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Falcon Investment Advisors, LLC

PRI reporting framework 2019

Basic information [OO 01 - 09] Asset class implementation gateway indicators [OO 10 - 12] Peering questions [OO LE 01 - HF 01]

Strategy and Governance

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Outsourcing to fiduciary managers and investment consultants [SG 12] ESG issues in asset allocation [SG 13 - 15] Innovation [SG 18] Communication [SG 19]

Direct – Private Equity

Overview [PE 01 - 02] Fundraising of private equity funds [PE 03 - 04] Post-investment (monitoring) [PE 09 - 13] Outputs and outcomes [PE 14 - 15] Communication [PE 16]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

You are in Direct – Private Equity » Pre-investment (selection)

Pre-investment (selection)

PE 05. Incorporating ESG issues when selecting investments

05.1. During due-diligence indicate if your organisation typically incorporates ESG issues when selecting private equity investments.

Yes

05.2. Describe your organisation's approach to incorporating ESG issues in private equity investment selection.

In addition to normal course diligence, Falcon Investment Advisors evaluates target company ESG policies and areas of potential risk in order to better understand the overall risk and return profile of a particular investment. Specific third party ESG-related diligence may include reviews of environmental risks and employee safety, among others. Internal reviews may include reviews of corporate governance procedures, product safety and community involvement, among others.

05.3. Additional information. [Optional]

PE 06. Types of ESG information considered in investment selection

06.1. Indicate what type of ESG information your organisation typically considers during your private equity investment selection process.

Raw data from target company

Benchmarks against other companies

Sector level data/benchmarks

Country level data/benchmarks

Reporting standards, industry codes and certifications

International initiatives, declarations or standards

Engagements with stakeholders (e.g. customers and suppliers)

Advice from external resources

Other, specify

We do not track this information

06.2. Describe how this information is reported to, considered and documented by the Investment Committee or similar.

ESG issues that are evaluated pre-investment are tailored to each portfolio company, and are representative of industry or company-specific ESG issues. Each deal team summarizes the ESG issues and incorporates relevant considerations into the final presentation to the Investment Committee.

PE 07. Encouraging improvements in investees (Private)

PE 08. ESG issues impact in selection process (Not Completed)

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