Managing Director

0001398344-15-006998.txt : 20151022 0001398344-15-006998.hdr.sgml : 20151022 20151022151732 ACCESSION NUMBER: 0001398344-15-006998 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151022 DATE AS OF CHANGE: 20151022 EFFECTIVENESS DATE: 20151022 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: 151170091 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 09-30-2015 09-30-2015 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 10-22-2015 0 95 134538 INFORMATION TABLE 2 fp0016429_13fhr-table.xml 13F INFORMATION TABLE ABERDEEN ASIA-PACIFIC INCOME FUND COM 003009107 5642 1253815 SH SOLE 1253815 0 0 AGRIUM INC COM 008916108 289 3228 SH SOLE 3228 0 0 ALBEMARLE CORP COM 012653101 360 8158 SH SOLE 8158 0 0 ALIBABA SP COM 01609W102 497 8425 SH SOLE 8425 0 0 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FUND COM 01879R106 5064 460767 SH SOLE 460767 0 0 APPLE INC COM 037833100 1005 9114 SH SOLE 9114 0 0 BAIDU INC SP ADR REP A 056752108 1366 9941 SH SOLE 9941 0 0 BANCO BRADESCO SA SP ADR PFD NEW 059460303 598 111612 SH SOLE 111612 0 0 BANK OF AMERICA CORP COM 060505104 403 25837 SH SOLE 25837 0 0 BLACKROCK CREDIT ALLOC IV COM 092508100 1303 107760 SH SOLE 107760 0 0 BLACKROCK DEBT STRATEGIES FUND COM 09255R103 10328 3110241 SH SOLE 3110241 0 0 BLACKROCK FLOATING RATE INCOME STRATEGIES COM 09255X100 2306 179063 SH SOLE 179063 0 0 BLACKROCK RESOURCES & COMMOD SHS 09257A108 226 32088 SH SOLE 32088 0 0 BLACKSTONE/GSO LONG SHORT CREDIT INC FUND COM SHS BN INT 09257D102 4507 316272 SH SOLE 316272 0 0 BLACKSTONE/GSO STRATEGIC CREDIT FUND COM SHS BEN IN 09257R101 2767 194751 SH SOLE 194751 0 0 BOISE CASCADE CO COM 09739D100 376 14922 SH SOLE 14922 0 0 CALAMOS STRG TTL RETURN FD COM SH BEN INT 128125101 3677 399218 SH SOLE 399218 0 0 CANADIAN NATURAL RESOURCES LTD COM 136385101 278 14302 SH SOLE 14302 0 0 CELANESE CORPORATION COM SER A 150870103 621 10498 SH SOLE 10498 0 0 CEMEX SAB DE CV SP ADR NEW 151290889 1211 173317 SH SOLE 173317 0 0 CF INDUSTRIES HOLDINGS INC COM 125269100 601 13375 SH SOLE 13375 0 0 CHICAGO BRIDGE & IRON CO NV COM 167250109 368 9287 SH SOLE 9287 0 0 CITIGROUP INC COM NEW 172967424 401 8074 SH SOLE 8074 0 0 CO ENERGETICA DE MINAS GERAIS-CEMIG SP ADR N-V PFD 204409601 708 397968 SH SOLE 397968 0 0 COMMERCIAL METALS CO COM 201723103 470 34720 SH SOLE 34720 0 0 DEVON ENERGY CORP COM 25179M103 211 5683 SH SOLE 5683 0 0 DORIAN LPG LTD SHS USD Y2106R110 340 32970 SH SOLE 32970 0 0 DOUBLELINE INCOME SOLUTIONS FUND COM 258622109 2842 164379 SH SOLE 164379 0 0 DREYFUS STRATEGIC MUNI BOND FUND COM 26202F107 1984 255326 SH SOLE 255326 0 0 EASTMAN CHEMICAL COMPANY COM 277432100 371 5732 SH SOLE 5732 0 0 EATON VANCE SENIOR INCOME TRUST SH BEN INT 27826S103 687 117675 SH SOLE 117675 0 0 EGSHARES INDIA INFRASTRUCTURE ETF EGS INDI INF ETF 268461845 715 66427 SH SOLE 66427 0 0 ENBRIDGE INC COM 29250N105 516 13887 SH SOLE 13887 0 0 EOG RESOURCES INC COM 26875P101 385 5292 SH SOLE 5292 0 0 FACEBOOK CL A 30303M102 426 4737 SH SOLE 4737 0 0 FIRSTENERGY CORP COM 337932107 413 13206 SH SOLE 13206 0 0 GREENBRIER COMPANIES INC COM 393657101 262 8148 SH SOLE 8148 0 0 HALLIBURTON CO COM 406216101 916 25906 SH SOLE 25906 0 0 HOLLYFRONTIER CORP COM 436106108 421 8610 SH SOLE 8610 0 0 HUDBAY MINERALS INC COM 443628102 203 55064 SH SOLE 55064 0 0 HUNTSMAN CORP COM 447011107 201 20695 SH SOLE 20695 0 0 ICICI BANK LTD ADR 45104G104 980 116914 SH SOLE 116914 0 0 INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND COM 46132R104 6035 574914 SH SOLE 574914 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 4453 1071773 SH SOLE 1071773 0 0 INVESCO VAN KAMPEN MUNICIPAL COM 46131J103 618 50640 SH SOLE 50640 0 0 ITAU UNIBANCO HOLDING SA SP ADR REP PFD 465562106 665 100472 SH SOLE 100472 0 0 JD.COM INC-ADR SP ADR CL A 47215P106 430 16487 SH SOLE 16487 0 0 KOREA ELECTRIC POWER CORP SP ADR 500631106 1575 76863 SH SOLE 76863 0 0 KRATON PERFORMANCE POLYMERS COM 50077C106 181 10101 SH SOLE 10101 0 0 LG DISPLAY CO LTD SP ADR REP 50186V102 648 68225 SH SOLE 68225 0 0 LYONDELLBASELL INDUSTRIES NV SHS - A - N53745100 639 7667 SH SOLE 7667 0 0 MARATHON PETROLEUM CORP COM 56585A102 488 10539 SH SOLE 10539 0 0 METHANEX CORPORATION COM 59151K108 275 8306 SH SOLE 8306 0 0 MOBILE TELESYSTEMS OJSC SP ADR 607409109 534 75650 SH SOLE 75650 0 0 MOSAIC CO COM 61945C103 220 7080 SH SOLE 7080 0 0 NETFLIX INC COM 64110L106 350 3391 SH SOLE 3391 0 0 NORDIC AMERICAN TANKERS LTD COM G65773106 524 34441 SH SOLE 34441 0 0 NUVEEN AMT-FREE MUNI INC FD COM 670657105 1226 94531 SH SOLE 94531 0 0 NUVEEN CREDIT STRATEGIES INCOME FUND COM SHS 67073D102 13006 1640022 SH SOLE 1640022 0 0 NUVEEN DIVIDEND ADV MUNI FUND 2 COM 67070F100 2475 182600 SH SOLE 182600 0 0 NUVEEN FLOATING RATE INCOME FUND COM 67072T108 3726 372956 SH SOLE 372956 0 0 NUVEEN MUNI MKT OPPORTUNITY FD COM 67062W103 917 70332 SH SOLE 70332 0 0 NUVEEN MUNICIPAL ADVANTAGE FUND COM 67062H106 614 46326 SH SOLE 46326 0 0 NUVEEN NY AMT-FR MUNI INC FD COM 670656107 1545 123317 SH SOLE 123317 0 0 NUVEEN PREMIUM INC MUNI FUND COM 67062T100 573 42968 SH SOLE 42968 0 0 NUVEEN QUALITY INCOME MUNI FUND COM 670977107 845 62989 SH SOLE 62989 0 0 NUVEEN SELECT QUALITY MUNI FUND COM 670973106 619 46485 SH SOLE 46485 0 0 NUVEEN SELECT TAX FREE INCOME 2 SH BEN INT 67063C106 351 26847 SH SOLE 26847 0 0 NUVEEN SENIOR INCOME FUND COM 67067Y104 4726 804388 SH SOLE 804388 0 0 NUVEEN SHORT DURATION CREDIT OPP FUND COM 67074X107 3741 247494 SH SOLE 247494 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 311 4701 SH SOLE 4701 0 0 OGE ENERGY CORP COM 670837103 550 20291 SH SOLE 20291 0 0 PBF ENERGY INC CL A 69318G106 600 21257 SH SOLE 21257 0 0 PHILLIPS 66 COM 718546104 456 5928 SH SOLE 5928 0 0 PIMCO DYNAMIC CREDIT INCOME FUND COM SHS 72202D106 5486 302928 SH SOLE 302928 0 0 PPL CORP COM 69351T106 454 13805 SH SOLE 13805 0 0 SCHLUMBERGER LTD COM 806857108 477 6914 SH SOLE 6914 0 0 SCORPIO TANKERS INC SHS Y7542C106 459 50079 SH SOLE 50079 0 0 SHIP FINANCE INTERNATIONAL LTD SHS G81075106 604 37192 SH SOLE 37192 0 0 STEEL DYNAMICS INC COM 858119100 271 15788 SH SOLE 15788 0 0 TAIWAN SEMICONDUCTOR SP ADR 874039100 1061 51137 SH SOLE 51137 0 0 TEEKAY TANKERS LTD-CLASS A CL A Y8565N102 446 64573 SH SOLE 64573 0 0 TEMPLETON EMERGING MARKETS INCOME FUND COM 880192109 5513 568987 SH SOLE 568987 0 0 TEMPLETON GLOBAL INCOME FUND COM 880198106 271 44559 SH SOLE 44559 0 0 TESORO CORPORATION COM 881609101 648 6659 SH SOLE 6659 0 0 TRANSCANADA CORPORATION COM 89353D107 385 12205 SH SOLE 12205 0 0 TRINITY INDUSTRIES COM 896522109 599 26526 SH SOLE 26526 0 0 TRINSEO SA SHS L9340P101 425 16844 SH SOLE 16844 0 0 TSAKOS ENERGY NAVIGATION LTD SHS G9108L108 456 56038 SH SOLE 56038 0 0 TWITTER INC COM 90184L102 415 15406 SH SOLE 15406 0 0 VALERO ENERGY CP DELA NEW COM 91913Y100 566 9420 SH SOLE 9420 0 0 VIPSHOP HOLDINGS LTD SP ADR 92763W103 650 38662 SH SOLE 38662 0 0 VOYA PRIME RATE TRUST SH BEN INT 92913A100 3305 656895 SH SOLE 656895 0 0 WESTERN REFINING INC COM 959319104 405 9181 SH SOLE 9181 0 0 WESTLAKE CHEMICAL CORP COM 960413102 484 9318 SH SOLE 9318 0 0