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Suma Capital SGECR

PRI reporting framework 2019

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

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]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

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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	0% <10% 10-50% >50%
Fund of funds, manager of managers, sub-advised products	0% <10% 10-50% >50%
Other	0% <10% 10-50% >50%
Total 100%

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

Hedge funds

Fund of hedge funds

01.2. Additional information. [Optional]

Suma Capital is a mid-market private equity funds manager, with three funds under management.

The investment team executesdirect PE investments exclusively, with a focus on Spain and small and medium-sized companies.

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).

15 FTE

02.4. Additional information. [Optional]

The team is composed of 15 investment professionals who have been managing the funds on behalf of institutional investors and family offices through the general partner, and working together with Spanish small and medium sized enterprises across many sectors.

We have invested during different economic cycles and a vast variety of business scenarios. However, we are united by Suma´s mission and its focus on supporting sustainable growth. Two areas of focus: (1) Growth capital investments and (2) Sustainable and Energy Efficiency investments.

Our Values

• People: Are our principal asset, both at Suma Capital and in the Companies in which we invest.

• Commitment: We act with transparency, honesty and with the highest ethical standards at all times. We look for the highest level of alignment with our investors.

• Sustainability: We work to maximize the positive social & environmental impact of our Companies.

• Solidarity: We support social causes that benefit the community.

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]

Suma Capital has no subsidiaries.

Its PE funds invest across projects and companies in Spain. As part of Suma's ESG programme its funds require all portfolio companies to enhance their monitoring and reporting of ESG information. We are committed to continuing to work on aligning our investments with SDGs, in order to attune our strategy and its impacts with these priorities.

We pursue sustainability continuously, both in our thematic funds, focused on supporting Energy Transition and the Circular Economy, and in our Capital Growth investments in SMEs.

We do this systematically, from strategy to due diligence and investment, as well as when we sit on the Board of the portfolio companies as active investors.

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

Not applicable as we are in the fund-raising process

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

Not applicable as we do not have any assets under execution and/or advisory approach

04.5. Additional information. [Optional]

Total Euro 225m under management are distributed across three PE funds, one for growth capital investments (into SMEs) and two for Energy Efficiency investments (into sustainable projects)

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.

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
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

as broad ranges

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

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

Yes

06.5. Indicate whether your organisation uses fiduciary managers.

Yes, we use a fiduciary manager and our response to OO 5.1 is reflective of their management of our assets.

No, we do not use fiduciary managers.

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

Suma Capital executes different types of investment transactions in each of its two investment programs:

Growth Capital investments

Suma´s fund SCGF I invests between € 3-10M per company, largely through capital increases, in profitable companies leading their respective sectors. All have a committed management team aligned with the project, and are in need of financing to be able to carry out an ambitious business plan based on internationalization, sectoral consolidation or territorial deployment.

Sustainability investments

Suma's funds SCEEF I and SCEEF II invest between 2- 25M € in assets and infrastructures that support energy transition and circular economy.The investments rely on technical partners that deploy technologies to improve energy efficiency, use renewable sources and minimize waste.

Energy Transition: Projects that optimize a more efficient use of energy by: (i) improving energy efficiency; (ii) generating renewable energy and self-supply energy; or (iii) rationalizing mobility and transport.

Circular Economy: Projects that increase the reutilization, recycling and recuperation of waste in order to generate resources or energy.

Environmental and Social Impact: Encouraging the Energy Transition and Circular Economy we improve the key indicators for our society.

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.

100 Developed Markets

0 Emerging Markets

0 Frontier Markets

0 Other Markets

Total 100% 100%

09.2. Additional information. [Optional]

Suma's funds focus exclusively on the Spanish market.

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