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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
68385H104
NAV
  • A
(as of 12/17/2018)
$12.77
Total Assets
(as of 11/30/2018)
$674.04 MM
Gross Expense Ratio
(as of 11/30/2018)
1.20%
Net Expense Ratio
(as of 11/30/2018)
1.20%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 11/30/2018
  • B
as of 09/30/2018
  • B

Include Sales Charge
Include Sales Charge
Include Sales Charge
Include Sales Charge
  • B
Cumulative
Annualized
3 mo ytd as of 2018-09-30
  • C
1 yr 3 yr 5 yr since inception
Main Street Small Cap Fund® (NAV)
3.50% 11.45% 13.25% 15.38% 10.66% 11.61%
Russell 2000® Index
3.58% 11.51% 15.24% 17.12% 11.07% 11.93%
Cumulative
Annualized
3 mo ytd as of 2018-09-30
  • C
1 yr 3 yr 5 yr since inception
Main Street Small Cap Fund® (with sales charge)
-2.45% 5.04% 6.74% 13.12% 9.36% 10.39%
Russell 2000® Index
3.58% 11.51% 15.24% 17.12% 11.07% 11.93%
Cumulative
Annualized
3 mo ytd as of 2018-11-30
  • C
1 yr 3 yr 5 yr since inception
Main Street Small Cap Fund® (NAV)
-11.58% 2.05% 2.08% 9.17% 7.89% 9.49%
Russell 2000® Index
-11.62% 0.98% 0.57% 10.08% 7.50% 9.57%
Cumulative
Annualized
3 mo ytd as of 2018-11-30
  • C
1 yr 3 yr 5 yr since inception
Main Street Small Cap Fund® (with sales charge)
-16.67% -3.82% -3.79% 7.04% 6.62% 8.32%
Russell 2000® Index
-11.62% 0.98% 0.57% 10.08% 7.50% 9.57%
Gross Expense Ratio: 1.20% | Net Expense Ratio: 1.20%

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.


Year Main Street Small Cap Fund® Russell 2000® Index
2014 11.41% 4.89%
2015 -6.14% -4.41%
2016 17.76% 21.31%
2017 13.47% 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, 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.


Date Main Street Small Cap Fund® Russell 2000® Index MSCI World
11/30/2013 0.00 0.00 0.00
12/31/2013 2.51 1.97 2.12
1/31/2014 1.17 -0.85 -1.67
2/28/2014 5.89 3.82 3.26
3/31/2014 6.60 3.11 3.41
4/30/2014 2.95 -0.89 4.47
5/31/2014 3.48 -0.10 6.52
6/30/2014 6.95 5.22 8.43
7/31/2014 2.42 -1.15 6.70
8/31/2014 8.29 3.75 9.05
9/30/2014 1.88 -2.52 6.09
10/31/2014 10.07 3.90 6.77
11/30/2014 11.94 3.99 8.91
12/31/2014 14.20 6.96 7.16
1/31/2015 9.73 3.52 5.22
2/28/2015 16.52 9.66 11.38
3/31/2015 17.59 11.57 9.64
4/30/2015 13.93 8.73 12.21
5/31/2015 16.79 11.21 12.59
6/30/2015 17.86 12.04 9.98
7/31/2015 16.25 10.74 11.95
8/31/2015 9.56 3.78 4.54
9/30/2015 3.93 -1.31 0.69
10/31/2015 9.02 4.25 8.66
11/30/2015 12.32 7.64 8.12
12/31/2015 7.19 2.24 6.22
1/31/2016 -0.69 -6.75 -0.13
2/29/2016 -0.25 -6.76 -0.87
3/31/2016 7.01 0.68 5.85
4/30/2016 8.17 2.27 7.53
5/31/2016 11.04 4.57 8.13
6/30/2016 10.23 4.50 6.92
7/31/2016 15.42 10.74 11.44
8/31/2016 15.69 12.70 11.53
9/30/2016 15.24 13.96 12.12
10/31/2016 12.20 8.54 9.95
11/30/2016 22.41 20.64 11.53
12/31/2016 26.22 24.02 14.20
1/31/2017 27.66 24.51 16.96
2/28/2017 30.62 26.91 20.20
3/31/2017 31.16 27.08 21.48
4/30/2017 33.58 28.47 23.28
5/31/2017 30.71 25.86 25.89
6/30/2017 34.75 30.21 26.37
7/31/2017 34.84 31.18 29.40
8/31/2017 33.04 29.51 29.58
9/30/2017 40.94 37.59 32.49
10/31/2017 42.11 38.77 34.99
11/30/2017 43.19 42.76 37.92
12/31/2017 43.22 42.19 39.78
1/31/2018 46.26 45.90 47.16
2/28/2018 38.77 40.25 41.07
3/31/2018 42.27 42.07 37.99
4/30/2018 43.03 43.30 39.58
5/31/2018 52.04 51.99 40.45
6/30/2018 54.22 53.08 40.39
7/31/2018 56.21 55.75 44.77
8/31/2018 65.31 62.47 46.56
9/30/2018 59.62 58.56 47.38
10/31/2018 43.98 41.34 36.56
11/30/2018 46.16 43.58 38.11

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.

$ per share as of 12/18/2018

Date 2014 2015 2016 2017 2018
Short Term 0.0415 0.2565 0.1584
Long Term 0.5487 0.8923
Total Amount of Distribution 0.0415 0.8052 1.0507
Record Date 12/10/14 12/7/17 12/6/18
Ex Div Date 12/11/14 12/8/17 12/7/18
Pay Date 12/11/14 12/8/17 12/7/18

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

Portfolio

Top Issuers

(33.7% of assets as of 11/30/2018)


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 97.6% 99.9% -2.2%
Developed Markets Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Americas 97.6% 100.0% -2.4%
Equity Sector Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Industrials 19.0% 15.0% 4.0%
Financials 15.1% 18.2% -3.1%
Consumer Discretionary 14.4% 12.3% 2.1%
Health Care 13.3% 15.8% -2.5%
Information Technology 11.9% 14.0% -2.1%
Real Estate 7.3% 7.2% 0.0%
Utilities 5.0% 3.6% 1.4%
Materials 4.3% 3.7% 0.6%
Energy 3.0% 4.0% -1.0%
Consumer Staples 2.4% 2.8% -0.4%
Communication Services 1.8% 3.3% -1.5%
Industry Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Banks 9.1% 9.9% -0.8%
Equity Real Estate Investment Trusts (REITs) 7.3% 6.7% 0.6%
Software 6.5% 4.9% 1.6%
Machinery 5.1% 3.8% 1.3%
Hotels Restaurants & Leisure 4.5% 3.0% 1.4%
Professional Services 4.4% 1.5% 3.0%
Health Care Providers & Services 3.6% 2.0% 1.6%
Biotechnology 3.4% 6.2% -2.8%
Specialty Retail 3.4% 3.1% 0.3%
Multi-Utilities 3.4% 0.5% 2.9%
Metals & Mining 3.4% 1.2% 2.2%
Health Care Equipment & Supplies 3.3% 3.7% -0.3%
IT Services 3.0% 1.8% 1.2%
Oil Gas & Consumable Fuels 3.0% 2.5% 0.5%
Auto Components 3.0% 1.0% 2.0%
Thrifts & Mortgage Finance 2.9% 2.3% 0.6%
Semiconductors & Semiconductor Equipment 2.4% 2.6% -0.2%
Commercial Services & Supplies 2.2% 2.6% -0.4%
Construction & Engineering 2.1% 1.1% 1.0%
Diversified Consumer Services 2.0% 0.9% 1.1%
Asset Allocation Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Equity 97.6% 100.0% -2.4%
Market Cap Main Street Small Cap Fund® Russell 2000® Index Overweight / Underweight
Small 62.4% 77.2% -14.8%
Mid 35.2% 22.8% 12.4%
Analytics
(As of 11/30/2018)

Morningstar 11/30/2018 (based on risk adjusted performance)
Overall Rating
Number of Funds
636
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
0.03
0.90
Beta
0.89
0.91
Information Ratio
-0.27
0.12
R-Squared
94.87
94.78
Sharpe Ratio
0.65
0.58
Standard Deviation
13.39
13.47
Upside Capture
91.92
95.18
Downside Capture
92.59
91.00
Sortino Ratio
0.99
0.90
Win Ratio
44.00
48.00
Loss Ratio
56.00
52.00
Tracking Error
3.41
3.33
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$2.74 B
$2.25 B
Median Market Cap (weighted)
$2.67 B
$2.05 B
P/E Ratio (LTM)
18.94
23.46
P/E Ratio (NTM)
17.21
18.26
Price/Book
2.30
2.21
Debt to Capital Ratio
39.61
37.07
Turnover Ratio
52%
-
Active Share
91.95%
-
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
12/7/2018
Per Share ($)
$0.0000
12-Month Distribution ($)
$0.0350
Distribution Sources
  • D
Net Income
3.20%
Net Profit from Sale
91.70%
Other Capital Sources
5.10%
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 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. 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.  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.
  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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