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Seeyond Equity Capital Optim UCITS under French law SEEYOND EQUITY CAPITAL OPTIM SEMI-ANNUAL REPORT as at 31 December 2020 Management Company: Natixis Investment Managers International Custodian: CACEIS Bank Statutory Auditor: Mazars Natixis Investment Managers International 43 Avenue Pierre Mendès-France, 75013 Paris, France – Tel.: +33 (0)1 78 40 80 00 www.im.natixis.com • STATEMENT OF NET ASSETS IN EUR Amount at the end of the Items on the statement of net assets period * a) Eligible financial securities referred to in paragraph 1, section I of Article L. 214-20 of the French 9,994,031.34 Monetary and Financial Code b) Bank assets 1,999,730.41 c) Other assets held by the UCI 67,475,091.66 d) Total assets held by the UCI (lines a + b + c) 79,468,853.41 e) Liabilities -1,275,488.10 f) Net asset value (lines d + e = net assets of the UCI) 78,193,365.31 * Approved values • NUMBER OF UNITS OUTSTANDING AND NET ASSET VALUE PER UNIT Number of units Net asset value per Unit Type of unit Net assets per unit outstanding unit SEEYOND EQUITY CAPITAL OPTIM I C 78,193,365.31 7,638.6466 10,236.54 SEEYOND EQUITY CAPITAL OPTIM 2 • SECURITIES PORTFOLIO ITEMS Percentage of net Total percentage of Securities portfolio items assets * assets ** A) Eligible financial securities and money market instruments admitted to trading on a regulated market, within the meaning of Article L. 422-1 of the French Monetary and 10.88 10.70 Financial Code. And B) Eligible financial securities and money market instruments admitted to trading on another regulated market that operates regularly, is recognised and open to the public and whose registered office is located in a Member State of the European Union or in another State party to the agreement on the European Economic Area. C) Eligible financial securities and money market instruments admitted to official listing on a stock exchange in a third country or traded on another market in a third country that is regulated, operates regularly and is recognised and open to the public, provided that said stock exchange or market does not appear on a list drawn up by the Autorité des marchés 1.90 1.87 financiers (French Financial Markets Authority) or that the selection of said stock exchange or market is made in accordance with the law or the regulations or articles of association of the undertaking for collective investment in transferable securities. D) Newly issued eligible financial securities referred to in paragraph 4, section I of Article R. 214-11 of the French Monetary and Financial Code. E) Other assets. 86.27 84.88 * Please refer to f) in the statement of net assets ** Please refer to d) in the statement of net assets SEEYOND EQUITY CAPITAL OPTIM 3 • BREAKDOWN OF ASSETS A), B), C), D) OF THE SECURITIES PORTFOLIO, BY CURRENCY Currenc Percentage of net Total percentage of Securities Amount (EUR) y assets * assets ** Euro EUR 4,610,467.80 5.90 5.80 Pound sterling GBP 3,356,768.87 4.29 4.22 Swiss franc CHF 1,386,103.27 1.77 1.74 Danish krone DKK 459,754.50 0.59 0.58 Swedish krona SEK 180,936.90 0.23 0.23 TOTAL 9,994,031.34 12.78 12.58 * Please refer to f) in the statement of net assets ** Please refer to d) in the statement of net assets SEEYOND EQUITY CAPITAL OPTIM 4 • BREAKDOWN OF ASSETS A), B), C), D) OF THE SECURITIES PORTFOLIO, BY COUNTRY OF RESIDENCE OF ISSUER Percentage of net Total percentage of Country assets * assets ** UNITED KINGDOM 4.81 4.73 SWITZERLAND 1.77 1.74 GERMANY 1.73 1.70 FRANCE 1.51 1.49 NETHERLANDS 0.92 0.91 DENMARK 0.59 0.58 ITALY 0.48 0.48 SPAIN 0.39 0.39 SWEDEN 0.23 0.23 BELGIUM 0.13 0.13 AUSTRALIA 0.13 0.13 IRELAND 0.07 0.07 TOTAL 12.78 12.58 * Please refer to f) in the statement of net assets ** Please refer to d) in the statement of net assets SEEYOND EQUITY CAPITAL OPTIM 5 • BREAKDOWN OF OTHER ASSETS OF E) OF THE SECURITIES PORTFOLIO, BY TYPE Percentage of net Total percentage of Asset type assets * assets ** Undertakings for collective investment General UCITS and AIFs and equivalents in other countries intended for non-professional 86.27 84.88 investors Other funds and equivalents in other EU Member States intended for non-professional investors Professional investment funds and their equivalents in other EU Member States and listed securitisation vehicles Other professional investment funds and equivalents in other EU Member States and unlisted special-purpose vehicles Other non-European undertakings Other assets Other TOTAL 86.27 84.88 * Please refer to f) in the statement of net assets ** Please refer to d) in the statement of net assets SEEYOND EQUITY CAPITAL OPTIM 6 • TRANSACTIONS IN THE SECURITIES PORTFOLIO DURING THE PERIOD IN EUR Transactions (amount) Securities portfolio items Purchases Sales A) Eligible financial securities and money market instruments admitted to trading on a regulated market, within the meaning of Article L. 422-1 of the French Monetary and 3,798,416.21 2,956,373.05 Financial Code. And B) Eligible financial securities and money market instruments admitted to trading on another regulated market that operates regularly, is recognised and open to the public and whose registered office is located in a Member State of the European Union or in another State party to the agreement on the European Economic Area. C) Eligible financial securities and money market instruments admitted to official listing on a stock exchange in a third country or traded on another market in a third country that is regulated, operates regularly and is recognised and open to the public, provided that said stock exchange or market does not appear on a list drawn up by the Autorité des marchés 1,539,365.82 2,166,519.29 financiers (French Financial Markets Authority) or that the selection of said stock exchange or market is made in accordance with the law or the regulations or articles of association of the undertaking for collective investment in transferable securities. D) Newly issued eligible financial securities referred to in paragraph 4, section I of Article R. 214-11 of the French Monetary and Financial Code. E) Other assets. 36,717,356.77 35,749,855.21 • OTHER INFORMATION Depositary: CACEIS Bank - 1-3 place Valhubert, 75013 Paris, France The itemised half-yearly statement of assets will be made available within eight weeks of the end of the period. It is available on request from the management company: Natixis Investment Managers International – 43 Avenue Pierre Mendès-France, 75013 Paris, France SEEYOND EQUITY CAPITAL OPTIM 7 • TRANSPARENCY OF SECURITIES FINANCING TRANSACTIONS AND OF THE REUSE OF FINANCIAL INSTRUMENTS – SFTR REGULATION – IN THE ACCOUNTING CURRENCY OF THE UCI (EUR) Reverse Securities Securities Repurchase repurchase TRS lending borrowing agreements agreements a) Securities and commodities lending Amount % of Net Assets* * % excluding cash and cash equivalents b) Assets committed for each type of securities financing transaction and TRS, expressed in terms of absolute value Amount 78,273,975.57 % of Net Assets 100.10% c) Top 10 issuers of collateral received (excluding cash) for all types of financing transactions d) Top 10 counterparties in terms of absolute value of assets and liabilities without offsetting UNICREDIT BANK AG (HYPOVEREINSBANK) MUNICH 78,273,975.57 GERMANY e) Type and quality of collateral Type - Equities - Bonds - UCIs - Negotiable debt securities - Cash Rating Collateral currency f) Settlement and clearing of contracts Tripartite X Central counterparty Bilateral X X Reverse Securities Securities Repurchase repurchase TRS lending borrowing agreements agreements SEEYOND EQUITY CAPITAL OPTIM 8 Reverse Securities Securities Repurchase repurchase TRS lending borrowing agreements agreements g) Collateral maturity broken down by tranche Less than 1 day 1 day – 1 week 1 week – 1 month 1 – 3 months 3 months – 1 year More than 1 year Open h) Maturity of securities financing transactions and TRS, broken down by tranche Less than 1 day 1 day – 1 week 1 week – 1 month 1 – 3 months 3 months – 1 year 78,273,975.57 More than 1 year Open i) Data on the reuse of collateral Maximum amount (%) Amount used (%) Income for the UCI following reinvestment of cash collateral in euro j) Data on the custody of collateral received by the UCI CACEIS Bank Securities Cash k) Data on the custody of collateral provided by the UCI Securities Cash Reverse Securities Securities Repurchase repurchase TRS lending borrowing agreements agreements SEEYOND EQUITY CAPITAL OPTIM 9 Reverse Securities Securities Repurchase repurchase TRS lending borrowing agreements agreements l) Breakdown of data on income and costs Income - UCIs 3,300.95 776.29 - Manager - Third parties Costs - UCIs - Manager - Third parties e) Data on the type and quality of collateral Collateral received must comply with the NIM International policy established to guarantee a high level of quality and liquidity, and there must be no direct correlation with the counterparty to the transaction. Additionally, the NIM International collateralisation policy sets out levels of over-collateralisation for each type of security, intended to offset any variation in their value. Finally, a daily margin call system is in place to offset the mark-to-market variations of securities. i) Data on the reuse of collateral AIFs are not subject to any regulatory restrictions, whatever the nature of the collateral (i.e. maximum amount = 100% in theory). For transactions conducted by NAM Finance, acting as an "agent" or "principal", the amounts received in respect of cash collateral on temporary sales of securities are invested in an interest-bearing deposit account.
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