Public HTML RI reports - PRI reporting framework 2020

Nuveen, a TIAA Company

PRI reporting framework 2020

Basic information [OO 01 - 09] Asset class implementation gateway 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] 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] (B) Implementation: Thematic [LEI 07] (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] ESG incorporation in passively managed fixed income [FI 13] Fixed income - Engagement [FI 14 - 16] Outputs and outcomes [FI 17 - 18]

Direct - Property

Overview [PR 01] Fundraising of property funds [PR 02 - 03] Pre-investment (selection) [PR 04 - 06] Post-investment (monitoring and active ownership) [PR 08 - 14] Overview [PR 08] Property monitoring and management [PR 09 - 10] Property developments and major renovations [PR 11] Occupier engagement [PR 12 - 13] Community engagement [PR 14] Outputs and outcomes [PR 15 - 16]

Direct - Inclusive Finance

Context [IFD 01 - 06] PIIF Principle 1: Range of services [IFD 07 - 10] PIIF Principle 2: Client protection [IFD 11 - 13] PIIF Principle 3: Fair treatment [IFD 14 - 17] PIIF Principle 4: Responsible investment [IFD 18 - 24] PIIF Principle 5: Transparency [IFD 25 - 27] PIIF Principle 6: Balanced returns [IFD 28 - 31] PIIF Principle 7: Standards [IFD 32 - 34]

Indirect - Inclusive Finance

Context [IFI 01] Selection [IFI 02] Contractual agreements and mandate design [IFI 03] Investment manager monitoring and reporting [IFI 04 - 05] Disclosure [IFI 06 - 07]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

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Peering questions

OO LE 01. Breakdown of listed equity investments by passive and active strategies

LE 01.1. Provide a breakdown of your internally managed listed equities by passive, active - quantitative (quant), active - fundamental and active - other strategies.

Percentage of internally managed listed equities

26.82 Passive

20.11 Active - quantitative (quant)

53.08 Active - fundamental and active - other

Total 100.01%

LE 01.2. Additional information. [Optional]

OO LE 02. Reporting on strategies that are <10% of actively managed listed equities (Not Applicable)

OO FI 01. Breakdown of fixed income investments by passive and active strategies

FI 01.1. Provide a breakdown of your internally managed fixed income securities by active and passive strategies

SSA	4 Passive 0 Active - quantitative (quant) 96 Active - fundamental and active - other Total 100%
Corporate (financial)	3.5 Passive 0 Active - quantitative (quant) 96.5 Active - fundamental and active - other Total 100%
Corporate (non-financial)	1.62 Passive 0 Active - quantitative (quant) 98.38 Active - fundamental and active - other Total 100%
Securitised	6 Passive 0 Active - quantitative (quant) 94 Active - fundamental and active - other Total 100%

FI 01.2. Additional information. [Optional]

OO FI 02. Reporting on strategies that are <10% of actively managed fixed income (Not Applicable)

OO FI 03. Fixed income breakdown by market and credit quality

Update: this indicator has changed from "Mandatory to report, voluntary to disclose" to "Mandatory". Your response to this indicator will be published in the Public Transparency Report. This change is to enable improved analysis and peering.

FI 03.1. Indicate the approximate (+/- 5%) breakdown of your SSA investments, by developed markets and emerging markets.

SSA	92.05 Developed markets 8 Emerging markets Total 100.05%

Indicate the approximate (+/- 5%) breakdown of your corporate and securitised investments by investment grade or high-yield securities.

Type	Investment grade (+/- 5%)	High-yield (+/- 5%)	Total internally managed
Corporate (financial)	>50% 10-50% <10% 0%	>50% 10-50% <10% 0%	100%
Corporate (non-financial)	>50% 10-50% <10% 0%	>50% 10-50% <10% 0%	100%
Securitised	>50% 10-50% <10% 0%	>50% 10-50% <10% 0%	100%

FI 03.3. Additional information. [Optional]

If you are invested in private debt and reporting on ratings is not relevant for you, please indicate below

OO FI 03.2 is not applicable as our internally managed fixed income assets are invested only in private debt.

OO SAM 01. Breakdown of externally managed investments by passive and active strategies

SAM 01.1. Provide a breakdown of your externally managed listed equities and fixed income by passive, active quant and, active fundamental and other active strategies.

Listed equity (LE)

0 Passive

0 Active - quantitative (quant)

100 Active - fundamental and active - other

100%

SAM 01.2. Additional information [Optional].

OO PE 01. Breakdown of private equity investments by strategy

PE 01.1. Provide a breakdown of your organisation’s internally managed private equity investments by investment strategy.

Investment strategy	Percentage of your internally managed private equity holdings (in terms of AUM)
Venture capital	>50% 10-50% <10% 0%
Growth capital	>50% 10-50% <10% 0%
(Leveraged) buy-out	>50% 10-50% <10% 0%
Distressed/Turnaround/Special Situations	>50% 10-50% <10% 0%
Secondaries	>50% 10-50% <10% 0%
Other investment strategy, specify (1)	>50% 10-50% <10% 0%
Other investment strategy, specify (2)	>50% 10-50% <10% 0%
Total 100%

Other investment strategy, specify (1)

          Other: Mezzanine

PE 01.2. Additional information. [Optional]

OO PE 02. Typical level of ownership in private equity investments

PE 02.1. Indicate the level of ownership you typically hold in your private equity investments.

a majority stake (>50%)

50% stake

a significant minority stake (between 10-50%)

a minority stake (<10%)

a mix of ownership stakes

PE 02.2. Additional information. [Optional]

OO PR 01. Breakdown of property investments

PR 01.1. Indicate the level of ownership you typically hold in your property investments.

a majority stake (50% and above)

a significant minority stake (10 and above, and under 50%)

a limited minority stake (<10%)

a mix of ownership stakes

N/A, we manage properties, new constructions and/or refurbishments on behalf of our clients, but do not hold equity in property on their behalf

PR 01.2. Provide a breakdown of your organisations allocation to Real Estate Investment Trusts (REITs) or similar

>50%

10 – 50%

<10%

PR 01.3. Additional information. [Optional]

OO PR 02. Breakdown of property assets by management

PR 02.1. Provide a breakdown of your organisation’s property assets based on who manages the assets.

Property assets managed by	Breakdown of your property assets (by number)
Managed directly by your organisation	>50% 10-50% <10% 0%
Managed via third-party property managers appointed by you	>50% 10-50% <10% 0%
Managed by other investors or their property managers	>50% 10-50% <10% 0%
Managed by tenant(s) with operational control	> 50% 10-50% < 10% 0%
Total 100%

PR 02.2. Additional information. [Optional]

OO PR 03. Largest property types

PR 03.1. Indicate up to three of your largest property types by AUM.

Types	Main property types (by AUM)
Largest property type	Industrial Retail Office Residential Leisure/Hotel Mixed use Other, specify
Second largest property type	Industrial Retail Office Residential Leisure/Hotel Mixed use Other, specify
Third largest property type	Industrial Retail Office Residential Leisure/Hotel Mixed use Other, specify Multi family

PR 03.2. Additional information.

OO INF 01. Breakdown of infrastructure investments

INF 01.1. Indicate the level of ownership you typically hold in your infrastructure investments.

a majority stake (>50%)

a 50% stake

a significant minority stake (between 10-50%)

a minority stake (<10%)

a mix of ownership stakes

INF 01.2. Additional information. [Optional]

OO INF 02. Breakdown of infrastructure assets by management

INF 02.1. Provide a breakdown of your organisation’s infrastructure assets based on who manages the assets.

Infrastructure assets managed by	Breakdown of your infrastructure assets (by number)
Managed directly by your organisation/companies owned by you	>50% 10-50% <10% 0%
Managed via third-party operators appointed by your organisation/companies owned by you	>50% 10-50% <10% 0%
Managed by other investors/their third-party operators	>50% 10-50% <10% 0%
Total100%

INF 02.2. Additional information. [Optional]

OO INF 03. Largest infrastructure sectors

INF 03.1. Indicate up to three of your largest infrastructure sectors by AUM.

Sector	Main infrastructure sectors (by AUM)
Largest infrastructure sector	Transportation Energy infrastructure Conventional energy Renewable energy Water management Waste management Communication Social infrastructure Other, specify
Second largest infrastructure sector	Transportation Energy infrastructure Conventional energy Renewable energy Water management Waste management Communication Social infrastructure Other, specify
Third largest infrastructure sector	Transportation Energy infrastructure Conventional energy Renewable energy Water management Waste management Communication Social infrastructure Other, specify

INF 03.2. Additional information.

OO HF 01. Breakdown of hedge funds investments by strategies

HF 01.1. Please describe your hedge fund strategies and classification

Options presented for hedge funds

Main strategy	Strategy as % of hedge fund AUM	Sub-strategy
Equity Hedge	>50% 10-50% <10% 0%	Equity Market Neutral Fundamental Growth Fundamental Value Quantitative Directional Sector: Energy/Basic Materials Sector: Healthcare Sector: Technology Short Bias Multi-Strategy
Event Driven	>50% 10-50% <10% 0%
Global Macro	>50% 10-50% <10% 0%
Relative Value	>50% 10-50% <10% 0%	Fixed Income - Asset Backed Fixed Income - Convertible Arbitrage Fixed Income - Corporate Fixed Income - Sovereign Volatility Yield Alternatives: Energy Infrastructure Yield Alternatives: Real Estate Multi-Strategy
Risk Parity	>50% 10-50% <10% 0%
Blockchain	>50% 10-50% <10% 0%
Total 100% (of internal Hedge Fund AUM)

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