Public HTML RI reports - PRI reporting framework 2019

RobecoSAM AG (Delisted)

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 - Listed Equity Incorporation

ESG incorporation in actively managed listed equities [LEI 01 - 10] Implementation processes [LEI 01 - 10] (A) Implementation: Screening [LEI 04 - 06] (B) Implementation: Thematic [LEI 07] (C) Implementation: Integration of ESG factors [LEI 08 - 10] Outputs and outcomes [LEI 12 - 13]

Direct - Listed Equity Active Ownership

Overview [LEA 01] Engagement [LEA 02 - 08] Outputs and outcomes [LEA 09 - 11] (Proxy) voting and shareholder resolutions [LEA 12 - 21]

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%	Please specify With S&P Dow Jones Indices, RobecoSAM publishes the Dow Jones Sustainability Indices (DJSI) which tracks stock performance of the world's leading companies.
Total 100%

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

Hedge funds

Fund of hedge funds

01.2. Additional information. [Optional]

Sustainability motivates, informs, and defines our entire asset management capabilities and we integrate ESG criteria within all of our investment products and services. Our product offering includes the actively-managed, listed-equity portfolios described below as well as licensed sustainability indexes.

Our sustainably-driven investment strategies are centred around the following product channels:

Sustainable European Equities Strategies—the capability applies an advanced, proprietary approach to ESG integration to create a concentrated, quality-focused, high-conviction European equity portfolios with low environmental impact.

Sustainable Thematic Equity Strategies—invest in companies providing ingenuity and innovation to address global challenges of climate change, resource scarcity, land & water pollution, rapid urbanization, deteriorating infrastructure, and escalating chronic disease & healthcare expenses. Through our thematic products covering Water, Food & Agriculture, Energy, Materials, Mobility and Healthy Living.

Sustainable Impact Equity Strategies—combine the power of qualitative research & quantitative data to invest in companies with a strong positive social impact on society, specifically targeting the issues of inequality and justice. We currently offer products targeting Gender Equality and the UN’s Sustainable Development Goals and aim to expand these to other impact areas.

Sustainable Quant & Fixed Income Solutions—maximize superior expertise across sustainability research, quantitative analysis, and portfolio management. Along with our sister company, Robeco Institutional Asset Management (Robeco), we also offer sustainable active and semi-active investment solutions in the field of quantitative investing and fixed income.

Customizable Solutions—In addition to our Fund offering, RobecoSAM offers large institutional investors customized investment solutions and mandates that incorporate sustainability criteria, including optimized, active and unconstrained strategies.

Moreover, in addition to investment products, we collaborate with Robeco’s Active Ownership and Engagement Services Team to encourage and engage company management towards a better understanding of their impact on society and of the strategic imperative to integrating sustainability into their business strategy and practice.

OO 02. Headquarters and operational countries

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

Switzerland

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).

90 FTE

02.4. Additional information. [Optional]

in 2018, RobecoSAM has closed a second office in Frankfurt.

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

03.2. List your subsidiaries that are separate PRI signatories and indicate if you would like to report their RI activities in your organisation’s consolidated report.

Name of PRI signatory subsidiary (Up to six subsidiaries may be reported)	RI implementation reported here on a consolidated basis
Robeco	Yes No
	Yes No
	Yes No
	Yes No
	Yes No
	Yes No

03.3. Additional information. [Optional]

RobecoSAM, as part of the Robeco Group, will be making a separate reporting to PRI, along with out sister company, Robeco (RIAM).

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

04.3. Indicate the total AUM of subsidiaries you have excluded from your report (as named in OO 03.2 under “No”). Provide this as a total figure at the end of your reporting year.

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

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

04.5. Additional information. [Optional]

Our total AUM of USD 14.5 bn combines the Asset under Licenses (AUL) for the Dow Jones Sustainability Indices and the Asset under Management (AUM) for our active managed listed equity strategies strategies.

The AUL at 31 December 2018 were USD 9'300'311'476.

The AUM at 31 December 2018 were USD 5'152'856'897.

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

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]

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