Zagrebačka burza d.d.

Environmental & Social Information • Feb 4, 2019

Zagrebačka burza d.d.

Izvještaj o zaštiti okoliša i socijalnim pitanjima

Zagreb, veljača 2019.

Izvještaj o zaštiti okoliša i socijalnim pitanjima

U skladu s čl. 5.05. Subscription Agreementa između Europske banke za obnovu i razvoj i Zagrebačke burze (dalje: Društvo), ovime:

1. potvrđujemo da se tijekom 2018. godine Društvo pridržavalo zahtjeva određenih za postupanje prema okolišu (eng. Designated Performance Requirements), opisanih u čl. 5.02. (prilog br. 1.),

2. potvrđujemo da su poslovanje i aktivnosti Društva tijekom 2018. godine bili u skladu sa socijalnim pravom (prilog br. 2.),

3. prilažemo informacije o upravljanju zaštitom zdravlja i sigurnosti na radnom mjestu te evidenciju o zaštiti na radu u poslovanju i aktivnostima Društva (prilog br. 3.),

4. potvrđujemo da tijekom 2018. godine nije bilo promjena socijalnog prava koje bi mogle bitno utjecati na poslovanje i aktivnosti Društva,

5. potvrđujemo da tijekom 2018. godine nije bilo informacija o zaštiti okoliša i socijalnim pitanjima koje Društvo dostavlja svojim dioničarima i javnosti.

Tomislav Gračan ZAGREBAČKA BURZA d.d. Član Uprave

Annual Environmental & Social Report for Stock Exchanges

Background on the Stock Exchange
Name of Stock Exchange: Zagreb Stock Exchange, Inc.
Address: Ivana Lučića 2a/22, Zagreb Country: Croația
Company authorized/representative (): Ivana Gažić I certify that the data/contained in this report completely and accurately represents operations during this reporting period. Signature: Date: 04.02.2019. Title: President of the Management Board Contact Details
ZAGREBAČKA BURZA d.d. Telephone: +385 1 4686806 Zagreb 1 E-mail:ir@zse.hr
Date of Report: 4.2.2019 Reporting Period: 1.1. - 31.12.2018
Does the Stock exchange operate $\Box$ internationally? country					Operates only in this country Operates in more than one ⊠
Number of employees in country < 50				$51 - 100$ $\Box$			101-500 $\Box$ $\Box$			>500
Other IFIs / MDBs / Donors providing financing				$\Box$	IFC	EIB $\Box$			$\Box$	EU
to the Stock exchange				World Bank $\Box$			ADB $\Box$			$\Box$	FMO
				KFW/DEG $\Box$			Other $\Box$ (please specify)
Nature of business relationship(s) with EBRD covered in this report
Operation	□ ⊠	Loan Equity	$\Box$	Fund		□ □	SME MSME		$\Box$	TFP		□ $\Box$	Leasing Mortgage

Section 1: Compliance with EBRD PR9: Environmental Capacity and Support Does the stock exchange have a formally adopted 図 Yes Environmental and Social Policy or Procedures? $\Box$ No What aspects does the Environmental and Social (E&S) Environment $\Box$ Policy cover? Social (eg labour issues) X Health and Safety $\Box$ E&S issues associated with the stock exchange $\Box$ E&S issues associated with companies (to be) listed and papers traded Not Applicable $\Box$ $\Box$ N_o Does the Exchange participate in The Sustainable $\Box$ Yes Stock Exchanges Initiative? Ă No http://www.sseinitiative.org Don't know $\Box$ Are any of the companies whose papers are listed on Yes $\Box$ the Exchange involved in activities on the EBRD's $\Box$ $\rm No$ Environmental and Social Exclusion List? (attached)? Don't Know

Does the stock exchange list and trade papers of companies with high E&S risk clients according to EBRD's environmental and social risk categorisation list (see http://www.ebrd.com/who-we-are/our- values/environmental-and-social-policy/tools-for- financial-intermediaries.html%20	Don't know. ā
Provide a sample breakdown by industry sector of listed companies dating from the last quarter.	Breakdown by industry sector of listed companies on 28 $\Box$ December 2018 attached.
Do listing rules for issuing companies specifically cover disclosure of material E&S risks and liabilities, and how they are being addressed by the company?	Yes (please give details and state where the $\Box$ requirement is located, e.g. company law, Stock Exchange regulations, Stock exchange's own statues/policies etc.) No A
Does the stock exchange offer sustainability-related	Yes $\Box$
guidance and/or training companies and/or investors?	N o x Don't know $\Box$
Please provide details of any initiatives taken or planned by the Exchange to raise issuing companies' awareness and/or to promote or require better transparency and disclosure on E&S-related performance and risk factors".	There were no initiatives taken or planned by the □ Exchange to raise issuing companies' awareness and/or to promote or require better transparency and disclosure on E&S-related performance and risk factors
Does the Exchange operate or plan to operate any sustainability indices?	Yes $\cancel{\bowtie}$ No $\Box$
Has the Stock exchange signed any national, international or industry agreements or declarations concerning environmental and social issues?	Yes (please provided details) $\Box$ N 0 $\cancel{\mathbb{X}}$
Stakeholder Engagement
Is there a point of contact for dealing with public enquiries and concerns related to environmental and social matters?	Name: Mario Golub Title: Head of Investor relations Phone/mobile: +385 1 4686 806 E-mail: ir@zse.hr
Does the Stock exchange disclose project / environmental/social information to stakeholders? (eg via web site, local newspapers, dialogue with issuing companies or investors on environmental and social matters, etc)?	Yes (please provide details) $\Box$ $\cancel{\mathbb{X}}$ No

Section 2: Compliance with EBRD's PR2: Labour and Working Conditions
2.1 What is the name of the employee with primary overall responsibility for Human Resource Management in the Stock exchange?
Name: Tamara Kajmić Košutić Title: Head of Legal Affairs and Human Resources Phone/Mobile: +38514686816 E-mail: tamara.kosutic@zse.hr
2.2 Human Resources Management
2.2.1 Have there been any changes to the following policies or terms and conditions during the reporting period: Non-discrimination and equal $\bullet$ opportunity policy Employment of young persons under $\bullet$ age 18 Wages (wage level, normal and $\bullet$ overtime) Overtime $\bullet$ Working hours $\bullet$ Grievance mechanism for workers ۰ Union recognition or negotiation ۰ Health & safety ٠	Yes $\square$ No 区	If yes, please give details:
2.2.2 Does the company have policies and/or procedures for any of the following: Gender equality $\bullet$ Equal pay for work of equal value $\bullet$ Anti-harassment/bullying $\bullet$ Promoting family friendly work and the $\bullet$ work/life balance	Yes □No ⊠ Yes □No ⊠ Yes≥No [] Yes □No	The Company has established anti-harassment program for workers to raise workplace concerns related to protection of employees' dignity. Program allows for confidential complaints to be raised and addressed. Person responsible for the above is Ivana Gažić, president of the Management Board.
2.2.3 Were there any collective redundancies during the reporting period?	Yes $\square$ No >	If yes, please describe the redundancy plan, including reasons for redundancies, number of workers involved, how they were selected, and consultation undertaken:
2.2.4 Are there any planned redundancies or additions to the workforce in the next year?	Yes $\square$ $No \cancel{\boxtimes}$
2.2.5 Have employees raised any grievances with the stock exchange during the reporting period?	Yes $\square$ $No & \times$	If yes, please state how many, summarise the issues raised in grievances (disaggregated by gender) and explain how the Stock exchange has addressed them:
2.2.6 Have there been any strikes or other collective disputes related to labour and working conditions at the Stock exchange in the reporting period?	Yes $\Box$ $No & \cancel{\triangleright}$	If yes, please summarise nature of disputes and how they were resolved

2.2.7 Have there been any court cases related to labour issues during the reporting period?	Yes $\Box$ $\boxtimes$ No.	If yes, please summarise the issues contested and outcome.

Section 3: Compliance with EBRD PR4: Occupational Health and Safety (or Workplace Health and safety)

What is the name of the employee with primary overall responsibility for Occupational Health and Safety within the Institution?

Name: Tamara Kajmić Košutić

Title: Head of Legal Affairs and Human Resources Phone/mobile: +385 1 4686816

E-mail: tamara.kosutic@zse.hr

Occupational and Safety (OHS) Data

Please provide details of any fatalities or major accidents that have not been reported to EBRD during the reporting period.

There were no fatalities or major accidents in 2018.

Please summarise any emergency prevention and response training that has been provided for company personnel during the reporting period:

Employees participated in training related to the safety work training. The mentioned covers: providing first aid to workers (2) employees), evacuation and rescuing (1 employee), safety at work (3 employees) and vision control (15 employees).

Please summarise any emergency response exercises or drills that have been carried out during the reporting period:

There was one emergency response exercise in 2018.

Abbreviations: ADB - Asian Development Bank EBRD - European Bank for Reconstruction and Development EIB - European Investment Bank FMO - Netherlands Development Finance Company IFC - International Finance Corporation IFI-International Finance Stock exchange KFW/DEG - KFW Banking Group Germany Development Corporation MDB - Multilateral Development Bank

AESR for Stock Exchanges February 2015 Page 4

EBRD Environmental and Social Exclusion List

EBRD will not knowingly finance, directly or indirectly, projects involving the following:

• (a) the production of or trade in any product or activity deemed illegal under host country (i.e. national) laws or regulations, or international conventions and agreements, or subject to international phase out or bans, such as:
• (i) Production of or trade in products containing PCBs.¹
• (ii)Production of or trade in pharmaceuticals, pesticides/herbicides and other hazardous substances subject to international phase-outs or bans.²
• (iii) Production of or trade in ozone depleting substances subject to international phase out.³
• (iv) Trade in wildlife or production of or trade in wildlife products regulated under CITES.⁴
• (v)Transboundary movements of waste prohibited under international law.⁵
• (b) Production or use of or trade in unbonded asbestos fibres or asbestos-containing products.
• (c) Activities prohibited by host country legislation or international conventions relating to the protection of biodiversity resources or cultural heritage.⁶
• (d) Drift net fishing in the marine environment using nets in excess of 2.5 km. in length.
• (e) Shipment of oil or other hazardous substances in tankers which do not comply with IMO requirements.⁷
• Trade in goods without required export or import licenses or other evidence of authorization of transit from the relevant $(f)$ countries of export, import and, if applicable, transit.

^<sup>1 PCBs: Polychlorinated biphenyls are a group of highly toxic chemicals. PCBs are likely to be found in oil-filled electrical transformers, capacitors and switchgear dating from 1950-1985.

^<sup>2 Reference documents are Council Regulation (EEC) No 2455/92 of 23 July 1992 Concerning the Export and Import of Certain Dangerous Chemicals, as amended from time to time; United Nations Consolidated List of Products whose Consumption and/or Sale have been Banned, Withdrawn, Severely Restricted or not Approved by Governments; Convention on the Prior Informed Consent Procedures for Certain Hazardous Chemicals and Pesticides in International Trade (Rotterdam Convention); Stockholm Convention on Persistent Organic Pollutants; World Health Organisation Recommended Classification of Pesticides by Hazard.

^<sup>3 Ozone Depleting Substances (ODSs): Chemical compounds which react with and deplete stratospheric ozone, resulting in the widely publicised 'ozone holes'. The Montreal Protocol on Substances that Deplete the Ozone Layer lists ODSs and their target reduction and phase out dates. A list of the chemical compounds regulated by the Montreal Protocol, which includes aerosols, refrigerants, foam blowing agents, solvents, and fire protection agents, together with details of signatory countries and phase out target dates, is available from the United Nations Environment Programme.

^<sup>4 CITES: The Convention on International Trade in Endangered Species of Wild Fauna and Flora. A list of CITES listed species is available from the CITES secretariat.

^<sup>5 Reference documents are: Regulation (EC) No 1013/2006 of 14 June 2006 on shipments of waste; Decision C(2001)107/Final of the OECD Council concerning the revision of Decision C(92)39/Final on the control of transboundary movements of wastes destined for recovery operations; Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal.

^<sup>6 Relevant international conventions include: Convention on the Conservation of Migratory Species of Wild Animals (Bonn Convention); Convention on Wetlands of International Importance, especially as Waterfowl Habitat (Ramsar Convention); Convention on the Conservation of European Wildlife and Natural Habitats (Bern Convention); Convention Concerning the Protection of the World Cultural and Natural Heritage; Convention on Biological Diversity.

$^7$ This includes: tankers which do not have all required International Convention for the Prevention of Pollution from Ships (MARPOL), International Convention for the Safety of Life at Sea (SOLAS) certificates (including, without limitation International Safety Management Code compliance), tankers blacklisted by the European Union or banned by the Paris Memorandum of Understanding on Port State Control (Paris MOU) and tankers due for phase out under MARPOL regulation 13G. No single hull tanker over 25 years old should be used.

Zagrebačka burza d.d.

2018

Sektorska klasifikacija

Zagreb, veljača 2019.

Oznaka	Naziv	Broj uvrštenih vrijednosnica
$\mathsf{A}$	Poljoprivreda, šumarstvo i ribarstvo	6
CA	Proizvodnja prehrambenih proizvoda, pića i duhanskih proizvoda	17
CB	Proizvodnja tekstila, odjeće, kože i srodnih proizvoda	6
cc	Proizvodnja proizvoda od drva i papira, tiskanje	$\overline{2}$
CD	Proizvodnja koksa i rafiniranih naftnih proizvoda	$\mathbf{1}$
CE	Proizvodnja kemikalija i kemijskih proizvoda	$\overline{2}$
CF	Proizvodnja osnovnih farmaceutskih proizvoda i farmaceutskih pripravaka	$\mathbf{1}$
CH	Proizvodnja osnovnih metala i proizvodnja izrađenih metalnih proizvoda, osim strojeva i opreme	$\mathbf{1}$
CI	Proizvodnja računala te elektroničkih i optičkih proizvoda	$\overline{2}$
CJ	Proizvodnje električne opreme	3
CL	Proizvodnja transportne opreme	$\overline{4}$
F	Građevinarstvo	3
${\mathsf G}$	Trgovina na veliko i na malo; popravak motornih vozila i motocikala	12
н	Prijevoz i skladištenje	10
I	Djelatnosti pružanja smještaja te pripreme i usluživanja hrane	29
JA	Izdavačke djelatnosti, filmska djelatnost i djelatnosti snimanja zvučnih zapisa te djelatnosti emitiranja programa	$\overline{2}$
JB	Telekomunikacije	$\overline{2}$
К	Financijske djelatnosti i djelatnosti osiguranja	19
$\mathsf{L}$	Poslovanje nekretninama	$\overline{2}$
MA	Pravne, računovodstvene, upravljačke, arhitektonske djelatnosti i inženjerstvo te tehničko ispitivanje i analiza	5
MB	Znanstveno istraživanje i razvoj	$\mathbf{1}$
MC	Ostale stručne, znanstvene i tehničke djelatnosti	$\mathbf{1}$
${\sf R}$	Umjetnost, zabava i rekreacija	$\mathbf{1}$

Tomislav Gračan

ČKA BURZA d.d.

$\mathbf{1}$

Prilog 2. Postupanje u skladu sa socijalnim pravom

Naši su zaposlenici naš najvažniji resurs. Naša je politika postupanje u skladu s mjerodavnim zakonima i propisima, među kojima su oni o radnom vremenu, naknadama, mogućnosti, ljudskim pravima i radnim uvjetima.

Tijekom 2018. godine Društvo je postupalo u skladu sa sljedećim zakonima:

• $\mathbf{1}$ . Zakon o radu
• $2.$ Zakon o zaštiti na radu

Društvo nema obvezu pridržavanja odredbi Zakona o zaštiti okoliša.

Tijekom 2018. godine nije bilo provođenja inspekcija bilo kojeg regulatornog tijela, kao ni kršenja mjerodavnih zakona, propisa ni normi te nisu poduzimane korektivne mjere ni propisivane kazne u vezi s takvim kršenjem.

Nije bilo bitnih obavijesti, izvještaja ni drugog priopćavanja o zaštiti okoliša i socijalnim pitanjima u vezi s poslovanjem i aktivnostima Društva koje Društvo dostavlja bilo kojem regulatornom tijelu.

Prilog 3. Informacije o upravljanju zaštitom zdravlja i sigurnosti na radnom mjestu

Društvo prepoznaje važnost sprječavanja ili ublažavanja nepovoljnih utjecaja i problema za zdravlje i sigurnost radnika.

Društvo je donijelo Pravilnik o zaštiti na radu kojim se uređuje njegov pristup u pogledu vlastite veličine i radne snage u skladu s nacionalnim pravom.

Tijekom 2018. godine nije bilo provođenja inspekcija bilo kojeg regulatornog tijela, kao ni kršenja mjerodavnih zakona, propisa ni normi. Društvo nije dostavilo nikakve bitne obavijesti ni izvještaje o zaštiti okoliša i socijalnim pitanjima u vezi s poslovanjem i aktivnostima Društva bilo kojem regulatornom tijelu.

Društvo svojim radnicima pruža odgovarajuće informacije, smjernice i obuku u vezi s opasnostima za zdravlje i sigurnost, rizicima, zaštitnim i preventivnim mjerama i mehanizmima za slučaj nužde koji su potrebni za njihovu sigurnost.

Tijekom 2018. nije bilo značajnih ozljeda na radu, nezgoda koje bi prouzročile gubitak radnog vremena ni izbjegnutih nesreća, kao ni poduzimanja ili planiranja olakšavajućih mjera od strane Društva. Dva zaposlenika sudjelovala su u obuci za pružanje prve pomoći radnicima, tri zaposlenika sudjelovala su u obuci vezanoj uz osposobljavanje radnika za rad na siguran način, a jedan zaposlenik sudjelovao je u edukaciji vezanoj uz evakuaciju i spašavanje. Petnaest zaposlenika upućeno je na obaveznu kontrolu vida. Pored navedenog, izrađena je nova procjena rizika od strane ovlaštenog društva Instituta za sigurnost Zagreb.