Unit Trusts

UIT

North American Dividend Builders Portfolio, 3Q 2012



Portfolio Holdings

NameSymbolSectorWeight
Power Financial CorporationPWF CNFinancials2.57 %
Great-West Lifeco Inc.GWO CNFinancials2.56 %
Sun Life Financial IncorporateSLFFinancials2.55 %
Power Corporation of CanadaPOW CNFinancials2.53 %
AT&T INC.TTelecommunication Services2.11 %
Accenture Ltd.ACNInformation Technology1.94 %
MICROSOFT CORPORATIONMSFTInformation Technology1.94 %
CORNING INCORPORATEDGLWInformation Technology1.93 %
Microchip Technology IncorporatedMCHPInformation Technology1.93 %
Automatic Data Processing, IncADPInformation Technology1.93 %
Xilinx, Inc.XLNXInformation Technology1.92 %
CISCO SYSTEMS, INC.CSCOInformation Technology1.92 %
Sysco CorporationSYYConsumer Staples1.86 %
Philip Morris International Inc.PMConsumer Staples1.85 %
H.J. Heinz CompanyHNZConsumer Staples1.85 %
ConAgra Foods, Inc.CAGConsumer Staples1.84 %
BCE Inc.BCE CNTelecommunication Services1.79 %
JOHNSON & JOHNSONJNJHealth Care1.57 %
ELI LILLY AND COMPANYLLYHealth Care1.56 %
PFIZER INC.PFEHealth Care1.55 %
MERCK & CO., INC.MRKHealth Care1.55 %
Abbott LaboratoriesABTHealth Care1.53 %
VALERO ENERGY CORPORATIONVLOEnergy1.53 %
EXXON MOBIL CORPORATIONXOMEnergy1.52 %
Aimia Inc.AIM CNConsumer Discretionary1.52 %
Occidental Petroleum CorporationOXYEnergy1.51 %
SCHLUMBERGER N.V. (SCHLUMBERGER LIMITED)SLBEnergy1.48 %
CHEVRON CORPORATIONCVXEnergy1.47 %
Keyera Corp.KEY CNEnergy1.29 %
Inter Pipeline FundIPL-U CN Energy1.28 %
TransCanada CorporationTRP CNEnergy1.28 %
Canadian Oil Sands Ltd.COS CNEnergy1.27 %
Cenovus Energy Inc.CVE CNEnergy1.27 %
Gibson Energy Inc.GEI CNEnergy1.27 %
Mullen Group Ltd.MTL CNEnergy1.26 %
M&T Bank CorporationMTBFinancials1.25 %
METLIFE, INC.METFinancials1.22 %
Invesco Ltd.IVZFinancials1.21 %
Principal Financial Group IncPFGFinancials1.21 %
NYSE EURONEXTNYXFinancials1.20 %
AFLAC IncorporatedAFLFinancials1.18 %
PRUDENTIAL FINANCIAL, INC.PRUFinancials1.18 %
BlackRock, Inc.BLKFinancials1.17 %
Northrop Grumman CorporationNOCIndustrials1.16 %
Emerson Electric CompanyEMRIndustrials1.14 %
Lockheed Martin CorporationLMTIndustrials1.14 %
UNITED PARCEL SERVICE, INC.UPSIndustrials1.14 %
General Dynamics CorporationGDIndustrials1.13 %
Raytheon CompanyRTNIndustrials1.13 %
Potash Corporation of Saskatchewan Inc.POT CNMaterials1.06 %
Franco-Nevada CorporationFNV CNMaterials1.05 %
Agrium Inc.AGU CNMaterials1.05 %
Shoppers Drug Mart CorporationSC CNConsumer Staples1.04 %
Pan American Silver CorporationPAA CNMaterials1.04 %
Silver Wheaton CorporationSLW CNMaterials1.04 %
Eldorado Gold CorporationELD CNMaterials1.04 %
SNC-Lavalin Group Inc.SNC CNIndustrials1.04 %
Wajax CorpWJX CNIndustrials0.98 %
Staples, Inc.SPLSConsumer Discretionary0.94 %
Hasbro, Inc.HASConsumer Discretionary0.93 %
Genuine Parts CompanyGPCConsumer Discretionary0.91 %
Gannett Co., Inc.GCIConsumer Discretionary0.91 %
Mattel, Inc.MATConsumer Discretionary0.90 %
MCDONALD'S CORPORATIONMCDConsumer Discretionary0.89 %
LOWE’S COMPANIES, INC.LOWConsumer Discretionary0.89 %
WHIRLPOOL CORPORATIONWHRConsumer Discretionary0.88 %
Duke Energy CorporationDUKUtilities0.80 %
TECO Energy, Inc.TEUtilities0.79 %
FirstEnergy CorporationFEUtilities0.78 %
CLIFFS NATURAL RESOURCES INC.CLFMaterials0.75 %
E.I. du Pont de Nemours and CoDDMaterials0.73 %
THE DOW CHEMICAL COMPANYDOWMaterials0.73 %
Emera Inc.EMA CNUtilities0.66 %
Catamaran CorporationCCT CNHealth Care0.61 %
MacDonald Dettwiler & Associates Ltd.MDA CNInformation Technology0.37 %

Data used for the Portfolio Holdings and Portfolio Allocation Characteristics is from Bloomberg Finance L.P. Portfolio holdings are provided for informational purposes only and should not be deemed as a recommendation to buy or sell individual securities. Portfolio Holdings and Portfolio Allocation Characteristics are as of deposit day and are subject to change and may vary thereafter.

The style and capitalization characteristics are designed to help investors understand how they fit into an overall investment plan. 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. Market capitalization is determined by the following criteria: Large Cap: Greater than $10 billion, Mid Cap: $2 billion-$10 billion, Small Cap: $250 million-$2 billion Micro Cap: Below $250 million.

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. 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 advisors.

Risk Considerations
There is no assurance that a unit investment 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. Accordingly, you can lose money investing in this trust.

Common stocks do not assure dividend payments. Dividends are paid only when declared by an issuer’s board of directors and the amount of any dividend may vary over time.

Stocks of small 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.

Investing in foreign securities involves certain risks not typically associated with investing solely in the United States. This may magnify volatility due to changes in foreign exchange rates, the political and economic uncertainties in foreign countries, U.S. or foreign tax treatment, and the potential lack of liquidity, government supervision and regulation.

This trust invests in securities issued by issuers operating in Canada and is subject to Canadian country risk and may be particularly susceptible to changes in the political, diplomatic and economic conditions of Canada.

Although this trust’s life is approximately 15 months, this strategy should be considered as part of a long-term investment strategy and investors should consider their ability to pursue investing in successive portfolios at the applicable sales charge, if available. There may be tax consequences associated with an investment from one series to the next unless units are purchased in an IRA or other qualified tax-deferred account. Investors should consult their tax advisor or attorney to determine tax consequences associated with an investment from one portfolio to the next.

The portfolio is selected on the basis of data as of a given date and used values that can be calculated differently.

The stocks in the portfolio are not weighted in the same manner as the basket.

NOT FDIC INSURED - NOT BANK GUARANTEED - MAY LOSE VALUE

Incapital Unit Trust, Series 9, is a unit investment trust that consists of the North American Dividend Builders Portfolio, 3Q 2012. Incapital LLC serves as the Sponsor to the Trust.

The portfolio is not sponsored, endorsed, sold or promoted by Goldman Sachs. Goldman Sachs makes no representation or warranty, express or implied, regarding (i) the advisability of investing in the portfolio, (ii) the ability of the portfolio to track the basket performance, or (iii) the reliability and accuracy of the information from third parties used to calculate the basket. Goldman Sachs’ only relationship to Incapital in connection with the Trust is the grant of a license and the payment of certain start-up costs and expenses for the trust, which is composed and calculated by Goldman Sachs, or its agent, without regard to Incapital or the portfolio. Goldman Sachs has no obligation, involvement or liability in connection with the selection, administration, marketing or trading of the portfolio. Incapital and Goldman Sachs have other business relationships which include Goldman Sachs providing investment products, such as structured notes, structured bank certificates of deposit and insurance products, for distribution by Incapital to its clients. In addition, as of the date of the prospectus and as disclosed therein, Goldman Sachs holds a minority, non-voting membership interest in the parent company of Incapital, LLC.

Goldman Sachs is not responsible for any investment decisions, damages or other losses resulting from use of the portfolio or any information provided in conjunction with it. Goldman Sachs does not guarantee the accuracy, completeness or timeliness of the portfolio methodology or any portion of it and will not be liable for any errors, omissions or interruptions arising from its use. Goldman Sachs makes no express or implied warranties, and expressly disclaims all warranties of merchantability or fitness for a particular purpose or use, with respect to the portfolio methodology or any portion of it.

“Standard & Poor’s®,” “S&P®” and “S&P/TSX Composite®” are registered trademarks of Standard & Poor’s Financial Services LLC (“Standard & Poor’s”). The basket is not sponsored, endorsed, sold or promoted by Standard & Poor’s and Standard & Poor’s does not make any representation regarding the advisability of investing in the securities.

© 2012 Goldman Sachs. All rights reserved.


Trust Summary

Trust NameNorth American Dividend Builders Portfolio, 3Q 2012
Series Name3Q 2012
Trust SymbolNDB3Q12
Nasdaq SymbolINNDBX
Trust StatusTerminated
Initial Offer Date09/06/2012
Termination Date12/09/2013
First Income Record Date10/10/2012
Distibution FrequencyMonthly
Tax StructureRIC
Liquidation Price1$11.2455
Cash CUSIP45327K106
Reinvest CUSIP45327K114
Fee Cash CUSIP45327K122
Fee Reinvest CUSIP45327K130

1. 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 & development fee. This price reflects any remaining non-contingent deferred sales charges payable in connection with a liquidation of units.

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