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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 09/21/2018)
$16.88
Total Assets
(as of 08/31/2018)
$734.33 MM
Gross Expense Ratio
(as of 08/31/2018)
1.45%
Net Expense Ratio
(as of 08/31/2018)
1.45%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 08/31/2018
as of 06/30/2018

Include Sales Charge
Include Sales Charge
Include Sales Charge
Include Sales Charge
Cumulative
Annualized
3 mo ytd as of 2018-06-30
  • C
1 yr 3 yr 5 yr since inception
Main Street Small Cap Fund® (NAV)
8.34% 7.54% 14.22% 9.09% 11.71% 11.11%
Russell 2000® Index
7.75% 7.66% 17.57% 10.96% 12.46% 11.78%
Cumulative
Annualized
3 mo ytd as of 2018-06-30
  • C
1 yr 3 yr 5 yr since inception
Main Street Small Cap Fund® (with sales charge)
8.34% 7.54% 14.22% 9.09% 11.71% 11.11%
Russell 2000® Index
7.75% 7.66% 17.57% 10.96% 12.46% 11.78%
Cumulative
Annualized
3 mo ytd as of 2018-08-31
  • C
1 yr 3 yr 5 yr since inception
Main Street Small Cap Fund® (NAV)
8.69% 15.22% 23.88% 14.43% 12.39% 12.19%
Russell 2000® Index
6.89% 14.26% 25.45% 16.11% 13.00% 12.64%
Cumulative
Annualized
3 mo ytd as of 2018-08-31
  • C
1 yr 3 yr 5 yr since inception
Main Street Small Cap Fund® (with sales charge)
8.69% 15.22% 23.88% 14.43% 12.39% 12.19%
Russell 2000® Index
6.89% 14.26% 25.45% 16.11% 13.00% 12.64%
Gross Expense Ratio: 1.45% | Net Expense Ratio: 1.45%

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%

Date Main Street Small Cap Fund® Russell 2000® Index MSCI World
8/31/2013 0.00 0.00 0.00
9/30/2013 5.84 6.38 5.00
10/31/2013 7.30 9.06 9.11
11/30/2013 10.03 13.42 11.05
12/31/2013 12.79 15.66 13.40
1/31/2014 11.32 12.46 9.20
2/28/2014 16.51 17.75 14.67
3/31/2014 17.29 16.95 14.83
4/30/2014 13.28 12.42 16.01
5/31/2014 13.86 13.32 18.29
6/30/2014 17.68 19.35 20.41
7/31/2014 12.69 12.12 18.49
8/31/2014 19.15 17.68 21.10
9/30/2014 12.10 10.56 17.81
10/31/2014 21.11 17.85 18.57
11/30/2014 23.16 17.96 20.95
12/31/2014 25.65 21.32 19.00
1/31/2015 20.74 17.42 16.84
2/28/2015 28.21 24.39 23.69
3/31/2015 29.39 26.55 21.75
4/30/2015 25.36 23.33 24.61
5/31/2015 28.50 26.14 25.04
6/30/2015 29.68 27.09 22.13
7/31/2015 27.91 25.61 24.32
8/31/2015 20.54 17.72 16.09
9/30/2015 14.35 11.94 11.81
10/31/2015 19.95 18.25 20.67
11/30/2015 23.59 22.09 20.07
12/31/2015 17.94 15.96 17.96
1/31/2016 9.27 5.77 10.90
2/29/2016 9.76 5.76 10.08
3/31/2016 17.74 14.20 17.55
4/30/2016 19.02 15.99 19.41
5/31/2016 22.17 18.61 20.08
6/30/2016 21.29 18.53 18.73
7/31/2016 27.00 25.61 23.75
8/31/2016 27.30 27.83 23.85
9/30/2016 26.80 29.25 24.51
10/31/2016 23.45 23.11 22.10
11/30/2016 34.69 36.84 23.86
12/31/2016 38.88 40.67 26.82
1/31/2017 40.46 41.23 29.88
2/28/2017 43.72 43.95 33.49
3/31/2017 44.31 44.14 34.91
4/30/2017 46.98 45.72 36.91
5/31/2017 43.82 42.76 39.80
6/30/2017 48.26 47.69 40.34
7/31/2017 48.36 48.79 43.70
8/31/2017 46.39 46.90 43.90
9/30/2017 55.08 56.06 47.13
10/31/2017 56.36 57.39 49.91
11/30/2017 57.55 61.93 53.16
12/31/2017 57.59 61.28 55.23
1/31/2018 60.92 65.49 63.43
2/28/2018 52.69 59.08 56.66
3/31/2018 56.54 61.14 53.24
4/30/2018 57.38 62.53 55.00
5/31/2018 67.29 72.40 55.97
6/30/2018 69.68 73.63 55.90
7/31/2018 71.88 76.66 60.77
8/31/2018 81.89 84.28 62.76
$ per share as of 09/24/2018

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

(32.2% of assets as of 08/31/2018)


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 96.6% 99.8% -3.2%
Developed Markets Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Americas 96.6% 100.0% -3.3%
Equity Sector Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Industrials 18.6% 15.1% 3.5%
Information Technology 17.4% 15.4% 2.0%
Health Care 14.2% 16.2% -2.1%
Financials 13.7% 17.7% -4.0%
Consumer Discretionary 11.5% 13.4% -1.8%
Real Estate 6.3% 7.0% -0.7%
Materials 4.2% 4.1% 0.0%
Energy 4.1% 4.7% -0.5%
Utilities 3.9% 3.0% 0.9%
Consumer Staples 2.6% 2.7% 0.0%
Industry Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Banks 7.9% 9.7% -1.8%
Internet Software & Services 6.7% 3.7% 3.1%
Equity Real Estate Investment Trusts (REITs) 6.3% 6.5% -0.2%
Machinery 5.2% 3.8% 1.4%
Professional Services 4.6% 1.6% 3.0%
Software 4.6% 2.8% 1.8%
Health Care Providers & Services 4.3% 1.9% 2.4%
Specialty Retail 4.1% 3.1% 1.0%
Oil Gas & Consumable Fuels 4.1% 2.9% 1.2%
IT Services 3.9% 1.9% 2.0%
Biotechnology 3.6% 6.6% -3.0%
Hotels Restaurants & Leisure 3.3% 3.1% 0.2%
Metals & Mining 3.2% 1.2% 1.9%
Health Care Equipment & Supplies 3.2% 3.8% -0.6%
Auto Components 3.0% 1.0% 2.0%
Thrifts & Mortgage Finance 2.7% 2.2% 0.5%
Multi-Utilities 2.6% 0.4% 2.2%
Commercial Services & Supplies 2.3% 2.5% -0.2%
Construction & Engineering 2.1% 1.0% 1.0%
Semiconductors & Semiconductor Equipment 2.1% 2.6% -0.5%
Asset Allocation Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Equity 96.6% 100.0% -3.4%
Market Cap Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Small 56.3% 74.2% -17.9%
Mid 40.4% 25.8% 14.6%
Analytics
(As of 08/31/2018)

Morningstar 08/31/2018 (based on risk adjusted performance)
Overall Rating
Number of Funds
645
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
0.11
0.59
Beta
0.89
0.90
Information Ratio
-0.50
-0.18
R-Squared
93.96
93.90
Sharpe Ratio
1.10
0.95
Standard Deviation
12.28
12.64
Upside Capture
90.65
92.48
Downside Capture
91.70
90.01
Sortino Ratio
1.94
1.62
Win Ratio
42.00
47.00
Loss Ratio
58.00
53.00
Tracking Error
3.38
3.40
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$3.12 B
$2.46 B
Median Market Cap (weighted)
$3.02 B
$2.31 B
P/E Ratio (LTM)
23.92
27.82
P/E Ratio (NTM)
20.18
20.38
Price/Book
2.73
2.53
Debt to Capital Ratio
38.07
37.03
Turnover Ratio
52%
-
Active Share
92.03%
-
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
12/8/2017
Per Share ($)
$0.0151
12-Month Distribution ($)
$0.0151
Distribution Sources
  • D
Net Income
2.10%
Net Profit from Sale
92.10%
Other Capital Sources
5.80%
Team
Tools
Morningstar logo 95x28 trans
Documents
  1. 1. 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. The Russell 2000® Index  measures the performance of the small-cap segment of the U.S. equity universe. The Russell 2000 Index is a subset of the Russell 3000 Index representing approximately 10% of the total market capitalization of that index. It includes approximately 2000 of the smallest securities based on a combination of their market cap and current index membership. The index is unmanaged and cannot be purchased directly by investors.   Index performance is shown for illustrative purposes only and does not predict or depict performance of the Fund. Past performance does not guarantee future results.
  4. 4. Holdings are subject to change, and are dollar weighted based on total new 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. 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.
  8. 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.
  9. 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.
  10. D. There is no guarantee of the payment of any dividend or other distributions at any level.
  11. 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.
  12. 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.
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