The Financials Portfolio, Series 9 ("Trust") seeks to maximize total return primarily through capital appreciation.
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.
This information does 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 where the offer, solicitation, or sale is not permitted.
Principal Investment Strategy
Under normal circumstances, the Trust will invest at least 80% of the value of its assets in common stocks issued by companies in the financial sector, as classified by Standard & Poor’s Global Industry Classification Standard. The Trust is concentrated in the financial sector and includes, but is not limited to, securities in the following industries: capital markets, banks, thrifts and mortgage finance, consumer finance, diversified financial services and insurance. The Trust will not have a major emphasis on the real estate industry, but may include real estate stocks that exhibit compelling characteristics. The Sponsor selects stocks for the portfolio that it believes have the potential to achieve the Trust’s investment objective.
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Selection Criteria
The Sponsor selects U.S.-traded common stocks that it believes are core holdings of a portfolio concentrated in the financial sector. To select the portfolio, the Sponsor follows a disciplined process which includes both quantitative and qualitative analysis. The Trust may invest in common stocks of U.S. and foreign companies that have small-, mid- and large-capitalizations. The Sponsor begins with the stocks of companies that are classified as being in the financials sector and are members of the Russell 3000® Index. The Sponsor then reduces that group of stocks by following a disciplined process based on, but not limited to, the following factors:
• Valuation. The Sponsor may screen for reasonably valued stocks based on measures such as price to earnings and price to book. • Growth. The Sponsor may screen for companies with a history of better than average growth of revenues and earnings. • Profitability. The Sponsor may screen for companies with a history of consistent and high profitability as measured by return on assets, return on equity, gross margin and net margin. • Financial Statements. The Sponsor favors companies which possess overall financial strength and exhibit financial statement strength relative to their peers and the marketplace. • Industry Leadership. The Sponsor favors companies which possess a strong competitive position among their domestic and global peers. DEFINITIONS: The Russell 3000 Index measures the performance of the largest 3000 U.S. companies representing approximately 98% of the investable U.S. equity market. |
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. • The Trust is concentrated in the financial sector. As a result, the factors that impact the financial sector will likely have a greater effect on this Trust than on a more broadly diversified Trust. Companies in the financial sector include banks, insurance companies and investment firms. The profitability of companies in the financial sector is largely dependent upon the availability and cost of capital which may fluctuate significantly in response to changes in interest rates and general economic developments. Financial sector companies are especially subject to the adverse effects of economic recession, decreases in the availability of capital, volatile interest rates, portfolio concentrations in geographic markets and in commercial and residential real estate loans, and competition from new entrants in their fields of business. • The Trust invests in securities issued by small-capitalization and mid-capitalization companies. These securities customarily involve more investment risk than securities of large-capitalization companies. Small-capitalization and mid-capitalization companies may have limited product lines, markets or financial resources and may be more vulnerable to adverse general market or economic developments. • 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. • 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 “Investment Risks” in Part A of the prospectus and “Risk Factors” in Part B 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.
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 Wealth Solutions, LLC, Guggenheim Funds Distributors, LLC, Guggenheim Funds Investment Advisors, LLC, Guggenheim Corporate Funding, LLC, Guggenheim Partners Europe Limited, Guggenheim Partners Japan Limited, and GS GAMMA Advisors, LLC. Securities offered through Guggenheim Funds Distributors, LLC.
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• Not FDIC Insured • No Bank Guarantee • May Lose Value
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