# Neuberger Berman Emerging Markets Sustainable Equity Fund (Continued)
## Statement of Significant Purchases and Sales (Continued)
Aggregate sales greater than one percent of the total value of sales:
| Units | Security Description | Proceeds US$ |
| --- | --- | --- |
| 163,592 | Samsung Electronics Co Ltd | 11,781,255 |
| 7,604,000 | China Longyuan Power Group Corp Ltd - H Shares | 10,799,792 |
| 412,000 | Taiwan Semiconductor Manufacturing Co Ltd | 8,700,263 |
| 254,600 | JP Morgan Structured Product, 19/04/2021 – Participatory Notes | 8,686,832 |
| 1,830,720 | NARI Technology Co Ltd Class A | 8,628,479 |
| 156,000 | Reliance Industries Ltd GDR | 8,546,497 |
| 343,688 | ACC Ltd, 29/04/2021 – Participatory Notes | 7,907,939 |
| 91,600 | Tencent Holdings Ltd | 7,342,026 |
| 99,340 | Coway Co Ltd | 6,207,867 |
| 199,200 | Alibaba Group Holding Ltd | 5,751,461 |
| 461,620 | IndusInd Bank Ltd, 01/09/2021 – Participatory Notes | 5,561,649 |
| 38,872 | Com2uS Corp | 5,537,288 |
| 3,741,600 | Huatai Securities Co Ltd - H Shares | 5,402,966 |
| 512,000 | Accton Technology Corp | 5,389,157 |
| 20,764 | Naspers Ltd Class N | 5,200,275 |
| 676,000 | Bharti Airtel International Netherlands BV, 21/01/2022 – Participatory Notes | 4,891,536 |
| 313,208 | ICICI Bank Ltd ADR | 4,851,948 |
| 1,002,792 | Banco Bradesco SA - Preferred Shares | 4,676,080 |
| 556,000 | China Merchants Bank Co Ltd - H Shares | 4,587,474 |
| 3,136,000 | Times China Holdings Ltd | 4,336,353 |
| 54,708 | Dino Polska SA | 3,861,698 |
| 378,840 | BIM Birlesik Magazalar AS | 3,848,059 |
| 3,632,000 | 3SBio Inc | 3,512,716 |
| 26,216 | Credicorp Ltd | 3,492,034 |
| 36,812 | Rio Tinto Plc | 3,199,981 |
| 3,868 | LG Chem Ltd | 3,163,606 |
| 536,000 | China Resources Gas Group Ltd | 3,152,707 |
| 68,000 | Parade Technologies Ltd | 3,089,910 |
| 1,547,600 | CP ALL PCL | 2,860,454 |
| 280,000 | Tsingtao Brewery Co Ltd - H Shares | 2,844,804 |
| 36,116 | HDFC Bank Ltd ADR | 2,784,896 |
| 23,100 | SK Hynix Inc | 2,669,398 |
| 1,187,600 | Poly Developments & Holdings Group Co Ltd Class A | 2,636,623 |
| 64,800 | JD.com Inc Class A | 2,495,778 |
| 158,400 | ASM Pacific Technology Ltd | 2,493,068 |

INTERIM REPORT 2021  701
FINANCIAL STATEMENTS BALANCE SHEET
| Neuberger Berman China Equity Opportunities Fund |  |
| --- | --- |
| Balance Sheet |
|  | Note | As at 31 December 2020* US$ |
| Current Assets |  |  |
| Cash and cash equivalents | 2 | 43,811 |
| Income receivable and other assets |  | 1,552 |
| Total Assets |  | 45,363 |
|  |  |  |
| Current Liabilities |  |  |
| Accrued expenses |  | 18,256 |
| Other payables |  | 27,107 |
| Liabilities (excluding Net Assets Attributable to Holders of Redeemable Participating Shares) |  | 45,363 |
|  |  |  |
| Net Assets Attributable to Holders of Redeemable Participating Shares |  | – |

The accompanying notes form an integral part of the financial statements. 702 NEUBERGER BERMAN INVESTMENT FUNDS PLC
PROFIT AND LOSS ACCOUNT FINANCIAL STATEMENTS
| Neuberger Berman China Equity Opportunities Fund | (Continued) |  |
| --- | --- | --- |
| Profit and Loss Account |  |
|  | Note | Six Months Ended 30 June 2020 US$ |
| Income |  |  |
| Interest Income |  | 251 |
| Dividend Income |  | 15,231 |
| Net Gain/(Loss) on Financial Assets and Liabilities at Fair Value through Profit or Loss |  | 2,054 |
|  |  | 17,536 |
|  |  |  |
| Expenses |  |  |
| Management Fee | 5 | 7,203 |
| Distribution Fee | 5 | 776 |
| Administration Fee | 5 | 10,919 |
| Commitment Fee | 16 | 65 |
| Custody Fee | 5 | 5,975 |
| Depositary Fee | 5 | 66 |
| Professional Fee | 7 | 21,406 |
| Directors' Fee | 6 | 2,375 |
| Transaction Costs | 7 | 8,768 |
| Audit Fee | 7 | 5,984 |
| VAT Rebate |  | (5) |
| Other Expenses | 7 | 4,271 |
| Expense Waiver | 5 | (56,193) |
| Total Expenses |  | 11,610 |
|  |  |  |
| Finance Costs |  |  |
| Distribution Paid | 1 | 7,756 |
|  |  | 7,756 |
|  |  |  |
| Withholding Tax |  | 1,018 |
|  |  |  |
| Profit/(Loss) Attributable to Holders of Redeemable Participating Shares from Operations |  | (2,848) |
| * Portfolio liquidated on 30 November 2020. |  |  |
| Income and expenses arose solely from discontinued operations. |  |  |

The accompanying notes form an integral part of the financial statements.
INTERIM REPORT 2021  703
FINANCIAL STATEMENTS STATEMENT OF CHANGES IN NET ASSETS

Translation (ENDE, 2021-06-30):
# Neuberger Berman Emerging Markets Sustainable Equity Fund (Fortsetzung)
## Aufstellung der wesentlichen Käufe und Verkäufe (Fortsetzung)
Gesamtverkäufe, die ein Prozent des Gesamtwerts der Verkäufe übersteigen:
| Anteile | Wertpapierbezeichnung | Erlöse US$ |
| --- | --- | --- |
| 163.592 | Samsung Electronics Co Ltd | 11.781.255 |
| 7.604.000 | China Longyuan Power Group Corp Ltd - H Shares | 10.799.792 |
| 412.000 | Taiwan Semiconductor Manufacturing Co Ltd | 8.700.263 |
| 254.600 | JP Morgan Structured Product, 19/04/2021 – Participatory Notes | 8.686.832 |
| 1.830.720 | NARI Technology Co Ltd Class A | 8.628.479 |
| 156.000 | Reliance Industries Ltd GDR | 8.546.497 |
| 343.688 | ACC Ltd, 29/04/2021 – Participatory Notes | 7.907.939 |
| 91.600 | Tencent Holdings Ltd | 7.342.026 |
| 99.340 | Coway Co Ltd | 6.207.867 |
| 199.200 | Alibaba Group Holding Ltd | 5.751.461 |
| 461.620 | IndusInd Bank Ltd, 01/09/2021 – Participatory Notes | 5.561.649 |
| 38.872 | Com2uS Corp | 5.537.288 |
| 3.741.600 | Huatai Securities Co Ltd - H Shares | 5.402.966 |
| 512.000 | Accton Technology Corp | 5.389.157 |
| 20.764 | Naspers Ltd Class N | 5.200.275 |
| 676.000 | Bharti Airtel International Netherlands BV, 21/01/2022 – Participatory Notes | 4.891.536 |
| 313.208 | ICICI Bank Ltd ADR | 4.851.948 |
| 1.002.792 | Banco Bradesco SA - Preferred Shares | 4.676.080 |
| 556.000 | China Merchants Bank Co Ltd - H Shares | 4.587.474 |
| 3.136.000 | Times China Holdings Ltd | 4.336.353 |
| 54.708 | Dino Polska SA | 3.861.698 |
| 378.840 | BIM Birlesik Magazalar AS | 3.848.059 |
| 3.632.000 | 3SBio Inc | 3.512.716 |
| 26.216 | Credicorp Ltd | 3.492.034 |
| 36.812 | Rio Tinto Plc | 3.199.981 |
| 3.868 | LG Chem Ltd | 3.163.606 |
| 536.000 | China Resources Gas Group Ltd | 3.152.707 |
| 68.000 | Parade Technologies Ltd | 3.089.910 |
| 1.547.600 | CP ALL PCL | 2.860.454 |
| 280.000 | Tsingtao Brewery Co Ltd - H Shares | 2.844.804 |
| 36.116 | HDFC Bank Ltd ADR | 2.784.896 |
| 23.100 | SK Hynix Inc | 2.669.398 |
| 1.187.600 | Poly Developments & Holdings Group Co Ltd Class A | 2.636.623 |
| 64.800 | JD.com Inc Class A | 2.495.778 |
| 158.400 | ASM Pacific Technology Ltd | 2.493.068 |

HALBJAHRESBERICHT 2021 701
HALBJAHRESABSCHLUSS BILANZ
| Neuberger Berman China Equity Opportunities Fund |  |
| --- | --- |
| Bilanz |
|  | Anm. | Zum 31. Dezember 2020* US$ |
| Umlaufvermögen |  |  |
| Barmittel und Barmitteläquivalente | 2 | 43.811 |
| Ertragsforderungen und sonstiges Vermögen |  | 1.552 |
| Vermögenswerte insgesamt |  | 45.363 |
|  |  |  |
| Kurzfristige Verbindlichkeiten |  |  |
| Antizipative Passiva |  | 18.256 |
| Sonstige Verbindlichkeiten |  | 27.107 |

Verbindlichkeiten (ohne das auf Inhaber rückzahlbarer, gewinnberechtigter Anteile entfallende Nettovermögen)
45.363
Auf Inhaber rückzahlbarer, gewinnberechtigter Anteile entfallendes Nettovermögen	–
Die Anmerkungen im Anhang sind wesentlicher Bestandteil des Halbjahresabschlusses. 702 NEUBERGER BERMAN INVESTMENT FUNDS PLC
GEWINN- UND VERLUSTRECHNUNG HALBJAHRESABSCHLUSS