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Columbia Management Investment Advisers, LLC

PRI reporting framework 2020

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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
Total 100%

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

01.2. Additional information. [Optional]

Unless stated otherwise, this document will apply to Columbia Threadneedle Investments in the US region only, known as Columbia Management Investment Advisers, LLC, or CMIA. Data provided reflects our holdings as of December 31, 2019.

All AUM breakdowns, organizational information and other quantitative information relating to our responsible investment activities throughout this document are subject to uncertainty. This is due to: definitional discrepancies, differences in our internal data and management systems and UN PRI categorizations, and the range of dates covered in the reporting period versus those best captured in our records.

This applies to, for instance: asset class mixes and distinctions within asset classes, emerging and developed market classifications, distinctions between external and internal management and types of ESG integration approaches.

Efforts have been made to capture the best available data, which has been tailored and approximated to meet PRI guidelines using our best efforts.

OO 02. Headquarters and operational countries

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

United States

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).

1117 FTE

02.4. Additional information. [Optional]

The FTE figure above is as of December 31, 2019.

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]

While none of our subsidiaries have signed on to the PRI, our affiliate, Threadneedle Asset Management Limited, is a PRI signatory. We operate together under the name, "Columbia Threadneedle Investments” and file separate annual Transparency Reports.

Our investment management subsidiaries are Columbia Wanger Asset Management LLC, and Lionstone Partners, Ltd.

OO 04. Reporting year and AUM

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


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
Assets in USD
trillions billions millions thousands hundreds

04.4. Indicate the assets which are subject to an execution and/or advisory approach. Provide this figure based on the end of your reporting year

04.5. Additional information. [Optional]

AUM refers to Columbia Management Investment Advisers, LLC, assets (i.e Columbia Threadneedle Investments in the US region only), and does not include our subsidiaries Columbia Wanger Asset Management, LLC, and Lionstone Partners, Ltd.

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% 39.68 10-50% 11.28
Fixed income 10-50% 32.65 <10% 6.4
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 <10% 1.75 <10% 0.05
Other (1), specify <10% 1.11 <10% 0.34
Other (2), specify <10% 6.56 <10% 0.18

`Other (1)` specified


`Other (2)` specified


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]

Alternatives denotes asset classes that are not included in "Equity" or "Fixed Income", i.e. Commodities, Property, and Alternative Funds etc.


Multi-assets includes accounts that invest across multiple broad level asset types, such as Equity, Fixed Income and Cash and Cash Equivalents. This includes Fund of Fund products and accounts that directly invest in those broad level asset types, such as balanced funds and asset allocation funds.

OO 07. Fixed income AUM breakdown

07.1. Provide to the nearest 5% the percentage breakdown of your Fixed Income AUM at the end of your reporting year, using the following categories.

Internally managed
20 SSA
5 Corporate (financial)
35 Corporate (non-financial)
40 Securitised
Total 100%
Externally managed
40 SSA
0 Corporate (financial)
25 Corporate (non-financial)
35 Securitised
Total 100%

OO 08. Segregated mandates or pooled funds (Private)

OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

90 Developed Markets
5 Emerging Markets
0 Frontier Markets
5 Other Markets
Total 100% 100%

09.2. Additional information. [Optional]