Unit Trusts

Small Cap Core Strategy (SMLC0131)

The information shown relates to a trust that is no longer offered for sale. This information does not constitute an offer to sell, or a solicitation of an offer to buy units of the trust.

Strategy

The portfolio seeks to provide capital appreciation. The Portfolio seeks to achieve its objective by using an enhanced index strategy to select a portfolio of 40 stocks. The selection process selects 20 stocks using the Small Cap Growth Strategy and 20 stocks using the Small Cap Value Strategy.
as of 02/28/2014

Style map

as of 04/17/2014

Keystats

Weighted Avg P/E 23.87
Weighted Avg P/B 2.57
Weighted Avg Market Cap (MM) $1,755.19
Weighted Avg 1 Yr EPS 2.03%
Weighted Avg 3 Yr EPS 35.88%
Weighted Avg Beta 1.17
From 12/31/1996 - 12/31/2013
( Source Bloomberg, L.P. )

Hypothetical Performance of
$10,000 Investment

Annual Total Return

Standard Deviation Strategy S&P SMALL CAP 600
12/31/1996 - 12/31/2013 18.09% 18.25%
Annual Total Return Strategy S&P SMALL CAP 600
12/31/1997 17.54% 25.58%
12/31/1998 5.32% -1.32%
12/31/1999 19.49% 12.41%
12/31/2000 26.45% 11.81%
12/31/2001 30.78% 6.55%
12/31/2002 -5.90% -14.16%
12/31/2003 49.30% 38.79%
12/31/2004 16.46% 22.68%
12/31/2005 11.42% 7.70%
12/31/2006 11.10% 15.13%
12/31/2007 3.78% -0.30%
12/31/2008 -21.71% -31.07%
12/31/2009 43.06% 25.57%
12/31/2010 29.89% 26.31%
12/31/2011 -2.30% 1.01%
12/31/2012 16.88% 16.33%
12/31/2013 33.94% 41.31%
03/31/2014 -3.35% 1.13%

Average Annual Total Return

Average Annual Return
(for the period ended 12/31/2013)
Strategy S&P SMALL CAP 600
1-Year 32.60% 41.31%
3-Year 17.15% 18.41%
5-Year 24.47% 21.37%
10-Year 13.34% 10.66%
15-Year 16.37% 10.33%

The above graph represents a hypothetical $10,000 investment in the trust strategy (not any actual trust) and the associated benchmark over the period indicated in the graph. The graph assumes the sum of the initial investment ($10,000) and all dividends (including those on stocks trading ex-dividend as of the last day of the year) and appreciation during a year are reinvested at the end of that year.

All strategy performance is hypothetical (not any actual trust) and reflects trust sales charges (full sales charge in first year of 2.95% and reduced rollover charge thereafter of 1.95%) and expenses but not brokerage commissions on stocks or taxes. Past performance is no guarantee of future results. Actual returns will vary from hypothetical strategy returns due to timing differences and because the trust may not be invested equally in all stocks or be fully invested at all times. In any given year the strategy may lose money or underperform the index. Returns are calculated by taking year-end prices, subtracting them from the prices at the end of the following year (adjusting for any stock splits that might have occurred during the year) and adding dividends received for the period divided by starting price. Average annual total return and total return measure change in the value of an investment plus dividends, assuming quarterly reinvestment of dividends. Average annual total return reflects annualized change while total return reflects aggregate change and is not annualized. Standard deviation is a measure of volatility that represents the degree to which an investment's performance has varied from its average performance over a particular period. Standard deviation does not compare the volatility of an investment relative to other investments or the overall stock market. The more an investment's return varies from the investment's average return, the more volatile the investment. Standard deviation is based on past performance and is no guarantee of future results.

Please keep in mind that high, double-digit and/or triple-digit returns are highly unusual and cannot be sustained. Investors should also be aware that these returns were primarily achieved during favorable market conditions.

Indices are statistical composites and their returns do not include payment of any sales charges or fees an investor would pay to purchase the securities they represent. Such costs would lower performance. It is not possible to invest directly in an index. The historical performance of the indices are shown for illustrative purposes only; it is not meant to forecast, imply or guarantee the future performance of any particular investment or the trust, which will vary.

1The Trust will make distributions of income and capital on each monthly Distribution Date to Unit holders of record on the preceding Record Date, provided that the total cash held for distribution equals at least the amount set forth under the Essential Information section of the prospectus. Undistributed income and capital will be distributed in the next quarter in which the total cash held for distribution equals at least the amount set forth under the Essential Information section of the prospectus.

  Estimated Annual Income Per Unit is as of the date listed in the prospectus and is based on the most recently declared monthly dividends or interim and final dividends accounting for any foreign withholding taxes, but may also be based upon several recently declared dividends. The actual net annual dividend distributions you receive will vary from the estimate set forth above with changes in the trust's fees and expenses, in dividends received, currency fluctuations and with the sale of securities. The actual net annual dividends are expected to decrease over time because a portion of the securities included in the trust will be sold over time to pay for organization costs. Securities may also be sold to pay regular fees and expenses during the trust's life.

  The portfolio may make distributions that represent a return of capital for tax purposes to the extent of the Unitholder's basis in the Units, and any additional amounts in excess of basis would be taxed as a capital gain. Generally, you will treat all capital gains dividends as long-term capital gains regardless of how long you have owned your Units.

2As of close of business day prior to Initial Date of Deposit. The actual distributions you may receive will vary from the estimated amount due to changes in the Portfolio's fees and expenses, in actual income received by the Portfolio, currency fluctuations and with changes in the Portfolio such as acquisition or liquidation of securities.

The trust portfolio is provided for informational purposes only and should not be deemed as a recommendation to buy or sell the individual securities shown above.

Morningstar Equity Style Box™ Information
Morningstar is the source for the style box and style/market cap classifications that appear above. The Morningstar Equity Style Box™ is based on holdings as of the date shown above. The Morningstar Equity Style Box™ placement is based on two variables. First, on the market capitalization of the stocks in the trust's portfolio relative to the movement of the market and second, the valuation by comparing the stocks in the trust's portfolio with the most relevant of the three market capitalization groups. A Morningstar equity style box classification is not assigned if more than 10% of a trust's portfolio securities are unclassified as to market cap or style.
Source: Morningstar, Inc., Chicago, IL 312-696-6000

© 2012 Morningstar, Inc. All Rights Reserved. The information contained herein: (1) is proprietary to Morningstar and/or its content providers; (2) may not be copied or distributed; and (3) is not warranted to be accurate, complete or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information. Past performance is no guarantee of future results.

Value, blend and growth are types of investment styles. Growth investing generally seeks stocks that offer the potential for greater-than-average earnings growth, and may entail greater risk than value or blend investing. Value investing generally seeks stocks that may be sound investments but are temporarily out of favor in the marketplace, and may entail less risk than growth investing. A blend investment combines the two styles.

Value, blend and growth are types of investment styles. Growth investing generally seeks stocks that offer the potential for greater-than-average earnings growth, and may entail greater risk than value or blend investing. Value investing generally seeks stocks that may be sound investments but are temporarily out of favor in the marketplace, and may entail less risk than growth investing. A blend investment combines the two styles.



About risk

There is no assurance the trust will achieve its investment objective. An investment in this unit investment trust is subject to market risk, which is the possibility that the market values of securities owned by the trust will decline and that the value of trust units may therefore be less than what you paid for them. This trust is unmanaged and its portfolio is not intended to change during the trust's life except in limited circumstances. Accordingly, you can lose money investing in this trust.

The trust should be considered as a part of a long-term investment strategy and you should consider your ability to pursue it by investing in successive trusts, if available. You will realize tax consequences associated with investing from one series to the next.

Stocks of small capitalization companies are often more volatile than those of larger companies as a result of several factors such as limited trading volumes, products or financial resources, management inexperience and less publicly available information.

This trust is concentrated in the consumer discretionary sector. Companies that manufacture and distribute consumer products face risks such as intense competition, the lack of serious barriers to entry for on-line entrants, economic recession and a slowdown in consumer spending trends.

as of 04/11/2014

Cumulative Return (%)

Maximum Sales Charge: 2.45%
Year to Date (%) Since Deposit (%) 3 month (%) 6 month (%)
With Sales Charge N/A 20.57 N/A -1.02
Without Sales Charge -4.39 23.60 -2.32 1.47
S&P SMALL CAP 600 -3.12 32.52 -2.29 6.56
as of 04/11/2014

Average Annual Return (%)

1 yr (%) 5 yr (%) 10 yr (%) Since Deposit (%)
With Sales Charge 13.53 N/A N/A 16.16
Without Sales Charge 16.42 N/A N/A 18.48
S&P SMALL CAP 600 23.02 N/A N/A 25.28

Performance data quoted represents past performance, which is no guarantee of future results. Investment returns and principal value will fluctuate and units, when redeemed, may be worth more or less than their original cost.

Returns are cumulative total returns (not annualized) unless labeled as average annual total returns. All returns reflect trust expenses as incurred and assume reinvestment of income and principal distributions, except for trusts that do not offer the option of reinvesting distributions into additional trust units. Please see the related trust prospectus for additional information. Returns do not reflect taxes.

A trust's performance, especially for short time periods, should not be the sole factor in making your investment decision. Please keep in mind that high, double-digit returns are highly unusual and cannot be sustained. Investors should also be aware that these returns were primarily achieved during favorable market conditions.

Returns With Transactional Sales Charge reflect the maximum transactional sales charge that would be payable by an investor upon sale or redemption of units at the end of the applicable period(s). The transactional sales charge includes any initial or deferred sales charges other than creation and development fee. These returns do not reflect any creation and development fee prior to collection (generally the close of the initial offering period). Any creation and development fee is reflected in the returns as of the time of payment. by a trust. These returns reflect any contingent deferred sales charges only if the charges would be payable upon a unit sale or redemption at or prior to the end of the applicable performance period(s). Certain trusts are no longer offered for sale to the public and, as a result, do not publish an offer price or have a sales charge. In these cases, returns will not reflect a sales charge if a trust was not actually offered for sale to the public on the first day of the applicable period because units of the trust could not have been purchased by an investor at that time. These returns will show 'N/A' for With Transactional Sales Charge data

Returns Without Transactional Sales Charge do not reflect any transactional sales charge and do not reflect any creation and development fee prior to collection (generally the close of the initial offering period). Any creation and development fee is reflected in the returns as of the time of payment by a trust.

There is no assurance the trust will achieve its investment objective. An investment in this unit investment trust is subject to market risk, which is the possibility that the market values of securities owned by the trust will decline and that the value of trust units may therefore be less than what you paid for them. Accordingly, you can lose money investing in this trust. Certain trusts are unmanaged and their portfolios are not intended to change during the trusts' lives except in limited circumstances. Certain trusts are passively managed and seek to track their target index during the trust's life. For a more complete discussion of the risks of investing in this trust, click on the Fact Card.

Performance Calculator

From   to

  Total Return
With Sales Charge 20.57%
Without Sales Charge 23.6%
S&P SMALL CAP 600 32.52%

Historical Pricing

From   to

Distributions

From   to

BID PRICE
Represents the net asset value per unit plus any remaining organization costs, deferred sales charge and creation and development fee. This price is not the purchase price of units and in many cases is not the price a unitholder would receive if the unitholder redeemed or sold units. Any remaining non-contingent deferred sales charge payments are payable at the time a unit holder redeems or sells units.

LIQUIDATION PRICE
Represents the value per unit that a unitholder would receive if the unitholder redeemed or sold units. This price is equal to the net asset value per unit plus any remaining organization costs and creation and development fee. This price reflects any remaining non-contingent deferred sales charges payable in connection with a liquidation of units.

OFFER PRICE
Represents the net asset value per unit plus any applicable organization costs and sales charges. This is the regular public offering price per unit paid to purchase units. This price is often subject to certain sales charge discounts described in a trust prospectus.

NET ASSET VALUE (NAV)
Represents the value per unit of a trust's portfolio securities and other assets reduced by trust expenses and other liabilities, including remaining organization costs, non-contingent deferred sales charge and creation and development fee.


This page contains historical pricing or historical income distributions information for the unit trust listed above. It should not be used for federal or state tax purposes. Please contact your financial advisor for tax information.

This information does not constitute an offer to sell, or a solicitation of an offer to buy securities in any state, or other jurisdiction to any person to whom it is not lawful to make such an offer. A trust that contains a state name in the trust name is generally available for sale only to investors in that state. The information shown may relate to a trust that is no longer offered to the public. In such a case, this information does not constitute an offer to sell, or a solicitation of an offer to buy units of the trust.

1The Trust will make distributions of income and capital on each monthly Distribution Date to Unit holders of record on the preceding Record Date, provided that the total cash held for distribution equals at least the amount set forth under the Essential Information section of the prospectus. Undistributed income and capital will be distributed in the next quarter in which the total cash held for distribution equals at least the amount set forth under the Essential Information section of the prospectus.

  Estimated Annual Income Per Unit is as of the date listed in the prospectus and is based on the most recently declared monthly dividends or interim and final dividends accounting for any foreign withholding taxes, but may also be based upon several recently declared dividends. The actual net annual dividend distributions you receive will vary from the estimate set forth above with changes in the trust's fees and expenses, in dividends received, currency fluctuations and with the sale of securities. The actual net annual dividends are expected to decrease over time because a portion of the securities included in the trust will be sold over time to pay for organization costs. Securities may also be sold to pay regular fees and expenses during the trust's life.

  The portfolio may make distributions that represent a return of capital for tax purposes to the extent of the Unitholder's basis in the Units, and any additional amounts in excess of basis would be taxed as a capital gain. Generally, you will treat all capital gains dividends as long-term capital gains regardless of how long you have owned your Units.

2As of close of business day prior to Initial Date of Deposit. The actual distributions you may receive will vary from the estimated amount due to changes in the Portfolio's fees and expenses, in actual income received by the Portfolio, currency fluctuations and with changes in the Portfolio such as acquisition or liquidation of securities.



About risk

There is no assurance the trust will achieve its investment objective. An investment in this unit investment trust is subject to market risk, which is the possibility that the market values of securities owned by the trust will decline and that the value of trust units may therefore be less than what you paid for them. This trust is unmanaged and its portfolio is not intended to change during the trust's life except in limited circumstances. Accordingly, you can lose money investing in this trust.

The trust should be considered as a part of a long-term investment strategy and you should consider your ability to pursue it by investing in successive trusts, if available. You will realize tax consequences associated with investing from one series to the next.

Stocks of small capitalization companies are often more volatile than those of larger companies as a result of several factors such as limited trading volumes, products or financial resources, management inexperience and less publicly available information.

This trust is concentrated in the consumer discretionary sector. Companies that manufacture and distribute consumer products face risks such as intense competition, the lack of serious barriers to entry for on-line entrants, economic recession and a slowdown in consumer spending trends.

as of 04/10/2014
Stocks Symbol Sector Market Cap/
Style
Weighting
(%)
Amedisys Inc AMED Health Care Small-Cap Blend 2.38
Brunswick Corp BC Consumer Discretionary Mid-Cap Blend 2.69
Buckle Inc BKE Consumer Discretionary Small-Cap Value 2.04
Chemed Corporation CHE Health Care Small-Cap Blend 2.46
Ebix, Inc. EBIX Information Technology Small-Cap Blend 2.02
Emcor Group Inc EME Industrial Small-Cap Blend 2.49
Emergent Biosolutions, Inc. EBS Health Care Small-Cap Growth 2.83
Ethan Allen Interiors ETH Consumer Discretionary Small-Cap Blend 1.75
Ezcorp Inc- Cl A EZPW Financials Small-Cap Value 1.07
First Financial Bankshares Incorporated FFIN Financials Small-Cap Blend 2.82
Franklin Electric Company, Inc. FELE Industrial Small-Cap Blend 2.41
Genesco Inc GCO Consumer Discretionary Small-Cap Blend 2.64
Glatfelter GLT Materials Small-Cap Value 3.00
Gulfport Energy Corporation GPOR Energy Mid-Cap Growth 3.73
Iconix Brand Group, Inc. ICON Consumer Discretionary Small-Cap Growth 3.26
Icu Medical Inc ICUI Health Care Small-Cap Blend 1.84
J2 Global, Inc. JCOM Information Technology Small-Cap Growth 2.92
Kaiser Aluminum Corp KALU Materials Small-Cap Blend 2.24
Kelly Services Inc KELYA Industrial Small-Cap Blend 2.80
Kulicke & Soffa Inds Inc KLIC Information Technology Other Other 1.95
Lindsay Corporation LNN Industrial Small-Cap Blend 1.97
Lithia Motors Inc LAD Consumer Discretionary Small-Cap Growth 3.36
Movado Group Inc MOV Consumer Discretionary Small-Cap Blend 2.49
Mts Sys Corp MTSC Information Technology Small-Cap Blend 2.47
Navigant Consulting Co NCI Industrial Small-Cap Blend 3.11
Navigators Group Inc NAVG Financials Small-Cap Blend 2.21
Netgear NTGR Information Technology Small-Cap Blend 1.69
Orbital Sciences Corp ORB Industrial Small-Cap Growth 3.57
Portfolio Recovery Associates, Inc. PRAA Financials Small-Cap Growth 3.34
Rli Corporation RLI Financials Small-Cap Blend 2.61
Schweitzer-Mauduit International, Incorporated SWM Materials Small-Cap Blend 1.93
Select Comfort Corporation SCSS Consumer Discretionary Small-Cap Blend 1.25
Standard Motor Products, Inc. SMP Consumer Discretionary Small-Cap Value 3.10
Steve Madden, Ltd. SHOO Consumer Discretionary Small-Cap Blend 2.46
Sturm Ruger & CO Inc RGR Consumer Discretionary Small-Cap Growth 2.54
Synnex Corp SNX Information Technology Small-Cap Value 3.93
Teletech Hldgs Inc TTEC Information Technology Small-Cap Blend 2.64
Tetra Tech, Inc. TTEK Industrial Small-Cap Blend 2.04
Unifirst Corp UNF Industrial Small-Cap Blend 2.37
Universal Health Rlty Income UHT Financials Small-Cap Blend 1.58

1The Trust will make distributions of income and capital on each monthly Distribution Date to Unit holders of record on the preceding Record Date, provided that the total cash held for distribution equals at least the amount set forth under the Essential Information section of the prospectus. Undistributed income and capital will be distributed in the next quarter in which the total cash held for distribution equals at least the amount set forth under the Essential Information section of the prospectus.

  Estimated Annual Income Per Unit is as of the date listed in the prospectus and is based on the most recently declared monthly dividends or interim and final dividends accounting for any foreign withholding taxes, but may also be based upon several recently declared dividends. The actual net annual dividend distributions you receive will vary from the estimate set forth above with changes in the trust's fees and expenses, in dividends received, currency fluctuations and with the sale of securities. The actual net annual dividends are expected to decrease over time because a portion of the securities included in the trust will be sold over time to pay for organization costs. Securities may also be sold to pay regular fees and expenses during the trust's life.

  The portfolio may make distributions that represent a return of capital for tax purposes to the extent of the Unitholder's basis in the Units, and any additional amounts in excess of basis would be taxed as a capital gain. Generally, you will treat all capital gains dividends as long-term capital gains regardless of how long you have owned your Units.

2As of close of business day prior to Initial Date of Deposit. The actual distributions you may receive will vary from the estimated amount due to changes in the Portfolio's fees and expenses, in actual income received by the Portfolio, currency fluctuations and with changes in the Portfolio such as acquisition or liquidation of securities.

The trust portfolio is provided for informational purposes only and should not be deemed as a recommendation to buy or sell the individual securities shown above.

Morningstar Equity Style Box™ Information
Morningstar is the source for the style box and style/market cap classifications that appear above. The Morningstar Equity Style Box™ is based on holdings as of the date shown above. The Morningstar Equity Style Box™ placement is based on two variables. First, on the market capitalization of the stocks in the trust's portfolio relative to the movement of the market and second, the valuation by comparing the stocks in the trust's portfolio with the most relevant of the three market capitalization groups. A Morningstar equity style box classification is not assigned if more than 10% of a trust's portfolio securities are unclassified as to market cap or style.
Source: Morningstar, Inc., Chicago, IL 312-696-6000

© 2012 Morningstar, Inc. All Rights Reserved. The information contained herein: (1) is proprietary to Morningstar and/or its content providers; (2) may not be copied or distributed; and (3) is not warranted to be accurate, complete or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information. Past performance is no guarantee of future results.

Value, blend and growth are types of investment styles. Growth investing generally seeks stocks that offer the potential for greater-than-average earnings growth, and may entail greater risk than value or blend investing. Value investing generally seeks stocks that may be sound investments but are temporarily out of favor in the marketplace, and may entail less risk than growth investing. A blend investment combines the two styles.

Value, blend and growth are types of investment styles. Growth investing generally seeks stocks that offer the potential for greater-than-average earnings growth, and may entail greater risk than value or blend investing. Value investing generally seeks stocks that may be sound investments but are temporarily out of favor in the marketplace, and may entail less risk than growth investing. A blend investment combines the two styles.



About risk

There is no assurance the trust will achieve its investment objective. An investment in this unit investment trust is subject to market risk, which is the possibility that the market values of securities owned by the trust will decline and that the value of trust units may therefore be less than what you paid for them. This trust is unmanaged and its portfolio is not intended to change during the trust's life except in limited circumstances. Accordingly, you can lose money investing in this trust.

The trust should be considered as a part of a long-term investment strategy and you should consider your ability to pursue it by investing in successive trusts, if available. You will realize tax consequences associated with investing from one series to the next.

Stocks of small capitalization companies are often more volatile than those of larger companies as a result of several factors such as limited trading volumes, products or financial resources, management inexperience and less publicly available information.

This trust is concentrated in the consumer discretionary sector. Companies that manufacture and distribute consumer products face risks such as intense competition, the lack of serious barriers to entry for on-line entrants, economic recession and a slowdown in consumer spending trends.

as of 04/11/2014

SMLC0131

  • Offer Price -
  • WRAP Price -
  • Bid Price $11.82515
  • Liquidation Price $11.82515

Trust Specifics

  • Jan 10, 2013 Deposit Date
  • Jan 10, 2013 -
    Apr 10, 2013
    Scheduled
    Primary Offering
    Period
  • ISCCIX Nasdaq Symbol
  • 15 months Term of Trust
  • Apr 11, 2014 Termination Date
  • Tax Status:
    Regulated Investment Company
  • Public Offering Price
    (End of deposit date) $10.00000
  • Sales Charge Schedule
  • Sales Charge Volume Discount
  • Est. Net Annual
    Income1 n/a
  • Initial Payable Date2 Aug 25, 2013
  • Initial Record Date2 Aug 10, 2013
  • Re-Investment Options:
    Reinvest, Cash, Wrap Reinvest, Wrap Cash
  • Estimated Frequency of Offering:
    3 months
CUSIPs Regular CUSIP Wrap Fee
Cash CUSIP 46132Y224 46132Y240
Re-invest CUSIP 46132Y232 46132Y257
Investors in fee-based accounts will not be assessed the initial or deferred sales charges for eligible fee-based purchases and must purchase units with a Wrap Fee CUSIP.