ETHOS: Stokes Wagner Team Member Handbook - January 2020

ETHOS TEAM MEMBER HANDBOOK | January 2020 ETHOS I 1

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ETHOS Team Member Handbook January 2020 Ethos is an interactive handbook containing a variety of links to other sources. If I find any links that are not working, I will notify the leadership team. ETHOS I 3

Too much sanity may be madness, but maddest of all is to see life as it is and not as it should be. - Don Quixote, Miguel de Cervantes 4

Ethos means character. We call our handbook Ethos because it describes the best way to live and work – with character. We live in a world that leaves many people numb to mediocrity. Our Firm believes that persevering excellence conquers all. This takes hard work and commitment. Why should we do anything unless we want to do it well? And, while doing it well, shouldn’t we also have fun? Working well at Stokes Wagner means pursuing the truth ethically, courageously, critically, and creatively. It means being brilliantly indigenous with our clients, who come from all over. This requires respecting the diversity and variety that each of us brings to cases. At Stokes Wagner, we experience successes and failures, setbacks and victories. All human emotions come into play. Our job is to make certain our clients can sleep well at Arch night knowing we are there, that we are righting a wrong for them. It can get stressful. We , sailing Cape Horn, 2015. deal with it in the very best way, and that is together, applying that age-old Golden Rule of reciprocity: we treat each other with kindness and civility that we hope to receive ourselves. Under this rule, all of us at Stokes Wagner can feel treasured and appreciated. Welcome Aboard! Arch Stokes Chair ETHOS I 5

CONTENT MEET THE TEAM 8 WHO WE ARE 11 HOW WE TREAT EACH OTHER 12 HOW TO SWIM 16 SWEET REWARDS 20 SWELLNESS 22 R&R 24 IMPORTANT FORMS 26

ThinkDifferently BeCreative PEuvros ukeeEPxac eslsl einocne Be Hungry & Humble UNDERPROMISE &OVERDELIVER

Jordan Lynne Kara Shirley Jacque, Arch, Diana, Felicia Shareholder Chair COO Sadie t Paul, CFO Monique Christina Hayden, THE Marianne, Trina CEO LEADERSHIP Admininstrator Jamie Susan, Controller TEAM 8 Adam, Sarah Shareholder Peter, Shareholder Eleanor, John, Dir. of Litigation Serv. GC Ashley, Anne-Marie Shareholder Estela Beth Ten Taryn Karl

MEET THE TEAM (Click each team members photo to check out their bio) ETHOS I 9

W Nimble. Energized. Preventive. Impactful. Humble. 10

WHO WE ARE GUIDING PRINCIPLES We apply ethos, pathos and logos. We love complex and daunting challenges. We think about the trees, but never forget the forest. We believe in the legal system and trust in our skills and experience. We emphasize responsiveness. We embrace pragmatism and speak plainly. We are passionate about culture. We inspire resolutions and earn long-term relationships. We measure our success by the results we achieve for our clients. ETHOS I 11

01HOW WE TREAT EACH OTHER DIVERSITY IS SOUGHT AND and my fellow team members with equal CELEBRATED employment opportunities regardless Stokes Wagner believes in the genius of race, color, ancestry, national origin, of diversity. With diversity comes religion, creed, age, mental or physical innovation; we strive to be the most disability, sex or gender (including innovative advisors. We are committed pregnancy, childbirth, breastfeeding to creating a work environment where or related medical conditions), sexual team members can exercise their orientation, gender identity and/or creativity and do something really expression, medical condition, genetic meaningful, which means treating information, marital status, military and everyone with dignity and respect. veteran status, or any other protected Stokes Wagner will always provide me classes under law. 12 I How We Treat Each Other

At Stokes Wagner we simply LOVE the IMMIGRATION POLICY human race. Stokes Wagner complies with I will always treat our clients and fellow immigration law and only hires team members with dignity and respect. individuals who can legally work in the I will learn and respect the customs and United States. I understand that as a traditions of clients and team members new team member I will be required to in all circumstances, except where provide the necessary documents to doing so would either violate the law or prove I am authorized to work in the interfere with my job. United States within thirty (30) days. WE LISTEN AND ARE HERE TO HELP If I am working under temporary permits, Stokes Wagner values inclusion and I will keep my work status current and respect in all facets of our practice. provide Stokes Wagner with proof of We also understand a team member’s the right to work as necessary. ability to do their job may be affected by INAPPROPRIATE CONDUCT IS NEVER internal influences or external events. ACCEPTABLE Stokes Wagner promises to listen. Stokes Wagner was founded on the Stokes Wagner will always participate principle that all humans are entitled to in a two-way conversation to see what be treated with dignity and respect. We accommodations can be made to help are firm believers in The Golden Rule and me while dealing with a disability or that our best work product results from a change in my circumstances, or to working collaboratively as a team. With allow me to follow and practice my this in mind, it is easy to understand religious beliefs. Stokes Wagner will that Stokes Wagner does not tolerate not discriminate against me or any inappropriate conduct. applicant because of my religious beliefs I understand that any conduct that or because of a disability, or perceived violates Stokes Wagner’s Ethos is disability, so long as I can perform the strictly prohibited and may subject me essential functions of my job. If I need to disciplinary action up to and including an accommodation, I will contact my termination. leadership team. Linked on the next page are a few examples of inappropriate conduct. ETHOS I 13

RETALIATION HARASSMENT/ DISCRIMINATION ABUSIVE CONDUCT WORKPLACE VIOLENCE 14 I How We Treat Each Other

UNACCEPTABLE CONDUCT in this regard, if I see a work condition The Golden Rule and common sense will that I think is unsafe, I will let the get me pretty far in upholding Stokes leadership team know. Similarly, if I Wagner’s expectations for workplace am injured at work, I will immediately conduct, but if in doubt, I will remember inform the leadership team. I am able to The Video Rule: if what I am doing or communicate freely with my leadership saying in the workplace can be shown team in person, on the phone, via email, by video to the people I respect the or via the anonymous feedback link. I most in the world, then it’s probably can review more info here. okay. If not, it’s probably not okay. PARTNERS IN COMPLIANCE - I was brought on as a team member SEE SOMETHING, SAY SOMETHING because the Firm saw something in me Creating and maintaining a work that makes me different and special. So, environment that is in line with Ethos is they expect me to make good decisions. the responsibility of every single person But, I can always ask if something is okay. working at the Firm. I promise to hold I can also review a list of unacceptable up my end of the deal and be a Partner conduct here. in Compliance with Stokes Wagner. WORKPLACE SAFETY If at any time I witness, or experience At Stokes Wagner, we always put conduct that falls below Ethos, I will safety first. This means that we are all bring the matter to the attention of responsible for ensuring a safe work leadership. If I’m not comfortable environment and being constantly doing so, I can anonymously raise my aware of conditions in all work areas concerns here. I understand that I am that can produce injuries. The managing not only looking out for myself, but also shareholder of each office is responsible the well-being of others. That’s why it’s for ensuring a safe work environment so important that I don’t let my concerns free from accidents or illness. To help go unaddressed. ETHOS I 15

02HOW TO SWIM (NOT SINK) 16 I How to SWim

INTRODUCTORY PERIOD LOOK THE PART Like any other relationship, it’s important We are advocates for some of the most we get to know each other. My first 90 outstanding hospitality businesses days of work are an Introductory Period in the world. Their standards are our during which I will be an “at will” Team standards. We are all professional adults Member. During my first 90 days I and will act accordingly. This means may not be eligible for certain benefits dressing for the day ahead. I can find like vacation use and some SWellness more info here. benefits. The Leadership Team will TECHNOLOGY answer any questions I have in this There is no substitute for human regard. interaction, but Stokes Wagner also CONFIDENTIALITY & CONFLICTS OF understands that we’re a Firm that INTEREST embraces travel, work/life balance, and Stokes Wagner has the privilege and thinking outside the box. Technology the pleasure of representing amazing is key to making that possible. So, with clients – and we treasure each of that in mind, I can find our ground rules them. To follow the attorney-client here. privilege is paramount. I can review our SOCIAL MEDIA confidentiality policy here; I can review Social media can be a friend or foe. Stokes our conflicts of interest policy here. Wagner is proud of its team members’ VISITING OUR CLIENTS associating themselves with the Firm on We pride ourselves on setting boots social media, but it’s important to adhere on the ground wherever our clients to these policies and procedures. are located. We have tried cases and PERSONAL DEVICES ON THE MOVE – handled legal matters in every U.S. state OUR BYOD POLICY and in seven foreign countries. Travel is Technological mobility is undeniably part simply part of our DNA. When traveling of our modern lives. Stokes Wagner lets for work or visiting any client’s property, me use my personal computer or mobile I will keep in mind these ground rules. device (“Personal Device”) for work. By doing so, I agree to these ground rules. ETHOS I 17

MEDIA INQUIRIES PROFESSIONAL CONDUCT We are privileged to represent high Whether I am on or off duty, I am an profile brands and individuals. Not ambassador of the Stokes Wagner surprisingly, these clients and the brand and will always observe the matters in which they are involved highest standards of professionalism. sometimes attract public or media Here are my expectations. attention. If I receive any media COACHING & COUNSELING inquiries I will adhere to the guidelines Successful people build each other found here. up. They motivate, inspire, and DRUGS & ALCOHOL push each other. At Stokes Wagner, Moderation is key. Stokes Wagner we counsel and coach positively. encourages fun and creativity, but we However, at times there is a need are also committed to providing our for discipline. Stokes Wagner uses a team members a safe place to work. I system of warnings or progressive can review our guidelines for drug and discipline when and if it is helpful and alcohol use here. appropriate under the circumstances. 18 I How to SWim

These are the measures I can expect discourage, prevent or interfere with to see the Firm take when faced with an investigation, disciplinary action the need to correct improper conduct. will be taken against me. INVESTIGATING COMPLAINTS If any violation is found to have Keeping in line with our Partners in occurred, appropriate disciplinary Compliance promise, Stokes Wagner action up to and including termination will investigate all complaints. The will be taken against the wrongdoer, investigation will be fair, objective, and steps will be taken to ensure thorough, timely, and conducted by a that further inappropriate acts are qualified person. Investigations will be prevented. kept confidential. I am expected to fully participate in ETHOS I 19 any investigation, whether I am the person making the complaint or the alleged wrongdoer. If I attempt to

03SWEET REWARDS Stokes Wagner is a small Firm with a big footprint and strives to hire the best of the best. Stokes Wagner’s pay rates and benefits are designed to attract and retain the best talent. If I have any questions, suggestions or concerns about my pay or benefits, I am encouraged to speak to a member of the leadership team. I can find my Sweet Rewards here. 20 I SWeet Rewards

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04SWELLNESS Stokes Wagner is interested in my well-being and offers me amazing benefits through the SWellness program. I can check out all SWellness has to offer on the following page. 22 I SWellness

MMUNITY SOCIAL PAWPALS CO PHYSICAL FINANCIAL CAREER ETHOS I 23

0 24 I R&R

05R&R WORK HARD, PLAY HARD LEAVES OF ABSENCE Stokes Wagner really believes in a work/ When I need time off to care for myself life balance and encourages me to take or my family, or to get things done, paid time off from work to relax, travel, Stokes Wagner is here to support me. I and have amazing experiences. A healthy can review the several leaves of absence work/life balance fosters creativity and available to me here. helps me stay focused and present in the moment, whether I’m at work or at home. A creative workplace is an engaging and innovative workplace. I can find my vacation and sick leave options here. ETHOS I 25

06IMPORTANT FORMS 26 I Important Forms

OUR DISPUTE RESOLUTION AGREEMENT This is an agreement between Stokes Wagner and _____________________. Both parties agree today, __________________________, 20__, to abide by the following dispute resolution procedure. In any job, problems and complaints may arise. Here at Stokes Wagner, we believe that most problems and complaints can be settled when a team member promptly and appropriately discusses the facts with their team leader. However, Stokes Wagner and I recognize the need for a system that will ensure that more substantial disagreements are fully heard and fairly decided. Therefore, Stokes Wagner offers a procedure to assure that problems and complaints are resolved in a transparent and consistent manner – this is called the Dispute Resolution Process (DRP). This agreement is completely mutual – in other words, this agreement will be used for an applicable complaint by both me and Stokes Wagner. Any one of the five steps of the DRP may be waived, and they may be taken out of order. The DRP works as follows: STEP 1: I will file a written complaint with the leadership team no more than ten (10) work days after I learn of the problem. The leadership team may assist me in preparing my complaint. STEP 2: The leadership team will investigate my written complaint. This investigation will include a documented meeting with me, a review of relevant documents, and a meeting with other individuals mentioned in my complaint. STEP 3: The leadership team will issue a written decision to me. STEP 4: If I am not satisfied with the final written decision of the leadership team, I may appeal to Stokes Wagner’s General Counsel within seven (7) days ETHOS I 27

after receiving the decision. The general counsel will meet with me and give me a written decision on my appeal. STEP 5: If I am not satisfied with the findings in any of the steps above, then I must submit my complaint to be heard by an independent arbitrator. To be eligible for arbitration, my complaint must be based on, related to, or arising out of my application, hiring, employment and/or end of my employment. The DRP does notapply to certain types of disputes that the law does not allow to be resolved through the arbitration process, such as workers’ compensation benefits, unemployment compensation benefits, employee welfare benefit and pension plans, and any other claims prohibited by law from being resolved by arbitration. I may choose to opt out of the DRP, but before I make that decision, I should take a moment to fully review and understand this document. Below is information about Stokes Wagner’s arbitration policy that will help in my decision. What is Arbitration? “Arbitration” means the settlement of a dispute by one or more independent persons who are chosen by me and Stokes Wagner to hear both sides of the complaint and then come to a decision. In an arbitration, both sides agree to abide by the decision of the arbitrator, whatever that decision may be. Therefore, the arbitrator’s decision will be final and binding on me and Stokes Wagner. Judgment on the award or decision of the arbitrator may be entered in any court having legal authority over such matters. This agreement does not prohibit me from filing an administrative charge with an outside government agency such as the EEOC or local or state civil rights agency. If I do file with such an agency, the DRP will be placed on hold until that agency makes its determination. How do I Start the Arbitration Process? I understand that my request for arbitration must be submitted in writing to the leadership team or to the General Counsel for the Firm within ninety (90) days after the date of the final written decision in Step 4 except where federal and/or state law allow a longer time period in which to file my complaint. 28 I Important Forms

If I elect to have my complaint resolved through the arbitration provision of the DRP (by not opting out), Stokes Wagner agrees to submit any claims that it may have against me arising from my employment to binding arbitration on the same terms. Who Decides the Dispute? Unless Stokes Wagner and I agree to a different arbitration company, the arbitration shall be administered by the American Arbitration Association (“AAA”). Stokes Wagner and I may choose to agree to a different dispute resolution company if we so desire. AAA’s “National Rules for the Resolution of Employment Disputes” will be used in any mediation and/or arbitration proceeding. A copy of these rules is available from the leadership team or on their web site at www.adr.org. Where is the Arbitration? The arbitration will be held at a mutually convenient location within the county of my home office. Do I Need a Lawyer? I may choose to have a lawyer at my own expense or handle the arbitration myself. What Do I Have to Pay? I will pay $200.00 towards the arbitration filing fee and Stokes Wagner will pay the remainder of the filing fee and all of the arbitrator’s expenses. What Do I Get in Exchange for My Agreement to Arbitrate? ? In exchange for my agreement to arbitrate complaints, Stokes Wagner agrees to fulfill its obligations to me under Ethos, including, but not limited to, its agreement to pay a portion of the arbitrator’s fees and expenses. May I Still Choose to go to Court? No. If I do not opt out of the arbitration provisions of the DRP, I waive my right to have my case submitted to a court of law and decided by a judge or jury. I understand that if I choose to submit my complaint to an arbitrator, they will have the same authority and may issue the same type of decision as a judge or jury would if they were deciding the case. I understand that, just as in a court of law, I will be responsible for my own legal costs and expenses, unless the arbitrator orders ETHOS I 29

otherwise. May I be Part of a Class Action? No. If I do not opt out, I waive my right to submit my claim as part of a class or collective action, or part of a class arbitration. However, this waiver will not affect or diminish the substantive remedies that I may be awarded by an arbitrator. May I Appeal the Arbitrator’s Decision? The decision of the arbitrator will be final. This agreement does not preclude me from filing an administrative charge with an outside government agency. Do I Have the Same Procedural Rights in Court? Stokes Wagner and I will have the same rights regarding discovery and judicial review as we would in a court of law. I have reviewed this information and received answers to any questions I raised. I agree to Stokes Wagner’s Dispute Resolution Policy. ARBITRATION OPT-OUT Stokes Wagner offers its employees the option of agreeing to Stokes Wagner’s Dispute Resolution Process (DRP). I have read that agreement. Sign Our Dispute Resolution Agreement here. 30 I Important Forms

I know that unless I choose to opt out of the arbitration provisions of that DRP procedures as set forth below, I will automatically be covered by it and required to submit to binding arbitration any disputes specifically described in the DRP. I have had the opportunity to ask questions about the DRP. I understand that I have the right to opt out of the DRP. To opt out I must sign this document and provide it to Stokes Wagner’s general counsel (either by email jhunt@stokeswagner.com or otherwise delivered to John Hunt, Stokes Wagner ALC, One Atlantic Center, Suite 2400, Atlanta, GA 30309). I understand that such notice must be provided within thirty (30) calendar days of my receipt of the DRP or within thirty (30) calendar days of the date I am notified of any written amendment to my DRP agreement. If I would like additional time to consider opting out, I can contact Stokes Wagner’s general counsel to request more time. What Does “Opt-Out” Mean? It means I choose to be an “at-will” employee of Stokes Wagner. I understand that I may not opt out of the arbitration provisions of DRP while I have any legal claim pending which arose prior to my execution of this form and which has been or could have been submitted to arbitration under DRP at the time the claim arose. Sign the Arbitration Opt-Out here. ETHOS I 31

32 I Important Forms

ETHOS MY PERSONAL EMPLOYMENT CONTRACT WITH STOKES WAGNER ALC Ethos is a contract. Stokes Wagner provides the terms, conditions and benefits in this agreement. In return, I agree to be employed as a _______________________, and abide by the terms and conditions set forth in Ethos. The length of this agreement is 1 year. At the end of each year, Stokes Wagner and I will sign a new agreement or an acknowledgment of the renewal of the existing agreement. I have read Ethos carefully and I promise to: • Abide by Ethos’ policies and uphold its standards; • Deliver exceptional service to our clients; • Accept my compensation and benefits; • Use the Dispute Resolution Process (“DRP”) first for all complaints even if I have exercised my right to opt out of the arbitration provision of the DRP; and • Unless I have exercised my right to opt out, use the arbitration procedure described in the DRP as the exclusive method to resolve any dispute I may have relating to my application for employment, hiring, employment or separation of employment. Stokes Wagner promises to comply with its obligations under Ethos by: • Treating me with dignity and respect; • Providing competitive compensation and benefits; • Following the DRP; • Providing opportunities for learning and career development; • Maintaining an open-door policy for our communication; • Providing access to the arbitration procedure described in the DRP at a minimal cost to me for the arbitrator’s expenses and fees; or ETHOS I 33

• Utilizing the DRP as its exclusive remedy for resolving any disputes relating to my application for employment, hiring, employment or separation of employment. During the contract year, either Stokes Wagner or I may terminate the agreement with 2 weeks’ notice for the following reasons: • I voluntarily resign; • I am permanently laid off; • I choose to remain an “At-Will” or “non-contract” team member and provide written notice to Stokes Wagner’s general counsel of my decision. Stokes Wagner and I, ______________________________, acknowledge and understand this unique contractual employment relationship, effective through the duration of my employment. Ethos is the entire agreement between me and Stokes Wagner unless modified by a specific letter, the terms of which supersede certain defined parts of Ethos. Stokes Wagner employs me under Ethos’ terms, and my working under Ethos’ terms support this contract. Our signatures confirm our mutual agreement to this philosophy, these goals, and all the rights and responsibilities in this employment contract or as modified in writing by Stokes Wagner. Sign My Personal Employment Contract here. 34 I Important Forms

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