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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] Pre-investment (selection) [PE 05 - 08] 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 » Post-investment (monitoring)

Post-investment (monitoring)

PE 09. Proportion of companies monitored on their ESG performance

09.1. Indicate whether your organisation incorporates ESG issues in investment monitoring of portfolio companies.

Yes

09.2. Indicate the proportion of portfolio companies where your organisation included ESG performance in investment monitoring during the reporting year.

>90% of portfolio companies

51-90% of portfolio companies

10-50% of portfolio companies

<10% of portfolio companies

(in terms of total number of portfolio companies)

09.3. Indicate ESG issues for which your organisation typically sets and monitors targets (KPIs or similar) and provide examples per issue.

ESG issues

Environmental

List up to three example targets of environmental issues

Example 1

          Carbon footprint

Example 2 (optional)

Example 3 (optional)

Social

List up to three example targets of social issues

Example 1

          Diversity

Example 2 (optional)

Example 3 (optional)

Governance

List up to three example targets of governance issues

Example 1

          Regulatory compliance

Example 2 (optional)

Example 3 (optional)

We do not set and/or monitor against targets

09.4. Additional information. [Optional]

Prior to making an investment, Falcon Investment Advisors evaluates target company ESG policies and areas of potential risk. The deal team evaluating the investment identifies one particular KPI that is monitored on an annual basis.

PE 10. Proportion of portfolio companies with sustainability policy

10.1. Indicate if your organisation tracks the proportion of your portfolio companies that have an ESG/sustainability-related policy (or similar guidelines).

Yes

10.3. Additional information. [Optional]

PE 11. Actions taken by portfolio companies to incorporate ESG issues into operations (Not Completed)

PE 12. Type and frequency of reports received from portfolio companies (Not Completed)

PE 13. Disclosure of ESG issues in pre-exit (Not Completed)

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