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Principal Global Investors

PRI reporting framework 2018

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Asset class implementation gateway indicators

OO 10. Active ownership practices for listed assets

10.1. Select the active ownership activities your organisation implemented in the reporting year.

Listed equity – engagement

Listed equity – voting

Fixed income SSA – engagement

Fixed income Corporate (financial) – engagement

Fixed income Corporate (non-financial) – engagement

Fixed income Corporate (securitised) – engagement


OO 11. ESG incorporation practices for all assets

11.1. Select the internally managed asset classes in which you addressed ESG incorporation into your investment decisions and/or your active ownership practices (during the reporting year).

Listed equity

Fixed income - SSA

Fixed income - corporate (financial)

Fixed income - corporate (non-financial)

Fixed income - securitised

Property

Hedge funds

Other (1)

'Other (1)' [as defined in OO 05]

          Currency
        
Select the externally managed assets classes in which you and/or your investment consultants address ESG incorporation in your external manager selection, appointment and/or monitoring processes.
Asset class
ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes
Listed equity

Listed equity - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - SSA

Fixed income - SSA - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - corporate (financial)

Fixed income - corporate (financial) - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - corporate (non-financial)

Fixed income - corporate (non-financial) - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - securitised

Fixed income - securitised - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

11.3b. If your organisation does not integrate ESG factors into investment decisions on your externally managed assets, explain why not.

On 24 February, 2015, The Principal Financial Group® announced structural changes to bring together Principal Funds and Principal Trust, formerly under the Retirement & Investor Services segment - within Principal Global Investors. While the structural changes began to be implemented immediately, full operational integration is still ongoing and a Responsible Investment policy and process will not be fully implemented until 2018.

Please follow the link below for more information on announced organizational changes for the Principal Financial Group:

 http://investors.principal.com/investor-relations/news-releases/press-release-details/2015/The-Principal-Financial-Group-Announces-Changes-to-Strengthen-Global-Asset-Management-Capabilities-and-Retirement-Leadership/default.aspx

11.4. Provide a brief description of how your organisation includes responsible investment considerations in your investment manager selection, appointment and monitoring processes.

On 24 February, 2015, The Principal Financial Group® announced structural changes to bring together Principal Funds and Principal Trust, formerly under the Retirement & Investor Services segment - within Principal Global Investors. While the structural changes began to be implemented immediately, full operational integration is still ongoing and a Responsible Investment policy and process will not be fully implemented until 2018.

Please follow the link below for more information on announced organizational changes for the Principal Financial Group:

 http://investors.principal.com/investor-relations/news-releases/press-release-details/2015/The-Principal-Financial-Group-Announces-Changes-to-Strengthen-Global-Asset-Management-Capabilities-and-Retirement-Leadership/default.aspx


OO 12. Modules and sections required to complete

12.1. Below are all applicable modules or sections you may report on. Those which are mandatory to report (asset classes representing 10% or more of your AUM) are already ticked and read-only. Those which are voluntary to report on can be opted into by ticking the box.

Core modules

RI implementation directly or via service providers

Direct - Listed Equity incorporation

Direct - Listed Equity active ownership

Direct - Fixed Income

Direct - Other asset classes with dedicated modules

RI implementation via external managers

Closing module

12.2. Additional information. [Optional]

On 24 February, 2015, The Principal Financial Group® announced structural changes to bring together Principal Funds and Principal Trust, formerly under the Retirement & Investor Services segment – within Principal Global Investors.  While the structural changes began to be implemented immediately, full operational integration is still ongoing and a Responsible Investment policy and process will not be fully implemented until 2018.

Please follow the link below for more information on announced organizational changes for the Principal Financial Group:

http://investors.principal.com/investor-relations/news-releases/press-release-details/2015/The-Principal-Financial-Group-Announces-Changes-to-Strengthen-Global-Asset-Management-Capabilities-and-Retirement-Leadership/default.aspx


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