Catalyst Buffered Shield Fund Class A
SHIEX
NASDAQ- -
USD
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Capital Structure
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in mil. unless spec.Working Capital
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in mil. unless spec.Growth Rates
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in mil. unless spec.Quarterly Revenue
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in mil. unless spec.Quarterly Earnings Per Share
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in mil. unless spec.- Sector
- Financial Services
- Industry
- Asset Management
- Address
- 4221 North 203rd Street, Suite 100 Elkhorn NE United States of America 68022-3474
- IPO Date
- Apr 14, 2015
- CIK
- 0001355064
- Website
- catalystmf.com
- Similar Companies
- Business
- Catalyst Buffered Shield Fund Class A (SHIEX) is an open-end mutual fund that seeks long-term capital appreciation by investing primarily in put and call options on exchange-traded funds tracking the S&P 500 Index, fixed income securities, and short-term cash equivalents; it employs an options-based strategy via a rolling ladder of option spreads to provide downside protection limiting losses to approximately 12.5% of the S&P 500 Index's decline while participating in index gains up to around 15%, with ongoing optimization to adjust the hedge floor relative to current market levels. The fund's portfolio is heavily allocated to investment-grade bond exchange-traded funds including Vanguard Short-Term Corporate Bond ETF (VCSH), PGIM Ultra Short Bond ETF (PULS), and iShares 1-5 Year Investment Grade Corporate Bond ETF (IGSB), which together comprise over 90% of assets, supplemented by S&P 500-related call and put options and minimal cash holdings. Class A shares (SHIEX), alongside Class C (SHINX) and Class I (SHIIX), feature a net expense ratio of 1.60%, a 5.75% front-end load, and a minimum initial investment of $2,500, targeting retail and institutional investors seeking equity-hedged exposure with defined outcome characteristics. Managed by investment advisor Catalyst Capital Advisors LLC, founded in 2006 and headquartered in Huntington, New York, with sub-advisor Exceed Advisory LLC led by portfolio manager Joseph Halpern, founding partner of Exceed Investments LLC; the fund operates in the United States, domiciled domestically with total net assets of approximately $19 million as of late 2025. In 2017, Catalyst Capital Advisors partnered strategically with Joseph Halpern and Exceed Investments to launch and sub-advise the Buffered Shield strategy, enhancing its defined outcome offerings amid growing demand for buffered equity products. The fund has maintained its core strategy without major structural changes, name alterations, or new share classes in recent years, though it continues annual expense waivers through October 2026 to cap operating costs; as of November 2025, prospectus net expense ratios reflect ongoing fee reimbursements by the advisor. No significant acquisitions, funding rounds, or product launches were reported for the fund in 2024-2025.