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      ENVIRONMENTAL, SOCIAL AND GOVERNANCE INVESTING

      Industry Collaboration and Leadership

      PRINCIPLES FOR RESPONSIBLE INVESTMENT (PRI)
      Neuberger Berman’s PRI assessment scores
      2019 2018
      Peer Median Peer Median
      01. Strategy & Governance A A
      Indirect – Manager Sel., App & Mon
      07. Private Equity A C
      Direct & Active Ownership Modules
      10. Listed Equity – Incorporation B B
      11. Listed Equity – Active Ownership B B
      12. Fixed Income – SSA B B
      14. Fixed Income – Corporate Non-Financial B B

      For illustrative and discussion purposes only. PRI grades are based on information reported directly by PRI signatories, of which investment managers totaled 1,119 for 2019, 1,120 for 2018 and 935 for 2017. All signatories are eligible to participate and must complete a questionnaire to be included. The underlying information submitted by signatories is not audited by the PRI or any other party acting on its behalf. Signatories report on their responsible investment activities by responding to asset-specific modules in the Reporting Framework. Each module houses a variety of indicators that address specific topics of responsible investment. Signatories’ answers are then assessed and results are compiled into an Assessment Report. The Assessment Report includes indicator scores, summarizing the individual scores achieved and comparing them to the median; section scores, grouping similar indicator scores together into categories (e.g. policy, assurance, governance) and comparing them to the median; module scores, aggregating all the indicator scores within a module to assign one of six performance bands (from E to A+). Awards and ratings referenced do not reflect the experiences of any Neuberger Berman client and readers should not view such information as representative of any particular client’s experience or assume that they will have a similar investment experience as any previous or existing client. Awards and ratings are not indicative of the past or future performance of any Neuberger Berman product or service. Moreover, the underlying information has not been audited by the PRI or any other party acting on its behalf. While every effort has been made to produce a fair representation of performance, no representations or warranties are made as to the accuracy of the information presented, and no responsibility or liability can be accepted for damage caused by use of or reliance on the information contained within this report. Information about PRI grades is sourced entirely from PRI and Neuberger Berman makes no representations, warranties or opinions based on that information.

      ESG ANNUAL REPORT
      Our 2018 Inaugural Report
      Learn more about our commitment to ESG integration including recent innovations and insights.
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      Collaboration
      We recognize that we have a responsibility to improve the functioning of capital markets as a whole by encouraging the broader implementation of ESG investing activities. We believe this can best be achieved by working collaboratively with clients and others in the investment industry, including by engaging with individual companies and whole industries, conducting joint research on ESG topics, and supporting the creation and use of industry-standard ESG disclosures.
      PRI

      Neuberger Berman has been a signatory of the UN-supported Principles for Responsible Investment (PRI) since 2012. We actively contribute to the PRI’s work through collaborative engagements, working groups and initiatives. Most recently we have helped lead the PRI’s work to encourage the credit rating agencies to integrate ESG into credit ratings.

      2019 PRI Transparency Report (pdf)

      www.unpri.org

      SASB Alliance

      Neuberger Berman is a founding member of the Sustainability Accounting Standards Board (SASB) Alliance, which aims to help develop and maintain standards for public-company ESG disclosures using a rigorous process of evidence-based research and broad, balanced stakeholder participation. We use the SASB framework as the starting point for assessing material ESG factors across our investment platform.

      www.sasb.org/alliance

      United Nations Global Compact

      Neuberger Berman is a signatory of the UN Global Compact and is committed to the ten principles in the areas of human rights, labour, the environment and anti-corruption.

      www.unglobalcompact.org

      CDP

      Neuberger Berman has been an Investor Member and Signatory of CDP since 2004 and supports CDP’s work running the leading global disclosure system for self-reported company environmental data. Most recently we have actively assisted the CDP in enhancing the methodology of their Water Disclosure and Forest Footprint Disclosure projects.

      www.cdp.net

      Global Impact Investing Network

      Neuberger Berman is a member of the Global Impact Investing Network, an organization dedicated to increasing the scale and effectiveness of impact investing. We are involved in the institutional investor initiative and an active member to support the development of the impact investing industry.

      www.thegiin.org

      CECP SII

      Neuberger Berman has been a member of CECP for over a decade and shares their vision that corporations and their leaders can and should be a force for good in society. We currently sit on CECP’s Strategic Investor Initiative (SII) Advisory Board helping the SII’s work to create a forum where CEOs can present long-term plans to long-term investors.

      www.cecp.co

      US SIF: The Forum for Sustainable and Responsible Investment

      Neuberger Berman has been a member of U.S. SIF since 1989 and a supporter of its efforts to advance sustainable, responsible and impact investing across all asset classes. We are a long-time supporter of the US SIF’s biennial report on Sustainable and Responsible Investing Trends which tracks the growing pool of ESG investing assets.

      www.ussif.org

      Impact Management Project

      Neuberger Berman is an Advisor for the Impact Management Project–a global, collaborative effort to adopt shared fundamentals for how we articulate, measure and manage impact. We are closely partnering on the practical implications for incorporating the framework across the investment platform and multi-asset class portfolios as well as reporting on social and environmental impact.

      www.impactmanagementproject.com

      Embankment Project

      Neuberger Berman is a founding participant in the Embankment Project for Inclusive Capitalism, an effort to change the way corporate value is measured and reported. We are working across the investment value chain to better understand, measure and compare the investments made by companies to advance inclusive capitalism and to create long term value for shareholders.

      www.epic-value.com

      FAIRR

      Neuberger Berman is a member of the Farm Animal Investment Risk & Return network in support of FAIRR’s work to raise awareness of the material investment risks and opportunities connected with intensive livestock farming and poor animal welfare standards.

      www.fairr.org

      ICCR

      Neuberger Berman has been a member of the Interfaith Center on Corporate Responsibility since 1971 in support of their work engaging companies to promote more sustainable and just business practices. We believe ICCR’s work helps secure a better future for company employees, customers and shareholders and acts a powerful catalyst for social change.

      www.iccr.org

      Task Force on Climate-related Financial Disclosures

      Neuberger Berman is a formal supporter of the recommendations of the Task Force on Climate Related Financial Disclosure (TCFD) because we believe that climate change is a material driver of investment risk and return across industries and asset classes.

      www.fsb-tcfd.org

      Ceres

      Neuberger Berman is a member of the Ceres network of investors and companies, who tackle the world’s biggest sustainability challenges, including climate change, water scarcity and pollution, and human rights abuses. We are involved in a range of collaborative initiatives, from the Climate Action 100+ campaign to engagement and proxy voting on individual shareholder resolutions.

      www.ceres.org

      World Benchmarking Alliance

      Neuberger Berman is an ally of the World Benchmarking Alliance, which their mission is to provide everyone with access to information that indicates how companies are contributing to the Sustainable Development Goals.

      www.worldbenchmarkingalliance.org

      FCLT Global

      Neuberger Berman is a member of FCLT Global, a not-for-profit organization that works to encourage a longer-term focus in business and investment decision-making. We accomplish this by developing practical tools and approaches to support long term behaviors across the investment value chain.

      www.fcltglobal.org/

      Global investor statement to governments on climate change
      Neuberger Berman is a signatory of the Global Investor Statement to Governments on Climate Change, which urges governments to step up their ambition and action to achieve the goals of the Paris Agreement, support investment in the low-carbon transition, and improve climate-related financial disclosures.
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      This material is provided for informational purposes only and nothing herein constitutes investment, legal, accounting or tax advice, or a recommendation to buy, sell or hold a security. This material is not intended as a formal research report and should not be relied upon as a basis for making an investment decision. The firm, its employees and advisory clients may hold positions of companies within sectors discussed. Information is obtained from sources deemed reliable, but there is no representation or warranty as to its accuracy, completeness or reliability. All information is current as of the date of this material and is subject to change without notice. Any views or opinions expressed may not reflect those of the firm as a whole. Neuberger Berman products and services may not be available in all jurisdictions or to all client types. This material may include estimates, outlooks, projections and other “forward-looking statements.” Due to a variety of factors, actual events may differ significantly from those presented. Investing entails risks, including possible loss of principal. Diversification does not guarantee profit or protect against loss in declining markets. Indexes are unmanaged and are not available for direct investment. Past performance is no guarantee of future results.

      This material is being issued on a limited basis through various global subsidiaries and affiliates of Neuberger Berman Group LLC. Please visit www.nb.com/disclosure-global-communications for the specific entities and jurisdictional limitations and restrictions.

      The “Neuberger Berman” name and logo are registered service marks of Neuberger Berman Group LLC.