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

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

You are in Strategy and Governance » Communication

Communication

SG 19. Communication

19.1. Indicate whether your organisation typically discloses asset class specific information proactively. Select the frequency of the disclosure to clients/beneficiaries and the public, and provide a URL to the public information.

Listed equity - Incorporation

Do you disclose?

We do not proactively disclose it to the public and/or clients/beneficiaries

We disclose to clients/beneficiaries only.

We disclose it publicly

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL
Disclosure to public and URL Broad approach to ESG incorporation Detailed explanation of ESG incorporation strategy used
Frequency
URL https://documents.nuveen.com/Documents/Nuveen/Default.aspx?uniqueId=ee1bea30-32b5-4ea4-82d4-8cd91d6ae7d4 URL https://documents.nuveen.com/Documents/Nuveen/Default.aspx?uniqueId=537CAFD8-4006-4C72-BFFC-CDCFF3E32A97

Listed equity - Engagement

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL	Disclosure to clients/beneficiaries
Disclosure to public and URL Details on the overall engagement strategy Details on the selection of engagement cases and definition of objectives of the selections, priorities and specific goals Number of engagements undertaken Breakdown of engagements by type/topic Breakdown of engagements by region An assessment of the current status of the progress achieved and outcomes against defined objectives Examples of engagement cases Details on eventual escalation strategy taken after the initial dialogue has been unsuccessful (i.e. filing resolutions, issuing a statement, voting against management, divestment etc.) Details on whether the provided information has been externally assured Outcomes that have been achieved from the engagement Other information	Disclosure to clients/beneficiaries Details on the overall engagement strategy Details on the selection of engagement cases and definition of objectives of the selections, priorities and specific goals Number of engagements undertaken Breakdown of engagements by type/topic Breakdown of engagements by region An assessment of the current status of the progress achieved and outcomes against defined objectives Examples of engagement cases Details on eventual escalation strategy taken after the initial dialogue has been unsuccessful (i.e. filing resolutions, issuing a statement, voting against management, divestment etc.) Details on whether the provided information has been externally assured Outcomes that have been achieved from the engagement Other information
Frequency	Frequency
URL https://documents.nuveen.com/Documents/Nuveen/Default.aspx?uniqueId=7A5CF108-3340-4F0A-984B-1DE6024B174A URL https://documents.nuveen.com/Documents/Nuveen/Default.aspx?uniqueId=ee1bea30-32b5-4ea4-82d4-8cd91d6ae7d4

Listed equity – (Proxy) Voting

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL
Disclosure to public and URL Disclose all voting decisions Disclose some voting decisions Only disclose abstentions and votes against management
Frequency
URL https://viewpoint.glasslewis.net/webdisclosure/search.aspx?glpcustuserid=TIA129 URL https://www.tiaa.org/public/about-tiaa/corporate-social-responsibility/stewardship-corporate-governance

Fixed income

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL
Disclosure to public and URL Broad approach to RI incorporation Detailed explanation of RI incorporation strategy used
Frequency
URL https://www.nuveen.com/Home/Documents/Default.aspx?fileId=73430 URL https://documents.nuveen.com/Documents/Nuveen/Default.aspx?uniqueId=7c66984f-7235-425a-baaa-ff9e07da589f

Property

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL	Disclosure to clients/beneficiaries
Disclosure to public and URL ESG information on how you select property investments ESG information on how you monitor and manage property investments Information on your property investments’ ESG performance Other	Disclosure to clients/beneficiaries ESG information on how you select property investments ESG information on how you monitor and manage property investments Information on your property investments’ ESG performance Other Specify Detailed information on asset management initiatives
Frequency	Frequency
URL https://www.nuveen.com/global/strategies/real-estate/responsible-property-investment URL https://documents.nuveen.com/Documents/Nuveen/Default.aspx?fileId=75461

Hedge Funds

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

	Disclosure to clients/beneficiaries
	Disclosure to clients/beneficiaries Broad approach to RI incorporation for all strategies Detailed explanation of RI incorporation for each strategy used
	Frequency

19.2. Additional information [Optional]

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Nuveen, a TIAA Company

PRI reporting framework 2020

Communication

SG 19. Communication

19.1. Indicate whether your organisation typically discloses asset class specific information proactively. Select the frequency of the disclosure to clients/beneficiaries and the public, and provide a URL to the public information.

Listed equity - Incorporation

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Frequency

Listed equity - Engagement

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Disclosure to clients/beneficiaries

Frequency

Frequency

Listed equity – (Proxy) Voting

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Frequency

Fixed income

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Frequency

Property

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Disclosure to clients/beneficiaries

Specify

Frequency

Frequency

Hedge Funds

Do you disclose?

Disclosure to clients/beneficiaries

Frequency

19.2. Additional information [Optional]