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OUSM: U.S. Small-Cap Quality Dividends. U.S. Small-Cap Quality Dividend ETF. Invest in Quality Small-Cap Stocks for Your Clients. Over 100 Quality Small-Cap Stocks Seeks: Dividend Growth. Profitability. Cash Flow. Quality over Generic Small-Caps. Income Growth for Clients and Investors? Quality Small-Cap Stocks for Your Clients With: Dividend Growth. Profitability.

Why OUSM?

Use as Core Holding. Attractive long-term quality approach for investing in small caps, seeking income and less risk potential.

Quality Advantages.

Over 100 small cap stocks selected for quality, strong balance sheets and profitability.

Performance

Seeks less volatile approach to invest in small cap companies.

Get more information

Fact Sheet
Prospectus

Why I Invest in OUSM?

Kevin O’Leary, Chairman

“OUSM. An ETF that owns small cap quality dividend stocks – companies with strong profits and great dividends. Why own 2000 small caps, including money losers? I just want the companies that are profitable money machines.”

Small-Cap Stocks: How Dividend Quality Could Be the Key to Potentially Finding Winners.

  • Looking for Winners: Russell 2000 Dividend paying stocks in the 1st quartile of dividend growth had an average annualized return of approximately 11% over the last 5 years.
  • Lower Growth, Lower Returns: 4th Quartile companies by dividend growth had an average annualized return of approximately 3% over the last 5 years.

Source: Bloomberg Finance L.P., data as of 12/31/2020. The data presented is for informational purposes only and is not meant to represent the O’Shares ETFs. Investors cannot directly invest in an index.

Definitions:
1st Quartile: Contains the top 25% of companies in the Russell 2000 based on average 5-year dividend growth.
2nd Quartile: Contains the top 25%-50% of companies in the Russell 2000 based on average 5-year dividend growth .
3rd Quartile: Contains the top 50%-75% of companies in the Russell 2000 based on average 5-year dividend growth.
4th Quartile: Contains the bottom 25% of companies in the Russell 2000 based on average 5-year dividend growth.
Dividend Growth: Growth rate over five years in net dividend per share

Which Portfolio Would Most Investors Prefer?

Rules Based Quality OUSM Index vs. Passive Index

ROA → More Profitability

OUSM Index, 8.0%
Russell 2000 Value Index, -0.5%

Leverage (Net Debt to EBITDA) → Less Leverage

OUSM Index, 1.08x
Russell 2000 Value Index, 5.08x

Dividend Growth (5Y) → Higher Dividend Growth

OUSM Index, 12.0%
Russell 2000 Value Index, 4.9%

Volatility → Lower Volatility

OUSM Index, 38.1%
Russell 2000 Value Index, 47.7%

OUSM 30-day SEC Yield: 1.84%, as of 12/31/2020.

Past performance does not guarantee future results. Investors cannot directly invest in an index and unmanaged index returns do not reflect any fees, expenses or sales charges.

Source: Bloomberg Finance L.P., data as of 12/31/2020. Returns for periods longer than 1 year are annualized. OUSM Index: O’Shares U.S. Small-Cap Quality Dividend Index.

Definitions:
The 30-day SEC Yield: is calculated with a standardized formula mandated by the SEC. The formula is based on maximum offering price per share and includes the effect of any fee waivers. Without waivers, yields would be reduced. A fund’s actual distribution rate will differ from the SEC yield and any income distributions from the fund may be higher or lower than the SEC yield.
Leverage: An investment strategy of using borrowed money —specifically, the use of various financial instruments or borrowed capital—to increase the potential return of an investment.
Portfolio Yield: Weighted average dividend yield of the underlying constituents. Dividend Yield: The most recently announced gross dividend, annualized based on dividend frequency, then divided by the current market price.
ROA (Return on Assets): Indicator of how profitable a company is relative to its Total assets, in percentage. Calculated as (Trailing 12M Net Income/ Average Total Assets) x 100.
Value: Represented by the Russell 2000 Value Index. The Russell 2000 Value Index measures the performance of those Russell 2000 companies with lower price-to-book ratios and lower forecasted growth values.
Volatility: Annualized standard deviation of the relative price change for the 260 most recent trading days closing price, expressed as a percentage. The higher the volatility, the riskier the security.

RESEARCH PAPER: U.S. LARGE & SMALL CAPS

The Power of a Quality Dividend Investment Strategy
Q4 2020

  • “Dividends: The Most Powerful Force in the Universe.”

    From Albert Einstein quote, “Compound interest is the most powerful force in the universe.”

  • Dividend Growth has Generated Income Growth
  • Where Can Investors Turn For Income?
  • Why Quality Matters?

Download report | Learn more about OUSA | Learn more about OUSM

OUSM: Holdings

Name (As of 04/21/2021)TickerSectorFund WeightQuantityCUSIP/ISIN
Interpublic Group of Cos Inc/TIPG USCommunication Services2.808%131,126.00460690100
Bio-Techne CorpTECH USHealth Care2.667%9,018.0009073M104
Robert Half International IncRHI USIndustrials2.509%43,580.00770323103
Snap-on IncSNA USIndustrials2.487%15,041.00833034101
Dolby Laboratories IncDLB USInformation Technology2.384%34,306.0025659T107
MSC Industrial Direct Co IncMSM USIndustrials2.216%35,208.00553530106
Toro Co/TheTTC USIndustrials2.197%27,205.00891092108
A O Smith CorpAOS USIndustrials2.176%45,908.00831865209
Encompass Health CorpEHC USHealth Care2.132%34,968.0029261A100
Gentex CorpGNTX USConsumer Discretionary2.126%84,335.00371901109
FLIR Systems IncFLIR USInformation Technology2.121%51,529.00302445101
Fidelity National Financial InFNF USFinancials2.089%67,312.0031620R303
MAXIMUS IncMMS USInformation Technology2.036%30,962.00577933104
Graco IncGGG USIndustrials2.023%37,617.00384109104
National Instruments CorpNATI USInformation Technology1.980%63,062.00636518102
Whirlpool CorpWHR USConsumer Discretionary1.973%12,049.00963320106
Watsco IncWSO USIndustrials1.905%9,582.00942622200
National HealthCare CorpNHC USHealth Care1.844%36,309.00635906100
Service Corp International/USSCI USConsumer Discretionary1.842%50,876.00817565104
First American Financial CorpFAF USFinancials1.822%42,166.0031847R102
Houlihan Lokey IncHLI USFinancials1.812%38,089.00441593100
Ingredion IncINGR USConsumer Staples1.795%27,717.00457187102
Flowers Foods IncFLO USConsumer Staples1.602%93,933.00343498101
Erie Indemnity CoERIE USFinancials1.588%10,009.0029530P102
Evercore IncEVR USFinancials1.514%15,798.0029977A105
Hill-Rom Holdings IncHRC USHealth Care1.508%18,790.00431475102
CDK Global IncCDK USInformation Technology1.507%39,652.0012508E101
Monolithic Power Systems IncMPWR USInformation Technology1.491%5,660.00609839105
Genpact LtdG USInformation Technology1.485%47,531.00G3922B107
Lancaster Colony CorpLANC USConsumer Staples1.367%10,580.00513847103
Donaldson Co IncDCI USIndustrials1.350%31,411.00257651109
Leggett & Platt IncLEG USConsumer Discretionary1.253%35,729.00524660107
Premier IncPINC USHealth Care1.192%47,898.0074051N102
Artisan Partners Asset ManagemAPAM USFinancials1.134%30,047.0004316A108
FirstCash IncFCFS USFinancials1.126%23,895.0033767D105
Cogent Communications HoldingsCCOI USCommunication Services1.047%21,756.0019239V302
Lazard LtdLAZ USFinancials1.001%31,033.00G54050102
ManTech International Corp/VAMANT USInformation Technology0.974%16,318.00564563104
Moelis & CoMC USFinancials0.952%24,728.0060786M105
Safety Insurance Group IncSAFT USFinancials0.930%15,739.0078648T100
BorgWarner IncBWA USConsumer Discretionary0.868%24,817.00099724106
WD-40 CoWDFC USConsumer Staples0.859%4,720.00929236107
Morningstar IncMORN USFinancials0.832%5,005.00617700109
UGI CorpUGI USUtilities0.826%26,682.00902681105
Xerox Holdings CorpXRX USInformation Technology0.815%48,007.0098421M106
MDU Resources Group IncMDU USUtilities0.788%33,843.00552690109
CSG Systems International IncCSGS USInformation Technology0.756%23,196.00126349109
Exponent IncEXPO USIndustrials0.749%11,045.0030214U102
Stewart Information Services CSTC USFinancials0.714%18,200.00860372101
J & J Snack Foods CorpJJSF USConsumer Staples0.694%6,149.00466032109
Graham Holdings CoGHC USConsumer Discretionary0.694%1,537.00384637104
Portland General Electric CoPOR USUtilities0.684%19,161.00736508847
Brady CorpBRC USIndustrials0.668%17,226.00104674106
Littelfuse IncLFUS USInformation Technology0.657%3,489.00537008104
Hanesbrands IncHBI USConsumer Discretionary0.621%43,248.00410345102
Casey's General Stores IncCASY USConsumer Staples0.616%3,960.00147528103
Science Applications InternatiSAIC USInformation Technology0.613%10,019.00808625107
NIC IncEGOV USInformation Technology0.589%24,822.0062914B100
IDACORP IncIDA USUtilities0.587%8,262.00451107106
Carter's IncCRI USConsumer Discretionary0.585%8,516.00146229109
Williams-Sonoma IncWSM USConsumer Discretionary0.576%4,815.00969904101
Cohen & Steers IncCNS USFinancials0.573%12,018.0019247A100
Tetra Tech IncTTEK USIndustrials0.542%5,952.0088162G103
MDC Holdings IncMDC USConsumer Discretionary0.523%12,525.00552676108
Radian Group IncRDN USFinancials0.515%30,558.00750236101
Lear CorpLEA USConsumer Discretionary0.506%4,019.00521865204
Landstar System IncLSTR USIndustrials0.505%4,181.00515098101
MSA Safety IncMSA USIndustrials0.496%4,472.00553498106
Virtu Financial IncVIRT USFinancials0.486%22,276.00928254101
Badger Meter IncBMI USInformation Technology0.481%7,278.00056525108
Hamilton Lane IncHLNE USFinancials0.474%7,579.00407497106
Progress Software CorpPRGS USInformation Technology0.464%14,706.00743312100
Tootsie Roll Industries IncTR USConsumer Staples0.457%19,753.00890516107
ONE Gas IncOGS USUtilities0.445%7,886.0068235P108
AMERISAFE IncAMSF USFinancials0.439%9,657.0003071H100
Vector Group LtdVGR USConsumer Staples0.438%45,690.0092240M108
Watts Water Technologies IncWTS USIndustrials0.436%5,109.00942749102
Healthcare Services Group IncHCSG USIndustrials0.435%19,737.00421906108
ALLETE IncALE USUtilities0.425%8,586.00018522300
Kemper CorpKMPR USFinancials0.404%6,970.00488401100
Simpson Manufacturing Co IncSSD USIndustrials0.401%5,455.00829073105
InterDigital IncIDCC USInformation Technology0.383%7,542.0045867G101
ITT IncITT USIndustrials0.381%5,872.0045073V108
Universal Corp/VAUVV USConsumer Staples0.377%9,369.00913456109
Federated Hermes IncFHI USFinancials0.377%17,983.00314211103
New York Times Co/TheNYT USCommunication Services0.369%11,009.00650111107
Weis Markets IncWMK USConsumer Staples0.368%9,976.00948849104
Hawaiian Electric Industries IHE USUtilities0.368%12,189.00419870100
New Jersey Resources CorpNJR USUtilities0.366%12,240.00646025106
NorthWestern CorpNWE USUtilities0.357%7,283.00668074305
Ennis IncEBF USIndustrials0.337%23,708.00293389102
National Fuel Gas CoNFG USUtilities0.319%8,942.00636180101
Black Hills CorpBKH USUtilities0.293%5,973.00092113109
Franklin Electric Co IncFELE USIndustrials0.260%4,570.00353514102
Avista CorpAVA USUtilities0.220%6,700.0005379B107
Otter Tail CorpOTTR USUtilities0.217%6,570.00689648103
American States Water CoAWR USUtilities0.215%3,761.00029899101
Spire IncSR USUtilities0.207%3,834.0084857L101
UniFirst Corp/MAUNF USIndustrials0.202%1,283.00904708104
PNM Resources IncPNM USUtilities0.201%5,770.0069349H107
Southwest Gas Holdings IncSWX USUtilities0.178%3,502.00844895102
MGE Energy IncMGEE USUtilities0.125%2,384.0055277P104
Chesapeake Utilities CorpCPK USUtilities0.124%1,474.00165303108
Northwest Natural Holding CoNWN USUtilities0.086%2,205.0066765N105
USD CURNCYUSD CURNCY-0.529%-758,456.58
Holdings subject to change.

OUSM: Sector Allocation

AS OF 3/31/2021
SectorWeight
Industrials23.57%
Financials18.59%
Information Technology17.1%
Consumer Discretionary11.37%
Health Care9.24%
Consumer Staples8.86%
Utilities6.92%
Communication Services4.24%
Cash0.12%

Before you invest in O’Shares ETF Investments Funds, please refer to the prospectus for important information about the investment objectives, risks, charges and expenses. To obtain a prospectus containing this and other important information, please view or download a prospectus. Read the prospectus carefully before you invest. There are risks involved with investing including the possible loss of principal.

Concentration in a particular industry or sector will subject the Funds to loss due to adverse occurrences that may affect that industry or sector. The Funds may use derivatives which may involve risks different from, or greater than, those associated with more traditional investments. A Fund's emphasis on dividend-paying stocks involves the risk that such stocks may fall out of favor with investors and underperform the market. Also, a company may reduce or eliminate its dividend after the Fund's purchase of such a company's securities. Returns on investments in foreign securities could be more volatile than, or trail the returns on, investments in U.S. securities. Exposures to foreign securities entail special risks, including political, diplomatic, economic, foreign market and trading risks. In addition, a Fund's investments in securities denominated in other currencies could decline due to changes in local currency relative to the value of the U.S. dollar, which may affect the Fund's returns. See the prospectus for specific risks regarding the Funds.

The securities of small capitalization companies are often more volatile and less liquid than the stocks of larger companies and may be more affected than other types of securities during market downturns. Compared to larger companies, small capitalization companies may have a shorter history of operations, and may have limited product lines, markets or financial resources.

Companies involved with Internet technology and e-commerce are exposed to risks associated with rapid advances in technology, obsolescence of current products and services, the finite life of patents and the constant threat of global competition and substitutes.

Past performance does not guarantee future results. Shares are bought and sold at market price (not NAV), are not individually redeemable, and owners of Shares may acquire those Shares from the Funds and tender those shares for redemption to the Funds in Creation Unit aggregations only, consisting of 50,000 Shares. Brokerage commissions will reduce returns. The market price of Shares can be at, below, or above NAV. Market Price returns are based upon the midpoint of the bid/ask spread at 4:00 PM Eastern time (when NAV is normally determined), and do not represent the returns you would receive if you traded Shares at other times.

O’Shares ETF Investments Funds are distributed by Foreside Fund Services, LLC. Foreside Fund Services, LLC is not affiliated with O’Shares ETF Investments or any of its affiliates.

© 2021 O'Shares ETF Investments. All rights reserved.
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