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Raiffeisen Capital Management

PRI reporting framework 2017

Basic Information [OO 01 - 09] 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]

Direct - Listed Equity Active Ownership

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]

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Engagement

Overview

LEA 01. Description of approach to engagement

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

01.1. Indicate whether your organisation has a formal engagement policy.

Yes

01.2. Indicate what your engagement policy covers:

Conflicts of interest

Prioritisation of engagements

Transparency

Environmental factors

Social factors

Governance factors

Engagements following on from decisions

Other, describe

None of the above

01.3. Attach or provide a URL to your engagement policy. [Optional]

URL

Attach document

01.4. Provide a brief overview of your organization’s approach to engagement

Engagement is part of our SRI strategy. Dialogue with companies is key for getting ESG-relevant information from companies and for giving ESG-relevant input to companies. We engage in several different forms, be it on our own (investment conferences, one-to-ones), on a thematic basis or collaboratively (PRI, etc.).

01.5. Additional information [optional]

LEA 02. Reasoning for interaction on ESG issues (Not Completed)

Process

Process for engagements run internally

LEA 03. Process for identifying and prioritising engagement activities

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

03.1. Indicate whether your organisation has a formal process for identifying and prioritising engagement activities carried out by internal staff.

Yes

03.2. Describe the criteria used to identify and prioritise engagement activities carried out by internal staff.

Geography/market of the companies targeted

Materiality of ESG factors

Systemic risks to global portfolios

Exposure (holdings)

In reaction to ESG impacts which has already taken place

As a response to divestment pressure

As a follow-up from a voting decision

Client request

Other, describe

03.3. Additional information. [Optional]

LEA 04. Objectives for engagement activities (Not Completed)

Process for engagements conducted via collaborations

LEA 05. Process for identifying and prioritising collaborative engagement

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

05.1. Indicate whether your organisation has a formal process for identifying and prioritising collaborative engagements

Yes

05.2. Describe the criteria used to identify and prioritise collaborative engagements

Potential to learn from other investors

Ability to add value to the collaboration

Geography / market of the companies targeted

Materiality of ESG factors

Systemic risks to global portfolios

Exposure (holdings)

In response to ESG impacts which has already taken place

In response to divestment pressure

Client requests

Other, describe

05.3. Additional information [Optional]

LEA 06. Objectives for engagement activities

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

06.1. Indicate if you define specific objectives for your engagement activities carried out collaboratively.

Yes

Yes, for all engagement activities

Yes, for the majority of engagement activities

Yes, for a minority of engagement activities

We do not define specific objectives for engagement activities carried out collaboratively.

06.2. Indicate if you monitor the actions companies take following your collaborative engagements.

Yes

Yes, in all cases

Yes, in the majority of cases

Yes, in the minority of cases

We do not monitor the actions that companies take following engagement activities carried out collaboratively

06.3. Indicate whether your organisation defines milestones and goals related to engagement activities carried out via collaborations.

Yes

06.4. Indicate if you do any of the following to monitor and evaluate the progress of your collaborative engagement activities.

Define timelines for milestones and goals

Tracking, monitoring progress against defined milestones and goals

Establish a process for when the goals are not met

Revisit and, if necessary revise the goals on a continuous basis

Other, please specify

06.5. Additional information. [Optional]

Process for engagements conducted with/on your behalf by service providers

LEA 07. Role in engagement process (Not Applicable)

LEA 08. Monitor / discuss service provider information (Not Applicable)

General processes for all three groups of engagers

LEA 09. Share insights from engagements with internal/external managers (Private)

LEA 10. Tracking number of engagements

10.1. Indicate if you track the number of engagements your organisation participates in.

Type of engagement	Tracking engagements
Individual / Internal staff engagements	Yes, we track the number of our engagements in full Yes, we partially track the number of our engagements We do not track
Collaborative engagements	Yes, we track the number of our engagements in full Yes, we partially track the number of our engagements We do not track and cannot estimate our engagements

Raiffeisen Capital Management

PRI reporting framework 2017

Engagement

Overview

LEA 01. Description of approach to engagement

01.1. Indicate whether your organisation has a formal engagement policy.

01.2. Indicate what your engagement policy covers:

01.3. Attach or provide a URL to your engagement policy. [Optional]

Attach document

01.4. Provide a brief overview of your organization’s approach to engagement

01.5. Additional information [optional]

LEA 02. Reasoning for interaction on ESG issues (Not Completed)

Process

Process for engagements run internally

LEA 03. Process for identifying and prioritising engagement activities

03.1. Indicate whether your organisation has a formal process for identifying and prioritising engagement activities carried out by internal staff.

03.2. Describe the criteria used to identify and prioritise engagement activities carried out by internal staff.

03.3. Additional information. [Optional]

LEA 04. Objectives for engagement activities (Not Completed)

Process for engagements conducted via collaborations

LEA 05. Process for identifying and prioritising collaborative engagement

05.1. Indicate whether your organisation has a formal process for identifying and prioritising collaborative engagements

05.2. Describe the criteria used to identify and prioritise collaborative engagements

05.3. Additional information [Optional]

LEA 06. Objectives for engagement activities

06.1. Indicate if you define specific objectives for your engagement activities carried out collaboratively.

06.2. Indicate if you monitor the actions companies take following your collaborative engagements.

06.3. Indicate whether your organisation defines milestones and goals related to engagement activities carried out via collaborations.

06.4. Indicate if you do any of the following to monitor and evaluate the progress of your collaborative engagement activities.

06.5. Additional information. [Optional]

Process for engagements conducted with/on your behalf by service providers

LEA 07. Role in engagement process (Not Applicable)

LEA 08. Monitor / discuss service provider information (Not Applicable)

General processes for all three groups of engagers

LEA 09. Share insights from engagements with internal/external managers (Private)

LEA 10. Tracking number of engagements

10.1. Indicate if you track the number of engagements your organisation participates in.

10.2. Additional information. [OPTIONAL]

Outputs and outcomes

LEA 11. Number of companies engaged with, intensity of engagement and effort (Private)

LEA 12. Engagement methods (Private)

LEA 13. Engagements on E, S and/or G issues (Not Applicable)

LEA 14. Companies changing practices / behaviour following engagement (Private)

LEA 15. Examples of ESG engagements (Private)

Communication

LEA 16. Disclosure of approach to ESG engagements (Not Completed)