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Red Mountain Capital Partners, LLC (Delisted)

PRI reporting framework 2018

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes

Implementation processes

LEI 01. Percentage of each incorporation strategy

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

01.1. Indicate (1) which ESG incorporation strategy and/or combination of strategies you apply to your actively managed listed equities and (2) the breakdown of your actively managed listed equities by strategy or combination of strategies (+/- 5%)

ESG incorporation strategy (select all that apply)

Percentage of active listed equity to which the strategy is applied
100 %
Total actively managed listed equities 100%

01.2. Describe your organisation’s approach to incorporation and the reasons for choosing the particular ESG incorporation strategy/strategies.

Red Mountain Capital Partners LLC (the “Firm”) is a constructive activist investment firm founded in January 2005 by Willem Mesdag to manage investments primarily in undervalued small cap companies and to enhance and realize shareholder value through active ownership. We seek to build significant ownership stakes (5-15%) in a concentrated portfolio (10-15 positions) of small cap public companies and seek to actively engage with the management teams of our portfolio companies on a range of initiatives to enhance value. ESG is an integrated part of our investment process. As part of our diligence process for each potential new investment we seek to identify key ESG issues specific to a company or its sector and understand how these risks will/could impact investment outcomes. If the risks are too significant we will either not invest or formulate an engagement plan to mitigate or eliminate these risks.

Due to our bottom-up investment approach, we have not employed a thematic approach to ESG issues historically, but do not rule out the possibility of doing so in the future.

01.3. If assets are managed using a combination of ESG incorporation strategies, briefly describe how these combinations are used. [Optional]

LEI 02. Type of ESG information used in investment decision (Not Completed)

LEI 03. Information from engagement and/or voting used in investment decision-making (Not Completed)

(A) Implementation: Screening

LEI 04. Types of screening applied

04.1. Indicate and describe the type of screening you apply to your internally managed active listed equities.

Type of screening

Screened by


We perform a negative screen for certain tobacco and firearms businesses.

04.2. Describe how the screening criteria are established, how often the criteria are reviewed and how you notify clients and/or beneficiaries when changes are made.

We perform a negative screen for certain tobacco and firearms businesses. We review the criteria quarterly, but do not notify investors when changes are made.

LEI 05. Processes to ensure screening is based on robust analysis

05.1. Indicate which processes your organisation uses to ensure screening is based on robust analysis.

          We rely on a list of excluded companies provided by a third party.

05.5. Additional information. [Optional]

LEI 06. Processes to ensure fund criteria are not breached (Not Completed)