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NCM

Newgate Capital Management Portfolio holdings

AUM $121M
1-Year Est. Return 3.73%
This Fund
S&P 500
This Quarter Est. Return
-4.68%
1 Year Est. Return
-3.73%
3 Year Est. Return
+7.69%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$172M
AUM Growth
-$210M
Cap. Flow
-$204M
Cap. Flow %
-118.94%
Top 10 Hldgs %
39.62%
Holding
125
New
19
Increased
7
Reduced
70
Closed
25

Top Buys

Rank Stock Value
1
AWF
AllianceBernstein Global High Income Fund
AWF
+$3.51M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$3.11M
3
DSU icon
BlackRock Debt Strategies Fund
DSU
+$3.11M
4
TEI
Templeton Emerging Markets Income Fund
TEI
+$2.53M
5
HPS
John Hancock Preferred Income Fund III
HPS
+$2.38M

Top Sells

Rank Stock Value
1
TSM icon
TSMC
TSM
+$13.4M
2
BIDU icon
Baidu
BIDU
+$9.92M
3
ITUB icon
Itaú Unibanco
ITUB
+$8.22M
4
TTM
Tata Motors Limited
TTM
+$7.87M
5
IRR
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
+$7.59M

Sector Composition

Rank Sector Weight
1 Materials 9.99%
2 Energy 8.5%
3 Financials 4.18%
4 Technology 2.96%
5 Utilities 2.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BCH icon
101
Banco de Chile
BCH
$20.9B
– –
-109,707
Closed -$2.55M
DSX icon
102
Diana Shipping
DSX
$300M
– –
-111,634
Closed -$850K
EMLC icon
103
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.79B
– –
-43,935
Closed -$2.13M
EMN icon
104
Eastman Chemical
EMN
$7.92B
– –
-18,140
Closed -$1.58M
GM icon
105
General Motors
GM
$80.4B
– –
-11,790
Closed -$428K
HDB icon
106
HDFC Bank
HDB
$123B
– –
-187,588
Closed -$2.2M
MMU
107
Western Asset Managed Municipals Fund
MMU
$546M
– –
-12,873
Closed -$169K
MUB icon
108
iShares National Muni Bond ETF
MUB
$45.1B
– –
-4,064
Closed -$442K
NAC icon
109
Nuveen California Quality Municipal Income Fund
NAC
$1.83B
– –
-65,136
Closed -$910K
NRO
110
Neuberger Real Estate Securities Income Fund Inc
NRO
$191M
– –
-338,742
Closed -$1.62M
PBR.A icon
111
Petrobras Class A
PBR.A
$110B
– –
-161,014
Closed -$2.52M
PCY icon
112
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.38B
– –
-73,456
Closed -$2.14M
PZA icon
113
Invesco National AMT-Free Municipal Bond ETF
PZA
$4.22B
– –
-18,271
Closed -$451K
SID icon
114
Companhia Siderúrgica Nacional
SID
$1.31B
– –
-1,154,682
Closed -$4.92M
SU icon
115
Suncor Energy
SU
$79.3B
– –
-56,479
Closed -$2.41M
VMO icon
116
Invesco Municipal Opportunity Trust
VMO
$654M
– –
-70,814
Closed -$892K
WPM icon
117
Wheaton Precious Metals
WPM
$49.4B
– –
-89,746
Closed -$2.36M
MRO
118
DELISTED
Marathon Oil Corporation
MRO
– –
-28,159
Closed -$1.12M
FEI
119
DELISTED
FIRST TRUST MLP AND ENERGY INCOME FUND
FEI
– –
-146,440
Closed -$3.16M
RFP
120
DELISTED
Resolute Forest Products Inc.
RFP
– –
-74,705
Closed -$1.25M
JMF
121
DELISTED
NUVEEN ENERGY MLP TOTAL RETURN FUND
JMF
– –
-168,016
Closed -$3.73M
DRYS
122
DELISTED
DryShips Inc. Common Stock
DRYS
– –
0
– -$834K
IRR
123
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
– –
-659,945
Closed -$7.59M
BTM
124
DELISTED
OI S.A. SPON ADR REPSTG 3 PFD SHS (BRA)
BTM
– –
-74,700
Closed -$64K
UFS
125
DELISTED
DOMTAR CORPORATION (New)
UFS
– –
-36,607
Closed -$1.57M
1 2 3 4
5

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Newgate Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Newgate Capital Management held 125 positions worth $172M, down 55% from $382M the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Newgate Capital Management withdrew a net $204M in Q3 2014, closing 25 positions and reducing 70 holdings. Its most notable exit was VOYA NATURAL RESOURCES EQUITY INCOME FUND, an estimated $7.59M position sold in full.

By sector, the portfolio is most concentrated in Materials at 10% of assets, down from 18% a quarter earlier, followed by Energy and Financials.

Against the trend, Newgate Capital Management opened a new position in abrdn Asia-Pacific Income Fund worth $3M.

  • Newgate Capital Management's largest Q3 2014 buy was abrdn Asia-Pacific Income Fund: 84,850 shares worth $3M.
  • Newgate Capital Management added most to AllianceBernstein Global High Income Fund in Q3 2014, an estimated $3.51M increase.
  • Newgate Capital Management's biggest Q3 2014 reduction was TSMC, cutting an estimated $13.4M.
  • Newgate Capital Management fully exited VOYA NATURAL RESOURCES EQUITY INCOME FUND in Q3 2014, selling an estimated $7.59M.
  • Newgate Capital Management's ten largest holdings make up 40% of its $172M portfolio in Q3 2014.
  • Newgate Capital Management opened 19 new positions and closed 25 in Q3 2014.
  • Newgate Capital Management's portfolio value fell 55% quarter-over-quarter to $172M.

Based on Newgate Capital Management's 13F filing for Q3 2014, filed 9 Oct 2014.