ROCKEFELLER & CO. Over the past several years, ¢ Compensation and incentive standards and encouraged the Sustainability & Impact programs tied to long-term them to embrace ESG in their team at Rockefeller & Co. has performance operations and investments. We implemented active stewardship + Implementing new employee continue to monitor their progress with the financial services sector. engagement and trainings through regular meetings and On behalf of our clients, we have : . communications. engaged with boards of directors * Sustainable finance and and senior management, focusing climate related investments Despite making significant on the following issues: e Financial inclusion progress in the areas of governing and access to underserved business risk and regulatory ¢ Implementing strategy on populations compliance, many financial long-term financial stability companies continue to be involved ¢ Improving transparency over As engaged investors, we believe = irresponsible business praciress. business standards, values we have made significant progress Such behavior can potentially sid -euleure in many of these areas. We hurt long-term shareholder value » Establishing sound risk worked together with some of and damage their corporate d the largest banks in the United repobation, This is where wee Rata gemienil Ssranis ae States in seeking to improve believe our active stewardship and peo theis diselasures evar husiieee constructive shareholder voice can have the most positive impact. ROCKEFELLER & CO. HISTORY OF CO-FILING SHAREHOLDER RESOLUTIONS IN THE FINANCIAL SERVICES SECTOR AFTER 2008: 2017 Wells Fargo, Report on Business Standards 2013 Wells Fargo, Payday Lending 2017 | J.P. Morgan Chase, Proxy Voting 2012 Morgan Stanley, Transparency in the 2015 Bank of America, Separation of Chair & Repurchase Markets CEO 2012 Bank of America, Internal Controls Related 2014 J.P. Morgan Chase, Report on Business to Mortgage Loan Standards 2011 State Street, Separate Chair & CE