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WAAEX Wasatch Small Cap Growth Investor

  • Fund
  • WAAEX
  • Price as of: Dec 09, 2016
  • $45.17
  • - $0.15
  • - 0.33%
  • Category
  • Small Cap Growth Equities

WAAEX - Profile

Vitals

  • YTD Return 9.4%
  • 3 Yr Annualized Return 3.8%
  • 5 Yr Annualized Return 10.7%
  • Net Assets $1.84 B
  • Holdings in Top 10 30.1%

52 WEEK LOW AND HIGH

$45.17
$33.70
$49.29

Expenses

OPERATING RELATED FEES

  • Expense Ratio 1.29%

SALES FEES

  • Front Load N/A
  • Deferred Load N/A

BROKERAGE FEES

  • Turnover 20.00%

TRADING FEES

  • Max Redemption Fee 2.00%

Min Investment

Closed to new investors as of 2012-01-31

STANDARD (TAXABLE)

$2,000

IRA

$2,000

Investment Themes

CATEGORY

Small Cap Growth Equities
  • Fund Type Open End Mutual Fund
  • Investment Style Small Growth

Distributions

  • YTD Total Return 9.4%
  • 3 Yr Annualized Total Return 3.8%
  • 5 Yr Annualized Total Return 10.7%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio -0.79%
DIVIDENDS
  • Dividend Yield N/A
  • Dividend Distribution Frequency Annually

Fund Details

  • Legal Name Wasatch Small Cap Growth Fund®
  • Fund Family Name Wasatch
  • Inception Date Dec 08, 1986
  • Shares Outstanding N/A
  • Share Class No Load
  • Currency USD
  • Domiciled Country United States
  • Manager Jeff Cardon

Fund Description

The fund invests primarily in small growth companies. It will invest at least 80% of the fund's net assets (plus borrowings for investment purposes) in the equity securities of small-capitalization companies. Equity securities include common stock, preferred stock and securities convertible into common stock, warrants and rights, and other securities with equity characteristics. The fund may invest up to 20% of its total assets at the time of purchase in securities issued by foreign companies in developed or emerging markets.

WAAEX - Performance

Return Ranking - Trailing

Period WAAEX Return Category Return Low Category Return High Rank in Category (%) Quintile
YTD 9.4% -81.5% 30.4% 61.75% 4
1 Yr 3.7% -22.5% 49.1% 60.82% 4
3 Yr 3.8% * -21.1% 12.1% 54.67% 3
5 Yr 10.7% * -13.5% 17.8% 70.75% 4
10 Yr 7.4% * -6.7% 12.7% 40.72% 3

* Annualized


Return Ranking - Calendar

Period WAAEX Return Category Return Low Category Return High Rank in Category (%) Quintile
2015 -15.8% -71.6% 14.9% 69.41% 4
2014 -6.5% -57.2% 17.3% 43.80% 3
2013 27.1% -32.6% 61.3% 62.32% 4
2012 9.2% -100.0% 30.8% 50.20% 3
2011 -4.3% -29.9% 181.9% 44.81% 3

Total Return Ranking - Trailing

Period WAAEX Return Category Return Low Category Return High Rank in Category (%) Quintile
YTD 9.4% -81.5% 30.4% 62.90% 4
1 Yr 3.7% -31.1% 291.3% 52.70% 3
3 Yr 3.8% * -43.2% 166.8% 50.62% 3
5 Yr 10.7% * -9.5% 17.8% 67.46% 4
10 Yr 7.4% * -4.8% 12.7% 38.92% 2

* Annualized


Total Return Ranking - Calendar

Period WAAEX Return Category Return Low Category Return High Rank in Category (%) Quintile
2015 -0.3% -71.6% 38.5% 22.81% 2
2014 3.5% -23.4% 22.2% 43.53% 3
2013 47.3% -32.6% 6103.1% 74.58% 4
2012 30.6% -100.0% 400.5% 24.64% 2
2011 -0.2% -100.0% 101.1% 27.97% 2

NAV & Total Return History

WAAEX - Holdings

Filings data as of: Sep 30, 2016

Concentration Analysis

WAAEX Category Low Category High WAAEX % Rank Quintile
Net Assets 1.84 B 31.4 K 16.5 B 4.09% 1
Number of Holdings 100 2 3396 12.76% 3
Net Assets in Top 10 563 M -2.31 M 3.02 B 2.68% 1
Weighting of Top 10 30.1% 4.2% 100.1% 6.14% 1

Top 10 Holdings

  1. Knight Transportation Inc 4.07%
  2. The Ultimate Software Group Inc 4.39%
  3. Cornerstone OnDemand Inc 4.70%
  4. Icon PLC 2.38%
  5. Copart Inc 2.92%
  6. Spirit Airlines Inc 2.10%
  7. Seattle Genetics Inc 2.87%
  8. Zendesk Inc 2.10%
  9. Cavium Inc 2.31%
  10. MakeMyTrip Ltd 2.21%

Asset Allocation

Weighting Category Low Category High WAAEX % Rank Quintile
Stocks
95.76% 11.88% 101.33% 19.06% 4
Other
2.24% -2.46% 55.68% 2.36% 1
Cash
1.99% -1.33% 40.84% 18.58% 3
Convertible Bonds
0.00% 0.00% 28.89% 0.94% 1
Preferred Stocks
0.00% 0.00% 10.15% 3.15% 1
Bonds
0.00% -8.02% 77.46% 2.36% 1

Stock Sector Breakdown

Weighting Category Low Category High WAAEX % Rank Quintile
Technology
26.75% 1.34% 72.04% 12.60% 2
Consumer Cyclical
17.37% -0.10% 41.48% 6.14% 1
Industrials
16.72% 1.14% 31.40% 14.33% 3
Healthcare
15.49% 1.10% 63.64% 21.89% 4
Financial Services
10.53% -2.02% 29.41% 10.08% 2
Consumer Defense
6.67% -2.82% 12.39% 4.57% 1
Energy
1.59% 0.00% 20.20% 19.69% 4
Real Estate
0.65% -5.58% 15.70% 23.46% 5
Utilities
0.00% -1.64% 9.47% 11.18% 2
Communication Services
0.00% -0.97% 6.07% 17.17% 4
Basic Materials
0.00% 0.00% 28.16% 31.50% 5

Stock Geographic Breakdown

Weighting Category Low Category High WAAEX % Rank Quintile
US
77.76% 2.64% 100.00% 31.97% 5
Non US
18.00% 0.00% 88.22% 0.79% 1

WAAEX - Expenses

Operational Fees

WAAEX Fees (% of AUM) Category Low Category High Rank in Category (%) Quintile
Expense Ratio 1.29% 0.07% 27.39% 23.15% 2
Management Fee 1.00% 0.03% 1.50% 2.52% 5
12b-1 Fee N/A 0.00% 1.00% N/A N/A
Administrative Fee N/A 0.00% 0.45% N/A N/A

Sales Fees

WAAEX Fees (% of AUM) Category Low Category High WAAEX Rank Quintile
Front Load N/A 0.00% 5.75% N/A N/A
Deferred Load N/A 1.00% 5.50% N/A N/A

Trading Fees

WAAEX Fees (% of AUM) Category Low Category High WAAEX Rank Quintile
Max Redemption Fee 2.00% 0.00% 2.00% 0.74% 3

Turnover Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

WAAEX Fees (% of AUM) Category Low Category High WAAEX Rank Quintile
Turnover 20.00% 2.00% 710.00% 22.68% 1

WAAEX - Distributions

Dividend Yield Analysis

WAAEX Category Low Category High WAAEX % Rank Quintile
Dividend Yield N/A 0.00% 15.65% N/A N/A

Dividend Distribution Analysis

WAAEX Category Low Category High Category Mode
Dividend Distribution Frequency Annually Annually Monthly Annually

Dividend Payout History


Net Income Ratio Analysis

WAAEX Category Low Category High WAAEX % Rank Quintile
Net Income Ratio -0.79% -6.38% 2.19% 21.73% 4

Capital Gain Distribution Analysis

WAAEX Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Semi-Annually Annually

WAAEX - Managers

Jeff Cardon

Manager

Start Date

Dec 08, 1986

Tenure

30.0

Tenure Rank

0.2%

Jeff is CEO and a director of Wasatch Advisors, and he joined the firm in 1980. He spent his entire career managing small cap equity portfolios. He graduated magna cum laude in Finance and joined Wasatch as an analyst in 1980. Cardon is past president of the Salt Lake City Society of Financial Analysts and holds the Chartered Financial Analyst designation. He holds a Bachelor of Science in Finance from the University of Utah.


J.B. Taylor

Lead Manager

Start Date

Jan 31, 2013

Tenure

3.83

Tenure Rank

11.3%

Mr. Taylor joined Wasatch Advisors as an analyst in 1996. Mr. Taylor graduated from Stanford University with a Bachelor of Science degree in industrial engineering. While at Stanford, Mr. Taylor played for Stanford's nationally ranked volleyball team. Mr. Taylor is a native of California and speaks Hungarian.


Tenure Analysis

Category Low

0.0

Category High

44.1

Category Average

6.59

Category Mode

1.9