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. 35 .................... X__
------- -----
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 _ X__
-----
Amendment No. 36 .................................... _ 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 _______________ pursuant
to paragraph (b)(1)(v) X_ 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:
__This post-effective amendment designates a new effective date for a previously
filed post-effective amendment.
Copies to:
Donald W. Smith, Esquire
Kirkpatrick & Lockhart L.L.P.
1800 Massachusetts Avenue, N.W.
Washington, D.C. 20036-1800
THE WACHOVIA FUNDS
------------------------------------------------------------------------------
Supplement to the Combined Prospectus dated January 31, 2000
I. NEW SHARE CLASSES
A. Effective December 9, 2000, Class B Shares will be offered for the
following funds:
THE WACHOVIA FUNDS
Wachovia Growth & Income Fund
Wachovia Equity Index Fund
Wachovia Emerging Markets Fund
Wachovia Personal Equity Fund
Wachovia Intermediate Fixed Income Fund
Wachovia Short-Term Fixed Income Fund
and Class C Shares will be offered for the following funds:
THE WACHOVIA FUNDS
Wachovia Equity Fund Wachovia Quantitative Equity Fund Wachovia Special Values
Fund Wachovia Balanced Fund Wachovia Fixed Income Fund Wachovia Growth & Income
Fund Wachovia Equity Index Fund Wachovia Emerging Markets Fund Wachovia Personal
Equity Fund Wachovia Intermediate Fixed Income Fund Wachovia Short-Term Fixed
Income Fund.
Accordingly, the following fee tables reflect the addition of these share
classes to the above funds:
WHAT ARE THE FUNDS' FEES AND EXPENSES?
These tables describe the fees and expenses that you may pay if you buy and hold
shares of the Funds' CLASS B SHARES.
<TABLE>
<CAPTION>
GROWTH & EQUITY EMERGING
SHAREHOLDER FEES INCOME INDEX MARKETS
FEES PAID DIRECTLY FROM YOUR INVESTMENT FUND FUND FUND
<S> <C> <C> <C>
---------------------------------------------------------------------------------------
Maximum Sales Charge (Load) Imposed on Purchases None None None
( as a percentage of offering price)
---------------------------------------------------------------------------------------
Maximum Deferred Sales Charge (Load) (as a percentage 5.00% 5.00% 5.00%
original
purchase price or redemption proceeds, as applicable)
---------------------------------------------------------------------------------------
Maximum Sales Charge (Load) Imposed on Reinvested DiviNones None None
(and other Distributions) (as a percentage of offering price
---------------------------------------------------------------------------------------
Redemption Fee (as a percentage of amount redeemed, ifNone None None
applicable)
---------------------------------------------------------------------------------------
---------------------------------------------------
Exchange Fee None None None
---------------------------------------------------------------------------------------
ANNUAL FUND OPERATING EXPENSES (1)
EXPENSES THAT ARE DEDUCTED FROM FUND ASSETS (AS A PERCENTAGE OF AVERAGE NET ASSETS)
Management Fee 0.70% 0.30% 1.00%
---------------------------------------------------------------------------------------
Shareholder Services Fee 0.25% 0.25% 0.25%
---------------------------------------------------------------------------------------
Other Expenses 0.14% 0.14% 0.35%
---------------------------------------------------------------------------------------
Total Annual Class B Shares Operating Expenses (Be ore1.84% 1.44% 2.35%
Waiver) 1
---------------------------------------------------------------------------------------
Waiver of Fund Expenses 0.00% 0.00% 0.00%
---------------------------------------------------------------------------------------
Total Annual Fund Operating Expenses (After Waiver) 1.84% 1.44% 2.35%
---------------------------------------------------------------------------------------
INTERMEDIATE
PERSONAL FIXED SHORT-TERM
SHAREHOLDER FEES EQUITY INCOME FIXED INCOME
FEES PAID DIRECTLY FROM YOUR INVESTMENT FUND FUND FUND
--------------------------------------------------------------- ---------- -----------
Maximum Sales Charge (Load) Imposed on Purchases None None None
( as a percentage of offering price)
--------------------------------------------------------------- ----------------------
Maximum Deferred Sales Charge (Load) (as a percentage 5.00% 5.00% 5.00%
original purchase price or redemption proceeds, as
applicable)
--------------------------------------------------------------- ----------------------
Maximum Sales Charge (Load) Imposed on Reinvested DiviNones None None
(and other Distributions) (as a percentage of offering price
--------------------------------------------------------------- ----------------------
Redemption Fee (as a percentage of amount redeemed, ifNone None None
applicable)
--------------------------------------------------------------- ----------------------
---------------------------------------------------
Exchange Fee None None None
--------------------------------------------------------------- ----------------------
ANNUAL FUND OPERATING EXPENSES (1)
EXPENSES THAT ARE DEDUCTED FROM FUND ASSETS (AS A PERCENTAGE OF AVERAGE NET ASSETS)
Management Fee 0.70% 0.60% 0.55%
--------------------------------------------------------------- ----------------------
Distribution (12b-1) Fee 0.75% 0.75% 0.75%
--------------------------------------------------------------- ----------------------
Shareholder Services Fee 0.25% 0.25% 0.25%
--------------------------------------------------------------- ----------------------
Other Expenses 0.21% 0.18% 0.22%
--------------------------------------------------------------- ----------------------
Total Annual Class B Shares Operating Expenses (Befor1.91% 1.78% 1.77%
Waiver) 1
--------------------------------------------------------------- ----------------------
Waiver of Fund Expenses 0.01% 0.04% 0.14%
--------------------------------------------------------------- ----------------------
Total Annual Fund Operating Expenses (After Waiver) 1.90% 1.74% 1.63%
--------------------------------------------------------------- ----------------------
</TABLE>
(1) Pursuant to an agreement between the Adviser and the Trust, the Adviser
agrees during the period from December 15, 1998 through January 31, 2001 to
waive its fees, and/or make reimbursements to the Funds, so that each Fund's net
operating expenses do not exceed, in the aggregate, the Fund's Total Actual
Annual Operating Expenses listed above. The Adviser agrees that this obligation
shall constitute a contractual commitment enforceable by the Trust and that the
Adviser shall not assert any right to reimbursement of amounts so waived or
reimbursed.
EXAMPLE
The following Example is intended to help you compare the cost of investing
in each Fund's Class B Shares with the cost of investing in other mutual funds.
The Example assumes that you invest $10,000 in each Fund's Class B Shares for
the time periods indicated and then redeem all of your Shares at the end of
those periods. The Example also assumes that your investment has a 5% return
each year and that each Fund's operating expenses are based upon the current
expense limitation as shown above in the table. Although your actual costs may
be higher or lower, based on these assumptions your costs would be:
<TABLE>
<CAPTION>
1 YEAR 3 YEARS 5 YEARS 10 YEARS
<S> <C> <C> <C> <C>
GROWTH & INCOME FUND
-------------------------------------------------------------------------------
---------------------------------
Expenses assuming redemption $687 $879 $1,196 $1,962
-------------------------------------------------------------------------------
Expenses assuming no redemption $187 $579 $996 $1,962
-------------------------------------------------------------------------------
---------------------------------
EQUITY INDEX FUND
-------------------------------------------------------------------------------
---------------------------------
Expenses assuming redemption $647 $756 $987 $1,520
-------------------------------------------------------------------------------
Expenses assuming no redemption $147 $456 $787 $1,520
-------------------------------------------------------------------------------
---------------------------------
EMERGING MARKETS FUND
-------------------------------------------------------------------------------
---------------------------------
Expenses assuming redemption $738 $1,033 $1,455 $2,499
-------------------------------------------------------------------------------
Expenses assuming no redemption $238 $733 $1,255 $2,499
-------------------------------------------------------------------------------
---------------------------------
PERSONAL EQUITY FUND
-------------------------------------------------------------------------------
---------------------------------
Expenses assuming redemption $693 $897 $1,226 $2,027
-------------------------------------------------------------------------------
Expenses assuming no redemption $193 $597 $1,026 $2,027
-------------------------------------------------------------------------------
---------------------------------
INTERMEDIATE FIXED INCOME FUND
-------------------------------------------------------------------------------
---------------------------------
Expenses assuming redemption $677 $848 $1,144 $1,853
-------------------------------------------------------------------------------
---------------------------------
Expenses assuming no redemption $177 $548 $944 $1,853
-------------------------------------------------------------------------------
---------------------------------
SHORT-TERM FIXED INCOME FUND
-------------------------------------------------------------------------------
---------------------------------
Expenses assuming redemption $666 $814 $1,087 $1,732
-------------------------------------------------------------------------------
---------------------------------
Expenses assuming no redemption $166 $514 $887 $1,732
-------------------------------------------------------------------------------
WHAT ARE THE FUNDS' FEES AND EXPENSES?
These tables describe the fees and expenses that you may pay if you buy and hold
shares of the Funds' CLASS C SHARES.
QUANTITATGROWTH & EQUITY SPECIALEMERGING
SHAREHOLDER FEES EQUITY EQUITY INCOME INDEX VALUES MARKETS
FEES PAID DIRECTLY FROM YOUR FUND FUND FUND FUND FUND FUND
INVESTMENT
---------------------------------------------------------------------------------------
Maximum Sales Charge (Load) Imposed 1.00% 1.00% 1.00% 1.00% 1.00% 1.00%
on
Purchases ( as a percentage of
offering price)
---------------------------------------------------------------------------------------
Maximum Deferred Sales Charge (Load) 1.00% 1.00% 1.00% 1.00% 1.00% 1.00%
(as a
percentage of original purchase
price or redemption
proceeds, as applicable)
---------------------------------------------------------------------------------------
Maximum Sales Charge (Load) Imposed None None None None None None
on
Reinvested Dividends (and other
Distributions)
(as a percentage of offering price
---------------------------------------------------------------------------------------
Redemption Fee (as a percentage of None None None None None None
amount
redeemed, if applicable)
---------------------------------------------------------------------------------------
--------------------------------------
Exchange Fee None None None None None None
---------------------------------------------------------------------------------------
ANNUAL FUND OPERATING EXPENSES (1)
EXPENSES THAT ARE DEDUCTED FROM FUND ASSETS (AS A PERCENTAGE OF AVERAGE NET ASSETS)
Management Fee 0.70% 0.70% 0.70% 0.30% 0.80% 1.00%
---------------------------------------------------------------------------------------
Distribution (12b-1) Fee 0.75% 0.75% 0.75% 0.75% 0.75% 0.75%
---------------------------------------------------------------------------------------
Shareholder Services Fee 0.25% 0.25% 0.25% 0.25% 0.25% 0.25%
---------------------------------------------------------------------------------------
Other Expenses 0.14% 0.16% 0.14% 0.14% 0.18% 0.35%
---------------------------------------------------------------------------------------
Total Annual Class C Shares 1.84% 1.86% 1.84% 1.44% 1.98% 2.35%
Operating
Expenses Before Waiver) 1
---------------------------------------------------------------------------------------
Waiver of Fund Expenses 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%
---------------------------------------------------------------------------------------
Total Annual Fund Operating Expenses 1.84% 1.86% 1.84% 1.44% 1.98% 2.35%
(After Waiver)
---------------------------------------------------------------------------------------
INTERMEDIATE
PERSONAL FIXED FIXED SHORT-TERM
SHAREHOLDER FEES EQUITY BALANCED INCOME INCOME FIXED INCOME
FEES PAID DIRECTLY FROM YOUR FUND FUND FUND FUND FUND
INVESTMENT
---------------------------------------------------------------------- ---------
Maximum Sales Charge (Load) 1.00% 1.00% 1.00% 1.00% 1.00%
Imposed on
purchases ( as a percentage of
offering price)
--------------------------------------------------------------------------------
Maximum Deferred Sales Charge 1.00% 1.00% 1.00% 1.00% 1.00%
(Load)
(as a percentage of original
purchase price
or redemption proceeds, as
applicable)
--------------------------------------------------------------------------------
Maximum Sales Charge (Load) None None None None None
Imposed
on Reinvested Dividends (and
other
Distributions) (as a percentage
of offering price
--------------------------------------------------------------------------------
Redemption Fee (as a percentage None None None None None
of amount
redeemed, if applicable)
--------------------------------------------------------------------------------
----------------------------------
Exchange Fee None None None None None
--------------------------------------------------------------------------------
</TABLE>
ANNUAL FUND OPERATING EXPENSES (1)
EXPENSES THAT ARE DEDUCTED FROM FUND ASSETS
(AS A PERCENTAGE OF AVERAGE NET ASSETS)
Management Fee 0.70% 0.70% 0.60% 0.60% 0.55%
--------------------------------------------------------------------------------
Distribution (12b-1) Fee 0.75% 0.75% 0.75% 0.75% 0.75%
--------------------------------------------------------------------------------
Shareholder Services Fee 0.25% 0.25% 0.25% 0.25% 0.25%
--------------------------------------------------------------------------------
Other Expenses 0.21% 0.14% 0.15% 0.18% 0.22%
--------------------------------------------------------------------------------
Total Annual Class C Shares 1.91% 1.84% 1.75% 1.78% 1.77%
Operating
Expenses (Before Waiver) 1
--------------------------------------------------------------------------------
Waiver of Fund Expenses 0.01% 0.08% 0.03% 0.04% 0.14%
--------------------------------------------------------------------------------
Total Annual Fund Operating 1.90% 1.76% 1.72% 1.74% 1.63%
Expenses
(After Waiver)
--------------------------------------------------------------------------------
(1) Pursuant to an agreement between the Adviser and the Trust, the Adviser
agrees during the period from December 15, 1998 through January 31, 2001 to
waive its fees, and/or make reimbursements to the Funds, so that each
Fund's net operating expenses do not exceed, in the aggregate, the Fund's
Total Actual Annual Operating Expenses listed above. The Adviser agrees
that this obligation shall constitute a contractual commitment enforceable
by the Trust and that the Adviser shall not assert any right to
reimbursement of amounts so waived or reimbursed.
Example
The following Example is intended to help you compare the cost of investing
in each Fund's Class C Shares with the cost of investing in other mutual funds.
The Example assumes that you invest $10,000 in each Fund's Class C Shares for
the time periods indicated and then redeem all of your Shares at the end of
those periods. The Example also assumes that your investment has a 5% return
each year and that each Fund's operating expenses are based upon the current
expense limitation as shown above in the table. Although your actual costs may
be higher or lower, based on these assumptions your costs would be:
1 YEAR 3 YEARS 5 YEARS 10 YEARS
---------------------------------------------------------------------------
EQUITY FUND
---------------------------------------------------------------------------
Expenses assuming $385 $673 $1,086 $2,237
redemption
---------------------------------------------------------------------------
Expenses assuming no $285 $673 $1,086 $2,237
redemption
---------------------------------------------------------------------------
QUANTITATIVE EQUITY FUND
---------------------------------------------------------------------------
Expenses assuming $387 $679 $1,096 $2,258
redemption
---------------------------------------------------------------------------
Expenses assuming no $287 $679 $1,096 $2,258
redemption
---------------------------------------------------------------------------
GROWTH & INCOME FUND
---------------------------------------------------------------------------
Expenses assuming $385 $673 $1,086 $2,237
redemption
---------------------------------------------------------------------------
Expenses assuming no $285 $673 $1,086 $2,237
redemption
---------------------------------------------------------------------------
EQUITY INDEX FUND
---------------------------------------------------------------------------
Expenses assuming $345 $551 $879 $1,807
redemption
---------------------------------------------------------------------------
Expenses assuming no $245 $551 $879 $1,807
redemption
---------------------------------------------------------------------------
SPECIAL VALUES FUND
---------------------------------------------------------------------------
Expenses assuming $399 $715 $1,157 $2,383
redemption
---------------------------------------------------------------------------
Expenses assuming no $299 $715 $1,157 $2,383
redemption
---------------------------------------------------------------------------
EMERGING MARKETS FUND
---------------------------------------------------------------------------
Expenses assuming $436 $826 $1,343 $2,759
redemption
---------------------------------------------------------------------------
Expenses assuming no $336 $826 $1,343 $2,759
redemption
---------------------------------------------------------------------------
PERSONAL EQUITY FUND
---------------------------------------------------------------------------
Expenses assuming $391 $691 $1,116 $2,300
redemption
---------------------------------------------------------------------------
Expenses assuming no $291 $691 $1,116 $2,300
redemption
---------------------------------------------------------------------------
BALANCED FUND
---------------------------------------------------------------------------
Expenses assuming $377 $649 $1,045 $2,152
redemption
---------------------------------------------------------------------------
Expenses assuming no $277 $649 $1,045 $2,152
redemption
---------------------------------------------------------------------------
FIXED INCOME FUND
---------------------------------------------------------------------------
Expenses assuming $373 $636 $1,024 $2,110
redemption
---------------------------------------------------------------------------
Expenses assuming no $273 $636 $1,024 $2,110
redemption
---------------------------------------------------------------------------
INTERMEDIATE FIXED INCOME FUND
---------------------------------------------------------------------------
Expenses assuming $375 $643 $1,034 $2,131
redemption
---------------------------------------------------------------------------
Expenses assuming no $275 $643 $1,034 $2,131
redemption
---------------------------------------------------------------------------
SHORT-TERM FIXED INCOME FUND
---------------------------------------------------------------------------
Expenses assuming $364 $609 $978 $2,013
redemption
---------------------------------------------------------------------------
Expenses assuming no $264 $609 $978 $2,013
redemption
---------------------------------------------------------------------------
B. Because of the addition of Class C Shares, please add the following
sub-sections to the section entitled, "What Do Shares Cost?":
"SALES CHARGE WHEN YOU PURCHASE AND REDEEM-CLASS C SHARES
Class C Shares are sold at their NAV next determined after an order is received,
plus a front-end sales charge of 1.00%. If you redeem Class C Shares within one
year of the purchase date, you will be charged a 1.00% contingent deferred sales
charge.
C. Also, please replace the section entitled "How are the Funds Sold?" with
the following:
"HOW ARE THE FUNDS SOLD?
Each Fund (except the Municipal Funds) offers four share classes: Class A
Shares, Class B Shares, Class C Shares and Class Y Shares, each representing
interests in a single portfolio of securities. The Municipal Funds offer two
classes of shares: Class A Shares and Class Y Shares.
This prospectus relates only to Class A Shares, Class B Shares, and Class C
Shares. Each share class has different sales charges and other expenses, which
affect their performance. Contact your investment professional or call
1-800-341-7400 for more information concerning the other classes.
The Fund's Distributor, Federated Securities Corp., markets the Shares
described in this prospectus to institutions or individuals, directly or through
an investment professional that has an agreement with the Distributor
(Authorized Dealer). When the Distributor receives marketing fees and sales
charges, it may pay some or all of them to investment professionals. The
Distributor and its affiliates may pay out of their assets other amounts
(including items of material value) to investment professionals for marketing
and servicing Shares.The Distributor is a subsidiary of Federated Investors,
Inc. (Federated).
RULE 12B-1 PLAN
Each of the Equity Fund, Quantitative Equity Fund, Special Values Fund,
Balanced Fund, Fixed Income Fund, Growth & Income Fund, Equity Index Fund,
Emerging Markets Fund, Personal Equity Fund, Intermediate Fixed Income Fund, and
Short-Term Fixed Income Fund has adopted a Rule 12b-1 Plan, which allows it to
pay marketing fees to the Distributor and investment professionals for the sale,
distribution and customer servicing of the Fund's Class B Shares and Class C
Shares at an annual rate of up to 0.75% of the average daily NAV of the Fund's
Class B Shares and Class C Shares. Because these Shares pay marketing fees on an
ongoing basis, your investment cost may be higher over time than other shares
with different sales charges and marketing fees."
II. PORTFOLIO MANAGER CHANGES
On page 27 of the Prospectus, please delete the biography of Paige C.
Henderson (Emerging Markets Fund) and replace it with the following biography of
Jasbeena:
"Jasbeena is a vice president with Wachovia Asset Management, serving as
co-manager of the Wachovia Emerging Markets Fund with specific responsibility
for Asia equities since July 2000. Prior to joining Wachovia Asset Management,
beginning in 1994, Ms. Jasbeena was a research analyst for RT Investment Counsel
Inc. Ms. Jasbeena received a bachelor's degree in Economics from York
University. She has over seven years of investment experience and is a member of
the Association of Investment Management and Research."
In addition, please delete the following biographies:
1. Jerry D. Burton (Quantitative Equity Fund)
2. J. Wesley Jordan (Emerging Markets Fund)
3. George E. McCall (Quantitative Equity Fund)
4. Michael O. Mercer (Equity Fund, Balanced Fund, Growth & Income Fund, and
Personal Equity Fund)
Finally, the following individuals now manage the Quantitative Equity Fund:
1. Daniel S. Earthman
2. John F. Hageman
3. Russell L. Kimbro, Jr.
4. F. Stanley King
5. Matthew J. McGuinness
Their biographies can be found on page 27 of the Prospectus.
December 9, 2000
Cusips 929901734 929901676
929901742 929901767
929901809 929901601
929901882 929901627
929901841 929901650
929901635 929901866
929901692 929901783
929901718 929901791
25894 (12/00)
Incorporate by reference pursuant to Rule 411 under the Securities Act of 1933,
Parts A (Class A Shares and Class B Shares Combined Prospectus only) and B of
Post-Effective Amendment No. 33, filed January 28, 2000, in their entirety.
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)
(viii) Conformed copy of Amendment #11 to the
Declaration of Trust; (23)
(ix) Conformed copy of Amendment #12 to the
Declaration of Trust; (23)
(x) Conformed copy of Amendment #14 to the
Declaration of Trust; (23)
(xi) Conformed copy of Amendment #15 to the
Declaration of Trust; (23)
(xii) Conformed copy of Amendment #16 to the
Declaration of Trust; (23)
(xiii) Conformed copy of Amendment #17 to the
Declaration of Trust; (23) (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)
(23) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 34 on Form N-1A filed October 6, 2000. (File Nos. 33-44590
and 811-6504)
(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 Letter Agreement between The Wachovia Funds and
Wachovia Bank, N.A. and Amendment #1 to Letter Agreement;
(23)
(xv) Conformed copy of Sub-Advisory Contract between Wachovia Bank, N.A. and
Flaherty & Crumrine, Inc.; (23)
(xvi) Conformed copy of Exhibit L to the Investment Advisory Contract; (23)
(xvii) Conformed copy of Exhibit M to the Investment Advisory Contract; (23)
(xviii)Conformed copy of Exhibit O to the Investment Advisory Contract; (23)
(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)
(23) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 34 on Form N-1A filed October 6, 2000. (File Nos. 33-44590
and 811-6504)
(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)
(xiii) Conformed copies of Exhibits O through T to the Distribution
Agreement;(21)
(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) Copy of Amendment to Exhibit A to Custody Agreement; (19)
(vii) Copy of Amendment to Exhibit A to Custody Agreement; (22)
(h) Conformed copy of Portfolio Accounting and Shareholder
Recordkeeping Agreement of the Registrant; (12)
(i) Copy of Schedule A to Portfolio Accounting
and Shareholder Recordkeeping Agreement; (12)
(ii) Copy of Schedule H to Portfolio Accounting
and Shareholder 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).
(21) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 29 on Form N-1A filed July 29, 1999. (File Nos. 33-44590 and
811-6504)
(22) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 33 on Form N-1A filed January 28, 2000. (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)
(xxvi) Amendment to Exhibit A to the Shareholder Services Agreement; (22)
(xxvii) Conformed copy of Agreement for Fund Accounting Services,
Administrative Service and Transfer Agency Services; (22)
(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)
(ix) Conformed copy of Exhibit D to Plan of Distribution; (18) (x) Conformed
copy of Exhibit F to the Administrator's 12b-1 Agreement; (22) (xi) Conformed
copy of Exhibit F to the Broker's 12b-1 Agreement; (22) (xii) Conformed copy of
Exhibits F, G and H to the distribution Plan; (22) (xiii) Conformed copy of
Selling and Services Agreement; (23)
---------------------
+ 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).
(22) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 33 on Form N-1A filed January 28, 2000. (File Nos. 33-44590
and 811-6504)
(23) Response is incorporated by reference to Registrant's Post- Effective
Amendment No. 34 on Form N-1A filed October 6, 2000. (File Nos. 33-44590
and 811-6504)
(n) Copy of The Wachovia Funds Multiple Class Plan; (15) (i)
Amendment to Exhibit A to Multiple Class Plan; (18) (ii) Amendment to Exhibit A
to Multiple Class Plan; (21) (iii) Amendment to Exhibit A to Multiple Class
Plan; (22)
(o) Conformed Copy of Power of Attorney; (23)
(p) (i) Copy of Code of Ethics of the Registrant and
Wachovia Asset Management; (23)
(ii)Copy of Code of Ethics of Sub-Adviser Twin Capital
Management, Inc.; (23) (iii)Copy of Code of Ethics of
Sub-Adviser Flaherty & Crumrine, Inc.; (23) (iv) The
Registrant hereby incorporates, on behalf of the
Distributor, the conformed copy of the Code of Ethics
for Access Persons from Item 23(p) of the Money Market
Obligations Trust Registration Statement on Form N-1A
filed with the Commission on February 25, 2000 (File
Nos. 33-31602 and 811-5950).
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: Chief Executive Officer, L. M. Baker, Jr.;
President and Chief Operating Officer, G. Joseph Prendergast; Vice
Chairman, Robert S. McCoy, Jr.; Vice Chairman, Walter E. Leonard, Jr.;
State Chief Executive Officer, Lewis N. Miller, Jr. (Virginia); State Chief
Executive Officer, Will B. Spence (North Carolina/South Carolina); State
Chief Executive Officer, D. Gary Thompson (Florida/Georgia); State
President, James C. Cherry (Virginia Banking); State President, J. Kenneth
Coppedge (Florida Banking); State President, Isaiah Tidwell (Georgia
Banking); Senior Executive Vice President, Jean E. Davis; Senior Executive
Vice President, Mickey W. Dry; Senior Executive Vice President, Stanhope A.
Kelly; Senior Executive Vice President, Kenneth W. McAllister; Senior
Executive Vice President, John C. McLean, Jr.; and Senior Executive Vice
President, Donald K. Truslow. The business address of each of the Officers
of the investment adviser is Wachovia Bank, N.A., 100 North Main Street,
Winston-Salem, N.C. 27101.
The Directors of the investment adviser are: L.M. Baker, Jr.; James S.
Balloun; Peter C. Browning; John T. Casteen, III; John L. Clendenin; Thomas K.
Hearn, Jr.; George W. Henderson, III; W. Hayne Hipp; Robert A. Ingram; George R.
Lewis; Elizabeth Valk Long; John G. Medlin, Jr.; Lloyd U. Noland, III; Morris W.
Offit; G. Joseph Prendergast; Sherwood H. Smith, Jr.; and John C. Whitaker, Jr.
+ 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)
(21) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 29 on Form N-1A filed July 29, 1999. (File Nos. 33-44590 and
811-6504)
(22) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 33 on Form N-1A filed January 28, 2000. (File Nos. 33-44590
and 811-6504)
(23) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 34 on Form N-1A filed October 6, 2000. (File Nos. 33-44590
and 811-6504)
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:
Cash Trust Series II; Cash Trust Series, Inc.; CCB Funds; 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
Fixed Income Securities, Inc.; Federated Fund for U.S. Government Securities,
Inc.; Federated GNMA Trust; Federated Government Income Securities, Inc.;
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
International Series, Inc.; Federated Investment Series Funds, Inc.; Federated
Managed Allocation Portfolios; Federated Municipal Opportunities Fund, Inc.;
Federated Municipal Securities Fund, Inc.; Federated Municipal Securities Income
Trust; Federated Short-Term Municipal Trust; Federated Stock and Bond Fund,
Inc.; Federated Stock 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.; Federated World
Investment Series, Inc.; FirstMerit Funds; Hibernia Funds; Independence One
Mutual Funds; Intermediate Municipal Trust; Marshall Funds, Inc.; Money Market
Obligations Trust; Regions Funds; RIGGS Funds; SouthTrust Funds; Tax-Free
Instruments Trust; The Wachovia Funds; The Wachovia Municipal Funds; and Vision
Group of Funds, Inc.
(b)
(1) (2) (3)
Name and Principal Positions and Offices Positions and Offices
BUSINESS ADDRESS WITH DISTRIBUTOR WITH REGISTRANT
------------------ ------------------------ -----------------
Richard B. Fisher Chairman, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Arthur L. Cherry Director, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
John B. Fisher President-Institutional Sales --
Federated Investors Tower and Director,
1001 Liberty Avenue Federated Securities Corp.
Pittsburgh, PA 15222-3779
Thomas R. Donahue Director, Executive Vice --
Federated Investors Tower Vice President and Assistant
1001 Liberty Avenue Secretary,
Pittsburgh, PA 15222-3779 Federated Securities Corp.
James F. Getz President-Broker/Dealer and --
Federated Investors Tower Director,
1001 Liberty Avenue Federated Securities Corp.
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
Ronald M. Petnuch 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
John M. Albert 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
Matthew W. Brown 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
Mark Carroll Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Steven R. Cohen 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
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
Robert J. Deuberry 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
Mark D. Fisher Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Timothy Franklin Vice President, --
Federated Investors Tower Federated Securities Corp
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Mark A. Gessner 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
G. Tad Gullickson Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Scott Gundersen Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Dayna C. Haferkamp Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Anthony J. Harper 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
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
Ed Koontz Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Dennis M. Laffey Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Christopher A. Layton Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Michael H. Liss 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
Amy Michalisyn 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
Alec H. Neilly Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Thomas A. Peter III Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Raleigh Peters 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 J. Segura 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
Paul A. Uhlman 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
Terence Wiles 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
Robert W. Bauman Assistant 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
Charles L. Davis, Jr. 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
Donald C. Edwards Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
John T. Glickson Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Ernest L. Linane 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
Lynn Sherwood-Long Assistant Vice President, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Kirk A. Montgomery Secretary, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Denis McAuley, III Treasurer, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Timothy S. Johnson Assistant Secretary, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
Victor R. Siclari Assistant Secretary, --
Federated Investors Tower Federated Securities Corp.
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
(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 BANK, N.A. 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)
FLAHERTY & CRUMRINE, INC. 301 E. Colorado Blvd.
(Sub-Adviser to Wachovia Suite 720
Executive Fixed Income Fund only) Pasadena, CA 91101
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.
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 10th day of October, 2000.
THE WACHOVIA FUNDS
BY: /s/ Gail Cagney
Gail Cagney, Secretary
Attorney in Fact for John W. McGonigle
October 10, 2000
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 10, 2000
SECRETARY For the Persons
Listed Below
John W. McGonigle* President and Treasurer
(Chief Executive Officer
and Principal Financial and
Accounting Officer)
James A. Hanley* Trustee
Samuel E. Hudgins* Trustee
D. Dean Kaylor* Trustee
Alvin J. Schexnider, Ph.D.* Trustee
Charles S. Way, Jr.* Trustee
* By Power of Attorney
