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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 12/15/2017)
$25.76
Total Assets
(as of 11/30/2017)
$1.09 BN
Gross Expense Ratio
(as of 11/30/2017)
0.81%
Net Expense Ratio
(as of 11/30/2017)
0.80%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 11/30/2017
  • 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%
Russell 2000® Index
10.94% 20.74% 12.18% 14.16% 8.33% -
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%
Russell 2000® Index
10.94% 20.74% 12.18% 14.16% 8.33% -
Cumulative
Annualized
ytd as of 2017-11-30
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
14.11% 17.73% 9.00% 15.59% 9.20% 8.62%
Russell 2000® Index
15.11% 18.34% 11.14% 14.90% 9.14% -
Cumulative
Annualized
ytd as of 2017-11-30
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
14.11% 17.73% 9.00% 15.59% 9.20% 8.62%
Russell 2000® Index
15.11% 18.34% 11.14% 14.90% 9.14% -
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
11/30/2007 0.00 0.00 0.00 0.00
12/31/2007 -0.76 -0.62 -1.29 -0.69
1/31/2008 -7.74 -6.69 -8.83 -6.65
2/29/2008 -9.92 -9.26 -9.36 -9.68
3/31/2008 -11.13 -9.93 -10.23 -10.07
4/30/2008 -6.67 -5.08 -5.51 -5.69
5/31/2008 -1.69 -0.57 -4.07 -4.47
6/30/2008 -9.74 -8.68 -11.72 -12.52
7/31/2008 -8.70 -8.05 -13.88 -13.26
8/31/2008 -6.27 -5.42 -15.09 -12.01
9/30/2008 -15.19 -14.82 -25.19 -19.85
10/31/2008 -33.32 -33.17 -39.37 -33.31
11/30/2008 -42.47 -40.42 -43.30 -38.09
12/31/2008 -38.30 -37.18 -41.48 -37.43
1/31/2009 -45.20 -42.84 -46.60 -42.71
2/28/2009 -52.32 -49.02 -52.07 -48.81
3/31/2009 -46.98 -44.36 -48.46 -44.32
4/30/2009 -33.52 -35.79 -42.67 -39.00
5/31/2009 -30.29 -33.83 -37.48 -35.58
6/30/2009 -30.17 -33.08 -37.76 -35.46
7/31/2009 -24.47 -27.05 -32.49 -30.57
8/31/2009 -22.88 -24.07 -29.70 -28.07
9/30/2009 -18.71 -19.66 -26.90 -25.38
10/31/2009 -23.23 -24.31 -28.20 -26.77
11/30/2009 -20.70 -21.26 -25.27 -22.38
12/31/2009 -15.36 -15.58 -23.93 -20.88
1/31/2010 -18.59 -18.41 -27.07 -23.72
2/28/2010 -14.71 -14.35 -26.04 -21.36
3/31/2010 -8.02 -7.80 -21.46 -16.62
4/30/2010 -4.06 -3.44 -21.45 -15.30
5/31/2010 -10.80 -10.63 -28.98 -22.06
6/30/2010 -16.48 -17.01 -31.41 -26.14
7/31/2010 -11.69 -11.17 -25.85 -20.97
8/31/2010 -17.78 -16.43 -28.62 -24.54
9/30/2010 -8.26 -6.87 -21.96 -17.80
10/31/2010 -4.59 -3.30 -19.05 -14.67
11/30/2010 -2.17 -0.58 -20.80 -14.66
12/31/2010 4.46 6.97 -14.98 -8.96
1/31/2011 5.23 8.40 -13.06 -6.80
2/28/2011 9.25 13.69 -10.01 -3.61
3/31/2011 11.72 16.27 -10.90 -3.57
4/30/2011 15.35 19.63 -7.12 -0.71
5/31/2011 14.04 18.20 -9.04 -1.84
6/30/2011 12.44 15.59 -10.48 -3.47
7/31/2011 7.50 11.19 -12.11 -5.44
8/31/2011 -1.19 2.09 -18.30 -10.57
9/30/2011 -11.36 -8.94 -25.35 -16.86
10/31/2011 2.62 4.41 -17.63 -7.77
11/30/2011 2.15 4.05 -19.64 -7.98
12/31/2011 2.15 4.28 -19.69 -7.04
1/31/2012 9.82 11.21 -15.66 -2.87
2/29/2012 14.82 15.34 -11.54 1.33
3/31/2012 16.84 17.83 -10.40 4.66
4/30/2012 15.06 16.97 -11.42 4.01
5/31/2012 6.79 8.97 -19.07 -2.24
6/30/2012 12.08 12.94 -14.94 1.78
7/31/2012 11.12 12.17 -13.85 3.20
8/31/2012 14.89 16.20 -11.66 5.52
9/30/2012 16.33 19.23 -9.24 8.25
10/31/2012 14.71 17.98 -9.85 6.25
11/30/2012 16.87 19.79 -8.70 6.87
12/31/2012 20.52 22.93 -6.98 7.84
1/31/2013 30.15 31.33 -2.24 13.43
2/28/2013 32.67 32.84 -2.08 14.97
3/31/2013 38.83 38.72 0.21 19.28
4/30/2013 38.47 38.21 3.37 21.58
5/31/2013 43.26 43.74 3.41 24.42
6/30/2013 44.03 43.00 0.86 22.75
7/31/2013 52.16 53.01 6.17 29.00
8/31/2013 49.77 48.15 3.91 25.26
9/30/2013 59.07 57.60 9.11 29.19
10/31/2013 61.51 61.56 13.38 35.13
11/30/2013 65.67 68.04 15.39 39.24
12/31/2013 69.95 71.34 17.84 42.77
1/31/2014 67.75 66.60 13.47 37.83
2/28/2014 75.82 74.45 19.15 44.14
3/31/2014 77.04 73.26 19.32 45.35
4/30/2014 70.87 66.54 20.55 46.42
5/31/2014 71.78 67.87 22.92 49.86
6/30/2014 77.63 76.81 25.12 52.96
7/31/2014 70.18 66.10 23.12 50.85
8/31/2014 80.28 74.34 25.83 56.88
9/30/2014 69.53 63.79 22.42 54.68
10/31/2014 82.93 74.59 23.21 58.46
11/30/2014 86.22 74.75 25.68 62.72
12/31/2014 90.23 79.73 23.65 62.31
1/31/2015 82.64 73.95 21.41 57.44
2/28/2015 94.03 84.27 28.53 66.49
3/31/2015 96.18 87.48 26.51 63.85
4/30/2015 90.16 82.70 29.48 65.43
5/31/2015 94.96 86.87 29.93 67.55
6/30/2015 96.82 88.27 26.91 64.31
7/31/2015 94.05 86.09 29.18 67.75
8/31/2015 82.79 74.39 20.63 57.63
9/30/2015 73.56 65.84 16.19 53.73
10/31/2015 82.12 75.18 25.39 66.70
11/30/2015 87.58 80.88 24.77 67.19
12/31/2015 79.02 71.80 22.58 64.56
1/31/2016 65.75 56.69 15.24 56.39
2/29/2016 66.59 56.68 14.38 56.18
3/31/2016 78.76 69.19 22.15 66.78
4/30/2016 80.78 71.84 24.08 67.42
5/31/2016 85.56 75.71 24.78 70.43
6/30/2016 84.21 75.60 23.38 70.87
7/31/2016 93.16 86.09 28.59 77.17
8/31/2016 93.60 89.38 28.70 77.42
9/30/2016 92.81 91.49 29.38 77.45
10/31/2016 87.81 82.38 26.88 74.22
11/30/2016 104.84 102.72 28.70 80.67
12/31/2016 111.33 108.40 31.78 84.24
1/31/2017 113.79 109.22 34.96 87.73
2/28/2017 118.79 113.26 38.71 95.19
3/31/2017 119.76 113.54 40.18 95.42
4/30/2017 124.06 115.88 42.26 97.42
5/31/2017 119.23 111.49 45.27 100.20
6/30/2017 126.09 118.80 45.83 101.45
7/31/2017 126.37 120.43 49.32 105.59
8/31/2017 123.57 117.62 49.53 106.22
9/30/2017 137.04 131.20 52.88 110.48
10/31/2017 139.10 133.17 55.77 115.39
11/30/2017 141.15 139.89 59.15 121.99

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 12/15/2017

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

(34.9% of assets as of 11/30/2017)


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 96.7% 99.8% -3.2%
Canada 1.4% 0.0% 1.4%
Bermuda 0.8% 0.1% 0.7%
Belgium 0.3% - -
Developed Markets Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Americas 99.0% 100.0% -1.0%
Europe 0.3% - -
Equity Sector Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Industrials 20.6% 15.3% 5.4%
Financials 17.2% 18.4% -1.2%
Information Technology 17.0% 16.7% 0.3%
Consumer Discretionary 11.3% 12.4% -1.1%
Health Care 9.8% 15.0% -5.1%
Real Estate 7.4% 6.8% 0.6%
Materials 5.1% 4.5% 0.6%
Utilities 4.3% 3.7% 0.6%
Consumer Staples 3.4% 2.8% 0.6%
Energy 3.1% 3.7% -0.5%
Industry Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Banks 11.0% 10.6% 0.4%
Equity Real Estate Investment Trusts (REITs) 6.3% 6.4% 0.0%
Software 5.6% 3.7% 1.9%
Professional Services 4.3% 1.3% 3.1%
Semiconductors & Semiconductor Equipment 4.3% 3.2% 1.1%
Internet Software & Services 4.2% 3.0% 1.2%
Machinery 3.8% 3.9% -0.1%
Commercial Services & Supplies 3.4% 2.4% 1.0%
Specialty Retail 3.2% 2.1% 1.1%
Metals & Mining 3.1% 1.2% 1.8%
Biotechnology 2.9% 5.7% -2.8%
Oil Gas & Consumable Fuels 2.9% 2.2% 0.7%
IT Services 2.9% 1.8% 1.1%
Health Care Equipment & Supplies 2.8% 3.8% -1.0%
Hotels Restaurants & Leisure 2.7% 3.2% -0.5%
Pharmaceuticals 2.6% 2.2% 0.4%
Thrifts & Mortgage Finance 2.6% 2.3% 0.3%
Auto Components 2.1% 1.3% 0.8%
Construction & Engineering 2.1% 1.2% 0.9%
Electric Utilities 2.0% 1.1% 0.9%
Asset Allocation Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Equity 99.2% 100.0% -0.8%
Market Cap Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Small 89.6% 91.7% -2.2%
Mid 9.6% 8.1% 1.5%
Analytics
(As of 11/30/2017)

Morningstar 11/30/2017 (based on risk adjusted performance)
Overall Rating
Number of Funds
85
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
-0.85
2.06
Beta
0.88
0.89
Information Ratio
-0.71
0.20
R-Squared
96.01
94.42
Sharpe Ratio
0.71
1.18
Standard Deviation
12.76
12.77
Upside Capture
88.05
94.03
Downside Capture
93.41
83.50
Sortino Ratio
0.34
0.62
Win Ratio
44.00
55.00
Loss Ratio
56.00
45.00
Tracking Error
3.02
3.38
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
6/20/2017
Per Share ($)
$0.2211
12-Month Distribution ($)
$0.2211
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$2.60 B
$2.40 B
Median Market Cap (weighted)
$2.50 B
$2.20 B
P/E Ratio (LTM)
32.14
37.44
P/E Ratio (NTM)
20.01
23.36
Price/Book
2.34
2.45
Debt to Capital Ratio
44.03
38.18
Turnover Ratio
65.00%
-
Distribution Sources
  • D
Net Income
7.40%
Net Profit from Sale
44.00%
Other Capital Sources
48.60%
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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