NEWGATE CAPITAL MANAGEMENT LLC

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CIK 939761

13F portfolio (2016-Q2)

$121M

Positions

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2016-Q1. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

Open in PORT →

As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2016-Q2)

Holdings

Top 5

35.5%

Top 10

50.5%

Effective N

28.2

HHI

0.035

This quarter

26 new · 0 exit →

By sector

Unclassified82.2%

Energy5.9%

Materials4.0%

Information Technology3.3%

Utilities1.3%

Financials1.0%

Industrials0.9%

Communication Services0.7%

Consumer Discretionary0.6%

By market cap

Unknown89.5%

Large ($10–200B)6.4%

Mid ($2–10B)2.4%

Mega (>$200B)1.4%

Small ($300M–2B)0.3%

By region

Other82.2%

North America11.9%

Asia-Pacific5.5%

Europe0.3%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	82.25%	49
Oil, Gas & Consumable Fuels	5.88%	11
Chemicals	2.42%	7
Software & IT Services	2.16%	4
Utilities	1.33%	2
Metals & Mining	1.04%	3
Banks	1.01%	3
Semiconductors & Semiconductor Equipment	0.78%	1
Commercial Services & Supplies	0.67%	1
Technology Hardware & Equipment	0.59%	2
Specialty Retail	0.59%	2
Software	0.44%	1
Construction Materials	0.38%	1
Machinery	0.26%	1
Paper & Forest Products	0.19%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	XJQCX	NUVEEN CR STRATEGIES INCOME	Unclassified	8.93%
2		Blackrock Debt Strategies	Unclassified	6.96%
3	VVR	INVESCO SR INCOME TR	Unclassified	6.71%
4		ABERDEEN ASIA PACIFIC INCOM	Unclassified	6.50%
5		VOYA PRIME RATE TR	Unclassified	6.37%
6		INVESCO DYNAMIC CR OPP FD	Unclassified	4.41%
7	CSQ	CALAMOS STRATEGIC TOTAL RETU	Unclassified	3.07%
8	TEI	TEMPLETON EMERGING MKTS INCO	Unclassified	2.54%
9	NVG	NUVEEN AMT FREE MUN CR INC F	Unclassified	2.52%
10		ALPINE GLOBAL PREMIER PPTYS	Unclassified	2.51%

40/89 names classified · sector 17.8% of weight · industry 17.8% · mkt cap 10.5%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 13 quarters

MaterialsCX, VALE, SCCO, SID, AU · other

Information TechnologyTSM, BIDU, INFY, AAPL, LPL · other

FinancialsITUB, SHG, KB, BAP, HDB · other

EnergyHAL, PBR, SLB, SD, RIG · other

UtilitiesCIG, KEP, OGE, PPL, SBS · other

IndustrialsBABA, BKR, DE, CAT, KBR · other

Communication ServicesSKM, TKC, META, KT, NFLX · other

Consumer DiscretionaryMLCO, VIPS, JD, BCC, ASH · other

Consumer Staples

Health Care

UnclassifiedXJQCX, Blackrock Debt Strategies, VOYA PRIME RATE TR, VVR, ABERDEEN ASIA PACIFIC INCOM · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 17.8% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2016-Q2), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

Only 10% of book weight classified — the grid is NOT representative of the whole book.

holdings, colored by sector (24 classified)NEWGATE CAPITAL MANAGEMENT LLC centroid (Mid Core)

EnergyMaterialsCommunication ServicesInformation TechnologyUtilitiesIndustrialsFinancials

Style box summary for NEWGATE CAPITAL MANAGEMENT LLC: centroid Mid Core. Heaviest cells: Large Value 3.1%, Mid Value 2.1%, Large Growth 1.7%.

Classified: 9.9% of book weight (24/56 names) · unclassified 90.1%: , XJQCX, VVR, CSQ, TEI, NVG, AFB, GLO, XNEAX, THW +22 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 89 positions (2016-Q2) · largest first · Δ vs 2016-Q1

#	Security	Shares	Value	Weight	Δ QoQ
1	XJQCXNUVEEN CR STRATEGIES INCOME	1,345,215	$11M	8.9%	ADD 4%
2	Blackrock Debt Strategies	2,398,291	$8M	7.0%	ADD 3%
3	VVRINVESCO SR INCOME TR	1,954,365	$8M	6.7%	ADD 66%
4	ABERDEEN ASIA PACIFIC INCOM	1,580,373	$8M	6.5%	ADD 6%
5	VOYA PRIME RATE TR	1,513,210	$8M	6.4%	ADD 28%
6	INVESCO DYNAMIC CR OPP FD	487,797	$5M	4.4%	HOLD
7	CSQCALAMOS STRATEGIC TOTAL RETU	378,782	$4M	3.1%	TRIM −26%
8	TEITEMPLETON EMERGING MKTS INCO	293,434	$3M	2.5%	HOLD
9	NVGNUVEEN AMT FREE MUN CR INC F	188,667	$3M	2.5%	NEW
10	ALPINE GLOBAL PREMIER PPTYS	559,250	$3M	2.5%	ADD 103%
11	AFBALLIANCEBERNSTEIN NATL MUN I	175,968	$3M	2.2%	HOLD
12	GLOCLOUGH GLOBAL OPPORTUNITIES	257,692	$2M	2.0%	NEW
13	ALLIANZGI NFJ DIVID INT & PR	186,999	$2M	1.9%	TRIM −17%
14	POWERSHARES ETF TR II	85,592	$2M	1.9%	TRIM −12%
15	NUVEEN	359,880	$2M	1.8%	TRIM −43%
16	DIVERSIFIED REAL ASSET INC FD COM SHS	118,627	$2M	1.6%	ADD 533%
17	XNEAXNUVEEN AMT FREE QLTY MUN INC	125,534	$2M	1.5%	ADD 26%
18	VANECK VECTORS ETF TR	58,284	$2M	1.5%	NEW
19	THWABRDN WORLD HEALTHCARE FUND	111,558	$2M	1.3%	NEW
20	THQABRDN HEALTHCARE OPPORTUNITI	94,379	$2M	1.3%	NEW
21	XBOEXBLACKROCK ENHANCED GLOBAL DI	131,582	$2M	1.3%	TRIM −10%
22	XFRAXBLACKROCK FLOATING RATE INCO	113,428	$1M	1.2%	TRIM −24%
23	HQHABRDN HEALTHCARE INVESTORS	62,643	$1M	1.2%	ADD 62%
24	SLBSCHLUMBERGER LTD	17,990	$1M	1.2%	ADD 51%
25	BIDUBAIDU INC	8,025	$1M	1.1%	HOLD
26	HALHALLIBURTON CO	27,042	$1M	1.0%	ADD 21%
27	KEPKOREA ELECTRIC PWR	45,358	$1M	1.0%	TRIM −12%
28	NUVEEN PREM INCOME MUN FD COM	74,330	$1M	0.9%	NEW
29	PIONEER NAT RES CO	7,163	$1M	0.9%	ADD 161%
30	TSMTAIWAN SEMICONDUCTOR MFG LTD	35,745	$938,000	0.8%	TRIM −22%
31	SINOPEC SHANGHAI PETRO ADR	19,778	$907,000	0.7%	TRIM −4%
32	BABAALIBABA GROUP HLDG LTD	10,236	$814,000	0.7%	ADD 22%
33	NUVEEN PREM INCOME MUN FD 2 COM	49,141	$758,000	0.6%	NEW
34	NUVEEN PREMIER MUN INCOME FD COM	50,341	$756,000	0.6%	ADD 110%
35	SILVER WHEATON CORP	31,571	$743,000	0.6%	ADD 7%
36	EOGEOG RES INC	8,395	$699,000	0.6%	ADD 52%
37	NEWFIELD EXPL CO	14,874	$657,000	0.5%	NEW
38	CECELANESE CORP DEL	9,996	$651,000	0.5%	ADD 36%
39	LYBLYONDELLBASELL INDUSTRIES N	8,711	$648,000	0.5%	ADD 47%
40	DVNDEVON ENERGY CORP NEW	17,533	$636,000	0.5%	ADD 14%
41	TESORO CORP	8,463	$634,000	0.5%	ADD 43%
42	TRINSEO S A	14,356	$612,000	0.5%	ADD 4%
43	ROYAL DUTCH SHELL PLC	10,619	$586,000	0.5%	NEW
44	KRATON CORPORATION	20,392	$570,000	0.5%	TRIM −14%
45	APACHE CORP	10,239	$567,000	0.5%	NEW
46	METAMETA PLATFORMS INC	4,737	$541,000	0.4%	HOLD
47	VLOVALERO ENERGY CORP	10,602	$541,000	0.4%	ADD 28%
48	NTESNETEASE COM INC	2,780	$537,000	0.4%	TRIM −39%
49	KBKB FINL GROUP INC	18,739	$533,000	0.4%	NEW
50	SHGSHINHAN FINANCIAL GROUP CO L	15,834	$518,000	0.4%	ADD 45%
51	NEMNEWMONT CORP	12,868	$503,000	0.4%	TRIM −30%
52	PSXPHILLIPS 66	6,292	$499,000	0.4%	ADD 48%
53	MPCMARATHON PETE CORP	12,536	$476,000	0.4%	ADD 15%
54	EMNEASTMAN CHEM CO	6,950	$472,000	0.4%	ADD 38%
55	CXCEMEX SAB DE CV	74,887	$462,000	0.4%	TRIM −9%
56	INFYINFOSYS LTD	25,584	$457,000	0.4%	TRIM −11%
57	AAPLAPPLE INC	4,558	$436,000	0.4%	TRIM −50%
58	WMBWILLIAMS COS INC	20,089	$435,000	0.4%	ADD 5%
59	BAKBRASKEM S A	36,567	$433,000	0.4%	TRIM −13%
60	IBBISHARES TR	1,653	$425,000	0.4%	NEW
61	MOBILE TELESYSTEMS PJSC	51,187	$424,000	0.4%	TRIM −13%
62	CNQCANADIAN NAT RES LTD	13,497	$416,000	0.3%	ADD 11%
63	PBFPBF ENERGY INC	17,379	$413,000	0.3%	ADD 5%
64	RIORIO TINTO PLC	12,966	$406,000	0.3%	NEW
65	GPORGULFPORT ENERGY CORP	12,774	$399,000	0.3%	NEW
66	RIGTRANSOCEAN LTD	33,226	$395,000	0.3%	ADD 22%
67	VIPSVIPSHOP HLDGS LTD	34,304	$383,000	0.3%	ADD 5%
68	NRKNUVEEN NEW YORK AMT QLT MUNI	26,577	$377,000	0.3%	TRIM −70%
69	CHICAGO BRIDGE & IRON CO N V	10,274	$356,000	0.3%	ADD 15%
70	DIAMOND OFFSHORE DRILLING IN	14,501	$353,000	0.3%	ADD 5%
71	FCXFREEPORT MCMORAN INC	30,906	$344,000	0.3%	NEW
72	JDJD.COM INC	15,734	$334,000	0.3%	TRIM −10%
73	CALLON PETE CO DEL	29,038	$326,000	0.3%	NEW
74	WLKWESTLAKE CORPORATION	7,606	$326,000	0.3%	ADD 22%
75	BKRBAKER HUGHES INC	6,966	$314,000	0.3%	NEW
76	ALLERGAN PLC	1,322	$306,000	0.3%	NEW
77	Transcanada Corp	6,620	$299,000	0.2%	TRIM −53%
78	GOOGLALPHABET INC	421	$296,000	0.2%	HOLD
79	PANWPALO ALTO NETWORKS INC	2,318	$284,000	0.2%	NEW
80	Mcdermott Intl Inc	57,162	$282,000	0.2%	NEW
81	CONTINENTAL RES INC	6,193	$280,000	0.2%	NEW
82	VITAL ENERGY INC	25,767	$270,000	0.2%	NEW
83	HUNHUNTSMAN CORP	19,198	$258,000	0.2%	NEW
84	Frontline Ltd. - COM ISIN BMG3682E1921	31,524	$248,000	0.2%	TRIM −8%
85	ROWAN COMPANIES PLC	13,273	$234,000	0.2%	ADD 32%
86	RYAMRAYONIER ADVANCED MATLS INC	16,484	$224,000	0.2%	NEW
87	BACBANK AMERICA CORP	12,922	$171,000	0.1%	TRIM −50%
88	TROXTRONOX HOLDINGS ORD	32,145	$142,000	0.1%	NEW
89	WHITING PETROLEUM	14,816	$137,000	0.1%	NEW

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