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Main Street Small Cap Fund®/VA

Overview

The Strategy typically invests in 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 02/15/2019)
$23.71
Total Assets
(as of 01/31/2019)
$958.88 MM
Gross Expense Ratio
(as of 01/31/2019)
0.82%
Net Expense Ratio
(as of 01/31/2019)
0.80%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 01/31/2019
  • B
as of 12/31/2018
  • B

Include Sales Charge
Include Sales Charge
Include Sales Charge
Include Sales Charge
  • B
Cumulative
Annualized
ytd as of 2018-12-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
-10.32% -10.32% 6.52% 4.94% 13.37% 7.58%
Russell 2000® Index
-11.01% -11.01% 7.36% 4.41% 12.97% -
Cumulative
Annualized
ytd as of 2018-12-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
-10.32% -10.32% 6.52% 4.94% 13.37% 7.58%
Russell 2000® Index
-11.01% -11.01% 7.36% 4.41% 12.97% -
Cumulative
Annualized
ytd as of 2019-01-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
11.69% -1.93% 13.39% 7.57% 15.99% 8.12%
Russell 2000® Index
11.25% -3.52% 14.71% 7.26% 15.26% -
Cumulative
Annualized
ytd as of 2019-01-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
11.69% -1.93% 13.39% 7.57% 15.99% 8.12%
Russell 2000® Index
11.25% -3.52% 14.71% 7.26% 15.26% -
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%
2018 -10.32% -11.01%

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
1/31/2009 0.00 0.00 0.00 0.00
2/28/2009 -13.00 -10.81 -10.24 -10.65
3/31/2009 -3.25 -2.67 -3.47 -2.82
4/30/2009 21.31 12.33 7.36 6.48
5/31/2009 27.21 15.75 17.09 12.44
6/30/2009 27.42 17.06 16.56 12.66
7/31/2009 37.83 27.62 26.43 21.18
8/31/2009 40.72 32.84 31.65 25.56
9/30/2009 48.34 40.54 36.90 30.24
10/31/2009 40.08 32.41 34.46 27.82
11/30/2009 44.69 37.75 39.96 35.49
12/31/2009 54.45 47.68 42.47 38.10
1/31/2010 48.55 42.74 36.58 33.14
2/28/2010 55.63 49.83 38.51 37.26
3/31/2010 67.83 61.29 47.08 45.54
4/30/2010 75.06 68.93 47.10 47.84
5/31/2010 62.76 56.34 33.01 36.04
6/30/2010 52.40 45.19 28.45 28.92
7/31/2010 61.14 55.40 38.87 37.95
8/31/2010 50.02 46.20 33.68 31.72
9/30/2010 67.40 62.92 46.15 43.48
10/31/2010 74.09 69.17 51.60 48.93
11/30/2010 78.52 73.93 48.32 48.95
12/31/2010 90.60 87.12 59.23 58.91
1/31/2011 92.01 89.63 62.83 62.67
2/28/2011 99.35 98.89 68.53 68.25
3/31/2011 103.87 103.41 66.86 68.31
4/30/2011 110.49 109.28 73.95 73.30
5/31/2011 108.10 106.77 70.34 71.34
6/30/2011 105.17 102.21 67.65 68.48
7/31/2011 96.16 94.52 64.61 65.06
8/31/2011 80.31 78.59 53.01 56.09
9/30/2011 61.75 59.30 39.80 45.12
10/31/2011 87.26 82.65 54.26 60.98
11/30/2011 86.39 82.02 50.49 60.62
12/31/2011 86.39 82.43 50.41 62.26
1/31/2012 100.39 94.56 57.95 69.54
2/29/2012 109.51 101.77 65.67 76.87
3/31/2012 113.20 106.12 67.80 82.69
4/30/2012 109.94 104.62 65.89 81.54
5/31/2012 94.86 90.64 51.57 70.63
6/30/2012 104.52 97.58 59.30 77.66
7/31/2012 102.77 96.23 61.35 80.13
8/31/2012 109.65 103.28 65.44 84.18
9/30/2012 112.27 108.58 69.98 88.94
10/31/2012 109.32 106.39 68.83 85.46
11/30/2012 113.25 109.57 70.99 86.53
12/31/2012 119.91 115.04 74.21 88.23
1/31/2013 137.49 129.74 83.08 97.98
2/28/2013 142.08 132.38 83.39 100.67
3/31/2013 153.33 142.67 87.68 108.19
4/30/2013 152.67 141.78 93.59 112.21
5/31/2013 161.41 151.45 93.67 117.17
6/30/2013 162.81 150.16 88.89 114.25
7/31/2013 177.65 167.67 98.84 125.16
8/31/2013 173.30 159.16 94.61 118.63
9/30/2013 190.25 175.70 104.34 125.49
10/31/2013 194.72 182.63 112.34 135.86
11/30/2013 202.30 193.96 116.11 143.04
12/31/2013 210.11 199.74 120.68 149.20
1/31/2014 206.09 191.44 112.51 140.58
2/28/2014 220.82 205.17 123.15 151.59
3/31/2014 223.05 203.09 123.47 153.70
4/30/2014 211.78 191.34 125.76 155.58
5/31/2014 213.46 193.68 130.20 161.58
6/30/2014 224.12 209.30 134.32 166.98
7/31/2014 210.53 190.58 130.58 163.30
8/31/2014 228.96 204.99 135.66 173.83
9/30/2014 209.35 186.54 129.27 169.99
10/31/2014 233.79 205.43 130.75 176.58
11/30/2014 239.80 205.70 135.37 184.02
12/31/2014 247.12 214.41 131.58 183.31
1/31/2015 233.27 204.30 127.38 174.80
2/28/2015 254.05 222.36 140.70 190.60
3/31/2015 257.97 227.98 136.94 186.00
4/30/2015 246.99 219.62 142.49 188.74
5/31/2015 255.75 226.91 143.33 192.46
6/30/2015 259.14 229.36 137.67 186.80
7/31/2015 254.08 225.53 141.94 192.80
8/31/2015 233.55 205.08 125.93 175.14
9/30/2015 216.70 190.11 117.59 168.33
10/31/2015 232.32 206.45 134.84 190.97
11/30/2015 242.28 216.42 133.67 191.83
12/31/2015 226.65 200.53 129.56 187.23
1/31/2016 202.45 174.11 115.83 172.97
2/29/2016 203.98 174.09 114.22 172.61
3/31/2016 226.20 195.97 128.76 191.10
4/30/2016 229.87 200.62 132.38 192.23
5/31/2016 238.61 207.39 133.68 197.48
6/30/2016 236.14 207.19 131.06 198.25
7/31/2016 252.47 225.53 140.83 209.24
8/31/2016 253.27 231.29 141.03 209.68
9/30/2016 251.83 234.98 142.31 209.74
10/31/2016 242.71 219.06 137.62 204.09
11/30/2016 273.77 254.63 141.03 215.35
12/31/2016 285.62 264.57 146.80 221.58
1/31/2017 290.11 266.01 152.76 227.68
2/28/2017 299.24 273.07 159.77 240.69
3/31/2017 301.00 273.56 162.54 241.09
4/30/2017 308.84 277.66 166.42 244.59
5/31/2017 300.04 269.97 172.06 249.44
6/30/2017 312.56 282.76 173.11 251.62
7/31/2017 313.07 285.61 179.64 258.85
8/31/2017 307.95 280.70 180.04 259.95
9/30/2017 332.53 304.46 186.32 267.38
10/31/2017 336.29 307.91 191.73 275.95
11/30/2017 340.04 319.66 198.06 287.48
12/31/2017 340.21 317.97 202.09 291.79
1/31/2018 349.60 328.89 218.04 314.22
2/28/2018 326.39 312.29 204.86 298.95
3/31/2018 337.82 317.62 198.22 288.81
4/30/2018 340.38 321.23 201.64 290.30
5/31/2018 368.55 346.80 203.53 299.70
6/30/2018 375.63 350.00 203.39 302.16
7/31/2018 381.84 357.84 212.86 317.13
8/31/2018 410.34 377.58 216.73 330.72
9/30/2018 392.89 366.09 218.50 333.17
10/31/2018 344.22 315.47 195.11 303.57
11/30/2018 351.01 322.07 198.46 311.79
12/31/2018 294.78 271.94 175.77 274.61
1/31/2019 340.93 313.78 197.23 304.63

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 02/16/2019

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

(33.5% of assets as of 01/31/2019)


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 98.1% 99.9% -1.8%
Developed Markets Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Americas 98.1% 100.0% -1.9%
Equity Sector Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Industrials 19.4% 14.8% 4.6%
Financials 15.5% 17.8% -2.3%
Consumer Discretionary 13.6% 12.1% 1.5%
Health Care 12.7% 15.6% -2.9%
Information Technology 11.8% 14.9% -3.1%
Real Estate 7.7% 7.5% 0.2%
Utilities 5.2% 3.6% 1.6%
Materials 4.6% 3.9% 0.8%
Energy 3.0% 3.7% -0.7%
Consumer Staples 2.7% 2.8% -0.1%
Communication Services 1.8% 3.3% -1.5%
Industry Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Banks 8.7% 9.5% -0.8%
Equity Real Estate Investment Trusts (REITs) 7.7% 6.9% 0.8%
Software 6.1% 5.6% 0.5%
Machinery 5.1% 3.7% 1.4%
Professional Services 4.2% 1.5% 2.8%
Hotels Restaurants & Leisure 4.1% 3.0% 1.2%
Metals & Mining 3.7% 1.3% 2.4%
Specialty Retail 3.3% 3.0% 0.3%
Health Care Equipment & Supplies 3.3% 3.7% -0.3%
Biotechnology 3.1% 6.4% -3.3%
IT Services 3.1% 1.9% 1.2%
Oil Gas & Consumable Fuels 3.0% 2.4% 0.6%
Thrifts & Mortgage Finance 2.9% 2.4% 0.5%
Health Care Providers & Services 2.8% 1.9% 0.9%
Auto Components 2.7% 1.0% 1.7%
Gas Utilities 2.6% 1.1% 1.5%
Multi-Utilities 2.6% 0.5% 2.1%
Semiconductors & Semiconductor Equipment 2.6% 2.7% -0.1%
Electrical Equipment 2.3% 0.8% 1.5%
Commercial Services & Supplies 2.3% 2.6% -0.2%
Asset Allocation Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Equity 98.1% 100.0% -1.9%
Market Cap Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Small 59.5% 73.3% -13.8%
Mid 38.6% 26.7% 11.9%
Analytics
(As of 01/31/2019)

Morningstar 01/31/2019 (based on risk adjusted performance)
Overall Rating
Number of Funds
86
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
-0.61
0.61
Beta
0.96
0.95
Information Ratio
-0.40
0.10
R-Squared
95.73
95.87
Sharpe Ratio
0.80
0.50
Standard Deviation
15.76
15.56
Upside Capture
95.01
97.04
Downside Capture
98.82
94.43
Sortino Ratio
1.24
0.75
Win Ratio
47.00
52.00
Loss Ratio
53.00
48.00
Tracking Error
3.34
3.28
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$2.60 B
$2.26 B
Median Market Cap (weighted)
$2.50 B
$2.07 B
P/E Ratio (LTM)
17.77
23.18
P/E Ratio (NTM)
16.40
17.88
Price/Book
2.33
2.18
Debt to Capital Ratio
40.46
36.48
Turnover Ratio
42%
-
Active Share
91.77%
-
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
6/19/2018
Per Share ($)
$0.0814
12-Month Distribution ($)
$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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