1933 Act File No. 33-44590
1940 Act File No. 811-6504
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 X
Pre-Effective Amendment No. ___ .................................
Post-Effective Amendment No. 30 ............................... X
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 X
Amendment No. 31 ............................................... X
THE WACHOVIA FUNDS
(Exact Name of Registrant as Specified in Charter)
Federated Investors Tower, Pittsburgh, Pennsylvania 15222-3779
(Address of Principal Executive Offices)
(412) 288-1900
(Registrant's Telephone Number)
John W. McGonigle, Esquire,
Federated Investors Tower,
Pittsburgh, Pennsylvania 15222-3779
(Name and Address of Agent for Service)
It is proposed that this filing will become effective:
immediately upon filing pursuant to paragraph (b) on NOVEMBER 10, 1999
pursuant to paragraph (b)(1)(v) 60 days after filing pursuant to paragraph
(a) (i) on pursuant to paragraph (a) (i).
___ 75 days after filing pursuant to paragraph (a)(ii) on _________________
pursuant to paragraph (a)(ii) of Rule 485.
If appropriate, check the following box:
X This post-effective amendment designates a new effective date for a previously
filed post-effective amendment.
Copies to:
Donald W. Smith, Esquire Alan C. Porter, Esquire
Kirkpatrick & Lockhart L.L.P. Piper & Marbury L.L.P.
1800 Massachusetts Avenue, N.W. 1200 Nineteenth Street, N.W.
Washington, D.C. 20036-1800 Washington, D.C. 20036-2430
Item 23. Exhibits:
(a) Conformed copy of Declaration of Trust of the Registrant; (12)
(i) Conformed copy of Amendment #1 to the Declaration of Trust; (12)
(ii) Conformed copy of Amendment #2 to the Declaration of Trust; (12)
(iii) Conformed copy of Amendment #3 to the Declaration of Trust; (12)
(iv) Conformed copy of Amendment #4 to the Declaration of Trust; (12)
(v) Conformed copy of Amendment #5 to the Declaration of Trust; (12)
(vi) Conformed copy of Amendment #6 to the Declaration of Trust; (12)
(vii) Conformed copy of Amendment #13 to the Declaration of Trust; (19)
(b) Copy of Amended By-Laws of the Registrant; (2)
(c) Copy of Specimen Certificates for Shares of Beneficial Interest; (17)
(i) Copy of Specimen Certificate for Class A Shares of Wachovia
Balanced Fund; (17)
(ii) Copy of Specimen Certificate for Class B Shares of Wachovia
Balanced Fund; (17)
(iii) Copy of Specimen Certificate for Class A Shares of Wachovia
Equity Fund; (17)
(iv) Copy of Specimen Certificate for Class B Shares of Wachovia
Equity Fund; (17)
(v) Copy of Specimen Certificate for Class A Shares of Wachovia
Equity Index Fund; (17)
(vi) Copy of Specimen Certificate for Class A Shares of Wachovia Fixed
Income Fund; (17)
(vii) Copy of Specimen Certificate for Class B Shares of Wachovia Fixed
Income Fund; (17)
(viii) Copy of Specimen Certificate for Class A Shares of Wachovia
Special Values Fund; (17)
(ix) Copy of Specimen Certificate for Class A Shares of Wachovia
Short-Term Fixed Income Fund; (17)
(x) Copy of Specimen Certificate for Investment Shares of Wachovia
Money Market Fund; (17)
(xi) Copy of Specimen Certificate for Investment Shares of Wachovia
Tax-Free Money Market Fund; (17)
+ All exhibits have been electronically filed.
(2) Response is incorporated by reference to Registrant's Pre-Effective
Amendment No. 1 on form N-1A filed March 6, 1992. (File Nos. 33-44590 and
811-6504)
(12) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 14 on Form N-1A filed October 6, 1994. (File Nos. 33-44590
and 811-6504)
(17) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 21 on Form N-1A filed December 22, 1997. (File Nos. 33-44590
and 811-6504)
(19) Response is incorporated by reference to Registrant' Post- Effective
Amendment No. 24 on Form N-1A filed March 12, 1998. (File Nos. 33-44590 and
811-6504)
<PAGE>
(xii) Copy of Specimen Certificate for Investment
Shares of Wachovia U.S. Treasury Money Market Fund;
(17) (xiii) Copy of Specimen Certificate for Class
A Shares of Wachovia Quantitative Equity Fund; (17)
(ivx) Copy of Specimen Certificate for Class B
Shares of Wachovia Quantitative Equity Fund; (17)
(xv) Copy of Specimen Certificate for Class A
Shares of Wachovia Emerging Markets Fund; (17)
(d) Conformed copy of Investment Advisory Contract of the Registrant; (12)
(i) Conformed copy of Exhibit A to the Investment Advisory Contract; (12)
(ii) Conformed copy of Exhibit B to the Investment Advisory Contract; (12)
(iii) Conformed copy of Exhibit C to the Investment Advisory Contract; (12)
(iv) Conformed copy of Exhibit D to the Investment Advisory Contract; (12)
(v) Conformed copy of Exhibit E to the Investment Advisory Contract; (12)
(vi) Conformed copy of Exhibit F to the Investment Advisory Contract; (12)
(vii) Conformed copy of Exhibit G to the Investment Advisory Contract; (12)
(viii) Conformed copy of Exhibit H to the Investment Advisory Contract;
(12)
(ix) Conformed copy of Exhibit I to the Investment Advisory Contract; (12)
(x) Conformed Copy of Sub-Advisory Agreement of the Registrant; (10)
(xi) Conformed copy of Exhibit J to the Investment Advisory Contract; (13)
(xii) Conformed copy of Exhibit K to the Investment Advisory Contract; (18)
(xiii) Conformed copy of Investment Advisory agreement between The Wachovia
Funds and the Adviser; (20) (xiv) Conformed copy of Investment Advisory
agreement between The Wachovia Municipal Funds and the Adviser; (20)
(e) Conformed copy of Distributor's Contract of the
Registrant and Exhibits A-G thereto; (12) (i)
Conformed copy of Exhibit A to the Distributor's
Contract; (12)
+ All exhibits have been electronically filed.
(10) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 12 on Form N-1A filed June 29, 1994. (File Nos. 33-44590 and
811-6504)
(12) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 14 on Form N-1A filed October 6, 1994. (File Nos. 33-44590
and 811-6504)
(13) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 15 on Form N-1A filed January 30, 1995. (File Nos. 33-44590
and 811-6504)
(17) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 21 on Form N-1A filed December 22, 1997. (File Nos. 33-44590
and 811-6504)
(18) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 22 on Form N-1A filed February 4, 1998. (File Nos. 33-44590
and 811-6504)
(20) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 25 on Form N-1A filed February 22, 1999. (File Nos. 33-44590
and 811-6504)
<PAGE>
(ii) Conformed copy of Exhibit B to the
Distributor's Contract; (12) (iii) Conformed copy
of Exhibit C to the Distributor's Contract; (12)
(iv) Conformed copy of Exhibit D to the
Distributor's Contract; (12) (v) Conformed copy of
Exhibit E to the Distributor's Contract; (12) (vi)
Conformed copy of Exhibit F to the Distributor's
Contract; (12) (vii) Conformed copy of Exhibit G to
the Distributor's Contract; (12) (viii) Conformed
copy of Exhibit H to the Distributor's Contract;
(13) (ix) Conformed copy of Exhibit I to the
Distributor's Contract; (16) (x) Conformed copy of
Exhibit J to the Distributor's Contract; (16) (xi)
Conformed copy of Exhibit K to the Distribution
Agreement; (18) (xii) Conformed copy of Exhibit L
to the Distribution Agreement; (18)
(f) Not applicable;
(g) Conformed copy of Custodian Agreement of the
Registrant; (12) (i) Exhibit A to the Custodian
Agreement; (12) (ii) Exhibit B to the Custodian
Agreement; (12) (iii) Exhibit C to the Custodian
Agreement; (12) (iv) Exhibit D to the Custodian
Agreement; (12)
(v) Conformed copy of Global Custody Agreement for
the Biltmore Emerging Markets Fund;(17) (vi)
Amendment to Exhibit A to Custody Agreement; (19)
(h) Conformed copy of Portfolio Accounting and Shareholder Recordkeeping
Agreement of the Registrant; (12)
(i) Copy of Schedule A to Portfolio Accounting and Shareholdere
Recordkeeping Agreement; (12)
(ii) Copy of Schedule H to Portfolio Accounting and Shareholdere
Recordkeeping Agreement; (12)
+ All exhibits have been electronically filed.
(12) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 14 on Form N-1A filed October 6, 1994. (File Nos. 33-44590
and 811-6504)
(13) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 15 on Form N-1A filed January 30, 1995. (File Nos. 33-44590
and 811-6504)
(16) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 20 on Form N-1A filed January 29, 1996. (File Nos. 33-44590
and 811-6504)
(18) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 22 on Form N-1A filed February 4, 1998. (File Nos. 33-44590
and
811-6504)
(19) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 24 on Form N-1A filed March 12, 1998. (File Nos. 33-44590 and
811-6504).
(iii)Copy of Schedule I to Portfolio Accounting and Shareholder
Recordkeeping Agreement; (12)
(iv) Conformed Copy of Exhibit F to Transfer Agency and Service
Agreement;(3)
(v) Conformed Copy of Schedule G to Transfer Agency and Service
Agreement;(8)
(vi) Conformed Copy of Schedule G to Transfer Agency and Service
Agreement;(8)
(vii) Conformed Copy of Sub-Transfer Agency and Service Agreement;(7)
(viii) Conformed Copy of Administrative Services Agreement of the
Registrant; (12)
(ix) Conformed copy of Exhibit A to the Administrative Services
Agreement; (12)
(x) Conformed copy of Exhibit B to the Administrative Services
Agreement; (12)
(xi) Conformed copy of Exhibit C to the Administrative Services
Agreement; (12)
(xii)Conformed copy of Exhibit D to the Administrative Services
Agreement; (12)
(xiii) Conformed copy of Amendment No. 1 to the Administrative
Services Agreement; (12)
(xiv)Conformed copy of Amendment No. 2 to the Administrative Services
Agreement; (15)
(xv) Conformed copy of Exhibit E to the Administrative Services
Agreement; (12)
(xvi) Conformed Copy of Shareholder Services Plan; (16)
(xvii) Conformed Copy of Exhibit A to Shareholder Services Plan; (12)
(xviii)Conformed copy of Amendment No. 1 to Exhibit A of the
Shareholder Services Plan; (12)
(xix)Conformed Copy of Amendment No. 2 to Exhibit A of the Shareholder
Services Plan; (13)
+ All exhibits have been electronically filed.
(7) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 8 on Form N-1A filed July 29, 1993. (File Nos. 33-44590 and
811-6504)
(12) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 14 on Form N-1A filed October 6, 1994 (File Nos. 33-44590 and
811-6504)
(13) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 15 on Form N-1A filed January 30, 1995. (File Nos. 33-44590
and 811-6504)
(15) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 18 on Form N-1A filed June 24, 1996. (File Nos. 33-44590 and
811-6504)
(16) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 20 on Form N-1A filed January 29, 1996. (File Nos. 33-44590
and 811-6504)
(17) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 21 on Form N-1A filed December 22, 1997. (File Nos. 33-44590
and 811-6504)
(18) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 22 on Form N-1A filed February 4, 1998. (File Nos. 33-44590
and 811-6504)
(xx) Conformed copy of Shareholder Services
Agreement; (16) (xxi) Conformed copy of Exhibit A
to Shareholder Services Agreement; (12) (xxii)
Amendment to Exhibit A of the Shareholder Services
Agreement; (19)
(xxiii) Conformed copy of Portfolio Accounting and
Shareholder Recordkeeping Agreement
Amendment No. 2 to Schedule B; (16)
(xxiv) Form of Agreement for Administrative
Services; (17)
(xxv) Amendment No. 1 to Agreement for
Administrative Services; (18)
(i) Conformed copy of Opinion and Consent of Counsel
as to legality of shares being registered; (12)
(j) Not applicable;
(k) Not applicable;
(l) Conformed copy of Initial Capital
Understanding; (2) (m) Conformed copy of Distribution Plan
and Exhibits A-B thereto; (12)
(i) Conformed copy of Exhibit A to Distribution
Plan; (12)
(ii) Conformed copy of Exhibit B to Distribution
Plan; (12)
(iii) Copy of Dealer Agreement; (6)
(iv) Copy of Exhibit to Dealer Agreement; (6)
(v) Copy of Rule 12b-1 Agreement; (2)
(vi) Copy of Exhibit A to 12b-1 Agreement; (6)
(vii) Copy of Exhibit B to 12b-1 Agreement; (6)
(viii) Copy of Exhibit C to 12b-1 Agreement; (16)
(ivx) Conformed copy of Exhibit D to Plan of
Distribution; (18)
- ---------------------
+ All exhibits have been electronically filed.
(2) Response is incorporated by reference to Registrant's Pre-Effective
Amendment No. 1 on Form N-1A filed March 6, 1992. (File Nos. 33-44590 and
811-6504)
(6) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 5 on Form N-1A filed December 2, 1992. (File Nos. 33-44590
and 811-6504)
(12) Response is incorporated by reference to Registrant's Post-Effective
Amendment No.14 on Form N-1A filed October 6, 1994. (File Nos. 33-44590 and
811-6504)
(16) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 20 on Form N-1A filed January 29, 1996. (File Nos. 33-44590
and 811-6504)
(17) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 21 on Form N-1A filed December 22, 1997. (File Nos. 33-44590
and 811-6504)
(18) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 22 on Form N-1A filed February 4, 1998. (File Nos. 33-44590
and
811-6504)
(19) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 24 on Form N-1A filed March 12, 1998. (File Nos. 33-44590 and
811-6504).
<PAGE>
(n) Not applicable.
(o) Copy of The Wachovia Funds Multiple Class Plan; (15)
(i) Amendment to Exhibit A to Multiple Class Plan; (18)
(p) Conformed Copy of Power of Attorney; (15)
Item 24. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT:
None
Item 25. INDEMNIFICATION: (2)
Item 26. BUSINESS AND OTHER CONNECTIONS OF INVESTMENT ADVISER:
(a) For a description of the other business of the investment
adviser, see the section entitled "Who Manages the Funds?"
in Part A. The Officers of the investment adviser are:
Chairman of the Board, L. M. Baker, Jr.; President and Chief
Executive Officer, J. Walter McDowell; Executive Vice
President, Robert S. McCoy, Jr.; Executive Vice President,
Robert L. Alphin; Executive Vice President, Hugh M. Durden;
Executive Vice President, Mickey W. Dry; Executive Vice
President, Walter E. Leonard, Jr.; Executive Vice President,
Richard B. Roberts; and Executive Vice President, Robert G.
Brookly. The business address of each of the Officers of the
investment adviser is Wachovia Bank of North Carolina, N.A.,
100 North Main Street, Winston-Salem, N.C. 27101.
The Directors of the investment adviser are listed below with their
occupations: L.M. Baker, Jr., President and Chief Executive Officer, Wachovia
Corporation, Chairman, Wachovia Bank of North Carolina, N.A.; H.C. Bissell,
Chairman of the Board and Chief Executive Officer, The Bissell Companies, Inc.;
Bert Collins, President and Chief Executive Officer, North Carolina Mutual Life
Insurance Company; Felton J Capel, Chairman of the Board and President, Century
Associates of North Carolina; Richard L. Daugherty, Retired Vice President and
Consultant, IBM Corporation; Estell C. Lee, Chairman of the Board and President,
The Lee Company; David J. Whichard II, Chairman, The Daily Reflector; John C.
Whitaker, Jr., Chairman of the Board and Chief Executive Officer, Inmar
Enterprises, Inc.; William Cavanaugh, III, President and Chief Operating
Officer, Carolina Power and Light Company; J. Walter McDowell, III, President
and Chief Executive Officer, Wachovia Bank of North Carolina, N.A.; John F.
Ward, Senior Vice President, Sara Lee Corporation; Anderson D. Warlick,
President and Chief Operating Officer, Parkdale Mills, Inc.; Thomas M. Belk,
Jr., Senior Vice President, Belk Stores Services, Inc.; George W. Henderson,
President and Chief Executive Officer, Burlington Industries, Inc.; G. George
Prendergast, Executive Vice President, Wachovia Corporation; Robert L. Tillman,
Chief Operating Officer, Lowe's Companies, Inc.; and Andrew J. Schindler,
President and Chief Executive Officer, R.J. Reynolds Tobacco Company.
+ All exhibits have been electronically filed.
(2) Response is incorporated by reference to Registrant's Pre-Effective
Amendment No. 1 on form N-1A filed March 6, 1992. (File Nos. 33-44590 and
811-6504)
(15) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 18 on filed June 24, 1996. (File Nos. 33-44590 and 811-6504)
(18) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 22 on Form N-1A filed February 4, 1998. (File Nos. 33-44590
and 811-6504)
<PAGE>
Item 27. PRINCIPAL UNDERWRITERS:
(a) Federated Securities Corp. the Distributor for shares of the Registrant,
acts as principal underwriter for the following open-end investment
companies, including the Registrant:
Automated Government Money Trust; Cash Trust Series II; Cash Trust Series, Inc.;
CCB Funds; DG Investor Series; Edward D. Jones & Co. Daily Passport Cash Trust;
Federated Adjustable Rate U.S. Government Fund, Inc.; Federated American Leaders
Fund, Inc.; Federated ARMs Fund; Federated Core Trust; Federated Equity Funds;
Federated Equity Income Fund, Inc.; Federated Fund for U.S. Government
Securities, Inc.; Federated GNMA Trust; Federated Government Income Securities,
Inc.; Federated Government Trust; Federated High Income Bond Fund, Inc.;
Federated High Yield Trust; Federated Income Securities Trust; Federated Income
Trust; Federated Index Trust; Federated Institutional Trust; Federated Insurance
Series; Federated Master Trust; Federated Municipal Opportunities Fund, Inc.;
Federated Municipal Securities Fund, Inc.; Federated Municipal Trust; Federated
Short-Term Municipal Trust; Federated Short-Term U.S. Government Trust;
Federated Stock and Bond Fund, Inc.; Federated Stock Trust; Federated Tax-Free
Trust; Federated Total Return Series, Inc.; Federated U.S. Government Bond Fund;
Federated U.S. Government Securities Fund: 1-3 Years; Federated U.S. Government
Securities Fund: 2-5 Years; Federated U.S. Government Securities Fund: 5-10
Years; Federated Utility Fund, Inc.; Fixed Income Securities, Inc.; ; Hibernia
Funds; Independence One Mutual Funds; Intermediate Municipal Trust;
International Series, Inc.; Investment Series Funds, Inc.; Liberty U.S.
Government Money Market Trust; Liquid Cash Trust; Managed Series Trust; Marshall
Funds, Inc.; Money Market Management, Inc.; Money Market Obligations Trust;
Money Market Obligations Trust II; Money Market Trust; Municipal Securities
Income Trust; Newpoint Funds; Regions Funds; RIGGS Funds; SouthTrust Funds;
Tax-Free Instruments Trust; The Planters Funds; The Wachovia Funds; The Wachovia
Municipal Funds; Trust for Government Cash Reserves; Trust for Short-Term U.S.
Government Securities; Trust for U.S. Treasury Obligations; Vision Group of
Funds, Inc.; World Investment Series, Inc.; Blanchard Funds; Blanchard Precious
Metals Fund, Inc.; High Yield Cash Trust; Investment Series Trust; Star Funds;
Targeted Duration Trust; The Virtus Funds; Trust for Financial Institutions;
Federated Securities Corp. also acts as principal underwriter for the
following closed-end investment company: Liberty Term Trust, Inc.- 1999.
<TABLE>
<CAPTION>
(b)
(1) (2) (3)
Name and Principal Positions and Offices Positions and Offices
BUSINESS ADDRESS WITH DISTRIBUTOR WITH REGISTRANT
<S> <C> <C>
Richard B. Fisher Director, Chairman, Chief
Federated Investors Tower Executive Officer, Chief
1001 Liberty Avenue Operating Officer, Asst.
Pittsburgh, PA 15222-3779 Secretary and Asst.
Treasurer, Federated
Securities Corp.
Edward C. Gonzales Director, Executive Vice
Federated Investors Tower President,
1001 Liberty Avenue Federated Securities Corp.
Pittsburgh, PA 15222-3779
Thomas R. Donahue Director, Assistant Secretary
Federated Investors Tower and Assistant Treasurer
1001 Liberty Avenue Federated Securities Corp.
Pittsburgh, PA 15222-3779
James F. Getz President-Broker/Dealer, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
<PAGE>
John B. Fisher President-Institutional Sales, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
David M. Taylor Executive Vice President --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Mark W. Bloss Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Richard W. Boyd Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Laura M. Deger Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Theodore Fadool, Jr. Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Bryant R. Fisher Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Christopher T. Fives Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
James S. Hamilton Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
James M. Heaton Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Keith Nixon Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Solon A. Person, IV Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Timothy C. Pillion Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Thomas E. Territ Senior Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Ernest G. Anderson Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Teresa M. Antoszyk Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
John B. Bohnet Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Jane E. Broeren-Lambesis Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
David J. Callahan Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Mary J. Combs Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
R. Edmond Connell, Jr. Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
R. Leonard Corton, Jr. Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Kevin J. Crenny Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Daniel T. Culbertson Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
G. Michael Cullen Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Marc C. Danile Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
William C. Doyle Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Jill Ehrenfeld Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Mark D. Fisher Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Joseph D. Gibbons Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
John K. Goettlicher Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Craig S. Gonzales Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Raymond Hanley Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Bruce E. Hastings Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Beth A. Hetzel Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
James E. Hickey Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Charlene H. Jennings Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
H. Joseph Kennedy Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Michael W. Koenig Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Michael R. Manning Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Mark J. Miehl Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Richard C. Mihm Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
J. Michael Miller Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Alec H. Neilly Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
<PAGE>
Thomas A. Peters III Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Robert F. Phillips Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Richard A. Recker Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Eugene B. Reed Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Paul V. Riordan Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
John Rogers Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Brian S. Ronayne Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Thomas S. Schinabeck Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Edward L. Smith Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
David W. Spears Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
John A. Staley Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Colin B. Starks Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Jeffrey A. Stewart Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
William C. Tustin Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
<PAGE>
Paul A. Uhlman Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Miles J. Wallace Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
John F. Wallin Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Richard B. Watts Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Edward J. Wojnarowski Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Michael P. Wolff Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Edward R. Bozek Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Terri E. Bush Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Beth C. Dell Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
David L. Immonen Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Renee L. Martin Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Robert M. Rossi Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Matthew S. Hardin Secretary, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Denis McAuley Treasurer, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
<PAGE>
Leslie K. Platt Assistant Secretary, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
</TABLE>
(c) Not applicable.
Item 28. LOCATION OF ACCOUNTS AND RECORDS:
All accounts and records required to be maintained by Section 31(a) of the
Investment Company Act of 1940 and Rules 31a-1 through 31a-3 promulgated
thereunder are maintained at one of the following locations:
REGISTRANT
The Wachovia Funds 5800 Corporate Drive
Pittsburgh, PA 15237-7010
FEDERATED SERVICES COMPANY Federated Investors Tower
(Transfer Agent, Dividend Pittsburgh, PA 15222-3779
Disbursing Agent and Portfolio
Recordkeeper)
FEDERATED SERVICES COMPANY Federated Investors Tower
(Administrator) Pittsburgh, PA 15222-3779
WACHOVIA ASSET MANAGEMENT 301 North Main Street
(Adviser) Winston-Salem, NC 21750
TWIN CAPITAL MANAGEMENT, INC. 3244 Washington Road
(Sub-Adviser to Wachovia McMurrary, PA 15315-3153
Quantitative Equity Fund only)
WACHOVIA BANK OF NORTH CAROLINA Wachovia Trust Operations
(Custodian) 301 North Main Street
Winston-Salem, NC 21750
Item 29. MANAGEMENT SERVICES: Not applicable.
Item 30. UNDERTAKINGS:
Registrant hereby undertakes to comply with the provisions of Section 16(c)
of the 1940 Act with respect to the removal of Trustees and the calling of
special shareholder meetings by shareholders on behalf of each of its
portfolios.
<PAGE>
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the
Investment Company Act of 1940, the Registrant, THE WACHOVIA FUNDS, has duly
caused this Amendment to its Registration Statement to be signed on its behalf
by the undersigned, thereunto duly authorized, in the City of Pittsburgh and
Commonwealth of Pennsylvania, on the 7thst day of October, 1999.
THE WACHOVIA FUNDS
BY: /s/ Gail Cagney
Gail Cagney, Assistant Secretary
Attorney in Fact for John W. McGonigle
October 7, 1999
Pursuant to the requirements of the Securities Act of 1933, this Amendment
to its Registration Statement has been signed below by the following person in
the capacity and on the date indicated:
NAME TITLE DATE
By: /s/Gail Cagney
Gail Cagney Attorney In Fact October 7, 1999
ASSISTANT SECRETARY For the Persons
Listed Below
NAME TITLE
John W. McGonigle* President and Treasurer
(Chief Executive Officer
and Principal Financial and
Accounting Officer)
James A. Hanley* Trustee
Samuel E. Hudgins* Trustee
J. Berkley Ingram, Jr.* Trustee
D. Dean Kaylor* Trustee
* By Power of Attorney
