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Loomis, Sayles & Company, L.P.

PRI reporting framework 2018

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Engagement

Overview

LEA 01. Description of approach to engagement

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

01.1. Indicate whether your organisation has a formal engagement policy.

01.2. Attach or provide a URL to your engagement policy.

01.3. Indicate what your engagement policy covers:

01.4. Provide a brief overview of your organization’s approach to engagement

Engagement is at the core of Loomis Sayles' research process and often includes meetings with management, ESG vendors and regulators. The assessment of management quality is intended to permit our investment professionals to develop an informed opinion of the issuer over time. They do this by observing management's actions and conduct as it deals with corporate governance, strategy, resource management, regulatory changes, and its attention to such potential risks as environmental and climate change. ESG-related risks and opportunities are an inextricable part of the assessment.

01.6. Additional information [optional]


LEA 02. Reasoning for interaction on ESG issues

02.1. Indicate the method of engagement, giving reasons for the interaction.

Type of engagement

Reason for interaction

Individual/Internal staff engagements
          We seek to identify ESG risks related to the long term prospects for success of an issuer that is held, or being considered for investment.
        
Collaborative engagements

Please specify why your organisation does not engage via collaborative engagements.

We are currently engaging with issuers via internal staff.  As we evolve in our engagement practices, we will consider engaging through collaboration with other organizations, taking into consideration whether such collaborative engagements will be in the best interest of our clients, consistent with our fiduciary duty.  

Service provider engagements

Please specify why your organisation does not engage via service providers.

We are currently engaging with issuers via internal staff.  As we evolve in our engagement practices, we will consider whether and how to engage via service providers, taking into consideration whether such engagements will be in the best interest of our clients, consistent with our fiduciary duty.  

02.2. Additional information. [Optional]


Process

Process for engagements run internally

LEA 03. Process for identifying and prioritising engagement activities

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

03.1. Indicate whether your organisation has a formal process for identifying and prioritising engagement activities carried out by internal staff.

03.3. Additional information. [Optional]


LEA 04. Objectives for engagement activities

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

04.1. Indicate if you define specific objectives for your engagement activities.

04.2. Indicate if you monitor the actions that companies take during and following your engagements activities carried out by internal staff.

04.3. Indicate if you do any of the following to monitor and evaluate the progress of your engagement activities carried out by internal staff.

04.4. Additional information. [Optional]

Regarding LEA 04.2, we monitor the actions that companies take following our engagement activities on an ad-hoc basis.  As our engagement practices evolve, we will consider implementing a more systemic approach to monitoring responses to our engagement activities.


General processes for all three groups of engagers

LEA 09. Share insights from engagements with internal/external managers

09.1. Indicate if insights gained from your engagements are shared with your internal or external investment managers.

Type of engagement

Insights shared

Individual/Internal staff engagements

09.2. Additional information. [Optional]


LEA 10. Tracking number of engagements

10.1. Indicate if you track the number of your engagement activities.

Type of engagement
Tracking engagements

Individual / Internal staff engagements

10.2. Additional information. [OPTIONAL]


Outputs and outcomes

LEA 11. Number of companies engaged with, intensity of engagement and effort (Private)


LEA 12. Engagement methods

12.1. Indicate which of the following your engagement involved.

12.2. Additional information. [Optional]


LEA 13. Companies changing practices / behaviour following engagement

13.1. Indicate whether you track the number of cases during the reporting year in which a company changed its practices, or made a formal commitment to do so, following your organisation’s and/or your service provider's engagement activities.

13.3. Additional information [Optional].

Tracking engagement results is something we are planning on implementing in the future.


LEA 14. Examples of ESG engagements (Not Completed)


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