2021 ESG Annual Report

CLIENT PORTFOLIO METRICS

2018

2019

2020

2021

Teams with access to environmental, social and governance (ESG) research

100%

100%

100%

100%

Shareholder meetings voted (#/%)

4,894/99% 4,738/100%

4,774/100%

4,645/99% 1

Total number of engagement meetings with corporate management teams Number of equity engagements held

1,324

1,173

2,213

3,162

Number of credit engagements held

1,728

901

1,453

1,463

% AUM engaged (public equity)

62%

68%

70%

78%

Percentage of UCITS and mutual funds with 3+ Globes on Morningstar Sustainability Ratings

50%

73%

68%

76%

Median stock turnover ratio for equity mutual funds

39%

37%

43%

30%

Number of adverse final judgments in legal proceedings relating to marketing communications of investment products

0

0

0

0

COMMUNITY METRICS

2018

2019

2020

2021

Corporate Charitable Giving (Inclusive of foundation-giving, employee gift-matching, disaster relief, and business-related charitable giving)

$2,553,479

$2,965,108

$2,852,968

$2,415,357

Firm-sponsored Volunteerism 2 Employee volunteer hours

5,738

5,759

323

750

Employee volunteer participation (#) (not unique)

1,861

1,833

147

300

Unique volunteer participation

64%

58%

6%

13%

Firm and regional headquarter locations participating in volunteerism

100%

100%

100%

75% 3

Number of projects

166

147

26

35

Beneficiaries Organizations reached through giving

752

614

780

575

Organizations reached through volunteerism

111

115

21

30

Number of children/youth/students impacted through giving and volunteerism

496,557

1,176,025

563,499

675,000

Number of employees sitting on charitable boards

407

246

317

317

U.S. Minority Women-owned Business Enterprise (MWBE) suppliers

5%

5%

5%

5%

1  Unvoted meetings were typically due to cases where Neuberger Berman determined voting would not be in clients’ best interests for reasons such as the presence of share-blocking requirements or meetings in which voting would entail additional costs. 2 COVID-19 restrictions limited our employees’ capacity to engage in volunteer activities during 2020 & 2021. 3 The Tokyo Office was not able to participate in volunteerism in 2021 due to Covid-19 restrictions.

2021 ESG ANNUAL REPORT

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