EX-3 5 wccorp.htm WACHOVIA CORPORATION LIST OF DIRECTORS

Data Sheet Report Friday, August 30, 2002

Wachovia Corporation (FUC) as of Thursday, August 29, 2002

Status:
Internal No.:
Incorporation:
Ann. Mtg. Min. Resp.:
Corp Records/Seal:

Active
Co# 0198 (FUC)
North Carolina
Legal - Charlotte
Legal - Charlotte

Federal ID #:

56-0898180

  
     

Fiscal Year End:

12/31

Comment:

  

Annual Meeting:

Third Tuesday in April

Primary Address
One Wachovia Center

Charlotte, NC 28288

Registered Address
None given

Primary Phone

Primary Fax

Purpose of Business

Financial Holding Company. (00AA) Merchant banking activities (31SA) commenced 3/13/00.

 

Former Name (s)

From Date

Through Date

First Union National Bancorp, Inc.

Friday, December 22, 1967

Friday, May 19, 1972

Comment:

  

Cameron Financial Corporation

Friday, May 19, 1972

Tuesday, April 13, 1976

Comment:

  

First Union Corporation

Tuesday, April 13, 1976

Saturday, September 01, 2001

Comment:

On 9/1/01 Wachovia Corporation, Winston-Salem, NC, merged into First Union Corporation, and First Union Corporation changed its name to Wachovia Corporation

 

DIRECTORS

Currently Authorized: 18

Min: 9

Max: 30

Quorum: 10

Classes: 3

Comment:

#SEE NARRATIVE
 

Title

    

John D. Baker, II

Director

    

F. Duane Ackerman

Director

    

L.M. Baker, Jr.

Director

    

James S. Balloun

Director

    

Robert J. Brown

Director

    

Peter C. Browning

Director

    

John T. Casteen, III

Director

    

William H. Goodwin, Jr.

Director

    

Robert A. Ingram

Director

    

Mackey J. McDonald

Director

    

Joseph Neubauer

Director

    

Lloyd U. Noland, III

Director

    

Ruth G. Shaw

Director

    

Lanty L. Smith

Director

    

G. Kennedy Thompson

Director

    

John C. Whitaker, Jr.

Director

    

Dona Davis Young

Director

    
       

OFFICERS
 

Title

    

*** ***

SEE NARRATIVE

    

L.M. Baker, Jr.

Member of Management Operating Committee

    

David M. Carroll

Member of Management Operating Committee

    

Stephen E. Cummings

Member of Management Operating Committee

    

Jean E. Davis

Member of Management Operating Committee

    

Malcolm E. Everett, III

Member of Management Operating Committee

    

Paul G. George

Member of Management Operating Committee

    

W. Barnes Hauptfuhrer

Member of Management Operating Committee

    

Benjamin P. Jenkins, III

Member of Management Operating Committee

    

Robert P. Kelly

Member of Management Operating Committee

    

Stanhope A. Kelly

Member of Management Operating Committee

    

Robert S. McCoy, Jr.

Member of Management Operating Committee

    

Donald A. McMullen, Jr.

Member of Management Operating Committee

    

G. Kennedy Thompson

Member of Management Operating Committee

    

Mark C. Treanor

Member of Management Operating Committee

    

Donald K. Truslow

Member of Management Operating Committee

    

L.M. Baker, Jr.

Regulation O Executive Officer

    

David M. Carroll

Regulation O Executive Officer

    

Stephen E. Cummings

Regulation O Executive Officer

    

Jean E. Davis

Regulation O Executive Officer

    

Malcolm E. Everett, III

Regulation O Executive Officer

    

Paul G. George

Regulation O Executive Officer

    

W. Barnes Hauptfuhrer

Regulation O Executive Officer

    

Benjamin P. Jenkins, III

Regulation O Executive Officer

    

David M. Julian

Regulation O Executive Officer

    

Robert P. Kelly

Regulation O Executive Officer

    

Stanhope A. Kelly

Regulation O Executive Officer

    

Robert S. McCoy, Jr.

Regulation O Executive Officer

    

Donald A. McMullen, Jr.

Regulation O Executive Officer

    

G. Kennedy Thompson

Regulation O Executive Officer

    

Mark C. Treanor

Regulation O Executive Officer

    

Donald K. Truslow

Regulation O Executive Officer

    

Billy James Walker

Regulation O Executive Officer

    

Thomas J. Wurtz

Regulation O Executive Officer

    

L.M. Baker, Jr.

Section 16 Executive Officer

    

David M. Carroll

Section 16 Executive Officer

    

Stephen E. Cummings

Section 16 Executive Officer

    

Jean E. Davis

Section 16 Executive Officer

    

Malcolm E. Everett, III

Section 16 Executive Officer

    

Paul G. George

Section 16 Executive Officer

    

W. Barnes Hauptfuhrer

Section 16 Executive Officer

    

Benjamin P. Jenkins, III

Section 16 Executive Officer

    

David M. Julian

Section 16 Executive Officer

    

Robert P. Kelly

Section 16 Executive Officer

    

Stanhope A. Kelly

Section 16 Executive Officer

    

Alice Lehman

Section 16 Executive Officer

    

Robert S. McCoy, Jr.

Section 16 Executive Officer

    

Donald A. McMullen, Jr.

Section 16 Executive Officer

    

G. Kennedy Thompson

Section 16 Executive Officer

    

Mark C. Treanor

Section 16 Executive Officer

    

Donald K. Truslow

Section 16 Executive Officer

    

Billy James Walker

Section 16 Executive Officer

    

Thomas J. Wurtz

Section 16 Executive Officer

    

Stuart C. Adams

Senior Vice President

    

Howard Anderman

Vice President

    

Robert L. Andersen

Senior Vice President

    

Michele D. Bailey

Assistant V.P.

    

Pam Bainbridge

Assistant V.P.

    

L.M. Baker, Jr.

Chairman

    

Jacqueline A. Ballantine

Vice President

    

Janice C. Barber

Audit Officer

    

Elizabeth M. Barbis

Senior Vice President

    

Lawrence G. Baxter

Senior Vice President

    

James L. Beaver, Jr.

Vice President

    

Scott Paul Berrier

Vice President

    

Robert F. Bertges

Senior Vice President

    

Terry Bibleheimer

Senior Vice President

    

Linda A. Blanchfield

Senior Vice President

    

Julia I. Bouhuys

Senior Vice President

    

Ruth J. Brader

Senior Vice President

    

Robert H. Bradford, Jr.

Bank Officer

    

Cheryl D. Bradshaw

Vice President

    

John P. Brady

Senior Vice President

    

Betsy Brammer

Bank Officer

    

Matthew B. Bready

Assistant V.P.

    

Kimberly W. Brown

Audit Officer

    

Byron E. Broyles

Audit Officer

    

Michael A. Brunt

Bank Officer

    

Mark E. Buechner

Vice President

    

James N. Bullard

Assistant V.P.

    

Leigh M. Bullen

Vice President

    

R. Lowndes Burke

Vice President

    

Peter Butler

Vice President

    

Margaret A. Byrne

Vice President

    

Michael R. Caldwell

Vice President

    

Thomas M. Cambern

Senior Vice President

    

Robert E. Campbell

Vice President

    

Kenneth R. Carpenter, Jr.

Vice President

    

David M. Carroll

Senior EVP

    

David B. Carson

Senior Vice President

    

Douglas A. Carson

Vice President

    

Ronald D. Case

Vice President

    

James A. Cassell

Senior Vice President

    

Leanne Castagna

Vice President

    

E. Greer Cawood

Senior Vice President

    

Christopher M. Celio

Vice President

    

Tracey M. Chaffin

Vice President

    

Robert M. Chalik

Vice President

    

John Chepul

Tax Officer

    

James C. Cherry

Executive VP

    

Karen D. Clark

Vice President

    

Margaret G. Clark

Senior Vice President

    

Jeffrey Cohen

Assistant V.P.

    

Edward C. Coker

Vice President

    

Joseph L. Coleman

Assistant V.P.

    

Jill C. Coley

Audit Officer

    

Mary Jane Collins

Vice President

    

James C. Cook

Senior Vice President

    

Rosalia J. Costa-Clarke

Vice President

    

Carl M. Cowart

Vice President

    

David G. Cox

Vice President

    

April Davis Crawford

Assistant V.P.

    

Stephen E. Cummings

Co-Head, Corporate & Investment Banking, Wachovia Securities

    
 

Senior EVP

    

Leslie S. Cundiff

Senior Vice President

    

Anne T. Daniel

Assistant Secretary

    

John O. Dashner

Vice President

    

Amy Hope Davis

Vice President

    

Eric C. Davis

Senior Vice President

    

J. Frederick Davis, III

Vice President

    

Jean E. Davis

Senior EVP

    

Jeraldine B. Davis

Senior Vice President

    

David J. De Gorter

Senior Vice President

    

Robert L. Dean

Senior Vice President

    

Bartley H. Deese, Jr.

Audit Officer

    

Albert J. DeForest, III

Vice President

    

Giuseppe DiFrancesco

Vice President

    

Jose Luis Dominguez

Assistant V.P.

    

Thomas A. Dorsey

Senior Vice President

    

Timothy R. Dowling

Managing Director

    

Susan K. Doyle

Vice President

    

Carol A. Dubie

Senior Vice President

    

John G. Dumm

Vice President

    

Charles Joseph Elwell

Vice President

    

Frederick W. Eubank, II

Senior Vice President

    

Malcolm E. Everett, III

Senior EVP

    

Otho Allen Ezell, Jr.

Assistant V.P.

    

Terry Lee Faust

Vice President

    

Raedel J. Faverio

Bank Officer

    

Carole A. Felton

Vice President

    

Charles Thomas Fennimore

Vice President

    

Anthony D. Fenton

Senior Vice President

    

Ron R. Ferguson

Senior Vice President

    

Kenneth T. Finch

Audit Officer

    

Catherine E. Foley

Vice President

    

Beverly C. Foushee

Assistant V.P.

    

Roger Anthony Fox

Senior Vice President

    

John Monroe Frank

Assistant V.P.

    

Edward R. Frommelt

Audit Officer

    

David L. Gaines

Senior Vice President & Assistant Treasurer

    

Richard S. Galloway

Assistant V.P.

    

Sally Ganem

Vice President

    

Stephen T. Gannon

Senior Vice President

    

Paul G. George

Senior EVP

    

James H. Gilbraith, II

Vice President

    

Maryjane T. Gommel

Audit Officer

    

Ellen Herman Goodman

Vice President

    

Richard H. Grattan

Senior Vice President

    

Steven Gray

Vice President

    

Brenda R. Greenway

Assistant V.P.

    

Annie B. Gunter

Assistant V.P.

    

Mary Louise Guttmann

Senior Vice President

    

Faye O. Haack

Assistant V.P.

    

Donald Hall

Assistant V.P.

    

Kelly Kitchingman Hall

Assistant Secretary

    

Mary E. Hallman

Audit Officer

    

Robert F. Hampson

Vice President

    

L. Watts Hamrick, III

Senior Vice President

    

Yates E. Harmon

Audit Officer

    

Donna M (WACH) Harris

Senior Vice President

    

W. Barnes Hauptfuhrer

Co-Head, Corporate & Investment Banking, Wachovia Securities

    
 

Senior EVP

    

James F. Heatwole

Vice President

    

David A. Hebner

Senior Vice President

    

Heather Hendershott

Bank Officer

    

Bruce C. Henderson

Vice President

    

Jane Nase Henderson

Senior Vice President

    

David W. Hendrick

Assistant V.P.

    

Adrienne Hill-Sears

Vice President

    

Gordon R. Hinesley

Vice President

    

Robert G. Hoak

Executive VP

    

Robert Hoelscher

Vice President

    

James Glenward Holland, Jr.

Assistant V.P.

    

Glynis S. Hopkins

Vice President

    

Joseph F. Hozalski

Vice President

    

William D. Huber

Vice President

    

Leonard Hungarter, Jr.

Assistant V.P.

    

Joseph Early Hunnicutt

Vice President

    

Susan W. Iossa

Vice President

    

David E. Jackson

Assistant V.P.

    

Joseph J. Jackson

Bank Officer

    

Carol S. Jarratt

Vice President

    

David H. Jarvis

Senior Vice President

    

Benjamin P. Jenkins, III

Senior Executive Vice President & President of General Bank

    

Thomas S. Johnston

Senior Vice President

    

Benjamin J. Jolley

Senior Vice President

    

Thomas W. Joyce, III

Vice President

    

David M. Julian

Principal Accounting Officer

    

Frank S. Kaulback,III

Senior Vice President

    

Richard A. Keating

Senior Vice President

    

James A. Kelly

Vice President

    

Robert P. Kelly

CFO

    
 

Senior EVP

    

Stanhope A. Kelly

Senior EVP

    
 

President of Wealth Management

    

Robert B. Kenyon

Vice President

    

Nancy Kerkhoff

Assistant Secretary

    

Neil C. King

Senior Vice President

    

Brenda Head Kirkpatrick

Vice President

    

Lee Klein

Assistant V.P.

    

Janet M. Kline

Assistant V.P.

    

Robert S. Kniejski

Executive VP

    

Michael H. Koonce

Senior Vice President

    

Nicholas Koumoulis

Assistant V.P.

    

Georgios C. Kyvernitis

Vice President

    

Lisa A. Laffey

Vice President

    

Pearce A. Landry

Vice President

    

William B. Langley

Executive VP

    

John Lansche

Vice President

    

Janet M. LeClair

Senior Vice President

    

Sandra B. Lemons

Vice President

    

Julian Mark Leroy

Assistant V.P.

    

Tom P. Levandowski

Senior Vice President

    

Carolann A. Levitzki

Assistant V.P.

    

Leonard Lindberg

Assistant V.P.

    

Deborah B. Lineberger

Tax Officer

    

Lloyd Lipsett

Vice President

    

Bruce W. Loftin

Senior Vice President

    

Joe O. Long

Senior Vice President

    

John H. Loughridge, Jr.

Senior Vice President

    

Tammy Marie Lowman

Audit Officer

    

Daniel J. Ludeman

Senior Vice President

    

Carlos Lummus

Vice President

    

Thomas J. Maher

Vice President

    

Cecil M. Martin

Vice President

    

Ronald L. Massey

Vice President

    

Robert L. Massi

Vice President

    

Esther G. Mateos

Vice President

    

Monica Q. Matherly

Vice President

    

Gregory Mathews

Senior Vice President

    

Daniel P. Mazo

Vice President

    

Terrance M. McCaffery

Audit Officer

    

Dawn G. McCall

Assistant V.P.

    

John F. McCormack

Vice President

    

Robert S. McCoy, Jr.

Vice Chairman

    

Victoria I. McDonald

Vice President

    

J. Walter McDowell, III

Executive VP

    

Paul M. McLinko

Vice President

    

Donald A. McMullen, Jr.

Senior Executive Vice President and President of Capital Management

    

Linda L. McQuay

Vice President

    

David C. Mellander

Audit Officer

    

Mark A. Mendenhall

Vice President

    

David M. Millar

Audit Officer

    

Peter Mogendorf

Audit Officer

    

Von W. Moody, III

Vice President

    

James N. Moody, Jr.

Vice President

    

Lisa M. Morgan

Assistant V.P.

    

Michael T. Morrissett

Vice President

    

Walter John Moser

Vice President

    

Angela S. Mull

Assistant V.P.

    

Patrick T. Mumford

Senior Vice President

    

Peggy C. Nixon

Vice President

    

Paul E. Norris

Senior Vice President

    

Keith M. Northern

Senior Vice President

    

Ted F. Norwood

Assistant V.P.

    

Charles H. O'Donnell

Vice President

    

Marta Ochoa

Tax Officer

    

Jennifer R. Outen

Audit Officer

    

Kimberly K. Owen

Audit Officer

    

Darlene T. Pack

Audit Officer

    

Cynthia W. Parris

Assistant V.P.

    

Penny L. Patterson

Assistant V.P.

    

Pamela M. Pearson

Senior Vice President

    

Steven E. Peckel

Vice President

    

Peter G. Perna

Vice President

    

Ralph A. Perry, Jr.

Senior Vice President

    

Barry G. Pritchard

Assistant V.P.

    

Abizar S. Rangwala

Vice President

    

Michael E. Ray

Assistant Secretary

    

Michael J. Reardon

Assistant V.P.

    

Jim F. Redman

Senior Vice President

    

Lydia E. Reyes

Audit Officer

    

Edward D Ridenhour

Senior Vice President

    

Frank D. Robb

Executive VP

    

John A. Rocker

Vice President

    

Arthur C. Roselle

Vice President

    

Arthur L. Roth

Vice President

    

Barbara Meyer Rothenberg

Senior Vice President

    

Martin J. Rust

Senior Vice President

    

David J. Scanlan

Vice President

    

Peter J. Schild

Senior Vice President

    

William H. Schwartz

Assistant V.P.

    

Ronald V. Shearin

Vice President

    

William R. Sheerin

Assistant V.P.

    

Patrick J. Shevlin

Senior Vice President & Tax Officer

    

Donna G. Shewmake

Vice President

    

David J. Shivell

Audit Officer

    

Donna Thurman Simmons

Bank Officer

    

Kay K. Simmons

Assistant Secretary

    

Kathleen M. Sims

Audit Officer

    

Susie F. Siskin

Senior Vice President

    

Amy E. Slater

Senior Vice President

    

James Timothy Small

Assistant V.P.

    

Stephen W. Smith

Vice President

    

Christopher F. Snead

Assistant V.P.

    

James G. Snead,Jr.

Senior Vice President

    

Howard A. Sorrells, Jr.

Bank Officer

    

Sterling A. Spainhour

Assistant Secretary

    
 

Senior Vice President

    

Wilbert B. Spence, Jr.

Executive VP

    

Robert G. Spencer

Assistant V.P.

    

Chris L. Stalcup

Audit Officer

    

Fred Lewis Steffey

Assistant V.P.

    

James Stenersen III

Vice President

    

David K. Sterlitz

Assistant V.P.

    

Joyce L. Stiff

Assistant V.P.

    

Carlyle E. Stull, Jr.

Senior Vice President

    

Bala Subramaniam

Audit Officer

    

Irma Sumpter

Assistant V.P.

    

C. Randall Talley

Bank Officer

    

James A. Taylor

Assistant V.P.

    

Peter F. Ten Eyck

Vice President

    

D. Gary Thompson

Executive VP

    

G. Kennedy Thompson

President

    
 

CEO

    

Michelle R. Thompson

Vice President

    

Daniel L. Topping

Bank Officer

    

Edward J. Tornesello

Vice President

    

Maureen E. Towle

Vice President

    

Mark C. Treanor

General Counsel & Secretary

    
 

Senior EVP

    

Thai Dung Truong

Audit Officer

    

Donald K. Truslow

Senior EVP

    

G. Christian Ullrich, II

Senior Vice President

    

Brenda L. Vaughan

Vice President

    

B. Joline Vega

Audit Officer

    

Robert A. Verrone

Senior Vice President

    

Kimberly C. Wagner

Assistant V.P.

    

Melford Whitfield Walker

Vice President

    

Teresa W. Walker

Vice President

    

Kristy A. Wallace

Assistant V.P.

    

Andrew B. Warhurst

Vice President

    

Robert H. Waters

Vice President

    

Charles D. Watts

Assistant V.P.

    

Daniel W. Weade

Bank Officer

    

Larry G. Webb

Vice President

    

Beverly B. Wells

Executive VP

    

Benjamin F. Williams, Jr.

Senior Vice President

    

James D. Wilson

Vice President

    

Alita T. Wingfield

Vice President

    

Paul Woollard

Senior Vice President

    

Thomas J. Wurtz

Treasurer

    
       

STOCKS

Class A Preferred Stock

Price/Par Value:
CUSIP:
SYMBOL:

No Par

Date Authorized:
Authorized:
Outstanding:
Issued:
# in Treasury:


40,000,000
 

Comment:

  

Common Stock

Price/Par Value:
CUSIP:
SYMBOL:

$3.33 1/3

Date Authorized:
Authorized:
Outstanding:
Issued:
# in Treasury:


2,000,000,000
 

Comment:

The shares of the Company are publicly traded and listed on the New York Stock Exchange. Contact Shareholder Services for outstanding shares.

Preferred Stock

Price/Par Value:
CUSIP:
SYMBOL:

No Par

Date Authorized:
Authorized:
Outstanding:
Issued:
# in Treasury:


10,000,000
 

Comment:

  

 

 

DIRECT SUBSIDIARIES

 

Incorp/Formed in

%Ownership

 

ABCA, Inc.

Florida

100%

  

Atlantic Savings Bank, FSB (ASB)

  

100%

  

Capitol Finance Group, Inc.

North Carolina

100%

  

Celadon, Inc.

North Carolina

100%

  

Central Fidelity Capital Trust I

Delaware

100%

  

Central Fidelity Properties, Inc.

Virginia

100%

  

CoreStates Holdings, Inc.

Delaware

100%

  

CREST 2000-1 Holding SPV, Inc.

Delaware

100%

  

EVEREN Capital Corporation

Delaware

100%

  

Evergreen FPS, Inc.

North Carolina

100%

  

FCC-PR, Inc.

Puerto Rico

100%

  

Fidelcor Business Credit Corporation

New York

100%

  

Financial Life Insurance Company of Georgia

Georgia

100%

  

First American Service Corporation

Virginia

100%

  

First Atlanta Corporation

Georgia

100%

  

First Atlanta Lease Liquidating Corporation

Georgia

100%

  

First Clearing Corporation (FCC)

Pennsylvania

100%

  

First National Bank of Atlanta, The (FNB)

United States of America

100%

  

First Union Capital I

Delaware

100%

  

First Union Capital II

Delaware

100%

  

First Union Capital III

  

100%

  

First Union Commercial Corporation (COM)

North Carolina

.9696%

  

First Union Community Development Corporation

Virginia

100%

  

First Union Genesis Holdings, Inc.

Florida

100%

  

First Union Institutional Capital I

  

100%

  

First Union Institutional Capital II

  

100%

  

First Union Insurance Agency of NC, Inc. (FIA)

North Carolina

100%

  

First Union Insurance Services, Inc.

New Jersey

100%

  

First Union Life Insurance Company

Arizona

100%

  

First Union Regional Community Development Corporation, Inc.

Pennsylvania

51%

  

First Union Regional Foundation

Pennsylvania

    

First Union Services, Inc. (NCC, WCS)

North Carolina

100%

  

Forum Capital Markets, LLC

Delaware

100%

  

Franklin Capital Associates III, L.P.

  

6.6%

  

FUNC Holdings Inc.

Florida

100%

  

ISC Realty Corporation

North Carolina

100%

  

Jefferson Properties, Inc.

Virginia

100%

  

Johnson, Lane, Space, Smith Corporation, The

  

100%

  

McGlinn Capital Management, Inc. (McG)

Pennsylvania

100%

  

OFFITBANK (OFB)

New York

100%

  

Signet Student Loan Corporation

Virginia

100%

  

Silas Technologies, Inc. (STI)

North Carolina

100%

  

Southern Provident Life Insurance Company

Arizona

100%

  

Structured Credit Partners, LLC

Delaware

100%

  

Synthetic Fixed-Income Securities, Inc.

Delaware

100%

  

Taylor & Clark Insurance Services, Incorporated (TCI)

Virginia

100%

  

The Money Store Holdings Limited

England

100%

  

The Money Store Insurance Services Corp.

California

100%

  

TRSTE II, Inc.

Tennessee

100%

  

TRSTE, Inc.

Virginia

100%

  

Tryon Management, Inc.

North Carolina

100%

  

Union Hamilton Reinsurance, Ltd.

Bermuda

100%

  

Wachovia Acquisition Corporation 2001-01

North Carolina

100%

  

Wachovia Bank Card Services, Inc. (WBC)

Delaware

100%

  

Wachovia Bank of Delaware, National Association (HEB)

United States of America

100%

  

Wachovia Bank, National Association (FUN)#

  

100%

  

Wachovia Capital Investments, Inc.

Georgia

100%

  

Wachovia Capital Trust I

  

100%

  

Wachovia Capital Trust II

  

100%

  

Wachovia Capital Trust V

  

100%

  

Wachovia Community Development Corporation (WCD)

North Carolina

100%

  

Wachovia Corporation of Alabama

Alabama

100%

  

Wachovia Corporation of Tennessee

Tennessee

100%

  

Wachovia Development Corporation

North Carolina

100%

  

Wachovia Exchange Services, Inc. (WES)

North Carolina

100%

  

Wachovia Funding Corp.

North Carolina

100%

  

Wachovia Insurance Agency, Inc.(WIA)

Virginia

100%

  

Wachovia Investors, Inc. (FUI)

North Carolina

100%

  

Wachovia Mortgage Corporation (MTG)

North Carolina

100%

  

Wachovia Private Capital, Inc.

Pennsylvania

100%

  

Wachovia Real Estate Investment Corp.

Delaware

1%

  

Wachovia Risk Services, Inc.

Virginia

100%

  

Wachovia Securities, Inc. (WSI)

North Carolina

100%

  

Wachovia Structured Finance Management, Inc. (IDM)

North Carolina

100%

  

Wachovia Trust Services, Inc. (WTS)

North Carolina

100%

  

Waller House Corporation

Pennsylvania

100%

  

Women's Growth Capital Fund I, L.L.L.P.

  

10%

  
       

INCORPORATION/QUALIFICATIONS

Jurisdiction

Inc/Qual

Charter No.

Tax ID No.

Date

End Date

Duration

North Carolina

Incorporation

    

Friday, December 22, 1967

    
 

Agent:

The Prentice-Hall Corporation System, Inc.
 

Comment:

  
     

Pennsylvania

Qualification

    

Friday, April 03, 1998

Friday, March 29, 2002

  
 

Agent:

The Prentice-Hall Corporation System, Inc.
 

Comment:

  
     

 

 

HISTORY

Thursday, February 29, 1996 Merged First Union Transportation Services, Inc. merged with and into First Union Corporation on 2/29/1996.

Thursday, July 31, 1997 Merged First Union Corporation of Virginia merged with and into First Union Corporation on July 31, 1997

Thursday, July 31, 1997 Merged First Union Corporation of South Carolina merged with and into First Union Corp. on July 31, 1997

Thursday, July 31, 1997 Merged First Union Corporation of Georgia merged with and into First Union Corporation on June 5, 1997

Friday, November 28, 1997 Merged Signet Banking Corporation merged with and into First Union Corporation (FUC) on November 28, 1997

Friday, January 16, 1998 Merged Covenant Bancorp, Inc. merged with and into First Union Corporation (FUC) on January 16, 1998

Thursday, February 26, 1998 Merged First Union Corporation of New Jersey merged with and into First Union Corporation (FUC) on 2/26/98.

Thursday, February 26, 1998 Merged First Fidelity Incorporated merged with and into First Union Corporation (FUC) on February 26, 1998

Tuesday, April 28, 1998 Merged CoreStates Financial Corp merged with and into First Union Corporation (FUC) on April 28, 1998

Thursday, April 30, 1998 Merged Bowles Hollowell Conner & Co. merged with and into First Union Corporation (FUC) on April 30, 1998

Friday, May 01, 1998 Merged First Pennsylvania Intern'l Capital Corp merged with and into First Union Corporation (FUC) on May

FPICC merged into First Union Corporation on May 1, 1998.

Friday, May 15, 1998 Merged CoreStates Capital Corp merged with and into First Union Corporation (FUC) on May 15, 1998

Merged into First Union Corporation on May 15, 1998.

Saturday, September 01, 2001 Merged Wachovia Corp. (historical) merged with and into Wachovia Corp. on 9/1/01

The name changed from First Union Corporation to Wachovia Corporation on 9/1/01.

 

 

NARRATIVES

Tuesday, March 22, 1994 Other Subs

First Union Corporation is the superparent to all subsidiaries. For information as to which subsidiaries are direct subs of the Corporation, please see organization chart in these fact sheets or contact the Legal Division.

Thursday, August 18, 1994 Other *Officer Note

*The officers listed are those other than officers who are employed by this company. Contact the Legal Division for a current Human Resources listing of officers.

Thursday, September 14, 1995 Other Successor by Merger

First American Metro Corp. - 9/29/93

American Bankshares, Inc. - 5/31/94

First Card Corporation (old) - 12/31/94

First Union Corporation of Florida - 6/23/95

First Union Transportation Services, Inc. - 2/29/96

Queen City Special Company B - 2/29/96

Washington Bankshares, Inc. - 2/29/96

Center Financial Corporation - 11/13/96

First Union Corporation of Georgia - 6/5/97

First Union Corporation of Virginia - 7/31/97

First Union Corporation of South Carolina - 7/31/97

Signet Banking Corporation -11/28/97

Covenant Bancorp, Inc. - 1/16/98

First Union Corporation of New Jersey - 2/26/98

First Fidelity Incorporated - 2/26/98

CoreStates Financial Corp - 4/28/98

Bowles Hollowell Conner & Co. - 4/30/98

First Pennsylvania International Capital Corporation - 5/1/1998

CoreStates Capital Corp - 5/15/1998

See "History: Merged" for additional mergers

Wednesday, March 31, 1999 History #Director Comment

Board is divided into 3 classes, and at each Annual Meeting of Stockholders, members of 1 of the 3 classes were elected to 3 year terms. As of the Shareholders meeting held 4/20/99, there were 9 directors in Class I (terms to expire in 2002), 9 directors in Class II (terms to expire in 2000), and 9 directors in Class III (terms to expire in 2001). Retirement age is 70.

Effective 7/29/99, number of directors was increased from 27 to 28, 9 to serve in Class I, 10 to serve in Class II, and 9 to serve in Class III.

Effective 2/20/01, number of directors was decreased to 14, with 5 in Class I, 5 in Class II, and 4 in Class III.

Effective 9/1/01, number of directors was increased to 18, consisting of 9 persons designated by Legacy Wachovia Corporation and 9 persons designated by First Union Corporation.

Thursday, October 28, 1999 Other SEC File No.

SEC File No.: 1-10000

Friday, March 31, 2000 Other Special Advisory Consultants

A special classification of directors was created on 12/16/1997 called Special Advisory Consultants. They were paid an annual retainer and were eligible to participate in benefit programs that the directors of FUNC were eligible to participate in. This special class of directors was established to make room for the CoreStates & Signet directors to come on the FUNC Board. Those elected to that capacity were Howard H. Haworth, Max A. Lennon, Jack A. Laughery, Dewey L. Trogdon, John D. Uible and B. J. Walker, for a term commencing on 4/21/1998 and ending on 4/17/2001. The foregoing were the only persons who have been elected to such category by the Board. The naming of individuals to this special class and their terms was determined by the Board, based on recommendations of the Nominating Committee.

Friday, March 31, 2000 Other South Carolina Registered Agent

For purposes of the South Carolina Bank Holding Company Registration Form, Corporation Service Company (1301 Gervais Street, Columbia, SC 29201) was listed as FUNC's registered agent in SC who is authorized to accept process, even though FUNC is not qualified in SC. This was all footnoted on the form.

This issue arose from 1998's form. Bob Andersen, Lisa Clontz, & Anne Daniel spoke with SC's Commissioner of Banking who said FUNC had to have a registered agent in SC to accept process. Afterwards, Lisa Clontz contacted CSC & made it so that CSC would accept process for FUNC in SC, even though they are not qualified there.

Wednesday, October 03, 2001 Other Withdrawal from Georgia

Wachovia Corporation (Legacy Wachovia) withdrew from the State of Georgia effective 9/27/2001

Friday, November 30, 2001 Other CUSIP Number

The current CUSIP# for Wachovia Corporation is 929903 10 2. This number changed when First Union Corporation changed its name to Wachovia Corporation.

Thursday, December 06, 2001 Other Committee Minutes

As of 10/26/01, the committees of Wachovia Corporation are as follows:

1. Executive Committee (minutes: Carol Mullis) (attorney approval: Mark Treanor)

2. Corporate Governance & Nominating Committee (minutes: Anne Shircliff) (attorney approval: Mark Treanor)

3. Management Resources & Compensation Committee (minutes: John Hamilton) (attorney approval: Ross Jeffries)

4. Credit & Finance Committee (minutes: Renee Governale) (attorney approval: Jay Powers)

5. Audit & Compliance Committee (minutes: Pat Caudle) (attorney approval: Anthony Augliera)

6. Merger Integration & Technology Committee (minutes: Linda Woollen) (attorney approval: Anthony Augliera)

The majority of the committees meet on the morning before each Corporate Board meeting. Once the minutes are approved from the prior meeting of that committee a copy should be sent to Legal for our files. Once received, a copy of committee minutes # 2, 4, 5 & 6 listed above should be sent to Kris McIntire, an OCC examiner. Kris's mailcode is NC 0100, Charlotte. Executive Committee minutes are to be reviewed here in Legal.