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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 11/17/2017)
$25.12
Total Assets
(as of 10/31/2017)
$1.10 BN
Gross Expense Ratio
(as of 10/31/2017)
0.81%
Net Expense Ratio
(as of 10/31/2017)
0.80%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 10/31/2017
  • B
as of 09/30/2017
  • B

Include Sales Charge
Include Sales Charge
Include Sales Charge
Include Sales Charge
  • B
Cumulative
Annualized
ytd as of 2017-09-30
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
12.16% 22.94% 11.82% 15.30% 8.50% 8.60%
Cumulative
Annualized
ytd as of 2017-09-30
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
12.16% 22.94% 11.82% 15.30% 8.50% 8.60%
Cumulative
Annualized
ytd as of 2017-10-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
13.14% 27.31% 9.34% 15.82% 8.30% 8.61%
Cumulative
Annualized
ytd as of 2017-10-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
13.14% 27.31% 9.34% 15.82% 8.30% 8.61%
Gross Expense Ratio: 0.81% | 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 Russell 2000® Index
1999 46.56% 24.14%
2000 -18.34% 4.27%
2001 -0.36% 1.22%
2002 -15.75% -17.80%
2003 44.36% 45.51%
2004 19.42% 18.29%
2005 9.92% 8.11%
2006 15.00% 16.17%
2007 -1.21% 1.38%
2008 -37.83% -36.79%
2009 37.20% 34.39%
2010 23.41% 26.71%
2011 -2.21% -2.51%
2012 17.99% 17.88%
2013 41.01% 39.39%
2014 11.93% 4.89%
2015 -5.90% -4.41%
2016 18.05% 21.31%

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
10/31/2007 0.00 0.00 0.00 0.00
11/30/2007 -7.19 -6.13 -4.09 -4.18
12/31/2007 -7.89 -6.71 -5.32 -4.85
1/31/2008 -14.37 -12.41 -12.56 -10.55
2/29/2008 -16.40 -14.82 -13.07 -13.46
3/31/2008 -17.52 -15.45 -13.90 -13.83
4/30/2008 -13.38 -10.90 -9.37 -9.64
5/31/2008 -8.76 -6.67 -7.99 -8.47
6/30/2008 -16.23 -14.28 -15.33 -16.18
7/31/2008 -15.26 -13.68 -17.40 -16.89
8/31/2008 -13.00 -11.22 -18.56 -15.68
9/30/2008 -21.28 -20.04 -28.25 -23.20
10/31/2008 -38.11 -37.27 -41.85 -36.10
11/30/2008 -46.61 -44.07 -45.61 -40.68
12/31/2008 -42.74 -41.03 -43.87 -40.05
1/31/2009 -49.14 -46.34 -48.79 -45.10
2/28/2009 -55.75 -52.14 -54.03 -50.95
3/31/2009 -50.79 -47.77 -50.56 -46.65
4/30/2009 -38.30 -39.72 -45.02 -41.55
5/31/2009 -35.30 -37.89 -40.03 -38.28
6/30/2009 -35.19 -37.18 -40.31 -38.15
7/31/2009 -29.89 -31.52 -35.25 -33.48
8/31/2009 -28.42 -28.72 -32.58 -31.07
9/30/2009 -24.55 -24.58 -29.89 -28.50
10/31/2009 -28.75 -28.95 -31.14 -29.83
11/30/2009 -26.40 -26.08 -28.32 -25.62
12/31/2009 -21.44 -20.75 -27.04 -24.19
1/31/2010 -24.44 -23.41 -30.05 -26.91
2/28/2010 -20.84 -19.60 -29.07 -24.65
3/31/2010 -14.63 -13.45 -24.67 -20.10
4/30/2010 -10.96 -9.35 -24.66 -18.84
5/31/2010 -17.21 -16.11 -31.88 -25.32
6/30/2010 -22.48 -22.09 -34.22 -29.23
7/31/2010 -18.04 -16.61 -28.88 -24.27
8/31/2010 -23.69 -21.55 -31.54 -27.69
9/30/2010 -14.85 -12.58 -25.15 -21.24
10/31/2010 -11.45 -9.22 -22.36 -18.24
11/30/2010 -9.20 -6.67 -24.04 -18.23
12/31/2010 -3.05 0.41 -18.45 -12.76
1/31/2011 -2.34 1.76 -16.61 -10.70
2/28/2011 1.40 6.72 -13.69 -7.64
3/31/2011 3.69 9.15 -14.54 -7.60
4/30/2011 7.06 12.30 -10.91 -4.86
5/31/2011 5.85 10.95 -12.76 -5.94
6/30/2011 4.36 8.51 -14.14 -7.51
7/31/2011 -0.23 4.38 -15.70 -9.39
8/31/2011 -8.29 -4.17 -21.64 -14.31
9/30/2011 -17.73 -14.52 -28.41 -20.34
10/31/2011 -4.75 -1.99 -21.00 -11.63
11/30/2011 -5.19 -2.33 -22.93 -11.82
12/31/2011 -5.19 -2.11 -22.97 -10.92
1/31/2012 1.93 4.40 -19.11 -6.93
2/29/2012 6.57 8.27 -15.16 -2.91
3/31/2012 8.44 10.60 -14.06 0.29
4/30/2012 6.79 9.80 -15.04 -0.34
5/31/2012 -0.89 2.30 -22.37 -6.33
6/30/2012 4.03 6.02 -18.42 -2.47
7/31/2012 3.14 5.30 -17.37 -1.12
8/31/2012 6.64 9.08 -15.28 1.11
9/30/2012 7.97 11.92 -12.95 3.72
10/31/2012 6.47 10.75 -13.54 1.81
11/30/2012 8.47 12.45 -12.43 2.40
12/31/2012 11.86 15.39 -10.78 3.33
1/31/2013 20.80 23.28 -6.24 8.68
2/28/2013 23.13 24.70 -6.08 10.16
3/31/2013 28.85 30.22 -3.88 14.29
4/30/2013 28.52 29.74 -0.86 16.49
5/31/2013 32.96 34.93 -0.82 19.22
6/30/2013 33.68 34.24 -3.26 17.62
7/31/2013 41.22 43.63 1.83 23.60
8/31/2013 39.01 39.07 -0.34 20.02
9/30/2013 47.64 47.94 4.65 23.79
10/31/2013 49.91 51.66 8.74 29.48
11/30/2013 53.76 57.74 10.68 33.42
12/31/2013 57.74 60.84 13.02 36.80
1/31/2014 55.69 56.39 8.83 32.07
2/28/2014 63.18 63.76 14.28 38.11
3/31/2014 64.32 62.64 14.45 39.27
4/30/2014 58.59 56.33 15.62 40.30
5/31/2014 59.44 57.59 17.89 43.60
6/30/2014 64.86 65.97 20.00 46.56
7/31/2014 57.95 55.92 18.09 44.54
8/31/2014 67.32 63.66 20.69 50.32
9/30/2014 57.35 53.76 17.41 48.22
10/31/2014 69.78 63.89 18.17 51.84
11/30/2014 72.84 64.04 20.54 55.92
12/31/2014 76.56 68.71 18.60 55.53
1/31/2015 69.51 63.29 16.45 50.86
2/28/2015 80.08 72.98 23.27 59.53
3/31/2015 82.08 75.99 21.34 57.00
4/30/2015 76.49 71.51 24.19 58.51
5/31/2015 80.95 75.42 24.62 60.55
6/30/2015 82.67 76.73 21.72 57.44
7/31/2015 80.10 74.68 23.90 60.74
8/31/2015 69.66 63.70 15.70 51.04
9/30/2015 61.09 55.67 11.44 47.30
10/31/2015 69.03 64.44 20.27 59.73
11/30/2015 74.10 69.79 19.67 60.21
12/31/2015 66.15 61.27 17.56 57.68
1/31/2016 53.84 47.09 10.53 49.85
2/29/2016 54.62 47.08 9.71 49.65
3/31/2016 65.92 58.82 17.15 59.80
4/30/2016 67.79 61.31 19.01 60.42
5/31/2016 72.23 64.94 19.68 63.30
6/30/2016 70.98 64.84 18.33 63.73
7/31/2016 79.28 74.68 23.33 69.76
8/31/2016 79.69 77.77 23.44 70.00
9/30/2016 78.96 79.75 24.09 70.03
10/31/2016 74.31 71.21 21.69 66.93
11/30/2016 90.12 90.30 23.44 73.11
12/31/2016 96.14 95.63 26.39 76.54
1/31/2017 98.43 96.40 29.45 79.88
2/28/2017 103.07 100.19 33.04 87.03
3/31/2017 103.96 100.45 34.45 87.25
4/30/2017 107.96 102.65 36.44 89.17
5/31/2017 103.48 98.53 39.33 91.83
6/30/2017 109.85 105.39 39.87 93.03
7/31/2017 110.11 106.92 43.21 97.00
8/31/2017 107.50 104.29 43.42 97.60
9/30/2017 120.00 117.03 46.63 101.68
10/31/2017 121.91 118.88 49.41 106.38

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 11/18/2017

Date 2013 2014 2015 2016 2017
Short Term 1.9186 0.0990
Long Term 0.2920 2.0665 3.7494 0.8374 1.3571
Total Amount of Distribution 0.2920 3.9851 3.8484 0.8374 1.3571
Record Date 6/17/13 6/16/14 6/15/15 6/20/16 6/19/17
Ex Div Date 6/18/13 6/17/14 6/16/15 6/21/16 6/20/17
Pay Date 6/19/13 6/18/14 6/16/15 6/21/16 6/20/17

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

Portfolio

Top Issuers

(34.2% of assets as of 10/31/2017)


Portfolio Holdings Breakdown

Country 4
Developed Markets 4
Equity Sector 4
Industry 4
Asset Allocation 4
Market Cap 5
Country Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
United States 95.6% 99.7% -4.1%
Canada 1.1% 0.0% 1.1%
Bermuda 0.8% 0.1% 0.7%
Belgium 0.3% - -
Developed Markets Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Americas 97.4% 99.9% -2.4%
Europe 0.3% 0.1% 0.2%
Equity Sector Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Industrials 20.9% 15.2% 5.7%
Information Technology 17.0% 17.4% -0.4%
Financials 16.4% 18.3% -1.9%
Consumer Discretionary 10.8% 11.8% -1.0%
Health Care 8.9% 14.8% -5.9%
Real Estate 7.1% 7.1% 0.0%
Materials 5.7% 4.5% 1.1%
Utilities 4.2% 3.7% 0.5%
Energy 3.7% 3.6% 0.1%
Consumer Staples 2.9% 2.6% 0.3%
Industry Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Banks 10.4% 10.5% -0.1%
Equity Real Estate Investment Trusts (REITs) 6.1% 6.7% -0.6%
Semiconductors & Semiconductor Equipment 5.3% 3.5% 1.8%
Software 5.0% 3.7% 1.3%
Professional Services 4.3% 1.3% 3.0%
Internet Software & Services 3.9% 3.2% 0.7%
Machinery 3.8% 3.9% 0.0%
Commercial Services & Supplies 3.7% 2.4% 1.3%
Oil Gas & Consumable Fuels 3.4% 2.2% 1.2%
Specialty Retail 3.0% 1.9% 1.1%
Metals & Mining 3.0% 1.2% 1.7%
Health Care Equipment & Supplies 2.8% 3.7% -0.8%
Hotels Restaurants & Leisure 2.8% 3.0% -0.2%
IT Services 2.8% 1.9% 0.9%
Thrifts & Mortgage Finance 2.5% 2.3% 0.2%
Pharmaceuticals 2.4% 2.0% 0.4%
Biotechnology 2.2% 5.8% -3.5%
Construction & Engineering 2.2% 1.2% 0.9%
Auto Components 2.0% 1.2% 0.7%
Electric Utilities 1.9% 1.1% 0.8%
Asset Allocation Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Equity 97.7% 100.0% -2.3%
Market Cap Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Small 88.6% 92.2% -3.6%
Mid 9.1% 7.7% 1.4%
Analytics
(As of 10/31/2017)

Morningstar 10/31/2017 (based on risk adjusted performance)
Overall Rating
Number of Funds
85
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
0.26
2.46
Beta
0.89
0.89
Information Ratio
-0.26
0.38
R-Squared
95.98
94.87
Sharpe Ratio
0.74
1.20
Standard Deviation
12.78
12.77
Upside Capture
92.90
95.74
Downside Capture
93.41
83.50
Sortino Ratio
0.35
0.63
Win Ratio
47.00
57.00
Loss Ratio
53.00
43.00
Tracking Error
3.01
3.25
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
6/20/2017
Per Share ($)
$0.22
Net Income
7.40%
Net Profit from Sale
44.00%
Other Capital Sources
48.60%
12-Month Distribution ($)
$0.22
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$2.60 B
$2.20 B
Median Market Cap (weighted)
$2.50 B
$2.10 B
P/E Ratio (LTM)
30.93
37.16
P/E Ratio (NTM)
20.00
23.54
Price/Book
2.34
2.42
Debt to Capital Ratio
44.98
38.04
Turnover Ratio
65.00%
-
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. 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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