About Guggenheim Funds

Guggenheim Funds Distributors, Inc. offers strategic investment solutions for financial advisors and their valued clients. As an innovator in exchange-traded funds (ETFs), unit investment trusts (UITs) and closed-end funds (CEFs), Guggenheim Funds often leads its peers with creative investment strategy solutions. Guggenheim Funds and its affiliates provide supervision, management or servicing of assets with a commitment to consistently delivering exceptional service. Guggenheim Funds is a subsidiary of Guggenheim Partners, LLC, a global, diversified financial services firm with more than $100 billion in assets under supervision. Guggenheim Partners, through its affiliates, provides investment management, investment advisory, insurance, investment banking, and capital markets services. The firm is headquartered in Chicago and New York with a global network of offices throughout the United States, Europe, and Asia.

Guggenheim Funds Overview

INVESTMENT SOLUTIONS: ACCESS TO INNOVATION

EXCHANGE-TRADED FUNDS (ETFs)

Seeking to capture the investment potential of both innovative strategies for strategic allocations and broad market exposure for the core of a portfolio, Guggenheim Funds ETFs track what the firm believes to be best-in-class index providers. Guggenheim Funds ETFs represent both domestic and global portfolios that encompass a variety of style allocations from large-, mid- and small-cap equity to broad market, aggregate and short-term bond among others.

ETFs offer a variety of benefits for investors including a high level of liquidity, flexibility and transparency of holdings. ETFs are portfolios of securities that trade like individual stocks on major stock exchanges. They are constructed to, before expenses, track the holdings and performance of a defined index of securities and enable investors to purchase a cost-efficient and varied portfolio of securities. Guggenheim Funds ETFs can be purchased through most brokerage accounts and can be bought and sold throughout the day on the AMEX or NYSE Arca, depending on the ETF listing, during normal trading hours.

UNIT INVESTMENT TRUSTS (UITs)

Guggenheim Funds offers more than 40 unit investment trusts in a wide array of asset classes including domestic and global equity, taxable and municipal income, as well as theme, sector and multi-asset portfolios. UITs are fixed portfolios of stocks, bonds or other types of securities. UIT portfolios typically remain static through the stated life of the trust. Like mutual funds, UITs are generally regarded as liquid investments and enable investors to access a varied portfolio of securities with a relatively low minimum investment. Each Guggenheim Funds UIT is created based on a stated investment objective. The trust sponsor selects the securities for and also determines the mandatory life of the trust.

CLOSED-END FUNDS

Guggenheim Funds is a pioneer in closed-end funds, bringing to market a variety of unique strategies not previously available in a closed-end fund structure. Guggenheim Funds closed-end funds are listed on the New York Stock Exchange and feature a wide range of investment strategies for income oriented investors. Strategies include covered calls, convertible securities, municipal bonds, preferred stocks and equity income portfolios among others.