SRD II Disclosures


Shareholder Rights Directive II (SRD II) Disclosures

Aims of SRD II

The SRD II aims to encourage long-term shareholder engagement and transparency between traded companies and investors. Asset managers and institutional investors can play a vital role in the responsible stewardship of assets.

Impact on AllianceBernstein

The relevant provisions of SRD II apply to UK and European asset managers to the extent that they invest in shares traded on an EU regulated market (or comparable non-EEA market for UK asset managers) on behalf of investors.

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Abbott Laboratories (ABT)—PDF
Activision Blizzard, Inc. (ATVI)—PDF
Adastria Co., Ltd. (2685)—PDF
Adeka Corp. (4401)—PDF
Adobe Inc. (ADBE)—PDF
Advantest Corp. (6857)—PDF
AGC, Inc. (Japan) (5201)—PDF
Aica Kogyo Co., Ltd. (4206)—PDF
Aichi Steel Corp. (5482)—PDF
Aida Engineering Ltd. (6118)—PDF
AIFUL Corp. (8515)—PDF
Ain Holdings, Inc. (9267)—PDF
Air Water Inc. (4088)—PDF
Aisan Industry Co., Ltd. (7283)—PDF
Aisin Seiki Co., Ltd. (7259)—PDF
Akatsuki, Inc. (3932)—PDF
Alaska Air Group, Inc. (ALK)—PDF
Alfresa Holdings Corp. (2784)—PDF
Alps Alpine Co., Ltd. (6770)—PDF
AMADA Co., Ltd. (6113)—PDF
Amano Corp. (6436)—PDF
Amphenol Corporation (APH)—PDF
AOKI Holdings, Inc. (8214)—PDF
Arata Corp. (2733)—PDF
Arcs Co., Ltd. (9948)—PDF
ARIAKE JAPAN Co., Ltd. (2815)—PDF
AS ONE Corp.(7476)—PDF
Asahi Group Holdings Ltd. (2502)—PDF
Asahi Holdings, Inc. (5857)—PDF
Asahi Intecc Co., Ltd. (7747)—PDF
Asahi Kasei Corp. (3407)—PDF
ASKUL Corp. (2678)—PDF
Autobacs Seven Co., Ltd. (9832)—PDF
Automatic Data Processing, Inc. (ADP)—PDF
Axial Retailing, Inc. (8255)—PDF
Axon Enterprise, Inc. (AAXN)—PDF
Azbil Corp. (6845)—PDF
Bank of America Corporation (BAC)—PDF
Beach Energy Limited (BPT)—PDF
Belc Co., Ltd. (9974)—PDF
Belluna Co., Ltd. (9997)—PDF
Berkshire Hathaway Inc. (BRK.B)—PDF
Berry Global Group, Inc. (BERY)—PDF
Bic Camera, Inc. (3048)—PDF
BML, Inc. (4694)—PDF
Broadridge Financial Solutions, Inc. (BR)—PDF
Brother Industries, Ltd. (6448)—PDF
Canon, Inc. (7751)—PDF
Casio Computer Co., Ltd.. (6952)—PDF
Central Glass Co., Ltd. (4044)—PDF
Central Japan Railway Co.(9022)—PDF
Chiyoda Co., Ltd. (8185)—PDF
Chiyoda Corp. (6366)—PDF
Chofu Seisakusho Co., Ltd. (5946)—PDF
Chubu Electric Power Co., Inc. (9502)—PDF
Chugoku Marine Paints, Ltd. (4617)—PDF
Citigroup Inc. (C)—PDF
Citizen Watch Co., Ltd. (7762)—PDF
CKD Corp. (6407)—PDF
Cleanup Corp. (7955)—PDF
Cognizant Technology Solutions Corporation (CTSH)—PDF
Colowide Co., Ltd. (7616)—PDF
Comcast Corporation (CMCSA)—PDF
Computer Engineering & Consulting Ltd. (9692)—PDF
COMSYS Holdings Corp. (1721)—PDF
Concordia Financial Group, Ltd. (7186)—PDF
Cosmo Energy Holdings Co., Ltd. (5021)—PDF
COSMOS Pharmaceutical Corp. (3349)—PDF
Costco Wholesale Corporation (COST)—PDF
Create Restaurants Holdings, Inc. (3387)—PDF
Credit Saison Co., Ltd. (8253)—PDF
Curves Holdings Co., Ltd. (7085)—PDF
Dai Nippon Printing Co., Ltd. (7912)—PDF
Dai-ichi Life Holdings, Inc. (8750)—PDF
Daido Steel Co., Ltd.. (5471)—PDF
Daiho Corp. (1822)—PDF
Daiichi Sankyo Co., Ltd. (4568)—PDF
Daikin Industries Ltd. (6367)—PDF
DaikyoNishikawa Corp. (4246)—PDF
Dainichiseika Color & Chemicals Mfg. Co., Ltd. (4116)—PDF
Daio Paper Corp. (3880)—PDF
Daishi Hokuetsu Financial Group, Inc. (7327)—PDF
Daiwa House Industry Co., Ltd. (1925)—PDF
Daiwabo Holdings Co., Ltd. (3107)—PDF
Dana Incorporated (DAN)—PDF
DeNA Co., Ltd. (2432)—PDF
Denka Co., Ltd. (4061)—PDF
DENSO Corp. (6902)—PDF
Dentsu Group, Inc. (4324)—PDF
Descente Ltd. (8114)—PDF
DIC Corp. (4631)—PDF
Digital Arts Inc. (2326)—PDF
Digital Garage, Inc. (4819)—PDF
DIP Corp. (2379)—PDF
Dolby Laboratories, Inc. (DLB)—PDF
Doshisha Co., Ltd. (7483)—PDF
Doutor Nichires Holdings Co., Ltd. (3087)—PDF
Dover Corporation (DOV)—PDF
DOWA HOLDINGS Co., Ltd. (5714)—PDF
DTS Corp. (9682)—PDF
Duskin Co., Ltd. (4665)—PDF
DyDo Group Holdings, Inc. (2590)—PDF
Earth Corp. (4985)—PDF
East Japan Railway Co (9020)—PDF
EDION Corp. (2730)—PDF
Edwards Lifesciences Corporation (EW)—PDF
EIZO Corp. (6737)—PDF
Electric Power Development Co., Ltd. (9513)—PDF
Electronic Arts Inc. (EA)—PDF
en-Japan, Inc. (4849)—PDF
EXEDY Corp. (7278)—PDF
F.C.C. Co., Ltd. (7296)—PDF
Facebook, Inc. (FB)—PDF
FANCL Corp. (4921)—PDF
FANUC Corp. (6954)—PDF
Feed One Co., Ltd. (2060)—PDF
Fitbit, Inc.(FIT)—PDF
FP Corp. (7947)—PDF
Fudo Tetra Corp. (1813)—PDF
Fuji Corp. (Machinery) (6134)—PDF
Fuji Electric Co., Ltd. (6504)—PDF
Fuji Kyuko Co., Ltd. (9010)—PDF
Fuji Media Holdings, Inc. (4676)—PDF
Fuji Oil Holdings, Inc. (2607)—PDF
Fuji Soft, Inc. (9749)—PDF
FUJIFILM Holdings Corp. (4901)—PDF
Fujikura Ltd. (5803)—PDF
Fujimi, Inc. (5384)—PDF
Fujitsu General Ltd. (6755)—PDF
Fukuda Corp. (1899)—PDF
Fukui Computer Holdings, Inc.(9790)—PDF
Fukuoka Financial Group, Inc. (8354)—PDF
Fullcast Holdings Co. Ltd. (4848)—PDF
Funai Soken Holdings, Inc. (9757)—PDF
Furukawa Electric Co., Ltd. (5801)—PDF
Futaba Corp. (6986)—PDF
Futaba Industrial Co., Ltd. (7241)—PDF
Future Corp. (4722)—PDF
Fuyo General Lease Co., Ltd. (8424)—PDF
G-Tekt Corp. (5970)—PDF
GEO Holdings Corp. (2681)—PDF
Giken Ltd. (6289)—PDF
Glory Ltd. (6457)—PDF
GMO Internet, Inc. (9449)—PDF
GREE, Inc. (3632)—PDF
GS Yuasa Corp. (6674)—PDF
GungHo Online Entertainment, Inc. (3765)—PDF
Gunma Bank, Ltd. (8334)—PDF
Gunze Ltd. (3002)—PDF
H.I.S. Co., Ltd. (9603)—PDF
H2O Retailing Corp. (8242)—PDF
Hakuhodo DY Holdings, Inc. (2433)—PDF
Hamakyorex Co., Ltd. (9037)—PDF
Hankyu Hanshin Holdings, Inc. (9042)—PDF
Hanwa Co., Ltd. (8078)—PDF
Harmonic Drive Systems, Inc. (6324)—PDF
HASEKO Corp. (1808)—PDF
Hazama Ando Corp. (1719)—PDF
Heiwa Corp. (6412)—PDF
Heiwa Real Estate Co., Ltd. (8803)—PDF
Hiday Hidaka Corp. (7611)—PDF
Hikari Tsushin, Inc. (9435)—PDF
Hirata Corp. (6258)—PDF
Hisamitsu Pharmaceutical Co., Inc. (4530)—PDF
Hitachi Zosen Corp. (7004)—PDF
Hogy Medical Co., Ltd. (3593)—PDF
Hokkaido Electric Power Co., Inc. (9509)—PDF
Hokuhoku Financial Group, Inc. (8377)—PDF
Hokuriku Electric Power Co. (9505)—PDF
Honda Motor Co., Ltd. (7267)—PDF
Honeywell International Inc. (HON)—PDF
Horiba, Ltd. (6856)—PDF
HOSHIZAKI Corp. (6465)—PDF
Hosiden Corp. (6804)—PDF
House Foods Group Inc. (2810)—PDF
Hulic Co., Ltd. (3003)—PDF
Idemitsu Kosan Co., Ltd. (5019)—PDF
IDEX Corporation (IEX)—PDF
IHI Corp. (7013)—PDF
Illumina, Inc. (ILMN)—PDF
Inaba Denkisangyo Co., Ltd. (9934)—PDF
Inabata & Co., Ltd. (8098)—PDF
INPEX Corp. (1605)—PDF
IPG Photonics Corporation (IPGP)—PDF
IQVIA Holdings Inc. (IQV)—PDF
IRISO Electronics Co., Ltd. (6908)—PDF
Iseki & Co., Ltd. (6310)—PDF
Isuzu Motors Ltd. (7202)—PDF
ITO EN, LTD. (2593)—PDF
ITOCHU Corp. (8001)—PDF
Itoham Yonekyu Holdings, Inc. (2296)—PDF
Iwatani Corp. (8088)—PDF
JAC Recruitment Co., Ltd. (2124)—PDF
JACCS Co., Ltd. (8584)—PDF
Japan Airlines Co., Ltd. (9201)—PDF
Japan Airport Terminal Co., Ltd. (9706)—PDF
Japan Cash Machine Co., Ltd. (6418)—PDF
Japan Elevator Service Holdings Co., Ltd. (6544)—PDF
Japan Investment Adviser Co., Ltd. (7172)—PDF
Japan Material Co., Ltd. (6055)—PDF
Japan Petroleum Exploration Co., Ltd. (1662)—PDF
Japan Tobacco Inc. (2914)—PDF
JCR Pharmaceuticals Co., Ltd. (4552)—PDF
JCU Corp. (4975)—PDF
JEOL Ltd. (6951)—PDF
JFE Holdings, Inc. (5411)—PDF
JGC Holdings Corp. (1963)—PDF
Johnson & Johnson (JNJ)—PDF
Joshin Denki Co., Ltd. (8173)—PDF
JSR Corp. (4185)—PDF
JTEKT Corp. (6473)—PDF
JustSystems Corp. (4686)—PDF
JVCKenwood Corp. (6632)—PDF
JXTG Holdings, Inc. (5020)—PDF
K&O Energy Group, Inc. (1663)—PDF
K's Holdings Corp. (8282)—PDF
Kadokawa Corp. (9468)—PDF
Kagome Co., Ltd. (2811)—PDF
Kajima Corp. (1812)—PDF, Inc. (2371)—PDF
Kaken Pharmaceutical Co., Ltd. (4521)—PDF
Kamigumi Co., Ltd. (9364)—PDF
Kanamoto Co., Ltd. (9678)—PDF
Kandenko Co., Ltd. (1942)—PDF
Kaneka Corp. (4118)—PDF
Kanematsu Corp. (8020)—PDF
Kansai Paint Co., Ltd. (4613)—PDF
Katakura Industries Co., Ltd. (3001)—PDF
KATITAS Co., Ltd. (8919)—PDF
Kawasaki Heavy Industries, Ltd. (7012)—PDF
Kawasaki Kisen Kaisha, Ltd. (9107)—PDF
KDDI Corp. (9433)—PDF
Keihan Holdings Co., Ltd. (9045)—PDF
Keikyu Corp. (9006)—PDF
Keio Corp. (9008)—PDF
Keisei Electric Railway Co., Ltd. (9009)—PDF
Kenedix, Inc. (4321)—PDF
Key Coffee, Inc. (2594)—PDF
KEYENCE Corp. (6861)—PDF
KH Neochem Co., Ltd. (4189)—PDF
Kikkoman Corp. (2801)—PDF
Kinden Corp. (1944)—PDF
Kintetsu Group Holdings Co., Ltd. (9041)—PDF
Kintetsu World Express, Inc. (9375)—PDF
Kissei Pharmaceutical Co., Ltd. (4547)—PDF
Kitano Construction Corp. (1866)—PDF
KLA Corporation (KLAC)—PDF
Knight-Swift Transportation Holdings Inc. (KNX)—PDF
Koa Corp. (6999)—PDF
Kobe Bussan Co., Ltd. (3038)—PDF
Kobe Steel, Ltd. (5406)—PDF
Komatsu Ltd. (6301)—PDF
KOMEDA Holdings Co., Ltd. (3543)—PDF
Komori Corp. (6349)—PDF
Konami Holdings Corp. (9766)—PDF
Konishi Co., Ltd. (4956)—PDF
Konoike Transport Co., Ltd. (9025)—PDF
Kotobuki Spirits Co., Ltd. (2222)—PDF
Kubota Corp. (6326)—PDF
Kumagai Gumi Co., Ltd. (1861)—PDF
Kumiai Chemical Industry Co., Ltd. (4996)—PDF
Kura Sushi, Inc. (2695)—PDF
Kuraray Co., Ltd. (3405)—PDF
Kureha Corp. (4023)—PDF
Kurita Water Industries Ltd. (6370)—PDF
Kusuri No Aoki Holdings Co., Ltd. (3549)—PDF
KYB Corp. (7242)—PDF
Kyoei Steel Ltd. (5440)—PDF
Kyokuto Kaihatsu Kogyo Co., Ltd. (7226)—PDF
KYORIN Holdings, Inc. (4569)—PDF
Kyoritsu Maintenance Co., Ltd. (9616)—PDF
Kyudenko Corp. (1959)—PDF
Kyushu Electric Power Co., Inc. (9508)—PDF
Kyushu Financial Group, Inc. (7180)—PDF
L3Harris Technologies, Inc. (LHX)—PDF
Laboratory Corporation of America Holdings (LH)—PDF
Lasertec Corp. (6920)—PDF
Lear Corporation (LEA)—PDF
LEC, Inc. (Japan) (7874)—PDF
Life Corp. (8194)—PDF
Link & Motivation, Inc. (2170)—PDF
LINTEC Corp. (7966)—PDF
Lion Corp. (4912)—PDF
Mabuchi Motor Co., Ltd. (6592)—PDF
Maeda Corp. (1824)—PDF
Makino Milling Machine Co., Ltd. (6135)—PDF
Mandom Corp. (4917)—PDF
Marathon Petroleum Corporation (MPC)—PDF
Marubeni Corp. (8002)—PDF
Maruha Nichiro Corp. (1333)—PDF
Marui Group Co., Ltd. (8252)—PDF
Maruichi Steel Tube Ltd. (5463)—PDF
Maruzen Showa Unyu Co., Ltd. (9068)—PDF
Matsuda Sangyo Co., Ltd. (7456)—PDF
Matsumotokiyoshi Holdings Co., Ltd. (3088)—PDF
Matsuya Co., Ltd. (8237)—PDF
Max Co., Ltd. (6454)—PDF
Maxell Holdings Ltd. (6810)—PDF
Mazda Motor Corp. (7261)—PDF
Mebuki Financial Group, Inc. (7167)—PDF
Medipal Holdings Corp. (7459)—PDF
Meidensha Corp. (6508)—PDF
Meiji Holdings Co., Ltd. (2269)—PDF
Milbon Co., Ltd. (4919)—PDF
Minebea Mitsumi, Inc. (6479)—PDF
MIRAIT Holdings Corp. (1417)—PDF
Miroku Jyoho Service Co., Ltd. (9928)—PDF
MISUMI Group Inc. (9962)—PDF
Mitsubishi Corp. (8058)—PDF
Mitsubishi Gas Chemical Co., Inc. (4182)—PDF
Mitsubishi Logistics Corp. (9301)—PDF
Mitsubishi Pencil Co., Ltd. (7976)—PDF
Mitsubishi UFJ Lease & Finance Co., Ltd. (8593)—PDF
Mitsuboshi Belting Ltd. (5192)—PDF
Mitsui & Co., Ltd. (8031)—PDF
Mitsui Chemicals, Inc. (4183)—PDF
Mitsui E&S Holdings Co., Ltd. (7003)—PDF
Mitsui Fudosan Co., Ltd. (8801)—PDF
Mitsui Mining & Smelting Co., Ltd. (5706)—PDF
Mitsui O.S.K. Lines, Ltd. (9104)—PDF
Mitsui Sugar Co., Ltd. (2109)—PDF
Miura Co., Ltd. (6005)—PDF
Mixi, Inc. (2121)—PDF
Mizuno Corp. (8022)—PDF
Mochida Pharmaceutical Co., Ltd. (4534)—PDF
Morinaga & Co., Ltd. (2201)—PDF
Morinaga Milk Industry Co., Ltd. (2264)—PDF
MS&AD Insurance Group Holdings, Inc. (8725)—PDF
Murata Manufacturing Co. Ltd. (6981)—PDF
Nabors Industries Ltd. (NBR)—PDF
Nabtesco Corp. (6268)—PDF
Nagaileben Co., Ltd. (7447)—PDF
Nagase & Co., Ltd. (8012)—PDF
Nagatanien Holdings Co., Ltd. (2899)—PDF
Nakanishi Inc. (7716)—PDF
Nankai Electric Railway Co., Ltd. (9044)—PDF
Nanto Bank Ltd. (8367)—PDF
NEC Corp. (6701)—PDF
Net One Systems Co., Ltd. (7518)—PDF
NEXON Co., Ltd. (3659)—PDF
Nextage Co., Ltd. (3186)—PDF
NGK Insulators, Ltd. (5333)—PDF
NH Foods Ltd. (2282)—PDF
NHK Spring Co., Ltd. (5991)—PDF
NICHIAS Corp. (5393)—PDF
Nichiha Corp. (7943)—PDF
Nichirei Corp. (2871)—PDF
Nifco, Inc. (7988)—PDF
Nihon Kohden Corp. (6849)—PDF
Nihon M&A Center Inc. (2127)—PDF
Nihon Parkerizing Co., Ltd. (4095)—PDF
Nihon Unisys, Ltd. (8056)—PDF
Nihon Yamamura Glass Co., Ltd. (5210)—PDF
Nikkiso Co., Ltd. (6376)—PDF
NIKKON Holdings Co., Ltd. (9072)—PDF
Nikon Corp. (7731)—PDF
Nintendo Co., Ltd. (7974)—PDF
Nippon Ceramic Co., Ltd. (6929)—PDF
Nippon Chemi-Con Corp. (6997)—PDF
Nippon Densetsu Kogyo Co., Ltd. (1950)—PDF
Nippon Electric Glass Co., Ltd. (5214)—PDF
Nippon Express Co., Ltd. (9062)—PDF
Nippon Flour Mills Co., Ltd. (2001)—PDF
Nippon Gas Co., Ltd. (8174)—PDF
Nippon Kanzai Co., Ltd. (9728)—PDF
Nippon Kayaku Co., Ltd. (4272)—PDF
Nippon Light Metal Holdings Co., Ltd. (5703)—PDF
Nippon Paper Industries Co., Ltd. (3863)—PDF
Nippon Seiki Co., Ltd. (7287)—PDF
Nippon Shinyaku Co., Ltd. (4516)—PDF
Nippon Shokubai Co., Ltd. (4114)—PDF
Nippon Soda Co., Ltd. (4041)—PDF
Nippon Steel Corp. (5401)—PDF
Nippon Steel Trading Corp. (9810)—PDF
Nippon Suisan Kaisha, Ltd. (1332)—PDF
Nippon Television Holdings, Inc. (9404)—PDF
Nippon Yusen KK (9101)—PDF
Nipro Corp. (8086)—PDF
Nishi-Nippon Financial Holdings, Inc. (7189)—PDF
Nishi-Nippon Railroad Co., Ltd. (9031)—PDF
Nishimatsu Construction Co., Ltd. (1820)—PDF
Nissan Chemical Corp. (4021)—PDF
Nissha Co., Ltd. (7915)—PDF
Nisshin Seifun Group Inc. (2002)—PDF
Nisshinbo Holdings Inc. (3105)—PDF
Nitori Holdings Co., Ltd. (9843)—PDF
Nitta Corp. (5186)—PDF
Nitto Kogyo Corp. (6651)—PDF
NOF Corp. (4403)—PDF
NOK Corp. (7240)—PDF
NOMURA Co., Ltd. (9716)—PDF
Nomura Real Estate Holdings, Inc. (3231)—PDF
Nomura Research Institute Ltd. (4307)—PDF
Norfolk Southern Corporation (NSC)—PDF
Noritake Co., Ltd. (5331)—PDF
Noritz Corp. (5943)—PDF
North Pacific Bank, Ltd. (8524)—PDF
Nuance Communications, Inc. (NUAN)—PDF
Obayashi Corp. (1802)—PDF
OBIC Co., Ltd. (4684)—PDF
Odakyu Electric Railway Co., Ltd. (9007)—PDF
Oiles Corp. (6282)—PDF
Oita Bank, Ltd. (8392)—PDF
Oji Holdings Corp. (3861)—PDF
Okamoto Industries, Inc. (5122)—PDF
Okamura Corp. (7994)—PDF
Okasan Securities Group, Inc. (8609)—PDF
Oki Electric Industry Co., Ltd. (6703)—PDF
Okuma Corp. (6103)—PDF
Okumura Corp. (1833)—PDF
OMRON Corp. (6645)—PDF
One Liberty Properties, Inc. (OLP)—PDF
Ono Pharmaceutical Co., Ltd. (4528)—PDF
Orient Corp. (8585)—PDF
Osaka Gas Co., Ltd. (9532)—PDF
OSAKA Titanium Technologies Co., Ltd. (5726)—PDF
Otsuka Holdings Co., Ltd. (4578)—PDF
Pacific Industrial Co., Ltd. (7250)—PDF
Pacific Metals Co., Ltd. (5541)—PDF
PAL GROUP Holdings Co., Ltd. (2726)—PDF
Pan Pacific International Holdings Corp. (7532)—PDF
Panasonic Corp. (6752)—PDF
Paramount Bed Holdings Co., Ltd. (7817)—PDF
Park24 Co., Ltd. (4666)—PDF
Pasona Group Inc. (2168)—PDF
PayPal Holdings, Inc. (PYPL)—PDF
Penta-Ocean Construction Co., Ltd. (1893)—PDF
PepsiCo, Inc. (PEP)—PDF
Peptidream Inc. (4587)—PDF
Pigeon Corp. (7956)—PDF
Pilot Corp. (7846)—PDF
PNM Resources, Inc. (PNM)—PDF
Pola Orbis Holdings Inc. (4927)—PDF
Pressance Corp. (3254)—PDF
Prestige International, Inc. (4290)—PDF
Raito Kogyo Co., Ltd. (1926)—PDF
RBB Bancorp (RBB)—PDF
RE/MAX Holdings, Inc. (RMAX)—PDF
Recruit Holdings Co., Ltd. (6098)—PDF
Relo Group, Inc. (8876)—PDF
Rengo Co., Ltd. (3941)—PDF
Resorttrust, Inc. (4681)—PDF
Riken Corp. (6462)—PDF
Riken Vitamin Co., Ltd. (4526)—PDF
Rinnai Corp. (5947)—PDF
ROHM Co., Ltd. (6963)—PDF
Rohto Pharmaceutical Co., Ltd. (4527)—PDF
ROUND ONE Corp. (4680)—PDF
Royal Holdings Co., Ltd. (8179)—PDF
S Foods, Inc. (2292)—PDF
Sakai Moving Service Co., Ltd. (9039)—PDF
Sakata Inx Corp. (4633)—PDF
San ju San Financial Group, Inc. (7322)—PDF
SAN-A CO., LTD. (2659)—PDF
San-in Godo Bank Ltd. (8381)—PDF
Sanken Electric Co., Ltd. (6707)—PDF
Sanki Engineering Co., Ltd. (1961)—PDF
Sankyo Co., Ltd.(6417)—PDF
Sanwa Holdings Corp. (5929)—PDF
Sanyo Chemical Industries, Ltd. (4471)—PDF
Sawai Pharmaceutical Co., Ltd. (4555)—PDF
SBI Holdings, Inc. (8473)—PDF
SBS Holdings, Inc. (2384)—PDF
SCREEN Holdings Co., Ltd. (7735)—PDF
SECOM Co., Ltd. (9735)—PDF
Sega Sammy Holdings, Inc. (6460)—PDF
Seibu Holdings, Inc. (9024)—PDF
Seikagaku Corp. (4548)—PDF
Seiko Epson Corp. (6724)—PDF
Seiko Holdings Corp. (8050)—PDF
Seino Holdings Co., Ltd. (9076)—PDF
Seiren Co., Ltd. (3569)—PDF
Sekisui Chemical Co., Ltd. (4204)—PDF
Sekisui Jushi Corp. (4212)—PDF
Senshu Ikeda Holdings, Inc. (8714)—PDF
Seria Co., Ltd. (2782)—PDF
Seven & i Holdings Co., Ltd. (3382)—PDF
SG Holdings Co., Ltd. (9143)—PDF
Shibaura Mechatronics Corp. (6590)—PDF
Shikoku Chemicals Corp. (4099)—PDF
Shikoku Electric Power Co., Inc. (9507)—PDF
Shima Seiki Mfg. Ltd. (6222)—PDF
Shimachu Co., Ltd. (8184)—PDF
Shimadzu Corp. (7701)—PDF
Shimano, Inc. (7309)—PDF
Shimizu Corp. (1803)—PDF
SHIMOJIMA Co., Ltd. (7482)—PDF
Shin-Etsu Chemical Co., Ltd. (4063)—PDF
ShinMaywa Industries, Ltd. (7224)—PDF
Shinnihon Corp. (1879)—PDF
Shizuoka Gas Co., Ltd. (9543)—PDF
SHO-BOND Holdings Co., Ltd. (1414)—PDF
Shochiku Co., Ltd. (9601)—PDF
Shoei Foods Corp. (8079)—PDF
Showa Denko K.K. (4004)—PDF
Showa Sangyo Co., Ltd. (2004)—PDF
SIIX Corp. (7613)—PDF
Sinfonia Technology Co., Ltd. (6507)—PDF
Sintokogio Ltd. (6339)—PDF
Skechers U.S.A., Inc. (SKX)—PDF
Skylark Holdings Co., Ltd. (3197)—PDF
SMC Corp. (Japan) (6273)—PDF
SMK Corp. (6798)—PDF
Sojitz Corp. (2768)—PDF
Sotetsu Holdings, Inc. (9003)—PDF
Sourcenext Corp. (4344)—PDF
Stanley Electric Co., Ltd. (6943)—PDF
Starbucks Corporation (SBUX)—PDF
Starts Corp., Inc. (8850)—PDF
Subaru Corp. (7270)—PDF
Sugi Holdings Co., Ltd. (7649)—PDF
SUMCO Corp. (3436)—PDF
Sumitomo Bakelite Co., Ltd. (4203)—PDF
Sumitomo Chemical Co., Ltd. (4005)—PDF
Sumitomo Corp. (8053)—PDF
Sumitomo Electric Industries Ltd. (5802)—PDF
Sumitomo Forestry Co., Ltd. (1911)—PDF
Sumitomo Heavy Industries, Ltd. (6302)—PDF
Sumitomo Metal Mining Co., Ltd. (5713)—PDF
Sumitomo Mitsui Construction Co., Ltd. (1821)—PDF
Sumitomo Osaka Cement Co., Ltd. (5232)—PDF
Sumitomo Rubber Industries, Ltd. (5110)—PDF
Sumitomo Seika Chemicals Co., Ltd. (4008)—PDF
Sumitomo Warehouse Co., Ltd. (9303)—PDF
Sundrug Co., Ltd. (9989)—PDF
Suzuken Co., Ltd. (9987)—PDF
Suzuki Motor Corp. (7269)—PDF
Sysmex Corp. (6869)—PDF
Systena Corp. (2317)—PDF
T&D Holdings, Inc. (8795)—PDF
TADANO Ltd. (6395)—PDF
Taiheiyo Cement Corp. (5233)—PDF
Taikisha Ltd. (1979)—PDF
TAISEI Corp. (1801)—PDF
Taiyo Yuden Co., Ltd. (6976)—PDF
Takamatsu Construction Group Co. Ltd. (1762)—PDF
Takara Holdings Inc. (2531)—PDF
Takasago International Corp. (4914)—PDF
Takasago Thermal Engineering Co., Ltd. (1969)—PDF
Takashimaya Co., Ltd. (8233)—PDF
Takeuchi Mfg. Co., Ltd. (6432)—PDF
Tamron Co., Ltd. (7740)—PDF
TDK Corp. (6762)—PDF
TechnoPro Holdings, Inc. (6028)—PDF
Teijin Ltd. (3401)—PDF
Territorial Bancorp Inc. (TBNK)—PDF
Terumo Corp. (4543)—PDF
The 77 Bank, Ltd. (8341)—PDF
The Aichi Bank Ltd. (8527)—PDF
The Aomori Bank, Ltd. (8342)—PDF
The Awa Bank Ltd. (8388)—PDF
The Bank of Iwate Ltd. (8345)—PDF
The Bank of Kyoto, Ltd. (8369)—PDF
The Bank of Nagoya Ltd. (8522)—PDF
The Bank of Okinawa Ltd. (8397)—PDF
The Chiba Bank, Ltd. (8331)—PDF
The Chugoku Bank, Ltd. (8382)—PDF
The Chugoku Electric Power Co., Inc. (9504)—PDF
The Goldman Sachs Group, Inc. (GS)—PDF
The Hokkoku Bank, Ltd. (8363)—PDF
The Home Depot, Inc. (HD)—PDF
The Hyakujushi Bank, Ltd. (8386)—PDF
The Iyo Bank, Ltd. (8385)—PDF
The Japan Steel Works Ltd. (5631)—PDF
The Juroku Bank, Ltd. (8356)—PDF
The Keiyo Bank, Ltd. (8544)—PDF
The Kiyo Bank, Ltd. (8370)—PDF
The Miyazaki Bank Ltd. (8393)—PDF
The Musashino Bank, Ltd. (8336)—PDF
The Nippon Signal Co., Ltd. (6741)—PDF
The Nisshin OilliO Group, Ltd. (2602)—PDF
The Ogaki Kyoritsu Bank Ltd. (8361)—PDF
The Okinawa Electric Power Co., Inc. (9511)—PDF
The Pack Corp. (3950)—PDF
The Shiga Bank, Ltd. (8366)—PDF
The Shikoku Bank, Ltd. (8387)—PDF
The Shizuoka Bank, Ltd. (8355)—PDF
The TJX Companies, Inc. (TJX)—PDF
The Toho Bank, Ltd. (8346)—PDF
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Article 3g1a. Develop and publicly disclose an engagement policy that describes how:

1. Shareholder engagement is integrated in investment strategy Engagement with issuers is a critical part of our investment process. We engage with issuers (a) for insight – to better understand what they are doing and (b) for action, to encourage issuers to take actions that are in the best interest of our client clients, creating sustainable long-term cash flows.

Section 4 of AB’s Global Stewardship Statement describes our investment process, including how engagement is integrated.

Section 5 of AB’s Global Stewardship Statement provides further details on our Engagement Policy.
2. Investee companies are monitored on relevant matters (including strategy; financial and non-financial performance and risk; capital structure; social and environmental impact; and corporate governance); Once we have made an investment, monitoring our positions is an important component of our Stewardship.

AB’s Global Stewardship Statement describes how we document and track our engagement on strategy, financial and non-financial performance and risk, social and environmental impact and corporate governance and it sets out our guidelines for escalating issues that aren’t adequately addressed through our typical engagement process. Our Engagement Policy is applicable across geographies and asset classes, and includes engaging on the capital structure, changes to it and, factors relevant to different capital structures.

Because tracking, documenting and integrating our dialogues with issuers is a key pillar of a successful engagement program, we’ve developed proprietary systems to advance these efforts. When engagements include a substantive discussion of ESG issues, our analysts document the purpose of the engagement, ESG topics discussed and the outcome in our proprietary ESIGHT system.

Please refer to Section 4 of AB’s Global Stewardship Statement for further detail on our investment process and Section 5 for detail on Engagement.
3. Dialogue is conducted; Engaging stock and bond issuers on strategic and financial issues including ESG and climate change issues is critical to our research and investment processes. To engage effectively, we must have an ongoing, open dialogue with stakeholders.

For further detail on how dialogue is conducted, please refer to Section 5 of AB’s Global Stewardship Statement entitled Engaging with Issuers.
4. Voting and other rights are exercised; We have a robust, rules and principles based, global in-house Proxy Voting and Governance Policy and process that is applicable to all our voting activities across all geographies. We also disclose the rationales to our significant votes on AB's SRD II Disclosures page.

Please also refer to Section 6 of AB’s Global Stewardship Statement to learn more about our voting philosophy, overall policy and process.
6. Communication with relevant stakeholders; Our clients are one of our primary stakeholders. Our investment process begins with understanding our clients’ needs. We engage with clients and their advisors to better understand how we may align with their own responsible investing principles and help them meet their own governance and regulatory obligations. This takes place in a variety of ways, including:

(1) customization of investment guidelines to align with clients’ principles; (2) transparency on engagement and voting reporting; (3) communications and thought leadership on key investment and industry matters; and (4) on occasion, providing training to clients’ in-house staff and stakeholders. We also provide extensive reporting to our clients in order to be fully transparent in all that we do, from our philosophy and policies to our investment process and outcomes. This transparency manifests itself in both disclosures and reporting. Please see Section 4 of AB’s Global Stewardship Statement for details on the investment process and Section 7 for details on transparency and reporting.

While AB has robust practices and policies to integrate stewardship and responsible investing within our own activities, that alone isn’t enough because the world of investing is complex and fast-moving. We must stay current on best practices, evolving principles, and changing frameworks and regulatory developments. We can influence these areas by advocating for progress with issuers, regulators and others as we continue to advance responsible investing and stewardship practices. We can often be more effective at both learning and advocating by collaborating with others. To support these efforts, AB is a proactive and participating member of the global investment community. Please see Section 8 of AB’s Global Stewardship Statement for more information on our engagement with stakeholders in the investment management community.
7. Actual and potential conflicts of interest are managed. AB has a duty to address, or at a minimum disclose, potential conflicts of interest that may exist between different clients, between the firm and clients, or between our employees and our clients.

We’ve established and maintain Conflicts of Interests policies and procedures which we believe protect the interests of our clients. These include measures for the identification, mitigation and management of conflicts, including where we can not avoid (or choose not to avoid) conflicts related to the services that s we or our affiliates provide.

For further information, please refer to Section 2 of AB’s Global Stewardship Statement which provides further detail on AB’s Governance, Responsibility and our Code of Business Conduct and Ethics, which summarizes our values, ethical standards and commitment to addressing potential conflicts of interest that arise from our activities.

Article 3g1b. Publicly disclose information explaining:

1. Annually, how the engagement policy has been implemented, including a general description of voting behaviour, an explanation of the most significant votes and the use of the services of proxy advisors; Section 6 of AB’s 2020 Stewardship Report contains detailed information and statistics on how our Engagement Policy was applied.  Section 7 of the same report provides similar information on the application and results of our Proxy Voting.
2. Where an asset manager implements the engagement policy, including voting, on behalf of an institutional investor, the institutional investor shall make a reference as to where such voting information has been published by the asset manager. AB’s significant vote rationales can be found on our SRD II Disclosures page (see tab above).

Article 3i1. Disclose, on an annual basis, to the institutional investor:

1. How their investment strategy and implementation thereof complies with their arrangement with the investor and contributes to the medium to long-term performance of the assets of the institutional investor or of the fund; We are transparent in reporting to clients on such medium and long-term risks as risk/return performance of investments (including commentary on both macroeconomic and idiosyncratic factors), proxy-voting reports, engagement activities. We typically provide formal reports on our engagement activities and ESG, carbon and climate metrics. Please see Section 7 of AB’s Stewardship Statement for an overview of our client reporting. AB’s 2020 Stewardship Report also provides an overview of our 2020 reporting, in addition to detailed Engagement and Proxy Voting statistics and examples.
2. The use of proxy advisors for the purpose of engagement activities; We do not outsource or use proxy advisors for the purpose of engagement activities. We actively engage and exercise our right to vote and have a robust, principles-based, global in-house Proxy Voting and Governance Policy and process that is applicable to all our voting activities.

For further information on the use of proxy advisors please refer to Section 6 of AB’s Global Stewardship Statement.
3. Policy on securities lending and how it is applied to fulfil its engagement activities if applicable, particularly at the time of the general meeting of the investee companies; Many of our clients enter into securities lending arrangements. Our policy on securities lending is set out in Section 6 of AB’s Global Stewardship Statement and Section 6 of our 2020 Stewardship Report.
4. Whether, and if so how, investment decisions are made based on evaluation of the medium to long-term performance of the investee company, including non-financial performance; AB focuses intently on our clients and their needs, which are often centered on achieving a desired level of risk and return. Analysing and assessing issuers through the lens of long-term value creation often allows us to achieve strong financial outcomes while reducing risk through a more thorough analysis of all the factors that will impact a security throughout the course of the investment horizon and beyond.  Our investment process is inherently long term in nature and focused on both fundamental and ESG aspects of performance, including climate change.

Please see Section 4 of AB’s Global Stewardship Statement for a description of our investment process and Section 5 of AB’s 2020 Stewardship Report for how we applied that process in 2020.
5. Key material medium to long term risks associated with the investments; The key material medium and long term risks associated with the investment will vary by product and include both financial risks and non-financial risks, such as ESG and climate change factors.

We are transparent in reporting to clients on such risks as risk/return performance of investments (including commentary on both macroeconomic and idiosyncratic factors), proxy-voting reports and engagement activities. We typically provide formal reports on our engagement activities and ESG, carbon and climate metrics.  Please see Section 7 of AB’s Global Stewardship Statement for an overview of our client reporting.

AB’s 2020 Stewardship Report also provides an overview of our 2020 reporting, in addition to detailed Engagement and Proxy Voting statistics and examples.
6. Portfolio composition, turnover and turnover costs. Direct Fund Clients: Portfolio composition is set out in the annual report of the relevant fund. Depending on the fund, turnover may be disclosed in the annual report or can be obtained upon request. Depending on the fund, turnover costs may be disclosed in the EMT or can be obtained upon request.

Separately Managed Account Clients: Portfolio composition and turnover and turnover costs are provided as part of our client reporting.