME FUND COM 67067Y104 4027 632654 SH SOLE 4027 0 0 NUVEEN SHORT DURATION CREDIT OPP FUND COM 67074X107 3384 206548 SH SOLE 3384 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 374 4815 SH SOLE 374 0 0 OCEAN RIG UDW INC SHS Y64354205 276 53856 SH SOLE 276 0 0 OGE ENERGY CORP COM 670837103 600 21175 SH SOLE 600 0 0 PBF ENERGY INC COM 69318G106 459 16167 SH SOLE 459 0 0 PETROLEO BRASILEIRO SA SP ADR 71654V408 794 87787 SH SOLE 794 0 0 PHILLIPS 66 COM 718546104 496 6162 SH SOLE 496 0 0 PIMCO DYNAMIC CREDIT INCOME FUND COM 72202D106 4318 215655 SH SOLE 4318 0 0 POWERSHARES NATL AMT-FREE MUNI BOND INSUR NATL MUN 73936T474 306 12405 SH SOLE 306 0 0 SCORPIO TANKERS INC SHS Y7542C106 518 51299 SH SOLE 518 0 0 SHIP FINANCE INTERNATIONAL LTD SHS G81075106 795 48704 SH SOLE 795 0 0 SILICONWARE PRECISION INDUSTRIES SP ADR SPL 827084864 476 63834 SH SOLE 476 0 0 SPDR NUVEEN BARCLAYS MUNI BOND ETF NUVN BRCLY MUNI 78464A458 308 13028 SH SOLE 308 0 0 STEEL DYNAMICS INC COM 858119100 607 29312 SH SOLE 607 0 0 TAIWAN SEMICONDUCTOR MANUFACTURING SP ADR 874039100 1438 63302 SH SOLE 1438 0 0 TEEKAY CORP COM Y8564W103 444 10512 SH SOLE 444 0 0 TEEKAY TANKERS LTD-CLASS A CL A Y8565N102 236 35849 SH SOLE 236 0 0 TEMPLETON EMERGING MARKETS INCOME FUND COM 880192109 5158 481643 SH SOLE 5158 0 0 TEMPLETON GLOBAL INCOME FUND COM 880198106 876 125043 SH SOLE 876 0 0 TESORO CORPORATION COM 881609101 727 8610 SH SOLE 727 0 0 TRANSCANADA CORPORATION COM 89353D107 321 7900 SH SOLE 321 0 0 TRINITY INDUSTRIES COM 896522109 728 27666 SH SOLE 728 0 0 TRINSEO SA SHS L9340P101 350 13043 SH SOLE 350 0 0 TSAKOS ENERGY NAVIGATION LTD SHS G9108L108 484 50747 SH SOLE 484 0 0 VALERO ENERGY CP DELA NEW COM 91913Y100 776 12395 SH SOLE 776 0 0 VIPSHOP HOLDINGS LTD - 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