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SJ ROCKEFELLER & CO. INSIGHTS@ROCKCO.COM NEW YORK, NY WASHINGTON, DC BOSTON, MA 10 Rockefeller Plaza 900 17th Street NW 99 High Street, 17th Floor New York, NY 10020 Washington, DC 20006 Boston, MA 02110 T. 212-549-5100 T. 202-719-3000 T. 617-375-3300 ROCKEFELLER TRUST THE ROCKEFELLER TRUST COMPANY, N.A. COMPANY (DELAWARE) 10 Rockefeller Plaza 1201 N. Market Street, Suite 1401 New York, NY 10020 Wilmington, DE 19801 T. 212-549-5100 T. 302-498-6000 http://www.bankofengland.co.uk/publications/Documents/speeches/2015/speech865.pdf http://www.oecd.org/corporate/ca/corporategovernanceprinciples/43056196.pdf ttps://www.fre.org.uk/Our-Work/Publications/Corporate-Governance/UK-Stewardship-Code-September- 2012. pdf https://www.fre.org.uk/Our-Work/Codes-Standards/Corporate-governance/UK - Stewardship-Code.aspx http://www.goldmansachs.com/who-we-are/business-standards/committee-report/business-standards-committee-report.html ttps://www.morganstanley.com/about-us-2015ams/pdf/2015_Proxy_Solicitation_Presentation.pdf https://www.jpmorganchase.com/corporate/investor-relations/document/How_We_Do_Business.pdf on DAY RF WN http://about.bankofamerica.com/assets/pdf/Bank-of-America-2015-Business-Standards- Report.pdf These materials are provided for informational purposes only and are not intended, and should not be construed as investment advice. The views expressed are as of a particular point in time and are subject to change without notice. Certain examples are intended to demonstrate aspects of Rockefeller & Co.’s engagement process with companies. Rockefeller & Co. may take different approaches with other companies and there is no guarantee that any engagement effort will be successful. Certain information contained in these materials may constitute “forward-looking statements” and/or may be obtained from, or based on, third party sources that Rockefeller & Co., Inc. believes to be reliable. No representations or warranties are made as to the accuracy or completeness of such statements, and actual events or results may differ materially from those reflected or contemplated. Although the information provided is carefully reviewed, Rockefeller & Co. cannot be held responsible for any direct or incidental loss resulting from applying any of the information provided. Company references are provided for illustrative purposes only and should not be construed as investment advice, or a recommendation to purchase, sell or hold any security. Past performance is no guarantee of future results and no investment strategy can guarantee profit or protection again losses. These materials may not be copied, reproduced or distributed without Rockefeller & Co.’s prior written consent. Cover and interior images: Shutterstock HOUSE_OVERSIGHT_012078