File No.333-34844
811-09903
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. 72 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 74 [X]
(Check appropriate box or boxes.)
BNY Mellon Funds Trust
(Exact Name of Registrant as Specified in Charter)
c/o BNY Mellon Investment Adviser, Inc.
240 Greenwich Street, New York, New York 10286
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6400
Bennett A. MacDougall, Esq.
240 Greenwich Street
New York, New York 10286
(Name and Address of Agent for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
Explanatory Note
This Post-Effective Amendment consists of the following:
1. Facing Sheet of the Registration Statement.
2. Part C to the Registration Statement (including signature page).
3. Exhibit (d)(3) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed soley to file the Sub-Advisory Agreement between BNY Mellon Investment Adviser, Inc. and Geneva Capital Management LLC as Exhibit (d)(3) to Item 28 to this Registration Statement on Form N-1A.
Parts A and B of Post-Effective Amendment No. 70 to the Registration Statement on Form N-1A filed on December 26, 2019 (which can be accessedhere)pursuant to Rule 485(b) under the Securities Act of 1933, as amended, are incorporated by reference herein.
BNY MELLON FUNDS TRUST
(formerly, Mellon Funds Trust)
(formerly, MPAM Funds Trust)
PART C
OTHER INFORMATION
Item 28. Exhibits
(c) Instruments defining the rights of holders of Registrant's securities are incorporated by reference to Articles III, V, VI, VIII and IX of Registrant's Amended and Restated Agreement and Declaration of Trust(see (a)(1) above)
and Articles 9 and 11 of Registrant's Amended and Restated By-Laws(see (b) above).
(f) Not Applicable.
(k) Not Applicable.
(l) Not Applicable.
(o) Not Applicable.
Other Exhibits
Item 29. Persons Controlled by or Under Common Control with Registrant
Not Applicable.
Item 30. Indemnification
(a) The Registrant shall indemnify each of its Trustees and officers (including persons who serve at theRegistrant's request as directors, officers or trustees of another organization in which the Registrant has any interest as a shareholder, creditor or otherwise) (hereinafter referred to as a "Covered Person")against all liabilities and expenses, including, but not limited to, amounts paid in satisfaction ofjudgments, in compromise or as fines and penalties, and counsel fees reasonably incurred by any Covered Person in connection with the defense or disposition of any action, suit or other proceeding,whether civil or criminal, before any court or administrative or legislative body, in which such Covered Person may be or may have been involved as a party or otherwise or with which such person may be ormay have been threatened, while in office or thereafter, by reason of being or having been such aTrustee or officer, except with respect to any matter as to which such Covered Person shall have been finally adjudicated in a decision on the merits in any such action, suit or other proceeding not to have acted in good faith in the reasonable belief that such Covered Person's action was in the best interests of the Registrant and except that no Covered Person shall be indemnified against any liability to the Registrant or its shareholders to which such Covered Person would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of such Covered Person's office. Expenses, including counsel fees so incurred by any such Covered Person (but excluding amounts paid in satisfaction of judgments, in compromise or as fines or penalties), may be paid from time to time by the Registrant in advance of the final disposition or any such action, suit or proceeding upon receipt of an undertaking by or on behalf of such Covered Person to repay amounts so paid to the Registrant if it is ultimately determined that indemnification of such expenses is not authorized under Article 10 of the Registrant's By-Laws,provided that (i) such CoveredPerson shall provide security for his or her undertaking, (ii) the Registrant shall be insured against losses arising by reason of such Covered Person's failure to fulfill his or her undertaking, or (iii) a majority of the Trustees who are disinterested persons and who are not
Interested Persons (as that term is defined inthe Investment Company Act of 1940, as amended (the "1940 Act")) (provided that a majority of suchTrustees then in office act on the matter), or independent legal counsel in a written opinion, shalldetermine, based on a review of readily available facts (but not a full trial-type inquiry), that there is reason to believe such Covered Person ultimately will be entitled to indemnification.
(b) As to any matter disposed of (whether by a compromise payment, pursuant to a consent decree orotherwise) without an adjudication in a decision on the merits by a court, or by any other body beforewhich the proceeding was brought, that such Covered Person either (i) did not act in good faith in thereasonable belief that such Covered Person's action was in the best interests of the Registrant or (ii) isliable to the Registrant or its shareholders by reason of willful misfeasance, bad faith, gross negligenceor reckless disregard of the duties involved in the conduct of such Covered Person's office,indemnification shall be provided if (i) approved as in the best interest of the Registrant, after notice thatit involves such indemnification, by at least a majority of the Trustees who are disinterested persons andare not Interested Persons (as that term is defined in 1940 Act) (provided that a majority of such Trustees then in office act on the matter), upon a determination, based upon a review of readily availablefacts (but not a full trial-type inquiry) that such Covered Person acted in good faith in the reasonable belief that such Covered Person's action was in the best interests of the Registrant and is not liable to theRegistrant or its shareholders by reason of willful misfeasance, bad faith, gross negligence or recklessdisregard of the duties involved in the conduct of such Covered Person's office, or (ii) there has beenobtained an opinion in writing of independent legal counsel, based upon a review of readily available facts (but not a full trial-type inquiry) to the effect that such Covered Person appears to have acted ingood faith in the reasonable belief that such Covered Person's action was in the best interests of theRegistrant and that such indemnification would not protect such Covered Person against any liability to the Registrant to which such Covered Person would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his office. Any approval pursuant to this Section shall not prevent the recovery from any Covered Person of any amount paid to such Covered Person in accordance with this Section as indemnification if suchCovered Person is subsequently adjudicated by a court of competent jurisdiction not to have acted ingood faith in the reasonable belief that such Covered Person's action was in the best interests of theRegistrant or to have been liable to the Registrant or its shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of such CoveredPerson's office
(c) The right of indemnification hereby provided shall not be exclusive of or affect any other rights to which any such Covered Person may be entitled. As used Article 10 of the Registrant's By-Laws, theterm "Covered Person" shall include such person's heirs, executors and administrators, and a"disinterested person" is a person against whom none of the actions, suits or other proceedings inquestion or another action, suit, or other proceeding on the same or similar grounds is then or has beenpending. Nothing contained in Article 10 of the Registrant's By-Laws shall affect any rights toindemnification to which personnel of the Registrant, other than Trustees and officers, and other personsmay be entitled by contract or otherwise under law, nor the power of the Registrant to purchase and maintain liability insurance on behalf of such person.
(d) Notwithstanding any provisions in the Registrant's Amended and Restated Agreement andDeclaration of Registrant and By-Laws pertaining to indemnification, all such provisions are limited by the following undertaking set forth in the rules promulgated by the Securities and ExchangeCommission:
In the event that a claim for indemnification is asserted by a Trustee, officer or controlling person of the Registrant in connection with the registered securities of the Registrant, the Registrant will notmake such indemnification unless (i) the Registrant has submitted, before a court or other body, the question of whether the person to be indemnified was liable by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of duties, and has obtained a final decision on the merits thatsuch person was not liable by reason of such conduct or (ii) in the absence of such
decision, the Registrant shall have obtained a reasonable determination, based upon review of the facts, that such person was not liable by virtue of such conduct, by (a) the vote of a majority of Trustees who are neitherInterested Persons as such term is defined in the 1940 Act, nor parties to the proceeding or (b) anindependent legal counsel in a written opinion.
The Registrant will not advance attorneys' fees or other expenses incurred by the person to be indemnified unless (i) the Registrant shall have received an undertaking by or on behalf of such person to repay the advance unless it is ultimately determined that such person is entitled to indemnificationand (ii) one of the following conditions shall have occurred: (a) such person shall provide security forhis undertaking, (b) the Registrant shall be insured against losses arising by reason of any lawfuladvances or (c) a majority of the disinterested, non-party Trustees of the Registrant, or an independentlegal counsel in a written opinion, shall have determined that based on a review of readily available facts there is reason to believe that such person ultimately will be found entitled to indemnification.
Item 31(a). Business and Other Connections of Investment Adviser
BNY Mellon Investment Adviser, Inc. ("BNYM Investment Adviser") is investment adviserto the Registrant. BNYM Investment Adviser and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser,manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940and as an investment adviser to institutional and individual accounts. BNYM Investment Adviser also serves as sub-investment adviser to and/or administrator of other investment companies. BNY Mellon Securities Corporation, a wholly-owned subsidiary of BNYM Investment Adviser, serves primarily as a registered broker-dealer of shares of other investment companies sponsored by BNYM Investment Adviser and other investment companies for which BNYM Investment Adviser acts as an investment adviser, sub-investment adviser or administrator.
Item 31(b).Business and Other Connections of Sub-Investment Advisers.
The Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Walter Scott & Partners Limited ("Walter Scott"), the sub-investment adviser to the U.S. Large Cap Equity Strategy of the Registrant's BNY Mellon Tax-Sensitive Large Cap Multi-Strategy Fund and BNY Mellon Large Cap Market Opportunities Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Walter Scott, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940, as amended (the "Advisers Act") by Walter Scott (SEC File No. 801-19420).
The Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Geneva Capital Management LLC ("Geneva"), the sub-investment adviser to the Geneva Mid Cap Growth Strategy of BNY Mellon Mid Cap Multi-Strategy Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Geneva, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Advisers Act by Geneva (SEC File No. 801-28444).
The Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Boston Partners Global Investors, Inc. ("Boston Partners"), the sub-investment adviser to the Boston Partners Mid Cap Value Strategy of BNY Mellon Mid Cap Multi-Strategy Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Boston Partners, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Advisers Act by Boston Partners (SEC File No. 801-61786).
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position | Other Businesses | Position Held | Dates |
Renee LaRoche-Morris | BNY Mellon Investment Adviser, Inc.++ | President | 6/19 – Present |
BNY Mellon Investment Management******* | Chief Operating Officer | 1/18 - Present | |
BNY Mellon Securities Corporation++ | Chairman, Executive Vice President and Director | 6/19 - Present | |
BNY Mellon Transfer, Inc.++ | Director and Vice President | 6/19 - Present | |
BNY Mellon Wealth Management++ | Chief Financial Officer | 5/14-12/17 | |
MBSC Securities Corporation++ | Chairman, Executive Vice President and Director | 6/18 – 6/19 | |
MBSC Securities Corporation++ | Executive Vice President | 3/18 – 6/18 | |
The Dreyfus Corporation++ | President | 1/18 –6/19 | |
Gregory Brisk | Alcentra Asset Management Limited | Director | 3/18 - Present |
Alcentra Limited^ | Director | 3/12 - Present | |
Alcentra NY LLC++ | Director | 10/15 - Present | |
Alcentra US, Inc. †††† | Managing Director | 12/19 - Present | |
Alcentra US, Inc. †††† | Director | 10/15 - Present | |
Alternative Holdings I, LLC******* | Director | 7/16 - Present | |
Alternative Holdings II, LLC******* | Director | 3/16 - Present | |
BNY Alcentra Group Holdings, Inc. †††††† | Director | 7/18 - Present | |
BNYM CSIM Funding LLC+++ | Managing Director | 8/17 – 9/18 | |
BNY Mellon Asset Management Operations LLC* | Director | 6/19 - Present | |
BNY Mellon Asset Management North America Corporation* | Director | 1/18 – 12/18 | |
BNY Mellon Fund Managers Limited^ | Director | 10/02 - Present | |
BNY Mellon Fund Management (Luxembourg) S.A.^^^^ | Director | 3/16 - Present | |
BNY Mellon Global Funds PLC^^^^^ | Director | 2/03 - Present | |
BNY Mellon Global Management Limited^^^^^^ | Director | 11/02 - Present | |
BNY Mellon Insurance Agency, Inc. ++ | Director | 6/19 - Present | |
BNY Mellon International Asset Management (Holdings) Limited^ | Director | 10/12 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon International Asset Management (Holdings) No. 1 Limited^ | Director | 10/12 - Present | |
BNY Mellon International Asset Management Group Limited^ | Director | 5/10 - Present | |
BNY Mellon Investment Management (APAC) Holdings Ltd^ | Director | 9/03 - Present | |
BNY Mellon Investment Management EMEA Limited^ | Director | 12/15 - Present | |
BNY Mellon Investment Management (Europe) Limited^ | Director | 10/12 – Present | |
BNY Mellon Investment Management (Jersey) Limited. ^^^^^^^ | Director | 11/12 – Present | |
BNY Mellon Investment Management Europe Holdings Limited^ | Director | 11/12 – Present | |
BNY Mellon Investment Management Holdings (Germany) Limited^ | Director | 9/12 - Present | |
BNY Mellon Investment Management Seed Capital Limited^ | Director | 11/13 - Present | |
BNY Mellon Investment Management (Shanghai) Limited^^^^^^^^ | Director | 6/17 - Present | |
BNY Mellon Liquidity Funds PLC^^^^^^^^^ | Director | 12/02 - Present | |
BNY Mellon Securities Corporation++ | Director | 6/19 - Present | |
BNY Mellon Transfer, Inc.++ | Director and Vice President | 6/19 - Present | |
BNY MFM Nominees Limited^ | Director | 5/02 - Present | |
CenterSquare Investment Management Holdings, Inc. +++ | Director and | 7/17 - Present | |
CenterSquare Investment Management, Inc. +++ | Director and | 7/17 – 1/18 | |
CenterSquare Global Securities Management Inc. +++ | Managing Director | 8/17 – 3/19 | |
CenterSquare Investment Management LLC +++ | Director | 1/18 - Present | |
Dreyfus Service Organization, Inc.++ | Director | 5/19 – 6/19 | |
EACM Advisors LLC^^ | Director | 7/16 - Present | |
IIFIG Investment Solutions ICAV | Director | 5/18 - Present | |
Insight Investment International Limited^ | Director | 2/18 – Present | |
Insight Investment Management Limited^ | Director | 4/16 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
Insight Investment Management (Global) Limited^ | Director | 4/16 - Present | |
Insight Investment Funds Management Limited^ | Director | 4/16 - Present | |
Insight Investment Management (Europe) Limited^^^^^^^^^^ | Director | 9/18 – Present | |
Insight North America LLC++ | Director | 11/17 - Present | |
Absolute Insight Funds PLC^^^^^^^^^^ | Director | 3/17 - Present | |
Insight Global Funds II PLC^^^^^^^^^^ | Director | 3/17 - Present | |
Insight Liquidity Funds PLC^^^^^^^^^^ | Director | 3/17 - Present | |
LDI Solutions Plus PLC^^^^^^^^^^ | Director | 3/17 - Present | |
MBC Investment Corporation# | Director | 2/17 - Present | |
MBSC Securities Corporation++ | Director | 3/18 – 6/19 | |
Mellon Capital Management Corporation** | Director | 7/16 – 1/18 | |
Mellon Europe Pension (Nominees) Limited^ | Director | 12/00 - Present | |
Mellon Global Investing Corp+ | Director | 8/10 - Present | |
Mellon Investments Corporation * | Director | 1/19 – 12/19 | |
Mellon JV Limited Company^ | Director | 1/06 – 11/19 | |
Mellon Overseas Investment Corporation******* | Director | 4/08 – 2/19 | |
MGI Latin America S.A. | Director | 7/03 - Present | |
Newton Investment Management Limited^ | Director | 5/16 - Present | |
Newton Investment Management Limited^ | Director | 1/20 - Present | |
Newton Investment Management (North America) Limited^ | Director | 5/16 – 12/19 | |
Newton Management Limited^ | Director | 8/16 - Present | |
NWK Multi-Strategy Funds PLC^^^^^^ | Director | 5/07 - Present | |
Pareto Investment Management Limited^ | Director | 4/16 – 1/18 | |
Standish Mellon Asset Management Company LLC******* | Director | 6/16 – 1/18 | |
The Boston Company Asset Management, LLC* | Director | 7/16 – 1/18 | |
XBK LLC^^^ | Director | 11/17 - Present | |
The Fordham Trust+++++++ | Director | 3/15 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
The St. Nicholas Cole Abbey Centre for Workplace Ministry Limited††††††† | Director | 9/11 - Present | |
Distaff Lane Coffee Limited††††††† | Director | 9/17 - Present | |
ABF Brazil Fund, SPC^^ | Director | 7/08 – 8/18 | |
BNY Mellon Asset Management Operations LLC^^^ | Director | 11/17 – 8/18 | |
Cutwater Asset Management Corp++ | Director | 1/15 – 7/18 | |
Cutwater Holdings LLC++ | Director | 1/15 – 7/18 | |
Cutwater Investor Services Corp++ | Director | 1/15 – 7/18 | |
Insight Investment Management (Ireland) Limited^^^^^^^^^^ | Director | 3/17 – 9/18 | |
Joseph W. Connolly | BNY Mellon Family of Funds++ | Chief Compliance Officer | 6/19 - Present |
BNY Mellon Funds Trust++ | Chief Compliance Officer | 10/04 - Present | |
The Dreyfus Family of Funds++ | Chief Compliance Officer | 10/04 – 6/19 | |
Christopher O'Connor | BNY Mellon Securities Corporation++ | Executive Vice President | 6/19 – Present |
MBSC Securities Corporation++ | Executive Vice President | 12/11 – 6/19 | |
Bennett A. MacDougall Chief Legal Officer | The Bank of New York | Associate General Counsel | 6/15 - Present |
John P. Shea | BNY Mellon Securities Corporation++ | Chief Financial Officer and Treasurer | 6/19-Present |
BNY Mellon Transfer, Inc. ++ | Chief Financial Officer and Treasurer | 9/19-Present | |
Mellon Investments Corporation* | Chief Financial Officer and Treasurer | 1/18-6/19 | |
XBK LLC^^^ | Chief Financial Officer | 11/17-Present | |
Ivy Asset Management LLC+ | Vice President | 3/14-9/17 | |
BNY Mellon Securities Corporation++ | Vice President - Finance | 1/06-3/19 | |
MBSC Securities Corporation++ | Chief Financial Officer and Treasurer | 3/19-6/19 | |
Katherine Scott | BNY Mellon Securities Corporation++ | Chief Risk Officer | 6/19-Present |
MBSC Securities Corporation++ | Chief Risk Officer | 2/14-6/19 | |
Name and Position | Other Businesses | Position Held | Dates |
Peter Arcabascio Vice President – Distribution | BNY Mellon Investment Management* | Senior Vice President | 7/06-Present |
BNY Investment Strategy and Solutions Group, LLC* | Manager | 6/15- Present | |
Kenneth Bradle | BNY Mellon Securities Corporation++ | President | 6/19 – Present |
BNY Mellon Investment Adviser, Inc. | Vice President | 6/19 - Present | |
BNY Mellon Transfer, Inc.++ | Chairman | 6/19 - Present | |
MBSC Securities Corporation++ | Director | 8/06 – 5/19 | |
MBSC Securities Corporation++ | President | 5/19 – 6/19 | |
Charles Doumar | Alcentra NY LLC++ | Assistant Treasurer - Tax | 9/14 - Present |
Alcentra US. Inc. †††† | Assistant Treasurer - Tax | 9/14 - Present | |
Alternative Holdings I, LLC*** | Assistant Treasurer - Tax | 1/14 - Present | |
Alternative Holdings II, LLC*** | Assistant Treasurer - Tax | 1/14 - Present | |
Asset Recovery II, LLC*** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery IV, LLC*** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery V, LLC*** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery XIV, LLC*** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XIX, LLC*** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XX, LLC*** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XXII, LLC*** | Assistant Treasurer | 7/13 – Present | |
BNY Alcentra Group Holdings, Inc.†††††† | Assistant Treasurer - Tax | 3/13 - Present | |
BNY Capital Funding LLC*** | Assistant Treasurer – Tax | 9/13 - Present | |
BNY Investment Strategy and Solutions Group, LLC* | Assistant Treasurer – Tax | 6/15 - Present | |
BNY Mellon Community Development Corporation++ | Assistant Treasurer – Tax | 10/13 - Present | |
BNY Mellon Distributors Holdings Inc.# | Assistant Treasurer – Tax | 6/14 – Present | |
BNY Mellon Investments CTA, LLC* | Assistant Treasurer | 9/13 – Present | |
BNY Mellon Investment Servicing (US) Inc.+ | Assistant Treasurer | 3/14 – Present | |
BNY Mellon Investment Servicing Trust Company# | Assistant Treasurer | 3/14 – Present | |
BNY Mellon Transfer, Inc.++ | Assistant Treasurer | 12/14 - Present | |
BNY Mellon Trust of Delaware# | Assistant Treasurer | 11/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
IVY Asset Management LLC+ | Assistant Treasurer | 9/13 – Present | |
Mellon Hedge Advisors, LLC* | Assistant Treasurer | 10/13 – Present | |
MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/13 – Present | |
Albridge Solutions, Inc.†††† | Assistant Treasurer – Tax | 7/13 – Present | |
Allomon Corporation† | Assistant Treasurer – Tax | 5/13 – Present | |
AP Residential Realty, Inc. ††††† | Assistant Treasurer – Tax | 8/13 – Present | |
APT Holdings Corporation# | Assistant Treasurer – Tax | 11/13 – Present | |
B.I.E. Corporation+ | Assistant Treasurer – Tax | 12/13 – Present | |
B.N.Y. Holdings (Delaware) Corporation# | Assistant Treasurer – Tax | 4/13 – Present | |
BNY Capital Corporation*** | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Capital Markets Holdings, Inc. *** | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Capital Resources Corporation ####### | Assistant Treasurer – Tax | 3/13 – Present | |
BNYM CSIM Funding LLC +++ | Assistant Treasurer – Tax | 7/14 – Present | |
BNY Falcon Three Holding Corp. *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Foreign Holdings, Inc.*** | Assistant Treasurer – Tax | 10/13 – Present | |
BNY Lease Equities (Cap Funding) LLC######## | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Partners LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Leasing Edge Corporation*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Asset Management North America Corporation* | Assistant Treasurer – Tax | 1/18 – 12/18 | |
BNY Mellon Capital Markets, LLC++ | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Clearing, LLC*** | Assistant Treasurer – Tax | 3/16 – Present | |
BNY Mellon Clearing Holding Company, LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Fixed Income Securities, LLC*** | Assistant Treasurer – Tax | 8/13 – Present | |
BNY Mellon Trust Company of Illinois ***** | Assistant Treasurer – Tax | 3/13 – Present | |
BNY Mezzanine Funding LLC****** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine Holdings LLC****** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine Non NY Funding | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine NY Funding LLC****** | Assistant Treasurer – Tax | 5/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Partnership Funding LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Recap I, LLC# | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Salvage Inc.*** | Assistant Treasurer – Tax | 3/13 – Present | |
BNYM GIS Funding I LLC*** | Assistant Treasurer – Tax | 6/13 – Present | |
BNYM GIS Funding III LLC*** | Assistant Treasurer – Tax | 6/13 – Present | |
Amherst Capital Management, LLC*** | Assistant Treasurer – Tax | 11/14 – Present | |
BNYM RECAP Holdings, LLC*** | Assistant Treasurer – Tax | 11/14 – Present | |
BNY-N.J. I Corp. *** | Assistant Treasurer – Tax | 4/13 – Present | |
BNY-N.J. II Corp.*** | Assistant Treasurer – Tax | 4/13 – Present | |
BNY Mellon Insurance Agency, Inc. ++ | Assistant Treasurer – Tax | 6/19 - Present | |
BNY Mellon Securities Corporation++ | Vice President – Tax | 6/19 - Present | |
Boston Safe Deposit Finance Company, Inc.* | Assistant Treasurer – Tax | 7/13 – Present | |
CenterSquare Investment Management Holdings, Inc.+++ | Assistant Treasurer – Tax | 12/13 – Present | |
CenterSquare Investment Management, Inc. +++ | Assistant Treasurer – Tax | 12/13 – 1/18 | |
Colson Services Corp.^ | Assistant Treasurer – Tax | 3/14 - Present | |
CenterSquare Investment Management LLC+++ | Assistant Treasurer – Tax | 1/18 – Present | |
Cutwater Asset Management Corp. ++++ | Assistant Treasurer – Tax | 1/15 - Present | |
Cutwater Holdings LLC ++++ | Assistant Treasurer – Tax | 1//15 - Present | |
Cutwater Investor Services Corp. ++++ | Assistant Treasurer - Tax | 1/15 - Present | |
Dreyfus Service Organization, Inc.++ | Assistant Treasurer – Tax | 3/14 – 6/19 | |
EACM Advisors LLC^^ | Assistant Treasurer – Tax | 1/14 - Present | |
Eagle Access LLC^^^ | Assistant Treasurer – Tax | 1/14 - Present | |
Eagle Investment Systems LLC^^^^ | Assistant Treasurer – Tax | 1/14 - Present | |
ECM DE. LLC*** | Assistant Treasurer – Tax | 1/14 - Present | |
HedgeMark International, LLC## | Assistant Treasurer – Tax | 5/14 – Present | |
iNautix (USA) LLC### | Assistant Treasurer – Tax | 11/13 – Present | |
IRE-1, Inc.††† | Assistant Treasurer – Tax | 7/13 – Present | |
Island Waterworks, Inc.††† | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
JRHC 1998A LLC#### | Assistant Treasurer – Tax | 12/13 – Present | |
Lockwood Advisors, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present | |
Lockwood Insurance, Inc. ###### | Assistant Treasurer – Tax | 8/14 - Present | |
Lockwood Solutions, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present | |
Lease Equities (Texas) Corporation##### | Assistant Treasurer – Tax | 7/13 – Present | |
Madison Pershing LLC### | Assistant Treasurer – Tax | 6/13 – Present | |
MAM (MA) Holding Trust* | Assistant Treasurer – Tax | 8/13 – Present | |
MBC Investment Corporation# | Assistant Treasurer – Tax | 11/13 – Present | |
MBSC Securities Corporation++ | Vice President – Tax | 2/14 – 6/19 | |
MCDI (Holdings) LLC*** | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Capital Management Corporation** | Assistant Treasurer – Tax | 1/14 – 1/18 | |
Mellon Holdings LLC++ | Assistant Treasurer | 2/15 - Present | |
Mellon EFT Services††††† | Assistant Treasurer - Tax | 10/15 - Present | |
MELDEL Leasing Corporation Number 2, Inc. # | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Financial Services Corporation #1+ | Assistant Treasurer – Tax | 7/13 – Present | |
Mellon Financial Services Corporation #4+ | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Funding Corporation+ | Assistant Treasurer – Tax | 3/14 - Present | |
Mellon Global Investing Corp.+ | Assistant Treasurer – Tax | 5/14 - Present | |
Mellon Investments Corporation* | Assistant Treasurer – Tax | 1/19- Present | |
Mellon Investor Services Holdings LLC | Assistant Treasurer – Tax | 8/16 – Present | |
Mellon Leasing Corporation+ | Assistant Treasurer – Tax | 7/13 – Present | |
Mellon Life Insurance Company+ | Assistant Treasurer – Tax | 10/13 – Present | |
Mellon Overseas Investment Corporation*** | Assistant Treasurer – Tax | 12/13 - Present | |
Mellon Properties Company**** | Assistant Treasurer – Tax | 8/13 – Present | |
National Residential Assets Corp.*** | Assistant Treasurer – Tax | 4/13 – Present | |
Newton Capital Management LLC.*** | Assistant Treasurer – Tax | 8/14 - Present | |
NY CRE Asset Holdings, LLC.*** | Assistant Treasurer – Tax | 1/14 - Present | |
NY CRE Asset Holdings II, LLC.*** | Assistant Treasurer – Tax | 1/14 - Present | |
One Wall Street Corporation*** | Assistant Treasurer – Tax | 11/13 – Present | |
Pareto New York LLC++ | Assistant Treasurer – Tax | 11/13 – Present |
Name and Position | Other Businesses | Position Held | Dates |
PAS Holdings LLC*** | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing Advisor Solutions LLC### | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing Group LLC### | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing Investments LLC*** | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing LLC ### | Assistant Treasurer – Tax | 7/13 – Present | |
Standish Mellon Asset Management Company LLC* | Assistant Treasurer – Tax | 11/14 – 1/18 | |
TBC Securities Co., Inc.* | Assistant Treasurer – Tax | 6/13 – Present | |
TBCAM, LLC* | Assistant Treasurer – Tax | 10/13 – Present | |
Technology Services Group, Inc.++ | Assistant Treasurer – Tax | 9/13 – Present | |
Tennessee Processing Center LLC ++ | Assistant Treasurer – Tax | 9/13 – Present | |
The Bank of New York Consumer Leasing Corporation*** | Assistant Treasurer – Tax | 7/13 – Present | |
The Bank of New York Mellon Trust Company, National Association+ | Assistant Treasurer | 10/13 - Present | |
The Boston Company Asset Management, LLC* | Assistant Treasurer – Tax | 8/13 – 1/18 | |
MBNA Institutional PA Services LLC+ | Treasurer | 7/13 – Present | |
MBNA PW PA Services LLC+ | Treasurer | 7/13 – Present | |
Stanwich Insurance Agency, Inc. *** | Treasurer | 12/13 – Present | |
BNY Aurora Holding Corp.*** | Vice President | 11/13 – Present | |
Agency Brokerage Holding LLC*** | Vice President – Tax | 6/13 – Present | |
Tracy A. Hopkins-Condon Vice President - Cash Strategies | BNY Mellon Securities Corporation++ | Executive Vice President | 6/19 – Present |
BNY Mellon Transfer, Inc.++ | Vice President | 5/98 - Present | |
MBSC Securities Corporation++ | Executive Vice President | 2/14 – 6/19 | |
Anthony Mayo | BNY Mellon Securities Corporation++ | Chief Technology Officer | 6/19 – Present |
MBSC Securities Corporation++ | Chief Technology Officer | 4/14 – 6/19 | |
Kathleen Geis | BNY Mellon International Operations (India) Private Limited | Director | 5/05 - Present |
BNY Mellon Asset Management North America Corporation* | Vice President - | 1/18 – 12/18 | |
Name and Position | Other Businesses | Position Held | Dates |
Albridge Solutions, Inc. | Managing Director | 7/11 - Present | |
BNY Mellon Distributors Holdings, Inc. # | Vice President - | 7/11 - Present | |
BNY Mellon Investment Management Services LLC # | Vice President - | 10/11 - Present | |
BNY Mellon Investment | Vice President - | 7/11 - Present | |
BNY Mellon Performance & Risk Analytics, LLC+ | Vice President - | 7/11 - Present | |
BNY Mellon Securities Corporation++ | Vice President - | 6/19 - Present | |
BNY Mellon Trust Company of Illinois ***** | Vice President - | 7/11 - Present | |
BNY Mellon Trust of Delaware# | Vice President - | 7/11 - Present | |
CenterSquare Investment Management Holdings, Inc.+++ | Vice President - | 10/12 – Present | |
Eagle Investment Systems LLC^^^^ | Vice President - | 7/11 – Present | |
Ivy Asset Management LLC+ | Vice President - | 7/11 – Present | |
MBSC Securities Corporation++ | Vice President - | 7/11 – 6/19 | |
Mellon Capital Management Corporation** | Vice President - | 7/11 – 1/18 | |
Mellon Financial Services Corporation #1+ | Vice President - | 7/11 – Present | |
Mellon Holdings LLC++ | Vice President - | 7/11 – Present | |
Mellon Investments Corporation* | Vice President - | 1/19 – Present | |
Mellon Investor Services Holdings LLC++++++ | Vice President - | 8/16 - Present | |
Pareto New York LLC ++ | Vice President - | 7/11 – Present | |
Technology Services Group, Inc.++ | Vice President - | 7/11 – Present | |
Tennessee Processing Center LLC ++ | Vice President - | 7/11 - Present | |
The Bank of New York Mellon Trust Company, National Association+ | Vice President - | 7/11 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
Alcentra US, Inc. †††† | Vice President - | 7/11 - Present | |
BNY Mellon Capital Markets LLC++ | Vice President - | 7/11 - Present | |
Pershing LLC ### | Vice President - | 7/11 - Present | |
The Bank of New York Mellon+ | Managing Director | 7/09 - Present | |
Claudine Orloski | BNY Mellon Insurance Agency, Inc. ++ | Vice President – Tax | 6/19 – Present |
BNY Mellon Securities Corporation++ | Vice President – Tax | 6/19 - Present | |
Dreyfus Service Organization++ | Vice President – Tax | 8/14 – 6/19 | |
Asset Recovery II, LLC*** | Assistant Treasurer | 9/11 - Present | |
Asset Recovery IV, LLC*** | Assistant Treasurer | 9/11 – Present | |
Asset Recovery V, LLC*** | Assistant Treasurer | 9/11 – Present | |
Asset Recovery XIV, LLC*** | Assistant Treasurer | 3/11 – Present | |
Asset Recovery XIX, LLC*** | Assistant Treasurer | 7/11 – Present | |
Asset Recovery XX, LLC*** | Assistant Treasurer | 7/11 – Present | |
Asset Recovery XXII, LLC*** | Assistant Treasurer | 7/11 – Present | |
BNY Mellon Asset Management North America Corporation* | Assistant Treasurer –Tax | 1/18 – 12/18 | |
BNY Mellon Investments CTA, LLC* | Assistant Treasurer | 9/13 – Present | |
BNY Mellon Transfer, Inc.++ | Assistant Treasurer | 12/14 – Present | |
BNY Mellon Trust of Delaware# | Assistant Treasurer | 11/11 – Present | |
Mellon Hedge Advisors, LLC* | Assistant Treasurer | 10/11 – Present | |
Mellon Holdings LLC++ | Assistant Treasurer | 12/11 – Present | |
MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/11 – Present | |
Albridge Solutions, Inc.†††† | Assistant Treasurer -Tax | 6/11 – Present | |
Alcentra NY, LLC++ | Assistant Treasurer -Tax | 10/12 – Present | |
Alcentra US, Inc.†††† | Assistant Treasurer -Tax | 10/11 – Present | |
Allomon Corporation† | Assistant Treasurer -Tax | 5/12 – Present | |
Alternative Holdings I, LLC*** | Assistant Treasurer -Tax | 1/13 – Present | |
Alternative Holdings II, LLC*** | Assistant Treasurer -Tax | 1/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
AP Residential Realty, Inc.††††† | Assistant Treasurer -Tax | 8/11 – Present | |
APT Holdings Corporation# | Assistant Treasurer -Tax | 12/11 – Present | |
B.N.Y. Holdings (Delaware) Corporation# | Assistant Treasurer -Tax | 4/12 – Present | |
BNY Administrative Services LLC*** | Assistant Treasurer –Tax | 12/11 – Present | |
BNY Alcentra Group Holdings, | Assistant Treasurer –Tax | 3/13 – Present | |
BNY Capital Corporation*** | Assistant Treasurer –Tax | 11/11 – Present | |
BNY Capital Funding LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Capital Markets Holdings, Inc.*** | Assistant Treasurer –Tax | 11/11 – Present | |
BNY Capital Resources | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Falcon Three Holding Corp.*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Foreign Holdings, Inc.*** | Assistant Treasurer –Tax | 9/11 – Present | |
BNY Investment Strategy and Solutions Group LLC* | Assistant Treasurer –Tax | 6/15 – Present | |
BNY Investment Management Services LLC# | Assistant Treasurer –Tax | 10/11 – Present | |
BNY ITC Leasing, LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Lease Equities (Cap Funding) LLC######## | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Lease Partners LLC*** | Assistant Treasurer –Tax | 9/11 – Present | |
BNY Leasing Edge Corporation*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Alternative Investments Holdings LLC*** | Assistant Treasurer –Tax | 10/13 – Present | |
BNY Mellon Capital Markets, | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Clearing Holding Company, LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Clearing, LLC*** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mellon Community Development Corporation++ | Assistant Treasurer –Tax | 10/11 – Present | |
BNY Mellon Distributors Holdings | Assistant Treasurer –Tax | 7/12 – Present | |
BNY Mellon Fixed Income Securities, LLC*** | Assistant Treasurer –Tax | 8/12 – Present | |
BNY Mellon Investment Servicing (US) Inc.# | Assistant Treasurer –Tax | 3/11 – Present |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Investment Servicing Trust Company# | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mellon Performance & Risk Analytics, Inc. (US)^^^^^ | Assistant Treasurer –Tax | 10/11 – Present | |
BNY Mellon Performance & Risk Analytics, LLC+ | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Transition Management Advisors, LLC** | Assistant Treasurer –Tax | 5/13 – Present | |
BNY Mellon Trust Company of | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mezzanine Funding LLC****** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mezzanine Holdings LLC****** | Assistant Treasurer –Tax | 5/11 – Present | |
BNY Mezzanine Non NY Funding | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mezzanine NY Funding LLC****** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Partnership Funding LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Real Estate Holdings LLC*** | Assistant Treasurer –Tax | 4/11 – Present | |
BNY Recap I, LLC# | Assistant Treasurer –Tax | 11/11 – Present | |
BNY Salvage Inc.*** | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Wings, Inc.††† | Assistant Treasurer –Tax | 7/11 – Present | |
BNY XYZ Holdings LLC*** | Assistant Treasurer –Tax | 5/11 – Present | |
BNYM CSIM Funding LLC+++ | Assistant Treasurer –Tax | 7/14 – Present | |
BNYM GIS Funding I LLC*** | Assistant Treasurer –Tax | 6/12 – Present | |
BNYM GIS Funding III LLC*** | Assistant Treasurer –Tax | 6/12 – Present | |
Amherst Capital Management LLC*** | Assistant Treasurer –Tax | 11/14 – Present | |
BNYM RECAP Holdings, LLC*** | Assistant Treasurer –Tax | 11/14 – Present | |
BNY-N.J. I Corp.*** | Assistant Treasurer –Tax | 4/11 – Present | |
BNY-N.J. II Corp.*** | Assistant Treasurer –Tax | 4/11 – Present | |
Boston Safe Deposit Finance Company, Inc.* | Assistant Treasurer –Tax | 7/11 – Present | |
CenterSquare Investment Management Holdings, Inc.+++ | Assistant Treasurer –Tax | 2/13 – Present | |
CenterSquare Investment Management, Inc.+++ | Assistant Treasurer –Tax | 2/13 – 1/18 |
Name and Position | Other Businesses | Position Held | Dates |
Coates Holding LLC# | Assistant Treasurer – Tax | 3/15 - Present | |
Colson Services Corp.^ | Assistant Treasurer –Tax | 2/11 – Present | |
CenterSquare Investment Management LLC+++ | Assistant Treasurer –Tax | 1/18 – Present | |
Cutwater Asset Management Corp. ++++ | Assistant Treasurer – Tax | 1/15 - Present | |
Cutwater Holdings LLC ++++ | Assistant Treasurer – Tax | 1//15 - Present | |
Cutwater Investor Services Corp. ++++ | Assistant Treasurer - Tax | 1/15 - Present | |
EACM Advisors LLC^^ | Assistant Treasurer –Tax | 4/14 – Present | |
Eagle Access LLC^^^ | Assistant Treasurer –Tax | 1/12 – Present | |
Eagle Investment Systems LLC^^^^ | Assistant Treasurer –Tax | 1/12 – Present | |
ECM DE, LLC*** | Assistant Treasurer –Tax | 3/11 – Present | |
HedgeMark International, LLC## | Assistant Treasurer –Tax | 5/14 – Present | |
iNautix (USA) LLC### | Assistant Treasurer –Tax | 7/12 – Present | |
IRE-1, Inc.††† | Assistant Treasurer –Tax | 7/11 – Present | |
Island Waterworks, Inc.††† | Assistant Treasurer –Tax | 7/11 – Present | |
JRHC 1998A LLC#### | Assistant Treasurer –Tax | 12/11 – Present | |
Lease Equities (Texas) Corporation##### | Assistant Treasurer –Tax | 7/11 – Present | |
Lockwood Advisors, Inc.###### | Assistant Treasurer –Tax | 3/11 – Present | |
Lockwood Insurance Inc. ###### | Assistant Treasurer –Tax | 8/14 – Present | |
Lockwood Solutions, Inc.###### | Assistant Treasurer –Tax | 3/11 – Present | |
Madison Pershing LLC### | Assistant Treasurer –Tax | 4/11 – Present | |
MAM (MA) Holding Trust* | Assistant Treasurer –Tax | 8/11 – Present | |
MBC Investment Corporation# | Assistant Treasurer –Tax | 11/11 – Present | |
MBNA Institutional PA Services | Assistant Treasurer –Tax | 7/12 – Present | |
MBNA PW PA Services LLC+ | Assistant Treasurer –Tax | 7/12 – Present | |
MBSC Securities Corporation++ | Vice President – Tax | 2/12 – 6/19 | |
MCDI (Holdings) LLC*** | Assistant Treasurer –Tax | 8/11 – Present | |
MELDEL Leasing Corporation Number 2, Inc.# | Assistant Treasurer –Tax | 8/11 – Present | |
Mellon Capital Management Corporation** | Assistant Treasurer –Tax | 10/13 – 1/18 | |
Name and Position | Other Businesses | Position Held | Dates |
Mellon EFT Services | Assistant Treasurer –Tax | 2/11 – Present | |
Mellon Financial Services Corporation #1+ | Assistant Treasurer –Tax | 7/11 – Present | |
Mellon Financial Services Corporation #4+ | Assistant Treasurer –Tax | 12/11 – Present | |
Mellon Funding Corporation+ | Assistant Treasurer –Tax | 12/11 – Present | |
Mellon Global Investing Corp.+ | Assistant Treasurer –Tax | 5/11 – Present | |
Mellon International Leasing | Assistant Treasurer –Tax | 7/11 – Present | |
Mellon Investments Corporation* | Assistant Treasurer –Tax | 1/19 – Present | |
Mellon Investor Services Holdings LLC | Assistant Treasurer –Tax | 8/16 – Present | |
++++++ | |||
Mellon Leasing Corporation+ | Assistant Treasurer –Tax | 9/11 – Present | |
Mellon Life Insurance Company+ | Assistant Treasurer –Tax | 10/12 – Present | |
Mellon Overseas Investment Corporation*** | Assistant Treasurer –Tax | 11/11 – Present | |
Mellon Properties Company**** | Assistant Treasurer –Tax | 8/12 – Present | |
National Residential Assets Corp.*** | Assistant Treasurer –Tax | 4/12 – Present | |
Newton Capital Management LLC*** | Assistant Treasurer –Tax | 10/11 – Present | |
NY CRE Asset Holdings II, LLC*** | Assistant Treasurer –Tax | 1/12 – Present | |
NY CRE Asset Holdings, LLC*** | Assistant Treasurer –Tax | 1/12 – Present | |
One Wall Street Corporation*** | Assistant Treasurer –Tax | 11/11 – Present | |
Pareto New York LLC++ | Assistant Treasurer –Tax | 11/11 – Present | |
PAS Holdings LLC*** | Assistant Treasurer –Tax | 6/11 – Present | |
Pershing Advisor Solutions LLC### | Assistant Treasurer –Tax | 6/11 – Present | |
Pershing Group LLC### | Assistant Treasurer –Tax | 4/11 – Present | |
Pershing Investments LLC*** | Assistant Treasurer –Tax | 2/11 – Present | |
Pershing LLC### | Assistant Treasurer –Tax | 4/11 – Present | |
PFS Holdings, LLC*** | Assistant Treasurer –Tax | 1/12 – Present | |
Standish Mellon Asset Management Company LLC* | Assistant Treasurer –Tax | 11/14 – 1/18 | |
Stanwich Insurance Agency, Inc.*** | Assistant Treasurer –Tax | 12/11 – Present | |
TBC Securities Co., Inc.* | Assistant Treasurer –Tax | 7/11 – Present | |
TBCAM, LLC* | Assistant Treasurer –Tax | 10/13 – Present | |
Technology Services Group, | Assistant Treasurer –Tax | 5/11 – Present |
Name and Position | Other Businesses | Position Held | Dates | ||
Tennessee Processing Center LLC++ | Assistant Treasurer –Tax | 9/11 – Present | |||
The Bank of New York Consumer Leasing Corporation*** | Assistant Treasurer –Tax | 5/11 – Present | |||
The Bank of New York Mellon Trust Company, National Association+ | Assistant Treasurer | 10/13 - Present | |||
The Boston Company Asset Management, LLC* | Assistant Treasurer –Tax | 6/11 – 1/18 | |||
USPLP, Inc.******* | Assistant Treasurer –Tax | 10/11 – Present | |||
BNY Mellon Investment Management Holdings LLC# | Assistant Vice President –Tax | 12/12 – Present | |||
BNY Aurora Holding Corp.*** | Vice President | 10/11 – Present | |||
Agency Brokerage Holding LLC*** | Vice President –Tax | 2/11 – Present | |||
MBSC Securities Corporation++ | Vice President –Tax | 2/12 – 6/19 | |||
James Bitetto | BNY Mellon Family of Funds++ | Vice President and Secretary | 6/19 - Present | ||
BNY Mellon Insurance Agency, Inc. ++ | Secretary | 6/19 - Present | |||
BNY Mellon Securities Corporation++ | Assistant Secretary | 6/19 - Present | |||
MBSC Securities Corporation++ | Assistant Secretary | 1/06 – 6/19 | |||
Dreyfus Service Organization, Inc.++ | Secretary | 8/05 – 6/19 | |||
The Dreyfus Family of Funds++ | Vice President and Secretary | 2/18 – 6/19 | |||
Vice President and Assistant Secretary | 8/05 – 2/18 | 8/05 – 2/18 | |||
Natalya Zelensky | BNY Mellon Family of Funds++ | Vice President and Assistant Secretary | 6/19 - Present | ||
BNY Mellon Transfer, Inc.++ | Vice President and Secretary | 6/19 - Present | |||
Dreyfus Transfer, Inc. ++ | Secretary | 6/17 – 6/19 | |||
The Dreyfus Family of Funds++ | Vice President and Assistant Secretary | 4/17 – 6/19 |
* | The address of the business so indicated is One Boston Place, Boston, MA, 02108. |
** | The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, CA 94105. |
*** | The address of the business so indicated is One Wall Street, New York, NY 10286. |
**** | The address of the business so indicated is 3601 N. I-10 Service Road, Suite 102, Metairie, LA 70002. |
***** | The address of the business so indicated is 2 North LaSalle Street, Suite 1020, Chicago, IL, 60602 |
****** | The address of the business so indicated is 445 Park Avenue, 12th Floor, New York, NY, 10022. |
******* | The address of the business so indicated is 225 Liberty Street, New York, NY 10286. |
******** | The address of the business so indicated is Grand Canal House, 1 Upper Grand Canal Street, Dublin, 4 Ireland. |
^ | The address of the business so indicated is BNY Mellon Centre 160 Queen Victoria Street, London EC4V 4LA. |
^^ | The address of the business so indicated is 87 Mary Street, George Town, KY1-9005, Cayman Islands. | |||
^^^ | The address of the business so indicated is 201 Washington Street, Boston, Massachusetts 02108. | |||
^^^^ | The address of the business so indicated is 2-4, rue Eugène Ruppert, L-2453 Luxembourg, Luxembourg. | |||
^^^^^ | The address of the business so indicated is One Dockland Central, Guild Street, IFSC, Dublin 1. | |||
^^^^^^ | The address of the business so indicated is 33 Sir John Rogersons Quay, Dublin 2. | |||
^^^^^^^ | The address of the business so indicated is Ogier House, The Esplanade, St Helier, Jersey, JE4 9WG. | |||
^^^^^^^^ | The address of the business so indicated is Room 6053, Level 6, 21st Century Building, No.210, Century Avenue, China, (Shanghai) Pilot Free Trade Zone. | |||
^^^^^^^^^ | The address of the business so indicated is 6th Floor, 2 Grand Canal Square, Dublin 2, Ireland. | |||
^^^^^^^^^^ | The address of the business so indicated is 32 Molesworth Street, Dublin 2, Ireland. | |||
+ | The address of the business so indicated is One Mellon Bank Center, Pittsburgh, PA 15258. | |||
++ | The address of the business so indicated is 240 Greenwich Street, New York, NY 10286 | |||
+++ | The address of the business so indicated is 630 West Germantown Pike, Suite 300, Plymouth Meeting, PA, 19462. | |||
++++ | The address of the business so indicated is 113 King Street, Armonk, NY 10504. | |||
+++++ | The address of the business so indicated is 320 Bay Street, Toronto, ON M5H 4A6. | |||
++++++ | The address of the business so indicated is 480 Washington Blvd, Jersey City, NJ 07310. | |||
+++++++ | The address of the business so indicated is Hartpiece, Lamarsh, Bures, Suffolk, CO8 5EP.. | |||
† | The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259. | |||
††† | The address of the business so indicated is 100 White Clay Center, Newark, DE 19711. | |||
††† | The address of the business so indicated is 1633 Broadway, New York, NY, 10019. | |||
†††† | The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA, 90024. | |||
††††† | The address of the business so indicated is 1735 Market Street, Philadelphia, PA, 19103. | |||
†††††† | The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD. | |||
††††††† | The address of the business so indicated is 114 Queen Victoria Street, London, EC4V 4BJ. | |||
^ | The address of the business so indicated is 4 New York Plaza, New York, NY, 10004. | |||
^^ | The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT, 06854-1940. | |||
^^^ | The address of the business so indicated is One Wells Avenue, Newton, MA, 02459. | |||
^^^^ | The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT, 06107. | |||
^^^^^ | The address of the business so indicated is 1313 Broadway Plaza, Tacoma, WA, 98402. | |||
^^^^^^ | The address of the business so indicated is David M. Breen & Co. Suite 4, Wallace House, Maritana Gate, Canada Street, Waterford. | |||
# | The address of the business so indicated is 301 Bellevue Parkway, Wilmington, DE, 19809. | |||
## | The address of the business so indicated is 780, Third Avenue, 44th Floor, New York, NY, 10017. | |||
### | The address of the business so indicated is One Pershing Plaza, Jersey City, NJ, 07399. | |||
#### | The address of the business so indicated is 601 Travis Street, 17th Floor, Houston, TX, 77002. | |||
##### | The address of the business so indicated is 1201 Louisiana, Suite 3160, Houston, TX, 77002. | |||
###### | The address of the business so indicated is 760 Moore Road, King of Prussia, PA, 19406-1212. | |||
####### | The address of the business so indicated is 8400 E. Prentice Ave, Greenwood Village, CO, 80111. | |||
######## | The address of the business so indicated is 1290 Avenue of the Americas, New York, NY, 10104. | |||
######### | The address of the business so indicated is 6 C, route de Trèves, L-2633 Senningerberg, Luxembourg. | |||
Item 32. Principal Underwriters | ||||
(a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor: | ||||
1. | BNY Mellon Absolute Insight Funds, Inc. | |||
2. | BNY Mellon Advantage Funds, Inc. | |||
3. | BNY Mellon Alcentra Global Multi-Strategy Credit Fund, Inc. | |||
4. | BNY Mellon Appreciation Fund, Inc. | |||
5. | BNY Mellon California AMT-Free Municipal Bond Fund, Inc. | |||
6. | BNY Mellon Funds Trust |
7. | BNY Mellon Index Funds, Inc. | ||
8. | BNY Mellon Intermediate Municipal Bond Fund, Inc. | ||
9. | BNY Mellon International Securities Funds, Inc. | ||
10. | BNY Mellon Investment Funds I | ||
11. | BNY Mellon Investment Funds II, Inc. | ||
12. | BNY Mellon Investment Funds III | ||
13. | BNY Mellon Investment Funds IV, Inc. | ||
14. | BNY Mellon Investment Funds V, Inc. | ||
15. | BNY Mellon Investment Funds VI, Inc. | ||
16. | BNY Mellon Investment Grade Funds, Inc. | ||
17. | BNY Mellon Investment Portfolios | ||
18. | BNY Mellon Large Cap Securities Fund, Inc. | ||
19. | BNY Mellon Midcap Index Fund, Inc. | ||
20. | BNY Mellon Municipal Bond Funds, Inc. | ||
21. | BNY Mellon Municipal Funds, Inc. | ||
22. | BNY Mellon New Jersey Municipal Bond Fund, Inc. | ||
23. | BNY Mellon New York AMT-Free Municipal Bond Fund | ||
24. | BNY Mellon New York Tax Exempt Bond Fund, Inc. | ||
25. | BNY Mellon Opportunistic Municipal Securities Fund | ||
26. | BNY Mellon Opportunity Funds | ||
27. | BNY Mellon Research Growth Fund, Inc. | ||
28. | BNY Mellon Short-Intermediate Municipal Bond Fund | ||
29. | BNY Mellon State Municipal Bond Funds | ||
30. | BNY Mellon Stock Funds | ||
31. | BNY Mellon Stock Index Fund, Inc. | ||
32. | BNY Mellon Strategic Funds, Inc. | ||
33. | BNY Mellon Sustainable U.S. Equity Fund, Inc. | ||
34. | BNY Mellon Sustainable U.S. Equity Portfolio, Inc. | ||
35. | BNY Mellon Ultra Short Income Fund | ||
36. | BNY Mellon U.S. Mortgage Fund, Inc. | ||
37. | BNY Mellon Variable Investment Fund | ||
38. | BNY Mellon Worldwide Growth Fund, Inc. | ||
39. | CitizensSelect Funds | ||
40. | Dreyfus AMT-Free Municipal Cash Management Plus | ||
41. | Dreyfus AMT-Free New York Municipal Cash Management | ||
42. | Dreyfus BASIC Money Market Fund, Inc. | ||
43. | Dreyfus Cash Management | ||
44. | Dreyfus Government Cash Management Funds | ||
45. | Dreyfus Institutional Liquidity Funds | ||
46. | Dreyfus Institutional Preferred Money Market Funds |
47. | Dreyfus Institutional Reserves Funds |
48. | Dreyfus Liquid Assets, Inc. |
49. | Dreyfus Tax Exempt Cash Management Funds |
50. | Dreyfus Treasury Obligations Cash Management |
51. | Dreyfus Treasury Securities Cash Management |
52. | General California Municipal Money Market Fund |
53. | General Government Securities Money Market Funds, Inc. |
54. | General Money Market Fund, Inc. |
55. | General Municipal Money Market Funds, Inc. |
56. | General New Jersey Municipal Money Market Fund, Inc. |
57. | General New York AMT-Free Municipal Money Market Fund |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
Kenneth Bradle** | President | None |
Gregory Brisk††† | Director | None |
Sue Ann Cormack† | Executive Vice President | None |
Renee LaRoche-Morris**** | Chairman, Executive Vice President and Director | None |
Catherine Keating* | Executive Vice President | None |
Tracy Hopkins-Condon* | Executive Vice President | None |
Peter Arcabascio++ | Executive Vice President | None |
Christopher D. O'Connor**** | Executive Vice President | None |
Irene Papadoulis** | Executive Vice President | None |
Matthew Perrone**** | Executive Vice President | None |
Andrew Provencher**** | Executive Vice President | None |
John P. Shea **** | Chief Financial Officer and Treasurer | None |
Brie A. Steingarten**** | Chief Legal Officer and Secretary | None |
John Squillace**** | Chief Compliance Officer (Investment Advisory Business) | None |
William Kennedy**** | Chief Compliance Officer (Broker-Dealer Business) | None |
Katherine M. Scott* | Chief Risk Officer | None |
Anthony Mayo* | Chief Technology Officer | None |
Timothy I. Barrett** | Senior Vice President | None |
Eric P. Cola**** | Senior Vice President | None |
John Ragusa* | Senior Vice President | None |
Christopher A. Stallone** | Senior Vice President | None |
John Cimino**** | Vice President | None |
Christopher Donoghue** | Vice President | None |
Tina Rizzo** | Vice President and Privacy Officer | None |
James Windels**** | Vice President | Treasurer |
Caridad M. Carosella** | Vice President – Compliance/Anti-Money Laundering Officer | Anti-Money Laundering Officer |
Donna M. Impagliazzo** | Vice President – Compliance | None |
Marianne Thomas+ | Vice President – Human Resources | None |
Kathleen J. Geis†† | Vice President – Real Estate | None |
Charles Doumar**** | Vice President – Tax | None |
Claudine Orloski*** | Vice President – Tax | None |
Paul V. Mazziotti** | Anti-Money Laundering Officer | None |
James Bitetto**** | Assistant Secretary | Vice President and |
Alice Helscher*** | Assistant Secretary | None |
Cristina Rice*** | Assistant Secretary | None |
* | Principal business address is 200 Park Avenue, New York, NY 10166. |
** | Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144. |
*** | Principal business address is BNY Mellon Center, 500 Grant Street, Pittsburgh, PA 15258. |
**** | Principal business address is 240 Greenwich Street, New York, NY 10286. |
† | Principal business address is 100 Saint Paul Street Denver, CO 80206 |
†† | Principal business address is 500 Ross Street, Pittsburgh, PA 15262-0001 |
††† | Principal business address is 160 Queen Victoria Street, London, England, Greater London EC4V4LA |
+ | Principal business address is 19 Vreeland Road Florham Park, NJ 07932 |
++ | Principal business address is 1 Boston Place, Boston, MA 02108-4407 |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
240 Greenwich Street
New York, New York 10286
2. BNY Mellon Investment Servicing (US), Inc.
4400 Computer Drive
Westborough, Massachusetts 01581
3. BNY Mellon Investment Adviser, Inc.
240 Greenwich Street
New York, NY 10286
4. BNY Mellon Investment Adviser, Inc.
200 Park Avenue
New York, New York 10166
Item 34. Management Services
Not Applicable
Item 35. Undertakings
None
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements of effectiveness of this Amendment to the Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933 and has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, and State of New York on the 5th day of May, 2020.
BNY MELLON FUNDS TRUST
By: | /s/ Patrick T. Crowe* |
Patrick T. Crowe, President |
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
Signatures | Title | Date | ||
/s/ Patrick T. Crowe* | President (Principal Executive Officer) | 5/5/2020 | ||
/s/ James Windels* | Treasurer (Principal Financial and Accounting Officer) | 5/5/2020 | ||
/s/Patrick J. O’Connor* | Chairman of the Board of Trustees | 5/5/2020 | ||
/s/ John R. Alchin* | Trustee | 5/5/2020 | ||
/s/ Ronald R. Davenport* | Trustee | 5/5/2020 | ||
/s/ John L. Diederich* | Trustee | 5/5/2020 | ||
/s/ Kim D. Kelly* | Trustee | 5/5/2020 | ||
/s/ Kevin C. Phelan* | Trustee | 5/5/2020 | ||
/s/ Patrick J. Purcell* | Trustee | 5/5/2020 | ||
/s/ Thomas F. Ryan, Jr.* | Trustee | 5/5/2020 | ||
/s/ Maureen M. Young* | Trustee | 5/5/2020 | ||
*BY: | /s/ Natalya Zelensky |
INDEX OF EXHIBITS
Exhibits
(d)(3) Sub-Investment Advisory Agreement between BNY Mellon Investment Adviser, Inc. and Geneva Capital Management LLC, with respect to the Geneva Mid Cap Growth Strategy of BNY Mellon Mid Cap Multi-Strategy Fund, dated March 17, 2020.