Registration of Additional Securities — Form S-3
Filing Table of Contents
Document/Exhibit Description Pages Size
1: S-3MEF Suntrust Banks, Inc. 6 25K
2: EX-5.1 Opinion of King & Spalding 3 13K
3: EX-5.2 Opinion of Skadden, Arps,Slate, Meagher & Flom LLP 3 13K
4: EX-23.1 Consent of Arthur Andersen, LLP. 1 6K
S-3MEF — Suntrust Banks, Inc.
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AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 12, 2001
REGISTRATION NO. 333-
333- 01
================================================================================
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
---------------
FORM S-3
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
---------------
SUNTRUST CAPITAL IV
(Exact name of registrant as specified in its Trust Agreement)
DELAWARE 58-6451112
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
SUNTRUST BANKS, INC.
(Exact name of registrant as specified in its charter)
GEORGIA 58-1575035
(State or other jurisdiction (I.R.S. Employer
of incorporation or organization) Identification No.)
303 PEACHTREE STREET, N.E.
ATLANTA, GEORGIA 30308
(404) 588-7711
(Address, including zip code, and telephone number, including area code,
of registrant's principal executive offices)
-----------------------
RAYMOND D. FORTIN, ESQ.
SENIOR VICE PRESIDENT
SUNTRUST BANKS, INC.
303 PEACHTREE STREET, N.E.
ATLANTA, GEORGIA 30308
(404) 588-7165
(Name, address, including zip code, and telephone number,
including area code of agent of for service)
COPIES TO:
MARY A. BERNARD SUSAN J. SUTHERLAND
KING & SPALDING SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP
1185 AVENUE OF THE AMERICAS FOUR TIMES SQUARE
NEW YORK, NEW YORK 10036 NEW YORK, NEW YORK 10036
(212) 556-2100 (212) 735-3000
APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC: From
time to time after the effective date of this Registration Statement, as
determined in light of market conditions.
If the only securities being registered on this Form are being offered
pursuant to dividend or interest reinvestment plans, please check the following
box. [ ]
If any of the securities being registered on this Form are to be
offered on a delayed or continuous basis pursuant to Rule 415 under the
Securities Act of 1933, other than securities offered only in connection with
dividend or interest reinvestment plans, please check the following box. [ ]
If this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, please check the following box
and list the Securities Act registration statement number of the earlier
effective registration statement for the same offering. [X] Reg. Nos. 333-46123;
46123-01 and 46123-02.
If this Form is a post-effective amendment filed pursuant to
Rule 462(c) under the Securities Act, check the following box and list the
Securities Act registration statement number of the earlier effective
registration statement for the same offering. [ ]
If delivery of the prospectus is expected to be made pursuant to Rule
434, please check the following box. [ ]
CALCULATION OF ADDITIONAL REGISTRATION FEE
[Enlarge/Download Table]
=========================================================================================================================
PROPOSED PROPOSED
MAXIMUM OFFERING MAXIMUM AMOUNT OF
AMOUNT TO PRICE PER AGGREGATE REGISTRATION
TITLE OF EACH CLASS OF SECURITIES TO BE REGISTERED BE REGISTERED SECURITY OFFERING PRICE FEE
-------------------------------------------------------------------------------------------------------------------------
Preferred Securities of SunTrust Capital IV........... (1) (2) (1) N/A
-------------------------------------------------------------------------------------------------------------------------
Guarantees by SunTrust Banks, Inc. of the
above-referenced Preferred Securities................. (3) (3) (3) N/A
-------------------------------------------------------------------------------------------------------------------------
Subordinated Debt Securities of SunTrust Banks, Inc... (1) (2) (1) N/A
-------------------------------------------------------------------------------------------------------------------------
Total................................................. $50,000,000 N/A $50,000,000 $12,500
=========================================================================================================================
(1) In no event will the aggregate initial offering price of the Preferred
Securities of SunTrust Capital IV (the "Trust") issued under this
registration statement exceed $50,000,000 exclusive of accrued interest
and dividends, if any. A like amount of Subordinated Debt Securities
will be issued and sold by SunTrust Banks, Inc. ("SunTrust") to the
Trust, which Subordinated Debt Securities may later be distributed for
no additional consideration to the holders of the Preferred Securities
of the Trust upon a dissolution of the Trust and the distribution of
the assets thereof.
(2) The proposed maximum offering price per unit will be determined in
connection with the issuance of the securities registered hereunder.
(3) Includes the rights of holders of the Preferred Securities of the Trust
under the Guarantees and certain back-up undertakings, comprising the
obligations of SunTrust to provide certain indemnities in respect of,
and pay and be responsible for certain costs, expenses, debts and
liabilities of, the Trust (other than with respect to such Preferred
Securities) and such obligations of SunTrust as set forth in the
Amended and Restated Declaration of Trust of the Trust and the
Indenture, in each case as further described in the Registration
Statement. The Guarantee, when taken together with SunTrust's
obligations under the Subordinated Debt Securities, the Indenture and
the Amended and Restated Declaration of Trust of the Trust, will
provide a full and unconditional guarantee on a subordinated basis by
SunTrust of payments due on the Preferred Securities of the Trust. No
separate consideration will be received for any Guarantee or such
back-up obligations.
EXPLANATORY NOTE
This Registration Statement is being filed pursuant to Rule 462(b)
under the Securities Act of 1933, as amended. The registrants' Registration
Statement on Form S-3 (Registration Nos. 333-46123, 46123-01 and 46123-02),
declared effective on February 24, 1998, is incorporated herein by reference.
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
(A) EXHIBITS
All exhibits filed with the registrants' Registration Statement on
Form S-3 (Registration Nos. 333-46123, 46123-01 and 46123-02), shall be deemed a
part of this Registration Statement, except that the following additional
exhibits are filed herewith:
[Enlarge/Download Table]
EXHIBIT
NUMBER DESCRIPTION
-------- -----------
5.1 Opinion of King & Spalding as to legality of the Subordinated Debt Securities and Preferred Securities
Guarantees to be issued by SunTrust (including the consent of such counsel).
5.2 Opinion of Skadden, Arps, Slate, Meagher & Flom LLP as to the legality of the Preferred Securities to be
issued by SunTrust Capital IV (including the consent of such counsel).
23.1 Consent of Arthur Andersen LLP.
23.2 Consent of King & Spalding (included in Exhibit 5.1).
23.3 Consent of Skadden, Arps, Slate, Meagher & Flom LLP (included in Exhibit 5.2).
24.1 Power of Attorney (included on pages II-15 of the Registrants' Registration Statement on Form S-3
(Reg. Nos. 333-46123, 46123-01 and 46123-02) and incorporated herein by reference.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, each
registrant certifies that it has reasonable grounds to believe that it meets all
the requirements for filing on Form S-3 and has duly caused this Registration
Statement to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of Atlanta, State of Georgia, on the 12th day of
October, 2001.
SUNTRUST BANKS, INC.
By: /s/ Raymond D. Fortin
----------------------------------------
Raymond D. Fortin
Senior Vice President and
General Counsel
SUNTRUST CAPITAL IV
By: /s/ Raymond D. Fortin
----------------------------------------
Raymond D. Fortin
Regular Trustee
Pursuant to the requirements of the Securities Act of 1933, as amended,
this registration statement has been signed by the following persons in the
capacities with SunTrust Banks, Inc. and on the date indicated.
[Enlarge/Download Table]
SIGNATURE TITLE DATE
--------- ----- ----
* Chairman of the Board, President, October 12, 2001
-------------------------------------------- Chief Executive Officer and Director
L. Phillip Humann
* Vice Chairman and October 12, 2001
-------------------------------------------- Chief Financial Officer
John W. Spiegel
* Senior Vice President and Controller October 12, 2001
-------------------------------------------- (Chief Accounting Officer)
William P. O'Halloran
* Director October 12, 2001
--------------------------------------------
J. Hyatt Brown
* Director October 12, 2001
--------------------------------------------
Alston D. Correll
Director
--------------------------------------------
Douglas N. Daft
[Download Table]
* Director October 12, 2001
--------------------------------------------
A. W. Dahlberg
Director
--------------------------------------------
Patricia C. First
Director
--------------------------------------------
M. Douglas Ivestor
* Director October 12, 2001
--------------------------------------------
Summerfield K. Johnston, Jr.
* Director October 12, 2001
--------------------------------------------
David H. Hughes
* Director October 12, 2001
--------------------------------------------
Joseph L. Lanier, Jr.
Director
--------------------------------------------
Frank E. McCarthy
Director
--------------------------------------------
G. Gilmer Minor, III
* Director October 12, 2001
--------------------------------------------
Larry L. Prince
* Director October 12, 2001
--------------------------------------------
R. Randall Rollins
Director
--------------------------------------------
Frank S. Royal, M.D.
* Director October 12, 2001
--------------------------------------------
James B. Williams
* By /s/ Raymond D. Fortin
----------------------------------------
Raymond D. Fortin
Attorney-in-Fact
Dates Referenced Herein and Documents Incorporated by Reference
| Referenced-On Page |
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| This ‘S-3MEF’ Filing | | Date | | First | | Last | | | Other Filings |
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| |  |
| Filed on / Effective on: | | 10/12/01 | | 1 | | 6 | | | None on these Dates |
| | 2/24/98 | | 3 |
| List all Filings |
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