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Söderberg & Partners Asset Management S.A.

PRI reporting framework 2020

You are in Organisational Overview » Asset class implementation gateway indicators

Asset class implementation gateway indicators

OO 10. Active ownership practices for listed assets

10.1. Select the active ownership activities your organisation implemented in the reporting year.

Listed equity – engagement

Listed equity – voting

10.3. Indicate why you do not cast your votes

The Company invested directly in listed equity for the first time at the end of 2019.

Fixed income SSA – engagement

Please explain why you do not engage directly and do not require external managers to engage with companies on ESG factors.

          Due to the Funds' structure, direct engagement with this specific asset class is not conducted. The Company does not require external managers to engage on its behalf either, but premiere those external managers who do engage.
        

Fixed income Corporate (financial) – engagement

Please explain why you do not engage directly and do not require external managers to engage with companies on ESG factors.

          Due to the Funds' structure, direct engagement with this specific asset class is not conducted. The Company does not require external managers to engage on its behalf either, but premiere those external managers who do engage.
        

Fixed income Corporate (non-financial) – engagement

Please explain why you do not engage directly and do not require external managers to engage with companies on ESG factors.

          Due to the Funds' structure, direct engagement with this specific asset class is not conducted. The Company does not require external managers to engage on its behalf either, but premiere those external managers who do engage.
        

Fixed income Corporate (securitised) – engagement

Please explain why you do not engage directly and do not require external managers to engage with companies on ESG factors.

          Due to the Funds' structure, direct engagement with this specific asset class is not conducted. The Company does not require external managers to engage on its behalf either, but premiere those external managers who do engage.
        

OO 11. ESG incorporation practices for all assets

11.1. Select the internally managed asset classes in which you addressed ESG incorporation into your investment decisions and/or your active ownership practices (during the reporting year).

Listed equity

Cash

Select the externally managed assets classes in which you and/or your investment consultants address ESG incorporation in your external manager selection, appointment and/or monitoring processes.
Asset class
ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes
Listed equity

Listed equity - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - SSA

Fixed income - SSA - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - corporate (financial)

Fixed income - corporate (financial) - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - corporate (non-financial)

Fixed income - corporate (non-financial) - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - securitised

Fixed income - securitised - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Private equity

Private equity - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Property

Property - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Commodities

Commodities - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Hedge funds

Hedge funds - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Money market instruments

Money market instruments - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

11.4. Provide a brief description of how your organisation includes responsible investment considerations in your investment manager selection, appointment and monitoring processes.

The Company incorporates ESG in the manager selection process. Söderberg & Partners group-wide sustainability analysis and rating of funds is utilized as valuable input when screening for external managers. The sustainability analysis covers positive selection and responsible ownership at management company level and fund level. This results in a shortlist of external managers from which manager for the investment in scope is selected based on a qualitative analysis including ESG parameters that are material for the investment.

Before any investment is initiated, questionnaires are sent out focusing on the manager's sustainability processes alongside the Company's Policy for Responsible Investment. Follow-up meetings are conducted where various ESG topics are discussed on frequent basis. As an active investor, the Company believes engagement supports the managers to continue their advancement in ESG.

The Funds will not invest in other funds with severe or systematic ESG controversies. The investment in other funds should be in compliance with the our Policy for Responsible investments and should not be made if the Funds deem that the underlying funds are not likely to address identified problematic issues within an acceptable amount of time. Should the monitoring show that the management of the underlying fund fails to perform on issues related to ESG, we shall act by taking one or several of the following measures; (1) Initiate a dialogue with the management of the fund; (2) engage with the management of the fund; or (3) sell our holdings.

 

11.5. For your externally managed pooled funds, describe any mechanisms in place to set expectations as part of the appointment or commitment process.

Being a signatory of the UNPRI is a prerequisite in the selection of new investments. The Company values external managers where ESG factors are an integral part of the investment process. The Company does not invest in companies that do not show a willingness to comply with the Policy for Responsible Investments or where the Company deems that the companies are not likely to address the problematic issues stated below within an acceptable amount of time.


OO 12. Modules and sections required to complete

12.1. Below are all applicable modules or sections you may report on. Those which are mandatory to report (asset classes representing 10% or more of your AUM) are already ticked and read-only. Those which are voluntary to report on can be opted into by ticking the box.

Core modules

RI implementation directly or via service providers

Direct - Listed Equity incorporation

Direct - Listed Equity active ownership

RI implementation via external managers

Indirect - Selection, Appointment and Monitoring of External Managers

Closing module

12.2. Additional information. [Optional]


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