Unit Trusts


Nuveen Prospect Energy and Power Income Portfolio, 1Q 2017

Portfolio Holdings

Macquarie Infrastructure CorporationMICIndustrials7.20 %
FirstEnergy Corp.FEUtilities4.52 %
American Electric Power Company, Inc.AEPUtilities4.52 %
Consolidated Edison, Inc.EDUtilities4.51 %
Pinnacle West Capital CorporationPNWUtilities4.47 %
Hannon Armstrong Sustainable Infrastructure Capital, Inc. HASIFinancials4.15 %
CorEnergy Infrastructure Trust, Inc.CORRReal Estate4.11 %
Kayne Anderson Energy Total Return Fund Inc.KYEN/A3.88 %
Center Coast MLP & Infrastructure FundCENN/A3.87 %
Tortoise MLP Fund, Inc.NTGN/A3.85 %
ClearBridge American Energy MLP Fund Inc.CBAN/A3.85 %
Kayne Anderson MLP Investment CompanyKYNN/A3.84 %
First Trust MLP and Energy Income FundFEIN/A3.84 %
Chevron CorporationCVXEnergy3.39 %
SemGroup CorporationSEMGEnergy3.38 %
HollyFrontier CorporationHFC Energy3.35 %
Kinder Morgan, Inc.KMIEnergy3.34 %
BP PLCBPEnergy3.33 %
Targa Resources Corp.TRGPEnergy3.33 %
Exxon Mobil CorporationXOMEnergy3.32 %
Plains All American Pipeline, L.P. PAAEnergy2.50 %
Holly Energy Partners, L.P.HEPEnergy2.50 %
Sunoco L.P.SUNEnergy2.50 %
Enterprise Products Partners L.P.EPDEnergy2.50 %
Summit Midstream Partners, L.P.SMLPEnergy2.50 %
Energy Transfer Partners, L.P.ETPEnergy2.50 %
ONEOK Partners, L.P.OKSEnergy2.48 %
NuStar Energy L.P.NSEnergy2.47 %

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
Investing involves risk; principal loss is possible. This Trust is unmanaged and there is no guarantee that the Trust’s investment objectives will be achieved. Investing in the Trust units may involve a high degree of risk and volatility due to the speculative nature of certain alternative investment options, such as master limited partnerships, energy real estate investment trusts (REITs), utility companies and closed-end funds that invest in master limited partnerships, energy REITs and utility companies. As a result, an investment in the Trust may not be suitable for an investor with a low risk tolerance. There is no assurance that common stocks will make dividend payments. Dividends are paid only if declared by an issuer's board of directors and the amount of any dividend may vary over time. A portfolio concentrated in a single market sector or country may present more risk than a portfolio broadly diversified over several sectors or countries. The Trust is concentrated in the energy sector. There are certain risks specific to the energy sector, including the potential adverse effect of state and federal regulation, increasing costs of natural resources, commodity price risk, supply and demand risk, depletion risk and exploration risk. This trust invests in Master Limited Partnerships (MLPs). Most MLPs operate in the energy, natural resources, or real estate sectors and are subject to the risks generally applicable to those sectors, including commodity price risk, supply and demand risk, depletion risk and exploration risk. MLPs are also subject to the risk that U.S. taxing authorities could challenge the tax treatment of MLPs for federal income tax purposes, which could have a negative impact on the after-tax income available for distribution by the MLPs. This Trust invests in energy REITS and real estate companies.. The Trust invests in shares of closed-end funds which may be leveraged. Shares of closed-end funds frequently trade at a discount to their net asset value in the secondary market and the net asset value of closed-end fund shares may decrease. The use of leverage may cause higher volatility and increase the potential for loss and there is no assurance that a fund’s leveraging strategy will be successful. The Trust’s investment in other funds will result in higher expenses than investing directly in those funds. Stocks of small and mid-cap 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. The real estate industry is greatly affected by economic downturns or by changes in real estate values, rents, property taxes, interest rates, tax treatment, regulations, or the legal structure of the REIT Non-U.S. investments involve additional risks, including currency fluctuation, political and economic instability, lack of liquidity and differing legal and accounting standards. These and other risk considerations, such as various business, market, and investment risks are described in detail in the Trust’s prospectus. 


The Alerian MLP Index is a gauge of large- and mid-cap energy Master Limited Partnerships (MLPs). It is a float-adjusted, capitalization-weighted index, which includes 50 prominent companies and captures approximately 75% of available market capitalization. The S&P 500® Utilities Index comprises those companies included in the S&P 500® that are classified as members of the GICS® utilities sector. The S&P GSCI Crude Oil Index tracks performance in the crude oil market.
Nuveen Securities, LLC, a registered broker-dealer, serves as the Trust’s sponsor and Nuveen Fund Advisors, LLC serves as the Trust’s evaluator and supervisor. Prospect Capital Management L.P. serves as the portfolio consultant responsible for recommending a portfolio of securities for the Trust and is not affiliated with the Trust’s sponsor or its evaluator and supervisor.

Trust Summary

Trust NameNuveen Prospect Energy and Power Income Portfolio, 1Q 2017
Series Name1Q 2017
Trust SymbolPEP1Q17
Nasdaq SymbolNVPECX
Trust StatusSecondary
Initial Offer Date02/21/2017
Termination Date02/19/2019
First Income Record Date04/10/2017
Distibution FrequencyMonthly
Tax StructureRIC
Liquidation Price1$8.3942
Cash CUSIP67079Q107
Reinvest CUSIP67079Q115
Fee Cash CUSIP67079Q123
Fee Reinvest CUSIP67079Q131

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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