Exhibit (m)(26)
AMENDMENT TO SHAREHOLDER SERVICE AGREEMENT
WITH FIRST TRUST CORPORATION
This amendment (the "Amendment") is effective as of August 22, 2003, by and
between First Trust Corporation ("FTC"), One Group Dealer Services, Inc.
("Distributor") and One Group Mutual Funds ("Fund Company").
WHEREAS the parties entered into a Shareholder Service Agreement (the
"Agreement") dated May 15, 2002 and later amended;
WHEREAS, the parties now wish to amend the Agreement by (i) changing Section 2
thereof relating to payment of service fees by Distributor to FTC, (ii) by
amending Exhibit A to no longer allow Class I shares to be available for
purchase by Plans, (iii) by revising Exhibit 1(b)(4)(ii), and (iv) by adding a
provision relating to the non-disclosure of customer information;
NOW THEREFORE, in consideration of the terms, covenants and conditions contained
herein, and other valuable consideration, the receipt and sufficiency of which
are acknowledged herein, the parties agree as follows:
AMENDMENT
1. Each party to the Agreement agrees that any Non-public Personal
Information, as the term is defined in the Xxxxx-Xxxxx-Xxxxxx Act (the
"Act"), and further set forth in applicable regulations promulgated by the
SEC as they may apply to the Company and by the FDIC as they may apply to
FTC, and disclosed by a party hereunder, is for the specific purpose of
permitting the other party to perform the services set forth in the
Agreement. Each party agrees that, with respect to such information, it
will comply with the Act and regulations applicable to it and that it will
not disclose any Non-public Personal Information received in connection
with the Agreement to any other party, except to the extent as necessary to
carry out the services set forth in this Agreement or as otherwise
permitted by law and regulation, and in such cases only after receipt of
written authorization from the other party to the Agreement.
2. Section 2 of the Agreement is hereby deleted and replaced with the
following new Section 2:
"For the services provided by FTC under this Agreement, the Fund Company
and/or the Distributor will pay to FTC:
(i) a quarterly service fee under Rule 12b-1 for accounts traded under
the nominee names of FTC & Co. and IMS & Co. equal on an annual basis
to .25% of the average daily net asset value of the Class A shares of
such Fund which are owned beneficially by the Plans during such
period; and
(ii) for accounts traded under the nominee name of TRUSTlynx & Co.
(a) a quarterly service fee under Rule 12b-1 equal on an annual basis
to .25% of the average daily net asset value of the Class A
shares of such Fund which are owned beneficially by the Plans
during such period; and
(b) a sub-transfer agency fee equal on an annual basis to .10% of the
average daily net asset value of the Class A shares of such Fund
which are owned beneficially by the Plans during such period and
held in an omnibus account with the Fund Company under the
nominee name of TRUSTlynx & Co., up to a maximum of $18.00 per
participant account per year.
FTC will provide the Fund Company with an invoice for the quarterly service
fee, showing the calculation used to arrive at the amount due, within five
(5) days of the end of the calendar quarter. Such fees will be paid or
cause to be paid by the Distributor to FTC by check no later than 30 days
after receipt of the invoice.
3. Amended Exhibit A and Amended Exhibit 1(b)(4)(ii) are attached hereto.
Except to the extent modified by this Amendment, the remaining provisions
of the Agreement shall remain in full force and effect. In the event of a
conflict between the provisions of the Agreement and those of this
Amendment, the Amendment shall control.
First Trust Corporation (FTC)
By: \s\ Skip Xxxxxxxx
Its: Executive Vice President
Date:___________________________
One Group Mutual Funds (Fund Company)
By: \s\ Xxxxxx X. Xxxxx
-----------------------------
Its: Treasurer
----------------------------
Date:___________________________
One Group Dealer Services, Inc. (Distributor)
By: \s\ Xxxxxxx X. Xxxxx
-----------------------------
Its: Secretary
----------------------------
Date:___________________________
2
Exhibit A
to
Shareholder Service Agreement dated May 15, 2003
Effective August 22, 2003
Investment Portfolios of One Group Mutual Funds
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Fund Name Class * Cusip Ticker Trading Deadline
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Arizona Municipal Bond I 681939724 OGAFX 4:00 PM (ET)
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Balanced I 681937488 HLBAX 4:00 PM (ET)
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Bond I 00000X000 WOBDX 4:00 PM (ET)
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Diversified Equity I 681939781 OGVFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Diversified Mid Cap I 00000X000 WOOPX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Equity Income I 681937793 HLIEX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Income Bond I 681937660 HLIPX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Intermediate Bond I 681937272 SEIFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Intermediate Tax-Free Bond I 681937595 HLTIX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
International Equity Index I 681937579 OIEAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Investor Balanced I 681939559 OIBFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Investor Conservative Growth I 681939625 ONCFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Investor Growth I 681939658 ONIFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Investor Growth & Income I 681939583 ONGFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Kentucky Municipal Bond I 681937389 TRKMX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Large Cap Growth I 681937256 SEEGX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Large Cap Value I 681937884 HLQVX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Louisiana Municipal Bond I 681939757 OGLFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Mid Cap Growth I 681937736 HLGEX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Mid Cap Value I 681937769 HLDEX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Municipal Income I 681937439 HLTAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Ohio Municipal Bond I 681937850 HLOMX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Small Cap Growth I 681939823 OGGFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
West Virginia Municipal Bond I 681939682 OGWFX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
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Arizona Municipal Bond A 681939740 OAMAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Balanced A 681937470 OGASX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Bond A 00000X000 PGBOX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Diversified Equity A 681939815 PAVGX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Diversified International A 00000X000 PGIEX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Diversified Mid Cap A 00000X000 PECAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Equity Income A 681937785 OIEIX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Equity Index A 681937827 OGEAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Government Bond A 681937330 OGGAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Health Sciences A 00000X000 OHSAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
High Yield Bond A 00000X000 OHYAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Income Bond A 681937652 ONIAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Intermediate Bond A 681937264 OGBAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Intermediate Tax-Free Bond A 681937587 ONTAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
International Equity Index A 681937561 OEIAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
3
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Fund Name Class * Cusip Ticker Trading Deadline
-----------------------------------------------------------------------------------------------------------------
Investor Balanced A 681939575 OGIAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Investor Conservative Growth A 681939641 OICAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Investor Growth A 681939674 ONGAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Investor Growth & Income A 681939617 ONGIX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Kentucky Municipal Bond A 681937371 OKYAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Large Cap Growth A 681937249 OLGAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Large Cap Value A 681937876 OLVAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Louisiana Municipal Bond A 681939773 PGLAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Market Expansion Index A 00000X000 OMEAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Market Neutral A 00000X000 OGNAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Michigan Municipal Bond A 00000X000 PEIAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Mid Cap Growth A 681937728 OSGIX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Mid Cap Value A 681937751 OGDIX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Mortgage-Backed Securities A 00000X000 OMBAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Municipal Income A 681937421 OTBAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Ohio Municipal Bond A 681937843 ONOHX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Short-Term Bond A 681937629 OGLVX 4:00 PM (ET)
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Short-Term Municipal Bond A 00000X000 OSTAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Small Cap Growth A 681939849 PGSGX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Small Cap Value A 00000X000 PSOAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Tax-Free Bond A 00000X000 PMBAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Technology A 00000X000 OGTAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Treasury & Agency A 681939526 OTABX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
Ultra Short-Term Bond A 681937314 ONUAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
West Virginia Municipal Bond A 681939716 OGWAX 4:00 PM (ET)
-----------------------------------------------------------------------------------------------------------------
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* All Class I shares: No new purchases; redemption only allowed
4
EXHIBIT 1(b)(4)(ii)
to Shareholder Service Agreement
Fund Parameters at Plan Level
Fund Name Parameter(s)
--------- ------------
1. All Funds See Prospectus
5
