File No.333-192305
811-22912
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. 39 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 42 [X]
(Check appropriate box or boxes.)
Dreyfus BNY Mellon Funds, Inc.
(Exact Name of Registrant as Specified in Charter)
c/o The Dreyfus Corporation
200 Park Avenue, New York, New York 10166
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6400
Bennett A. MacDougall, Esq.
200 Park Avenue
New York, New York 10166
(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)(12), (e)(2), (p)(1), (p)(2), and (p)(9) to Item 28 to the Registration Statement.
This Post-Effective Amendment is for the purpose of filing the following exhibits: Sub-Investment Advisory Agreement with Ramius Advisors, LLC; Form of Service Agreement; Revised Code of Ethics adopted by the Registrant, The Dreyfus Corporation, Newton, and Standish Mellon Asset Management Company LLC; Code of Ethics adopted by non-management Board Members; and the Code of Ethics of Ramius Advisors, LLC as Exhibits to Item 28 to this Registration Statement on Form N-1A.
Part A of Form N-1A was filed on February 29, 2016 as Post-Effective Amendment No. 37 to the Registrant’s Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
Part B of Form N-1A was filed on July 29, 2016 pursuant to Rule 497(e) under the Securities Act of 1933, as amended, with respect to the Registrant, and is incorporated by reference herein.
Dreyfus BNY Mellon Funds, Inc.
PART C
OTHER INFORMATION
Item 28. Exhibits
(a)(1) Registrant's Articles of Incorporation dated November 1, 2013, are incorporated by reference to Exhibit (a)(i) of the Registration Statement on Form N-1A, filed on November 13, 2013 ("Registration Statement").
(a)(2) Articles Supplementary are incorporated by reference to Exhibit (a)(ii) of the Registration Statement.
(a)(3) Articles Supplementary are incorporated by reference to Exhibit (a)(iii) of Post-Effective Amendment No. 4 to the Registration Statement on Form N-1A, filed on February 18, 2014 ("Post-Effective Amendment No. 4").
(a)(4) Articles Supplementary are incorporated by reference to Exhibit (a)(iii) of Post-Effective Amendment No. 6 to the Registration Statement on Form N-1A, filed on March 20, 2014 ("Post-Effective Amendment No. 6").
(a)(5) Articles Supplementary are incorporated by reference to Exhibit (a)(v) of Post-Effective Amendment No. 21 to the Registration Statement on Form N-1A, filed on February 26, 2015 ("Post-Effective Amendment No. 21").
(a)(6) Articles Supplementary are incorporated by reference to Exhibit (a)(vi) of Post-Effective Amendment No. 16 to the Registration Statement on Form N-1A, filed on November 24, 2014 ("Post-Effective Amendment No. 16").
(a)(7) Articles of Amendment are incorporated by reference to Exhibit (a)(v) of Post-Effective Amendment No. 16.
(b) Registrant's By-Laws are incorporated by reference to Exhibit (b) of Pre-Effective Amendment No. 4 to the Registration Statement on Form N-1A, filed on January 22, 2014 ("Pre-Effective Amendment No. 4").
(c) Not applicable.
(d)(1) Management Agreement between the Registrant, on behalf of Dreyfus Global Emerging Markets Fund, Dreyfus Yield Enhancement Strategy Fund and Dreyfus Emerging Markets Debt U.S. Dollar Fund, and The Dreyfus Corporation, dated December 17, 2013, revised October 30, 2014 is incorporated by reference to Exhibit (d)(i) of Post-Effective Amendment No. 16.
(d)(2) Management Agreement between the Registrant, on behalf of Dreyfus Alternative Diversifier Strategies Fund and Dreyfus Select Managers Long/Short Fund, and The Dreyfus Corporation, dated March 20, 2014 is incorporated by reference to Exhibit (d)(iii) of Post-Effective Amendment No. 6.
(d)(3) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Newton Capital Management Limited ("Newton") relating to Dreyfus Global Emerging Markets Fund, dated December 17, 2013 is incorporated by reference to Exhibit (d)(ii) of Pre-Effective Amendment No. 4.
(d)(4) Portfolio Allocation Management Agreement between The Dreyfus Corporation and EACM Advisors LLC relating to Dreyfus Select Managers Long/Short Fund, dated March 20, 2014 is incorporated by reference to Exhibit (d)(iv) of Post-Effective Amendment No. 6.
(d)(5) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Kingsford Capital Management, LLC ("Kingsford Capital") relating to Dreyfus Select Managers Long/Short Fund, dated July 24, 2014 is incorporated by reference to Exhibit (d)(v) of Post-Effective Amendment No. 21.
(d)(6) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Owl Creek Asset Management, L.P. ("Owl Creek") relating to Dreyfus Select Managers Long/Short Fund, dated March 20, 2014 is incorporated by reference to Exhibit (d)(v) of Post-Effective Amendment No. 6.
(d)(7) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Sirios Capital Management, L.P. ("Sirios") relating Dreyfus Select Managers Long/Short Fund, dating March 20, 2014 is incorporated by reference to Exhibit (d)(vii) of Post-Effective Amendment No. 6.
(d)(8) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Three Bridges Capital, LP ("Three Bridges") relating to Dreyfus Select Managers Long/Short Fund, dated October 30, 2014 is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 21.
(d)(9) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Cramer Rosenthal McGlynn, LLC ("Cramer") relating to Dreyfus Select Managers Long/Short Fund, dating July 30, 2015 is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 37 to the Registration Statement on Form N-1A, filed on February 26, 2016 ("Post-Effective Amendment No. 37").
(d)(10) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Pine River Capital Management L.P. ("Pine River") relating to Dreyfus Select Managers Long/Short Fund, dated July 30, 2015 is incorporated by reference to Exhibit (d)(x) of Post-Effective Amendment No. 37.
(d)(11) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Standish Mellon Asset Management Company LLC ("Standish") relating to Dreyfus Emerging Markets Debt U.S. Dollar Fund, dated October 30, 2014 is incorporated by reference to Exhibit (d)(x) of Post-Effective Amendment No. 16.
(d)(12) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Ramius Advisors, LLC ("Ramius") relating to Dreyfus Select Managers Long/Short Fund, dated July 28, 2016 is filed herewith.
(e)(1) Distribution Agreement is incorporated by reference to Exhibit (e) of Pre-Effective Amendment No. 4.
(e)(2) Form of Service Agreement is filed herewith.
(f) Not applicable.
(g) Custody Agreement between the Registrant and The Bank of New York Mellon, dated January 1, 2011 (effective as of May 1, 2011) is incorporated by reference to Exhibit (g) of Pre-Effective Amendment No. 4.
(h)(1) Transfer Agency Agreement between the Registrant and Dreyfus Transfer, Inc., dated May 29, 2012 is incorporated by reference to Exhibit (h)(i) of Pre-Effective Amendment No. 4.
(h)(2) Shareholder Services Plan, dated December 17, 2013, revised October 30, 2014 is incorporated by reference to Exhibit (h)(ii) of Post-Effective Amendment No. 16.
(i)(1) Opinion and Consent of Stroock & Stroock & Lavan LLP is incorporated by reference to Exhibit (i)(1) of Pre-Effective Amendment No. 4.
(i)(2) Opinion and Consent of Venable LLP is incorporated by reference to Exhibit (i)(ii) of Pre-Effective Amendment No. 4.
(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 40 to the Registration Statement on Form N-1A, filed on February 29, 2016.
(k) None.
(l) Not applicable.
(m)(1) Distribution Plan (Rule 12b-1 Plan), dated December 17, 2013, revised October 30, 2014, is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 16.
(m)(2) Forms of Broker-Dealer Selling Agreement and Bank Selling Agreement is incorporated by reference to Exhibit (m)(ii) and (m)(iii) of Post-Effective Amendment No. 37.
(n) Rule 18f-3 Plan, dated March 1, 2016 is incorporated by reference to Exhibit (n) of Post-Effective Amendment No. 37.
(p)(1) Revised Code of Ethics adopted by the Registrant, The Dreyfus Corporation, Newton, and Standish, revised November 3, 2014, is filed herewith.
(p)(2) Code of Ethics adopted by the non-management Board Members of the Dreyfus Family of Funds is filed herewith.
(p)(3) Code of Ethics of Kingsford Capital is incorporated by reference to Exhibit (p)(iii) of Post-Effective Amendment No. 21.
(p)(4) Code of Ethics of Owl Creek. is incorporated by reference to Exhibit (p)(iii) of Post-Effective Amendment No. 6.
(p)(5) Code of Ethics of Sirios is incorporated by reference to Exhibit (p)(v) of Post-Effective Amendment No. 37.
(p)(6) Code of Ethics of Three Bridges, revised September 17, 2015, is incorporated by reference to Exhibit (p)(vi) of Post-Effective Amendment No. 37.
(p)(7) Code of Ethics of Cramer is incorporated by reference to Exhibit (p)(vii) of Post-Effective Amendment No. 37.
(p)(8) Code of Ethics of Pine River, dated July 2015, is incorporated by reference to Exhibit (p)(viii) of Post-Effective Amendment No. 37.
(p)(9) Code of Ethics of Ramius, dated January 4, 2016 is filed herewith.
Other Exhibits
(1) Power of Attorney of Bradley J. Skapyak, James Windels and Trustees, dated February 25, 2015 is incorporated by reference to Post-Effective Amendment No. 37.
Item 29. Persons Controlled by or Under Common Control with Registrant
None.
Item 30. Indemnification
The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including attorneys' fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, that no board member or officer of the Registrant may be protected against liability for willful misfeasance, bad faith, gross negligence or reckless disregard for the duties of his or her office. Reference is hereby made to the following:
Article Seventh of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of the Registrant's By-Laws and Section 2-418 of the Maryland General Corporation Law.
Item 31. Business and Other Connections of Investment Adviser
The Dreyfus Corporation ("Dreyfus") 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 1940 and as an investment adviser to institutional and individual accounts. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC
Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Dreyfus and of other investment companies for which Dreyfus acts as an investment adviser, sub-investment adviser or administrator.
(b) Business and Other Connections of Sub-Investment Adviser
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Kingsford Capital, 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 Kingsford Capital 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 Kingsford Capital (SEC File No. 801-73688).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Newton, 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 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 (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 Owl Creek, 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 Owl Creek 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 Owl Creek (SEC File No. 801-66113).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Sirios, 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 Sirios 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 Sirios (SEC File No. 801-73570).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Standish, 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 Standish 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 Standish (SEC File No. 801-60527).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Three Bridges, 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 Three Bridges 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 Three Bridges (SEC File No. 801-73041).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Cramer, 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 Cramer 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 Cramer (SEC File No. 801-55244).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Pine River, a sub-investment advisor of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Pine River 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 Pine River (SEC File No. 801-65336).
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Ramius, a sub-investment advisor of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Ramius or the 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 Ramius (SEC File No. 801-54785).
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position | Other Businesses | Position Held | Dates |
Mark Santero | Alcentra US, Inc.†††† | Director | 9/14 – Present |
BNY Alcentra Group Holdings, Inc.†††††† | Director | 5/15 - Present | |
BNY Mellon Asset Management Canada Limited++++++ | Director | 5/16 - Present | |
Mellon Canada Holding Company++++++ | Director | 5/16- Present |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Capital Management Corporation** | Director | 4/15 - Present | |
Mellon Global Investing Corp.+ | Director | 5/15 - Present | |
USPLP, Inc.******* | Director | 12/15 - 5/16 | |
Alcentra NY, LLC++ | Manager | 9/14 - Present | |
Alternative Holdings I, LLC | Manager | 4/16 - Present | |
BNY Investment Strategy and Solutions Group, LLC* | Manager | 6/15 - Present | |
EACM Advisors LLC^^ | Manager | 12/15 - Present | |
Standish Mellon Asset Management Company LLC* | Manager | 9/14 - 5/16 | |
The Boston Company Asset Management, LLC* | Manager | 9/14 - Present | |
The Boston Company Asset Management, LLC* | Manager | 6/14 – 7/14 | |
MAM (MA) Holding Trust* | Trustee | 12/15 - Present | |
BNY Mellon, National Association++++ | Executive Vice President | 5/14 - Present | |
The Bank of New York Mellon******* | Executive Vice President | 5/14 - Present | |
J. Charles Cardona | MBSC Securities Corporation++ | Director | 6/07 – Present |
Name and Position | Other Businesses | Position Held | Dates |
Chairman | 2/13 - Present | ||
BNY Mellon Liquidity Funds plc+ | Director | 4/06 - Present | |
Diane P. Durnin | MBSC Securities Corporation++ | Executive Vice President | 3/15 - Present |
Bradley J. Skapyak | MBSC Securities Corporation++ | Executive Vice President | 6/07 - Present |
The Bank of New York Mellon*** | Senior Vice President | 4/07 - Present | |
The Dreyfus Family of Funds++ | President | 1/10 - Present | |
Dreyfus Transfer, Inc. ++ | Chairman Director | 5/11 - Present 5/10 - Present | |
Joseph W. Connolly | The Dreyfus Family of Funds++ | Chief Compliance Officer | 10/04 - Present |
BNY Mellon Funds Trust++ | Chief Compliance Officer | 10/04 - Present | |
MBSC Securities Corporation++ | Chief Compliance Officer | 6/07 – Present | |
Christopher O'Connor | MBSC Securities Corporation++ | Director | 3/12 – 3/15 |
Executive Vice President | 12/11 – Present | ||
Bennett A. MacDougall Chief Legal Officer | The Bank of New York | Associate General Counsel | 6/15 - Present |
Deutsche Bank 60 Wall Street New York, NY 10005 | Director and Associate General Counsel | 6/05 - 6/15 | |
Deutsche Investment Management Americas, Inc. 345 Park Avenue New York, NY 10154 | Chief Legal Officer | 11/08 - 6/15 | |
Name and Position | Other Businesses | Position Held | Dates |
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 III, LLC*** | Assistant Treasurer | 9/13 – 3/15 | |
Asset Recovery IV, LLC*** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery V, LLC*** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery VII, LLC*** | Assistant Treasurer | 9/13 – 3/15 | |
Asset Recovery IX, LLC*** | Assistant Treasurer | 3/14 – 3/15 | |
Asset Recovery X, LLC*** | Assistant Treasurer | 3/14 – 3/15 | |
Asset Recovery XIII, LLC*** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XIV, LLC*** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XIX, LLC*** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XV, LLC*** | Assistant Treasurer | 3/13 – 3/15 | |
Asset Recovery XVI, LLC*** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XVII, LLC*** | Assistant Treasurer | 3/13 – 3/15 | |
Asset Recovery XVIII, LLC*** | Assistant Treasurer | 7/13 – 3/15 | |
Asset Recovery XX, LLC*** | Assistant Treasurer | 7/13 – Present |
Name and Position | Other Businesses | Position Held | Dates |
Asset Recovery XXI, LLC*** | Assistant Treasurer | 7/13 – 3/15 | |
Asset Recovery XXII, LLC*** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XXIII, 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 Trust of Delaware# | Assistant Treasurer | 11/13 – Present | |
IVY Asset Management LLC+ | Assistant Treasurer | 9/13 – Present | |
Mellon Hedge Advisors, LLC* | Assistant Treasurer | 10/13 – Present |
Name and Position | Other Businesses | Position Held | Dates |
MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/13 – Present | |
484Wall Capital Management LLC*** | Assistant Treasurer – Tax | 10/13 – Present | |
Airlease Incorporated††† | Assistant Treasurer – Tax | 7/13 – 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 | |
AURORA-IRE, Inc.††† | Assistant Treasurer – Tax | 7/13 – 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 | |
BNY Cargo Holdings LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Catair LLC††† | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 Gator LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Hitchcock Holdings LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Housing I Corp.††† | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Housing II LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY ITC Leasing, LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Equities (Cap Funding) LLC######## | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Holdings 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 Alternative Investments Holdings LLC*** | Assistant Treasurer – Tax | 10/13 – Present | |
BNY Mellon Capital Markets, LLC^^^^^ | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Clearing Holding Company, LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
BNY Partnership Funding LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Partnership Funding LLC*** | Manager | 11/14 – 6/15 | |
BNY Rail Maintenance 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 | |
BNY Waterworks, Inc.††† | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Wings, Inc.††† | Assistant Treasurer – Tax | 7/13 – Present | |
BNYM GIS Funding I LLC*** | Assistant Treasurer – Tax | 6/13 – Present | |
BNYM GIS Funding III LLC*** | Assistant Treasurer – Tax | 6/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 – Present | |
Coates Holding LLC# | Assistant Treasurer – Tax | 3/15 - Present | |
Colson Services Corp.^ | Assistant Treasurer – Tax | 3/14 - 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 - Present | |
EACM Advisors LLC^^ | Assistant Treasurer – Tax | 1/14 - Present | |
Eagle Access LLC^^^ | Assistant Treasurer – Tax | 1/14 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
Eagle Investment Systems LLC^^^^ | Assistant Treasurer – Tax | 1/14 - Present | |
ECM DE. LLC*** | Assistant Treasurer – Tax | 1/14 - Present | |
GIS Holdings (International) Inc.# | Assistant Treasurer – Tax | 6/14 – 12/14 | |
Hamilton Floating Rate Fund Holdings, LLC*** | Assistant Treasurer – Tax | 5/13 – 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 | |
IRE-AC, Inc.††† | Assistant Treasurer – Tax | 7/13 – Present | |
IRE-BC, Inc.††† | Assistant Treasurer – Tax | 7/13 – Present | |
IRE-SB, Inc.††† | Assistant Treasurer – Tax | 7/13 – Present | |
Island Waterworks, Inc.††† | Assistant Treasurer – Tax | 7/13 – Present | |
ITCMED, Inc.*** | Assistant Treasurer – Tax | 6/13 – 5/15 | |
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 | 8/14 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 Investments Corporation# | Assistant Treasurer – Tax | 11/13 – Present | |
MBSC Securities Corporation++ | Vice President – Tax | 2/14 - Present | |
MCDI (Holdings) LLC*** | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Capital Management Corporation** | Assistant Treasurer – Tax | 1/14 - Present | |
Mellon Holdings LLC++ | Assistant Treasurer | 2/15 - 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 International Leasing Company# | Assistant Treasurer – Tax | 8/14 - Present | |
Mellon Leasing Corporation+ | Assistant Treasurer – Tax | 7/13 – Present |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Mellon Residential Funding Corporation++++ | Assistant Treasurer - Tax | 4/14 - Present | |
National Residential Assets Corp.*** | Assistant Treasurer – Tax | 4/13 – Present | |
New GSM Holding Corporation^^^^ | Assistant Treasurer – Tax | 7/13 – Present | |
Newton Capital Management LLC.*** | Assistant Treasurer – Tax | 8/14 - Present | |
Northern Waterworks, Inc.††† | Assistant Treasurer – Tax | 7/13 – 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 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 – Present | |
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 – Present | |
USPLP, Inc. ******* | Assistant Treasurer – Tax | 10/13 – Present | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
Agency Brokerage Holding LLC*** | Vice President – Tax | 6/13 – Present | |
BNY Community Development Enterprises Corp.*** | Vice President – Tax | 4/13 – 5/14 | |
Asset Recovery I, LLC*** | Assistant Treasurer | 9/13 - 11/13 | |
Asset Recovery VI, LLC*** | Assistant Treasurer | 9/13 - 11/13 | |
Asset Recovery XII, LLC*** | Assistant Treasurer | 3/13 - 11/13 | |
Jill Gill | MBSC Securities Corporation++ | Vice President | 6/07 – Present |
The Bank of New York Mellon*** | Vice President | 7/08 – Present | |
BNY Mellon, National Association+ | Vice President | 7/08 - Present | |
Tracy A. Hopkins Vice President - Cash Strategies | MBSC Securities Corporation++ | Executive Vice President | 2/14 – Present |
Anthony Mayo | MBSC Securities Corporation++ | Chief Technology Officer | 4/14 – Present |
Kathleen Geis | BNY Mellon International Operations (India) Private Limited | Director | 5/05 - Present |
BNY Mellon, National Association+ | Managing Director | 7/09 – 10/14 | |
Albridge Solutions, Inc. | Managing Director | 7/11 - Present | |
BNY Mellon Distributors Holdings, Inc. # | Vice President - | 7/11 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 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 – Present | |
Mellon Capital Management Corporation** | Vice President - | 7/11 – Present | |
Mellon Financial Services Corporation #1+ | Vice President - | 7/11 – Present | |
Mellon Holdings LLC++ | Vice President - | 7/11 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
Pareto New York LLC ++ | Vice President - | 7/11 – Present | |
SourceNet Solutions, Inc. + | Vice President - | 7/11 – 5/13 | |
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 | |
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 | |
MBNA Institutional PA Services, LLC+ | Managing Director | 7/09 – 10/14 | |
Claudine Orloski | Dreyfus Service Organization++ | Vice President – Tax | 8/14 – Present |
MBSC Securities Corporation++ | Vice President – Tax | 2/12 - Present | |
Asset Recovery II, LLC*** | Assistant Treasurer | 9/11 - Present | |
Asset Recovery III, LLC*** | Assistant Treasurer | 9/11 – 3/15 | |
Asset Recovery IV, LLC*** | Assistant Treasurer | 9/11 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
Asset Recovery IX, LLC*** | Assistant Treasurer | 2/11 – 3/15 | |
Asset Recovery V, LLC*** | Assistant Treasurer | 9/11 – Present | |
Asset Recovery VII, LLC*** | Assistant Treasurer | 2/11 – 3/15 | |
Asset Recovery X, LLC*** | Assistant Treasurer | 2/11 – 3/15 | |
Asset Recovery XIII, LLC*** | Assistant Treasurer | 3/11 – Present | |
Asset Recovery XIV, LLC*** | Assistant Treasurer | 3/11 – Present | |
Asset Recovery XIX, LLC*** | Assistant Treasurer | 7/11 – Present | |
Asset Recovery XV, LLC*** | Assistant Treasurer | 3/11 – 3/15 | |
Asset Recovery XVI, LLC*** | Assistant Treasurer | 3/11 – Present | |
Asset Recovery XVII, LLC*** | Assistant Treasurer | 3/11 – 3/15 | |
Asset Recovery XVIII, LLC*** | Assistant Treasurer | 7/11 – 3/15 | |
Asset Recovery XX, LLC*** | Assistant Treasurer | 7/11 – Present | |
Asset Recovery XXI, LLC*** | Assistant Treasurer | 7/11 – 3/15 | |
Asset Recovery XXII, LLC*** | Assistant Treasurer | 7/11 – Present | |
Asset Recovery XXIII, LLC*** | Assistant Treasurer | 7/11 – Present | |
BNY Mellon Investments CTA, LLC* | Assistant Treasurer | 9/13 – 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 | |
484 Wall Capital Management LLC | Assistant Treasurer -Tax | 10/13 – Present | |
Airlease Incorporated††† | Assistant Treasurer -Tax | 7/11 – Present | |
Albridge Solutions, Inc.†††† | Assistant Treasurer -Tax | 6/11 – Present | |
Alcentra NY, LLC++ | Assistant Treasurer -Tax | 10/12 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
AP Residential Realty, Inc.††††† | Assistant Treasurer -Tax | 8/11 – Present | |
APT Holdings Corporation# | Assistant Treasurer -Tax | 12/11 – Present | |
AURORA-IRE, INC.††† | Assistant Treasurer -Tax | 7/11 – 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 Cargo Holdings LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Catair LLC††† | 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 Gator LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Hitchcock Holdings LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Housing I Corp.††† | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Housing II LLC*** | Assistant Treasurer –Tax | 7/11 – Present |
Name and Position | Other Businesses | Position Held | Dates |
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 Holdings 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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 Rail Maintenance 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 Waterworks, Inc.††† | Assistant Treasurer –Tax | 7/11 – 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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 – Present | |
Coates Holding LLC# | Assistant Treasurer – Tax | 3/15 - Present | |
Colson Services Corp.^ | Assistant Treasurer –Tax | 2/11 – 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 | |
GIS Holdings (International) Inc.# | Assistant Treasurer –Tax | 4/12 – 12/14 | |
Hamilton Floating Rate Fund Holdings, LLC*** | Assistant Treasurer –Tax | 5/11 – 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 | |
IRE-AC, Inc.††† | Assistant Treasurer –Tax | 7/11 – Present |
Name and Position | Other Businesses | Position Held | Dates |
IRE-BC, Inc.††† | Assistant Treasurer –Tax | 7/11 – Present | |
IRE-SB, Inc.††† | Assistant Treasurer –Tax | 7/11 – Present | |
Island Waterworks, Inc.††† | Assistant Treasurer –Tax | 7/11 – Present | |
ITCMED, Inc.*** | Assistant Treasurer –Tax | 6/11 – 5/15 | |
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 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 Investments 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 | |
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 – Present | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Global Investing Corp.+ | Assistant Treasurer –Tax | 5/11 – Present | |
Mellon International Leasing | Assistant Treasurer –Tax | 7/11 – 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 | |
Mellon Residential Funding Corporation**** | Assistant Treasurer –Tax | 4/14 – Present | |
National Residential Assets Corp.*** | Assistant Treasurer –Tax | 4/12 – Present | |
New GSM Holding Corporation^^^^ | Assistant Treasurer –Tax | 7/11 – Present | |
Newton Capital Management LLC*** | Assistant Treasurer –Tax | 10/11 – Present | |
Northern Waterworks, Inc.††† | Assistant Treasurer –Tax | 7/11 – 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 | |
Name and Position | Other Businesses | Position Held | Dates |
Standish Mellon Asset Management Company LLC* | Assistant Treasurer –Tax | 11/14 - Present | |
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 | |
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 – Present | |
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 – Present | |
James Bitetto | The Dreyfus Family of Funds++ | Vice President and Assistant Secretary | 8/05 - Present |
MBSC Securities Corporation++ | Assistant Secretary | 6/07 - Present | |
Dreyfus Service Organization, Inc.++ | Secretary | 8/05 - Present |
* | The address of the business so indicated is One Boston Place, Boston, Massachusetts, 02108. |
** | The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, California 94105. |
*** | The address of the business so indicated is One Wall Street, New York, New York 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, New York 10286 |
+ | The address of the business so indicated is One Mellon Bank Center, Pittsburgh, Pennsylvania 15258. |
++ | The address of the business so indicated is 200 Park Avenue, New York, New York 10166. |
+++ | 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 500 Grant Street, Pittsburgh, PA 15258 |
+++++ | 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 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 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 101 Barclay Street, 3rd Floor, New York, NY, 10286 |
^^^^^^ | 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 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 |
Item 32. Principal Underwriters | ||
(a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor: | ||
1. | Advantage Funds, Inc. | |
2. | BNY Mellon Absolute Insight Funds, Inc. | |
3. | BNY Mellon Funds Trust | |
4. | CitizensSelect Funds | |
5. | Dreyfus Appreciation Fund, Inc. | |
6. | Dreyfus BASIC Money Market Fund, Inc. | |
7. | Dreyfus BNY Mellon Funds, Inc. | |
8. | Dreyfus Bond Funds, Inc. | |
9. | Dreyfus Cash Management | |
10. | Dreyfus Funds, Inc. | |
11. | The Dreyfus Fund Incorporated | |
12. | Dreyfus Government Cash Management Funds | |
13. | Dreyfus Growth and Income Fund, Inc. | |
14. | Dreyfus Index Funds, Inc. | |
15. | Dreyfus Institutional Cash Advantage Funds | |
16. | Dreyfus Institutional Preferred Money Market Funds | |
17. | Dreyfus Institutional Reserves Funds | |
18. | Dreyfus Intermediate Municipal Bond Fund, Inc. | |
19. | Dreyfus International Funds, Inc. | |
20. | Dreyfus Investment Funds | |
21. | Dreyfus Investment Grade Funds, Inc. | |
22. | Dreyfus Investment Portfolios | |
23. | The Dreyfus/Laurel Funds, Inc. | |
24. | The Dreyfus/Laurel Funds Trust | |
25. | Dreyfus Liquid Assets, Inc. | |
26. | Dreyfus Manager Funds I | |
27. | Dreyfus Manager Funds II | |
28. | Dreyfus Midcap Index Fund, Inc. | |
29. | Dreyfus Municipal Bond Opportunity Fund | |
30. | Dreyfus Municipal Cash Management Plus | |
31. | Dreyfus Municipal Funds, Inc. | |
32. | Dreyfus New Jersey Municipal Bond Fund, Inc. | |
33. | Dreyfus New York AMT-Free Municipal Bond Fund |
34. | Dreyfus New York Municipal Cash Management |
35. | Dreyfus New York Tax Exempt Bond Fund, Inc. |
36. | Dreyfus Opportunity Funds |
37. | Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
38. | Dreyfus Premier GNMA Fund, Inc. |
39. | Dreyfus Premier Investment Funds, Inc. |
40. | Dreyfus Premier Short-Intermediate Municipal Bond Fund |
41. | Dreyfus Premier Worldwide Growth Fund, Inc. |
42. | Dreyfus Research Growth Fund, Inc. |
43. | Dreyfus State Municipal Bond Funds |
44. | Dreyfus Stock Funds |
45. | The Dreyfus Socially Responsible Growth Fund, Inc. |
46. | Dreyfus Stock Index Fund, Inc. |
47. | Dreyfus Tax Exempt Cash Management Funds |
48. | The Dreyfus Third Century Fund, Inc. |
49. | Dreyfus Treasury & Agency Cash Management |
50. | Dreyfus Treasury Securities Cash Management |
51. | Dreyfus Ultra Short Income Fund |
52. | Dreyfus U.S. Treasury Intermediate Term Fund |
53. | Dreyfus U.S. Treasury Long Term Fund |
54. | Dreyfus Variable Investment Fund |
55. | General California Municipal Money Market Fund |
56. | General Government Securities Money Market Funds, Inc. |
57. | General Money Market Fund, Inc. |
58. | General Municipal Money Market Funds, Inc. |
59. | General New Jersey Municipal Money Market Fund, Inc. |
60. | General New York AMT-Free Municipal Money Market Fund |
61. | Strategic Funds, Inc. |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
Kenneth Bradle** | President and Director | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
J. Charles Cardona* | Chairman of the Board and Co-Head | Executive Vice President (Money Market Funds Only) |
Sue Ann Cormack† | Executive Vice President | None |
Diane P. Durnin††† | Executive Vice President | None |
Tracy Hopkins* | Executive Vice President | None |
William H. Maresca** | Executive Vice President and Director | None |
Christopher D. O'Connor††† | Executive Vice President | None |
Irene Papadoulis** | Executive Vice President | None |
Matthew Perrone***** | Executive Vice President | None |
Bradley J. Skapyak* | Executive Vice President | President |
Bill E. Sappington* | Executive Vice President and Director | None |
Brie A. Steingarten* | Chief Legal Officer and Secretary | None |
Eric P. Cola* | Senior Vice President | None |
Mercedes Katz** | Senior Vice President | None |
Joseph W. Connolly* | Chief Compliance Officer (Investment Advisory Business) | Chief Compliance Officer |
Jaynthi Gandhi††† | Chief Compliance Officer (Broker-Dealer Business) | None |
Katherine M. Scott* | Chief Risk Officer | None |
Anthony Mayo* | Chief Technology Officer | None |
Maria Georgopoulos* | Vice President – Facilities Management | None |
Stewart Rosen* | Vice President – Facilities Management | None |
Karin L. Waldmann** | Privacy Officer | None |
Charles Doumar††† | Vice President – Tax | None |
Timothy I. Barrett** | Vice President | None |
Jill Gill* | Vice President | None |
Kathleen Geis†† | Vice President | None |
Joseph R. Kane*** | Vice President – Tax | None |
Donna M. Impagliazzo** | Vice President – Compliance | None |
Carla R. Wanzer** | Vice President | None |
Claudine Orloski*** | Vice President – Tax | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
John Shea††† | Vice President – Finance | None |
Christopher A. Stallone** | Vice President | None |
Susan Verbil**** | Vice President – Finance | None |
William Verity**** | Vice President – Finance | None |
James Windels***** | Vice President | Treasurer |
Ronny Santos* | Assistant Vice President | None |
James Bitetto* | Assistant Secretary | Vice President and |
Audrey Edwards*** | Assistant Secretary | None |
Susan K. Maroni*** | Assistant Secretary | None |
Cristina Rice*** | Assistant Secretary | None |
Victor R. Siclari*** | 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 101 Barclay Street, New York 10286. |
***** | Principal business address is 2 Hanson Place, Brooklyn, New York 11217 |
† | Principal business address is 201 Columbine Street, Suite 200, Denver, CO 80206 |
†† | Principal business address is 525 William Penn Place, Pittsburgh, PA 15259 |
††† | Principal business address is 225 Liberty Street, New York, NY 10286 |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
225 Liberty Street
New York, New York 10286
2. The Bank of New York Mellon
One Mellon Bank Center
Pittsburgh, Pennsylvania 15258
3. BNY Mellon Investment Servicing (US), Inc.
4400 Computer Drive
Westborough, MA 01581
4. The Dreyfus Corporation
200 Park Avenue
New York, New York 10166
5. The Dreyfus Corporation
2 Hanson Place
Brooklyn, New York 11217
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 for 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 9th of August 2016.
Dreyfus BNY Mellon Funds, Inc.
BY: | /s/ Bradley J. Skapyak* |
Bradley J. Skapyak, 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/ Bradley J. Skapyak* | President (Principal Executive Officer) | 08/09/2016 | |||
Bradley J. Skapyak | |||||
/s/ James Windels* | Treasurer (Principal Financial | 08/09/2016 | |||
James Windels | |||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 08/09/2016 | |||
Joseph S. DiMartino | |||||
/s/ Kenneth A. Himmel* | Board Member | 08/09/2016 | |||
Kenneth A. Himmel | |||||
/s/ Stephen J. Lockwood* | Board Member | 08/09/2016 | |||
Stephen J. Lockwood | |||||
/s/ Roslyn M. Watson* | Board Member | 08/09/2016 | |||
Roslyn M. Watson | |||||
/s/ Benaree Pratt Wiley* | Board Member | 08/09/2016 | |||
Benaree Pratt Wiley | |||||
/s/ Francine J. Bovich* | Board Member | 08/09/2016 | |||
Francine J. Bovich | |||||
*BY: | /s/ James Bitetto | ||||
James Bitetto | |||||
INDEX OF EXHIBITS
Exhibits
(d)(12) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Ramius Advisors, LLC relating to Dreyfus Select Managers Long/Short Fund, dated July 28, 2016.
(e)(2) Form of Service.
(p)(1) Revised Code of Ethics adopted by the Registrant, The Dreyfus Corporation, BNY Mellon, The Boston Company Asset Management, Newton Investment Management (North America) Limited, and Standish Mellon Asset management Company LLC, which became effective November 3, 2014.
(p)(2) Code of Ethics adopted by the non-management Board Members of the Dreyfus Family of Funds.
(p)(9) Code of Ethics of Ramius Advisors, LLC, dated January 4, 2016.
