Public HTML RI reports - PRI reporting framework 2019

Columbia Management Investment Advisers, LLC

PRI reporting framework 2019

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

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] Asset class implementation not reported in other modules [SG 16 - 17] Innovation [SG 18] Communication [SG 19]

Direct - Listed Equity Incorporation

ESG incorporation in actively managed listed equities [LEI 01 - 10] Implementation processes [LEI 01 - 10] (A) Implementation: Screening [LEI 04 - 06] (C) Implementation: Integration of ESG factors [LEI 08 - 10] ESG incorporation in passively managed listed equities [LEI 11] Outputs and outcomes [LEI 12 - 13]

Direct - Listed Equity Active Ownership

Overview [LEA 01] Engagement [LEA 02 - 08] Outputs and outcomes [LEA 09 - 11] (Proxy) voting and shareholder resolutions [LEA 12 - 21]

Direct - Fixed Income

ESG incorporation in actively managed fixed income [FI 01 - 12] Implementation processes [FI 01 - 03] (A) Implementation: Screening [FI 04 - 06] (B) Implementation: Thematic [FI 07 - 09] (C) Implementation: Integration [FI 10 - 12] Fixed income - Engagement [FI 14 - 16] Outputs and outcomes [FI 17 - 18]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

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Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Select the services and funds you offer	% of asset under management (AUM) in ranges
Fund management	0% <10% 10-50% >50%
Fund of funds, manager of managers, sub-advised products	0% <10% 10-50% >50%
Other	0% <10% 10-50% >50%
Total 100%

Further options (may be selected in addition to the above)

Hedge funds

Fund of hedge funds

01.2. Additional information. [Optional]

Unless stated otherwise, this document will apply to Columbia Threadneedle Investments in the US region only, known as Columbia Management Investment Advisers, LLC, or CMIA. Data provided reflects our holdings as of December 31, 2018.

All AUM breakdowns, organizational information and other quantitative information relating to our responsible investment activities throughout this document are subject to uncertainty. This is due to: definitional discrepancies, differences in our internal data and management systems and UN PRI categorizations, and the range of dates covered in the reporting period versus those best captured in our records.

This applies to, for instance: asset class mixes and distinctions within asset classes, emerging and developed market classifications, distinctions between external and internal management and types of ESG integration approaches.

Efforts have been made to capture the best available data, which has been tailored and approximated to meet PRI guidelines using our best efforts.

OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

United States

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).

1154 FTE

02.4. Additional information. [Optional]

The FTE figure above is as of December 31, 2018.

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

03.3. Additional information. [Optional]

While none of our subsidiaries have signed on to the PRI, our affiliate, Threadneedle Asset Management Limited, is a PRI signatory. We operate together under the name, "Columbia Threadneedle Investments” and file separate annual Transparency Reports.

Our investment management subsidiaries are Columbia Wanger Asset Management LLC, and Lionstone Partners, Ltd.

OO 04. Reporting year and AUM

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

31/12/2018

04.2. Indicate your total AUM at the end of your reporting year.

Include the AUM of subsidiaries, but exclude advisory/execution only assets, and exclude the assets of your PRI signatory subsidiaries that you have chosen not to report on in OO 03.2

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

Not applicable as we are in the fund-raising process

04.4. Indicate the total assets at the end of your reporting year subject to an execution and/or advisory approach.

Not applicable as we do not have any assets under execution and/or advisory approach

04.5. Additional information. [Optional]

AUM refers to Columbia Management Investment Advisers, LLC, assets (i.e Columbia Threadneedle Investments in the US region only), and does not include our subsidiaries Columbia Wanger Asset Management, LLC, and Lionstone Partners, Ltd.

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

06.1. Select how you would like to disclose your asset class mix.

as percentage breakdown

as broad ranges

	Internally managed (%)	Externally managed (%)
Listed equity	10-50% 38.28	10-50% 11.13
Fixed income	10-50% 35.84	<10% 4.75
Private equity	0 0	0 0
Property	0 0	0 0
Infrastructure	<10% 0.07	0 0
Commodities	<10% 0.05	<10% 0.19
Hedge funds	<10% 0.19	0 0
Fund of 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
Money market instruments	<10% 1.82	<10% 0.05
Other (1), specify	<10% 0.54	<10% 0.33
Other (2), specify	<10% 6.52	<10% 0.24

'Other (1)' specified

          Alternatives other than Commodities and Hedge funds listed above.

'Other (2)' specified

          Multi Assets other than Commodities and Hedge funds listed above.

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

06.3. Indicate whether your organisation has any off-balance sheet assets [Optional].

Yes

06.5. Indicate whether your organisation uses fiduciary managers.

Yes, we use a fiduciary manager and our response to OO 5.1 is reflective of their management of our assets.

No, we do not use fiduciary managers.

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

Alternatives denotes asset classes that are not included in "Equity" or "Fixed Income", i.e. Commodities, Property, and Alternative Funds etc.

Multi-assets includes accounts that invest across multiple broad level asset types, such as Equity, Fixed Income and Cash and Cash Equivalents. This includes Fund of Fund products and accounts that directly invest in those broad level asset types, such as balanced funds and asset allocation funds.

OO 07. Fixed income AUM breakdown

07.1. Provide to the nearest 5% the percentage breakdown of your Fixed Income AUM at the end of your reporting year, using the following categories.

Internally managed	20 SSA 5 Corporate (financial) 40 Corporate (non-financial) 35 Securitised Total 100%
Externally managed	40 SSA 0 Corporate (financial) 30 Corporate (non-financial) 30 Securitised Total 100%

OO 08. Segregated mandates or pooled funds (Private)

OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

90 Developed Markets

5 Emerging Markets

0 Frontier Markets

5 Other Markets

Total 100% 100%

09.2. Additional information. [Optional]

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