Public HTML RI reports - PRI reporting framework 2017

First Private Investment Management KAG mbH

PRI reporting framework 2017

Gateway asset class implementation indicators [OO 10 - 12]

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Implementation not in other modules [SG 12 - 16]

Direct - Listed Equity Incorporation

Overview [LEI 01 - 02] ESG incorporation in actively managed listed equities [LEI 03 - 12] Implementation processes [LEI 03 - 12] (A) Implementation: Screening [LEI 06 - 08] (B) Implementation: Thematic [LEI 09] (C) Implementation: Integration of ESG issues [LEI 10 - 12] Outputs and outcomes [LEI 14 - 16] Communication [LEI 17]

Direct - Listed Equity Active Ownership

(Proxy) voting and shareholder resolutions [LEA 17 - 27] Overview [LEA 17] Process [LEA 18 - 22] Outputs and outcomes [LEA 23 - 26] Communication [LEA 27]

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Basic Information

OO 01. Signatory category and services

01.1. Select the services you offer.

Fund management

% of assets under management (AUM) in ranges

<10%

10-50%

>50%

Fund of funds, manager of managers, sub-advised products

Other, specify

Execution and advisory services

01.2. Additional information. [Optional]

FIRST PRIVATE is a reliable independent partner for active and systematic asset management, a role it has fulfilled for more than 25 years. We offer a broad range of investment solutions around our core competences in Equity and Absolute Return strategies. We manage mutual funds with customized share classes for institutional and individual investors as well as managed/segregated accounts.

The growing challenges facing investors and clients call for reliable investment processes, consistency and transparency. These core values of modern asset management form the cornerstone of our corporate culture at FIRST PRIVATE. We aim to make investment decisions that will ensure long-term success for our clients. That’s why our systematic investment processes are based on scientific methods, fundamental facts and clearly-defined rules. The potential for making situational decisions and typical cognitive mistakes is greatly minimised by our approach.

We consider it our duty to act in a sustainable and responsible manner towards people and the environment when realising our investment processes. Therefore we intend to enhance our engagement in ESG issues by evaluating further incorporation of ESG factors into our investment analysis and decision making process. We have underlined our commitment to responsible investing by accepting the code of conduct of the German Investment Funds Association (BVI) and signing the UN Principles for Responsible Investment.

OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

Germany

02.2. Indicate the number of countries in which you have offices (including your headquarters).

2-5

6-10

>10

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

25 FTE

02.4. Additional information. [Optional]

Our corporate culture at FIRST PRIVATE is based on the long-term retention of our staff in the key areas of portfolio management and customer service. The partnership structure of our organisation anchors our sense of responsibility and guarantees reliability.

We provide a stimulating, motivating and high-performing work environment. Core values such as teamwork, interaction, equal treatment help us creating an environment for our employees conducive to job satisfaction, innovation and commitment as well as finding work which is exciting and challenging. We offer our staff competitive remuneration and benefits and we place a strong emphasis on training and development for our staff members at all levels to meet the evolving challenges of their work. There are options for part-time and tele-working where possible.

OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

Yes

03.3. Additional information. [Optional]

OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

29/12/2016

04.2. Indicate your total AUM at the end of your reporting year, excluding subsidiaries you have chosen not to report on.

Total AUM
Total AUM	trillions	billions	millions	thousands	hundreds
Currency
Assets in USD
Assets in USD	trillions	billions	millions	thousands	hundreds

04.4. Additional information. [Optional]

OO 06. How would you like to disclose your asset class mix

New selection options have been added to this indicator. Please review your prefilled responses carefully.

06.1. How you would like to disclose your asset class mix.

as percentage breakdown

	Internally managed (%)	Externally managed (%)
Listed equity	10-50% 45	0 0
Fixed income	0 0	0 0
Private equity	0 0	0 0
Property	0 0	0 0
Infrastructure	10-50% 10	0 0
Commodities	0 0	0 0
Hedge funds	0 0	0 0
Forestry	0 0	0 0
Farmland	0 0	0 0
Inclusive finance	0 0	0 0
Cash	0 0	0 0
Other (1), specify	10-50% 45	0 0
Other (2), specify	0 0	0 0

'Other (1)' specified

          Absolute Return strategies including Multi-Strategy approaches and equity long/short strategies

as broad ranges