Public HTML RI reports - PRI reporting framework 2020

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]

Nuveen, LLC. is a global asset manager focused on achieving the best-possible long-term risk-adjusted returns for its clients. Its investments in active, quantitative and index strategies span global fixed income, equity, real assets, alternatives, and responsible investment. Nuveen is the parent organization of thirteen investment specialists spanning multiple asset classes. As of December 31, 2019, Nuveen’s Investment specialists include: AGR Partners, Churchill Asset Management, GreenWood Resources, Gresham Investment Management, Nuveen Asset Management, , Nuveen Real Estate, NWQ, Santa Barbara Asset Management, Symphony Asset Management, TIAA Investments*, Westchester Group Investment Management, and Winslow Capital. Nuveen’s unified PRI report encompasses all applicable investment specialists. As of December 31, 2019, Nuveen managed over $1,060,769 trillion on behalf of its clients.

Our Parent Organization

Teachers Insurance and Annuity Association of America® (TIAA), the parent company of Nuveen, was founded in 1918 by the Carnegie Foundation to help meet the financial needs of individuals and institutions in the academic, research, medical and cultural fields. TIAA does this with a full array of financial products and services to help its participants and shareholders achieve lifetime financial security. Its clients expect TIAA to be stewards of their savings and to help provide for their financial security.

Today, TIAA is a Fortune 100 financial services organization and a leading private provider of retirement benefits nationwide, serving five million individuals and more than 16,000 institutions. We have combined assets under management of $1,060,769 trillion (as of December 31, 2019), with a rich 100 year history of dedication to our customers.

*TIAA Investments includes Teachers Advisors LLC and TIAA-CREF Investment Management

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).

2194 FTE

02.4. Additional information. [Optional]

This number reflects full-time employees across the entire Nuveen organzation and its investment specialists as of December 31st, 2019

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]

Nuveen, the asset management arm of TIAA, is a signatory to the United Nation’s Principles for Responsible Investment (UNPRI). All Nuveen investment specialists fall under Nuveen’s UNPRI signatory status. Nuveen’s unified PRI report encompasses all applicable investment specialists.

OO 04. Reporting year and AUM

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

31/12/2019

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 assets which are subject to an execution and/or advisory approach. Provide this figure based on the end of your reporting year

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

04.5. Additional information. [Optional]

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

	Internally managed (%)	Externally managed (%)
Listed equity	10-50% 35.95	<10% 0.03
Fixed income	>50% 50.75	0 0
Private equity	<10% 0.42	<10% 0.73
Property	<10% 8.46	0 0
Infrastructure	<10% 0.57	0 0
Commodities	<10% 0.55	0 0
Hedge funds	<10% 0.12	0 0
Fund of hedge funds	0 0	0 0
Forestry	<10% 0.22	0 0
Farmland	<10% 0.8	0 0
Inclusive finance	<10% 0.02	<10% 0.02
Cash	<10% 1.12	0 0
Money market instruments	0 0	0 0
Other (1), specify	<10% 0.25	<10% 0.02
Other (2), specify	0 0	0 0

`Other (1)` specified

          Other non-Lifecycle/Lifestyle Multi-asset strategies

as broad ranges

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]

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

40 SSA

05 Corporate (financial)

40 Corporate (non-financial)

15 Securitised

Total 100%

OO 08. Segregated mandates or pooled funds

New selection options have been added to this indicator. Please review your prefilled responses carefully.

Provide a breakdown of your organisation’s externally managed assets between segregated mandates and pooled funds or investments.

Asset class breakdown	Segregated mandate(s)	Pooled fund(s) or pooled investment(s)	Total of the asset class (each row adds up to 100%)
[a] Listed equity	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[f] Private equity	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[m] Inclusive finance	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[p] Other (1), specify	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%

08.2. Additional information. [Optional]

OO 09. Breakdown of AUM by market

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

95.29 Developed Markets

4.21 Emerging Markets

0.01 Frontier Markets

0.49 Other Markets

Total 100% 100%

09.2. Additional information. [Optional]

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