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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 09/25/2018)
$25.57
Total Assets
(as of 08/31/2018)
$1.14 BN
Gross Expense Ratio
(as of 08/31/2018)
0.82%
Net Expense Ratio
(as of 08/31/2018)
0.80%
Performance
Average Annual Total Returns
Cumulative Returns
Calendar Year Returns
Capital Gains Distributions
as of 08/31/2018
  • 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 2018-08-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (NAV)
15.93% 25.10% 15.23% 13.30% 11.55% 9.08%
Russell 2000® Index
14.26% 25.45% 16.11% 13.00% 11.18% -
Cumulative
Annualized
ytd as of 2018-08-31
  • C
1 yr 3 yr 5 yr 10 yr since inception
Main Street Small Cap Fund®/VA (with sales charge)
15.93% 25.10% 15.23% 13.30% 11.55% 9.08%
Russell 2000® Index
14.26% 25.45% 16.11% 13.00% 11.18% -
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
8/31/2008 0.00 0.00 0.00 0.00
9/30/2008 -9.52 -9.94 -11.89 -8.91
10/31/2008 -28.86 -29.34 -28.60 -24.21
11/30/2008 -38.63 -37.00 -33.22 -29.65
12/31/2008 -34.18 -33.58 -31.08 -28.90
1/31/2009 -41.53 -39.56 -37.12 -34.89
2/28/2009 -49.13 -46.09 -43.55 -41.82
3/31/2009 -43.43 -41.17 -39.30 -36.73
4/30/2009 -29.07 -32.11 -32.49 -30.67
5/31/2009 -25.62 -30.04 -26.37 -26.79
6/30/2009 -25.50 -29.25 -26.70 -26.65
7/31/2009 -19.42 -22.86 -20.49 -21.10
8/31/2009 -17.72 -19.71 -17.21 -18.25
9/30/2009 -13.27 -15.05 -13.91 -15.20
10/31/2009 -18.10 -19.97 -15.45 -16.78
11/30/2009 -15.40 -16.74 -11.99 -11.79
12/31/2009 -9.70 -10.74 -10.41 -10.08
1/31/2010 -13.14 -13.73 -14.11 -13.32
2/28/2010 -9.01 -9.44 -12.90 -10.63
3/31/2010 -1.87 -2.52 -7.51 -5.24
4/30/2010 2.35 2.10 -7.49 -3.74
5/31/2010 -4.84 -5.50 -16.36 -11.43
6/30/2010 -10.90 -12.25 -19.22 -16.07
7/31/2010 -5.79 -6.07 -12.67 -10.18
8/31/2010 -12.29 -11.64 -15.93 -14.24
9/30/2010 -2.13 -1.53 -8.10 -6.59
10/31/2010 1.79 2.25 -4.67 -3.03
11/30/2010 4.37 5.12 -6.73 -3.02
12/31/2010 11.44 13.10 0.13 3.46
1/31/2011 12.26 14.62 2.39 5.91
2/28/2011 16.55 20.21 5.98 9.54
3/31/2011 19.19 22.94 4.93 9.59
4/30/2011 23.07 26.49 9.39 12.83
5/31/2011 21.67 24.97 7.12 11.56
6/30/2011 19.96 22.22 5.43 9.70
7/31/2011 14.69 17.57 3.51 7.46
8/31/2011 5.42 7.94 -3.78 1.63
9/30/2011 -5.43 -3.72 -12.09 -5.52
10/31/2011 9.48 10.40 -3.00 4.81
11/30/2011 8.98 10.01 -5.37 4.58
12/31/2011 8.98 10.26 -5.42 5.65
1/31/2012 17.16 17.59 -0.67 10.38
2/29/2012 22.49 21.95 4.18 15.16
3/31/2012 24.65 24.58 5.52 18.94
4/30/2012 22.75 23.67 4.32 18.20
5/31/2012 13.93 15.22 -4.68 11.09
6/30/2012 19.58 19.42 0.17 15.67
7/31/2012 18.55 18.60 1.46 17.28
8/31/2012 22.58 22.86 4.03 19.92
9/30/2012 24.11 26.07 6.89 23.02
10/31/2012 22.39 24.75 6.17 20.75
11/30/2012 24.68 26.66 7.53 21.45
12/31/2012 28.58 29.97 9.55 22.55
1/31/2013 38.86 38.86 15.13 28.90
2/28/2013 41.54 40.45 15.32 30.65
3/31/2013 48.11 46.67 18.02 35.55
4/30/2013 47.73 46.13 21.74 38.16
5/31/2013 52.84 51.98 21.78 41.40
6/30/2013 53.66 51.20 18.78 39.50
7/31/2013 62.33 61.78 25.04 46.60
8/31/2013 59.79 56.64 22.38 42.35
9/30/2013 69.70 66.63 28.50 46.81
10/31/2013 72.31 70.83 33.53 53.56
11/30/2013 76.75 77.67 35.90 58.24
12/31/2013 81.31 81.17 38.77 62.25
1/31/2014 78.97 76.15 33.63 56.64
2/28/2014 87.57 84.45 40.32 63.80
3/31/2014 88.88 83.19 40.53 65.18
4/30/2014 82.29 76.09 41.97 66.40
5/31/2014 83.27 77.50 44.76 70.31
6/30/2014 89.50 86.94 47.35 73.83
7/31/2014 81.56 75.63 45.00 71.43
8/31/2014 92.33 84.34 48.19 78.29
9/30/2014 80.87 73.18 44.17 75.79
10/31/2014 95.16 84.60 45.10 80.08
11/30/2014 98.67 84.77 48.01 84.92
12/31/2014 102.95 90.03 45.63 84.46
1/31/2015 94.85 83.92 42.99 78.92
2/28/2015 107.00 94.84 51.36 89.20
3/31/2015 109.29 98.23 48.99 86.21
4/30/2015 102.88 93.18 52.49 88.00
5/31/2015 108.00 97.59 53.01 90.41
6/30/2015 109.98 99.07 49.46 86.73
7/31/2015 107.02 96.75 52.14 90.64
8/31/2015 95.02 84.39 42.07 79.14
9/30/2015 85.16 75.34 36.83 74.71
10/31/2015 94.30 85.22 47.67 89.44
11/30/2015 100.12 91.25 46.94 90.01
12/31/2015 90.99 81.64 44.36 87.01
1/31/2016 76.83 65.67 35.72 77.73
2/29/2016 77.73 65.66 34.71 77.49
3/31/2016 90.72 78.89 43.85 89.53
4/30/2016 92.87 81.69 46.13 90.27
5/31/2016 97.97 85.79 46.95 93.68
6/30/2016 96.53 85.67 45.30 94.18
7/31/2016 106.08 96.75 51.44 101.34
8/31/2016 106.55 100.23 51.57 101.63
9/30/2016 105.71 102.46 52.37 101.66
10/31/2016 100.37 92.84 49.42 97.99
11/30/2016 118.53 114.34 51.57 105.32
12/31/2016 125.46 120.35 55.20 109.38
1/31/2017 128.09 121.22 58.94 113.35
2/28/2017 133.42 125.49 63.35 121.82
3/31/2017 134.45 125.78 65.09 122.08
4/30/2017 139.04 128.26 67.54 124.36
5/31/2017 133.89 123.61 71.08 127.51
6/30/2017 141.21 131.34 71.74 128.94
7/31/2017 141.51 133.06 75.85 133.64
8/31/2017 138.52 130.10 76.10 134.36
9/30/2017 152.89 144.46 80.05 139.19
10/31/2017 155.08 146.54 83.45 144.77
11/30/2017 157.28 153.65 87.43 152.28
12/31/2017 157.38 152.62 89.96 155.09
1/31/2018 162.87 159.23 99.99 169.69
2/28/2018 149.30 149.19 91.71 159.75
3/31/2018 155.98 152.41 87.53 153.15
4/30/2018 157.48 154.59 89.69 154.12
5/31/2018 173.95 170.05 90.87 160.24
6/30/2018 178.09 171.98 90.78 161.84
7/31/2018 181.72 176.72 96.74 171.59
8/31/2018 198.38 188.65 99.18 180.44

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 09/25/2018

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

(32.8% of assets as of 08/31/2018)


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 97.5% 99.8% -2.3%
Developed Markets Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Americas 97.5% 100.0% -2.5%
Equity Sector Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Industrials 18.9% 15.1% 3.8%
Information Technology 17.7% 15.4% 2.4%
Health Care 14.5% 16.2% -1.8%
Financials 13.8% 17.7% -3.9%
Consumer Discretionary 11.5% 13.4% -1.9%
Real Estate 6.3% 7.0% -0.7%
Materials 4.2% 4.1% 0.0%
Energy 4.1% 4.7% -0.5%
Utilities 3.9% 3.0% 0.9%
Consumer Staples 2.6% 2.7% 0.0%
Industry Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Banks 8.0% 9.7% -1.7%
Internet Software & Services 6.9% 3.7% 3.2%
Equity Real Estate Investment Trusts (REITs) 6.3% 6.5% -0.2%
Machinery 5.2% 3.8% 1.4%
Software 4.7% 2.8% 1.9%
Professional Services 4.7% 1.6% 3.1%
Health Care Providers & Services 4.4% 1.9% 2.5%
Oil Gas & Consumable Fuels 4.1% 2.9% 1.2%
IT Services 4.0% 1.9% 2.1%
Specialty Retail 4.0% 3.1% 1.0%
Biotechnology 3.7% 6.6% -2.9%
Hotels Restaurants & Leisure 3.3% 3.1% 0.2%
Metals & Mining 3.2% 1.2% 1.9%
Health Care Equipment & Supplies 3.2% 3.8% -0.6%
Auto Components 3.0% 1.0% 1.9%
Thrifts & Mortgage Finance 2.7% 2.2% 0.5%
Multi-Utilities 2.6% 0.4% 2.2%
Commercial Services & Supplies 2.3% 2.5% -0.2%
Semiconductors & Semiconductor Equipment 2.2% 2.6% -0.4%
Construction & Engineering 2.1% 1.0% 1.0%
Asset Allocation Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Equity 97.5% 100.0% -2.5%
Market Cap Main Street Small Cap Fund®/VA Russell 2000® Index Overweight / Underweight
Small 56.3% 74.2% -17.9%
Mid 41.2% 25.8% 15.4%
Analytics
(As of 08/31/2018)

Morningstar 08/31/2018 (based on risk adjusted performance)
Overall Rating
Number of Funds
81
Category
Small Blend
Performance Statistics
3Y
5Y
Alpha
0.72
1.32
Beta
0.89
0.91
Information Ratio
-0.26
0.09
R-Squared
93.97
93.95
Sharpe Ratio
1.15
1.01
Standard Deviation
12.38
12.75
Upside Capture
93.14
95.30
Downside Capture
91.03
89.19
Sortino Ratio
2.04
1.74
Win Ratio
47.00
52.00
Loss Ratio
53.00
48.00
Tracking Error
3.36
3.37
Portfolio Characteristics
Fund
Fund Index
Average Market Cap (weighted)
$3.14 B
$2.46 B
Median Market Cap (weighted)
$3.02 B
$2.31 B
P/E Ratio (LTM)
23.99
27.82
P/E Ratio (NTM)
20.23
20.38
Price/Book
2.73
2.53
Debt to Capital Ratio
37.98
37.03
Turnover Ratio
42%
-
Dividends
  • D
Est. Frequency
Annual
Last Pay Date
6/19/2018
Per Share ($)
$0.0814
12-Month Distribution ($)
$0.0814
Distribution Sources
  • D
Net Income
0.70%
Net Profit from Sale
69.80%
Other Capital Sources
29.50%
Team
Tools
Morningstar logo 95x28 trans
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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