1. Home
  2. UIT
  3. Secondary UITs

Secondary UITs

CUSIPs Trust NASDAQ Ticker Symbol Price Date Offer1 Bid2 Liquidation3 Deposit Date Mandatory Maturity Date
  ABC High Dividend Strategy Portfolio, 018 CABCRX 2/24/2017 $0.00000 $9.00790 $9.00790 1/7/2015 3/1/2017 ABC018 40169H782, 40169H790, 40169H808, 40169H816
  Alternative Income Portfolio, 004 CAIPDX 2/24/2017 $0.00000 $7.81060 $7.81060 4/16/2015 4/20/2017 AIP004 40169L304, 40169L312, 40169L320, 40169L338
  Alternative Income Portfolio, 005 CAIPEX 2/24/2017 $0.00000 $9.90360 $9.90360 10/15/2015 10/19/2017 AIP005 40169X183, 40169X191, 40169X209, 40169X217
  Alternative Income Portfolio, 006 CAIPFX 2/24/2017 $0.00000 $11.09380 $11.09380 4/15/2016 4/13/2018 AIP006 40171J362, 40171J370, 40171J388, 40171J396
  Balanced Income Builder Portfolio, 011 CGBIKX 2/24/2017 $0.00000 $10.14580 $10.14580 4/15/2015 4/19/2017 GBIB011 40169K827, 40169K835, 40169K843, 40169K850
  Balanced Income Builder Portfolio, 012 CGBILX 2/24/2017 $0.00000 $10.53170 $10.53170 7/15/2015 7/19/2017 GBIB012 40169P586, 40169P594, 40169P602, 40169P610
  Balanced Income Builder Portfolio, 013 CGBIMX 2/24/2017 $0.00000 $10.49450 $10.49450 10/21/2015 10/18/2017 GBIB013 40169X340, 40169X357, 40169X365, 40169X373
  Balanced Income Builder Portfolio, 014 CGBINX 2/24/2017 $0.00000 $11.19640 $11.19640 1/27/2016 1/26/2018 GBIB014 40170C426, 40170C434, 40170C442, 40170C459
  Balanced Income Builder Portfolio, 015 CGBIOX 2/24/2017 $0.00000 $10.13160 $10.13160 4/20/2016 4/20/2018 GBIB015 40170Q102, 40170Q110, 40170Q128, 40170Q136
  Balanced Income Builder Portfolio, 016 CGBIPX 2/24/2017 $0.00000 $9.72790 $9.72790 7/20/2016 7/20/2018 GBIB016 40171K625, 40171K633, 40171K641, 40171K658
  Balanced Income Builder Portfolio, 017 CGBIQX 2/24/2017 $0.00000 $10.35630 $10.11130 10/19/2016 10/19/2018 GBIB017 40171M423, 40171M431, 40171M449, 40171M456
  Barrow American Top 40: Mid-Cap Portfolio, 001 CATFAX 2/24/2017 $0.00000 $9.30240 $9.30240 11/6/2015 11/6/2017 ATFT001 40169Y561, 40169Y579, 40169Y587, 40169Y595
  Barrow American Top 40: Mid-Cap Portfolio, 002 CATFBX 2/24/2017 $0.00000 $10.39800 $10.31640 5/6/2016 5/4/2018 ATFT002 40170Q508, 40170Q516, 40170Q524, 40170Q532
  BDC Scorecard Portfolio, 002 CBDCBX 2/24/2017 $0.00000 $10.57280 $10.57280 12/8/2015 3/15/2017 BDCS002 40170C665, 40170C673, 40170C681, 40170C699
  BDC Scorecard Portfolio, 003 CBDCCX 2/24/2017 $0.00000 $11.43940 $11.43940 3/15/2016 6/15/2017 BDCS003 40170X222, 40170X230, 40170X248, 40170X255
  BDC Scorecard Portfolio, 004 CBDCDX 2/24/2017 $0.00000 $11.30020 $11.30020 6/15/2016 9/18/2017 BDCS004 40171J727, 40171J735, 40171J743, 40171J750
  BDC Scorecard Portfolio, 005 CBDCEX 2/24/2017 $0.00000 $10.49780 $10.40110 9/16/2016 12/15/2017 BDCS005 40171L342, 40171L359, 40171L367, 40171L375
  Blue Chip Growth Portfolio, 007 CBCHGX 2/24/2017 $0.00000 $10.38140 $10.38140 8/19/2015 8/16/2017 BCHP007 40169N565, 40169N573, 40169N581, 40169N599
  Blue Chip Growth Portfolio, 008 CBCHHX 2/24/2017 $0.00000 $10.14470 $10.14470 11/18/2015 11/17/2017 BCHP008 40170B469, 40170B477, 40170B485, 40170B493
  Blue Chip Growth Portfolio, 009 CBCHIX 2/24/2017 $0.00000 $11.16410 $11.16410 2/17/2016 2/20/2018 BCHP009 40170E380, 40170E398, 40170E406, 40170E414
  Blue Chip Growth Portfolio, 010 CBCHJX 2/24/2017 $0.00000 $10.48710 $10.48710 5/17/2016 5/17/2018 BCHP010 40170Q789, 40170Q797, 40170Q805, 40170Q813
  Blue Chip Growth Portfolio, 011 CBCHKX 2/24/2017 $0.00000 $10.01420 $9.93260 8/17/2016 8/17/2018 BCHP011 40171H440, 40171H457, 40171H465, 40171H473
  Blue Chip Growth Portfolio, 012 CBCHLX 2/24/2017 $0.00000 $10.63560 $10.39060 11/16/2016 11/16/2018 BCHP012 40171N389, 40171N397, 40171N405, 40171N413
  Build America Bonds Trust, 001 CGBAAX 2/24/2017 $0.00000 $843.61000 $843.61000 7/20/2010 7/1/2042 GBAB001 18387Q446, 18387Q453
  Build America Bonds Trust, 002 CGBABX 2/24/2017 $0.00000 $892.59000 $892.59000 8/12/2010 2/1/2042 GBAB002 18387Q503, 18387Q511
  Build America Bonds Trust, 003 CGBACX 2/24/2017 $0.00000 $924.01000 $924.01000 8/20/2010 7/1/2042 GBAB003 18387Q529, 18387Q537
  Build America Bonds Trust, 004 CGBADX 2/24/2017 $0.00000 $917.31000 $917.31000 9/10/2010 8/1/2042 GBAB004 18387R105, 18387R113
  Build America Bonds Trust, 005 CGBAEX 2/24/2017 $0.00000 $884.31000 $884.31000 10/7/2010 7/1/2042 GBAB005 40167C488, 40167C496
  Build America Bonds Trust, 006 CGBAFX 2/24/2017 $0.00000 $739.93000 $739.93000 11/16/2010 7/1/2045 GBAB006 40167C868, 40167C876
  Build America Bonds Trust, 007 CGBAGX 2/24/2017 $0.00000 $792.29000 $792.29000 1/14/2011 1/1/2042 GBAB007 40167R782, 40167R790
  BulletShares® 2011-2017 Corporate Bond ETF Ladder Allocation Portfolio, 001 CBULAX 2/24/2017 $0.00000 $1.38730 $1.38730 3/8/2011 12/31/2017 BULL001 40167R402, 40167R410, 40167R428, 40167R436
  BulletShares® 2011-2017 Corporate Bond Ladder Portfolio of ETFs, 002 CBULBX 2/24/2017 $0.00000 $1.44310 $1.44310 9/21/2011 12/31/2017 BULL002 40167L306, 40167L314, 40167L322, 40167L330
  BulletShares® High Yield Low Duration 2017-2020 Bond Ladder Portfolio of ETFs, 006 CBHYFX 2/24/2017 $0.00000 $9.20290 $9.20290 6/10/2015 6/14/2017 BHYB006 40169M682, 40169M690, 40169M708, 40169M716
  BulletShares® High Yield Low Duration 2017-2020 Bond Ladder Portfolio of ETFs, 007 CBHYGX 2/24/2017 $0.00000 $9.96290 $9.96290 12/9/2015 12/8/2017 BHYB007 40169Y181, 40169Y199, 40169Y207, 40169Y215
  California Municipal Portfolio of CEFs, 016 CECAPX 2/24/2017 $0.00000 $9.77290 $9.77290 7/8/2015 7/12/2017 DCCA016 40169P388, 40169P396, 40169P404, 40169P412
  California Municipal Portfolio of CEFs, 017 CECAQX 2/24/2017 $0.00000 $9.26990 $9.26990 12/9/2015 12/8/2017 DCCA017 40169Y306, 40169Y314, 40169Y322, 40169Y330
  California Municipal Portfolio of CEFs, 018 CECARX 2/24/2017 $0.00000 $8.72790 $8.56460 6/9/2016 6/8/2018 DCCA018 40171J644, 40171J651, 40171J669, 40171J677
  California Municipal Portfolio of CEFs, 019 CECASX 2/24/2017 $0.00000 $8.51440 $8.35110 9/8/2016 9/10/2018 DCCA019 40171L706, 40171L714, 40171L722, 40171L730
  Cash Flow Kings Portfolio, 001 CCFKAX 2/24/2017 $0.00000 $10.90320 $10.90320 6/8/2016 9/8/2017 CFK001 40171J404, 40171J412, 40171J420, 40171J438
  Cash Flow Kings Portfolio, 002 CCFKBX 2/24/2017 $0.00000 $10.51520 $10.41850 9/8/2016 12/7/2017 CFK002 40171L227, 40171L235, 40171L243, 40171L250
  Chapin Davis Select 25 (AVAILABLE THROUGH CHAPIN DAVIS ADVISORS ONLY), 001 CCDSAX 2/24/2017 $0.00000 $10.87810 $10.87810 7/7/2016 10/6/2017 CDSE001 40171H184, 40171H192, 40171H200, 40171H218
  Claymore/Guggenheim Long-Term National Municipal Trust, 001 CGLTAX 2/24/2017 $0.00000 $663.92000 $663.92000 4/8/2009 11/15/2046 GLTM001 18384L663, 18384L671
  Content is King , 003 CKINCX 2/24/2017 $0.00000 $10.84480 $10.84480 8/11/2015 8/24/2017 KING003 40169K462, 40169K470, 40169K488, 40169K496
  Convertible & Income Portfolio of Funds, 021 CECIUX 2/24/2017 $0.00000 $8.32870 $8.32870 4/8/2015 4/12/2017 DCEC021 40169K702, 40169K710, 40169K728, 40169K736
  Convertible & Income Portfolio of Funds, 022 CECIVX 2/24/2017 $0.00000 $10.15450 $10.15450 10/14/2015 10/11/2017 DCEC022 40169X142, 40169X159, 40169X167, 40169X175
  Convertible & Income Portfolio of Funds, 023 CECIWX 2/24/2017 $0.00000 $10.85620 $10.85620 4/13/2016 4/13/2018 DCEC023 40170X743, 40170X750, 40170X768, 40170X776
  Corporate High Yield & Income Portfolio of CEFs, 028 CEIPZX 2/24/2017 $0.00000 $10.07720 $10.07720 8/12/2015 8/9/2017 DCEI028 40169N409, 40169N417, 40169N425, 40169N433
  Corporate High Yield & Income Portfolio of CEFs, 029 CEIPAX 2/24/2017 $0.00000 $11.86050 $11.86050 2/10/2016 2/12/2018 DCEI029 40170E182, 40170E190, 40170E208, 40170E216
  Corporate High Yield & Income Portfolio of CEFs, 030 CEIPBX 2/24/2017 $0.00000 $10.28060 $10.03560 8/10/2016 8/10/2018 DCEI030 40171H325, 40171H333, 40171H341, 40171H358
  Covered Call & Income Portfolio of CEFs, 035 CCCIGX 2/24/2017 $0.00000 $9.01400 $9.01400 6/10/2015 6/14/2017 COV035 40169M724, 40169M732, 40169M740, 40169M757
  Covered Call & Income Portfolio of CEFs, 036 CCCIHX 2/24/2017 $0.00000 $9.74410 $9.74410 12/9/2015 12/8/2017 COV036 40169Y264, 40169Y272, 40169Y280, 40169Y298
  Covered Call & Income Portfolio of CEFs, 037 CCCIIX 2/24/2017 $0.00000 $10.26330 $10.10000 6/8/2016 6/8/2018 COV037 40171J602, 40171J610, 40171J628, 40171J636
  Defined GNMA Portfolio, 014 CGNMBX 2/24/2017 $0.00000 $0.90740 $0.90740 6/28/2002 6/18/2032 DGNMA014 183845452
  Defined GNMA Portfolio, 015 CGNMCX 2/24/2017 $0.00000 $1.69770 $1.69770 9/3/2003 9/2/2033 DGNMA015 18384P193
  Defined GNMA Portfolio, 016 CGNMDX 2/24/2017 $0.00000 $0.24483 $0.24483 3/8/2005 3/8/2035 DGNMA016 183840222
  Defined GNMA Portfolio, 017 CGNMEX 2/24/2017 $0.00000 $0.26966 $0.26966 12/8/2005 12/31/2035 DGNMA017 183842236
  Discount Opportunity Strategy Portfolio of CEFs, 008 CGDOHX 2/24/2017 $0.00000 $9.16240 $9.16240 6/17/2015 6/21/2017 GDOS008 40169P149, 40169P156, 40169P164, 40169P172
  Discount Opportunity Strategy Portfolio of CEFs, 009 CGDOIX 2/24/2017 $0.00000 $10.33820 $10.33820 12/16/2015 12/15/2017 GDOS009 40169Y462, 40169Y470, 40169Y488, 40169Y496
  Discount Opportunity Strategy Portfolio of CEFs, 010 CGDOJX 2/24/2017 $0.00000 $10.59280 $10.42950 6/15/2016 6/15/2018 GDOS010 40171K104, 40171K112, 40171K120, 40171K138
  Diversified Credit Portfolio of ETFs, 007 CDCPGX 2/24/2017 $0.00000 $9.66520 $9.66520 8/19/2015 8/16/2017 DCP007 40169N649, 40169N656, 40169N664, 40169N672
  Diversified Credit Portfolio of ETFs, 008 CDCPHX 2/24/2017 $0.00000 $10.15110 $10.15110 2/17/2016 2/20/2018 DCP008 40170E349, 40170E356, 40170E364, 40170E372
  Diversified Credit Portfolio of ETFs, 009 CDCPIX 2/24/2017 $0.00000 $9.69450 $9.44950 8/17/2016 8/17/2018 DCP009 40171H606, 40171H614, 40171H622, 40171H630
  Diversified Dividend & Income Portfolio, 021 CDDIUX 2/24/2017 $0.00000 $10.38900 $10.38900 3/25/2015 3/22/2017 DDI021 40169K348, 40169K355, 40169K363, 40169K371
  Diversified Dividend & Income Portfolio, 022 CDDIVX 2/24/2017 $0.00000 $11.81350 $11.81350 9/23/2015 9/27/2017 DDI022 40170A644, 40170A651, 40170A669, 40170A677
  Diversified Dividend & Income Portfolio, 023 CDDIWX 2/24/2017 $0.00000 $10.72390 $10.72390 3/23/2016 3/23/2018 DDI023 40170X388, 40170X396, 40170X404, 40170X412
  Diversified Income Wave Portfolio, 058 CFWASX 2/24/2017 $0.00000 $10.07570 $10.07570 12/7/2015 3/7/2017 FWAV058 40169Y140, 40169Y157, 40169Y165, 40169Y173
  Diversified Income Wave Portfolio, 059 CWAVOX 2/24/2017 $0.00000 $8.78740 $8.78740 6/30/2015 11/8/2017 WAVE059 40169P222, 40169P230, 40169P248, 40169P255
  Diversified Income Wave Portfolio, 060 CFWATX 2/24/2017 $0.00000 $11.12420 $11.12420 3/7/2016 6/7/2017 FWAV060 40170X107, 40170X115, 40170X123, 40170X131
  Diversified Income Wave Portfolio, 061 CFWAUX 2/24/2017 $0.00000 $10.29110 $10.29110 6/7/2016 9/8/2017 FWAV061 40171J529, 40171J537, 40171J545, 40171J552
  Diversified Income Wave Portfolio, 062 CFWAVX 2/24/2017 $0.00000 $9.96610 $9.86940 9/8/2016 12/7/2017 FWAV062 40171L185, 40171L193, 40171L201, 40171L219
  Dividend Growth Portfolio, 001 CDGPAX 2/24/2017 $0.00000 $13.84840 $13.84840 4/24/2012 5/24/2017 DGP001 40166D586, 40166D594, 40166D602, 40166D610
  Dividend Growth Portfolio, 002 CDGPBX 2/24/2017 $0.00000 $15.73210 $15.73210 11/8/2012 11/22/2017 DGP002 40166F805, 40166F813, 40166F821, 40166F839
  Dividend Growth Portfolio, 003 CDGPCX 2/24/2017 $0.00000 $11.30140 $11.30140 5/22/2013 5/23/2018 DGP003 40168C461, 40168C479, 40168C487, 40168C495
  Dividend Growth Portfolio, 004 CDGPDX 2/24/2017 $0.00000 $11.12120 $11.12120 11/27/2013 11/28/2018 DGP004 40168J540, 40168J557, 40168J565, 40168J573
  Dividend Growth Portfolio, 005 CDGPEX 2/24/2017 $0.00000 $11.68710 $11.68710 5/28/2014 5/22/2019 DGP005 40167W849, 40167W856, 40167W864, 40167W872
  Dividend Growth Portfolio, 006 CDGPFX 2/24/2017 $0.00000 $10.65370 $10.65370 11/26/2014 11/27/2019 DGP006 40169E102, 40169E110, 40169E128, 40169E136
  Dividend Growth Portfolio, 007 CDGPGX 2/24/2017 $0.00000 $10.58230 $10.58230 5/27/2015 5/27/2020 DGP007 40169M344, 40169M351, 40169M369, 40169M377
  Dividend Growth Portfolio, 008 CDGPHX 2/24/2017 $0.00000 $11.30830 $11.30830 11/25/2015 11/25/2020 DGP008 40170B667, 40170B675, 40170B683, 40170B691
  Dividend Growth Portfolio, 009 CDGPIX 2/24/2017 $0.00000 $11.06970 $10.88810 5/25/2016 5/25/2021 DGP009 40171J263, 40171J271, 40171J289, 40171J297
  Dividend Strength Portfolio, 017 CGROQX 2/24/2017 $0.00000 $10.72630 $10.72630 5/27/2015 5/24/2017 GROW017 40169M385, 40169M393, 40169M401, 40169M419
  Dividend Strength Portfolio, 018 CGRORX 2/24/2017 $0.00000 $11.81230 $11.81230 8/26/2015 8/23/2017 GROW018 40170A180, 40170A198, 40170A206, 40170A214
  Dividend Strength Portfolio, 019 CGROSX 2/24/2017 $0.00000 $11.25380 $11.25380 11/25/2015 11/22/2017 GROW019 40170B741, 40170B758, 40170B766, 40170B774
  Dividend Strength Portfolio, 020 CGROTX 2/24/2017 $0.00000 $10.87160 $10.87160 2/24/2016 2/26/2018 GROW020 40170E620, 40170E638, 40170E646, 40170E653
  Dividend Strength Portfolio, 021 CGROUX 2/24/2017 $0.00000 $10.46690 $10.46690 5/25/2016 5/25/2018 GROW021 40171J305, 40171J313, 40171J321, 40171J339
  Dividend Strength Portfolio, 022 CGROVX 2/24/2017 $0.00000 $10.19620 $10.11460 8/24/2016 8/24/2018 GROW022 40171H721, 40171H739, 40171H747, 40171H754
  Dividend Strength Portfolio, 023 CGROWX 2/24/2017 $0.00000 $10.41010 $10.16510 11/23/2016 11/26/2018 GROW023 40171N660, 40171N678, 40171N686, 40171N694
  Dow 10 Portfolio, 024 CDOWYX 2/24/2017 $0.00000 $11.74410 $11.74410 1/4/2016 4/3/2017 DDP024 40169Y710, 40169Y728, 40169Y736, 40169Y744
  Dow 10 Portfolio, 025 CDOWZX 2/24/2017 $0.00000 $11.34450 $11.34450 4/1/2016 7/3/2017 DDP025 40170X545, 40170X552, 40170X560, 40170X578
  Dow 10 Portfolio, 026 CDOWAX 2/24/2017 $0.00000 $10.77510 $10.77510 7/1/2016 10/2/2017 DDP026 40171K302, 40171K310, 40171K328, 40171K336
  Dow 10 Portfolio, 027 CDOWBX 2/24/2017 $0.00000 $10.48100 $10.33600 10/3/2016 1/3/2018 DDP027 40171L748, 40171L755, 40171L763, 40171L771
  Dow Jones Value Dividend Focus Portfolio, 023 CRBDWX 2/24/2017 $0.00000 $11.39300 $11.39300 12/15/2015 3/15/2017 RBPD023 40169Y348, 40169Y355, 40169Y363, 40169Y371
  Dow Jones Value Dividend Focus Portfolio, 024 CRBDYX 2/24/2017 $0.00000 $11.73790 $11.73790 3/15/2016 6/15/2017 RBPD024 40170X305, 40170X313, 40170X321, 40170X339
  Dow Jones Value Dividend Focus Portfolio, 025 CRBDZX 2/24/2017 $0.00000 $11.12650 $11.12650 6/15/2016 9/18/2017 RBPD025 40171J800, 40171J818, 40171J826, 40171J834
  Dow Jones Value Dividend Focus Portfolio, 026 CRBDAX 2/24/2017 $0.00000 $11.10210 $11.00540 9/16/2016 12/15/2017 RBPD026 40171L425, 40171L433, 40171L441, 40171L458
  Emerging Markets Dividend Strategy Portfolio, 017 CGEMQX 2/24/2017 $0.00000 $11.95770 $11.95770 2/23/2016 5/23/2017 GEMD017 40170E505, 40170E513, 40170E521, 40170E539
  Emerging Markets Dividend Strategy Portfolio, 018 CGEMRX 2/24/2017 $0.00000 $11.28770 $11.28770 5/23/2016 8/22/2017 GEMD018 40171J180, 40171J198, 40171J206, 40171J214
  Emerging Markets Dividend Strategy Portfolio, 019 CGEMSX 2/24/2017 $0.00000 $10.08570 $10.03730 8/22/2016 11/22/2017 GEMD019 40171H648, 40171H655, 40171H663, 40171H671
  Emerging Markets Dividend Strategy Portfolio, 020 CGEMTX 2/24/2017 $0.00000 $10.49650 $10.35150 11/22/2016 2/23/2018 GEMD020 40171N546, 40171N553, 40171N561, 40171N579
  Energy Portfolio, 019 CENPSX 2/24/2017 $0.00000 $8.34660 $8.34660 7/15/2015 8/23/2017 DES019 40169N367, 40169N375, 40169N383, 40169N391
  Energy Portfolio, 020 CENPTX 2/24/2017 $0.00000 $13.64970 $13.64970 1/15/2016 1/12/2018 DES020 40170C624, 40170C632, 40170C640, 40170C657
  Energy Portfolio, 021 CENPUX 2/24/2017 $0.00000 $10.28570 $10.04070 7/15/2016 7/13/2018 DES021 40171K542, 40171K559, 40171K567, 40171K575
  Enhanced Quality 16 Strategy Portfolio, 002 CEQSBX 2/24/2017 $0.00000 $12.18490 $12.18490 1/6/2016 4/6/2017 EQST002 40170C103, 40170C111, 40170C129, 40170C137
  Enhanced Quality 16 Strategy Portfolio, 003 CEQSCX 2/24/2017 $0.00000 $11.09250 $11.09250 4/6/2016 7/7/2017 EQST003 40170X669, 40170X677, 40170X685, 40170X693
  Enhanced Quality 16 Strategy Portfolio, 004 CEQSDX 2/24/2017 $0.00000 $11.08260 $11.08260 7/7/2016 10/5/2017 EQST004 40171K427, 40171K435, 40171K443, 40171K450
  Enhanced Quality 16 Strategy Portfolio, 005 CEQSEX 2/24/2017 $0.00000 $10.66300 $10.51800 10/6/2016 1/8/2018 EQST005 40171M100, 40171M118, 40171M126, 40171M134
  Equity & Income Portfolio of CEFs, 038 CCEEMX 2/24/2017 $0.00000 $9.36670 $9.36670 6/10/2015 6/14/2017 CEEI038 40169M765, 40169M773, 40169M781, 40169M799
  Equity & Income Portfolio of CEFs, 039 CCEENX 2/24/2017 $0.00000 $9.61760 $9.61760 12/9/2015 12/8/2017 CEEI039 40169Y223, 40169Y231, 40169Y249, 40169Y256
  Equity & Income Portfolio of CEFs, 040 CCEEOX 2/24/2017 $0.00000 $10.10280 $9.93950 6/8/2016 6/8/2018 CEEI040 40171J560, 40171J578, 40171J586, 40171J594
  Equity Best Ideas 2016-1 (AVAILABLE THROUGH BAIRD ADVISORS ONLY), 001 CBBEAX 2/24/2017 $0.00000 $10.74200 $10.74200 4/18/2016 10/19/2017 BBEI001 40170Q425, 40170Q433, 40170Q441, 40170Q458
  European Capital Strength & Hedged Currency Portfolio, 004 CECSDX 2/24/2017 $0.00000 $8.99970 $8.99970 1/25/2016 4/25/2017 ECSH004 40170C301, 40170C319, 40170C327, 40170C335
  European Capital Strength Portfolio, 007 CECPGX 2/24/2017 $0.00000 $8.98680 $8.98680 5/20/2015 5/17/2017 ECAP007 40169M146, 40169M153, 40169M161, 40169M179
  European Capital Strength Portfolio, 008 CECPHX 2/24/2017 $0.00000 $9.73690 $9.73690 11/18/2015 11/17/2017 ECAP008 40170B501, 40170B519, 40170B527, 40170B535
  European Capital Strength Portfolio, 009 CECPIX 2/24/2017 $0.00000 $10.08620 $10.08620 2/17/2016 2/20/2018 ECAP009 40170E422, 40170E430, 40170E448, 40170E455
  European Capital Strength Portfolio, 010 CECPJX 2/24/2017 $0.00000 $9.61950 $9.61950 5/17/2016 5/17/2018 ECAP010 40171J107, 40171J115, 40171J123, 40171J131
  European Capital Strength Portfolio, 011 CECPKX 2/24/2017 $0.00000 $9.35380 $9.27220 8/17/2016 8/17/2018 ECAP011 40171H564, 40171H572, 40171H580, 40171H598
  European Capital Strength Portfolio, 012 CECPLX 2/24/2017 $0.00000 $10.59300 $10.34800 11/16/2016 11/16/2018 ECAP012 40171N504, 40171N512, 40171N520, 40171N538
  European High Dividend Portfolio, 004 CEUHDX 2/24/2017 $0.00000 $8.84640 $8.84640 6/17/2015 6/21/2017 EUHD004 40169P107, 40169P115, 40169P123, 40169P131
  European High Dividend Portfolio, 005 CEUHEX 2/24/2017 $0.00000 $9.39660 $9.39660 12/16/2015 12/15/2017 EUHD005 40169Y421, 40169Y439, 40169Y447, 40169Y454
  European High Dividend Portfolio, 006 CEUHFX 2/24/2017 $0.00000 $10.34230 $10.17900 6/15/2016 6/15/2018 EUHD006 40171J842, 40171J859, 40171J867, 40171J875
  European Small-Cap Capital Strength Portfolio, 003 CEUSCX 2/24/2017 $0.00000 $9.38630 $9.38630 3/25/2015 3/22/2017 EUSC003 40169K389, 40169K397, 40169K405, 40169K413
  European Small-Cap Capital Strength Portfolio, 004 CEUSDX 2/24/2017 $0.00000 $9.72780 $9.72780 9/23/2015 9/27/2017 EUSC004 40170A685, 40170A693, 40170A701, 40170A719
  European Small-Cap Capital Strength Portfolio, 005 CEUSEX 2/24/2017 $0.00000 $9.49050 $9.49050 3/23/2016 3/23/2018 EUSC005 40170X420, 40170X438, 40170X446, 40170X453
  Financials Portfolio, 004 CFINDX 2/24/2017 $0.00000 $11.71720 $11.71720 4/16/2015 4/20/2017 FIN004 40169L346, 40169L353, 40169L361, 40169L379
  Financials Portfolio, 005 CFINEX 2/24/2017 $0.00000 $12.53210 $12.53210 10/15/2015 10/19/2017 FIN005 40169X225, 40169X233, 40169X241, 40169X258
  Financials Portfolio, 006 CFINFX 2/24/2017 $0.00000 $12.66230 $12.66230 4/15/2016 4/13/2018 FIN006 40170X784, 40170X792, 40170X800, 40170X818
  Flaherty & Crumrine Preferred Portfolio, 035 CPREJX 2/24/2017 $0.00000 $9.22480 $9.22480 2/11/2015 5/10/2017 PREF035 40169H261, 40169H279, 40169H287, 40169H295
  Flaherty & Crumrine Preferred Portfolio, 036 CPREKX 2/24/2017 $0.00000 $9.47290 $9.47290 5/21/2015 5/10/2017 PREF036 40169L726, 40169L734, 40169L742, 40169L759
  Flaherty & Crumrine Preferred Portfolio, 037 CPRELX 2/24/2017 $0.00000 $9.42780 $9.42780 11/10/2015 11/8/2017 PREF037 40170B261, 40170B279, 40170B287, 40170B295
  Flaherty & Crumrine Preferred Portfolio, 038 CPREMX 2/24/2017 $0.00000 $9.46220 $9.46220 1/27/2016 1/26/2018 PREF038 40170E745, 40170E752, 40170E760, 40170E778
  Flaherty & Crumrine Preferred Portfolio, 039 CPRENX 2/24/2017 $0.00000 $9.42510 $9.34350 5/18/2016 5/18/2018 PREF039 40171K260, 40171K278, 40171K286, 40171K294
  Flaherty & Crumrine Preferred Portfolio, 040 CPREOX 2/24/2017 $0.00000 $9.17270 $8.92770 8/31/2016 8/31/2018 PREF040 40171L664, 40171L672, 40171L680, 40171L698
  Floating Rate & Dividend Growth Portfolio, 008 CFRDHX 2/24/2017 $0.00000 $10.02200 $10.02200 5/20/2015 5/24/2017 FRDG008 40169M229, 40169M237, 40169M245, 40169M252
  Floating Rate & Dividend Growth Portfolio, 009 CFRDIX 2/24/2017 $0.00000 $10.96370 $10.96370 8/26/2015 8/23/2017 FRDG009 40170A149, 40170A156, 40170A164, 40170A172
  Floating Rate & Dividend Growth Portfolio, 010 CFRDJX 2/24/2017 $0.00000 $10.81910 $10.81910 11/25/2015 11/22/2017 FRDG010 40170B709, 40170B717, 40170B725, 40170B733
  Floating Rate & Dividend Growth Portfolio, 011 CFRDKX 2/24/2017 $0.00000 $10.88770 $10.88770 2/24/2016 2/26/2018 FRDG011 40170E588, 40170E596, 40170E604, 40170E612
  Floating Rate & Dividend Growth Portfolio, 012 CFRDLX 2/24/2017 $0.00000 $10.16570 $10.16570 6/30/2016 6/29/2018 FRDG012 40171K187, 40171K195, 40171K203, 40171K211
  Global 100 Dividend Strategy Portfolio, 005 CGONEX 2/24/2017 $0.00000 $12.62250 $12.62250 12/15/2015 3/15/2017 GONE005 40169Y389, 40169Y397, 40169Y405, 40169Y413
  Global 100 Dividend Strategy Portfolio, 006 CGONFX 2/24/2017 $0.00000 $11.08350 $11.08350 3/15/2016 6/15/2017 GONE006 40170X263, 40170X271, 40170X289, 40170X297
  Global 100 Dividend Strategy Portfolio, 007 CGONGX 2/24/2017 $0.00000 $10.47860 $10.47860 6/15/2016 9/18/2017 GONE007 40171J768, 40171J776, 40171J784, 40171J792
  Global 100 Dividend Strategy Portfolio, 008 CGONHX 2/24/2017 $0.00000 $10.57920 $10.48250 9/16/2016 12/15/2017 GONE008 40171L383, 40171L391, 40171L409, 40171L417
  Global Balanced Income Builder Portfolio, 006 CGBLFX 2/24/2017 $0.00000 $9.82470 $9.82470 7/22/2015 7/26/2017 GBAL006 40169P784, 40169P792, 40169P800, 40169P818
  Global Balanced Income Builder Portfolio, 007 CGBLGX 2/24/2017 $0.00000 $11.22710 $11.22710 1/27/2016 1/26/2018 GBAL007 40170C467, 40170C475, 40170C483, 40170C491
  Global Balanced Income Builder Portfolio, 008 CGBLHX 2/24/2017 $0.00000 $10.00490 $9.75990 7/27/2016 7/27/2018 GBAL008 40171K740, 40171K757, 40171K765, 40171K773
  Global Growth Portfolio, 003 CGGPCX 2/24/2017 $0.00000 $9.66730 $9.66730 6/24/2015 10/26/2017 GGP003 40169N185, 40169N193, 40169N201, 40169N219
  Global Growth Portfolio, 004 CGGPDX 2/24/2017 $0.00000 $10.31270 $10.31270 10/22/2015 10/26/2017 GGP004 40169X589, 40169X597, 40169X605, 40169X613
  Global Growth Portfolio, 005 CGGPEX 2/24/2017 $0.00000 $10.02440 $10.02440 4/22/2016 4/20/2018 GGP005 40170Q300, 40170Q318, 40170Q326, 40170Q334
  Global Water Equities Portfolio, 028 CGWECX 2/24/2017 $0.00000 $10.25150 $10.25150 5/20/2015 5/17/2017 AQUA028 40169L841, 40169L858, 40169L866, 40169L874
  Global Water Equities Portfolio, 029 CGWEDX 2/24/2017 $0.00000 $10.52930 $10.52930 11/18/2015 11/17/2017 AQUA029 40170B428, 40170B436, 40170B444, 40170B451
  Global Water Equities Portfolio, 030 CGWEEX 2/24/2017 $0.00000 $10.56900 $10.48740 5/18/2016 5/18/2018 AQUA030 40171J149, 40171J156, 40171J164, 40171J172
  GNMA Portfolio, 018 CGNMQX 2/24/2017 $0.00000 $7.20450 $7.20450 7/21/2011 10/15/2040 DGNMA018 40167J467, 40167J475
  GNMA Portfolio, 019 CGNMRX 2/24/2017 $0.00000 $7.08610 $7.08610 11/20/2012 11/15/2042 DGNMA019 40166G183, 40166G191
  Health Care Portfolio, 019 CHCRSX 2/24/2017 $0.00000 $8.81630 $8.81630 7/22/2015 7/26/2017 DHS019 40169P701, 40169P719, 40169P727, 40169P735
  Health Care Portfolio, 020 CHCRTX 2/24/2017 $0.00000 $10.44940 $10.44940 1/27/2016 1/12/2018 DHS020 40170C582, 40170C590, 40170C608, 40170C616
  Health Care Portfolio, 021 CHCRUX 2/24/2017 $0.00000 $9.61910 $9.37410 7/27/2016 7/27/2018 DHS021 40171K823, 40171K831, 40171K849, 40171K856
  Income & Treasury Limited Duration Portfolio of Funds, 043 CICECX 2/24/2017 $0.00000 $9.56220 $9.56220 5/27/2015 6/14/2017 ICE043 40169M427, 40169M435, 40169M443, 40169M450
  Income & Treasury Limited Duration Portfolio of Funds, 046 CFICSX 2/24/2017 $0.00000 $10.69830 $10.69830 12/7/2015 3/7/2017 FICE046 40169Y108, 40169Y116, 40169Y124, 40169Y132
  Income & Treasury Limited Duration Portfolio of Funds, 047 CFICTX 2/24/2017 $0.00000 $10.79100 $10.79100 3/7/2016 6/7/2017 FICE047 40170E828, 40170E836, 40170E844, 40170E851
  Income & Treasury Limited Duration Portfolio of Funds, 048 CFICUX 2/24/2017 $0.00000 $10.08900 $10.08900 6/7/2016 9/8/2017 FICE048 40171J487, 40171J495, 40171J503, 40171J511
  Income & Treasury Limited Duration Portfolio of Funds, 049 CFICVX 2/24/2017 $0.00000 $9.88790 $9.79120 9/8/2016 12/7/2017 FICE049 40171L144, 40171L151, 40171L169, 40171L177
  Infrastructure & MLP Portfolio of CEFs, 022 CCEIVX 2/24/2017 $0.00000 $6.90020 $6.90020 5/13/2015 5/10/2017 CEIF022 40169L569, 40169L577, 40169L585, 40169L593
  Infrastructure & MLP Portfolio of CEFs, 023 CCEIWX 2/24/2017 $0.00000 $8.67810 $8.67810 8/12/2015 8/9/2017 CEIF023 40169N441, 40169N458, 40169N466, 40169N474
  Infrastructure & MLP Portfolio of CEFs, 024 CCEIYX 2/24/2017 $0.00000 $10.05860 $10.05860 11/10/2015 11/8/2017 CEIF024 40170B220, 40170B238, 40170B246, 40170B253
  Infrastructure & MLP Portfolio of CEFs, 025 CCEIZX 2/24/2017 $0.00000 $15.81720 $15.81720 2/10/2016 2/12/2018 CEIF025 40170E141, 40170E158, 40170E166, 40170E174
  Infrastructure & MLP Portfolio of CEFs, 026 CCEIAX 2/24/2017 $0.00000 $11.31070 $11.31070 5/11/2016 5/11/2018 CEIF026 40170Q664, 40170Q672, 40170Q680, 40170Q698
  Infrastructure & MLP Portfolio of CEFs, 027 CCEIBX 2/24/2017 $0.00000 $10.39700 $10.31540 8/10/2016 8/10/2018 CEIF027 40171H283, 40171H291, 40171H309, 40171H317
  Infrastructure & MLP Portfolio of CEFs, 028 CCEICX 2/24/2017 $0.00000 $11.03930 $10.79430 11/9/2016 11/9/2018 CEIF028 40171N223, 40171N231, 40171N249, 40171N256
  Insured National Municipal Portfolio, 83 NA 2/24/2017 $0.00000 $68.42000 $68.42000 8/12/1992 12/31/2042 A83 488914342, 488914359, 488914367
  Intermediate Investment-Grade Corporate Trust, 001 CGIIAX 2/24/2017 $0.00000 $538.37000 $538.37000 4/8/2009 9/30/2020 GIIC001 18384L689, 18384L697
  Intermediate Investment-Grade Corporate Trust, 002 CGIIBX 2/24/2017 $0.00000 $642.93000 $642.93000 4/24/2009 8/6/2019 GIIC002 18387C462, 18387C488
  Intermediate Investment-Grade Corporate Trust, 003 CGIICX 2/24/2017 $0.00000 $680.54000 $680.54000 5/7/2009 8/6/2019 GIIC003 18387C546, 18387C553
  Intermediate Investment-Grade Corporate Trust, 004 CGIIDX 2/24/2017 $0.00000 $696.93000 $696.93000 5/27/2009 5/15/2019 GIIC004 18387C728, 18387C736
  Intermediate Investment-Grade Corporate Trust, 005 CGIIEX 2/24/2017 $0.00000 $715.07000 $715.07000 6/23/2009 7/1/2019 GIIC005 18387D460, 18387D478
  Intermediate Investment-Grade Corporate Trust, 006 CGIIFX 2/24/2017 $0.00000 $738.28000 $738.28000 7/30/2009 1/15/2020 GIIC006 18387F192, 18387F218
  Intermediate Investment-Grade Corporate Trust, 007 CGIIGX 2/24/2017 $0.00000 $683.97000 $683.97000 8/11/2009 1/15/2020 GIIC007 18387F309, 18387F317
  Intermediate Investment-Grade Corporate Trust, 008 CGIIHX 2/24/2017 $0.00000 $722.92000 $722.92000 8/24/2009 9/15/2019 GIIC008 18387F606, 18387F614
  Intermediate Investment-Grade Corporate Trust, 009 CGIIIX 2/24/2017 $0.00000 $726.34000 $726.34000 9/1/2009 9/15/2019 GIIC009 18387F705, 18387F713
  Intermediate Investment-Grade Corporate Trust, 010 CGIIJX 2/24/2017 $0.00000 $805.31000 $805.31000 9/15/2009 9/1/2021 GIIC010 18387G422, 18387G430
  Intermediate Investment-Grade Corporate Trust, 011 CGIIKX 2/24/2017 $0.00000 $785.15000 $785.15000 9/24/2009 9/15/2019 GIIC011 18387G448, 18387G455
  Intermediate Investment-Grade Corporate Trust, 012 CGIILX 2/24/2017 $0.00000 $745.05000 $745.05000 10/9/2009 3/1/2021 GIIC012 18387G463, 18387G471
  Intermediate Investment-Grade Corporate Trust, 013 CGIIMX 2/24/2017 $0.00000 $791.74000 $791.74000 11/4/2009 3/1/2021 GIIC013 18387G562, 18387G570
  Intermediate Investment-Grade Corporate Trust, 014 CGIINX 2/24/2017 $0.00000 $738.28000 $738.28000 11/19/2009 3/1/2021 GIIC014 18387G588, 18387G596
  Intermediate Investment-Grade Corporate Trust, 015 CGIIOX 2/24/2017 $0.00000 $693.50000 $693.50000 12/7/2009 3/1/2021 GIIC015 18387J269, 18387J277
  Intermediate Investment-Grade Corporate Trust, 016 CGIIPX 2/24/2017 $0.00000 $842.24000 $842.24000 1/5/2010 2/15/2020 GIIC016 18387J285, 18387J293
  Intermediate Investment-Grade Corporate Trust, 017 CGIIQX 2/24/2017 $0.00000 $827.92000 $827.92000 1/28/2010 3/1/2021 GIIC017 18387J343, 18387J350
  Intermediate Investment-Grade Corporate Trust, 018 CGIIRX 2/24/2017 $0.00000 $814.87000 $814.87000 3/5/2010 2/1/2020 GIIC018 18387J368, 18387J376
  Intermediate Investment-Grade Corporate Trust, 019 CGIISX 2/24/2017 $0.00000 $786.16000 $786.16000 3/31/2010 3/1/2021 GIIC019 18387K381, 18387K399
  Intermediate Investment-Grade Corporate Trust, 020 CGIITX 2/24/2017 $0.00000 $743.16000 $743.16000 5/19/2010 3/1/2021 GIIC020 18387K407, 18387K415
  Intermediate Investment-Grade Corporate Trust, 021 CGIIUX 2/24/2017 $0.00000 $790.07000 $790.07000 6/3/2010 3/1/2021 GIIC021 18387K423, 18387K431
  Intermediate Investment-Grade Corporate Trust, 022 CGIIVX 2/24/2017 $0.00000 $806.63000 $806.63000 6/30/2010 4/15/2021 GIIC022 18387K449, 18387K456
  Intermediate Investment-Grade Corporate Trust, 023 CGIIWX 2/24/2017 $0.00000 $869.00000 $869.00000 7/16/2010 4/15/2021 GIIC023 18387Q305, 18387Q313
  Intermediate Investment-Grade Corporate Trust, 024 CGIIYX 2/24/2017 $0.00000 $876.29000 $876.29000 8/10/2010 4/15/2021 GIIC024 18387Q420, 18387Q438
  Intermediate Investment-Grade Corporate Trust, 025 CGIIZX 2/24/2017 $0.00000 $885.41000 $885.41000 9/8/2010 4/15/2021 GIIC025 18387R204, 18387R212
  Intermediate Investment-Grade Corporate Trust, 026 CGIAAX 2/24/2017 $0.00000 $824.75000 $824.75000 10/19/2010 4/15/2021 GIIC026 40167C504, 40167C512
  Intermediate Investment-Grade Corporate Trust, 027 CGIABX 2/24/2017 $0.00000 $839.84000 $839.84000 12/17/2010 3/1/2021 GIIC027 40167R261, 40167R279
  Intermediate Investment-Grade Corporate Trust, 028 CGIACX 2/24/2017 $0.00000 $873.01000 $873.01000 3/10/2011 9/30/2020 GIIC028 40167D387, 40167D395
  Intermediate Investment-Grade Corporate Trust, 029 CGIADX 2/24/2017 $0.00000 $916.71000 $916.71000 6/9/2011 5/15/2021 GIIC029 40167E740, 40167E757
  International Dividend Strategy Portfolio, 030 CMVPEX 2/24/2017 $0.00000 $12.50500 $12.50500 1/4/2016 4/3/2017 MVP030 40169Y751, 40169Y769, 40169Y777, 40169Y785
  International Dividend Strategy Portfolio, 031 CMVPFX 2/24/2017 $0.00000 $11.87070 $11.87070 4/1/2016 7/3/2017 MVP031 40170X586, 40170X594, 40170X602, 40170X610
  International Dividend Strategy Portfolio, 032 CMVPGX 2/24/2017 $0.00000 $10.52990 $10.52990 7/1/2016 10/2/2017 MVP032 40171K344, 40171K351, 40171K369, 40171K377
  International Dividend Strategy Portfolio, 033 CMVPHX 2/24/2017 $0.00000 $10.56860 $10.42360 10/3/2016 1/3/2018 MVP033 40171L789, 40171L797, 40171L805, 40171L813
  Investment Grade Corporate Bond Portfolio, 003 CIGCAX 2/24/2017 $0.00000 $774.91000 $774.91000 6/13/2002 6/1/2034 DIGIT003 183845429
  Investment Grade Corporate Bond Portfolio, 005 CIGCCX 2/24/2017 $0.00000 $688.93000 $688.93000 12/4/2002 8/15/2034 DIGIT005 183845817
  Investment Grade Corporate Trust 3-7 Year, 001 CGIGAX 2/24/2017 $0.00000 $1,056.62000 $1,056.62000 8/28/2015 4/1/2022 GIGS001 40170A768, 40170A784
  Investment Grade Corporate Trust 3-7 Year, 002 CGIGBX 2/24/2017 $1,027.79000 $1,007.75000 $1,007.75000 2/3/2016 1/20/2023 GIGS002 40170X503, 40170X511
  Investment Grade Corporate Trust 3-7 Year, 003 CGIGCX 2/24/2017 $1,024.41000 $1,004.43000 $1,004.43000 3/3/2016 1/20/2023 GIGS003 40170C764, 40170C772
  Investment Grade Corporate Trust 3-7 Year, 004 CGIGDX 2/24/2017 $1,028.59000 $1,008.52000 $1,008.52000 3/24/2016 1/20/2023 GIGS004 40170X867, 40170X875
  Investment Grade Corporate Trust 3-7 Year, 005 CGIGEX 2/24/2017 $1,081.17000 $1,060.08000 $1,060.08000 4/22/2016 1/20/2023 GIGS005 40171J347, 40171J354
  Investment Grade Corporate Trust 3-7 Year, 006 CGIGFX 2/24/2017 $1,078.44000 $1,057.41000 $1,057.41000 6/24/2016 1/20/2023 GIGS006 40171K229, 40171K237
  Investment Grade Corporate Trust 3-7 Year, 007 CGIGGX 2/24/2017 $1,066.77000 $1,045.97000 $1,045.97000 8/18/2016 3/1/2023 GIGS007 40171K245, 40171K252
  Large-Cap Core Portfolio, 024 CACEYX 2/24/2017 $0.00000 $11.12180 $11.12180 8/26/2015 8/23/2017 LCAP024 40170A222, 40170A230, 40170A248, 40170A255
  Large-Cap Core Portfolio, 025 CACEZX 2/24/2017 $0.00000 $10.73260 $10.73260 12/3/2015 12/1/2017 LCAP025 40169Y678, 40169Y686, 40169Y694, 40169Y702
  Large-Cap Core Portfolio, 026 CACEAX 2/24/2017 $0.00000 $10.93600 $10.93600 3/3/2016 3/2/2018 LCAP026 40170E786, 40170E794, 40170E802, 40170E810
  Large-Cap Core Portfolio, 027 CACEBX 2/24/2017 $0.00000 $10.45140 $10.45140 6/3/2016 6/1/2018 LCAP027 40171J446, 40171J453, 40171J461, 40171J479
  Large-Cap Core Portfolio, 028 CACECX 2/24/2017 $0.00000 $10.37920 $10.21590 9/2/2016 9/4/2018 LCAP028 40171L102, 40171L110, 40171L128, 40171L136
  Large-Cap Core Portfolio, 029 CACEDX 2/24/2017 $0.00000 $10.54150 $10.29650 12/2/2016 12/3/2018 LCAP029 40171N702, 40171N710, 40171N728, 40171N736
  Long-Term National Municipal Trust, 002 CGLTBX 2/24/2017 $0.00000 $714.67000 $714.67000 5/6/2011 8/15/2038 GLTM002 40167C520, 40167C538
  Long-Term National Municipal Trust, 003 CGLTCX 2/24/2017 $0.00000 $776.26000 $776.26000 6/16/2011 8/15/2043 GLTM003 40167H784, 40167H792
  Mergers & Acquisitions Portfolio, 004 CMEADX 2/24/2017 $0.00000 $10.40130 $10.40130 2/27/2015 5/24/2017 MEAC004 40169H709, 40169H717, 40169H725, 40169H733
  ML Top Picks for 2016 (AVAILABLE THROUGH MERRILL LYNCH ADVISORS ONLY), 004 CMPIDX 2/24/2017 $0.00000 $12.15470 $12.15470 2/22/2016 4/10/2017 MPIX004 40170E703, 40170E711, 40170E729, 40170E737
  MLP & Energy Funds Portfolio, 009 CMLPIX 2/24/2017 $0.00000 $6.90060 $6.90060 3/25/2015 3/22/2017 MLP009 40169K421, 40169K439, 40169K447, 40169K454
  MLP & Energy Funds Portfolio, 010 CMLPJX 2/24/2017 $0.00000 $7.15110 $7.15110 6/24/2015 6/28/2017 MLP010 40169P180, 40169P198, 40169P206, 40169P214
  MLP & Energy Funds Portfolio, 011 CMLPKX 2/24/2017 $0.00000 $9.13190 $9.13190 9/23/2015 9/27/2017 MLP011 40170A727, 40170A735, 40170A743, 40170A750
  MLP & Energy Funds Portfolio, 012 CMLPLX 2/24/2017 $0.00000 $10.92820 $10.92820 12/23/2015 12/22/2017 MLP012 40169Y504, 40169Y512, 40169Y520, 40169Y538
  MLP & Energy Funds Portfolio, 013 CMLPMX 2/24/2017 $0.00000 $13.05690 $13.05690 3/23/2016 3/23/2018 MLP013 40170X461, 40170X479, 40170X487, 40170X495
  MLP & Energy Funds Portfolio, 014 CMLPNX 2/24/2017 $0.00000 $10.69370 $10.69370 6/22/2016 6/22/2018 MLP014 40171K146, 40171K153, 40171K161, 40171K179
  MLP & Energy Funds Portfolio, 015 CMLPOX 2/24/2017 $0.00000 $10.21470 $10.05140 9/28/2016 9/28/2018 MLP015 40171L508, 40171L516, 40171L524, 40171L532
  Multi-Asset Global Dividend Strategy Portfolio, 004 CMGDDX 2/24/2017 $0.00000 $12.47090 $12.47090 1/25/2016 4/25/2017 MGD004 40170C343, 40170C350, 40170C368, 40170C376
  Multinational Titans Portfolio, 008 CMNTHX 2/24/2017 $0.00000 $10.42240 $10.42240 4/15/2015 4/19/2017 MNTP008 40169L148, 40169L155, 40169L163, 40169L171
  Multinational Titans Portfolio, 009 CMNTIX 2/24/2017 $0.00000 $11.38750 $11.38750 10/21/2015 10/18/2017 MNTP009 40169X423, 40169X431, 40169X449, 40169X456
  Multinational Titans Portfolio, 010 CMNTJX 2/24/2017 $0.00000 $11.15180 $11.15180 4/20/2016 4/20/2018 MNTP010 40170Q185, 40170Q193, 40170Q201, 40170Q219
  Multiple Asset Portfolio Plus, 053 CMPPAX 2/24/2017 $0.00000 $8.99080 $8.99080 4/8/2015 4/12/2017 MPP053 40169K744, 40169K751, 40169K769, 40169K777
  National Municipal Portfolio of CEFs, 028 CENMCX 2/24/2017 $0.00000 $9.72740 $9.72740 5/13/2015 5/10/2017 DCEN028 40169L601, 40169L619, 40169L627, 40169L635
  National Municipal Portfolio of CEFs, 029 CENMDX 2/24/2017 $0.00000 $9.76040 $9.76040 11/10/2015 11/10/2017 DCEN029 40170B105, 40170B113, 40170B121, 40170B139
  National Municipal Portfolio of CEFs, 030 CENMEX 2/24/2017 $0.00000 $8.70690 $8.62530 5/10/2016 5/10/2018 DCEN030 40170Q540, 40170Q557, 40170Q565, 40170Q573
  National Municipal Portfolio of CEFs, 031 CENMFX 2/24/2017 $0.00000 $8.69020 $8.44520 7/8/2016 11/8/2018 DCEN031 40171H804, 40171H812, 40171H820, 40171H838
  National Municipal Portfolio of CEFs, 032 CENMGX 2/24/2017 $0.00000 $9.63130 $9.38630 11/2/2016 11/2/2018 DCEN032 40171N108, 40171N116, 40171N124, 40171N132
  New Jersey Municipal Portfolio of CEFs, 016 CENJPX 2/24/2017 $0.00000 $10.00000 $10.00000 7/8/2015 7/12/2017 DCNJ016 40169P420, 40169P438, 40169P446, 40169P453
  New Jersey Municipal Portfolio of CEFs, 017 CENJQX 2/24/2017 $0.00000 $9.43440 $9.43440 1/13/2016 1/12/2018 DCNJ017 40170C186, 40170C194, 40170C202, 40170C210
  New Jersey Municipal Portfolio of CEFs, 018 CENJRX 2/24/2017 $0.00000 $8.70580 $8.46080 7/13/2016 7/13/2018 DCNJ018 40171K500, 40171K518, 40171K526, 40171K534
  New York Municipal Portfolio of CEFs, 023 CENYWX 2/24/2017 $0.00000 $9.51740 $9.51740 5/13/2015 5/10/2017 DCNY023 40169L684, 40169L692, 40169L700, 40169L718
  New York Municipal Portfolio of CEFs, 024 CENYYX 2/24/2017 $0.00000 $9.49790 $9.49790 11/10/2015 11/10/2017 DCNY024 40170B188, 40170B196, 40170B204, 40170B212
  New York Municipal Portfolio of CEFs, 025 CENYZX 2/24/2017 $0.00000 $8.48930 $8.40770 5/10/2016 5/10/2018 DCNY025 40170Q623, 40170Q631, 40170Q649, 40170Q656
  Precious Metals & Miners Portfolio, 008 CPMMHX 2/24/2017 $0.00000 $11.11600 $11.11600 4/15/2015 4/19/2017 PMMP008 40169L189, 40169L197, 40169L205, 40169L213
  Precious Metals & Miners Portfolio, 009 CPMMIX 2/24/2017 $0.00000 $14.06300 $14.06300 10/21/2015 10/18/2017 PMMP009 40169X464, 40169X472, 40169X480, 40169X498
  Precious Metals & Miners Portfolio, 010 CPMMJX 2/24/2017 $0.00000 $10.49840 $10.49840 4/20/2016 4/20/2018 PMMP010 40170Q227, 40170Q235, 40170Q243, 40170Q250
  Quality Dividend Strategy Portfolio, 015 CTPLOX 2/24/2017 $0.00000 $11.41690 $11.41690 1/4/2016 4/3/2017 TPLA015 40169Y793, 40169Y801, 40169Y819, 40169Y827
  Quality Dividend Strategy Portfolio, 016 CTPLPX 2/24/2017 $0.00000 $10.71680 $10.71680 4/1/2016 7/3/2017 TPLA016 40170X628, 40170X636, 40170X644, 40170X651
  Quality Dividend Strategy Portfolio, 017 CTPLQX 2/24/2017 $0.00000 $10.46550 $10.46550 7/1/2016 10/2/2017 TPLA017 40171K385, 40171K393, 40171K401, 40171K419
  Quality Dividend Strategy Portfolio, 018 CTPLRX 2/24/2017 $0.00000 $10.68180 $10.53680 10/3/2016 1/3/2018 TPLA018 40171L821, 40171L839, 40171L847, 40171L854
  Ranson Tax Exempt Nebraska, 003 NA 2/24/2017 $0.00000 $110.20000 $110.20000 7/21/1994 6/1/2022 NTX003 639701127
  REIT Portfolio, 012 CGRTLX 2/24/2017 $0.00000 $9.52680 $9.52680 4/15/2015 4/19/2017 GRET012 40169L106, 40169L114, 40169L122, 40169L130
  REIT Portfolio, 013 CGRTMX 2/24/2017 $0.00000 $9.77640 $9.77640 10/21/2015 10/18/2017 GRET013 40169X381, 40169X399, 40169X407, 40169X415
  REIT Portfolio, 014 CGRTNX 2/24/2017 $0.00000 $10.10180 $10.10180 4/20/2016 4/20/2018 GRET014 40170Q144, 40170Q151, 40170Q169, 40170Q177
  Rising Rate Defensive Equity Portfolio, 003 CRRECX 2/24/2017 $0.00000 $9.98840 $9.98840 4/23/2015 4/28/2017 RREP003 40169L429, 40169L437, 40169L445, 40169L452
  Rising Rate Defensive Equity Portfolio, 004 CRREDX 2/24/2017 $0.00000 $11.09600 $11.09600 10/22/2015 10/26/2017 RREP004 40169X621, 40169X639, 40169X647, 40169X654
  Rising Rate Defensive Equity Portfolio, 005 CRREEX 2/24/2017 $0.00000 $11.26470 $11.26470 4/22/2016 4/20/2018 RREP005 40170Q342, 40170Q359, 40170Q367, 40170Q375
  S&P Dividend Aristocrats Select 25 Strategy Portfolio, 002 CACTBX 2/24/2017 $0.00000 $11.41290 $11.41290 1/26/2016 4/25/2017 ACTS002 40170C541, 40170C558, 40170C566, 40170C574
  S&P Dividend Aristocrats Select 25 Strategy Portfolio, 003 CACTCX 2/24/2017 $0.00000 $10.10790 $10.10790 4/22/2016 7/25/2017 ACTS003 40170Q268, 40170Q276, 40170Q284, 40170Q292
  S&P Dividend Aristocrats Select 25 Strategy Portfolio, 004 CACTDX 2/24/2017 $0.00000 $9.64060 $9.64060 7/25/2016 10/23/2017 ACTS004 40171K666, 40171K674, 40171K682, 40171K690
  S&P Dividend Aristocrats Select 25 Strategy Portfolio, 005 CACTEX 2/24/2017 $0.00000 $10.64170 $10.49670 10/24/2016 1/26/2018 ACTS005 40171M662, 40171M670, 40171M688, 40171M696
  S&P Global Dividend Aristocrats Select 25 Strategy Portfolio, 001 CGACAX 2/24/2017 $0.00000 $10.30810 $10.16310 10/6/2016 1/8/2018 GACT001 40171L581, 40171L599, 40171L607, 40171L615
  Select Quality Municipal Portfolio, 001 CGSQAX 2/24/2017 $0.00000 $1,012.06000 $1,012.06000 3/28/2014 8/15/2052 GSQM001 40167W229, 40167W237
  Select Quality Municipal Portfolio, 002 CGSQBX 2/24/2017 $0.00000 $1,064.49000 $1,064.49000 8/7/2014 11/15/2044 GSQM002 40169A340, 40169A357
  Select Quality Municipal Portfolio, 003 CGSQCX 2/24/2017 $0.00000 $996.82000 $996.82000 4/29/2015 11/15/2045 GSQM003 40169M583, 40169M591
  Select Quality Municipal Portfolio, 004 CGSQDX 2/24/2017 $1,088.45000 $1,045.46000 $1,045.46000 12/4/2015 6/15/2046 GSQM004 40169Y652, 40169Y660
  Senior Loan & Income Portfolio of CEFs, 027 CESLAX 2/24/2017 $0.00000 $9.79690 $9.79690 5/13/2015 5/10/2017 DCES027 40169L643, 40169L650, 40169L668, 40169L676
  Senior Loan & Income Portfolio of CEFs, 028 CESLBX 2/24/2017 $0.00000 $11.07850 $11.07850 11/10/2015 11/10/2017 DCES028 40170B147, 40170B154, 40170B162, 40170B170
  Senior Loan & Income Portfolio of CEFs, 029 CESLCX 2/24/2017 $0.00000 $11.12010 $11.03850 5/10/2016 5/10/2018 DCES029 40170Q581, 40170Q599, 40170Q607, 40170Q615
  Short Duration High Yield Trust, 012 CGSHLX 2/24/2017 $0.00000 $96.58000 $96.58000 1/26/2012 6/1/2019 GSHY012 40167Q826, 40167Q834
  Short Duration High Yield Trust, 013 CGSHMX 2/24/2017 $0.00000 $102.36000 $102.36000 3/23/2012 5/15/2021 GSHY013 40166A145, 40166A152
  Short Duration High Yield Trust, 014 CGSHNX 2/24/2017 $0.00000 $84.66000 $84.66000 4/20/2012 11/1/2021 GSHY014 40166C745, 40166C752
  Short Duration High Yield Trust, 015 CGSHOX 2/24/2017 $0.00000 $105.79000 $105.79000 5/18/2012 3/15/2021 GSHY015 40166D701, 40166D719
  Short Duration High Yield Trust, 016 CGSHPX 2/24/2017 $0.00000 $139.66000 $139.66000 6/22/2012 2/1/2022 GSHY016 40167U629, 40167U637
  Short Duration High Yield Trust, 017 CGSHQX 2/24/2017 $0.00000 $74.70000 $74.70000 7/19/2012 6/15/2021 GSHY017 40166E501, 40166E519
  Short Duration High Yield Trust, 018 CGSHRX 2/24/2017 $0.00000 $141.63000 $141.63000 8/24/2012 3/15/2022 GSHY018 40166E683, 40166E691
  Short Duration High Yield Trust, 019 CGSHSX 2/24/2017 $0.00000 $170.11000 $170.11000 9/20/2012 3/15/2022 GSHY019 40166F540, 40166F557
  Short Duration High Yield Trust, 020 CGSHTX 2/24/2017 $0.00000 $173.26000 $173.26000 10/25/2012 4/1/2022 GSHY020 40166G449, 40166G456
  Short Duration High Yield Trust, 021 CGSHUX 2/24/2017 $0.00000 $243.86000 $243.86000 12/13/2012 10/1/2022 GSHY021 40167V783, 40167V791
  Short Duration High Yield Trust, 022 CGSHVX 2/24/2017 $0.00000 $236.54000 $236.54000 1/24/2013 10/1/2022 GSHY022 40166J708, 40166J716
  Short Duration High Yield Trust, 023 CGSHWX 2/24/2017 $0.00000 $223.10000 $223.10000 3/21/2013 9/15/2022 GSHY023 40166J724, 40166J732
  Short Duration High Yield Trust, 024 CGSHYX 2/24/2017 $0.00000 $320.23000 $320.23000 4/25/2013 6/15/2022 GSHY024 40168C586, 40168C594
  Short Duration High Yield Trust, 025 CGSHZX 2/24/2017 $0.00000 $301.16000 $301.16000 5/23/2013 9/15/2022 GSHY025 40168E343, 40168E350
  Short Duration High Yield Trust, 026 CGSYAX 2/24/2017 $0.00000 $208.51000 $208.51000 7/25/2013 7/15/2022 GSHY026 40168B224, 40168B232
  Short Duration High Yield Trust, 027 CGSYBX 2/24/2017 $0.00000 $109.59000 $109.59000 8/23/2013 7/15/2021 GSHY027 40168F621, 40168F639
  Short Duration High Yield Trust, 028 CGSYCX 2/24/2017 $0.00000 $273.51000 $273.51000 9/26/2013 8/15/2021 GSHY028 40168F720, 40168F738
  Short Duration High Yield Trust, 029 CGSYDX 2/24/2017 $0.00000 $627.27000 $627.27000 10/25/2013 5/20/2022 GSHY029 40168J706, 40168J714
  Short Duration High Yield Trust, 030 CGSYEX 2/24/2017 $0.00000 $656.47000 $656.47000 11/22/2013 10/15/2022 GSHY030 40168K463, 40168K471
  Short Duration High Yield Trust, 031 CGSYFX 2/24/2017 $0.00000 $576.75000 $576.75000 12/19/2013 10/15/2022 GSHY031 40168R302, 40168R310
  Short Duration High Yield Trust, 032 CGSYGX 2/24/2017 $0.00000 $365.44000 $365.44000 1/24/2014 2/15/2023 GSHY032 40168R443, 40168R450
  Short Duration High Yield Trust, 033 CGSYHX 2/24/2017 $0.00000 $551.55000 $551.55000 3/27/2014 8/15/2024 GSHY033 40168U784, 40168U792
  Short Duration High Yield Trust, 034 CGSYIX 2/24/2017 $0.00000 $562.55000 $562.55000 4/24/2014 7/15/2023 GSHY034 40167X227, 40167X235
  Short Duration High Yield Trust, 035 CGSYJX 2/24/2017 $0.00000 $643.01000 $643.01000 5/30/2014 12/15/2023 GSHY035 40168L149, 40168L156
  Short Duration High Yield Trust, 036 CGSYKX 2/24/2017 $0.00000 $708.32000 $708.32000 6/26/2014 10/15/2023 GSHY036 40168L685, 40168L693
  Short Duration High Yield Trust, 037 CGSYLX 2/24/2017 $0.00000 $666.50000 $666.50000 8/21/2014 8/15/2023 GSHY037 40169A803, 40169A811
  Short Duration High Yield Trust, 038 CGSYMX 2/24/2017 $0.00000 $619.86000 $619.86000 11/20/2014 8/15/2024 GSHY038 40169A829, 40169A837
  Short Duration High Yield Trust, 039 CGSYNX 2/24/2017 $0.00000 $887.72000 $887.72000 2/20/2015 7/15/2024 GSHY039 40169G180, 40169G198
  Short Duration High Yield Trust, 040 CGSYOX 2/24/2017 $0.00000 $870.62000 $870.62000 4/23/2015 4/15/2023 GSHY040 40169L502, 40169L510
  Short Duration High Yield Trust, 041 CGSYPX 2/24/2017 $0.00000 $888.24000 $888.24000 6/25/2015 8/15/2024 GSHY041 40169N268, 40169N276
  Short Duration High Yield Trust, 042 CGSYQX 2/24/2017 $0.00000 $884.97000 $884.97000 8/14/2015 4/15/2023 GSHY042 40170A347, 40170A354
  Short Duration High Yield Trust, 043 CGSYRX 2/24/2017 $774.97000 $752.11000 $752.11000 11/19/2015 8/15/2023 GSHY043 40169Y546, 40169Y553
  Short Duration High Yield Trust, 044 CGSYSX 2/24/2017 $861.40000 $835.99000 $835.99000 2/5/2016 1/15/2024 GSHY044 40170C707, 40170C715
  Short Duration High Yield Trust, 045 CGSYTX 2/24/2017 $1,077.76000 $1,046.29000 $1,046.29000 5/26/2016 1/15/2024 GSHY045 40170X529, 40170X537
  Short Duration High Yield Trust, 046 CGSYUX 2/24/2017 $1,075.51000 $1,045.16000 $1,045.16000 9/15/2016 1/15/2026 GSHY046 40171H226, 40171H234
  SMid Dividend Strength Portfolio, 003 CSMDCX 2/24/2017 $0.00000 $11.50290 $11.50290 3/11/2015 3/8/2017 SMDS003 40169K181, 40169K199, 40169K207, 40169K215
  SMid Dividend Strength Portfolio, 004 CSMDDX 2/24/2017 $0.00000 $12.37850 $12.37850 9/9/2015 9/13/2017 SMDS004 40170A446, 40170A453, 40170A461, 40170A479
  SMid Dividend Strength Portfolio, 005 CSMDEX 2/24/2017 $0.00000 $11.95740 $11.95740 3/9/2016 3/9/2018 SMDS005 40170X149, 40170X156, 40170X164, 40170X172
  SMid Dividend Strength Portfolio, 006 CSMDFX 2/24/2017 $0.00000 $11.53070 $11.28570 9/14/2016 9/14/2018 SMDS006 40171L300, 40171L318, 40171L326, 40171L334
  Strategic Income Portfolio, 090 CFSISX 2/24/2017 $0.00000 $11.20050 $11.20050 1/8/2016 4/7/2017 FSIP090 40170C145, 40170C152, 40170C160, 40170C178
  Strategic Income Portfolio, 092 CFSITX 2/24/2017 $0.00000 $10.89030 $10.89030 4/7/2016 7/10/2017 FSIP092 40170X701, 40170X719, 40170X727, 40170X735
  Strategic Income Portfolio, 093 CSIPWX 2/24/2017 $0.00000 $8.71350 $8.71350 4/8/2015 4/12/2017 SIP093 40169K785, 40169K793, 40169K801, 40169K819
  Strategic Income Portfolio, 094 CFSIUX 2/24/2017 $0.00000 $10.13570 $10.13570 7/8/2016 10/6/2017 FSIP094 40171K468, 40171K476, 40171K484, 40171K492
  Strategic Income Portfolio, 095 CFSIVX 2/24/2017 $0.00000 $10.27410 $10.12910 10/7/2016 1/9/2018 FSIP095 40171M142, 40171M159, 40171M167, 40171M175
  Technological Innovation Portfolio, 004 CATEDX 2/24/2017 $0.00000 $9.94000 $9.94000 3/18/2015 3/15/2017 ATEC004 40169K306, 40169K314, 40169K322, 40169K330
  Technological Innovation Portfolio, 005 CATEEX 2/24/2017 $0.00000 $9.85240 $9.85240 9/16/2015 9/20/2017 ATEC005 40170A529, 40170A537, 40170A545, 40170A552
  Technological Innovation Portfolio, 006 CATEFX 2/24/2017 $0.00000 $11.61020 $11.61020 3/16/2016 3/16/2018 ATEC006 40170X347, 40170X354, 40170X362, 40170X370
  Technology Portfolio, 016 CTECPX 2/24/2017 $0.00000 $10.31360 $10.31360 4/22/2015 4/26/2017 DTS016 40169L387, 40169L395, 40169L403, 40169L411
  Technology Portfolio, 017 CTECQX 2/24/2017 $0.00000 $10.92080 $10.92080 10/28/2015 10/25/2017 DTS017 40169X704, 40169X712, 40169X720, 40169X738
  Technology Portfolio, 018 CTECRX 2/24/2017 $0.00000 $11.47480 $11.47480 4/20/2016 4/20/2018 DTS018 40170C822, 40170C830, 40170C848, 40170C855
  Total Income Portfolio, 005 CTIPEX 2/24/2017 $0.00000 $9.40520 $9.40520 7/6/2015 8/23/2017 TIP005 40169N284, 40169N292, 40169N300, 40169N318
  Total Income Portfolio, 006 CTIPFX 2/24/2017 $0.00000 $10.32540 $10.32540 8/26/2015 8/23/2017 TIP006 40170A263, 40170A271, 40170A289, 40170A297
  Total Income Portfolio, 007 CTIPGX 2/24/2017 $0.00000 $11.19890 $11.19890 2/24/2016 2/26/2018 TIP007 40170E661, 40170E679, 40170E687, 40170E695
  Total Income Portfolio, 008 CTIPHX 2/24/2017 $0.00000 $9.89310 $9.64810 8/24/2016 8/24/2018 TIP008 40171H762, 40171H770, 40171H788, 40171H796
  UBS Check-A-Month List: Equity Advisory Group, 2015-3 (AVAILABLE THROUGH UBS ADVISORS ONLY), 003 CUBCCX 2/24/2017 $0.00000 $11.11890 $11.11890 12/9/2015 3/9/2017 UCAM003 40169Y603, 40169Y611, 40169Y629, 40169Y637
  UBS Check-A-Month List: Equity Advisory Group, 2016-1 (AVAILABLE THROUGH UBS ADVISORS ONLY), 004 CUBCDX 2/24/2017 $0.00000 $11.08740 $11.08740 3/9/2016 6/9/2017 UCAM004 40170X180, 40170X198, 40170X206, 40170X214
  UBS Check-A-Month List: Equity Advisory Group, 2016-2 (AVAILABLE THROUGH UBS ADVISORS ONLY), 005 CUBCEX 2/24/2017 $0.00000 $10.61160 $10.61160 6/9/2016 9/12/2017 UCAM005 40171J685, 40171J693, 40171J701, 40171J719
  UBS Opportunistic Equity Income List: Equity Advisory Group 2016-3 (AVAILABLE THROUGH UBS ADVISORS ONLY), 006 CUBCFX 2/24/2017 $0.00000 $10.30540 $10.20870 9/12/2016 12/11/2017 UCAM006 40171L268, 40171L276, 40171L284, 40171L292
  Undervalued Top Picks Portfolio, 008 CUVAHX 2/24/2017 $0.00000 $12.36490 $12.36490 2/23/2016 5/23/2017 UVAL008 40170E547, 40170E554, 40170E562, 40170E570
  Undervalued Top Picks Portfolio, 009 CUVAIX 2/24/2017 $0.00000 $11.20260 $11.20260 5/23/2016 8/22/2017 UVAL009 40171J222, 40171J230, 40171J248, 40171J255
  Undervalued Top Picks Portfolio, 010 CUVAJX 2/24/2017 $0.00000 $11.28480 $11.23640 8/22/2016 11/22/2017 UVAL010 40171H689, 40171H697, 40171H705, 40171H713
  Undervalued Top Picks Portfolio, 011 CUVAKX 2/24/2017 $0.00000 $10.20370 $10.05870 11/22/2016 2/23/2018 UVAL011 40171N587, 40171N595, 40171N603, 40171N611
  US 50 Dividend Strategy Portfolio, 007 CUFTGX 2/24/2017 $0.00000 $13.15070 $13.15070 1/25/2016 4/25/2017 UFTY007 40170C384, 40170C392, 40170C400, 40170C418
  US 50 Dividend Strategy Portfolio, 008 CUFTHX 2/24/2017 $0.00000 $10.69220 $10.69220 4/22/2016 7/25/2017 UFTY008 40170Q383, 40170Q391, 40170Q409, 40170Q417
  US 50 Dividend Strategy Portfolio, 009 CUFTIX 2/24/2017 $0.00000 $9.99020 $9.99020 7/25/2016 10/23/2017 UFTY009 40171K708, 40171K716, 40171K724, 40171K732
  US 50 Dividend Strategy Portfolio, 010 CUFTJX 2/24/2017 $0.00000 $11.13330 $10.98830 10/24/2016 1/25/2018 UFTY010 40171M704, 40171M712, 40171M720, 40171M738
  US Capital Strength Portfolio, 007 CUCAGX 2/24/2017 $0.00000 $10.16780 $10.16780 5/20/2015 5/17/2017 UCAP007 40169M187, 40169M195, 40169M203, 40169M211
  US Capital Strength Portfolio, 008 CUCAHX 2/24/2017 $0.00000 $10.31920 $10.31920 11/18/2015 11/17/2017 UCAP008 40170B543, 40170B550, 40170B568, 40170B576
  US Capital Strength Portfolio, 009 CUCAIX 2/24/2017 $0.00000 $11.68100 $11.68100 2/17/2016 2/20/2018 UCAP009 40170E463, 40170E471, 40170E489, 40170E497
  US Capital Strength Portfolio, 010 CUCAJX 2/24/2017 $0.00000 $10.93240 $10.93240 5/17/2016 5/17/2018 UCAP010 40170Q821, 40170Q839, 40170Q847, 40170Q854
  US Capital Strength Portfolio, 011 CUCAKX 2/24/2017 $0.00000 $10.06680 $9.98520 8/17/2016 8/17/2018 UCAP011 40171H481, 40171H499, 40171H507, 40171H515
  US Capital Strength Portfolio, 012 CUCALX 2/24/2017 $0.00000 $10.79660 $10.55160 11/16/2016 11/16/2018 UCAP012 40171N462, 40171N470, 40171N488, 40171N496
  US High Dividend Strategy Portfolio (2-Year), 008 CTUHHX 2/24/2017 $0.00000 $11.06690 $11.06690 8/19/2015 8/16/2017 TUHD008 40169N607, 40169N615, 40169N623, 40169N631
  US High Dividend Strategy Portfolio (2-Year), 009 CTUHIX 2/24/2017 $0.00000 $11.84780 $11.84780 2/17/2016 2/20/2018 TUHD009 40170E307, 40170E315, 40170E323, 40170E331
  US High Dividend Strategy Portfolio (2-Year), 010 CTUHJX 2/24/2017 $0.00000 $10.37850 $10.13350 8/17/2016 8/17/2018 TUHD010 40171H523, 40171H531, 40171H549, 40171H556
  US High Dividend Strategy Portfolio , 019 CUSHSX 2/24/2017 $0.00000 $12.63380 $12.63380 1/15/2016 4/18/2017 USHD019 40170C269, 40170C277, 40170C285, 40170C293
  US High Dividend Strategy Portfolio , 020 CUSHTX 2/24/2017 $0.00000 $10.92600 $10.92600 4/15/2016 7/18/2017 USHD020 40170X826, 40170X834, 40170X842, 40170X859
  US High Dividend Strategy Portfolio , 021 CUSHUX 2/24/2017 $0.00000 $10.15860 $10.15860 7/18/2016 10/16/2017 USHD021 40171H143, 40171H150, 40171H168, 40171H176
  US High Dividend Strategy Portfolio , 022 CUSHVX 2/24/2017 $0.00000 $10.98220 $10.83720 10/17/2016 1/18/2018 USHD022 40171M340, 40171M357, 40171M365, 40171M373
  US Low Volatility Strategy Portfolio, 014 CULONX 2/24/2017 $0.00000 $11.13490 $11.13490 2/1/2016 5/1/2017 ULOW014 40170E109, 40170E117, 40170E125, 40170E133
  US Low Volatility Strategy Portfolio, 015 CULOOX 2/24/2017 $0.00000 $10.56240 $10.56240 5/2/2016 8/1/2017 ULOW015 40170Q466, 40170Q474, 40170Q482, 40170Q490
  US Low Volatility Strategy Portfolio, 016 CULOPX 2/24/2017 $0.00000 $9.95500 $9.90660 8/1/2016 11/1/2017 ULOW016 40171H242, 40171H259, 40171H267, 40171H275
  US Low Volatility Strategy Portfolio, 017 CULOQX 2/24/2017 $0.00000 $10.69740 $10.55240 11/1/2016 2/1/2018 ULOW017 40171M803, 40171M811, 40171M829, 40171M837
  US SMID High Dividend Portfolio , 019 CSMHSX 2/24/2017 $0.00000 $11.81070 $11.81070 1/15/2016 4/18/2017 SMHD019 40170C228, 40170C236, 40170C244, 40170C251
  US SMID High Dividend Portfolio , 020 CSMHTX 2/24/2017 $0.00000 $11.37230 $11.37230 4/15/2016 7/18/2017 SMHD020 40170C780, 40170C798, 40170C806, 40170C814
  US SMID High Dividend Portfolio , 021 CSMHUX 2/24/2017 $0.00000 $10.09140 $10.09140 7/18/2016 10/16/2017 SMHD021 40171K583, 40171K591, 40171K609, 40171K617
  US SMID High Dividend Portfolio , 022 CSMHVX 2/24/2017 $0.00000 $11.29300 $11.14800 10/17/2016 1/18/2018 SMHD022 40171M308, 40171M316, 40171M324, 40171M332
  Utilities Portfolio, 022 COPUVX 2/24/2017 $0.00000 $11.62690 $11.62690 7/22/2015 7/26/2017 DUS022 40169P743, 40169P750, 40169P768, 40169P776
  Utilities Portfolio, 023 COPUWX 2/24/2017 $0.00000 $11.36760 $11.36760 1/27/2016 1/12/2018 DUS023 40170C509, 40170C517, 40170C525, 40170C533
  Utilities Portfolio, 024 COPUYX 2/24/2017 $0.00000 $9.90450 $9.65950 7/27/2016 7/27/2018 DUS024 40171K781, 40171K799, 40171K807, 40171K815
  Zacks Income Advantage Strategy Portfolio (2-Year), 012 CTZILX 2/24/2017 $0.00000 $7.38330 $7.38330 5/15/2015 5/15/2017 TZIP012 40169L809, 40169L817, 40169L825, 40169L833
  Zacks Income Advantage Strategy Portfolio (2-Year), 013 CTZIMX 2/24/2017 $0.00000 $9.36750 $9.36750 8/17/2015 8/15/2017 TZIP013 40169N524, 40169N532, 40169N540, 40169N557
  Zacks Income Advantage Strategy Portfolio (2-Year), 014 CTZINX 2/24/2017 $0.00000 $10.26950 $10.26950 11/16/2015 11/15/2017 TZIP014 40170B345, 40170B352, 40170B360, 40170B378
  Zacks Income Advantage Strategy Portfolio (2-Year), 015 CTZIOX 2/24/2017 $0.00000 $12.21030 $12.21030 2/16/2016 2/15/2018 TZIP015 40170E265, 40170E273, 40170E281, 40170E299
  Zacks Income Advantage Strategy Portfolio (2-Year), 016 CTZIPX 2/24/2017 $0.00000 $11.03530 $11.03530 5/16/2016 5/15/2018 TZIP016 40170Q748, 40170Q755, 40170Q763, 40170Q771
  Zacks Income Advantage Strategy Portfolio (2-Year), 017 CTZIQX 2/24/2017 $0.00000 $10.46030 $10.37870 8/15/2016 8/15/2018 TZIP017 40171H408, 40171H416, 40171H424, 40171H432
  Zacks Income Advantage Strategy Portfolio (2-Year), 018 CTZIRX 2/24/2017 $0.00000 $10.29680 $10.05180 11/15/2016 11/15/2018 TZIP018 40171N306, 40171N314, 40171N322, 40171N330
  Zacks Income Advantage Strategy Portfolio, 033 CCZIHX 2/24/2017 $0.00000 $12.28030 $12.28030 2/16/2016 5/15/2017 CZIP033 40170E224, 40170E232, 40170E240, 40170E257
  Zacks Income Advantage Strategy Portfolio, 034 CCZIIX 2/24/2017 $0.00000 $11.15980 $11.15980 5/16/2016 8/15/2017 CZIP034 40170Q706, 40170Q714, 40170Q722, 40170Q730
  Zacks Income Advantage Strategy Portfolio, 035 CCZIJX 2/24/2017 $0.00000 $10.51190 $10.46350 8/15/2016 11/15/2017 CZIP035 40171H366, 40171H374, 40171H382, 40171H390
  Zacks Income Advantage Strategy Portfolio, 036 CCZIKX 2/24/2017 $0.00000 $10.26160 $10.11660 11/15/2016 2/15/2018 CZIP036 40171N348, 40171N355, 40171N363, 40171N371
  Zacks Rank Strong Buy 50 Strategy Portfolio, 006 CZRSFX 2/24/2017 $0.00000 $11.50410 $11.50410 1/4/2016 4/3/2017 ZRSB006 40169Y835, 40169Y843, 40169Y850, 40169Y868

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

2 The "bid" price represents the net asset value of one unit of a trust (excluding deferred sales charge).

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

* - The Closed-End California Municipal Portfolio Series 4 Historical Annual Dividend Distribution was updated as of February 11, 2011.

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 (2016)



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.

Guggenheim Investments represents the investment management businesses of Guggenheim Partners, LLC ("Guggenheim"), which includes Security Investors, LLC ("SI"), Guggenheim Funds Investment Advisors, LLC, ("GFIA") and Guggenheim Partners Investment Management ("GPIM") the investment advisers to the referenced funds. Securities offered through Guggenheim Funds Distributors, LLC, an affiliate of Guggenheim, SI, GFIA and GPIM.

© Guggenheim Investments. All rights reserved.

Research our firm with FINRA Broker Check.

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

This website is directed to and intended for use by citizens or residents of the United States of America only. The information provided does not constitute a solicitation of an offer to buy, or an offer to sell securities in any jurisdiction, or to any person to who, it is not lawful to make such an offer. All content has been provided for informational purposes only. It is not intended to be and should not be construed as, (i) a recommendation; (ii) legal or tax advice; and/or (iii) a legal opinion. Always consult a financial, tax and /or legal professional regarding your specific situation. Investing involves risk, including the possible loss of principal.