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Montana Capital Partners AG

PRI reporting framework 2020

Asset class implementation gateway indicators [OO 10 - 12]

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]

Indirect – Manager Selection, Appointment and Monitoring

Selection [SAM 02 - 03] Appointment [SAM 04] Monitoring [SAM 05 - 07] Outputs and outcomes [SAM 08 - 09]

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]

About Us

Montana Capital Partners AG is a Swiss based advisor focusing on attractive niches of the secondary market as well as on high-quality asset management and advisory solutions.

The firm’s investment strategy focuses on attractive niches of the secondary market with small transactions as well as on complex and innovative solutions. These transactions are often sourced directly from the seller, an approach that enables Montana Capital Partners to take the sellers’ requirements into consideration and to customize solutions.

mcp has closed more than 100 transactions since its founding in 2011 with various parties ranging from pension funds, insurance companies, and banks to family offices and high-net-worth individuals. mcp offers sellers a wide range of solutions from straight acquisitions to fully structured transactions in order to create a win-win situation for all parties.

mcp’s second business line provides high-quality advisory services for primary investments. mcp has been active in advising its clients on primary fund investments over the last years as well as in providing risk management solutions to institutional and high-net-worth international investors.

The Firm

Montana Capital Partners’ senior team has a track record of managing capital for and advising institutional clients around the globe ranging from the largest and most experienced private equity investors to small and mid-sized institutions.

Montana Capital Partners is a well-recognized investment advisor in the global private equity market and is well-connected to LP’s and GP’s. mcp team members regularly publish research in high-quality professional and scientific journals, present at conferences, and speak on panels.

Mission and Values

Montana Capital Partners’ mission is to provide innovative, customer-centric liquidity solutions in the illiquid asset class of private equity. Through the rigid application of industry-leading investment and risk management processes, we aim to achieve superior risk-adjusted returns.

Montana Capital Partners has a firm set of values that are expected to be upheld by all team members. These values are honesty, fairness, reliability, client-focus, transparency, trust, and appreciation of and respect for all team members. The foundation of these principles is based on three core values that can be summarized through a commitment to be innovative, reliable, and sound.

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).

22.9 FTE

02.4. Additional information. [Optional]

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]

OO 04. Reporting year and AUM

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

31/12/2019

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 assets which are subject to an execution and/or advisory approach. Provide this figure based on 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

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

04.5. Additional information. [Optional]

Montana Capital Partners AG is an advisor to four of its secondary funds with total investor commitments of more than EUR 1.4 billion. The Section OO 04.2 AUM are governed by both investment management and advisory relationships; dependent upon the individual fund structures.

The section OO 04.4 AUM are commitments related to advisory services for primary investments. As of 31 December 2019, mcp has provided primaries advisory services for total commitments of EUR 846 million to date, with EUR 250 million during the financial year 2019.

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	0 0	>50% 100
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

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

Provide a breakdown of your organisation’s externally managed assets between segregated mandates and pooled funds or investments.

Asset class breakdown	Segregated mandate(s)	Pooled fund(s) or pooled investment(s)	Total of the asset class (each row adds up to 100%)
[f] Private equity	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%

08.2. Additional information. [Optional]

OO 09. Breakdown of AUM by market

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

91 Developed Markets

8 Emerging Markets

1 Frontier Markets

0 Other Markets

Total 100% 100%

09.2. Additional information. [Optional]

mcp's portfolio primarily consists of high-quality developed markets investments. The largest exposures are diversified throughout Europe and the U.S.

A small allocation in the portfolio to emerging markets investments provides attractive global diversification. These emerging markets investments are mainly through mcp's holdings of growth funds and global funds of funds.

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