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Sanlam Investment Management (SIM)

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] Innovation [SG 17]

Direct - Listed Equity Active Ownership

Engagement [LEA 01 - 16] Overview [LEA 01 - 02] Process [LEA 03 - 10] Process for engagements run internally [LEA 03 - 04] Process for engagements conducted via collaborations [LEA 05 - 06] General processes for all three groups of engagers [LEA 09 - 10] Outputs and outcomes [LEA 11 - 15] Communication [LEA 16]

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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]

The SIM Investment Team is the long-only active investment unit within Sanlam Investments Cluster. The Investment Cluster incorporates the Sanlam Group’s investment-related businesses, ensuring that business practices and performances are aligned to the Group’s client base. The business is diversified across a broad range of specialist investment businesses. Its areas of expertise include conventional asset management, alternative investment solutions, collective investment schemes, employee benefits, property asset management, private client investment management and stock broking, multi-management, structured products (including guaranteed products) and private equity funds.

OO 02. Headquarters and operational countries

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

South Africa

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).

27 FTE

02.4. Additional information. [Optional]

Within the Sanlam Investments Cluster there are currently approximately 800 employees. Applicable to this report, there are 27 Investment Professionals in the SIM Investment Team reporting to Azola Zuma, the SIM Chief Executive. The balance of employees in the Sanlam Investments Cluster consist of the other investment teams i.e. Passive, Muti-Manager, Hedge Funds etc., front office staff as well as support functions such as Legal, Compliance, IT, HR and Finance.

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]

Sanlam Investments is a wholly owned subsidiary of Sanlam Limited, the entity which is listed on the Johannesburg and Windhoek Stock Exchanges. Sanlam Limited is an Asset Owner signatory.

OO 04. Reporting year and AUM

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

31/12/2016

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% 40	0 0
Fixed income	10-50% 30	0 0
Private equity	0 0	0 0
Property	0 0	0 0
Infrastructure	0 0	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	10-50% 20	0 0
Other (1), specify	10-50% 10	0 0
Other (2), specify	0 0	0 0

'Other (1)' specified

          International assets within global balanced and absolute return portfolios.