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Trending ETFs

Name

As of 03/26/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

$16.36

$144 M

0.00%

1.89%

Vitals

YTD Return

-0.1%

1 yr return

3.3%

3 Yr Avg Return

-8.5%

5 Yr Avg Return

13.4%

Net Assets

$144 M

Holdings in Top 10

52.6%

52 WEEK LOW AND HIGH

$16.4
N/A
N/A

Expenses

OPERATING FEES

Expense Ratio 1.89%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover 133.00%

Redemption Fee N/A


Min Investment

Standard (Taxable)

$2,000

IRA

$1,000


Fund Classification

Fund Type

Open End Mutual Fund


Name

As of 03/26/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

$16.36

$144 M

0.00%

1.89%

NESGX - Profile

Distributions

  • YTD Total Return -0.1%
  • 3 Yr Annualized Total Return -8.5%
  • 5 Yr Annualized Total Return 13.4%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio -1.72%
DIVIDENDS
  • Dividend Yield 0.0%
  • Dividend Distribution Frequency None

Fund Details

  • Legal Name
    Needham Small Cap Growth Fund
  • Fund Family Name
    Needham
  • Inception Date
    May 22, 2002
  • Shares Outstanding
    4192568
  • Share Class
    Individual
  • Currency
    USD
  • Domiciled Country
    US
  • Manager
    Chris Retzler

Fund Description

Under normal conditions, the Small Cap Growth Fund invests at least 80% of its net assets, plus the amount of any borrowings for investment purposes, in the equity securities (principally, common stock) of domestic issuers listed on a nationally recognized securities exchange that, at the time of investment by the Small Cap Growth Fund, have market capitalizations not exceeding $8 billion (the “80% Policy”). The Small Cap Growth Fund considers domestic issuers of equity securities to be companies located, organized, or with a majority of assets or business in the United States. For purposes of the 80% Policy, the Small Cap Growth Fund may continue to hold securities of an issuer if, after the time of the Small Cap Growth Fund’s investment, the issuer’s market capitalization exceeds $8 billion. Although the Adviser will seek to invest the Small Cap Growth Fund’s assets in accordance with its 80% Policy, during certain periods, which may be prolonged periods of time, market conditions, the availability of attractive investment opportunities that the Adviser believes are appropriate investments for the Small Cap Growth Fund and/or high levels of new investments into the Small Cap Growth Fund can lead to periods of higher cash levels that cause the Small Cap Growth Fund’s investments to be constituted of less than 80% of its net assets in accordance with the 80% Policy. During such periods, the Small Cap Growth Fund may not achieve its investment objective.
The Small Cap Growth Fund invests, in general, in companies with strong growth potential that, for a variety of reasons, including the market’s inefficiencies, are trading at a discount to their underlying value where a catalyst is in place to eliminate that discount. The Small Cap Growth Fund may, but is not required to, invest in stocks from a variety of industries included in the technology, healthcare, energy and industrials, specialty retailing, media/leisure/cable/entertainment and business and consumer services sectors. These are some of the sectors within the economy which the Adviser believes will have significant long-term growth rates and often include the stocks of rapidly growing companies. Although the Small Cap Growth Fund’s investments have typically been most heavily weighted in the information technology and healthcare sectors, the allocation of the Small Cap Growth Fund’s assets among the various sectors may change at any time. The Small Cap Growth Fund may engage in active and frequent trading of portfolio securities.The Small Cap Growth Fund may engage in short sales. The Small Cap Growth Fund may make a profit or loss depending upon whether the market price of the security sold short decreases or increases between the date of the short sale and the date on which the Small Cap Growth Fund replaces the borrowed security.The Adviser employs certain measures to maximize tax efficiency to the extent consistent with the Small Cap Growth Fund’s investment strategies, including using: (a) the specific identification method to calculate the tax basis for shares of Small Cap Growth Fund portfolio holdings to seek to minimize taxable gains or offset other gains; and (b) net short-term capital gains to offset Small Cap Growth Fund expenses which would otherwise be non-deductible by the Small Cap Growth Fund. During certain periods, market forces may cause the Adviser, seeking to act in the best interests of the Small Cap Growth Fund, to manage the Small Cap Growth Fund in a manner that may not maximize tax efficiency, such as if the Small Cap Growth Fund experiences extreme inflows and outflows from an unusually high volume of purchase and redemption activity, resulting in high portfolio turnover. The Adviser seeks to balance tax efficiency with the overall best interests of the Small Cap Growth Fund.
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NESGX - Performance

Return Ranking - Trailing

Period NESGX Return Category Return Low Category Return High Rank in Category (%)
YTD -0.1% -2.9% 19.8% 97.73%
1 Yr 3.3% 0.6% 53.0% 99.30%
3 Yr -8.5%* -21.4% 63.3% 87.99%
5 Yr 13.4%* -2.9% 46.5% 6.68%
10 Yr 11.0%* 1.1% 24.4% 9.34%

* Annualized

Return Ranking - Calendar

Period NESGX Return Category Return Low Category Return High Rank in Category (%)
2023 5.7% -20.5% 54.6% 94.41%
2022 -33.2% -82.1% 32.2% 67.02%
2021 -10.1% -90.6% 300.1% 55.64%
2020 46.7% -63.0% 127.9% 17.41%
2019 41.9% -7.7% 42.9% 0.76%

Total Return Ranking - Trailing

Period NESGX Return Category Return Low Category Return High Rank in Category (%)
YTD -0.1% -2.9% 19.8% 97.73%
1 Yr 3.3% 0.6% 53.0% 99.30%
3 Yr -8.5%* -21.4% 63.3% 87.99%
5 Yr 13.4%* -2.9% 46.5% 6.68%
10 Yr 11.0%* 1.1% 24.4% 9.34%

* Annualized

Total Return Ranking - Calendar

Period NESGX Return Category Return Low Category Return High Rank in Category (%)
2023 5.7% -19.0% 136.8% 97.03%
2022 -30.3% -59.9% 44.3% 66.67%
2021 11.0% -22.7% 411.9% 46.15%
2020 71.4% 1.5% 150.8% 5.19%
2019 54.4% 5.5% 55.3% 0.38%

NAV & Total Return History


NESGX - Holdings

Concentration Analysis

NESGX Category Low Category High NESGX % Rank
Net Assets 144 M 183 K 28.5 B 78.24%
Number of Holdings 46 7 1188 91.02%
Net Assets in Top 10 87.7 M 57.4 K 2.83 B 59.41%
Weighting of Top 10 52.65% 7.1% 100.1% 5.88%

Top 10 Holdings

  1. Aspen Aerogels Inc 12.70%
  2. TTM Technologies Inc 6.17%
  3. MKS Instruments Inc 4.60%
  4. Alteryx Inc 4.50%
  5. nLight Inc 4.46%
  6. Zuora Inc 4.43%
  7. Vicor Corp 4.31%
  8. Dreyfus Treasury Securities Cash Management 4.19%
  9. ADTRAN Holdings Inc 4.19%
  10. MaxLinear Inc 3.10%

Asset Allocation

Weighting Return Low Return High NESGX % Rank
Stocks
96.43% 77.88% 100.82% 76.86%
Cash
4.19% 0.00% 27.66% 18.83%
Other
0.00% -0.22% 5.89% 33.85%
Preferred Stocks
0.00% 0.00% 4.08% 95.16%
Convertible Bonds
0.00% 0.00% 1.57% 94.99%
Bonds
0.00% 0.00% 3.22% 94.99%

Stock Sector Breakdown

Weighting Return Low Return High NESGX % Rank
Technology
75.51% 2.91% 75.51% 0.35%
Healthcare
12.99% 0.00% 47.90% 91.36%
Industrials
11.51% 0.00% 36.64% 88.60%
Utilities
0.00% 0.00% 5.57% 96.72%
Real Estate
0.00% 0.00% 15.31% 99.31%
Financial Services
0.00% 0.00% 42.95% 99.83%
Energy
0.00% 0.00% 55.49% 98.96%
Communication Services
0.00% 0.00% 15.31% 98.96%
Consumer Defense
0.00% 0.00% 13.56% 99.48%
Consumer Cyclical
0.00% 0.00% 24.04% 99.83%
Basic Materials
0.00% 0.00% 9.24% 98.96%

Stock Geographic Breakdown

Weighting Return Low Return High NESGX % Rank
US
96.43% 30.27% 100.82% 67.18%
Non US
0.00% 0.00% 61.74% 96.37%

NESGX - Expenses

Operational Fees

NESGX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 1.89% 0.05% 23.20% 15.74%
Management Fee 1.25% 0.05% 1.62% 98.62%
12b-1 Fee 0.25% 0.00% 1.00% 64.15%
Administrative Fee N/A 0.01% 0.40% N/A

Sales Fees

NESGX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 3.50% 5.75% N/A
Deferred Load N/A 1.00% 5.00% N/A

Trading Fees

NESGX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 1.00% 2.00% 55.46%

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.

NESGX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 133.00% 3.00% 439.00% 93.45%

NESGX - Distributions

Dividend Yield Analysis

NESGX Category Low Category High NESGX % Rank
Dividend Yield 0.00% 0.00% 7.17% 95.68%

Dividend Distribution Analysis

NESGX Category Low Category High Category Mod
Dividend Distribution Frequency None Annual Monthly Annual

Net Income Ratio Analysis

NESGX Category Low Category High NESGX % Rank
Net Income Ratio -1.72% -2.47% 1.10% 95.62%

Capital Gain Distribution Analysis

NESGX Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Annually Annually

Distributions History

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NESGX - Fund Manager Analysis

Managers

Chris Retzler


Start Date

Tenure

Tenure Rank

Jan 17, 2008

14.38

14.4%

Mr. Retzler has been with Needham Asset Management, LLC since 2005. Mr. Retzler is a graduate of the Columbia Business School and was a Fulbright Scholar. He began his career in 1994 with Merrill Lynch Investment Banking. When he left Merrill Lynch in 2002. From 2002 until he joined Needham, he was in charge of Winterkorn, privately owned company.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.08 30.44 9.04 5.25