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Guggenheim US Capital Strength Portfolio Series 11

Trust Resources
Fact Card

Investment Objective

The Guggenheim US Capital Strength Portfolio, Series 11 (“Trust”) seeks to provide total return through capital appreciation.

Principal Investment Strategy

Selection Criteria

Risks and Other Considerations

Portfolio Information

Daily Data

Offer Price $9.559800
Wrap Fee Price $9.232600
Bid Price $9.477600
Liquidation Price $9.232600
Remaining Deferred Sales Charge $0.245000


Monthly-Cash 40171H481
Monthly-Reinvest 40171H499
Monthly-Fee/Cash 40171H507
Monthly-Fee/Reinvest 40171H515


Deposit Information

Inception Date 8/17/2016
Non-Reoffered Date 11/16/2016
Mandatory Maturity Date 8/17/2018
Trust Structure GRANTOR
Inception Unit Price $10.000000
Inception Bid Price $9.900000
Inception Liquidation Price $9.655000
Deferred Sales Charge Dates Dec 2016
Jan 2017
Feb 2017
Term 2 Years
Number of Holdings 32
Historical Annual Dividend Distribution $0.139700

Portfolio Holdings Analysis

All data is subject to change daily. Data may differ from the prospectus due to different data sources or market changes. Please refer to prospectus for additional information about the trust including the portfolio section criteria. Source: FactSet Research Systems Inc. unless otherwise noted. The total percentages may not be equal to 100% due to rounding. N/A indicates that certain securities have not been identified and/or classified by the data provider. A unit is a combination of securities or types of securities traded together.

Fundamental Data

Weighted Average Price/Earnings (P/E) Ratio 20.71
Weighted Average Price/Book (P/B) Ratio 6.90
Weighted Average Market Cap (MM) $103,985.35

Market Cap & Style Breakdown

Value Growth N/A Total
Large-Cap 22.00% 51.11% -- 73.11%
Mid-Cap 2.98% 23.62% -- 26.60%
Small-Cap -- -- -- --
N/A -- -- 0.29% 0.29%
Total 24.98% 74.73% 0.29% 100.00%

Asset Class

US Common Stock 100.00%
Total 100.00%

Market Cap Breakdown

Style Breakdown

Sector & Industry Breakdown

Information Technology 21.75%
 IT Services 6.84%
 Semiconductors & Semiconductor Equipment 4.22%
 Software 6.92%
 Technology Hardware Storage & Peripherals 3.77%
Consumer Discretionary 18.99%
 Media 6.71%
 Multiline Retail 5.87%
 Specialty Retail 6.41%
Industrials 16.32%
 Aerospace & Defense 3.08%
 Commercial Services & Supplies 3.30%
 Industrial Conglomerates 6.60%
 Machinery 3.34%
Consumer Staples 13.53%
 Beverages 3.23%
 Food Products 7.09%
 Household Products 3.21%
Health Care 12.68%
 Health Care Providers & Services 2.92%
 Health Care Technology 3.15%
 Pharmaceuticals 6.62%
Financials 10.29%
 Banks 3.61%
 Insurance 6.68%
Materials 6.44%
 Chemicals 6.44%
Total 100.00%

Country Breakdown

United States 100.00%
Total 100.00%

Regional Breakdown

North America 100.00%
Total 100.00%

Developed Status

Developed 100.00%
Total 100.00%

Past performance is no guarantee of future results. Investment returns and principal value will fluctuate with changes in market conditions. Investors' units, when redeemed, may be worth more or less than their original cost.

Principal Investment Strategy

Under normal circumstances, the Trust will invest at least 80% of the value of its assets in common stocks of U.S. companies. The Trust invests in a portfolio of U.S. companies that the Sponsor believes have had strong valuations, returns on capital and balance sheets. To determine whether a company has an attractive valuation, the Sponsor compares valuation metrics against the selected company’s peer group. Strong returns on capital are evidenced by the company’s return on capital compared to the selected company's peer group. Companies with strong balance sheets are typically those entities that are less levered than their peers. However, there can be no assurance that the Trust's investment strategy will identify companies that will perform well in the future. The U.S.-listed common stock held by the Trust may include the common stock of U.S. and non-U.S. companies. As a result of this strategy, the Trust is concentrated in the consumer products sector and invests significantly in the information technology sector.

Selection Criteria

The Trust’s portfolio is constructed by the Sponsor using the methodology described below:

  • Begin with the largest 30% of U.S. companies in the S&P 1500.
  • Focus on companies which have demonstrated several years of consistently higher return on equity, and which have debt leverage levels lower than the market or their industry peers.
  • Select a portfolio of securities from the remaining universe by selecting the most attractive candidates, as determined by the Sponsor, from each sector for expected performance and risk, while maintaining diversification with limits on sector and growth/value concentration.
INDEX DEFINITION: The S&P 1500 Index combines three indices, the S&P 500, the S&P MidCap 400 and the S&P SmallCap 600 to cover approximately 90% of the U.S. market capitalization. It is designed for investors seeking to replicate the performance of the U.S. equity market or benchmark against a representative universe of tradable stocks. The Index is unmanaged and it is not possible to invest directly in the Index.

Risks and Other Considerations

As with all investments, you may lose some or all of your investment in the Trust. No assurance can be given that the Trust’s investment objective will be achieved. The Trust also might not perform as well as you expect. This can happen for reasons such as these:

  • Securities prices can be volatile. The value of your investment may fall over time. Market value fluctuates in response to various factors. These can include stock market movements, purchases or sales of securities by the Trust, government policies, litigation, and changes in interest rates, inflation, the financial condition of the securities’ issuer or even perceptions of the issuer. Units of the Trust are not deposits of any bank and are not insured or guaranteed by the Federal Deposit Insurance Corporation or any other government agency.
  • Share prices or dividend rates on the securities in the Trust may decline during the life of the Trust. There is no guarantee that share prices of the securities in the Trust will not decline and that the issuers of the securities will declare dividends in the future and, if declared, whether they will remain at current levels or increase over time.
  • The Trust is concentrated in the consumer products sector. As a result, the factors that impact the consumer products sector will likely have a greater effect on this Trust than on a more broadly diversified Trust. General risks of companies in the consumer products sector include cyclicality of revenues and earnings, economic recession, currency fluctuations, changing consumer tastes, extensive competition, product liability litigation and increased government regulation. A weak economy and its effect on consumer spending would adversely affect companies in the consumer products sector.
  • The Trust invests significantly in the information technology sector. As a result, the factors that impact the information technology sector will likely have a greater effect on this Trust than on a more broadly diversified Trust. Companies involved in this sector must contend with rapid changes in technology, intense competition, government regulation and the rapid obsolescence of products and services. Furthermore, sector predictions may not materialize and the companies selected for the Trust may not represent the entire sector and may not participate in the overall sector growth.
  • The Trust invests in securities issued by mid-capitalization companies. These securities customarily involve more investment risk than securities of largecapitalization companies. Midcapitalization companies may have limited product lines, markets or financial resources and may be more vulnerable to adverse general market or economic developments.
  • Inflation may lead to a decrease in the value of assets or income from investments.
  • The Sponsor does not actively manage the portfolio. The Trust will generally hold, and may, when creating additional units, continue to buy, the same securities even though a security’s outlook, market value or yield may have changed.

See “Risk Factors” in Part B of the prospectus and “Investment Risks” in Part A of the prospectus for additional information.

Please see the Trust prospectus for more complete risk information.

Unit Investment Trusts are fixed, not actively managed and should be considered as part of a long-term strategy. Investors should consider their ability to invest in successive portfolios, if available, at the applicable sales charge. UITs are subject to annual fund operating expenses in addition to the sales charge. Investors should consult an attorney or tax advisor regarding tax consequences associated with an investment from one series to the next, if available, and with the purchase or sale of units. Guggenheim Funds Distributors, LLC does not offer tax advice.

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 business of Guggenheim Partners, LLC ("Guggenheim"), which includes Security Investors, LLC ("SI"), Guggenheim Funds Investments Advisors, LLC ("GFIA") and Guggenheim Partners Investment Management ("GPIM") the investment advisors to the referenced funds.

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