File No. 333-234030
811-23477
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. 26 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 29 [X]
(Check appropriate box or boxes.)
BNY Mellon ETF 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
Deirdre Cunnane, 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. Exhibits (d)(10) and (i)(2) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to include as Exhibits (d)(10) and (i)(2) to Item 28 to this Registration Statement on Form N-1A.
With respect to BNY Mellon Concentrated International ETF, Part A of Post-Effective Amendment No. 24 to the Registration Statement on Form N-1A was filed on November 29, 2021 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
With respect to BNY Mellon Sustainable Global Emerging Markets ETF, BNY Mellon Sustainable International ETF, and BNY Mellon Sustainable US Equity ETF, Part A of Post-Effective Amendment No. 25 to the Registration Statement on Form N-1A was filed on December 6, 2021 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
The Statement of Additional Information for the Registrant with respect to BNY Mellon Concentrated International ETF Part B of Post-Effective Amendment No. 24 to the Registration Statement on Form N-1A was filed on November 29, 2021, and the Statement of Additional Information for the Registrant with respect to BNY Mellon Sustainable Global Emerging Markets ETF, BNY Mellon Sustainable International ETF, and BNY Mellon Sustainable US Equity ETF Part B of Post-Effective Amendment No. 25 to the Registration Statement on Form N-1A was filed on December 6, 2021, each pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and are incorporated by reference herein.
PART C. OTHER INFORMATION
_________________________
Item 28. Exhibits.
_______ ________
(c) Not applicable.
(d)(4) Revised Schedule 1 to the Management Agreement, reflecting the addition of the BNY Mellon Responsible Horizons Corporate Bond ETF, to be filed by amendment.
(d)(9) Sub-Investment Advisory Agreement between BNY Mellon ETF Investment Adviser, LLC and Insight North America LLC, to be filed by amendment.
(e)(4) Revised Exhibit A to the Distribution Agreement, reflecting the addition of BNY Mellon Responsible Horizons Corporate Bond ETF, to be filed by amendment.
(f) Not applicable.
(i)(3) Opinion and Consent of Counsel, Morgan, Lewis & Bockius LLP, relating to the BNY Mellon Responsible Horizons Corporate Bond ETF, to be filed by amendment.
(j) Not applicable.
(k) Not applicable.
(m)(4) Revised Schedule A to the Plan of Distribution, reflecting the addition of the BNY Mellon Responsible Horizons Corporate Bond ETF, to be filed by amendment.
(n) Not applicable
(o) Not applicable.
Other Exhibits
* Filed herewith
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 the Registrant'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 of judgments, 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 or may have been threatened, while in office or thereafter, by reason of being or having been such a Trustee 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 Covered Person 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 in the Investment Company Act of 1940, as amended (the "1940 Act")) (provided that a majority of such Trustees then in office act on the matter), or independent legal counsel in a written opinion, shall determine, 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 or otherwise) without an adjudication in a decision on the merits by a court, or by any other body before which the proceeding was brought, that such Covered Person either (i) did not act in good faith in the reasonable belief that such Covered Person's action was in the best interests of the Registrant or (ii) is 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 Covered Person's office, indemnification shall be provided if (i) approved as in the best interest of the Registrant, after notice that it involves such indemnification, by at least a majority of the Trustees who are disinterested persons and are 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 available facts (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 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 Covered Person's office, or (ii) there has been obtained 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 in good faith in the reasonable belief that such Covered Person's action was in the best interests of the Registrant 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 such Covered Person is subsequently adjudicated by a court of competent jurisdiction 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 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 Covered Person'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, the term "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 in question or another action, suit, or other proceeding on the same or similar grounds is then or has been pending. Nothing contained in Article 10 of the Registrant's By-Laws shall affect any rights to indemnification to which personnel of the Registrant, other than Trustees and officers, and other persons may 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 and Declaration of Trust and By-Laws pertaining to indemnification, all such provisions are limited by the following undertaking set forth in the rules promulgated by the U.S. Securities and Exchange Commission:
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 not make 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 that such 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 neither Interested Persons as such term is defined in the 1940 Act, nor parties to the proceeding or (b) an independent 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 indemnification and (ii) one of the following conditions shall have occurred: (a) such person shall provide security for his undertaking, (b) the Registrant shall be insured against losses arising by reason of any lawful advances or (c) a majority of the disinterested, non-party Trustees of the Registrant, or an independent legal 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.
(e) Insofar as indemnification for liability arising under the Securities Act of 1933 (the "Securities Act") may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
Item 31. Business and Other Connections of Investment Adviser
_______ ______________________________________________
BNY Mellon ETF Investment Adviser, LLC (the "Adviser") and affiliate 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 1940 and as an investment adviser to institutional and individual accounts. The Adviser does not currently, but may in the future, also serve as sub-investment adviser to and/or administrator of other investment companies. BNY Mellon Securities Corporation, a wholly-owned subsidiary of the parent company of the Adviser, The Bank of New York Mellon Corporation, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Adviser and of other investment companies for which the Adviser's affiliates act as an investment adviser, sub-investment adviser or administrator.
(b) Business and Other Connections of Sub-Investment Adviser
Mellon Investments Corporation serves as sub-adviser to each series of the Trust. The Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Mellon Investments Corporation, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Mellon Investments Corporation, 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 by Mellon Investments Corporation (SEC File No. 801-19785).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Newton Investment Management Limited, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Newton Investment Management Limited or that firm's 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 by Newton Investment Management Limited (SEC File No. 801-42114).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Insight North America LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Insight North America LLC or that firm's 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 by Insight North America LLC (SEC File No. 801-69964).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Walter Scott & Partners Limited, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Walter Scott & Partners Limited or that firm's 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 by Walter Scott & Partners Limited (SEC File No. 801-19420).
Any other business, profession, vocation or employment of a substantial nature in which each director or principal officer of the Adviser is or has been, at any time during the last
two calendar years, engaged for his or her own account or in the capacity of director, officer, employee, partner or trustee are as follows:
Name and Position | Other Businesses | Position Held | Dates |
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Stephanie Pierce |
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| Mellon Investments Corporation * | Chief Executive Officer of Index | 8/20 – Present |
Mellon Investments Corporation* | Chief Executive Officer | 3/21 – Present | |
| Mellon Investments Corporation * | Director | 2/21 – Present |
The Bank of New York Mellon Trust Company, National Association+ | Managing Director | 2/21 – Present | |
Matthew Oomen Manager | |||
BNY Mellon Investment Management (APAC) Holdings Limited^ | Director | 12/15 – Present | |
BNY Mellon Investment Management (Shanghai) Limited+++++ | Director | 8/21 – Present | |
BNY Mellon Management Japan Limited^^^ | Director | 12/18 – Present | |
BNY Mellon Management EMEA Limited^ | Director | 4/13 – Present | |
MBC Investment Corporation # | Vice President | 1/18 – Present | |
| Mellon Investments Corporation * | Director | 10/17 – 12/19 |
The Bank of New York Mellon Trust Company, National Association+ | Vice President | 1/20 – Present | |
David DiPetrillo | |||
Manager | |||
BNY Mellon Investor Solutions, LLC * | Manager | 1/20 – Present | |
BNY Mellon Securities Corporation++ | Director | 1/21 – Present | |
The Bank of New York Mellon Trust Company, National Association+ | Vice President | 1/20 – Present | |
Natalya Zelensky |
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| BNY Mellon Investement Adviser, Inc.++ | Assistant Secretary | 4/18 – Present |
BNY Mellon Transfer, Inc.++ | Secretary | 5/17 – Present |
Name and Position | Other Businesses | Position Held | Dates |
Vice President | |||
Parker Wertz |
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| Mellon Investments Corporation * | Chief Financial Officer and Treasurer | 6/19 – Present |
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Newton Investment Management North America, LLC^ | Chief Financial Officer | 1/21 – Present | |
TBCAM Opportunistic, LLC* | Manager | 3/21 – 6/21 | |
TBCAM, LLC* | Manager | 3/21 – 6/21 | |
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xBK LLC^^ | Chief Financial Officer | 12/19 – 1/21 | |
Alice Helscher |
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Agency Brokerage Holding LLC** | Assistant Secretary | 7/20 – Present | |
| Alcentra NY, LLC ++ | Secretary | 3/19 – Present |
Assistant Secretary | 3/17 – 3/19 | ||
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| Alcentra US, Inc. † | Secretary | 12/19 – Present |
Assistant Secretary | 3/17 – 12/19 | ||
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Alternative Holdings I, LLC** | Assistant Secretary | 7/20 – Present | |
Alternative Holdings II, LLC** | Assistant Secretary | 7/20 – Present | |
AP Residential Realty, Inc. †† | Assistant Secretary | 7/20 – Present | |
| BNY Administrative Services LLC** | Secretary | 5/19 – Present |
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| BNY Alcentra Group Holdings, Inc. ††† | Secretary | 11/19 – Present |
Assistant Secretary | 6/17 – 11/19 | ||
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| BNY Aurora Holding Corp.** | Secretary | 1/19 – Present |
Assistant Secretary | 11/17 – 1/19 | ||
BNY Capital Funding LLC** | Assistant Secretary | 1/19 – Present | |
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BNY Foreign Holdings, Inc.** | Assistant Secretary | 3/20 – Present | |
| BNY International Financing Corporation++ | Assistant Secretary | 5/17 – 5/21 |
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BNY Investment Management Services LLC # | Assistant Secretary | 7/20 – Present | |
BNY Lease Equities (Cap Funding) LLC ###### | Assistant Secretary | 10/20 – Present | |
| BNY Mellon Asset Management Canada Ltd. < | Assistant Secretary | 9/18 – Present |
Name and Position | Other Businesses | Position Held | Dates |
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| BNY Mellon Asset Management Operations LLC^^ | Assistant Secretary | 8/18 – 2/20 |
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BNY Mellon Capital Markets, LLC ++ | Assistant Secretary | 12/19 – 9/20 | |
| BNY Mellon Performance & Risk Analytics, Inc. ±±±± | Secretary | 3/19 – Present |
Assistant Secretary | 6/17 – 3/19 | ||
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| BNY Mellon Performance & Risk Analytics, LLC+ | Secretary | 9/17 – Present |
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| BNY Mellon Securities Corporation++ | Assistant Secretary | 3/18 – 5/21 |
Secretary | 5/21 – Present | ||
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| BNY Mellon Trust of Delaware# | Assistant Secretary | 5/19 – Present |
| BNY Mellon Wealth Management Advisory Services, Inc. ++++ | Assistant Secretary | 3/19 – 3/21 |
| BNY Mezzanine Holdings LLC**** | Assistant Secretary | 12/19 – Present |
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Bny Partnership Funding LLC** | Assistant Secretary | 7/20 – Present | |
BNY Real Estate Holdings LLC** | Assistant Secretary | 12/20 – Present | |
| BNY Salvage Inc. ** | Assistant Secretary | 12/19 – Present |
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BNYM RECAP Holdings, LLC** | Assistant Secretary | 11/20 – 6/21 | |
CenterSquare Global Securities Management, Inc. +++ | Assistant Secretary | 4/19 – 5/19 | |
CenterSquare Investment Management Holdigs, Inc. +++ | Assistant Secretary | 7/20 – Present | |
| Colson Services Corp. ± | Assistant Secretary | 12/19 – Present |
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| EACM Advisors LLC±± | Assistant Secretary | 6/19 – 5/21 |
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| ECM DE, LLC** | Assistant Secretary | 2/19 – Present |
HedgeMark International, LLC ## | Assistant Secretary | 3/20 – Present | |
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iNautix (USA) LLC### | Assistant Secretary | 3/21 – Present | |
Insight North America LLC++ | Assistant Secretary | 2/20 – 2/21 | |
| Lockwood Advisors, Inc. #### | Assistant Secretary | 3/19 – Present |
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| Madison Pershing LLC ### | Assistant Secretary | 10/20 – Present |
Secretary | 7/19 – 10/20 |
Name and Position | Other Businesses | Position Held | Dates |
Assistant Secretary | 2/18 – 7/19 | ||
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MBC Investments Corporation # | Assistant Secretary | 5/20 – Present | |
MCDI (Holdings) LLC** | Assistant Secretary | 3/19 – 6/20 | |
| Mellon Canada Holding Company<<<< | Assistant Secretary | 2/20 – Present |
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| Mellon Financial Services Corporation #1+ | Assistant Secretary | 3/19 – Present |
Mellon Global Investing Corp. + | Assistant Secretary | 7/20 – Present | |
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| Mellon Holdings LLC++ | Assistant Secretary | 6/19 – Present |
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| Mellon Investments Corporation* | Secretary | 5/17 - Present |
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Mellon Leasing Corporation+ | Secretary | 12/19 – Present | |
| Mellon Overseas Investment Corporation** | Secretary | 5/17 – 6/21 |
Newton Investment Management North America, LLC^ | Secretary | 1/21 – Present | |
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| PAS Holdings LLC** | Assistant Secretary | 8/17 – 7/19 |
| Secretary | 7/19 – 10/20 | |
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Pershing Advisor Solutions LLC ### | Secretary | 3/20 – Present | |
Assistant Secretary | 2/19 – 3/20 | ||
Pershing Group LLC### | Secretary | 6/20 – Present | |
Assistant Secretary | 1/19 – 6/20 | ||
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| Pershing Investments LLC** | Assistant Secretary | 10/20 – Present |
Secretary | 7/19 – 10/20 | ||
Pershing LLC### | Secretary | 3/20 – 9/21 | |
Assistant Secretary | 9/21 – Present | ||
Pershing Securities Canada Limited### | Secretary | 6/20 – Present | |
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| TBC Securities Co., Inc* | Assistant Clerk | 6/19 – Present |
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Technology Services group, Inc. ++ | Assistant Secretary | 8/20 – Present | |
| Tennessee Processing Center LLC++ | Assistant Secretary | 2/19 – Present |
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The Bank of New York Mellon Trust Company, National Association+ | Assistant Secretary | 8/17 – 10/20 | |
| xBK LLC^^ | Secretary | 9/18 – Present |
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Name and Position | Other Businesses | Position Held | Dates |
Amy Brennan |
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| Albridge Solutions, Inc. †††† | Secretary | 6/14 – Present |
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| B.N.Y. Holdings (Delaware) Corporation # | Secretary | 2/19 – Present |
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| Assistant Secretary | 7/18 – 2/19 |
| BNY Administrative Services LLC ** | Assistant Secretary | 5/19 – Present |
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| BNY Alcentra Group Holdings, Inc. ††† | Assistant Secretary | 11/19 – Present |
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| BNY Aurora Holding Corp. ** | Assistant Secretary | 10/19 – Present |
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| BNY Capital Corporation ** | Secretary | 2/20 – Present |
Assistant Secretary | 7/18 – 2/20 | ||
| BNY Capital Markets Holdings, Inc. ** | Secretary | 2/20 – Present |
Assistant Secretary | 7/18 – 2/20 | ||
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| BNY Mellon Government Securities Services Corp. ++ | Assistant Secretary | 4/17 – Present |
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| BNY Mellon Investment Servicing (US) Inc. + | Secretary | 6/14 – Present |
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| BNY Mellon Investment Servicing Trust Company # | Secretary | 6/14 – Present |
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| BNY Mellon Investor Solutions, LLC* | Secretary | 2/19 – Present |
Assistant Secretary | 1/17 – 2/19 | ||
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| BNY Mellon Trust Company of Illinois *** | Assistant Secretary | 3/21 – Present |
Secretary | 3/19 – 3/21 | ||
Assistant Secretary | 6/14 – 3/19 | ||
BNY Mellon Trust of Delaware# | Assistant Secretary | 7/20 – Present | |
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| BNY Mellon US Services Holdings LLC++ | Secretary | 6/19 – Present |
Assistant Secretary | 6/14 – 6/19 | ||
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| BNY Mezzanine Holdings LLC **** | Assistant Secretary | 12/19 – Present |
BNY Recap I, LLC# | Assistant Secretary | 7/18 – 10/19 | |
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CenterSquare Global Securities Management, Inc. +++ | Assistant Secretary | 4/19 – 5/19 | |
| Colson Services Corp. ± | Secretary | 5/19 – Present |
Assistant Secretary | 7/18 – 5/19 | ||
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| Eagle Access LLC±±± | Secretary | 12/19 – Present |
Assistant Secretary | 7/18 – 12/19 | ||
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| Eagle Investment Systems LLC±±±± | Secretary | 12/19 – Present |
Name and Position | Other Businesses | Position Held | Dates |
Assistant Secretary | 7/18 – 12/19 | ||
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| MUNB Loan Holdings, LLC ** | Assistant Secretary | 4/20 – Present |
Secretary | 1/20 – 4/20 | ||
Newton Investment Management North America, LLC^ | Assistant Secretary | 7/21 – Present | |
Newton Management North America LLC^ | Assistant Secretary | 7/21 – Present | |
Sumday Administration LLC++ | Secretary | 6/20 – 3/21 | |
The Bank of New York Mellon Trust Company, National Association+ | Assistant Secretary | 7/20 – Present | |
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| xBK LLC ^^ | Assistant Secretary | 12/19 – Present |
Jennifer Jablon | |||
Agency Broker Holding LLC** | Secretary | 7/20 – Present | |
Alcentra NY, LLC ++ | Assistant Secretary | 11/20 – Present | |
Alcentra US, Inc. † | Assistant Secretary | 12/20 – Present | |
Alternative Holdings I, LLC** | Secretary | 7/20 – Present | |
Alternative Holdings II, LLC** | Secretary | 7/20 – Present | |
BNY Administrative Services LLC** | Assistant Secretary | 6/20 – Present | |
BNY Alcentra Group Holdings, Inc. ††† | Assistant Secretary | 11/20 – Present | |
BNY International Financing Corporation++ | Assistant Secretary | 5/21 – Present | |
BNY Mellon Capital Markets, LLC++ | Secretary | 9/20 – Present | |
BNY Mellon Performance & Risk Analytics, Inc. ±±±± | Assistant Secretary | 4/20 – Present | |
CenterSquare Investment Management Holdings, Inc.+++ | Secretary | 7/20 – Present | |
CenterSquare Investment Management, Inc. +++ | Secretary | 7/20 – 8/20 | |
iNautix (USA) LLC### | Secretary | 3/21 – Present | |
Insight North America LLC++ | Secretary | 5/20 – Present | |
Mellon Funding Corportion+ | Secretary | 7/20 – 9/21 | |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Global Investing Corp. + | Secretary | 7/20 – Present | |
Mellon Hedge Advisors, LLC* | Secretary | 6/20 – Present | |
Mellon Investments Corporation* | Assistant Secretary | 8/20 – Present | |
Mellon Overseas Investment Corporation** | Assistant Secretary | 1/21 – 6/21 | |
Secretary | 6/21 – Present | ||
Mellon Residential Funding Corporation+ | Secretary | 8/20 – Present | |
National Residential Assets Corp. ** | Secretary | 7/20 – Present | |
Newton Investment Management North America, LLC^ | Assistant Secretary | 1/21 – Present | |
Newton Management North America LLC^ | Secretary | 7/20 – Present | |
Pershing Advisor Solutions LLC ### | Assistant Secretary | 3/20 – Present | |
Pershing Group LLC ### | Assistant Secretary | 6/20 – Present | |
Pershing LLC### | Assistant Secretary | 3/20 – Present | |
TBC Securities Co., Inc. * | Clerk | 12/20 – Present | |
The Bank of New York Mellon Trust Company, National Association+ | Secretary | 4/20 – Present | |
xBK LLC^^ | Assistant Secretary | 1/21 – Present | |
Cristina M. Rice |
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A P Meritor, Inc. | Secretary | 11/08 – 7/19 | |
| Agency Brokerage Holding LLC ** | Assistant Secretary | 1/10 – Present |
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| Albridge Solutions, Inc. †††† | Assistant Secretary | 7/10 - Present |
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| Alcentra NY, LLC ++ | Assistant Secretary | 5/08 – Present |
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| Alcentra US, Inc. † | Assistant Secretary | 5/08 – Present |
Alternative Holdings I, LLC** | Assistant Secretary | 12/08 – 7/20 | |
Alternative Holdings II, LLC** | Assistant Secretary | 12/08 – 7/20 | |
| AP Residential Realty, Inc. †† | Assistant Secretary | 8/16 – Present |
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| Asset Recovery IV, LLC ** | Assistant Secretary | 9/11 – Present |
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| Asset Recovery V, LLC ** | Assistant Secretary | 9/11 – Present |
Name and Position | Other Businesses | Position Held | Dates |
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| Asset Recovery XIX, LLC ** | Assistant Secretary | 7/12 – Present |
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| Asset Recovery XX, LLC ** | Assistant Secretary | 7/12 – Present |
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| Asset Recovery XXII, LLC ** | Assistant Secretary | 7/12 – Present |
|
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|
| B.N.Y. Holdings (Delaware) Corporation # | Assistant Secretary | 9/08 – Present |
|
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|
| BNY Administrative Services LLC ** | Assistant Secretary | 12/08 – Present |
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| BNY Alcentra Group Holdings, Inc. †††† | Assistant Secretary | 5/08 – Present |
|
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| BNY Aurora Holding Corp. ** | Assistant Secretary | 5/08 – Present |
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| BNY Capital Corporation ** | Assistant Secretary | 9/08 – Present |
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| BNY Capital Funding LLC ** | Assistant Secretary Secretary | 7/08 – 4/21 |
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| BNY Capital Markets Holdings, Inc. ** | Assistant Secretary | 9/08 – Present |
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| BNY Capital Resources Corporation ##### | Assistant Secretary | 7/08 – Present |
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| BNY Foreign Holdings, Inc. ** | Assistant Secretary | 8/08 – Present |
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| BNY International Financing Corporation++ | Secretary | 5/19 – Present |
Assistant Secretary | 5/08 – 5/19 | ||
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| BNY Investment Management Services LLC # | Assistant Secretary | 7/09 – Present |
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| BNY Lease Equities (Cap Funding) LLC ###### | Assistant Secretary | 7/08 – Present |
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|
BNY Lease Partners LLC ** | Assistant Secretary | 7/08 – 7/19 | |
| BNY Mellon Asset Management Canada Ltd. < | Secretary | 9/18 – Present |
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| BNY Mellon Asset Management Operations LLC ^^ | Assistant Secretary | 1/15 – Present |
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| BNY Mellon Capital Markets, LLC ++ | Assistant Secretary | 6/08 – Present |
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| BNY Mellon Clearing Holding Company, LLC ** | Assistant Secretary | 7/10 – Present |
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BNY Mellon Community Development Corporation++ | Secretary | 10/08 – 4/19 | |
| BNY Mellon Investment Management Holdings LLC # | Assistant Secretary | 9/20 – Present |
Secretary | 1/14 – 9/20 | ||
Name and Position | Other Businesses | Position Held | Dates |
| BNY Mellon Investment Servicing (US) Inc. + | Assistant Secretary | 7/10 – Present |
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| BNY Mellon Investment Servicing Trust Company # | Assistant Secretary | 7/10 – Present |
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| BNY Mellon Investor Solutions, LLC* | Assistant Secretary | 6/15 – Present |
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| BNY Mellon Performance & Risk Analytics, Inc. ±±±± | Assistant Secretary | 1/09 – 8/21 |
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| BNY Mellon Performance & Risk Analytics, LLC + | Assistant Secretary | 2/09 – Present |
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| BNY Mellon Securities Corporation ++ | Assistant Secretary | 2/11 – Present |
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| BNY Mellon Trust Company of Illinois *** | Assistant Secretary | 3/08 – Present |
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| BNY Mellon Trust of Delaware # | Secretary | 5/19 – Present |
Assistant Secretary | 3/08 – 5/19 | ||
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| BNY Mellon US Services Holdings LLC++ | Assistant Secretary | 6/10 – Present |
BNY Mellon Wealth Management, Advisory Services, Inc. ++++ | Secretary | 3/19 – 2/21 | |
Assistant Secretary | 3/17 – 3/19 | ||
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| BNY Mezzanine Holdings LLC **** | Assistant Secretary | 5/09 – Present |
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BNY Partnership Funding LLC** | Assistant Secretary | 8/08 – 7/20 | |
| BNY Real Estate Holdings LLC ** | Assistant Secretary Secretary | 4/09 – 12/20 |
| BNY Recap I, LLC# | Assistant Secretary | 9/08 – 10/19 |
| BNY Salvage Inc. ** | Assistant Secretary | 4/09 – Present |
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| BNY Trust Company of Canada< | Secretary | 2/19 – 4/20 |
| Assistant Secretary | 4/20 – Present | |
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| BNYM RECAP Holdings, LLC ** | Secretary | 11/20 – 6/21 |
Assistant Secretary | 11/14 – 11/20 | ||
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| BNY-N.J. II Corp. ** | Assistant Secretary | 6/08 – Present |
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CenterSquare Global Securities Management, Inc. +++ | Assistant Secretary | 1/18 – 5/19 | |
| CenterSquare Investment Management Holdings, Inc. +++ | Assistant Secretary | 11/08 – Present |
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| Colson Services Corp. ± | Assistant Secretary | 5/08 – Present |
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|
Name and Position | Other Businesses | Position Held | Dates |
| EACM Advisors LLC±± | Assistant Secretary | 2/09 – 5/21 |
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| Eagle Access LLC±±± | Assistant Secretary | 1/14 – Preset |
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| Eagle Investment Systems LLC±±±± | Assistant Secretary | 1/13 – Present |
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| ECM DE, LLC ** | Assistant Secretary | 3/10 – Present |
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| Hamilton Insurance Corp. (The) ++ | Assistant Secretary | 6/10 – Present |
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| HedgeMark International, LLC ## | Assistant Secretary | 5/14 – Present |
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| iNautix (USA) LLC ### | Assistant Secretary | 5/08 – 3/21 |
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| Insight North America LLC ++ | Assistant Secretary | 11/08 – Present |
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| Lockwood Advisors, Inc. #### | Assistant Secretary | 1/08 – Present |
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| Madison Pershing LLC ### | Assistant Secretary | 7/08 – Present |
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| MBC Investments Corporation # | Secretary | 11/13 – Present |
MCDI (Holdings) LLC** | Assistant Secretary | 5/08 – 6/20 | |
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| Mellon Canada Holding Company<<<< | Secretary | 1/14 – Present |
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| Mellon Financial Services Corporation #1 + | Secretary | 3/19 – 11/20 |
Assistant Secretary | 7/08 – 3/19 | ||
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| Mellon Funding Corporation + | Assistant Secretary | 10/08 – 9/21 |
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| Mellon Global Investing Corp. + | Assistant Secretary | 5/08 – Present |
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| Mellon Hedge Advisors, LLC * | Assistant Secretary | 11/15 – Present |
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| Mellon Investments Corporation * | Assistant Secretary | 8/08 – Present |
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| Mellon Leasing Corporation + | Assistant Secretary | 6/16 – Present |
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| Mellon Overseas Investment Corporation ** | Assistant Secretary | 6/16 – Present |
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| Mellon Residential Funding Corporation+ | Assistant Secretary | 3/10 – Present |
| MUNB Loan Holdings, LLC ** | Assistant Secretary | 10/10 – Present |
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| National Residential Assets Corp. ** | Assistant Secretary | 1/09 – Present |
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Newton Investment Management North America, LLC^ | Assistant Secretary | 1/21 – Present | |
| Newton Management North America LLC ^ | Assistant Secretary | 10/10 – Present |
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|
Name and Position | Other Businesses | Position Held | Dates |
| PAS Holdings LLC ** | Assistant Secretary | 9/08 – Present |
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| Pershing Advisor Solutions LLC ### | Assistant Secretary | 5/08 – Present |
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| Pershing Group LLC ### | Assistant Secretary | 7/08 – Present |
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| Pershing Investments LLC ** | Assistant Secretary | 7/08 – Present |
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| Pershing LLC ### | Assistant Secretary | 5/08 – Present |
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| PFS Holdings, LLC ** | Assistant Secretary | 1/11 – Present |
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| Sumday Administration LLC++ | Assistant Secretary | 11/16 – 8/19 |
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| TBC Securities Co., Inc * | Assistant Clerk | 7/09 – Present |
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| Technology Services Group, Inc. ++ | Assistant Secretary | 4/08 – Present |
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| Tennessee Processing Center LLC ++ | Assistant Secretary | 5/08 – Present |
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| Trinity Residual Limited<< | Assistant Secretary | 9/13 – Present |
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The Bank of New York Mellon Trust Company, National Association+ | Assistant Secretary | 4/08 – 10/20 | |
| xBK LLC ^^ | Assistant Secretary | 11/17 – Present |
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|
Charles Doumar |
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Albridge Solutions, Inc. †††† | Assistant Treasurer – Tax | 7/13 – Present | |
| Alcentra NY LLC ++ | Assistant Treasurer – Tax | 9/14 – Present |
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| |
| Alcentra US. Inc. † | Assistant Treasurer – Tax | 9/14 – Present |
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| |
| Alternative Holdings I, LLC ** | Assistant Treasurer – Tax | 1/14 – Present |
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| |
| Alternative Holdings II, LLC ** | Assistant Treasurer – Tax | 1/14 – Present |
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| |
| AP Residential Realty, Inc. †† | Assistant Treasurer – Tax | 8/13 – Present |
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| Asset Recovery IV, LLC ** | Assistant Treasurer | 9/13 – Present |
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| Asset Recovery V, LLC ** | Assistant Treasurer | 9/13 – Present |
|
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| Asset Recovery XIX, LLC ** | Assistant Treasurer | 7/13 – Present |
|
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| Asset Recovery XX, LLC ** | Assistant Treasurer | 7/13 – Present |
|
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| Asset Recovery XXII, LLC ** | Assistant Treasurer | 7/13 – Present |
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|
B.I.E Corporation+ | Assistant Treasurer – Tax | 12/13 – Present |
Name and Position | Other Businesses | Position Held | Dates |
B.N.Y. Holdings (Delaware) Corporation # | Assistant Treasurer – Tax | 4/13 – Present | |
BNY Administrative Services LLC** | Assistant Treasurer – Tax | 12/17 – Present | |
| BNY Alcentra Group Holdings, Inc. ††† | Assistant Treasurer – Tax | 3/13 – Present |
BNY Capital Corporation** | Assistant Treasurer – Tax | 9/13 – Present | |
| BNY Capital Funding LLC ** | Assistant Treasurer – Tax | 9/13 – Present |
|
|
| |
BNY Capital Markets Holdings, Inc. ** | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Foreign Holdings, Inc. ** | Assistant Treasurer – Tax | 10/13 – Present | |
| BNY Investment Management Services LLC # | Assistant Treasurer – Tax | 11/18 – Present |
BNY Lease Equities (Cap Funding) LLC ###### | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Partners LLC ** | Assistant Treasurer – Tax | 7/13 – 7/19 | |
BNY Mellon Capital Markets, LLC++ | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Clearing Holding Company, LLC** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Community Development Corporation++ | Assistant Treasurer – Tax | 10/13 – 4/19 | |
| BNY Mellon IHC, LLC++ | Assistant Treasurer – Tax | 6/17 – Present |
|
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|
|
| BNY Mellon Investment Servicing (US) Inc. + | Assistant Treasurer | 3/14 – Present |
|
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|
| BNY Mellon Investment Servicing Trust Company # | Assistant Treasurer | 3/14 – Present |
BNY Mellon Investor Solutions, LLC* | Assistant Treasurer – Tax | 6/15 – Present | |
BNY Mellon Performance & Risk Analytics, LLC+ | Assistant Treasurer – Tax | 9/17 – Present | |
BNY Mellon Transfer, Inc. ++ | Assistant Treasurer | 12/14 – Present | |
BNY Mellon Trust Company of Illinois*** | Assistant Treasurer – Tax | 3/13 – Present | |
| BNY Mellon Trust of Delaware# | Assistant Treasurer | 11/13 – Present |
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|
BNY Mellon US Services Holdings LLC++ | Assistant Treasurer – Tax | 6/13 – Present | |
BNY Mezzanine Holdings LLC**** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Partnership Funding LLC** | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Recap I, LLC# | Assistant Treasurer – Tax | 9/13 – 10/19 | |
BNY Salvage Inc. ** | Assistant Treasurer – Tax | 3/13 – Present | |
BNYM RECAP Holdings, LLC ** | Assistant Treasurer – Tax | 11/14 – 6/21 | |
BNY-N.J. II Corp. ** | Assistant Treasurer – Tax | 4/13 – Present | |
CenterSquare Global Securities Management, Inc. +++ | Assistant Treasurer – Tax | 1/18 – 5/19 | |
CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer – Tax | 12/13 – 8/20 | |
Colson Services Corp. ± | Assistant Treasurer – Tax | 38/14 – Present | |
EACM Advisors LLC±± | Assistant Treasurer – Tax | 3/14 – 5/21 | |
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 | |
Insight North America LLC++ | Assistant Treasurer – Tax | 11/13 – Present | |
Lockwood Advisors, Inc. #### | Assistant Treasurer – Tax | 3/14 – Present | |
Madison Pershing LLC### | Assistant Treasurer – Tax | 6/13 – Present | |
MBC Investments Corporation # | Assistant Treasurer – Tax | 11/13 – Present | |
MCDI (Holdings) LLC** | Assistant Treasurer – Tax | 9/13 – 6/20 | |
Mellon Financial Services Corporation #1+ | Assistant Treasurer – Tax | 7/13 – Present | |
Mellon Funding Corporation+ | Assistant Treasurer – Tax | 3/14 – Present | |
Mellon Global Investing Corp. + | Assistant Treasurer – Tax | 5/14 – Present | |
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|
| Mellon Hedge Advisors, LLC * | Assistant Treasurer | 10/13 – Present |
Mellon Holdings LLC++ | Assistant Treasurer | 2/15 – Present | |
Mellon Investments Corporation * | Assistant Treasurer – Tax | 1/14 – Present | |
Mellon Leasing Corporation+ | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Overseas Investment Corporation** | Assistant Treasurer – Tax | 12/13 – Present | |
Mellon Residential Funding Corporation+ | Assistant Treasurer – Tax | 4/14 – Present | |
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| MUNB Loan Holdings, LLC** | Assistant Treasurer | 10/13 – Present |
|
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|
| National Residential Assets Corp.** | Assistant Treasurer – Tax | 4/13 – Present |
|
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| Newton Investment Management North America LLC^ | Assistant Vice President– Tax | 1/21 – Present |
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|
Newton Management North America LLC^ | Assistant Treasurer – Tax | 8/14 – Present | |
| PAS Holdings LLC ** | Assistant Treasurer – Tax | 6/13 – Present |
|
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|
| Pershing Advisor Solutions LLC ### | Assistant Treasurer – Tax | 6/13 – Present |
|
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|
| Pershing Group LLC ### | Assistant Treasurer – Tax | 6/13 – Present |
|
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| Pershing Investments LLC ** | Assistant Treasurer – Tax | 6/13 – Present |
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| Pershing LLC ### | Assistant Treasurer – Tax | 7/13 – Present |
|
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|
| Sumday Administration LLC++ | Assistant Treasurer – Tax | 11/16 – Present |
|
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|
Sumday Holdings LLC | Assistant Treasurer – Tax | 11/16 – 8/19 | |
| TBC Securities Co., Inc.* | Assistant Treasurer – Tax | 6/13 – Present |
|
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|
| TBCAM, LLC * | Assistant Treasurer – Tax | 10/13 – 6/21 |
|
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| Technology Services Group, Inc. ++ | Assistant Treasurer – Tax | 9/13 – Present |
|
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|
| Tennessee Processing Center LLC ++ | Assistant Treasurer – Tax | 9/13 – Present |
|
|
|
|
| The Bank of New York Mellon Trust Company, National Association + | Assistant Treasurer | 10/13 – Present |
|
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|
|
| xBK LLC^^ | Assistant Treasurer – Tax | 6/18 – Present |
|
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|
|
Vivian Herrera |
|
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|
Agency Brokerage Holding LLC** | Assistant Treasurer – Tax | 5/21 – Present | |
Albridge Solutions, Inc. †††† | Assistant Treasurer – Tax | 7/21 – Present | |
| Alcentra NY, LLC ++ | Assistant Treasurer -Tax | 5/21 – Present |
|
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|
| Alcentra US, Inc. † | Assistant Treasurer -Tax | 5/21 – Present |
|
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|
| Alternative Holdings I, LLC ** | Assistant Treasurer -Tax | 5/21 – Present |
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|
Name and Position | Other Businesses | Position Held | Dates |
| Alternative Holdings II, LLC ** | Assistant Treasurer -Tax | 5/21 – Present |
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|
| AP Residential Realty, Inc. †† | Assistant Treasurer -Tax | 5/21 – Present |
|
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|
|
| Asset Recovery IV, LLC ** | Assistant Treasurer | 5/21 – Present |
|
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|
| Asset Recovery V, LLC ** | Assistant Treasurer | 5/21 – Present |
|
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|
|
| Asset Recovery XIX, LLC ** | Assistant Treasurer | 5/21 – Present |
|
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|
| Asset Recovery XX, LLC ** | Assistant Treasurer | 5/21 – Present |
|
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| Asset Recovery XXII, LLC ** | Assistant Treasurer | 5/21 – Present |
|
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|
|
B.N.Y. Holdings (Delaware) Corporation# | Assitant Vice President – Tax | 7/21 – Present | |
| BNY Administrative Services LLC ** | Assistant Treasurer –Tax | 5/21 – Present |
| BNY Alcentra Group Holdings, | Assistant Treasurer –Tax | 5/21 – Present |
| BNY Aurora Holding Corp. ** | Vice President | 5/21 – Present |
BNY Capital Corporation** | Vice President – Tax | 7/21 – Present | |
BNY Capital Funding LLC** | Assistant Treasurer – Tax Manager | 4/21 – Present 3/20 – Present | |
BNY Capital Markets Holdings, Inc. | Vice President – Tax | 7/21 – Present | |
| BNY Capital Resources | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
|
| BNY Investment Management Services LLC # | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
|
| BNY Lease Equities (Cap Funding) LLC ###### | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
|
| BNY Mellon Asset Management Operations LLC^^ | Assistant Treasurer | 5/21 – Present |
|
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|
|
| BNY Mellon Capital Markets, | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
| BNY Mellon Government Securities Services Corp. ++ | Vice President –Tax | 5/21 – Present |
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|
|
BNY Mellon Insurance Agency, Inc. | Vice President – Tax | 5/21 – Present | |
BNY Mellon Investment Adviser, Inc. | Vice President – Tax | 5/21 – Present | |
| BNY Mellon Investment Management Holdings LLC # | Assistant Vice President –Tax | 5/21 – Present |
|
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|
|
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Investment Servicing (US) Inc.+ | Assistant Treasurer – Tax | 8/21 – Present | |
BNY Mellon Investment Servicing Trust Company# | Assistant Treasurer – Tax | 8/21 – Present | |
BNY Mellon Investor Solutions, LLC | Assistant Treasurer – Tax | 7/21 – Present | |
| BNY Mellon Performance & Risk Analytics, LLC + | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
BNY Mellon Securities Corporation++ | Vice President - Tax | 5/21 – Present | |
BNY Mellon Trust Company of Illinois*** | Assistant Treasurer – Tax | 5/21 – Present | |
| BNY Mellon Trust of Delaware # | Assistant Treasurer | 5/21 – Present |
BNY Mellon US Services Holdings LLC++ | Assistant Treasurer - Tax | 6/21 – Present | |
| BNY Mezzanine Holdings LLC **** | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
| BNY Partnership Funding LLC ** | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
BNY Real Estate Holdings LLC** | Assistant Treasurer – Tax | 4/21 – Present | |
| BNY Salvage Inc. ** | Assistant Treasurer –Tax | 5/21 – Present |
BNYM RECAP Holdings, LLC** | Assistant Treasurer – Tax | 5/21 – 6/21 | |
|
|
|
|
| BNY-N.J. I Corp. ** | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
| CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
| Colson Services Corp. ± | Assistant Treasurer –Tax | 6/21 – Present |
|
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|
| Eagle Access LLC ±± | Assistant Treasurer –Tax | 6/21 – Present |
|
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|
|
| Eagle Investment Systems LLC ±±± | Assistant Treasurer –Tax | 6/21 – Present |
|
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|
| ECM DE, LLC ** | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
| HedgeMark International, LLC ## | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
iNautix (USA) LLC### | Assistant Treasurer – Tax | 5/21 – Present | |
| Insight North America LLC++ | Assistant Treasurer - Tax | 5/21 – Present |
Lockwood Advisors, Inc. | Assistant Treasurer – Tax | 5/21 – Present | |
|
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|
|
| MBC Investment Corporation # | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
|
| Mellon Financial Services Corporation #1 + | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
|
Name and Position | Other Businesses | Position Held | Dates |
| Mellon Funding Corporation + | Assistant Treasurer –Tax | 5/21 – 9/21 |
|
|
|
|
| Mellon Global Investing Corp. + | Assistant Treasurer –Tax | 5/21 – Present |
Mellon Hedge Advisors, LLC* | Assistant Treasurer | 5/21 – Present | |
Mellon Holdings LLC++ | Assistant Treasurer | 5/21 – Present | |
|
|
|
|
| Mellon Investments Corporation * | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
|
| Mellon Leasing Corporation + | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
|
| Mellon Overseas Investment Corporation ** | Assistant Treasurer –Tax | 5/21 – Present |
|
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|
|
| Mellon Residential Funding Corporation+ | Assistant Treasurer - Tax | 5/21 – Present |
MUNB Loan Holdings, LLC** | Assistant Treasurer | 5/21 – Present | |
|
|
|
|
| National Residential Assets Corp. ** | Assistant Treasurer –Tax | 5/21 – Present |
Newton Investment Management North America, LLC^ | Assistant Treasurer-Tax | 5/21 – Present | |
|
|
|
|
| Newton Management North America LLC^ | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
| Pershing Advisor Solutions LLC ### | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
| Pershing Group LLC ### | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
| Pershing LLC ### | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
| Sumday Administration LLC++ | Assistant Treasurer - Tax | 5/21 – Present |
|
|
|
|
| TBC Securities Co., Inc. * | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
| The Bank of New York Mellon Trust Company, National Association + | Assistant Treasurer | 5/21 – Present |
|
|
|
|
| xBK^^ | Assistant Treasurer –Tax | 5/21 – Present |
|
|
|
|
* | The address of the business so indicated is One Boston Place, Boston, MA, 02108. |
** | The address of the business so indicated is One Wall Street, New York, NY 10286. |
*** | 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 BNY Mellon Centre 160 Queen Victoria Street, London EC4V 4LA. |
^^ | The address of the business so indicated is 201 Washington Street, Boston, Massachusetts 02108. |
^^^ | The address of the business so indeicated is Marunouchi Trust Tower Main, 1-8-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005. |
+ | 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 200 Wellington Street, West, Suite 300, Toronto, Ontario, M5V 2G7. |
+++++ | The address of the business so indicated is Jin Mao Tower, No. 88 Century Avenue, Shanghai, China 2000120 |
† | 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 1009 Lenox Drive, Bldg. 4, Suite 204, Lawrenceville, PA 16929 |
± | The address of the business so indicated is 4 New York Plaza, New York, NY, 10004. |
±± | 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 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 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 200 Wellington Street, Suite 300, Toronto, ON M5V 3C7. |
<< | The address of the business so indicated is Claredon House, 2 Church Street, Hamilton, Bermuda, HM 11. |
Item 32. Principal Underwriters
BNY Mellon Securities Corporation serves as principal underwriter for each series of the Registrant.
(a) Other investment companies for which BNY Mellon Securities Corporation 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 Government Securities Money Market Funds, Inc |
53. | General Money Market Fund, Inc. |
54. | General Municipal Money Market Funds, Inc. |
55. | General New York AMT-Free Municipal Money Market Fund |
(b) The following information is furnished with respect to the directors and officers of BNY Mellon Securities Corporation. BNY Mellon Securities Corporation's principal business address is 240 Greenwich Street, New York, New York 10286.
me and principal | Positions and offices with the Distributor | Positions and Offices with Registrant |
Kenneth Bradle** | Director and President | None |
David DiPetrillo**** | Director and Executive Vice President | President |
Sue Ann Cormack† | Executive Vice President | 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 and Director | None |
Gregory Pasquale *** | Chief Financial Officer | 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 |
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 |
me and principal | Positions and offices with the Distributor | Positions and Offices with Registrant |
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:
Books or other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, and the rules promulgated thereunder, are maintained as follows:
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 ETF Investment Adviser, LLC
201 Washington Street
Boston, Massachusetts 02108
Item 34. Management Services
Not Applicable.
Item 35. Undertakings
Not Applicable.
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, duly authorized, in the City of New York, and State of New York on the 8th of December, 2021.
BNY Mellon ETF Trust
BY: | /s/ Jeff S. Prusnofsky |
Jeff S. Prusnofsky, Vice 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/ David DiPetrillo* | President (Principal Executive Officer) | 12/8/2021 | ||
David DiPetrillo | ||||
/s/ James Windels* | Treasurer (Principal Financial | 12/8/2021 | ||
James Windels | and Accounting Officer) | |||
/s/ J. Charles Cardona* | Chairman of the Board | 12/8/2021 | ||
J. Charles Cardona | ||||
/s/ Kristen M. Dickey* | Board Member | 12/8/2021 | ||
Kristen M. Dickey | ||||
/s/ F. Jack Liebau, Jr.* | Board Member | 12/8/2021 | ||
F. Jack Liebau, Jr | ||||
/s/ Jill I. Mavro* | Board Member | 12/8/2021 | ||
Jill I. Mavro | ||||
/s/ Kevin W. Quinn* | Board Member | 12/8/2021 | ||
Kevin W. Quinn | ||||
/s/ Stacy L. Schaus* | Board Member | 12/8/2021 | ||
Stacy L. Schaus | ||||
*BY: /s/ Jeff S. Prusnofsky
Jeff S. Prusnofsky
Attorney-in-Fact
INDEX OF EXHIBITS
Exhibits
(d)(10) Sub-Investment Advisory Agreement dated August 2, 2021 between BNY Mellon ETF Investment Adviser, LLC and Walter Scott & Partners Limited.
(i)(2) Opinion and Consent of Counsel, Morgan, Lewis & Bockius LLP, relating to the BNY Mellon Sustainable US Equity ETF, BNY Mellon Sustainable International Equity ETF and BNY Mellon Sustainable Global Emerging Markets ETF.