COVID-19 Updates and Preparedness

March 12, 2020

Dear Clients,

In the midst of COVID-19’s disruptions – be it business travel, general operations or marketing – HCW strongly believes that now is not the time to halt communication with Investors. For many of our Clients there is a shared belief that now is a critical time to maintain clear lines of communication with shareholders, Institutional Investors and the market in general. That is why HCW is continuing our commitment to providing Clients with virtual non-deal roadshows via our media room portal. With a professional production team, state of the art technology and a strong following of Institutional Investors, HCW believes in prioritizing Issuer connectivity with buyside clients. We also provide services that allow us to host a Client created video recording and latest investor presentation to present on our portal. The HCW team is standing by to help with your marketing continuity needs and source customized virtual non-deal roadshow solutions. Please allow us to help maximize your institutional exposure through safe, web-based and effective modes of communication.

Sincerely,

Mark

Mark Viklund
Chief Executive Officer
H.C. Wainwright & Co., LLC
430 Park Avenue, 3rd Floor
New York, NY 10022
info@hcwco.com

March 11, 2020

Dear Clients and Employees,

H.C. Wainwright & Co. (“HCW”) is here for our clients and employees. During this volatile time in the broader markets we will continue to provide financial, strategic and deal execution services in support of our global client base while implementing common sense measures to protect the safety and health of our valued clients and employees. During this time of turbulence we have continued our unwavering dedication to our clients and we continue to maintain our capital markets leadership position and momentum for the benefit of our corporate and institutional clients. HCW has been, and we expect to continue to be active on behalf of our Issuer and Investor Clients. We have a tested and tactical dispersion plan in place and we remain at-the-ready to execute at a moment’s notice.

HCW is actively monitoring COVID-19 developments in the United States, Europe and rest of world. Our COVID-19 preparedness is integrated into our existing HCW business continuity protocols. HCW is actively reviewing the Centers for Disease Control & Prevention (CDC) and World Health Organization (WHO) websites, and similar local health websites for guidance regarding updated workplace best practices in addition to travel and large community events.

Several key components of our business continuity planning include:

1. Sanitation Protection: HCW has increased the use of disinfectant wipes, hand sanitizers and the frequency of daily sanitizing common areas. We encourage all clients, employees and visitors to our office to wash their hands frequently.
2. Declaration Plan: All clients and employees who have been exposed to anyone who has travelled to Level 2 and Level 3 countries and / or is experiencing symptoms of COVID-19, are restricted from accessing our NYC office. Additionally, we strongly urge those who feel ill or are experiencing flu-like symptoms to remain at home.
3. Travel Policy: All non-essential travel is restricted. There will be no travel permitted to Level 2 and Level 3 countries and any identified containment areas within any country. All employees should offer clients an opportunity to conduct webcasts, conference calls and other alternatives to in-person meetings, and comply accordingly.

HCW remains committed to delivering exceptional client service during this uncertain time. HCW executive management is actively working within our business continuity planning measures to ensure full transparency and best practices in support of all of our Clients.

Should you have any questions, or requests for further information, please do not hesitate to contact us.

Sincerely,

John W. Chambers
President
Head of Investment Banking
Office: 212-356-0535
Email: jchambers@hcwco.com
Richard E. Gormley
Vice Chairman
President of Capital Markets
Office: 212-356-0506
Email: rgormley@hcwco.com
Michael E. Meyers
Vice Chairman, Head of M&A and
Strategic Advisory Services
Office: (212) 856-5725
Email: mmeyers@hcwco.com

March 9, 2020

Dear Friends,

We hope this email finds you and your family doing well during this troubling and difficult time. Please let us know if there is anything we can help with.

As you know and have come to expect from us, H.C. Wainwright & Co. (“HCW”) is open for business and will continue to provide financial, strategic and deal execution services for our global client base. In spite of the COVID-19 disruptions, we have continued our unwavering dedication to – and marketplace dominance in – the Capital Markets. Since the beginning of the year we have participated in 58 transactions totaling over +$2 Billion of value and continue to operate across all business lines: Sales & Trading, ECM, Corporate Access, Virtual Non-Deal Roadshows and Equity Research.

Given the 24-hour nature of our agile business model, HCW has always implemented distributed workforce capabilities. Accordingly while other institutions are instituting new measures of preparedness, HCW stands at the ready. Working remotely around the clock, stress-testing systems and operating in tumultuous times is where HCW feels most comfortable. HCW remains active on behalf of our Issuer and Investor Clients. Our Institutional Investors continue to remain engaged and hope to deploy capital in an intelligent and analytical manner. We have a proven and tactical dispersion plan in place and will remain at the ready to execute at a moment’s notice.

HCW is actively monitoring developments around the spread of COVID-19 in the United States, Europe and the rest of world. We will review the Centers for Disease Control & Prevention (CDC), World Health Organization (WHO) and similar websites for updated guidance.

Should you have any questions, or requests for further information, please do not hesitate to contact us.

Sincerely,

Mark
Mark Viklund
Chief Executive Officer
H.C. Wainwright & Co., LLC
430 Park Avenue, 3rd Floor
New York, NY 10022
info@hcwco.com