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Vallis Capital Partners

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 – Private Equity

Overview [PE 01 - 02] Fundraising of private equity funds [PE 03 - 04] Pre-investment (selection) [PE 05 - 08] Post-investment (monitoring) [PE 09 - 13] Outputs and outcomes [PE 14 - 15] Communication [PE 16]

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]

Vallis Capital Partners is an independent holding company focused on managing Private Equity and investment funds, fully owned by the Founding Partners.

Vallis Capital Partners investment approach is focused on intrinsic economic value creation, through a proactive ownership and a “hands-on” strategy pursued by its Founding Partners, and independent management teams.

Vallis Capital Partners believes in intrinsic long-term value based on the sustained growth of its portfolio companies.

Following John Elkington's concept of "People, Planet and Profit", it seeks to capture value through investments in sustainability-driven growth industries and companies, namely in industries related with demographic growth and changes in the social structure ("People") and in industries related with increasingly scarce natural resources ("Planet"). VCP is more than just a socially responsible investor, by adopting a positive angle on sustainability, and due to the range of industries covered in its thematic approach, more than just a green fund.

Vallis Capital Partners self-imposes a long-term commitment to the best governance practices in private equity, and permanently seeks a strong alignment with the interests of all stakeholders involved in each and every fund and transaction where it intervenes.

OO 02. Headquarters and operational countries

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

Portugal

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).

11 FTE

02.4. Additional information. [Optional]

Vallis Capital Partners is a Portuguese legal entity with headquarters in Porto, Portugal.

Vallis Capital Partners acts as “Investment Adviser” and “Sponsor” of private equity funds established under Luxembourg laws, supervised by the Commission de Surveillance du Secteur Financier (CSSF) of Luxembourg and with investment focus on Iberia.

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.

30/09/2017

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

04.5. Additional information. [Optional]

Vallis Capital Partners acts as “Investment Advisor” and “Sponsor” of private equity funds, currently:

(i) Vallis Sustainable Investments I - Growth capital and buy-out fund focused on Portuguese and Spanish mid-cap companies with high growth potential and long-term demand strongly correlated with sustainability, demographic and natural resources trends, with capital commitments totalling to €75 million.

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	0 0	0 0
Fixed income	0 0	0 0
Private equity	>50% 100	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

as broad ranges

06.2. Publish asset class mix as per attached image [Optional].

06.3. Provide contextual information on your AUM asset class split. [Optional]

OO 07. Fixed income AUM breakdown (Not Applicable)

OO 08. Segregated mandates or pooled funds (Not Applicable)

OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

Developed Markets	0% <10% 10-50% >50 %
Emerging, Frontier and Other Markets	0% <10% 10-50% >50 %
Total100%

09.2. Additional information. [Optional]

Vallis Sustainable Investments I, the active fund currently managed by Vallis Capital Partners, is a growth fund which invests on Portuguese and Spanish mid-cap companies. The Fund reached the end of the Period of Investment on July 2017, having invested in a total of 8 companies, all of which are headquartered in Portugal.

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