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Business Continuity Plan Disclosure

SunTrust Robinson Humphrey, a wholly-owned subsidiary of SunTrust Banks, Inc., has a comprehensive Business Continuity Plan that is designed to mitigate business disruption in varying degrees of severity. The firm maintains a remote recovery location to facilitate the continuation of business should a disruption occur. The firm’s intent is to continue business should a localized event take place. A remote facility, which is within reasonable proximity to our main locations but remote enough to be on a different utility infrastructure, will be up and running within twenty-four hours of a disaster being declared.

Redundant data facilities

Currently, some critical applications that support the core businesses of the firm are backed up frequently throughout the business day. Additionally, each night all of the data is backed up to electronic storage media and housed at an off-site secured location. Should a disruption occur intra day, it is estimated that some portion of that day’s activity would need to be reconstructed.

Dispersion of personnel

SunTrust Robinson Humphrey has personnel in several areas of the country. Should a disruption occur that would impede the operations of any remote office, the personnel in the headquarters facilities would assume functionality for that location. Should a disruption occur at one of the headquarters offices, personnel would be relocated to our designated recovery facility.

Degrees of disruption

The main facilities for the Equity and the Debt Divisions are in separate locations. Should an incident occur at either location, the critical functions of the affected businesses will be resumed at the designated recovery facility within twenty-four hours of disruption.

The plan is designed to restore business operations within twenty- four hours should a disruption occur at a business district level or at a city-wide level, depending on the extent of that disruption.

Should a major disruption occur that would have a devastating effect on regional infrastructure, the firm will first ascertain the estimated duration of the disruption and then determine how to proceed. If the disruption is of such magnitude that the regional infrastructure will be disabled for an undetermined period of time, the firm will evaluate the alternatives available through our major business constituents (businesses with which we have an ongoing commercial relationship in support of our operating activities) and remote facilities to provide our clients the quickest service possible. The firm will draw on all available resources within the SunTrust Banks, Inc. resource pool to serve our clients via the most immediate means. Status of the firm’s operations and course of action will be updated on our web site.

A summary of the referenced Business Continuity Plan is available upon request.