NEWGATE CAPITAL MANAGEMENT LLC Last Quarter Change: USA ETF, Added

NEWGATE CAPITAL MANAGEMENT LLC quarter change: USA ETF, Added

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2016-03-31 to 2016-06-30, NEWGATE CAPITAL MANAGEMENT LLC opened 6 positions, added to 4, reduced 5, sold out of 5 and left 0 unchanged. The largest increase in value was VVR (+$3,390,000); the largest decrease was MARKET VECTORS HIGH YIELD MUNI (-$1,776,000).

VVR: Country of operation —; Class COM; Shares 2016-03-31 1,179,018; Shares 2016-06-30 1,954,365.
JQC: Country of operation —; Class COM SHS; Shares 2016-03-31 1,295,189; Shares 2016-06-30 1,345,215.
HQH: Country of operation —; Class SH BEN INT; Shares 2016-03-31 38,744; Shares 2016-06-30 62,643.
NEA: Country of operation —; Class COM; Shares 2016-03-31 99,920; Shares 2016-06-30 125,534.

Two Form 13F-HR filings compared (SEC CIK 939761): 2016-03-31 (filed 2016-04-29) and 2016-06-30 (filed 2016-08-03). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move; share change is the position change.

Stock	Class	Shares 2016-03-31	Shares 2016-06-30	Share change	Value 2016-03-31	Value 2016-06-30	Value change
VVR INVESCO SENIOR INCOME TRUST	COM	1,179,018	1,954,365	+775,347	$4,732,000	$8,122,000	+$3,390,000
JQC NUVEEN CREDIT STRATEGIES INCOME FUND	COM SHS	1,295,189	1,345,215	+50,026	$10,177,000	$10,802,000	+$625,000
HQH TEKLA HEALTHCARE INVESTORS	SH BEN INT	38,744	62,643	+23,899	$930,000	$1,468,000	+$538,000
NEA NUVEEN AMT-FREE MUNI INCOME FUND	COM	99,920	125,534	+25,614	$1,414,000	$1,875,000	+$461,000

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