Data Disclosures Overview Environmental Stewardship Social Responsibility Corporate Governance Responsible Investing Data Disclosures Performance Tables Our Employees Data as of December 31, 2018. Full Time/Part Time Female % Female Male % Male Grand Total % of Total Full Time 1,302 38 2,138 62 3,440 100 Part Time 7 88 1 12 8 0 Grand Total 1,309 38 2,139 62 3,448 100 Region Female % Female Male % Male Grand Total % of Total Americas 958 36 1,675 64 2,633 76 Asia ex Japan 171 51 165 49 336 10 EMEA 138 36 250 64 388 11 Japan 42 46 49 54 91 3 Grand Total 1,309 38 2,139 62 3,448 100 Exempt vs. Nonexempt Female % Female Male % Male Grand Total % of Total Exempt 1,101 35 2,054 65 3,155 92 Nonexempt 208 71 85 29 293 8 Grand Total 1,309 38 2,139 62 3,448 100 GHG Emissions 2012-2013 2017-2018 % Change from 2012-13 to 2017-18 Elec. Cons. (kWh) 23,323,166 15,690,010 -33% Occupancy 3,795 3,642 -4% Total SF 1,353,421 1,215,793 -10% Scope 1 C02e Fuel CO2e: Carbon dioxide equivalent 395.29 376.45 -5% Scope 2 C02e Electricity 8,751.64 5,445.95 -38% Scope 3 C02e Transportation 5,257.29 6,492.81 24% All Scopes tC02e / SF 0.01064 0.01013 -5% tC02e / capita 3.796 3.381 -11% C02e Total 14,404 12,315 -15% Electricity Usage (MWh) 2014 2015 2016 2017 2018 Total Energy usage figures are from the following major office locations: 1345 Avenue of the Americas, New York, NY; White Plains, NY; 50 Berkeley Street, London, England. 12,618 12,254 11,879 11,096 9,648 AB Philanthropy AB’s matching program donations from 2017-2018 total over $19 million. 2017 2018 Type # of Gifts # of Charities $ Amount – Employee Employee gifts represent the amount submitted by employees for matching gifts. $ Amount - AB # of Gifts # of Charities $ Amount - Employee $ Amount - AB AB Corporate Gifts - US 322 275 $22,610 $654,385 332 269 $117,887 $751,161 Matching Gifts – US Matching gifts represent the amount that AB matched for employees’ donations. AB matches employee donations dollar for dollar, up to $5,000. For SVPs, we match up to $10,000. 3,203 1,441 $3,595,697 $3,103,694 2,982 1,427 $3,825,549 $3,103,258 Matching Gifts - Non-US Matching gifts represent the amount that AB matched for employees’ donations. AB matches employee donations dollar for dollar, up to $5,000. For SVPs, we match up to $10,000. $167,893 $167,893 $225,655 $225,655 Partners Funds 230 176 $1,716,650 168 132 $1,413,750 Total Total represents other donations from AB in addition to employee-donation matching. 3,755 1,892 $3,763,590 $5,665,232 3,482 1,828 $4,051,204 $5,611,711 GRI Content Index The Global Reporting Initiative (GRI) Sustainability Reporting Standards, published in 2016, provide a framework for organizations to measure and disclose their environmental, economic, social and governance performance. GRI 102: General Disclosures 2016 AB has applied the 2016 version of the GRI Standards; “2016” refers to the Standards issue date, not the date of the information presented on the AB site. Organizational Profile Description Cross-Reference or Answer 102-1 Name of the organization AllianceBernstein Holding L.P. 102-2 Activities, brands, products, and services We provide research, diversified investment management and related services globally to a broad range of clients through our three buy-side distribution channels: Institutionals, Retail and Private Wealth Management, and our sell-side business, Bernstein Research Services. 102-3 Location of headquarters Nashville, Tennessee Global Presence 102-4 Location of operations Our most significant business is generated in the US, the UK, Hong Kong, Taiwan and Japan. Global Presence 102-5 Ownership and legal form AB Form 10-K, page 14 102-6 Markets served AB Form 10-K, pages 1-11 Global Presence 102-7 Scale of the organization AB Form 10-K, page 12 102-8 Information on employees and other workers Not available at this time 102-10 Significant changes to the organization and its supply chain AB Form 10-K, pages 31-32, 123 102-11 Precautionary Principle or approach Statement of Policy Regarding Responsible Investment 102-12 External initiatives Principles for Responsible Investment signatory, Catalytic Finance Initiative, Climate Bonds Initiative member, CEO Action for Diversity & Inclusion member, Climate Action 100+ member, FSB Task Force on Climate-Related Financial Disclosures, Global Stewardship Statement, UK Stewardship Statement, PLSA Stewardship Disclosure Framework, Japan Stewardship Code, Japan PRI Signatory, the Dutch Association of Investors for Sustainable Development (VBDO) 102-13 Membership of associations Ceres, CDP, Council of Institutional Investors, European Pension Fund, Nashville Chamber of Commerce, LGBT Chamber of Commerce, Nashville Partnership 2020, Nashville Downtown Partnership Investment Forum, International Corporate Governance Network, Investment Company Institute, SIFMA Strategy Description Cross-Reference or Answer 102-14 Statement from senior decision-maker CEO Letter Ethics and Integrity Description Cross-Reference or Answer 102-16 Values, principles, standards, and norms of behavior Committed to Strong Corporate Governance 102-17 Mechanisms for advice and concerns about ethics Committed to Strong Corporate Governance Ombudsman Office Governance Description Cross-Reference or Answer 102-18 Governance structure Committed to Strong Corporate Governance 102-19 Delegating authority 2018 PRI Report: Governance and human resources Stakeholder Engagement Description Cross-Reference or Answer 102-40 List of stakeholder groups AB regularly engages and communicates with internal and external stakeholders on topics that are important to our clients, employees, suppliers, investors, the media and other relevant stakeholders. 102-41 Collective bargaining agreements Not applicable Reporting Practice Description Cross-Reference or Answer 102-45 Entities included in the consolidated financial statements AB Form 10-K, page 1 102-50 Reporting period 2017 and 2018 fiscal years 102-51 Date of most recent report 2015 and 2016 fiscal years 102-53 Contact point for questions regarding the report We welcome questions or comments related to this report and AB’s approach to corporate responsibility. Please contact cr@AllianceBernstein.com with any feedback. 102-54 Claims of reporting in accordance with the GRI Standards This report references Disclosures from GRI 102: General Disclosures 2016 and GRI 200-400: Topic-Specific Disclosures 2016. 102-55 GRI content index Data Disclosures GRI 200-400: Topic-Specific Disclosures 2016 AB has applied the 2016 version of the GRI Standards; "2016" refers to the Standards issue date, not the date of the information presented on the AB site. Economic GRI Topics Description Cross-Reference or Answer GRI 205: Anti-corruption 2016 205-1 Operations assessed for risks related to corruption AB Anti-Corruption Policy 205-2 Communication and training about anti-corruption policies and procedures 100% of employees and 100% of on-site business partners (consultants) have received communications on anti-corruption via the corporate intranet. 100% of employees and 100% of on-site business partners (consultants) are required to take refresher training. An Anti-Corruption course is part of the new employee curriculum; as of this writing, 2018 saw an approximate 81% and 96% completion rate for combined employee and consultant enrollments and for employee-only enrollments, respectively. 205-3 Confirmed incidents of corruption and actions taken No significant incidents of corruption were reported during the reporting period. GRI 206: Anticompetitive Behavior 2016 206-1 Legal actions for anticompetitive behavior, antitrust and monopoly practices No instances of material noncompliance with regulations concerning anticompetitive behavior, antitrust or monopoly practices occurred during the reporting period. Environmental GRI Topics Description Cross-Reference or Answer GRI 302: Energy 2016 302-1 Energy consumption within the organization Data Disclosures GRI 305: Emissions 2016 305-1 Scope 1 GHG emissions Data Disclosures 305-2 Scope 2 GHG emissions Data Disclosures 305-3 Scope 3 GHG emissions Data Disclosures Social GRI Topics Description Cross-Reference or Answer GRI 401: Employment 2016 401-2 Full-time benefits not provided to temporary/part-time employees AB offers 401(k) participation to all types of employees. AB offers employee assistance programs to full-time employees only. AB offers health insurance, tuition reimbursement, employee assistance program (EAP), business travel accident insurance, life insurance, matching gifts program and Five-Year Refresh Award to full-time and part-time employees. GRI 404: Training and Education 2016 404-2 Programs for upgrading employee skills and transition assistance programs AB provides the following programs: Firm and benefit onboarding Financial markets e-learning curriculum Career and skills development courses Tuition reimbursement program Outplacement services for career transitions 404-3 Percentage of employees receiving regular performance and career development reviews It is our intention that every employee take part in a performance review each year. GRI 405: Diversity and Equal Opportunity 2016 405-1 Diversity of governance bodies and employees Building a Culture of Diverse Perspectives Committed to Strong Corporate Governance GRI 418: Customer Privacy 2016 418-1 Substantiated complaints concerning breaches of customer privacy and losses of customer data No complaints were received concerning breaches of customer privacy from outside parties and substantiated by the organization or regulatory bodies. Committed to Strong Corporate Governance G4 Sector Supplement: Active Ownership 2013 G4-FS10 Percentage and number of companies held in the institution's portfolio with which the reporting organization has interacted on environmental or social issues 2018 PRI Report: LEA Process G4-FS11 Percentage of assets subject to positive and negative environmental or social screening Statement of Policy Regarding Responsible Investment Advancing Responsible Investing Shareholder Rights Directive II (SRD II) Disclosures Shareholder Rights Directive II (SRD II) Disclosures
