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U.S. Equity

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. 7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Blue Chip Growth Portfolio, 024 CBCHYX 01/17/20 $10.9904 $10.7382 $0.0715 11/18/19 11/18/21 BCHP024 40175D627, 40175D635, 40175D643, 40175D650
  Diversified Dividend & Income Portfolio, 031 CDDIFX 01/17/20 $10.8334 $10.5855 $0.2366 09/05/19 09/07/21 DDI031 40175A623, 40175A631, 40175A649, 40175A656
  Dividend Growth Portfolio, 016 CDGPPX 01/17/20 $11.3538 $10.9553 $0.2306 08/15/19 08/15/24 DGP016 40175A540, 40175A557, 40175A565, 40175A573
  Dividend Strength Portfolio, 036 CGROKX 01/17/20 $10.5821 $10.3411 $0.2157 11/22/19 11/22/21 GROW036 40175D668, 40175D676, 40175D684, 40175D692
  Dow 10 Portfolio, 040 CDOWOX 01/17/20 $10.0456 $9.9098 $0.3347 01/02/20 04/05/21 DDP040 40175E765, 40175E773, 40175E781, 40175E799
  Dow Jones Sustainable Growth Portfolio, 009 CSUSIX 01/17/20 $10.7279 $10.5794 $0.0166 11/18/19 02/19/21 SUST009 40175D585, 40175D593, 40175D601, 40175D619
  Dow Jones Value Dividend Focus Portfolio, 039 CRBDNX 01/17/20 $10.1307 $9.9933 $0.3717 12/17/19 03/16/21 RBPD039 40175E583, 40175E591, 40175E609, 40175E617
  Flaherty & Crumrine Preferred Portfolio, 049 CPREYX 01/17/20 $10.0909 $9.8634 $0.4990 10/03/19 10/04/21 PREF049 40175E229, 40175E237, 40175E245, 40175E252
  Large-Cap Core Portfolio, 036 CACEKX 01/17/20 $11.0720 $10.8175 $0.1499 08/19/19 08/19/21 LCAP036 40175A268, 40175A276, 40175A284, 40175A292
  Multinational Titans Portfolio, 017 CMNTQX 01/17/20 $12.0074 $11.7272 $0.1949 08/07/19 08/09/21 MNTP017 40174K788, 40174K796, 40174K804, 40174K812
  Quality Core Equity Portfolio, 005 CQQPEX 01/17/20 $10.6729 $10.5255 $0.1209 11/15/19 02/18/21 QQP005 40175D429, 40175D437, 40175D445, 40175D452
  S&P Dividend Aristocrats Select 25 Strategy Portfolio, 017 CACTQX 01/17/20 $10.6837 $10.5361 $0.2335 10/23/19 01/25/21 ACTS017 40175B746, 40175B753, 40175B761, 40175B779
  SMid Dividend Strength Portfolio, 013 † CSMDMX $0.0000 $0.0000 $0.2047 01/21/20 01/21/22 SMDS013 40175F309, 40175F317, 40175F325, 40175F333
  UBS Opportunistic Equity Income: 2019-4 (AVAILABLE THROUGH UBS ADVISORS ONLY), 019 CUBCSX 01/17/20 $10.4910 $10.3469 $0.2530 12/11/19 03/11/21 UCAM019 40175E500, 40175E518, 40175E526, 40175E534
  Undervalued Top Picks Portfolio, 023 CUVAWX 01/17/20 $10.2509 $10.1113 $0.1044 11/26/19 02/25/21 UVAL023 40175D742, 40175D759, 40175D767, 40175D775
  US 50 Dividend Strategy Portfolio, 022 CUFTVX 01/17/20 $10.5441 $10.3990 $0.6039 10/23/19 01/25/21 UFTY022 40175B787, 40175B795, 40175B803, 40175B811
  US Capital Strength Portfolio, 019 CUCASX 01/17/20 $10.8337 $10.5858 $0.1443 11/15/19 11/15/21 UCAP019 40175D387, 40175D395, 40175D403, 40175D411
  US High Dividend Strategy Portfolio, 035 † CUSHJX $0.0000 $0.0000 $0.3758 01/21/20 04/20/21 USHD035 40175F267, 40175F275, 40175F283, 40175F291
  US Low Volatility Strategy Portfolio, 029 CULODX 01/17/20 $10.3786 $10.2366 $0.2120 11/01/19 02/03/21 ULOW029 40175D189, 40175D197, 40175D205, 40175D213
  US SMID High Dividend Portfolio, 035 † CSMHJX $0.0000 $0.0000 $0.3472 01/21/20 04/20/21 SMHD035 40175F226, 40175F234, 40175F242, 40175F259

International/Global

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. 7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Emerging Markets Dividend Strategy Portfolio, 032 CGEMGX 01/17/20 $10.8147 $10.6646 $0.4181 11/26/19 02/25/21 GEMD032 40175D700, 40175D718, 40175D726, 40175D734
  European Capital Strength Portfolio, 019 CECPSX 01/17/20 $10.6999 $10.4557 $0.1768 11/15/19 11/15/21 ECAP019 40175D460, 40175D478, 40175D486, 40175D494
  Global 100 Dividend Strategy Portfolio, 021 CGONUX 01/17/20 $10.2587 $10.1189 $0.4928 12/17/19 03/16/21 GONE021 40175E625, 40175E633, 40175E641, 40175E658
  International Dividend Strategy Portfolio, 046 CMVPUX 01/17/20 $10.0594 $9.9233 $0.4259 01/02/20 04/05/21 MVP046 40175E807, 40175E815, 40175E823, 40175E831

Theme/Sector

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. 7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Alerian Energy Infrastructure & MLP Capital Strength Portfolio, 009 CAMIIX 01/17/20 $10.0164 $9.8811 $0.6071 01/07/20 04/08/21 AMII009 40175F101, 40175F119, 40175F127, 40175F135
  BDC Scorecard Portfolio, 018 CBDCRX 01/17/20 $9.8047 $9.6733 $0.7164 12/17/19 03/16/21 BDCS018 40175E666, 40175E674, 40175E682, 40175E690
  Energy Portfolio, 027 CENPBX 01/17/20 $11.5243 $11.2574 $0.3282 08/27/19 08/27/21 DES027 40175A144, 40175A151, 40175A169, 40175A177
  Financials Portfolio, 014 CFINNX 01/17/20 $10.2737 $10.0412 $0.1797 11/27/19 11/29/21 FIN014 40175E104, 40175E112, 40175E120, 40175E138
  Health Care Portfolio, 028 CHCRCX 01/17/20 $10.2646 $10.0323 $0.0955 01/13/20 01/13/22 DHS028 40175F143, 40175F150, 40175F168, 40175F176
  Infrastructure & MLP Portfolio of CEFs, 040 CCEIOX 01/17/20 $10.4496 $10.2122 $0.9012 11/04/19 11/04/21 CEIF040 40175D346, 40175D353, 40175D361, 40175D379
  Kensho New Horizons Portfolio, 005 CKSPEX 01/17/20 $10.8495 $10.6988 $0.0441 12/12/19 03/12/21 KSPC005 40175E542, 40175E559, 40175E567, 40175E575
  MLP/Midstream & Energy Portfolio, 027 CMLPBX 01/17/20 $10.1228 $9.8944 $0.9139 12/23/19 12/23/21 MLP027 40175E708, 40175E716, 40175E724, 40175E732
  NDR Precious Metals & Miners Portfolio, 017 CPMMQX 01/17/20 $10.0348 $9.8088 $0.0000 09/20/19 10/20/21 PMMP017 40175B225, 40175B233, 40175B241, 40175B258
  NDR Rising Rate Defensive Equity Portfolio, 013 CRREMX 01/17/20 $10.9794 $10.7275 $0.0646 10/25/19 10/25/21 RREP013 40175D106, 40175D114, 40175D122, 40175D130
  NDR Thematic Opportunities Portfolio, 010 CTOPJX 01/17/20 $10.4642 $10.3206 $0.1689 11/29/19 03/01/21 TOP010 40175E187, 40175E195, 40175E203, 40175E211
  REIT Portfolio, 021 CGRTUX 01/17/20 $10.6643 $10.4210 $0.4090 08/07/19 08/09/21 GRET021 40174K747, 40174K754, 40174K762, 40174K770
  Technological Innovation Portfolio, 014 CATENX 01/17/20 $11.9964 $11.7165 $0.0415 09/30/19 09/30/21 ATEC014 40175B308, 40175B316, 40175B324, 40175B332
  Technology Portfolio, 026 CTECAX 01/17/20 $11.5122 $11.2456 $0.0755 10/25/19 10/25/21 DTS026 40175B829, 40175B837, 40175B845, 40175B852
  Utilities Portfolio, 031 COPUGX 01/17/20 $10.2852 $10.0524 $0.2680 01/13/20 01/13/22 DUS031 40175F184, 40175F192, 40175F200, 40175F218

Multi-Asset

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. 7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Alternative Income Portfolio, 014 CAIPNX 01/17/20 $10.2609 $10.0287 $0.7754 10/08/19 10/08/21 AIP014 40175B589, 40175B597, 40175B605, 40175B613
  Balanced Income Builder Portfolio, 029 CGBIDX 01/17/20 $10.2084 $9.9777 $0.3636 10/18/19 10/18/21 GBIB029 40175B704, 40175B712, 40175B720, 40175B738
  Core Four 60/40 Retirement Portfolio, 009 CCFOIX 01/17/20 $10.3751 $10.2332 $0.2748 11/18/19 02/19/21 CFOR009 40175D544, 40175D551, 40175D569, 40175D577
  Diversified Credit Portfolio of ETFs, 015 CDCPOX 01/17/20 $10.0643 $9.8375 $0.3387 08/12/19 08/12/21 DCP015 40174K820, 40174K838, 40174K846, 40174K853
  Floating Rate & Dividend Growth Portfolio, 020 CFRDTX 01/17/20 $10.5462 $10.3062 $0.4081 10/29/19 10/29/21 FRDG020 40175D148, 40175D155, 40175D163, 40175D171
  Global Balanced Income Builder Portfolio, 014 CGBLNX 01/17/20 $10.3481 $10.1135 $0.3272 09/30/19 09/30/21 GBAL014 40175B340, 40175B357, 40175B365, 40175B373
  Total Income Portfolio, 019 CTIPSX 01/17/20 $10.2098 $10.0709 $0.5210 11/27/19 02/24/21 TIP019 40175E146, 40175E153, 40175E161, 40175E179
  Zacks Income Advantage Strategy Portfolio, 048 CCZIWX 01/17/20 $10.4516 $10.3082 $0.6779 11/15/19 02/18/21 CZIP048 40175D502, 40175D510, 40175D528, 40175D536

Taxable CEF Income

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. 7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  Convertible & Income Portfolio of Funds, 031 CECIFX 01/17/20 $11.0024 $10.7498 $0.8098 10/03/19 10/04/21 DCEC031 40175B464, 40175B472, 40175B480, 40175B498
  Corporate High Yield & Income Portfolio of CEFs, 036 CEIPHX 01/17/20 $10.1813 $9.9513 $0.7738 08/01/19 08/02/21 DCEI036 40174K580, 40174K598, 40174K606, 40174K614
  Covered Call & Income Portfolio of CEFs, 044 CCCIPX 01/17/20 $10.1613 $9.9319 $0.7323 12/06/19 12/06/21 COV044 40175E385, 40175E393, 40175E401, 40175E419
  Discount Opportunity Strategy Portfolio of CEFs, 017 CGDOQX 01/17/20 $10.3044 $10.0710 $0.6156 12/06/19 12/06/21 GDOS017 40175E302, 40175E310, 40175E328, 40175E336
  Diversified Income Wave Portfolio, 075 CFWAJX 01/17/20 $10.4090 $10.2664 $0.9456 12/09/19 03/09/21 FWAV075 40175E468, 40175E476, 40175E484, 40175E492
  Equity & Income Portfolio of CEFs, 047 CCEEVX 01/17/20 $10.4438 $10.2066 $0.7172 12/06/19 12/06/21 CEEI047 40175E260, 40175E278, 40175E286, 40175E294
  Income & Treasury Limited Duration Portfolio of Funds, 062 CFICJX 01/17/20 $10.2083 $10.0694 $0.5380 12/09/19 03/09/21 FICE062 40175E427, 40175E435, 40175E443, 40175E450
  Senior Loan & Income Portfolio of CEFs, 037 CESLKX 01/17/20 $10.5256 $10.2861 $0.7221 11/04/19 11/04/21 DCES037 40175D221, 40175D239, 40175D247, 40175D254
  Strategic Income Portfolio, 108 CFSIJX 01/17/20 $10.1539 $10.0161 $0.7701 01/06/20 04/06/21 FSIP108 40175E849, 40175E856, 40175E864, 40175E872

Municipal CEF

CUSIPs Trust NASDAQ
Ticker
Symbol
Price Date Offer1 Liquidation3 Hist. Annual
Dividend
Dist. 7
Deposit Date Mandatory
Maturity
Date
Fact Card Prospectus
  California Municipal Portfolio of CEFs, 031 CECAFX 01/17/20 $10.1253 $9.8969 $0.3733 12/06/19 12/06/21 DCCA031 40175E344, 40175E351, 40175E369, 40175E377
  National Municipal Portfolio of CEFs, 044 CENMSX 01/17/20 $10.2368 $10.0053 $0.4298 11/04/19 11/04/21 DCEN044 40175D304, 40175D312, 40175D320, 40175D338
  New York Municipal Portfolio of CEFs, 033 CENYHX 01/17/20 $10.1747 $9.9449 $0.3743 11/04/19 11/04/21 DCNY033 40175D262, 40175D270, 40175D288, 40175D296

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) is as of the day prior to trust deposit and subject to change. 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 rate. The HADD 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. The HADD is calculated as the weighted average of the trailing twelve-month distributions paid by the securities included in the portfolio. The HADD is reduced to account for the effects of fees and expenses, which will be incurred when investing in 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 (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 Investment Advisors, LLC, Guggenheim Funds Distributors, LLC, GS GAMMA Advisors, LLC, Guggenheim Partners Europe Limited and Guggenheim Partners India Management. Securities offered through Guggenheim Funds Distributors, LLC, an affiliate of Guggenheim, SI, GFIA and GPIM.

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

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