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Main Street Small Cap Fund®/VA

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 10/19/2018)
$23.34
Total Assets
(as of 09/30/2018)
$1.09 BN
Gross Expense Ratio
(as of 09/30/2018)
0.82%
Net Expense Ratio
(as of 09/30/2018)
0.80%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 09/30/2018
  • 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%
Russell 2000® Index
11.51% 15.24% 17.12% 11.07% 12.08% -
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%
Russell 2000® Index
11.51% 15.24% 17.12% 11.07% 12.08% -
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%
Russell 2000® Index
11.51% 15.24% 17.12% 11.07% 12.08% -
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%
Russell 2000® Index
11.51% 15.24% 17.12% 11.07% 12.08% -
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 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%
2017 14.15% 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.  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
9/30/2008 0.00 0.00 0.00 0.00
10/31/2008 -21.38 -21.54 -18.96 -16.79
11/30/2008 -32.17 -30.05 -24.21 -22.77
12/31/2008 -27.25 -26.25 -21.77 -21.94
1/31/2009 -35.38 -32.89 -28.63 -28.52
2/28/2009 -43.78 -40.15 -35.93 -36.13
3/31/2009 -37.48 -34.68 -31.10 -30.54
4/30/2009 -21.61 -24.62 -23.37 -23.89
5/31/2009 -17.80 -22.32 -16.43 -19.63
6/30/2009 -17.66 -21.44 -16.81 -19.47
7/31/2009 -10.94 -14.35 -9.76 -13.38
8/31/2009 -9.07 -10.85 -6.04 -10.26
9/30/2009 -4.15 -5.68 -2.29 -6.91
10/31/2009 -9.48 -11.14 -4.03 -8.64
11/30/2009 -6.50 -7.56 -0.11 -3.16
12/31/2009 -0.20 -0.89 1.68 -1.29
1/31/2010 -4.01 -4.21 -2.52 -4.84
2/28/2010 0.57 0.55 -1.14 -1.89
3/31/2010 8.45 8.24 4.98 4.03
4/30/2010 13.12 13.36 4.99 5.67
5/31/2010 5.17 4.92 -5.06 -2.76
6/30/2010 -1.52 -2.57 -8.32 -7.85
7/31/2010 4.12 4.29 -0.89 -1.40
8/31/2010 -3.06 -1.89 -4.59 -5.85
9/30/2010 8.17 9.33 4.31 2.55
10/31/2010 12.49 13.53 8.20 6.45
11/30/2010 15.35 16.72 5.86 6.47
12/31/2010 23.16 25.58 13.65 13.58
1/31/2011 24.07 27.26 16.21 16.28
2/28/2011 28.81 33.47 20.28 20.26
3/31/2011 31.73 36.50 19.10 20.31
4/30/2011 36.01 40.45 24.16 23.87
5/31/2011 34.47 38.76 21.58 22.47
6/30/2011 32.57 35.70 19.66 20.43
7/31/2011 26.75 30.54 17.49 17.98
8/31/2011 16.51 19.85 9.21 11.57
9/30/2011 4.52 6.91 -0.22 3.73
10/31/2011 21.00 22.58 10.10 15.06
11/30/2011 20.44 22.15 7.41 14.81
12/31/2011 20.44 22.43 7.35 15.98
1/31/2012 29.49 30.56 12.74 21.18
2/29/2012 35.38 35.41 18.24 26.42
3/31/2012 37.77 38.33 19.76 30.58
4/30/2012 35.66 37.32 18.40 29.76
5/31/2012 25.91 27.93 8.18 21.96
6/30/2012 32.15 32.60 13.70 26.99
7/31/2012 31.03 31.69 15.16 28.75
8/31/2012 35.47 36.42 18.08 31.65
9/30/2012 37.16 39.97 21.32 35.05
10/31/2012 35.26 38.51 20.50 32.56
11/30/2012 37.80 40.64 22.04 33.33
12/31/2012 42.10 44.31 24.34 34.54
1/31/2013 53.46 54.18 30.67 41.51
2/28/2013 56.43 55.95 30.89 43.43
3/31/2013 63.69 62.86 33.95 48.81
4/30/2013 63.27 62.26 38.17 51.68
5/31/2013 68.91 68.74 38.22 55.23
6/30/2013 69.82 67.88 34.82 53.14
7/31/2013 79.41 79.63 41.92 60.94
8/31/2013 76.60 73.92 38.90 56.27
9/30/2013 87.56 85.02 45.84 61.18
10/31/2013 90.44 89.67 51.55 68.58
11/30/2013 95.34 97.27 54.24 73.72
12/31/2013 100.39 101.15 57.51 78.12
1/31/2014 97.79 95.59 51.67 71.96
2/28/2014 107.31 104.80 59.27 79.83
3/31/2014 108.75 103.40 59.50 81.34
4/30/2014 101.47 95.52 61.13 82.68
5/31/2014 102.55 97.08 64.30 86.97
6/30/2014 109.44 107.57 67.24 90.83
7/31/2014 100.66 95.01 64.57 88.20
8/31/2014 112.56 104.67 68.20 95.73
9/30/2014 99.90 92.29 63.63 92.98
10/31/2014 115.69 104.97 64.69 97.70
11/30/2014 119.57 105.15 67.99 103.01
12/31/2014 124.30 111.00 65.28 102.50
1/31/2015 115.35 104.21 62.29 96.42
2/28/2015 128.78 116.34 71.80 107.71
3/31/2015 131.31 120.10 69.11 104.43
4/30/2015 124.22 114.49 73.07 106.39
5/31/2015 129.88 119.39 73.67 109.04
6/30/2015 132.06 121.03 69.63 104.99
7/31/2015 128.80 118.46 72.68 109.29
8/31/2015 115.53 104.73 61.25 96.66
9/30/2015 104.64 94.69 55.30 91.80
10/31/2015 114.74 105.66 67.61 107.98
11/30/2015 121.17 112.35 66.78 108.59
12/31/2015 111.08 101.69 63.84 105.30
1/31/2016 95.43 83.95 54.04 95.12
2/29/2016 96.42 83.94 52.90 94.85
3/31/2016 110.78 98.62 63.27 108.07
4/30/2016 113.16 101.74 65.85 108.88
5/31/2016 118.80 106.28 66.79 112.63
6/30/2016 117.20 106.15 64.92 113.18
7/31/2016 127.76 118.46 71.88 121.04
8/31/2016 128.28 122.33 72.03 121.35
9/30/2016 127.35 124.80 72.94 121.39
10/31/2016 121.45 114.12 69.59 117.35
11/30/2016 141.52 137.99 72.03 125.40
12/31/2016 149.18 144.66 76.15 129.86
1/31/2017 152.08 145.63 80.40 134.22
2/28/2017 157.98 150.37 85.41 143.52
3/31/2017 159.11 150.69 87.38 143.80
4/30/2017 164.18 153.44 90.16 146.31
5/31/2017 158.49 148.29 94.18 149.77
6/30/2017 166.59 156.87 94.93 151.33
7/31/2017 166.92 158.78 99.59 156.50
8/31/2017 163.61 155.49 99.87 157.28
9/30/2017 179.49 171.43 104.36 162.59
10/31/2017 181.92 173.74 108.22 168.72
11/30/2017 184.34 181.63 112.73 176.96
12/31/2017 184.45 180.50 115.61 180.04
1/31/2018 190.52 187.83 126.99 196.07
2/28/2018 175.52 176.68 117.59 185.16
3/31/2018 182.91 180.26 112.85 177.91
4/30/2018 184.56 182.68 115.29 178.98
5/31/2018 202.76 199.84 116.64 185.70
6/30/2018 207.34 201.99 116.54 187.46
7/31/2018 211.35 207.25 123.30 198.15
8/31/2018 229.77 220.50 126.06 207.87
9/30/2018 218.49 212.79 127.32 209.62

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 10/22/2018

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

(31.1% of assets as of 09/30/2018)


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 98.6% 99.8% -1.2%
Developed Markets Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Americas 98.6% 100.0% -1.3%
Equity Sector Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Industrials 18.6% 15.0% 3.5%
Financials 14.4% 17.4% -3.0%
Health Care 14.2% 16.5% -2.3%
Information Technology 13.5% 14.0% -0.5%
Consumer Discretionary 13.1% 12.2% 1.0%
Real Estate 6.2% 6.9% -0.7%
Materials 4.3% 4.2% 0.2%
Utilities 4.1% 3.1% 1.0%
Energy 3.8% 4.8% -1.0%
Communication Services 3.3% 3.3% 0.0%
Consumer Staples 3.1% 2.6% 0.4%
Industry Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Banks 8.5% 9.4% -0.9%
Software 7.4% 5.1% 2.3%
Equity Real Estate Investment Trusts (REITs) 6.2% 6.3% -0.1%
Machinery 5.4% 3.9% 1.5%
Specialty Retail 4.3% 3.1% 1.1%
IT Services 4.1% 1.9% 2.1%
Health Care Providers & Services 4.0% 1.9% 2.1%
Biotechnology 3.9% 6.8% -2.9%
Oil Gas & Consumable Fuels 3.8% 2.9% 0.9%
Professional Services 3.8% 1.4% 2.4%
Metals & Mining 3.5% 1.3% 2.2%
Hotels Restaurants & Leisure 3.3% 3.0% 0.3%
Health Care Equipment & Supplies 3.1% 3.9% -0.8%
Auto Components 2.8% 1.0% 1.8%
Multi-Utilities 2.7% 0.4% 2.2%
Thrifts & Mortgage Finance 2.7% 2.2% 0.5%
Commercial Services & Supplies 2.3% 2.5% -0.2%
Construction & Engineering 2.2% 1.1% 1.1%
Semiconductors & Semiconductor Equipment 2.0% 2.4% -0.4%
Health Care Technology 1.8% 1.1% 0.7%
Asset Allocation Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Equity 98.6% 100.0% -1.4%
Market Cap Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Small 62.5% 77.7% -15.2%
Mid 36.1% 22.3% 13.8%
Analytics
(As of 09/30/2018)

Morningstar 09/30/2018 (based on risk adjusted performance)
Overall Rating
Number of Funds
81
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
0.49
0.95
Beta
0.89
0.91
Information Ratio
-0.36
0.03
R-Squared
93.45
93.69
Sharpe Ratio
1.21
0.86
Standard Deviation
12.13
12.70
Upside Capture
93.14
95.20
Downside Capture
93.22
91.09
Sortino Ratio
2.21
1.44
Win Ratio
47.00
52.00
Loss Ratio
53.00
48.00
Tracking Error
3.40
3.40
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$3.01 B
$2.41 B
Median Market Cap (weighted)
$2.80 B
$2.21 B
P/E Ratio (LTM)
23.24
27.56
P/E Ratio (NTM)
19.15
19.86
Price/Book
2.68
2.48
Debt to Capital Ratio
37.81
37.12
Turnover Ratio
42%
-
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
6/19/2018
Per Share ($)
$0.0814
12-Month Distribution ($)
$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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