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Main Street Small Cap Fund®/VA

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Overview

The Strategy typically invests in a diversified mix of small-cap U.S. company stocks.

Inception Date
May 1, 1998
Investment Style
Small Cap Core
Fund Index
Russell 2000® Index
CUSIP
683811871
NAV
  • A
(as of 11/20/2018)
$22.21
Total Assets
(as of 10/31/2018)
$979.46 MM
Gross Expense Ratio
(as of 10/31/2018)
0.82%
Net Expense Ratio
(as of 10/31/2018)
0.80%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 10/31/2018
  • B
as of 09/30/2018
  • B

Include Sales Charge
Include Sales Charge
Include Sales Charge
Include Sales Charge
  • B
Cumulative
Annualized
ytd as of 2018-09-30
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
11.97% 13.95% 15.89% 11.17% 12.28% 8.85%
Cumulative
Annualized
ytd as of 2018-09-30
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
11.97% 13.95% 15.89% 11.17% 12.28% 8.85%
Cumulative
Annualized
ytd as of 2018-10-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
0.91% 1.82% 10.16% 8.55% 13.83% 8.27%
Cumulative
Annualized
ytd as of 2018-10-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
0.91% 1.82% 10.16% 8.55% 13.83% 8.27%
Gross Expense Ratio: 0.82% | Net Expense Ratio: 0.80%

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.  The Fund's total returns should not be expected to be the same as the returns of other funds, whether or not both funds have the same portfolio managers and/or similar names.  The Fund's total returns include reinvested distributions but do not include the charges associated with the separate account products that offer this Fund.  Such performance would have been lower if such charges were taken into account.


Year Main Street Small Cap Fund®/VA
1999 46.56%
2000 -18.34%
2001 -0.36%
2002 -15.75%
2003 44.36%
2004 19.42%
2005 9.92%
2006 15.00%
2007 -1.21%
2008 -37.83%
2009 37.20%
2010 23.41%
2011 -2.21%
2012 17.99%
2013 41.01%
2014 11.93%
2015 -5.90%
2016 18.05%
2017 14.15%

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.  The Fund's total returns should not be expected to be the same as the returns of other funds, whether or not both funds have the same portfolio managers and/or similar names.  The Fund's total returns include reinvested distributions but do not include the charges associated with the separate account products that offer this Fund.  Such performance would have been lower if such charges were taken into account.


Date Main Street Small Cap Fund®/VA Russell 2000® Index (Linked Index) MSCI World S&P 500
10/31/2008 0.00 0.00 0.00 0.00
11/30/2008 -13.73 -10.84 -6.47 -7.18
12/31/2008 -7.47 -6.00 -3.47 -6.19
1/31/2009 -17.81 -14.46 -11.93 -14.09
2/28/2009 -28.50 -23.71 -20.94 -23.24
3/31/2009 -20.48 -16.75 -14.98 -16.52
4/30/2009 -0.30 -3.92 -5.44 -8.53
5/31/2009 4.55 -0.99 3.12 -3.41
6/30/2009 4.73 0.13 2.66 -3.22
7/31/2009 13.28 9.16 11.35 4.10
8/31/2009 15.66 13.62 15.95 7.86
9/30/2009 21.92 20.22 20.57 11.88
10/31/2009 15.13 13.26 18.42 9.80
11/30/2009 18.92 17.82 23.26 16.39
12/31/2009 26.94 26.32 25.47 18.64
1/31/2010 22.10 22.09 20.29 14.37
2/28/2010 27.91 28.16 21.98 17.91
3/31/2010 37.94 37.96 29.54 25.03
4/30/2010 43.88 44.49 29.56 27.00
5/31/2010 33.77 33.73 17.15 16.86
6/30/2010 25.25 24.19 13.13 10.74
7/31/2010 32.44 32.92 22.30 18.50
8/31/2010 23.30 25.05 17.74 13.15
9/30/2010 37.58 39.36 28.71 23.25
10/31/2010 43.08 44.70 33.51 27.94
11/30/2010 46.72 48.77 30.63 27.96
12/31/2010 56.66 60.06 40.23 36.51
1/31/2011 57.81 62.20 43.40 39.75
2/28/2011 63.84 70.12 48.42 44.53
3/31/2011 67.56 73.99 46.96 44.59
4/30/2011 73.00 79.01 53.20 48.87
5/31/2011 71.04 76.86 50.03 47.19
6/30/2011 68.63 72.97 47.65 44.73
7/31/2011 61.22 66.38 44.97 41.79
8/31/2011 48.20 52.76 34.76 34.09
9/30/2011 32.94 36.26 23.12 24.66
10/31/2011 53.91 56.23 35.86 38.29
11/30/2011 53.19 55.69 32.54 37.98
12/31/2011 53.19 56.04 32.47 39.39
1/31/2012 64.70 66.42 39.11 45.64
2/29/2012 72.20 72.59 45.91 51.94
3/31/2012 75.23 76.31 47.78 56.94
4/30/2012 72.55 75.02 46.11 55.95
5/31/2012 60.15 63.06 33.49 46.58
6/30/2012 68.09 69.00 40.30 52.62
7/31/2012 66.66 67.85 42.10 54.74
8/31/2012 72.31 73.88 45.70 58.22
9/30/2012 74.46 78.41 49.70 62.31
10/31/2012 72.04 76.54 48.69 59.32
11/30/2012 75.27 79.25 50.60 60.24
12/31/2012 80.75 83.94 53.43 61.70
1/31/2013 95.19 96.51 61.24 70.08
2/28/2013 98.96 98.77 61.51 72.38
3/31/2013 108.21 107.57 65.29 78.85
4/30/2013 107.67 106.81 70.50 82.30
5/31/2013 114.85 115.08 70.56 86.56
6/30/2013 116.00 113.98 66.36 84.05
7/31/2013 128.20 128.95 75.12 93.42
8/31/2013 124.62 121.68 71.39 87.82
9/30/2013 138.56 135.82 79.96 93.71
10/31/2013 142.23 141.75 87.01 102.61
11/30/2013 148.46 151.44 90.33 108.79
12/31/2013 154.88 156.39 94.36 114.07
1/31/2014 151.58 149.29 87.16 106.67
2/28/2014 163.68 161.03 96.53 116.13
3/31/2014 165.51 159.25 96.81 117.94
4/30/2014 156.25 149.20 98.83 119.55
5/31/2014 157.63 151.20 102.74 124.71
6/30/2014 166.39 164.56 106.37 129.35
7/31/2014 155.22 148.55 103.08 126.19
8/31/2014 170.37 160.87 107.55 135.23
9/30/2014 154.25 145.09 101.92 131.94
10/31/2014 174.34 161.25 103.22 137.60
11/30/2014 179.28 161.48 107.30 143.99
12/31/2014 185.30 168.94 103.95 143.38
1/31/2015 173.91 160.28 100.26 136.07
2/28/2015 190.99 175.74 111.99 149.64
3/31/2015 194.21 180.54 108.67 145.69
4/30/2015 185.19 173.39 113.57 148.05
5/31/2015 192.39 179.63 114.30 151.24
6/30/2015 195.17 181.72 109.32 146.37
7/31/2015 191.02 178.45 113.08 151.53
8/31/2015 174.14 160.95 98.98 136.36
9/30/2015 160.29 148.15 91.64 130.51
10/31/2015 173.13 162.13 106.82 149.95
11/30/2015 181.32 170.65 105.79 150.70
12/31/2015 168.48 157.06 102.18 146.74
1/31/2016 148.58 134.46 90.08 134.50
2/29/2016 149.84 134.45 88.67 134.18
3/31/2016 168.10 153.16 101.47 150.07
4/30/2016 171.12 157.13 104.66 151.04
5/31/2016 178.30 162.93 105.81 155.55
6/30/2016 176.27 162.76 103.50 156.21
7/31/2016 189.70 178.45 112.10 165.66
8/31/2016 190.35 183.37 112.28 166.03
9/30/2016 189.17 186.53 113.40 166.08
10/31/2016 181.67 172.91 109.27 161.23
11/30/2016 207.20 203.34 112.28 170.90
12/31/2016 216.94 211.84 117.36 176.25
1/31/2017 220.63 213.07 122.61 181.49
2/28/2017 228.13 219.11 128.78 192.67
3/31/2017 229.58 219.53 131.22 193.01
4/30/2017 236.03 223.03 134.64 196.02
5/31/2017 228.79 216.46 139.61 200.19
6/30/2017 239.08 227.40 140.53 202.06
7/31/2017 239.50 229.83 146.29 208.27
8/31/2017 235.29 225.64 146.63 209.22
9/30/2017 255.49 245.96 152.17 215.59
10/31/2017 258.58 248.91 156.93 222.96
11/30/2017 261.67 258.96 162.50 232.86
12/31/2017 261.81 257.52 166.05 236.56
1/31/2018 269.52 266.86 180.10 255.83
2/28/2018 250.44 252.65 168.50 242.72
3/31/2018 259.84 257.21 162.64 234.01
4/30/2018 261.95 260.30 165.66 235.29
5/31/2018 285.10 282.17 167.33 243.37
6/30/2018 290.92 284.91 167.20 245.48
7/31/2018 296.02 291.62 175.54 258.34
8/31/2018 319.45 308.50 178.95 270.01
9/30/2018 305.10 298.68 180.51 272.12
10/31/2018 265.10 255.37 159.91 246.68

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.  The Fund's total returns should not be expected to be the same as the returns of other funds, whether or not both funds have the same portfolio managers and/or similar names.  The Fund's total returns include reinvested distributions but do not include the charges associated with the separate account products that offer this Fund.  Such performance would have been lower if such charges were taken into account.

$ per share as of 11/21/2018

Date 2014 2015 2016 2017 2018
Short Term 1.9186 0.0990 0.6971
Long Term 2.0665 3.7494 0.8374 1.3571 2.6554
Total Amount of Distribution 3.9851 3.8484 0.8374 1.3571 3.3524
Record Date 6/16/14 6/15/15 6/20/16 6/19/17 6/18/18
Ex Div Date 6/17/14 6/16/15 6/21/16 6/20/17 6/19/18
Pay Date 6/18/14 6/16/15 6/21/16 6/20/17 6/19/18

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

Portfolio

Top Issuers

(32.7% of assets as of 10/31/2018)


Portfolio Holdings Breakdown

Country
Developed Markets
Equity Sector
Industry
Asset Allocation
Market Cap 5
Country Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
United States 97.8% 99.9% -2.1%
Developed Markets Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Americas 97.8% 100.0% -2.2%
Equity Sector Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Industrials 18.1% 14.8% 3.3%
Financials 14.5% 18.0% -3.4%
Information Technology 13.3% 13.8% -0.5%
Consumer Discretionary 13.3% 12.3% 1.0%
Health Care 12.7% 15.8% -3.1%
Real Estate 6.8% 7.1% -0.2%
Utilities 4.5% 3.4% 1.1%
Materials 4.1% 4.0% 0.1%
Energy 3.6% 4.6% -1.0%
Consumer Staples 3.4% 2.9% 0.5%
Communication Services 3.4% 3.4% 0.0%
Industry Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Banks 8.7% 9.7% -1.0%
Equity Real Estate Investment Trusts (REITs) 6.8% 6.5% 0.3%
Software 6.6% 4.9% 1.7%
Machinery 4.8% 3.8% 1.0%
IT Services 4.3% 1.9% 2.5%
Professional Services 4.1% 1.5% 2.6%
Hotels Restaurants & Leisure 3.9% 3.0% 0.9%
Oil Gas & Consumable Fuels 3.6% 2.9% 0.7%
Specialty Retail 3.5% 3.2% 0.3%
Health Care Equipment & Supplies 3.5% 3.8% -0.3%
Health Care Providers & Services 3.4% 2.0% 1.4%
Metals & Mining 3.3% 1.3% 2.0%
Biotechnology 3.0% 6.2% -3.2%
Auto Components 3.0% 1.0% 2.0%
Multi-Utilities 3.0% 0.5% 2.5%
Thrifts & Mortgage Finance 2.8% 2.2% 0.5%
Semiconductors & Semiconductor Equipment 2.3% 2.5% -0.1%
Construction & Engineering 2.1% 1.1% 1.0%
Commercial Services & Supplies 2.1% 2.6% -0.4%
Entertainment 1.8% 0.6% 1.3%
Asset Allocation Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Equity 97.8% 100.0% -2.2%
Market Cap Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Small 76.4% 85.1% -8.8%
Mid 21.4% 14.8% 6.6%
Analytics
(As of 10/31/2018)

Morningstar 10/31/2018 (based on risk adjusted performance)
Overall Rating
Number of Funds
82
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
0.41
1.08
Beta
0.90
0.91
Information Ratio
-0.15
0.16
R-Squared
94.76
94.59
Sharpe Ratio
0.71
0.63
Standard Deviation
13.54
13.58
Upside Capture
93.55
95.92
Downside Capture
92.49
91.03
Sortino Ratio
1.10
0.97
Win Ratio
50.00
53.00
Loss Ratio
50.00
47.00
Tracking Error
3.44
3.40
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$2.73 B
$2.17 B
Median Market Cap (weighted)
$2.63 B
$2.00 B
P/E Ratio (LTM)
20.81
23.84
P/E Ratio (NTM)
17.01
17.74
Price/Book
2.39
2.21
Debt to Capital Ratio
38.53
37.14
Turnover Ratio
42%
-
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
6/19/2018
Per Share ($)
$0.0814
12-Month Distribution ($)
$0.0814
Distribution Sources
  • D
Net Income
0.70%
Net Profit from Sale
69.80%
Other Capital Sources
29.50%
Team
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 index returns are made up of the returns of (i) the Russell 2500™ Index through March 31, 2013 and (ii) the Russell 2000® Index from April 1, 2013 to present. Index performance includes total returns from when first available.  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 Russell 2500™ Index measures the performance of the small to mid-cap segment of the U.S. equity universe, commonly referred to as "smid" cap. The Russell 2500™ is a subset of the Russell 3000® Index. It includes approximately 2500 of the smallest securities based on a combination of their market cap and current index membership. The indices are 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. 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.
  7. 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.  The Fund's total returns should not be expected to be the same as the returns of other funds, whether or not both funds have the same portfolio managers and/or similar names.  The Fund's total returns include reinvested distributions but do not include the charges associated with the separate account products that offer this Fund.  Such performance would have been lower if such charges were taken into account.
  8. 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.
  9. D. There is no guarantee of the payment of any dividend or other distributions at any level.
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