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Name

As of 04/19/2024

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

SMALL CAP VALUE FUND

NOSGX | Fund

$18.90

$1.09 B

1.59%

$0.30

1.14%

Vitals

YTD Return

-4.2%

1 yr return

10.9%

3 Yr Avg Return

1.3%

5 Yr Avg Return

5.4%

Net Assets

$1.09 B

Holdings in Top 10

12.4%

52 WEEK LOW AND HIGH

$18.7
N/A
N/A

Expenses

OPERATING FEES

Expense Ratio 1.14%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover 20.41%

Redemption Fee N/A

Min Investment

Standard (Taxable)

$2,500

IRA

$500

Fund Classification

Fund Type

Open End Mutual Fund

Name

As of 04/19/2024

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

SMALL CAP VALUE FUND

NOSGX | Fund

$18.90

$1.09 B

1.59%

$0.30

1.14%

NOSGX - Profile

Distributions

  • YTD Total Return -4.2%
  • 3 Yr Annualized Total Return 1.3%
  • 5 Yr Annualized Total Return 5.4%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio 0.69%
DIVIDENDS
  • Dividend Yield 1.6%
  • Dividend Distribution Frequency Annual

Fund Details

  • Legal Name
    SMALL CAP VALUE FUND
  • Fund Family Name
    Northern Trust
  • Inception Date
    Apr 01, 2094
  • Shares Outstanding
    N/A
  • Share Class
    Other
  • Currency
    USD
  • Domiciled Country
    US
  • Manager
    Robert Bergson

Fund Description

In seeking long-term capital appreciation, the Fund will invest, under normal circumstances, at least 80% of its net assets in equity securities of small capitalization companies. Small capitalization companies generally are considered to be those whose market capitalization is, at the time the Fund makes an investment, within the range of the market capitalization of companies in the Russell 2000® Value Index. Companies whose capitalization no longer meets this definition after purchase may continue to be considered small capitalization companies.
Using a quantitative analysis to evaluate financial data, NTI buys small capitalization stocks of companies believed to be worth more than is indicated by current market prices. Similarly, the management team normally will sell a security that it believes has achieved its full valuation, is not attractively priced or for other reasons. The team also may sell securities in order to maintain the desired portfolio characteristics of the Fund. In determining whether a stock is attractively priced, the Fund employs a strategy that uses statistics and other methods to evaluate fundamental and quantifiable stock or firm characteristics (such as relative valuation, price momentum and earnings quality). The characteristics are combined to create a proprietary multi-factor quantitative stock selection model that generates stock specific forecasts that are used along with controls intended to manage risk to determine security weightings.
Many of the companies in which the Fund invests retain their earnings to finance current and future growth. These companies generally pay little or no dividends.
The Fund may use derivatives such as stock index futures contracts to equitize cash and enhance portfolio liquidity.
From time to time the Fund may have a focused investment (i.e., investment exposure comprising more than 15% of its
total assets) in one or more particular sectors. As of March 31, 2023, the Fund had focused investments in the financials and industrials sectors.
Frank Russell Company does not endorse any of the securities in the Russell 2000 Value Index. It is not a sponsor of the Small Cap Value Fund and is not affiliated with the Fund in any way.
Read More

NOSGX - Performance

Return Ranking - Trailing

Period NOSGX Return Category Return Low Category Return High Rank in Category (%)
YTD -4.2% -13.8% 6.6% 74.28%
1 Yr 10.9% -5.6% 30.6% 58.98%
3 Yr 1.3%* -14.1% 66.2% 61.86%
5 Yr 5.4%* -4.5% 46.9% 83.21%
10 Yr 6.0%* -3.9% 25.9% 59.68%

* Annualized

Return Ranking - Calendar

Period NOSGX Return Category Return Low Category Return High Rank in Category (%)
2023 8.0% -18.4% 33.6% 66.45%
2022 -15.3% -36.7% 212.9% 40.99%
2021 8.0% -62.0% 147.6% 83.53%
2020 -4.2% -24.8% 31.3% 81.47%
2019 14.2% -30.1% 34.0% 78.11%

Total Return Ranking - Trailing

Period NOSGX Return Category Return Low Category Return High Rank in Category (%)
YTD -4.2% -13.8% 6.6% 74.28%
1 Yr 10.9% -5.6% 30.6% 58.98%
3 Yr 1.3%* -14.1% 66.2% 61.86%
5 Yr 5.4%* -4.5% 46.9% 83.21%
10 Yr 6.0%* -3.9% 25.9% 59.68%

* Annualized

Total Return Ranking - Calendar

Period NOSGX Return Category Return Low Category Return High Rank in Category (%)
2023 15.6% -15.5% 35.4% 51.66%
2022 -10.4% -36.7% 250.0% 43.02%
2021 26.4% -3.2% 157.9% 75.64%
2020 -2.3% -13.5% 33.4% 83.14%
2019 22.3% -17.4% 34.3% 48.01%

NAV & Total Return History

NOSGX - Holdings

Concentration Analysis

NOSGX Category Low Category High NOSGX % Rank
Net Assets 1.09 B 2.13 M 52.9 B 31.07%
Number of Holdings 531 10 1578 8.10%
Net Assets in Top 10 204 M 180 K 3.01 B 28.23%
Weighting of Top 10 12.40% 0.3% 88.4% 80.48%

Top 10 Holdings

  1. FUT MAR 24 CME EMINIRUS2K 1.82%
  2. Northern Inst Fds GOVT PTFL 1.59%
  3. American Equity Investment Life Holding Company COM USD1 1.41%
  4. Commercial Metals Company COM USD5 1.28%
  5. Tri Pointe Homes Inc COM USD0.01 1.15%
  6. Boise Cascade Co COM USD0.01 1.08%
  7. Encore Wire Corp COM USD0.01 1.06%
  8. CNO Financial Group, Inc. COM USD0.01 1.01%
  9. Arcbest Corporation COM USD0.01 1.01%
  10. The Andersons Inc COM NPV 1.00%

Asset Allocation

Weighting Return Low Return High NOSGX % Rank
Stocks 		97.73% 0.99% 104.11% 67.18%
Other 		2.26% -1.78% 40.01% 7.66%
Cash 		1.59% 0.00% 99.01% 47.92%
Bonds 		0.14% 0.00% 73.18% 2.84%
Preferred Stocks 		0.00% 0.00% 2.62% 17.72%
Convertible Bonds 		0.00% 0.00% 2.63% 14.19%

Stock Sector Breakdown

Weighting Return Low Return High NOSGX % Rank
Financial Services 		25.88% 0.00% 35.71% 31.99%
Industrials 		16.35% 0.65% 48.61% 55.48%
Real Estate 		10.44% 0.00% 44.41% 27.52%
Energy 		9.17% 0.00% 29.42% 39.15%
Consumer Cyclical 		8.24% 0.00% 51.62% 82.10%
Technology 		7.22% 0.00% 34.03% 72.93%
Basic Materials 		6.26% 0.00% 67.30% 36.47%
Healthcare 		6.21% 0.00% 25.76% 50.78%
Utilities 		4.30% 0.00% 13.86% 25.50%
Consumer Defense 		3.01% 0.00% 13.22% 64.88%
Communication Services 		2.92% 0.00% 24.90% 38.93%

Stock Geographic Breakdown

Weighting Return Low Return High NOSGX % Rank
US 		97.73% 0.96% 104.11% 50.98%
Non US 		0.00% 0.00% 67.90% 38.95%

Bond Sector Breakdown

Weighting Return Low Return High NOSGX % Rank
Derivative 		2.26% -1.78% 8.53% 1.09%
Cash & Equivalents 		1.59% 0.00% 100.00% 43.33%
Securitized 		0.00% 0.00% 17.64% 14.36%
Corporate 		0.00% 0.00% 100.00% 19.80%
Municipal 		0.00% 0.00% 0.04% 14.36%
Government 		0.00% 0.00% 56.51% 14.85%

Bond Geographic Breakdown

Weighting Return Low Return High NOSGX % Rank
US 		0.14% 0.00% 70.25% 2.84%
Non US 		0.00% 0.00% 2.93% 15.32%

NOSGX - Expenses

Operational Fees

NOSGX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 1.14% 0.05% 37.04% 56.02%
Management Fee 0.95% 0.00% 1.50% 85.09%
12b-1 Fee N/A 0.00% 1.00% N/A
Administrative Fee N/A 0.01% 0.35% 67.52%

Sales Fees

NOSGX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 2.50% 5.75% N/A
Deferred Load N/A 1.00% 5.00% N/A

Trading Fees

NOSGX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 0.50% 2.00% N/A

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.

NOSGX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 20.41% 7.00% 252.00% 8.02%

NOSGX - Distributions

Dividend Yield Analysis

NOSGX Category Low Category High NOSGX % Rank
Dividend Yield 1.59% 0.00% 14.65% 14.22%

Dividend Distribution Analysis

NOSGX Category Low Category High Category Mod
Dividend Distribution Frequency Annual Annual Annual Annual

Net Income Ratio Analysis

NOSGX Category Low Category High NOSGX % Rank
Net Income Ratio 0.69% -1.43% 4.13% 31.54%

Capital Gain Distribution Analysis

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

Distributions History

View More +

NOSGX - Fund Manager Analysis

Managers

Robert Bergson

Start Date

Tenure

Tenure Rank

Jul 31, 2001

20.85

20.9%

Robert H. Bergson is a Senior Vice President and Senior Portfolio Manager/Quantitative Researcher in the Quantitative Active team at The Northern Trust Company, Chicago. He is responsible for research and implementation of several quantitative equity strategies. Prior to joining Northern Trust in 1997, Robert was director of research at Real Estate Research Corp. in Chicago. Robert received a Bachelor of Architecture degree from Carnegie-Mellon University and an M.S. degree from Massachusetts Institute of Technology. He is a CFA charterholder and an Associated Person of the National Futures Association. He is a member of the CFA Institute, the Society of Quantitative Analysts, the Investments Analysts Society of Chicago and the Chicago Quantitative Alliance.

Michael Hunstad

Start Date

Tenure

Tenure Rank

Jul 31, 2020

1.83

1.8%

Michael Hunstad is the Head of Quantitative Strategies at Northern Trust. Prior to joining Northern Trust, Mike was head of research at Breakwater Capital, a proprietary trading firm and hedge fund. Other roles include head of quantitative asset allocation at Allstate Investments, LLC and quantitative analyst with a long-short equity hedge fund. Michael holds a PhD in applied mathematics from the Illinois Institute of Technology, an MBA from Purdue University and a BS from Northern State University. He is also finishing a second PhD in economics at the University of Illinois at Chicago.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.08 37.45 8.15 3.58

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