Unit Trusts


Nuveen Large Cap Dividend Portfolio, 4Q 2015

Portfolio Holdings

Apple Inc.AAPLInformation Technology4.03 %
Viacom Inc.VIABConsumer Discretionary4.03 %
AbbVie Inc.ABBVHealth Care4.02 %
Microsoft CorporationMSFTInformation Technology4.02 %
McDonald's CorporationMCDConsumer Discretionary4.02 %
The Home Depot, Inc.HDConsumer Discretionary4.01 %
UnitedHealth Group IncorporatedUNHHealth Care4.01 %
Aflac IncorporatedAFLFinancials4.01 %
Pfizer Inc.PFEHealth Care4.01 %
Caterpillar Inc.CATIndustrials4.01 %
Amgen Inc.AMGNHealth Care4.01 %
General Motors CompanyGMConsumer Discretionary4.01 %
The Boeing CompanyBAIndustrials4.01 %
Verizon Communications Inc.VZTelecommunication Services4.00 %
Philip Morris International Inc.PMConsumer Staples4.00 %
Deere & CompanyDEIndustrials4.00 %
Target CorporationTGTConsumer Discretionary4.00 %
Merck & Co., Inc.MRKHealth Care3.99 %
Exelon CorporationEXCUtilities3.99 %
Las Vegas Sands Corp.LVSConsumer Discretionary3.99 %
The Travelers Companies, Inc.TRVFinancials3.99 %
Macy's, Inc.MConsumer Discretionary3.98 %
Anthem, Inc.ANTMHealth Care3.97 %
Gilead Sciences, Inc. GILDHealth Care3.95 %
Cummins Inc.CMIIndustrials3.94 %

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. 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. There can be no guarantee dividend payments from securities held in the trust, if any, will increase or that dividend yield on securities in the trust will be greater than the yield of any index mentioned herein.

A portfolio concentrated in a single market sector may present more risk than a portfolio broadly diversified over several sectors.
This trust is concentrated in the consumer products sectors. Some of the general risks of companies in the consumer products sectors include cyclicality of revenues and earnings, economic recession, currency fluctuations, changing consumer tastes, extensive competition, product liability litigation and increased government regulation.
This trust is concentrated in the health care sector. There are certain risks specific to the health care companies such as governmental regulation and the risk that a product may never come to pass.

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.


Incapital Unit Trust, Series 97, is a unit investment trust that consists of the Nuveen Large Cap Dividend Portfolio, 4Q 2015. Nuveen Securities, LLC serves as the Trust’s sponsor and Nuveen Fund Advisors, LLC serves as the Trust’s evaluator and supervisor.

The S&P 500® is a market weighted index of 500 stocks that are traded on the NYSE, NYSE MKT, and NASDAQ. “Standard & Poor’s®”, “S&P®” and “S&P 500®” are registered trademarks of Standard & Poor’s Financial Services LLC (“Standard & Poor’s”). The trust 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. The Trust does not seek to match the performance or composition of the S&P 500® Index.

The “Russell 1000® Index” and all other Russell index names are registered trademarks of Russell Investment Group. The portfolio is not sponsored, endorsed, sold or promoted by Russell Investment Group and Russell Investment Group does not make any representation regarding the advisability of investing in the securities.

Nuveen Asset Management, LLC provides the trust with portfolio consulting services. Nuveen Asset Management, LLC is a registered investment adviser and subsidiary of Nuveen, LLC. The Trust is distributed by Nuveen Securities, LLC, a subsidiary of Nuveen, LLC. The Nuveen Asset Management, LLC name and logo are registered marks of Nuveen, LLC.

Trust Summary

Trust NameNuveen Large Cap Dividend Portfolio, 4Q 2015
Series Name4Q 2015
Trust SymbolNLD4Q15
Nasdaq SymbolINNLGX
Trust StatusTerminated
Initial Offer Date10/19/2015
Termination Date01/13/2017
First Income Record Date12/17/2015
Distibution FrequencyQuarterly
Tax StructureRIC
Liquidation Price1$10.5532
Cash CUSIP45331E104
Reinvest CUSIP45331E112
Fee Cash CUSIP45331E120
Fee Reinvest CUSIP45331E138

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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