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      Principles for
      Responsible Investment

      Neuberger Berman is a signatory of the Principles for Responsible Investment (PRI), in recognition of the impact that we believe environmental, social and governance (ESG) issues can have on long-term investment performance. As fundamental investors, our portfolio managers have long considered ESG factors as part of their investment processes. The PRI provide a framework through which to report and assess such factors, offering an additional tool as we seek to fulfill our mission of partnering with clients to achieve their unique investment objectives.

      The Six Principles

      The PRI were developed by the investment community in 2005, under the auspices of the United Nations. In becoming a signatory on June 29, 2012, we agreed to:

      1. Incorporate ESG issues into investment analysis and decision-making processes
      2. Be active owners and incorporate ESG issues into ownership policies and practices
      3. Seek appropriate disclosure on ESG issues by the entities in which we invest
      4. Promote acceptance and implementation of the PRI within the investment industry
      5. Work together to enhance our effectiveness in implementing the PRI
      6. Report activities and progress toward implementing the PRI

      Our PRI Commitment

      Collaboration in action

      We promote acceptance and implementation of the PRI through collaborative industry-wide initiatives that aim to increase awareness, understanding and disclosure. Examples include the following:

      Climate Change
      In September 2015, along with Boston Common Asset Management, Neuberger Berman hosted a discussion on climate change issues including carbon asset risk, carbon pricing and methane regulation. Apache Corp, Noble Energy; two independent oil and gas exploration and production companies; and BHP Billiton, a mining and diversified natural resource company, presented and provided valuable insights. The session was well attended and included internal as well as external investors and research analysts.

      ESG and EMD
      In April 2015, Jennifer Gorgoll, senior member of our EMD team served as a panelist at the PRI Fixed Income Event at the Federal Reserve Bank of Boston—speaking to RI strategies and investment products in fixed income. In March 2016, Kaan Nazli, Senior Economist, Neuberger Berman Emerging Market Debt team presented in PRI ESG in Sovereign Bonds Webinar along with broker DZ Bank on their ESG integration approach for sovereign bonds.

      Divestment vs. Engagement
      In March 2015, Neuberger Berman hosted a PRI event featuring the PRI Board and Council members discussing the Divestment vs. Engagement debate and its role in the transition to a low carbon economy. Event was well attended by 80+ asset owners, asset managers and others interested in this dialogue.

      Federal Methane Policy
      In February 2015, Neuberger Berman hosted a panel presentation with leading environmental policy experts to better understand what the upcoming federal methane policy could mean for the U.S. oil and gas industry and its investors. The panel included speakers from the Environmental Defense Fund (EDF), ICF International and Carbon Disclosure Project (CDP). Neuberger Berman SRI Portfolio Manager, Ingrid Dyott, moderated the panel. The diverse audience included internal as well as external investors and research analysts.

      CIO Roundtables
      We periodically host CIO roundtables for clients, peers and industry experts interested in furthering dialogue and sharing perspectives on timely and critical ESG topics and related policies. Recent events include: Divestment Roundtable (March 2015) and Geopolitical Challenges and Investment Implications (Feb 2015).

      The firm is an advocate for greater disclosure of information to investors through our participation as a member of the Carbon Disclosure Project, the CDP Water Disclosure Project and the Forest Footprint Disclosure Project.

      SRI Sponsorship
      Neuberger Berman has been a long-time sponsor of the biennial report on Sustainable and Responsible Investing Trends in the U.S., a US SIF publication, and has been a member of US SIF since 1989. Neuberger Berman has also been a long-time sponsor of the Moskowitz Prize for Socially Responsible Investing, the only global award that recognizes outstanding quantitative research in socially responsible investing.

      As part of our commitment as a signatory, the firm reports on our ESG activities to the PRI on a comprehensive basis each year.

      Our ongoing pledge

      We are committed to strengthening and refining our ESG approach—enhancing the dialogue with industry peers, augmenting our ESG-related reporting and research processes, and documenting existing activities. At the core, we believe that the PRI are consistent with our heritage as a fundamentals—and research-focused investment firm. We work diligently for their acceptance and relevance, consistent with our focus on serving the interests of our clients.


      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. 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. Investing entails risks, including possible loss of principal. Diversification does not guarantee profit or protect against loss in declining markets.

      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.