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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 08/17/2018)
$25.57
Total Assets
(as of 07/31/2018)
$1.09 BN
Gross Expense Ratio
(as of 07/31/2018)
0.82%
Net Expense Ratio
(as of 07/31/2018)
0.80%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 07/31/2018
  • B
as of 06/30/2018
  • B

Include Sales Charge
Include Sales Charge
Include Sales Charge
Include Sales Charge
  • B
Cumulative
Annualized
ytd as of 2018-06-30
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
8.05% 15.29% 9.82% 12.60% 11.19% 8.78%
Russell 2000® Index
7.66% 17.57% 10.96% 12.46% 10.91% -
Cumulative
Annualized
ytd as of 2018-06-30
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
8.05% 15.29% 9.82% 12.60% 11.19% 8.78%
Russell 2000® Index
7.66% 17.57% 10.96% 12.46% 10.91% -
Cumulative
Annualized
ytd as of 2018-07-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
9.45% 16.64% 10.81% 11.65% 11.20% 8.81%
Russell 2000® Index
9.54% 18.73% 12.04% 11.33% 11.03% -
Cumulative
Annualized
ytd as of 2018-07-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
9.45% 16.64% 10.81% 11.65% 11.20% 8.81%
Russell 2000® Index
9.54% 18.73% 12.04% 11.33% 11.03% -
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
7/31/2008 0.00 0.00 0.00 0.00
8/31/2008 2.67 2.86 -1.40 1.45
9/30/2008 -7.11 -7.36 -13.13 -7.59
10/31/2008 -26.97 -27.32 -29.60 -23.11
11/30/2008 -36.99 -35.20 -34.16 -28.63
12/31/2008 -32.42 -31.68 -32.05 -27.87
1/31/2009 -39.97 -37.83 -38.00 -33.95
2/28/2009 -47.78 -44.55 -44.35 -40.98
3/31/2009 -41.93 -39.49 -40.15 -35.81
4/30/2009 -27.18 -30.17 -33.43 -29.67
5/31/2009 -23.64 -28.04 -27.40 -25.74
6/30/2009 -23.51 -27.23 -27.73 -25.59
7/31/2009 -17.27 -20.66 -21.61 -19.96
8/31/2009 -15.53 -17.42 -18.38 -17.07
9/30/2009 -10.96 -12.63 -15.12 -13.98
10/31/2009 -15.92 -17.68 -16.63 -15.57
11/30/2009 -13.15 -14.36 -13.23 -10.51
12/31/2009 -7.29 -8.19 -11.67 -8.78
1/31/2010 -10.83 -11.26 -15.32 -12.06
2/28/2010 -6.58 -6.85 -14.13 -9.34
3/31/2010 0.74 0.27 -8.81 -3.87
4/30/2010 5.08 5.02 -8.79 -2.35
5/31/2010 -2.30 -2.80 -17.53 -10.15
6/30/2010 -8.52 -9.74 -20.36 -14.85
7/31/2010 -3.28 -3.39 -13.90 -8.89
8/31/2010 -9.95 -9.11 -17.12 -13.00
9/30/2010 0.48 1.28 -9.39 -5.23
10/31/2010 4.50 5.17 -6.01 -1.63
11/30/2010 7.16 8.13 -8.04 -1.62
12/31/2010 14.41 16.33 -1.28 4.96
1/31/2011 15.25 17.89 0.95 7.45
2/28/2011 19.66 23.64 4.49 11.13
3/31/2011 22.37 26.45 3.46 11.17
4/30/2011 26.35 30.10 7.85 14.46
5/31/2011 24.91 28.54 5.62 13.17
6/30/2011 23.15 25.71 3.94 11.28
7/31/2011 17.74 20.93 2.06 9.02
8/31/2011 8.23 11.03 -5.13 3.10
9/30/2011 -2.91 -0.97 -13.33 -4.15
10/31/2011 12.40 13.55 -4.36 6.33
11/30/2011 11.88 13.16 -6.69 6.09
12/31/2011 11.88 13.41 -6.75 7.18
1/31/2012 20.29 20.95 -2.07 11.98
2/29/2012 25.76 25.44 2.72 16.82
3/31/2012 27.97 28.14 4.04 20.67
4/30/2012 26.02 27.21 2.86 19.91
5/31/2012 16.96 18.51 -6.02 12.70
6/30/2012 22.76 22.83 -1.23 17.34
7/31/2012 21.71 21.99 0.04 18.97
8/31/2012 25.84 26.38 2.57 21.65
9/30/2012 27.42 29.67 5.39 24.80
10/31/2012 25.65 28.31 4.68 22.49
11/30/2012 28.01 30.28 6.02 23.20
12/31/2012 32.00 33.69 8.01 24.33
1/31/2013 42.56 42.82 13.51 30.77
2/28/2013 45.31 44.47 13.70 32.54
3/31/2013 52.06 50.86 16.36 37.51
4/30/2013 51.67 50.31 20.03 40.16
5/31/2013 56.91 56.32 20.07 43.44
6/30/2013 57.75 55.52 17.12 41.51
7/31/2013 66.66 66.40 23.28 48.72
8/31/2013 64.05 61.12 20.66 44.41
9/30/2013 74.23 71.40 26.69 48.94
10/31/2013 76.90 75.71 31.65 55.78
11/30/2013 81.46 82.75 33.99 60.53
12/31/2013 86.15 86.34 36.83 64.59
1/31/2014 83.73 81.18 31.76 58.90
2/28/2014 92.57 89.72 38.35 66.17
3/31/2014 93.91 88.43 38.55 67.57
4/30/2014 87.15 81.12 39.97 68.81
5/31/2014 88.15 82.57 42.73 72.77
6/30/2014 94.55 92.28 45.28 76.34
7/31/2014 86.40 80.65 42.96 73.91
8/31/2014 97.46 89.60 46.11 80.87
9/30/2014 85.69 78.13 42.15 78.33
10/31/2014 100.36 89.88 43.07 82.68
11/30/2014 103.97 90.05 45.93 87.60
12/31/2014 108.36 95.46 43.58 87.13
1/31/2015 100.05 89.17 40.98 81.51
2/28/2015 112.52 100.41 49.24 91.94
3/31/2015 114.87 103.90 46.90 88.90
4/30/2015 108.28 98.70 50.35 90.72
5/31/2015 113.54 103.23 50.87 93.17
6/30/2015 115.57 104.76 47.36 89.43
7/31/2015 112.54 102.38 50.00 93.40
8/31/2015 100.21 89.66 40.08 81.73
9/30/2015 90.10 80.35 34.91 77.23
10/31/2015 99.48 90.51 45.60 92.18
11/30/2015 105.46 96.71 44.88 92.75
12/31/2015 96.08 86.83 42.33 89.71
1/31/2016 81.54 70.41 33.81 80.30
2/29/2016 82.46 70.40 32.82 80.06
3/31/2016 95.80 84.00 41.83 92.27
4/30/2016 98.01 86.88 44.08 93.02
5/31/2016 103.25 91.09 44.88 96.48
6/30/2016 101.77 90.97 43.26 96.99
7/31/2016 111.57 102.38 49.31 104.26
8/31/2016 112.05 105.96 49.44 104.54
9/30/2016 111.19 108.25 50.23 104.58
10/31/2016 105.71 98.35 47.32 100.85
11/30/2016 124.36 120.47 49.44 108.29
12/31/2016 131.47 126.64 53.02 112.40
1/31/2017 134.16 127.54 56.71 116.43
2/28/2017 139.64 131.93 61.06 125.03
3/31/2017 140.70 132.23 62.78 125.29
4/30/2017 145.41 134.78 65.19 127.60
5/31/2017 140.12 130.00 68.68 130.81
6/30/2017 147.64 137.95 69.33 132.25
7/31/2017 147.95 139.72 73.38 137.02
8/31/2017 144.87 136.67 73.63 137.75
9/30/2017 159.63 151.44 77.52 142.65
10/31/2017 161.88 153.59 80.88 148.31
11/30/2017 164.14 160.90 84.80 155.93
12/31/2017 164.24 159.84 87.30 158.78
1/31/2018 169.87 166.63 97.18 173.59
2/28/2018 155.94 156.31 89.02 163.51
3/31/2018 162.80 159.62 84.90 156.81
4/30/2018 164.34 161.87 87.02 157.80
5/31/2018 181.25 177.76 88.19 164.00
6/30/2018 185.50 179.75 88.10 165.63
7/31/2018 189.23 184.63 93.98 175.51

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 08/18/2018

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

(32.5% of assets as of 07/31/2018)


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 98.7% 99.8% -1.1%
Belgium 0.4% - -
Developed Markets Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Americas 98.7% 100.0% -1.3%
Europe 0.4% - -
Equity Sector Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Industrials 18.6% 15.4% 3.3%
Information Technology 17.5% 14.8% 2.7%
Financials 16.4% 18.0% -1.6%
Health Care 13.5% 15.7% -2.2%
Consumer Discretionary 11.3% 13.2% -1.9%
Real Estate 6.4% 7.1% -0.7%
Materials 4.5% 4.4% 0.0%
Utilities 4.1% 3.1% 1.0%
Energy 3.9% 4.9% -1.1%
Consumer Staples 3.0% 2.7% 0.3%
Industry Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Banks 9.2% 9.9% -0.7%
Equity Real Estate Investment Trusts (REITs) 6.3% 6.5% -0.2%
Internet Software & Services 6.2% 3.5% 2.7%
Professional Services 4.7% 1.5% 3.2%
Machinery 4.6% 3.9% 0.7%
Software 4.1% 2.6% 1.5%
Oil Gas & Consumable Fuels 3.9% 3.1% 0.8%
Biotechnology 3.9% 6.6% -2.7%
Specialty Retail 3.8% 2.9% 0.8%
Health Care Providers & Services 3.8% 1.9% 1.8%
IT Services 3.8% 1.8% 2.0%
Metals & Mining 3.4% 1.4% 2.0%
Semiconductors & Semiconductor Equipment 3.4% 2.6% 0.9%
Health Care Equipment & Supplies 3.2% 3.5% -0.3%
Auto Components 3.1% 1.1% 2.0%
Hotels Restaurants & Leisure 3.1% 3.1% 0.1%
Thrifts & Mortgage Finance 3.0% 2.2% 0.7%
Multi-Utilities 2.7% 0.5% 2.3%
Commercial Services & Supplies 2.3% 2.5% -0.2%
Construction & Engineering 2.1% 1.1% 1.0%
Asset Allocation Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Equity 99.1% 100.0% -0.9%
Market Cap Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Small 60.1% 76.0% -15.9%
Mid 39.1% 24.0% 15.1%
Analytics
(As of 07/31/2018)

Morningstar 07/31/2018 (based on risk adjusted performance)
Overall Rating
Number of Funds
81
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
0.06
1.32
Beta
0.88
0.90
Information Ratio
-0.38
0.10
R-Squared
95.15
94.11
Sharpe Ratio
0.81
0.90
Standard Deviation
12.71
12.62
Upside Capture
90.61
93.87
Downside Capture
91.23
87.33
Sortino Ratio
0.39
0.44
Win Ratio
47.00
52.00
Loss Ratio
53.00
48.00
Tracking Error
3.23
3.37
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
6/19/2018
Per Share ($)
$0.0814
12-Month Distribution ($)
$0.0814
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$2.96 B
$2.31 B
Median Market Cap (weighted)
$2.93 B
$2.16 B
P/E Ratio (LTM)
24.19
27.32
P/E Ratio (NTM)
18.31
19.51
Price/Book
2.52
2.41
Debt to Capital Ratio
38.80
37.64
Turnover Ratio
42%
-
Distribution Sources
  • D
Net Income
0.70%
Net Profit from Sale
69.80%
Other Capital Sources
29.50%
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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