dividend advantage portfolio (dap) · dividend news remains the key catalyst. that could change,...

EQUITY - DIVIDEND STRATEGIES

Series 2017-4Q, ADT 1830

Dividend Advantage Portfolio (DAP) Fee-Based Account UIT Fact Card

Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC.

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Fee-Based CUSIP (Cash/Reinvest) Ticker Symbol

Ticketing Information

00777G485 / 493 DAPATX

Unit price at inception (per unit) Initial redemption price (per unit) Initial date of deposit Portfolio ending date Distribution frequency Est. net annual distribution (per unit)*

Essential Information+

$9.8650 $9.8650

11/14/2017 2/21/2019

Monthly, if any $0.4441

+As of 11/13/2017 and may vary thereafter. *The estimate is generally based on the estimate of dividends the trust will receive by annualizing the most recent dividend declared. The per unit estimate will vary with changes in fees and expenses, actual dividends received and with the sales of securities. There is no guarantee that the issuers of the securities included in the trust will declare distributions in the future or that, if declared, will remain at current levels or increase over time.

Morningstar Equity Style BoxTM

Fee-Based Accounts Sales Charge and Expenses (Based on initial Fee-Based Account unit price of $9.865)++

As % of Fee-Based Public

Offering Price

Amount per unit (based on initial

unit price)

Creation & Development Fee 0.51% $0.050

Organizational Costs + 0.50% $0.049

Total One-Time Expense 1.00% $0.099

Divided by Term of Trust equals Amortized One-Time Charges*

÷ 1.27 years ÷ 1.27 years

Amortized One-Time Charges 0.79% $0.078

Estimated Annual Operating Expense

+ 0.30% +$0.030

Estimated Average Amortized Annual Expenses

1.09% $0.108

++All amounts are as of 11/13/2017 and may vary thereafter. The

Creation & Development Fee is fixed at $0.05 per unit and is paid at

the end of the initial offering period (anticipated to be approximately

three months). The Organization Costs are fixed at $0.049 per unit

and are paid at the end of the initial offering period or after six months,

if earlier. The above table is for illustrative purposes only to illustrate

how estimated trust fees and expenses translate on an annualized

basis. The above does not reflect the amount or how all fees and

expenses will actually be paid. You should consult the prospectus for

a full description of applicable sales charges and expenses of the

trust, including those applicable to purchasers eligible for the fee-

based account discount. The one-time charges shown (the Creation

& Development Fee and Organization Costs) are paid on a one-time

basis as described and are not actually amortized over the life of the

trust. The amount shown for “Amortized One-Time Charges” are

calculated by taking the one-time dollar amounts and dividing them by

the anticipated life of the based on the trust’s inception date and

mandatory termination date. The “Estimated Average Amortized

Annual Expenses” is taken by adding the “Amortized One-Time

Charges” amount and “Estimated Annual Operating Expense”

amounts.

FOR USE ONLY WITH INVESTOR ACCOUNTS ELIGIBLE FOR THE “FEE-BASED ACCOUNT” SALES CHARGE DESCRIBED ON PAGE 4

Investment Objective & Strategy The Dividend Advantage Portfolio (DAP) is a unit investment trust (UIT) that seeks to provide above-

average total return. Stocks are selected by Eugene E. Peroni, Jr. of Peroni Portfolio Advisors, Inc., the

Portfolio Consultant, for the portfolio by using a combination of the Peroni Method®, quantitative and

fundamental analysis.

DAP is a uniquely derived portfolio that relies heavily, but not entirely, on technical analysis to identify

leading stocks with attractive yields. By combining a dividend-oriented screening process with the Peroni

Method’s® technical approach, the strategy strives to give investors the advantage of identifying companies

that offer the potential for attractive distribution and growth.

In today’s stock market many dividend paying companies may offer notable and exciting growth

opportunities. DAP seeks to provide a strategically diversified portfolio of dividend paying stocks that offers

potential for above-average total return. The portfolio is constructed using a multi-cap, unconstrained

approach to stock selection. This non-formula based approach may reflect shifts in the market’s core

leadership as market conditions change, providing investors with participation in stocks of potential leading

sectors and industries.

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Dividend Advantage Portfolio (DAP)

Intelligent Investments. Independent Ideas.


Series 2017-4Q, ADT 1830 Fee-Based Account UIT Fact Card

Portfolio Holdings (as of date of deposit)

Ticker Symbol

Issue Name

Market Value Per Share*

Information Technology (4.41%)

CSCO Cisco Systems, Inc. $33.95

IBM International Business Machines Corporation 148.40

Materials (6.66%)

CF 37.37

LYB 104.19

SWM 42.71

Real Estate (17.76%)

CHCT 27.43

CCI 112.90

HST 20.03

IRM 40.99

LAMR 76.29

NHI 77.54

OUT 24.34

UDR 39.94

Telecommunication Services (4.45%)

RCI Rogers Communications, Inc. 52.37

VZ Verizon Communications, Inc. 44.75

Utilities (6.69%)

DUK Duke Energy Corporation 89.88

ETR Entergy Corporation 86.64

SO The Southern Company 51.82

*As of 11/13/2017 and may vary thereafter.

Ticker Symbol

Issue Name

Market Value Per Share*

Consumer Discretionary (6.68%)

GRMN Garmin Limited $60.58

LVS Las Vegas Sands 67.25

SIX Six Flags Entertainment 64.73

Consumer Staples (15.54%)

MO Altria Group, Inc. 65.84

BGS B&G Foods, Inc. 33.55

CPB Campbell Soup 47.27

KO The Coca-Cola 46.72

GIS General Mills, Inc. 52.97

PG The Procter & Gamble 89.00

VGR Vector Group 21.67

Energy (13.31%)

BP BP PLC 39.88

CVX Chevron 117.23

XOM Exxon Mobil 82.89

PSX Phillips 66 93.32

RDS/A Royal Dutch Shell PLC 63.90

SFL Ship Finance International Limited 15.10

Financials (13.33%)

AEG Aegon 5.96

NLY Annaly Capital Management, Inc. 11.38

BLX Banco Latinoamericano de Comercio Exterior S.A.

28.42

CG The Carlyle Group LP 21.18

CIM Chimera Investment Corporation 18.14

TWO Two Harbors Investment Corporation 15.51

Health Care (2.21%)

PFE Pfizer, Inc. 35.30

Industrials (8.96%)

AYR Aircastle Limited 22.64

LMT Lockheed Martin 312.95

MIC Macquarie Infrastructure 65.59

QUAD Quad/Graphics, Inc. 21.89

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Dividend Advantage Portfolio (DAP) Series 2017-4Q, ADT 1830 Fee-Based Account UIT Fact Card


The Peroni Method®

1 PR Newswire, S&P Dow Jones Indices Reports Increased Growth in U.S. Dividend Activity for Q3 2017, October 3, 2017

Dividend Update1

Sector Breakdown*

% of Portfolio

Real Estate 17.76%

Consumer Staples 15.54%

Financials 13.33%

Energy 13.31%

Industrials 8.96%

Utilities 6.69%

Consumer Discretionary 6.68%

Materials 6.66%

Telecommunication Services 4.45%

Information Technology 4.41%

Health Care 2.21%

Source: Global Industrial Classification Standard *As of 11/13/2017 and may vary thereafter. Breakdowns are based on the sources shown and may differ from any category definitions used in selecting the trust portfolio.

Source: Morningstar

Country of Organization*

% of Portfolio

United States 79.97%

Netherlands 4.46%

United Kingdom 4.46%

Bermuda 4.43%

Switzerland 2.24%

Canada 2.22%

Panama 2.22%

Source: Bloomberg

S&P Dow Jones Indices announced that the indicated dividend net increases (increases less decreases) for U.S. domestic common stocks increased $15.0

billion for Q3 2017. This is a 152% increase from Q3 2016, which netted a $6.0 billion gain. For the 12-month period ending September 2017, net dividend

increases were up 99.9%, to $41.5 billion, compared to $20.8 billion for the 12-month period ending September 2016.

Dividend Increases (defined as an increase or initiation in dividend payments): For U.S. domestic common stocks, 438 dividend increases were reported for

Q3 2017, compared to 427 increases for Q3 2016. For the 12-month period ending September 2017, 2,625 issues increased their payments, compared to

2,605 issues for the 2016 period.

Dividend Decreases (defined as either a decrease or suspension in dividend payments): For U.S. domestic common stocks, 93 issues decreased dividends

for Q3 2017, compared to 115 for Q3 2016, a 19.1% year-over-year decrease. For the 12-month period ending September 2017, 465 issues decreased

dividend payments, compared to 667 decreases for the 12-month period ending September 2016, a 30.3% decrease.

According to Howard Silverblatt, Senior Index Analyst at S&P Dow Jones Indices, "Dividend growth accelerated this quarter due to fewer cuts and higher

increases. With a more stable dividend base, and interest rates expected to increase, the rate of dividend growth may pick up. At this point the lack of negative

dividend news remains the key catalyst. That could change, however, if we get income tax reform or repatriation, both of which are now going through

Congress."

Holdings Style Summary*

% of Portfolio

Large-Cap Growth 2.20%

Large-Cap Value 33.31%

Large-Cap Blend 11.19%

Mid-Cap Growth 2.21%

Mid-Cap Value 15.54%

Mid-Cap Blend 8.89%

Small-Cap Growth 2.22%

Small-Cap Value 19.98%

Small-Cap Blend 2.23%

N/A 2.23%

The Peroni Method® is a proprietary form of technical analysis used by Eugene E. Peroni, Jr. of Peroni Portfolio Advisors, Inc. which uses a bottom-up approach in

selecting stocks for certain AAM sector unit investment trusts. The foundation of this methodology is the basic understanding that every stock has its own

“fingerprint” in the market place. Mr. Peroni tracks hundreds of stocks on a daily basis, identifying leading stocks and sectors in the market by analyzing price

movements, money flow trends, and relative strength characteristics. His studies include the examination of a stock’s price architecture using hand-drawn point and

figure charts which have been part of the methodology for over half a century.

This hands-on research approach may be an attractive investment alternative to traditional fundamental analysis in that it considers a stock’s individual technical

merits along with economic, monetary and geopolitical factors. The Peroni Method® may uncover emerging trends that could correspond to future stock

performance. It has endured volatile markets while providing investors with uncommon insights and unique investment opportunities.

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Dividend Advantage Portfolio (DAP) Series 2017-4Q, ADT 1830 Fee-Based Account UIT Fact Card

Gene Peroni - In The Media

Gene regularly appears on CNBC, Bloomberg Radio, CBS RadioNetwork, Fox Business Network,

MarketWatch, Nightly Business Report and Wall Street Journal Radio. He has been quoted in publications

such as The Wall Street Journal, The New York Times, U.S. News and World Report, Investors Business

Daily and Forbes. In addition, Gene produces a daily stock market commentary available in a concise, easily

accessible podcast.

Unit Investment Trusts (UITs) are sold only by prospectus. You should consider the trust’s investment objectives, risks, charges and expenses carefully before investing. Contact your financial professional or visit Advisors Asset Management online at www.aamlive.com/uit to obtain a prospectus, which contains this and other information about the trust. Read it carefully before you invest. Risks and Considerations: Unit values will fluctuate with the portfolio of underlying securities and may be worth more or less than the original purchase price at the time of redemption. There is no guarantee that the objective of the portfolio will be achieved. Additionally, the trust may terminate earlier than the specific termination date as stated in the prospectus. Consult your tax advisor for possible tax consequences associated with this investment. An investment in this unmanaged unit investment trust should be made with an understanding of the risks associated therewith that includes, but is not limited to: Common Stock: An investment in common stocks should be made with an understanding of the various risks of owning common stock, such as an economic recession and the possible deterioration of either the financial condition of the issuers of the equity securities or the general condition of the stock market. Dividend Payment Risk: Dividends are not guaranteed and a company’s future abilities to pay dividends may be limited. Moreover, it should be clear that a company currently paying dividends may cease paying dividends at any time. Long-Term Strategy: The UIT matures in 15 months and, as such, investors should consider their ability to reinvest any proceeds in a subsequent UIT, with a like or differing strategy, at the applicable sales charge. Peroni MethodTM: The Peroni MethodTM may not identify stocks that will satisfy the trust’s investment objective. Small & Mid-Size Companies: The trust is considered to be concentrated in securities issued by small and mid-size companies. These stocks are often more volatile and have lower trading volumes than stocks of larger companies. Small and mid-size companies may have limited products or financial resources, management inexperience and less publicly available information. The Morningstar Equity Style Box™: This table provides a graphical representation of the investment style of a trust based on holdings as of the date of deposit which may vary thereafter. The Morningstar Equity Style Box™ placement is based on the Morningstar market capitalization classification (determined relative to other stocks in the same geographic area) of the stocks in the trust's portfolio (vertical axis), and by comparing the growth and value characteristics of the stocks in the trust's portfolio with growth and value factors developed by Morningstar (horizontal axis). 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 blended investment combines the two styles. ©2017 Morningstar, Inc. All Rights Reserved. The information contained herein relating to the Morningstar Equity Style Box™: (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. For Use Only with Eligible Fee-Based Account Investors: During the trust’s initial offering period, investors who purchase units through registered investment advisers, certified financial planners or registered broker-dealers who in each case either charge investor accounts periodic fees for brokerage services, financial planning, investment advisory or asset management services, or provide such services in connection with an investment account for which a comprehensive “wrap fee” charge is imposed may be eligible to purchase units of the trust in fee-based accounts that are not subject to the transactional sales fee but will be subject to the creation and development fee that is collected by the sponsor (i.e. the “Fee-Based Account” sales charge). You should consult your financial advisor to determine whether you can benefit from these accounts and whether your unit purchases are eligible for this discount. To purchase units in these accounts, your financial advisor must purchase units designated with one of the Fee Account CUSIP numbers, if available. The amounts shown are different from what would be applicable for units purchased in other accounts (i.e. commission-based accounts) not eligible for this discount. See your prospectus and consult your financial advisor for more information about eligibility and applicability of the fee-based account discount. This communication may only be used with investors that are eligible for this discount.

This material is not intended to be a recommendation or investment advice, does not constitute a solicitation to buy or sell securities, and is not provided in a fiduciary capacity within the meaning of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code. The information provided does not take into account the specific objectives or circumstances of any particular investor, or suggest any specific course of action. Investment decisions should be made based on an investor’s objectives and circumstances and in consultation with his or her advisers.

Securities are available through your financial professional. Not FDIC Insured. Not Bank Guaranteed. May Lose Value. For informational purposes only and not a recommendation to purchase or sell any security.

©2017 Advisors Asset Management Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC.

18925 Base Camp Road | Monument, CO 80132 | www.aamlive.com | CRN: 2016-1122-5652 R

FOR USE ONLY WITH INVESTOR ACCOUNTS ELIGIBLE FOR THE “FEE-BASED ACCOUNT” SALES CHARGE

dividend advantage portfolio (dap) · dividend news remains the key catalyst. that could change,...

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