CIK: 0000939761
Total reported value
$121.0M
Reporting period: 2016-06-30 · Number of holdings: 89
NEWGATE CAPITAL MANAGEMENT LLC disclosed 89 holdings in its latest 13F filing for the period ending 2016-06-30, with total reported value of $121.0M and a quarterly turnover rate of 51.9%.
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Newgate Capital Management LLC's disclosed holdings carry a Herfindahl concentration index of 0.035 — mathematically equivalent to about 28 equally-sized positions, well below its 89 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.48), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 4% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Add VVR
+65.8% $3.4M
Trim 67067Y104
-42.8% -$1.5M
Add DHC
+532.9% $1.7M
Trim CSQ
-26.5% -$1.1M
Add PINE
+102.7% $1.5M
Add VOYA
+27.7% $1.8M
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | XJQCX | Nuveen Credit Strategies INC | Stock-Other | 8.93% | -0.22% | +3.86% | |
| 2 | DSU | BlackRock Debt Strategies Fund, Inc. | Stock-Other | 6.96% | -0.23% | +3.49% | |
| 3 | VVR | Invesco Senior Income Trust | Stock-Other | 6.71% | +2.45% | +65.76% | |
| 4 | SGOL | abrdn Physical Gold Shares ETF | ETF-Commodities | 6.50% | -0.13% | +6.36% | |
| 5 | VOYA | Voya Financial, Inc. | Stock-Financials | 6.37% | +1.03% | +27.72% | |
| 6 | SMHC | VanEck China Semiconductor ETF | ETF-Emerging Markets | 4.41% | — | +1.23% | |
| 7 | CSQ | Calamos Strat Ttl Rtrn Fnd | Stock-Other | 3.07% | -1.30% | -26.47% | |
| 8 | TEI | Templeton Emrg Mkts INC | Stock-Other | 2.54% | — | +1.89% | |
| 9 | NVG | Nuveen Amt-fr Muni Crdt | Stock-Other | 2.52% | +2.52% | NEW | |
| 10 | PINE | Alpine Income Property Trust, Inc. | Stock-Other | 2.51% | +1.13% | +102.68% | |
| 11 | AFB | Allianceberstein Ntl Muni | Stock-Other | 2.19% | — | -0.87% | |
| 12 | GLO | Clough Global Opportunities | Stock-Other | 1.97% | +1.97% | NEW | |
| 13 | NFJ | Virtus Dividend, Interest & Premium Strategy Fund | Stock-Other | 1.91% | -0.59% | -17.42% | |
| 14 | ✓ | Powershares Global ETF Trust | ETF-Other | 1.87% | — | -11.68% | |
| 15 | ✓ | Nuveen | Stock-Other | 1.79% | -1.53% | -42.81% | |
| 16 | DHC | Diversified Healthcare Trust | Stock-Other | 1.61% | +1.35% | +532.91% | |
| 17 | XNEAX | Nuveen Amt-fr Qlty Muni INC | Stock-Other | 1.55% | +0.28% | +25.63% | |
| 18 | SMHC | VanEck China Semiconductor ETF | ETF-Emerging Markets | 1.55% | +1.55% | NEW | |
| 19 | THW | Abrdn World Healthcare Fund | Stock-Other | 1.29% | +1.29% | NEW | |
| 20 | THQ | Abrdn Healthcare Opport | Stock-Other | 1.29% | +1.29% | NEW | |
| 21 | XBOEX | Blackrock Enh Glbl Dvd Tr | Stock-Other | 1.28% | — | -9.57% | |
| 22 | XFRAX | Blackrock Fltng Rt INC Strat | Stock-Other | 1.23% | -0.51% | -23.72% | |
| 23 | HQH | Abrdn Healthcare Investors | Stock-Other | 1.21% | +0.37% | +61.68% | |
| 24 | SLB | Slb LTD | Stock-Energy | 1.18% | +0.39% | +51.25% | |
| 25 | BIDU | Baidu INC - Spon Adr | Stock-Comm Services | 1.09% | — | +0.10% | |
| 26 | HAL | Halliburton Co | Stock-Energy | 1.01% | +0.29% | +20.55% | |
| 27 | KEP | Korea Elec Power Corp-sp Adr | Stock-Other | 0.97% | — | -12.19% | |
| 28 | ✓ | Nuveen Prem Income Mun Fd | Stock-Other | 0.94% | +0.94% | NEW | |
| 29 | PXDEUR | Pioneer Natural Resources Co | Stock-Other | 0.89% | +0.54% | +161.04% | |
| 30 | TSM | Taiwan Semiconductor-sp Adr | Stock-Tech | 0.78% | — | -22.21% | |
| 31 | SHI1USD | Sinopec Shanghai-spons Adr | Stock-Other | 0.75% | — | -4.49% | |
| 32 | BABA | Alibaba Group Holding-sp Adr | Stock-Consumer Disc | 0.67% | — | +22.02% | |
| 33 | NZF | Nuveen Municipal Credit Income Fund | Stock-Other | 0.63% | +0.63% | NEW | |
| 34 | ✓ | Nuveen Premier Mun Income Fd | Stock-Other | 0.62% | +0.32% | +110.08% | |
| 35 | WPM | Wheaton Precious Metals Corp. | Stock-Materials | 0.61% | — | +7.23% | |
| 36 | EOG | Eog Resources INC | Stock-Energy | 0.58% | — | +51.75% | |
| 37 | ✓ | Newfield Expl Co | Stock-Other | 0.54% | +0.54% | NEW | |
| 38 | CE | Celanese CORP | Stock-Materials | 0.54% | — | +36.28% | |
| 39 | LYB | LyondellBasell Industries N.V. | Stock-Materials | 0.54% | — | +46.60% | |
| 40 | DVN | Devon Energy CORP | Stock-Energy | 0.53% | — | +14.42% | |
| 41 | ✓ | Tesoro CORP | Stock-Other | 0.52% | — | +43.34% | |
| 42 | ✓ | Stock-Other | 0.51% | — | +3.72% | ||
| 43 | RDS-A | Shell Plc-spon Adr-a | Stock-Other | 0.48% | +0.48% | NEW | |
| 44 | KRAUSD | Kraton CORP | Stock-Other | 0.47% | — | -14.09% | |
| 45 | 9990302D | Apache CORP | Stock-Other | 0.47% | +0.47% | NEW | |
| 46 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.45% | — | — | |
| 47 | VLO | Valero Energy CORP | Stock-Energy | 0.45% | — | +28.46% | |
| 48 | NTES | Netease Inc-adr | Stock-Comm Services | 0.44% | — | -38.54% | |
| 49 | KB | Kb Financial Group Inc-adr | Stock-Financials | 0.44% | +0.44% | NEW | |
| 50 | SHG | Shinhan Financial Group-adr | Stock-Other | 0.43% | — | +44.91% |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2016-06-30 | 89 | $121.0M | 52 | |
| 2016-03-31 | 90 | $111.2M | 54 | |
| 2015-12-31 | 96 | $134.4M | 33 | |
| 2015-09-30 | 95 | $134.5M | 40 | |
| 2015-06-30 | 97 | $135.1M | 34 | |
| 2015-03-31 | 117 | $143.2M | 41 | |
| 2014-12-31 | 104 | $151.6M | 61 | |
| 2014-09-30 | 99 | $171.9M | 96 | |
| 2014-06-30 | 106 | $381.8M | 46 | |
| 2014-03-31 | 106 | $449.3M | 62 | |
| 2013-12-31 | 108 | $508.2M | 53 | |
| 2013-09-30 | 119 | $571.2M | 67 | |
| 2013-06-30 | 130 | $717.4M | 0 |
Newgate Capital Management LLC's most significant position changes for 2016-06-30: New buy: Nuveen Amt-fr Muni Crdt (NVG); Sold out: Nuveen Sht Dur Cr Opp Fd; New buy: Clough Global Opportunities (GLO); New buy: VanEck China Semiconductor ETF (SMHC); Sold out: Nuveen Mun Opportunity Fd In.
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | VVR | Invesco Senior Income Trust | +2.5% | +65.76% | Add |
| 2 | DHC | Diversified Healthcare Trust | +1.4% | +532.91% | Add |
| 3 | PINE | Alpine Income Property Trust, Inc. | +1.1% | +102.68% | Add |
| 4 | VOYA | Voya Financial, Inc. | +1% | +27.72% | Add |
| 5 | PXDEUR | Pioneer Natural Resources Co | +0.5% | +161.04% | Add |
| 6 | SLB | Slb LTD | +0.4% | +51.25% | Add |
| 7 | HQH | Abrdn Healthcare Investors | +0.4% | +61.68% | Add |
| 8 | ✓ | Nuveen Premier Mun Income Fd | +0.3% | +110.08% | Add |
| 9 | HAL | Halliburton Co | +0.3% | +20.55% | Add |
| 10 | XNEAX | Nuveen Amt-fr Qlty Muni INC | +0.3% | +25.63% | Add |
| 11 | SGOL | abrdn Physical Gold Shares ETF | -0.1% | +6.36% | Add |
| 12 | XJQCX | Nuveen Credit Strategies INC | -0.2% | +3.86% | Add |
| 13 | DSU | BlackRock Debt Strategies Fund, Inc. | -0.2% | +3.49% | Add |
| 14 | XFRAX | Blackrock Fltng Rt INC Strat | -0.5% | -23.72% | Trim |
| 15 | AAPL | Apple INC | -0.5% | -49.99% | Trim |
| 16 | NFJ | Virtus Dividend, Interest & Premium Strategy Fund | -0.6% | -17.42% | Trim |
| 17 | NRK | Nuveen Ny Amt-fr Muni INC | -0.8% | -70.09% | Trim |
| 18 | CSQ | Calamos Strat Ttl Rtrn Fnd | -1.3% | -26.47% | Trim |
| 19 | ✓ | Nuveen | -1.5% | -42.81% | Trim |
| 20 | NVG | Nuveen Amt-fr Muni Crdt | — | NEW | New buy |
| 21 | ✓ | Nuveen Sht Dur Cr Opp Fd | — | EXIT | Sold out |
| 22 | GLO | Clough Global Opportunities | — | NEW | New buy |
| 23 | SMHC | VanEck China Semiconductor ETF | — | NEW | New buy |
| 24 | ✓ | Nuveen Mun Opportunity Fd In | — | EXIT | Sold out |
| 25 | SMHC | VanEck China Semiconductor ETF | — | EXIT | Sold out |
| 26 | THW | Abrdn World Healthcare Fund | — | NEW | New buy |
| 27 | THQ | Abrdn Healthcare Opport | — | NEW | New buy |
| 28 | BWX | State Street Spdr Bloomberg | — | EXIT | Sold out |
| 29 | ✓ | Allianzgi Conv & Income Fd | — | EXIT | Sold out |
| 30 | ✓ | Nuveen Prem Income Mun Fd | — | NEW | New buy |
| 31 | CIG | Cia Energetica De-spon Adr | — | EXIT | Sold out |
| 32 | NZF | Nuveen Municipal Credit Income Fund | — | NEW | New buy |
| 33 | TFI | Ss Spdr N Ice Muni Bond ETF | — | EXIT | Sold out |
| 34 | ✓ | Newfield Expl Co | — | NEW | New buy |
| 35 | RDS-A | Shell Plc-spon Adr-a | — | NEW | New buy |
| 36 | 9990302D | Apache CORP | — | NEW | New buy |
| 37 | KB | Kb Financial Group Inc-adr | — | NEW | New buy |
| 38 | ✓ | SFL Corporation Ltd. | — | EXIT | Sold out |
| 39 | OGE | Oge Energy CORP | — | EXIT | Sold out |
| 40 | FE | Firstenergy CORP | — | EXIT | Sold out |
| 41 | NAT | Nordic American Tankers Limited | — | EXIT | Sold out |
| 42 | IBB | Ishares Biotechnology ETF | — | NEW | New buy |
| 43 | IBN | Icici Bank Ltd-spon Adr | — | EXIT | Sold out |
| 44 | TEN | Tsakos Energy Navigation Limited | — | EXIT | Sold out |
| 45 | RIO | Rio Tinto Plc-spon Adr | — | NEW | New buy |
| 46 | GPOR1EUR | Gulfport Energy CORP | — | NEW | New buy |
| 47 | NUV | Nuveen Municipal Value | — | EXIT | Sold out |
| 48 | ENB | Enbridge INC | — | EXIT | Sold out |
| 49 | BKK | Blackrock Muni 2020 Term Tr | — | EXIT | Sold out |
| 50 | NFLX | Netflix INC | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2016-06-30 | 2016-08-03 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-29 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-02-01 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-10-22 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-07-27 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-05-14 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-01-29 | 13F-HR | View on EDGAR |
| 2014-09-30 | 2014-10-09 | 13F-HR | View on EDGAR |
| 2014-06-30 | 2014-08-08 | 13F-HR | View on EDGAR |
| 2014-03-31 | 2014-05-06 | 13F-HR | View on EDGAR |
| 2013-12-31 | 2014-01-16 | 13F-HR | View on EDGAR |
| 2013-09-30 | 2013-10-15 | 13F-HR | View on EDGAR |
| 2013-06-30 | 2013-07-23 | 13F-HR | View on EDGAR |
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