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U.S. Equity

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. Per Unit7
Hist. Annual
Dividend
Dist. Rate7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Blue Chip Dividend Portfolio, 002 CBCDBX 11/23/20 $10.0307 $9.8049 $0.2757 2.75% 11/16/20 11/16/22 BCDV002 40176C784, 40176C792, 40176C800, 40176C818
  Blue Chip Growth Portfolio, 028 CBCHCX 11/23/20 $9.9593 $9.7354 $0.0996 1.00% 11/16/20 11/16/22 BCHP028 40176D469, 40176D477, 40176D485, 40176D493
  Blue Chip Value Portfolio, 001 CBCVAX 11/23/20 $10.6107 $10.3689 $0.2395 2.26% 08/17/20 08/17/22 BCVA001 40176C149, 40176C156, 40176C164, 40176C172
  Diversified Dividend & Income Portfolio, 033 CDDIHX 11/23/20 $10.6136 $10.3717 $0.2559 2.41% 09/08/20 09/08/22 DDI033 40176C180, 40176C198, 40176C206, 40176C214
  Dividend Growth Portfolio, 018 CDGPRX 11/23/20 $10.7260 $10.3523 $0.2363 2.20% 08/18/20 08/18/25 DGP018 40175X425, 40175X433, 40175X441, 40175X458
  Dividend Strength Portfolio, 039 CGRONX 11/23/20 $10.6002 $10.3587 $0.2297 2.17% 08/24/20 08/24/22 GROW039 40175X466, 40175X474, 40175X482, 40175X490
  Dow 10 Portfolio, 043 CDOWRX 11/23/20 $10.9553 $10.8026 $0.4060 3.71% 10/02/20 01/13/22 DDP043 40175X821, 40175X839, 40175X847, 40175X854
  Dow Jones Sustainable Growth Portfolio, 013 CSUSMX 11/23/20 $10.1126 $9.9755 $0.0000 0.00% 11/18/20 02/22/22 SUST013 40176D626, 40176D634, 40176D642, 40176D659
  Dow Jones Value Dividend Focus Portfolio, 042 CRBDQX 11/23/20 $11.2456 $11.0876 $0.4308 3.83% 09/17/20 12/17/21 RBPD042 40175X664, 40175X672, 40175X680, 40175X698
  Flaherty & Crumrine Preferred Portfolio, 051 CPREAX 11/23/20 $10.3221 $10.0882 $0.5062 4.90% 10/28/20 11/07/22 PREF051 40176D428, 40176D436, 40176D444, 40176D451
  Large-Cap Core Portfolio, 038 CACEMX 11/23/20 $10.3706 $10.1354 $0.1578 1.52% 08/27/20 08/29/22 LCAP038 40175X540, 40175X557, 40175X565, 40175X573
  Multinational Titans Portfolio, 019 CMNTSX 11/23/20 $10.8160 $10.5686 $0.1603 1.48% 08/10/20 08/10/22 MNTP019 40175X268, 40175X276, 40175X284, 40175X292
  S&P Dividend Aristocrats Select 25 Strategy Portfolio, 021 CACTUX 11/23/20 $10.7091 $10.5610 $0.2366 2.21% 10/23/20 01/25/22 ACTS021 40176D147, 40176D154, 40176D162, 40176D170
  SMid Dividend Strength Portfolio, 014 CSMDNX 11/23/20 $11.7813 $11.5073 $0.2497 2.12% 07/20/20 07/20/22 SMDS014 40176B703, 40176B711, 40176B729, 40176B737
  US 50 Dividend Strategy Portfolio, 026 CUFTAX 11/23/20 $11.0382 $10.8840 $0.6340 5.74% 10/23/20 01/25/22 UFTY026 40176D188, 40176D196, 40176D204, 40176D212
  US Capital Strength Portfolio, 021 CUCAUX 11/23/20 $9.9061 $9.6837 $0.1039 1.05% 11/16/20 11/16/22 UCAP021 40176D501, 40176D519, 40176D527, 40176D535
  US High Dividend Strategy Portfolio, 038 CUSHMX 11/23/20 $10.8347 $10.6843 $0.4720 4.36% 10/16/20 01/21/22 USHD038 40176C743, 40176C750, 40176C768, 40176C776
  US Low Volatility Strategy Portfolio, 033 CULOHX 11/23/20 $10.3774 $10.2354 $0.1372 1.32% 11/02/20 02/03/22 ULOW033 40176D345, 40176D352, 40176D360, 40176D378
  US SMID High Dividend Portfolio, 038 CSMHMX 11/23/20 $11.0537 $10.8992 $0.4788 4.33% 10/16/20 01/21/22 SMHD038 40176C701, 40176C719, 40176C727, 40176C735

International/Global

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. Per Unit7
Hist. Annual
Dividend
Dist. Rate7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Emerging Markets Dividend Strategy Portfolio, 036 CGEMKX 11/23/20 $11.1206 $10.9649 $0.4142 3.72% 10/07/20 01/13/22 GEMD036 40176C503, 40176C511, 40176C529, 40176C537
  European Capital Strength Portfolio, 021 CECPUX 11/23/20 $9.9072 $9.6848 $0.1049 1.06% 11/16/20 11/16/22 ECAP021 40176D543, 40176D550, 40176D568, 40176D576
  Global 100 Dividend Strategy Portfolio, 024 CGONYX 11/23/20 $11.1616 $11.0051 $0.5073 4.55% 09/17/20 12/17/21 GONE024 40176C347, 40176C354, 40176C362, 40176C370
  International Dividend Strategy Portfolio, 049 CMVPYX 11/23/20 $11.0441 $10.8898 $0.4835 4.38% 10/02/20 01/13/22 MVP049 40176B828, 40176B836, 40176B844, 40176B851

Theme/Sector

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. Per Unit7
Hist. Annual
Dividend
Dist. Rate7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  BDC Scorecard Portfolio, 021 CBDCUX 11/23/20 $11.3060 $11.1468 $1.0283 9.10% 09/17/20 12/17/21 BDCS021 40175X706, 40175X714, 40175X722, 40175X730
  Financials Portfolio, 016 CFINPX 11/23/20 $11.3499 $11.0878 $0.2214 1.95% 10/07/20 10/07/22 FIN016 40176C628, 40176C636, 40176C644, 40176C651
  Health Care Portfolio, 029 CHCRDX 11/23/20 $10.8884 $10.6390 $0.1242 1.14% 07/13/20 07/13/22 DHS029 40176B463, 40176B471, 40176B489, 40176B497
  Kensho New Horizons Portfolio, 008 CKSPHX 11/23/20 $11.4429 $11.2812 $0.0626 0.55% 09/14/20 12/14/21 KSPC008 40175X789, 40175X797, 40175X805, 40175X813
  NDR Precious Metals & Miners Portfolio, 019 CPMMSX 11/23/20 $9.4829 $9.2721 $0.0086 0.09% 10/07/20 10/07/22 PMMP019 40176C461, 40176C479, 40176C487, 40176C495
  REIT Portfolio, 023 CGRTWX 11/23/20 $9.7396 $9.5218 $0.3267 3.35% 08/10/20 08/10/22 GRET023 40175X227, 40175X235, 40175X243, 40175X250
  Technological Innovation Portfolio, 016 CATEPX 11/23/20 $10.4257 $10.1890 $0.0364 0.35% 09/17/20 09/19/22 ATEC016 40176C222, 40176C230, 40176C248, 40176C255
  Technology Portfolio, 028 CTECCX 11/23/20 $10.3999 $10.1639 $0.0491 0.47% 10/19/20 10/19/22 DTS028 40176C826, 40176C834, 40176C842, 40176C859
  Tekla Medical Science Innovation Portfolio, 001 CTMEAX 11/23/20 $10.0620 $9.8353 $0.0200 0.20% 11/19/20 11/21/22 TMED001 40176D741, 40176D758, 40176D766, 40176D774
  Utilities Portfolio, 032 COPUHX 11/23/20 $10.8605 $10.6118 $0.3116 2.87% 07/13/20 07/13/22 DUS032 40176B505, 40176B513, 40176B521, 40176B539

Multi-Asset

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. Per Unit7
Hist. Annual
Dividend
Dist. Rate7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Balanced Income Builder Portfolio, 033 CGBIHX 11/23/20 $10.5671 $10.3265 $0.3849 3.64% 10/19/20 10/19/22 GBIB033 40176D105, 40176D113, 40176D121, 40176D139
  Core Four 60/40 Retirement Portfolio, 013 CCFOMX 11/23/20 $10.0604 $9.9243 $0.2482 2.47% 11/18/20 02/22/22 CFOR013 40176D584, 40176D592, 40176D600, 40176D618
  Diversified Credit Portfolio of ETFs, 017 CDCPQX 11/23/20 $10.1551 $9.9258 $0.3555 3.50% 08/17/20 08/17/22 DCP017 40175X342, 40175X359, 40175X367, 40175X375
  Floating Rate & Dividend Growth Portfolio, 022 CFRDVX 11/23/20 $10.4611 $10.2234 $0.4107 3.93% 11/02/20 11/02/22 FRDG022 40176D386, 40176D394, 40176D402, 40176D410
  Global Balanced Income Builder Portfolio, 016 CGBLPX 11/23/20 $10.5797 $10.3388 $0.3308 3.13% 09/30/20 09/30/22 GBAL016 40175X748, 40175X755, 40175X763, 40175X771
  Total Income Portfolio, 022 CTIPVX 11/23/20 $10.5984 $10.4523 $0.5900 5.57% 08/27/20 11/29/21 TIP022 40175X581, 40175X599, 40175X607, 40175X615
  Zacks Income Advantage Strategy Portfolio, 052 CCZIBX 11/23/20 $11.2202 $11.0626 $0.7776 6.93% 10/08/20 01/10/22 CZIP052 40176C669, 40176C677, 40176C685, 40176C693

Taxable CEF Income

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. Per Unit7
Hist. Annual
Dividend
Dist. Rate7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Convertible & Income Portfolio of Funds, 033 CECIHX 11/23/20 $10.9943 $10.7420 $0.7146 6.50% 10/02/20 10/03/22 DCEC033 40176C420, 40176C438, 40176C446, 40176C453
  Corporate High Yield & Income Portfolio of CEFs, 038 CEIPJX 11/23/20 $10.5552 $10.3149 $0.9145 8.66% 08/03/20 08/03/22 DCEI038 40175X185, 40175X193, 40175X201, 40175X219
  Covered Call & Income Portfolio of CEFs, 046 CCCIRX 11/23/20 $10.5172 $10.2780 $0.8249 7.84% 10/08/20 10/10/22 COV046 40176C545, 40176C552, 40176C560, 40176C578
  Discount Opportunity Strategy Portfolio of CEFs, 019 CGDOSX 11/23/20 $10.9505 $10.6994 $0.8048 7.35% 10/02/20 10/03/22 GDOS019 40176C388, 40176C396, 40176C404, 40176C412
  Diversified Income Wave Portfolio, 078 CFWAMX 11/23/20 $10.4900 $10.3459 $1.0537 10.04% 09/09/20 12/09/21 FWAV078 40175X623, 40175X631, 40175X649, 40175X656
  Equity & Income Portfolio of CEFs, 048 CCEEWX 11/23/20 $10.6756 $10.4320 $0.8031 7.52% 06/05/20 06/06/22 CEEI048 40176A705, 40176A713, 40176A721, 40176A739
  Income & Treasury Limited Duration Portfolio of Funds, 065 CFICMX 11/23/20 $10.1773 $10.0390 $0.5911 5.81% 09/09/20 12/09/21 FICE065 40176C305, 40176C313, 40176C321, 40176C339
  Senior Loan & Income Portfolio of CEFs, 039 CESLMX 11/23/20 $10.4431 $10.2059 $0.8039 7.70% 11/02/20 11/02/22 DCES039 40176D261, 40176D279, 40176D287, 40176D295
  Strategic Income Portfolio, 111 CFSIMX 11/23/20 $10.4685 $10.3248 $0.8582 8.20% 10/07/20 01/13/22 FSIP111 40176C586, 40176C594, 40176C602, 40176C610

Municipal CEF

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. Per Unit7
Hist. Annual
Dividend
Dist. Rate7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  California Municipal Portfolio of CEFs, 034 CECAIX 11/23/20 $10.0383 $9.8122 $0.3556 3.54% 09/08/20 09/08/22 DCCA034 40176C263, 40176C271, 40176C289, 40176C297
  National Municipal Portfolio of CEFs, 048 CENMWX 11/23/20 $10.2729 $10.0404 $0.4159 4.05% 11/02/20 11/02/22 DCEN048 40176D220, 40176D238, 40176D246, 40176D253
  New York Municipal Portfolio of CEFs, 035 CENYJX 11/23/20 $10.1952 $9.9648 $0.3967 3.89% 11/02/20 11/02/22 DCNY035 40176D303, 40176D311, 40176D329, 40176D337

1 The "offer" price represents the net asset value of one unit of a trust plus a transactional sales charge, if applicable.

2 The "wrap fee" price represents the offer price of one unit of a trust less applicable fee-based CUSIP-related expenses.

The "liquidation" price represents the net asset value of one unit of a trust and includes any front-end and deferred sales charges, if applicable, accounted for if investors liquidate units.

4 Estimated Annual Income per Unit is computed by dividing the estimated annual income of the underlying bonds by the number of units outstanding. The amount may be lower or greater than the above-stated amount due to certain factors that may include, but are not limited to, the selling of bonds to pay for the deferred sales charge, a change in Trust expenses or the sale or maturity of securities in the portfolio. Fees and expenses of the Trust may vary as a result of a variety of factors including the Trust's size, redemption activity, brokerage and other transaction costs and extraordinary expenses.

5 ECR is computed by dividing the estimated net annual interest income per unit by the public offering price.

6 ELTR is calculated using a formula that (i) takes into consideration, and determines and factors in the relative weightings of, the market values, yields (taking into account the amortization of premiums and the accretion of discounts) and estimated retirements of all the bonds in the trust and (ii) takes into account the expenses and sales charge associated with each unit of the trust. Therefore, there is no assurance that the ECR and ELTR will be realized in the future.

7 The Historical Annual Dividend Distribution (HADD) per unit is as of the day prior to trust deposit and subject to change. The HADD per unit is the weighted average of the trailing twelve-month distributions paid by the securities included in the portfolio. The HADD rate is based on the HADD divided by the current offer price and recalculated daily. Both the HADD per unit and the rate shown are reduced to account for the effects of fees and expenses, which will be incurred when investing in the Trust. The HADD per unit and rate will vary due to certain factors that may include, but are not limited to, a change in the dividends paid by issuers, a change in Trust expenses or the sale or maturity of securities in the portfolio. There is no guarantee the issuers of the securities included in the Trust will declare dividends or distributions in the future. The HADD of the securities included in the Trust is for illustrative purposes only and is not indicative of the Trust’s distribution. Due to the negative economic impact across many industries caused by the recent COVID-19 outbreak, certain issuers of the securities included in the trust may elect to reduce the amount of, or cancel entirely, dividends and/or distributions paid in the future. As a result, the HADD figure will likely be higher, and in some cases significantly higher, than the actual distribution rate achieved by the trust.

† Anticipated date of deposit. Information contained herein and in the preliminary prospectus is subject to completion or amendment. A registration statement relating to these securities has been filed with the Securities and Exchange Commission, but has not yet become effective. These securities may not be sold nor may offers to buy be accepted prior to the time the registration statement becomes effective. This communication shall not constitute an offer to sell or a solicitation of any offer to buy; nor shall there be any sale of these securities in any state in which such offer, solicitation, or sale would be unlawful prior to registration or qualification under the securities laws of any such state.

Past performance does not guarantee future results. Investment return and principal value will fluctuate with changes in market conditions. Investors units, when redeemed, may be worth more or less than their original cost.  

Form 8937 & Appendix (2019)
Form 8937 & Appendix (2018)
Form 8937 & Appendix (2017)
Form 8937 & Appendix (2016)
Form 8937 & Appendix (2015)
Form 8937 & Appendix (2014)
Form 8937 & Appendix (2013)
Form 8937 & Appendix (2012)



Read a prospectus and summary prospectus (if available) carefully before investing. It contains the investment objective, risks charges, expenses and the other information, which should be considered carefully before investing. To obtain a prospectus and summary prospectus (if available) click here or call 800.820.0888.

Investing involves risk, including the possible loss of principal.

Guggenheim Investments represents the following affiliated investment management businesses of Guggenheim Partners, LLC: Guggenheim Partners Investment Management, LLC, Security Investors, LLC, Guggenheim Funds Distributors, LLC, Guggenheim Funds Investment Advisors, LLC, Guggenheim Corporate Funding, LLC, Guggenheim Partners Europe Limited, GS GAMMA Advisors, LLC, and Guggenheim Partners India Management. Securities offered through Guggenheim Funds Distributors, LLC.

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• Not FDIC Insured • No Bank Guarantee • May Lose Value

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