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Neumeier Poma Investment Counsel, LLC

PRI reporting framework 2020

You are in Direct - Listed Equity Active Ownership » Overview


LEA 01. Description of approach to engagement

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

01.1. Indicate whether your organisation has an active ownership policy (includes engagement and/or voting).

01.2. Attach or provide a URL to your active ownership policy.

01.3. Indicate what your active engagement policy covers:

General approach to Active Ownership



01.4. Do you outsource any of your active ownership activities to service providers?

01.6. Additional information [optional]

We are a small firm with 8 full time employees.  We have a trader, analyst, and three portfolio managers (two are the company owners).

We are small cap value equity investors and our "active ownership policy" is part of our overall responsible investment policy and strategy for finding value investments.  It is not a standalone practice but a way to improve decision making process and execute our investment objectives.  Proxies are voted by the portfolio managers and they give approval for engaging and communicating with investment organizations on ESG factors, climate change issues, or other situations that may arise.  We hold 30-40 stocks in our portfolio and engagement activity is done on a case by case basis.  Analysts follow up on engagements and report back to portfolio managers at monthly and weekly meetings.  Portfolio managers are involved in each step along the way. As ESG data becomes more readily available for small market cap stocks we will continue to gather more information on companies and their ESG scores.  We review 10Ks for outstanding legal issues and Bloomberg's New Energy Financial pages for ESG data.