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Main Street Small Cap Fund®®®®

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Overview

The Strategy typically invests in small-cap U.S. company stocks.

Inception Date
May 17, 2013
Investment Style
Small Cap Core
Fund Index
Russell 2000® Index
CUSIP
68385H302
NAV
  • A
(as of 01/16/2018)
$15.27
Total Assets
(as of 12/31/2017)
$576.00 MM
Gross Expense Ratio
(as of 12/31/2017)
1.49%
Net Expense Ratio
(as of 12/31/2017)
1.49%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 12/31/2017
  • G
as of 12/31/2017
  • G

Include Sales Charge
Include Sales Charge
Include Sales Charge
Include Sales Charge
  • G
Cumulative
Annualized
1 mo 3 mo ytd as of 2017-12-31
  • C
1 yr 3 yr since inception
Main Street Small Cap Fund® (NAV)
-0.04% 1.57% 13.21% 13.21% 7.55% 10.63%
Russell 2000® Index
-0.40% 3.34% 14.65% 14.65% 9.96% 11.33%
Cumulative
Annualized
1 mo 3 mo ytd as of 2017-12-31
  • C
1 yr 3 yr since inception
Main Street Small Cap Fund® (with sales charge)
-0.04% 1.57% 13.21% 13.21% 7.55% 10.63%
Russell 2000® Index
-0.40% 3.34% 14.65% 14.65% 9.96% 11.33%
Cumulative
Annualized
1 mo 3 mo ytd as of 2017-12-31
  • C
1 yr 3 yr since inception
Main Street Small Cap Fund® (NAV)
-0.04% 1.57% 13.21% 13.21% 7.55% 10.63%
Russell 2000® Index
-0.40% 3.34% 14.65% 14.65% 9.96% 11.33%
Cumulative
Annualized
1 mo 3 mo ytd as of 2017-12-31
  • C
1 yr 3 yr since inception
Main Street Small Cap Fund® (with sales charge)
-0.04% 1.57% 13.21% 13.21% 7.55% 10.63%
Russell 2000® Index
-0.40% 3.34% 14.65% 14.65% 9.96% 11.33%
Gross Expense Ratio: 1.49% | Net Expense Ratio: 1.49%

The performance data quoted represents past performance, which does not guarantee future results. The investment return and principal value of an investment in the Fund will fluctuate so that an investor's shares, when redeemed, may be worth more or less than the original cost. Current performance and expense ratios may be lower or higher than the data quoted. Fund returns include changes in share price are subject to a 0.25% annual asset-backed sales charge. Prior to 7/1/14, Class R shares were named Class N shares and were subject to a 1% CDSC (18 months). Returns do not consider capital gains or income taxes on an individual's investment.


Year Main Street Small Cap Fund® Russell 2000® Index
2014 10.98% 4.89%
2015 -6.39% -4.41%
2016 17.40% 21.31%
2017 13.21% 14.65%

The performance data quoted represents past performance, which does not guarantee future results. The investment return and principal value of an investment in the Fund will fluctuate so that an investor's shares, when redeemed, may be worth more or less than the original cost. Current performance and expense ratios may be lower or higher than the data quoted. Fund returns include changes in share price are subject to a 0.25% annual asset-backed sales charge. Prior to 7/1/14, Class R shares were named Class N shares and were subject to a 1% CDSC (18 months). Returns do not consider capital gains or income taxes on an individual's investment.


Date Main Street Small Cap Fund® Russell 2000® Index MSCI World
12/31/2014 0.00 0.00 0.00
1/31/2015 -3.91 -3.22 -1.81
2/28/2015 2.03 2.53 3.94
3/31/2015 2.97 4.32 2.31
4/30/2015 -0.23 1.65 4.71
5/31/2015 2.27 3.98 5.07
6/30/2015 3.21 4.75 2.63
7/31/2015 1.80 3.54 4.47
8/31/2015 -4.07 -2.97 -2.44
9/30/2015 -8.99 -7.73 -6.04
10/31/2015 -4.53 -2.53 1.41
11/30/2015 -1.64 0.64 0.90
12/31/2015 -6.14 -4.41 -0.87
1/31/2016 -13.04 -12.82 -6.80
2/29/2016 -12.65 -12.82 -7.50
3/31/2016 -6.30 -5.87 -1.22
4/30/2016 -5.28 -4.39 0.35
5/31/2016 -2.77 -2.23 0.91
6/30/2016 -3.48 -2.30 -0.22
7/31/2016 1.07 3.54 3.99
8/31/2016 1.31 5.37 4.08
9/30/2016 0.92 6.54 4.63
10/31/2016 -1.75 1.48 2.61
11/30/2016 7.19 12.79 4.08
12/31/2016 10.53 15.95 6.57
1/31/2017 11.78 16.41 9.15
2/28/2017 14.38 18.66 12.17
3/31/2017 14.85 18.81 13.37
4/30/2017 16.97 20.12 15.05
5/31/2017 14.46 17.67 17.48
6/30/2017 17.99 21.74 17.93
7/31/2017 18.07 22.64 20.76
8/31/2017 16.50 21.08 20.93
9/30/2017 23.42 28.64 23.64
10/31/2017 24.44 29.74 25.98
11/30/2017 25.38 33.48 28.71
12/31/2017 25.42 32.94 0.00

The performance data quoted represents past performance, which does not guarantee future results. The investment return and principal value of an investment in the Fund will fluctuate so that an investor's shares, when redeemed, may be worth more or less than the original cost. Current performance and expense ratios may be lower or higher than the data quoted. Fund returns include changes in share price are subject to a 0.25% annual asset-backed sales charge. Prior to 7/1/14, Class R shares were named Class N shares and were subject to a 1% CDSC (18 months). Returns do not consider capital gains or income taxes on an individual's investment.

$ per share as of 01/17/2018

Date 2013 2014 2015 2016 2017
Short Term 0.0374 0.0415 0.2565
Long Term 0.5487
Total Amount of Distribution 0.0374 0.0415 0.8052
Record Date 12/11/13 12/10/14 12/7/17
Ex Div Date 12/12/13 12/11/14 12/8/17
Pay Date 12/13/13 12/11/14 12/8/17

There is no guarantee of the payment of any dividend or other distributions at any level.

Portfolio

Top Issuers

(33.2% of assets as of 12/31/2017)


Portfolio Holdings Breakdown

Country
Developed Markets
Equity Sector
Industry
Asset Allocation
Market Cap 5
Country Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
United States 95.8% 99.8% -4.1%
Canada 1.1% 0.0% 1.0%
Bermuda 0.8% 0.1% 0.7%
Belgium 0.4% - -
Developed Markets Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Americas 97.6% 100.0% -2.3%
Europe 0.4% - -
Equity Sector Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Industrials 19.0% 15.4% 3.7%
Information Technology 18.0% 16.6% 1.4%
Financials 16.6% 17.8% -1.1%
Health Care 10.5% 15.3% -4.9%
Consumer Discretionary 10.4% 12.5% -2.2%
Real Estate 7.4% 6.7% 0.6%
Materials 5.3% 4.5% 0.7%
Utilities 4.3% 3.6% 0.7%
Consumer Staples 3.4% 2.8% 0.6%
Energy 3.2% 4.0% -0.8%
Industry Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Banks 10.4% 10.1% 0.3%
Equity Real Estate Investment Trusts (REITs) 6.4% 6.3% 0.1%
Software 5.4% 3.6% 1.8%
Internet Software & Services 5.0% 3.3% 1.8%
Semiconductors & Semiconductor Equipment 4.6% 3.1% 1.5%
Machinery 3.9% 3.9% 0.0%
Professional Services 3.9% 1.2% 2.7%
Biotechnology 3.3% 6.1% -2.8%
Metals & Mining 3.2% 1.3% 1.9%
Health Care Equipment & Supplies 3.2% 3.7% -0.5%
Commercial Services & Supplies 3.2% 2.4% 0.8%
Multi-Utilities 3.0% 0.5% 2.5%
Oil Gas & Consumable Fuels 3.0% 2.4% 0.5%
IT Services 2.9% 1.8% 1.1%
Specialty Retail 2.9% 2.2% 0.7%
Hotels Restaurants & Leisure 2.7% 3.2% -0.5%
Thrifts & Mortgage Finance 2.7% 2.3% 0.4%
Pharmaceuticals 2.5% 2.3% 0.2%
Construction & Engineering 2.2% 1.3% 0.9%
Auto Components 1.9% 1.2% 0.7%
Asset Allocation Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Equity 98.0% 100.0% -2.0%
Market Cap Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Small 88.2% 94.2% -6.0%
Mid 9.8% 5.6% 4.1%
Analytics
(As of 12/31/2017)

Morningstar 12/31/2017 (based on risk adjusted performance)
Overall Rating
Number of Funds
652
Category
Small Blend
Performance Statistics
3Y
Alpha
-1.19
Beta
0.88
Information Ratio
-0.78
R-Squared
95.87
Sharpe Ratio
0.60
Standard Deviation
12.66
Upside Capture
86.19
Downside Capture
93.09
Sortino Ratio
0.29
Win Ratio
42.00
Loss Ratio
58.00
Tracking Error
3.09
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
12/8/2017
Per Share ($)
$0.0151
12-Month Distribution ($)
$0.0151
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$2.60 B
$2.40 B
Median Market Cap (weighted)
$2.40 B
$2.10 B
P/E Ratio (LTM)
32.02
38.59
P/E Ratio (NTM)
19.71
23.37
Price/Book
2.41
2.46
Debt to Capital Ratio
44.10
37.68
Turnover Ratio
67.00%
-
Distribution Sources
  • D
Net Income
7.50%
Net Profit from Sale
52.20%
Other Capital Sources
40.30%
Team
Documents
  1. 1. Special Risks Small-sized company stock is typically more volatile than that of larger company stock. It may take a substantial period of time to realize a gain on an investment in a small-sized company, if any gain is realized at all. Diversification does not guarantee profit or protect against loss.
  2. 2. The net expense ratio (where applicable) also takes into account contractual fee waivers and/or expense reimbursements without which performance would have been less. These undertakings may not be amended or withdrawn for one year from the date of the current prospectus, unless approved by the Board.
  3. 3. Access index definitions.
  4. 4. Holdings are subject to change, and are dollar weighted based on total net assets. Negative weightings may result from the use of leverage. Leverage involves the use of various financial instruments or borrowed capital in an attempt to increase investment return. Leverage risks include potential for higher volatility, greater decline of the fund's net asset value and fluctuations of dividends and distributions paid by the fund.
  5. 5. Holdings are subject to change, are dollar-weighted based on assets, and may not reflect the use of leverage in the Fund. Market Cap breakdown is calculated using Morningstar's methodology and those capitalization standards may not align with those in the Fund’s prospectus.
  6. 6. Class I shares are only offered to eligible institutional investors that make a minimum initial investment of $1 million or more and to retirement plan service provider platforms. The minimum account balance for class I shares is $2.5 million. Class I shares are sold at net asset value without a sales charge. Please see Fund prospectuses for additional information.
  7. 7. Prior to 7/1/14, Class R shares were named Class N shares. Beginning 7/1/14, new purchases of Class R shares will no longer be subject to a CDSC upon redemption (any CDSC will remain in effect for purchases prior to 7/1/14),
  8. A. Daily net asset value and dollar change of the fund is as of the previous business day's closing. Fund net asset values are updated at approximately 7:00pm ET daily.
  9. B. The performance data quoted represents past performance, which does not guarantee future results. The investment return and principal value of an investment in the Fund will fluctuate so that an investor's shares, when redeemed, may be worth more or less than the original cost. Current performance and expense ratios may be lower or higher than the data quoted. Fund returns include changes in share price, reinvested distributions, and a 5.75% maximum sales charge where indicated. Returns do not consider capital gains or income taxes on an individual's investment.
  10. C. "Year to Date" returns are cumulative, not annualized, and do not reflect sales charges (if sales charges are applicable to the Fund). These returns would be lower if sales charges were taken into consideration. Short-term returns may not be indicative of longer-term performance, which should also be considered when making investment decisions.
  11. D. There is no guarantee of the payment of any dividend or other distributions at any level.
  12. E. The performance data quoted represents past performance, which does not guarantee future results. The investment return and principal value of an investment in the Fund will fluctuate so that an investor's shares, when redeemed, may be worth more or less than the original cost. Current performance and expense ratios may be lower or higher than the data quoted. Fund returns include changes in share price and reinvested distributions and a 1% contingent deferred sales charge for the first year where indicated. Class C shares are subject to a 0.75% annual asset-backed sales charge. Returns do not consider capital gains or income taxes on an individual's investment.
  13. F. The performance data quoted represents past performance, which does not guarantee future results. The investments return and principal value of an investment in the Fund will fluctuate so that an investor's shares, when redeemed, may be worth more or less than the original cost. Current performance and expense ratios may be lower or higher than the data quoted. Fund returns include changes in share price and reinvested distributions. Class I shares are not subject to a sales charge. Returns do not consider capital gains or income taxes on an individual's investment.
  14. G. The performance data quoted represents past performance, which does not guarantee future results. The investment return and principal value of an investment in the Fund will fluctuate so that an investor's shares, when redeemed, may be worth more or less than the original cost. Current performance and expense ratios may be lower or higher than the data quoted. Fund returns include changes in share price are subject to a 0.25% annual asset-backed sales charge. Prior to 7/1/14, Class R shares were named Class N shares and were subject to a 1% CDSC (18 months). Returns do not consider capital gains or income taxes on an individual's investment.
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