Exhibit (m)(29)
Amendments
To
Shareholder Services (Agency) Agreement
Dated May 11, 1999
Between
First Trust Corporation,
The One Group Services Company
And
One Group Mutual Funds
258
Amendment to Shareholder Service Agreement
------------------------------------------
Pursuant to the terms of the Shareholders Service Agreement (the "SSA") dated
May 11, 1999, as amended on March 15, 2001 between First Trust Corporation and
One Group and The One Group Services Company, we hereby agree to amend the
Agreement by this Amendment (the "Amendment") in the following manner:
1. Paragraph l(a)(1) is amended by deleting the original paragraph and
substituting the following paragraph:
1. Operating Procedures. The parties agree to open and maintain Fund
accounts, process, and settle Fund transactions, process and provide
notification of Fund transfers, and administer Fund distributions in
accordance with the following operation procedures:
(a) Procedures for Accounts
(1) The Company will cause the Funds' transfer agent (the "Transfer
Agent") to establish and maintain one or more accounts (the "FTC
Omnibus Account(s)") on its books for each Fund for the Plans.
The assets of one or more Plans may be held in any FTC Omnibus
Account. Each FTC Omnibus Account will be titled in the nominee
name of either::
(i) "FTC & Co., Attention: DATAlynx #___________, as Custodian"
(ii) "FTC &Co. Attention DATAlynx # ___________, as Trustee"
(iii) "TRUSTlynx & Co., Attention: TRUSTtlynx # _____________, as
Custodian"
(iv) "TRUSTlynx & Co., Attention:: TRUSTlynx ___________, as
Trustee".
(v) "IMS & Co. for the exclusive benefit of customers"
FTC, as trustee or custodian of the Plans, will be the
shareholder of record for each FTC Omnibus Account. The Company
will provide to FTC one Fund statement for each FTC Omnibus
Account on a monthly basis.
For accounts traded under "FTC & Co.", and "IMS & Co." FTC will be
permitted extended trading hours up to 12:00 P.M. midnight. (Eastern
Standard Time) provided all trades within the extended trading period
are received by FTC prior to close of the regular trading session of
the New York Stock Exchange on a Business Day. Trades placed with the
Fund or the Transfer Agent by FTC within the extended trading hours
will receive the Net Asset Value price for the day the order is
received by FTC.
For accounts traded under "TRUSTlynx & Co.", FTC will be permitted late
trading hours up to 8:00 A.M. (Eastern Standard Time) provided all
trades within the late trading period are for Qualified Plans and are
received by the Plan's Record Keeper (Third Party Administrator) prior
to the close of regular trading session of the New York Stock Exchange
(normally 4:00 P.M. Eastern Standard Time). Trades placed with the Fund
or the Transfer Agent by FTC within the late trading hours will receive
the Net Asset Value price for the day the trade was received by the
Record Keeper.
259
Except as amended by or inconsistent with this Amendment, the original Agreement
between the parties will remain in full force and effect.
In witness whereof, the undersigned have executed this Amendment, the date below
indicated.
THE ONE GROUP SERVICES COMPANY (Distributor)
By: /s/ Xxxx X. Xxxxxx
---------------------------
Its: President
--------------------------
Date: April 20, 2001
-------------------------
ONE GROUP MUTUAL FUNDS (Fund Company)
By: /s/ Xxxx X. Xxxxxx
-----------------------------
Its: President
----------------------------
Date: April 27, 2001
---------------------------
Accepted by:
FIRST TRUST CORPORATION (FTC)
By: /s/ XXXXXX RADIMORE RATKEIN
--------------------------------
Its: Vice President
-------------------------------
Date: April 30, 2001
------------------------------
260
Amendment to Shareholder Service Agreement
Pursuant to the terms of the Shareholder Service Agreement May 11,1999 between
First Trust Corporation (FTC) and One Group and The One Group Service Company,
we hereby agree to amend the agreement in the following manner:
1. Paragraph l(a)(1) is amended by deleting the original paragraph and
substituting the following paragraph:
1. Operating Procedures. The parties agree to open and maintain Fund
accounts, process, and settle Fund transactions, process and provide
notification of Fund transfers, and administer Fund distributions in
accordance with the following operation procedures:
(a) Procedures for Accounts
(1) The Company will cause the Fund's transfer agent (the "Transfer
Agent') to establish and maintain one or more accounts (the "FTC
Omnibus Account (s)" on its books for each Fund for the Plans. The
assets of one or more Plans may be held in any FTC Omnibus
Account. Each FTC Omnibus Account will be titled in the nominee
name of "FTC & Co., Attention: DATAlynx #_______" or "TRUSTlynx &
Co., Attention: TRUSTlynx #_________ and FTC as trustee or
custodian of the Plans, will be the shareholder of record for each
FTC Omnibus Account. The Company will provide to FTC one Fund
statement for each FTC Omnibus Account on a monthly basis.
2. Paragraph 1(b) is amended by adding the following Subparagraphs (11) and
(12):
(11) For accounts traded under "FTC & Co.", FTC will be permitted extended
trading hours up to 12:00 P.M. midnight (Eastern Standard Time)
provided all trades within the extended trading period are received by
FTC prior to close of the regular trading session of the New York
Stock Exchange. Trades placed with the Fund or the Transfer Agent by
FTC within the extended trading hours will receive the Net Asset Value
price for the day the order is received by FTC.
(12) For accounts traded under "TRUSTlynx & Co.", FTC will be permitted
late trading hours up to 8:00 A.M. on trade date plus one (Eastern
Standard Time) provided all trades within the late trading period are
for Qualified
261
Plans and are received by the Plan's Record Keeper (Third Party
Administrator) prior to the close of regular trading session of the
New York Stock Exchange (normally 4:00 P.M. Eastern Standard Time).
Trades placed with the Fund or the Transfer Agent by FTC within the
late trading hours will receive the Net Asset Value price for the day
the trade was received by the Record Keeper.
In witness whereof, the undersigned have executed this Amendment, the date below
indicated.
ONE GROUP THE ONE GROUP SERVICE COMPANY
By: /s/ Xxxx X. Xxxxxx By: /s/ Xxxx X. Xxxxxx
-------------------------- ------------------------------
Its: President Its: President
------------------------- -----------------------------
Date: 3/5/01 Date: 2/20/01
------------------------ ----------------------------
Accepted By:
------------
FIRST TRUST CORPORATION (FTC)
-----------------------------
By: /s/ Xxxxxx Rademere Ratkein
---------------------------------
Its: President
--------------------------------
Date: 3/15/01
------------------------------
262
Amendment to Shareholder Service Agreement
Pursuant to the terms of the Shareholders Service Agreement (the "SSA") dated
May 11, 1999 between First Trust Corporation and One Group and The One Group
Services Company, we hereby agree to replace Exhibit A to the SSA to with the
following:
Fund Name Class Cusip Ticker Trading Deadline
------------------------------ ----- ---------- ------ ----------------
Small Cap Growth I 681939823 OGGFX 4:00 PM EST
Investor Growth I 681939658 ONIFX 4:00 PM EST
Investor Growth & Income I 681939583 ONGFX 4:00 PM EST
Investor Conservative Growth I 681939625 ONCFX 4:00 PM EST
Investor Balanced I 681939559 OIBFX 4:00 PM EST
Intermediate Bond I 681937272 SEIFX 4:00 PM EST
Income Bond I 681937660 HLIPX 4:00 PM EST
Intermediate Tax Free Bond I 681937595 HLTIX 4:00 PM EST
Municipal Income I 681937439 HLTAX 4:00 PM EST
Arizona Municipal Bond I 681939724 OGAFX 4:00 PM EST
West Virginia Municipal Bond I 681939682 OGWFX 4:00 PM EST
Louisiana Municipal Bond I 681939757 OGLFX 4:00 PM EST
Ohio Municipal Bond I 681937850 HLOM.X 4:00 PM EST
Kentucky Municipal Bond I 681937389 TRKMX 4:00 PM EST
Balanced I 681937488 HLBAX 4:00 PM EST
Large Cap Growth I 681937256 SEEGX 4:00 PM EST
Large Cap Value I 681937884 HLQVX 4:00 PM EST
Mid Cap Growth I 681937736 HLGEX 4:00 PM EST
International Equity Index I 681937579 OIEAX 4:00 PM EST
Mid Cap Value I 681937769 HLDEX 4:00 PM EST
Equity Income I 681937793 HLIEX 4:00 PM EST
Diversified Equity I 681939781 OGVFX 4:00 PM EST
Diversified Mid Cap I 00000X000 WOOPX 4:00 PM EST
Bond I 00000X000 WOBDX 4:00 PM EST
Large Cap Growth A 681937876 OLVAX 4:00 PM EST
Mid Cap Value A 681937751 OGDIX 4:00 PM EST
Mid Cap Growth A 681937728 OSGIX 4:00 PM EST
Diversifies Mid Cap A 6823IN701 PECAX 4:00 PM EST
Equity Income A 681937785 OIEIX 4:00 PM EST
Equity Index A 681937827 OGEAX 4:00 PM EST
International Equity Index A 681937561 OELAX 4:00 PM EST
Ultra Short-Term Bond A 681937314 ONVAX 4:00 PM EST
Bond A 00000X000 PGBOX 4:00 PM EST
263
THE ONE GROUP SERVICES COMPANY (Distributor)
By: /s/ Xxxx X. Xxxxxx
---------------------------------
Its: President
--------------------------------
Date: 3/24/01
-------------------------------
ONE GROUP MUTUAL FUNDS (Fund Company)
By: /s/
---------------------------------
Its: Treasurer
--------------------------------
Date: 3/27/01
-------------------------------
Accepted by:
FIRST TRUST CORPORATION (FTC)
By: /s/ Xxxxxx Rademore Ratkein
-----------------------------------
Its: Vice President
----------------------------------
Date: 4/09/01
---------------------------------
264
