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Pacific Road Capital

PRI reporting framework 2019

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Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Select the services and funds you offer
% of asset under management (AUM) in ranges
Fund management
Fund of funds, manager of managers, sub-advised products
Other
Total 100%

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

01.2. Additional information. [Optional]

Pacific Road Capital takes active shareholdings of 19% to 100% in companies engaged in mineral exploration through to mineral production around the world. Pacific Road applys filters to include countries with good mineral endowment, solid legal systems and ownership entitlements, appropriate labour laws and practices, environmental laws and a commitment to sustainability. 


OO 02. Headquarters and operational countries

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

Australia

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

12 FTE

02.4. Additional information. [Optional]

Head office is located in Sydney Australia (11 people) with geographically diverse advisers equivalent to 1 FTE.


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.

03.3. Additional information. [Optional]


OO 04. Reporting year and AUM

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

31/12/2018

04.2. Indicate your total AUM at the end of your reporting year.

Include the AUM of subsidiaries, but exclude advisory/execution only assets, and exclude the assets of your PRI signatory subsidiaries that you have chosen not to report on in OO 03.2
Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.4. Indicate the total assets at the end of your reporting year subject to an execution and/or advisory approach.

04.5. Additional information. [Optional]

AUM is US$409,000,000 - USD denominated funds, investing mostly via US Dollar, Australian Dollar, Canadian Dollar and GBP denominated assets.


OO 06. How would you like to disclose your asset class mix

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

Internally managed (%)
Externally managed (%)

 

Listed equity 10-50% 50 0 0
Fixed income 0 0 0 0
Private equity 10-50% 50 0 0
Property 0 0 0 0
Infrastructure 0 0 0 0
Commodities 0 0 0 0
Hedge funds 0 0 0 0
Fund of 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
Money market instruments 0 0 0 0
Other (1), specify 0 0 0 0
Other (2), specify 0 0 0 0

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

06.3. Indicate whether your organisation has any off-balance sheet assets [Optional].

06.5. Indicate whether your organisation uses fiduciary managers.

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

In addition to direct investing in both private and listed entities, Pacific Road Capital also invests through debt like instruments that provide negative controls over companies.


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.

45 Developed Markets
40 Emerging Markets
15 Frontier Markets
0 Other Markets
Total 100% 100%

09.2. Additional information. [Optional]

Most investments are made in USD, AUD, CAD and GBP into companies that have head offices located in the USA, Australia, Canada and UK. These companies are typically developing and/or operating assets located in emerging and frontier market jurisdictions. At 31 December 2018 emerging market jurisdictions included assets in Brazil Kenya and Lesotho while frontier markets included assets in Madagascar. Additional assets in the portfolio were also owned in the USA, Canada and Australia.  


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