EXHIBIT (h)(38)
FIRST AMENDMENT TO
FUNDS TRADING AGREEMENT
This First Amendment, dated as of the first day of July, 2003, by and among ONE
GROUP MUTUAL FUNDS ("One Group"), BANC ONE INVESTMENT ADVISORS CORPORATION
("BOIA"); Bank One Trust Company, N.A. ("BOTC") and FIDELITY INVESTMENTS
INSTITUTIONAL OPERATIONS COMPANY, INC. ("FIIOC"). Terms used in this First
Amendment and not defined herein are used with the meanings given them in the
Agreement.
WITNESSETH:
WHEREAS, the Parties heretofore entered into a FUNDS TRADING AGREEMENT
dated August 21, 2000, as Supplemented by the Supplement to Funds Trading
Agreement dated February 22, 2001 (together, the "Agreement"), regarding the
purchase and redemption of shares of the Funds by certain qualified employee
benefit plans for which FIIOC provides administrative and recordkeeping services
(individually, the "Plan" and collectively, the "Plans"); and
WHEREAS, the Parties desire to amend certain provisions of the Agreement in
accordance with the provisions of Section 20 thereof.
NOW THEREFORE, in consideration of the above premises, the Parties hereby
agree as follows:
1. The notice addresses for One Group and FIIOC in Section 19 of the agreement
are hereby replaced with the following:
"If to One Group:
One Group Mutual Funds
0000 Xxxxxxx Xxxxxxx, Xxxxx 0-X/X/X
Xxxxxxxx, XX 00000-0000
AttnChief Operating Officer
"If to FIIOC:
000 Xxxxx Xxxxxx
Xxxx Xxxx X0X0
Xxxxxxxxxx, XX 00000
Attn: Contract Risk Management"
2. Exhibit A is entirely replaced with the Exhibit A attached hereto.
3. Except as expressly provided herein, all provisions of the Agreement remain
in effect.
IN WITNESS WHEREOF, the Parties have caused this First Amendment to be
executed by their duly authorized officers effective as of the day and year
first above written.
FIDELITY INVESTMENTS INSTITUTIONAL ONE GROUP
OPERATIONS COMPANY, INC. MUTUAL FUNDS
By: /s/ Don Holborn By: /s/ Xxxxxx X. Xxxxx
--------------- -------------------
Don Holborn Xxxxxx X. Xxxxx
Executive Vice President Name and Title
BANC ONE INVESTMENT BANK ONE TRUST
ADVISORS CORPORATION COMPANY
By: /s/ Xxxx X. Xxxxxx By: /s/ Xxxxxxx X. Xxxxx
------------------ ---------------------
Xxxx X. Xxxxxx Jeferrey X. Xxxxx
Name and Title Name and Title
2
EXHIBIT A
FUNDS
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NON-PROGRAM
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Fund: One Group Bond Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: PGBOX
Fund: One Group International Equity Index Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OEIAX
Fund: One Group Mid Cap Growth Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OSGIX
Fund: One Group Small Cap Value Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: PSQAX
PROGRAM
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Fund: One Group Prime Money Market Fund: Class A
Cusip: 000000000
Ticker Symbol: HPIXX
Fund: One Group U.S. Treasury Securities Money Market Fund: Class A
Cusip: 000000000
Ticker Symbol: HTIXX
Fund: One Group High Yield Bond Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: OHYAX
Fund: One Group Income Bond Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: ONIAX
Fund: One Group Bond Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: PGBOX
Fund: One Group Government Bond Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OGGAX
3
Fund: One Group Intermediate Bond Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OGBAX
Fund: One Group Short-Term Bond Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OGLVX
Fund: One Group Investor Growth Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: ONGAX
Fund: One Group Investor Growth & Income Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: ONGIX
Fund: One Group Investor Balanced Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OGIAX
Fund: One Group Investor Conservative Growth Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OICAX
Fund: One Group Diversified International Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: PGIEX
Fund: One Group International Equity Index Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OEIAX
Fund: One Group Small Cap Growth Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: PGSGX
Fund: One Group Small Cap Value Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: PSOAX
Fund: One Group Mid Cap Growth Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OSGIX
4
Fund: One Group Mid Cap Value Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OGDIX
Fund: One Group Market Expansion Index Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: N/A
Fund: One Group Large Cap Growth Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OLGAX
Fund: One Group Large Cap Value Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OLVAX
Fund: One Group Diversified Equity Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: PAVGX
Fund: One Group Equity Index Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OGEAX
Fund: One Group Equity Income Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OIEIX
Fund: One Group Balanced Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: OGASX
Fund: One Group Diversified Mid Cap Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: WOOPX
Fund: One Group Mortgage-Backed Securities Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: OMBIX
Fund: One Group Technology Fund: Class A Shares
Cusip: 00000X000
Ticker Symbol: N/A
5
Fund: One Group Ultra Short Term Bond Fund: Class A Shares
Cusip: 000000000
Ticker Symbol: HLGFX
Fund: One Group Balanced Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLBAX
Fund: One Group Bond Fund: Class I Shares
Cusip: 00000X000
Ticker Symbol: WOBDX
Fund: One Group Diversified Equity Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: OGVFX
Fund: One Group Diversified International Fund: Class I Shares
Cusip: 00000X000
Ticker Symbol: WOIEX
Fund: One Group Diversified Mid Cap Fund: Class I Shares
Cusip: 00000X000
Ticker Symbol: WOOPX
Fund: One Group Equity Income Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLIEX
Fund: One Group Equity Index Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLEIX
Fund: One Group Government Bond Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLGAX
Fund: One Group High Yield Bond Fund: Class I Shares
Cusip: 00000X000
Ticker Symbol: OHYFX
Fund: One Group Income Bond Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLIPX
6
Fund: One Group Intermediate Bond Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: SEIFX
Fund: One Group International Equity Index Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: OIEAX
Fund: One Group Investor Balanced Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: OIBFX
Fund: One Group Investor Conservative Growth Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: ONCFX
Fund: One Group Investor Growth & Income Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: ONGFX
Fund: One Group Investor Growth Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: ONIFX
Fund: One Group Large Cap Growth Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: SEEGX
Fund: One Group Large Cap Value Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLQVX
Fund: One Group Market Expansion Index Fund: Class I Shares
Cusip: 00000X000
Ticker Symbol: PGMIX
Fund: One Group Mid Cap Growth Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLGEX
Fund: One Group Mid Cap Value Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLDEX
7
Fund: One Group Mortgage-Backed Securities Fund: Class I Shares
Cusip: 00000X000
Ticker Symbol: OMBIX
Fund: One Group Prime Money Market Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLPXX
Fund: One Group Short-Term Bond Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLLVX
Fund: One Group Small Cap Growth Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: OGGFX
Fund: One Group Small Cap Value Fund: Class I Shares
Cusip: 00000X000
Ticker Symbol: PSOPX
Fund: One Group Technology Fund: Class I Shares
Cusip: 00000X000
Ticker Symbol: N/A
Fund: One Group U.S. Treasury Securities Money Market Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HGOXX
Fund: One Group Ultra Short Term Bond Fund: Class I Shares
Cusip: 000000000
Ticker Symbol: HLGFX
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