Public HTML RI reports - PRI reporting framework 2018

Alantra Asset Management SGIIC SA (Delisted)

PRI reporting framework 2018

Asset class implementation gateway indicators [OO 10 - 12] Peering questions [OO LE 01 - INF 03]

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Outsourcing to fiduciary managers and investment consultants [SG 12] ESG issues in asset allocation [SG 13 - 15] Innovation [SG 18] Communication [SG 19]

Direct - Listed Equity Incorporation

ESG incorporation in actively managed listed equities [LEI 01 - 10] Implementation processes [LEI 01 - 10] (A) Implementation: Screening [LEI 04 - 06] Outputs and outcomes [LEI 12 - 14]

Direct - Listed Equity Active Ownership

Engagement [LEA 01 - 14] 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 - 14] (Proxy) voting and shareholder resolutions [LEA 15 - 24] Overview [LEA 15] Process [LEA 16 - 20] Outputs and outcomes [LEA 21 - 24]

Assurance

Assurance [CM1 01.1 - 01.7]

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Basic information

OO 01. Signatory category and services

01.1. Select the services and funds 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

Further options for investment managers (may be selected in addition to the above)

Execution and advisory services

Hedge funds

Fund of hedge funds

01.3. Additional information. [Optional]

Alantra Asset Management SGIIC SA (prior Nmas1 Asset Management SGIIC SA) is domiciled in Spain and regulated by the CNMV (Spanish Financial Authority). It acts as the Investment Manager of EQMC & QMC Funds and Alteralia Debt Fund FIL (Private Debt Fund).

EQMC & QMC Funds are friendly activist funds that manage concentrated portfolios of relevant minority positions in listed small and mid cap companies with a constructive “hands-on” approach. In this context, EQMC Fund is focused in listed small and mid cap companies in Europe whilst QMC invests in Iberian listed small and mid cap companies.

Alteralia provides financing to invest in Spanish non-listed medium sized companies to support their international expansion. Taking into account that Alteralia Debt Fund FIL (AUM of €19m) is a feeder fund of a master fund (Alteralia S.C.A., SICAR, based in Luxembourg) which is not managed by Alantra AM, it has not been included in this report.

Alantra Partners SA (prior N+1 Dinamia SA) is a quoted entity in the Spanish Stock Exchange with a market capitalization of €550 million, and the parent company of Alantra Group. It has 100% of the shares of Alantra AM.

Alantra Group is a company mainly owned by the executives of the firm that operates in the areas of investment banking and asset management. Each independent business maintains full autonomy in the decision-making process under a common organizational framework.

OO 02. Headquarters and operational countries

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

Spain

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).

13 FTE

02.4. Additional information. [Optional]

Alantra Asset Management is part of Alantra, a global investment banking and asset management firm specialized in providing high value-added services to middle market companies. Alantra, listed in the Spanish Stock Exchange since July 2015 and formerly known as N+1 until September 2016, has decided to unify all its worldwide teams into a sole brand to become a global, integrated quoted partnership. Nowadays, Alantra is made up of 345 professionals based in 19 countries across Europe, US, Asia and Latin America and manages over €4 bn in assets.

Through Alantra Group (over 350 employees), Alantra Asset Management has access to an institutional-quality firm infrastructure, including a risk control and compliance unit (1 professional), a centralized capital raising unit (5 professionals: 4 in Spain and 1 in UK), a legal department (5 professionals) and finally access to centralized services such as accounting and administration, IT, HR and communications (15 professionals).

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

03.2. List your subsidiaries that are separate PRI signatories and indicate if you would like to report their RI activities in your organisation’s consolidated report.

Name of PRI signatory subsidiary (Up to six subsidiaries may be reported)	RI implementation reported here on a consolidated basis
Alantra Capital Privado (Private Equity)	Yes No
	Yes No
	Yes No
	Yes No
	Yes No
	Yes No

03.3. Additional information. [Optional]

Alantra Group has two main business units: Asset Management and Investment Banking. Within the segment of Asset Management, Alantra has different asset classes, mainly: Private Equity, EQMC & QMC Funds, Private Debt and Real Estate. Private Equity is carried out by the legal entity Alantra Capital Privado, whilst the EQMC & QMC Funds and Alteralia Debt Fund FIL (Private Debt feeder fund) are managed by another legal entity (Alantra Asset Management).

OO 04. Reporting year and AUM

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

31/12/2017

04.2. Indicate your total AUM at the end of your reporting year, Exclude subsidiaries you have chosen not to report on and any advisory/execution only assets.

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

04.3. Indicate the total AUM at the end of your reporting year for subsidiaries you have excluded from your report

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

04.5. Additional information. [Optional]

Alantra Group manages €4 billion in few niche asset classes including private equity, active funds, private debt & real estate and a wealth management area. Within Alantra Asset Management, the breakdown of the main AUM are the following:

EQMC Strategy: €635m

QMC Strategy: €167m

The private debt fund managed by Alantra AM, Alteralia Debt Fund FIL (with AUM of €19m), has not been included in this report as it is a feeder fund of a master fund (Alteralia S.C.A., SICAR, based in Luxembourg) which is not managed by Alantra AM.

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. Select how you would like to disclose your asset class mix.

as percentage breakdown

	Internally managed (%)	Externally managed (%)
Listed equity	>50% 100	0 0
Fixed income	0 0	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	0 0	0 0
Other (1), specify	0 0	0 0
Other (2), specify	0 0	0 0