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RobecoSAM AG

PRI reporting framework 2017

Gateway asset class implementation 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] Implementation not in other modules [SG 12 - 16] Innovation [SG 17]

Indirect – Manager Selection, Appointment and Monitoring

Overview [SAM 01 - 02] Selection [SAM 05 - 06] Appointment [SAM 07.1 - 07.2-5] Monitoring [SAM 08 - 10] Outputs and outcomes [SAM 11 - 12] Communication [SAM 13]

Direct - Listed Equity Incorporation

Overview [LEI 01 - 02] ESG incorporation in actively managed listed equities [LEI 03 - 12] Implementation processes [LEI 03 - 12] (A) Implementation: Screening [LEI 06 - 08] (B) Implementation: Thematic [LEI 09] (C) Implementation: Integration of ESG issues [LEI 10 - 12] Outputs and outcomes [LEI 14 - 16] Communication [LEI 17]

Direct - Listed Equity Active Ownership

Engagement [LEA 01 - 16] Overview [LEA 01 - 02] Process [LEA 03 - 10] Process for engagements run internally [LEA 03 - 04] Process for engagements conducted via collaborations [LEA 05 - 06] General processes for all three groups of engagers [LEA 09 - 10] Outputs and outcomes [LEA 11 - 15] Communication [LEA 16] (Proxy) voting and shareholder resolutions [LEA 17 - 27] Overview [LEA 17] Process [LEA 18 - 22] Outputs and outcomes [LEA 23 - 26] Communication [LEA 27]

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Basic Information

OO 01. Signatory category and services

01.1. Select the services you offer.

Fund management

% of assets under management (AUM) in ranges

<10%

10-50%

>50%

Fund of funds, manager of managers, sub-advised products

% of assets under management (AUM) in ranges

<10%

10-50%

>50%

Other, specify

          With S&P Dow Jones Indices, RobecoSAM publishes the Dow Jones Sustainability Indices (DJSI) which tracks stock performance of the world's leading companies.

% of assets under management (AUM) in ranges

<10%

10-50%

>50%

Execution and advisory services

01.2. Additional information. [Optional]

RobecoSAM's actively managed investment strategies (a broad range of regional and global equity, impact investing, and theme-based strategies in the areas of Sustainable Water, Smart Energy, Smart Materials, Sustainable Healthy Living and Sustainable Agribusiness) aim to generate attractive returns from concentrated portfolios of attractively valued sustainability leaders or solutions-providers that exhibit positive momentum characteristics.

RobecoSAM Private Equity offers core and satellite investment capabilities with a focus on mainstream and resource efficiency to institutional investors, primarily through fund of funds but also through secondary funds and co-investments.

RobecoSAM's Dow Jones Sustainability Indices serve as benchmarks for investors who integrate sustainability considerations into their portfolios, and provide an effective engagement platform for companies who want to adopt sustainable best practices.

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).

100 FTE

02.4. Additional information. [Optional]

RobecoSAM closed their second office in New York City in 2016.

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

03.2. List your subsidiaries that are separate PRI signatories and indicate if you would like to report their RI activities in your organisation’s consolidated report.

Name of PRI signatory subsidiary (Up to six subsidiaries may be reported)	RI implementation reported here on a consolidated basis
Robeco	Yes No
	Yes No
	Yes No
	Yes No
	Yes No
	Yes No

03.3. Additional information. [Optional]

RobecoSAM, as part of the Robeco Group, will be making a separate reporting to PRI, along with out sister company, Robeco (RIAM).

OO 04. Reporting year and AUM

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

31/12/2016

04.2. Indicate your total AUM at the end of your reporting year, excluding subsidiaries you have chosen not to report on.

Total AUM
Total AUM	trillions	billions	millions	thousands	hundreds
Currency
Assets in USD
Assets in USD	trillions	billions	millions	thousands	hundreds

04.3. Indicate the total AUM at the end of your reporting year for subsidiaries you have excluded from your report

Total AUM
Total AUM	trillions	billions	millions	thousands	hundreds
Currency
Assets in USD
Assets in USD	trillions	billions	millions	thousands	hundreds

04.4. Additional information. [Optional]

Our total AUM of USD 14.6 bn combines the Asset under Licenses (AUL) for the Dow Jones Sustainability Indices and the Asset under Management (AUM) for our active managed listed equity strategies and private equity strategies.

The AUL at 31 December 2016 were USD 9'158'896'326.

The AUM at 31 December 2016 were USD 5'475'822'184.

OO 06. How would you like to disclose your asset class mix

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

06.1. How you would like to disclose your asset class mix.

as percentage breakdown

as broad ranges

	Internally managed (%)	Externally managed (%)
Listed equity	>50% 56	0 0
Fixed income	0 0	0 0
Private equity	0 0	10-50% 44
Property	0 0	0 0
Infrastructure	0 0	0 0
Commodities	0 0	0 0
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
Other (1), specify	0 0	0 0
Other (2), specify	0 0	0 0

06.2. Publish our asset class mix as per attached image [Optional].

06.3. Provide contextual information on your AUM asset class split. [Optional]

This breakdown refers only to our AUM (USD 5.48 bn). It excludes the Asset under Licenses (AUL) reported in OO 04 (USD 9.16 bn). RobecoSAM.

RobecoSAM is the provider of the Corporate Sustainability Assessment and the Methodology for the integration of sustainability in the Dow Jones Sustainability Indices. RobecoSAM does not manage passive funds.

OO 07. Fixed income AUM breakdown (Not Applicable)

OO 08. Segregated mandates or pooled funds (Private)

OO 09. Breakdown of AUM by market (Private)

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