File No. 2-68671
811-03081
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. 77 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 77 [X]
(Check appropriate box or boxes.)
BNY Mellon Appreciation Fund, Inc.
(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. Exhibit (d)(2) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file a new sub-investment advisory agreement as Exhibit (d)(2) to Item 28 to the Registration Statement on Form N-1A.
Part A of Post-Effective Amendment No. 76 to the Registration Statement on Form N-1A was filed on April 26, 2022, pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein; and the Statement of Additional Information was filed on August 31, 2022, pursuant
to Rule 497e, under the Securities Act of 1933, as amended; and is incorporated by reference herein.
BNY MELLON APPRECIATION FUND, INC.
(Formerly, Dreyfus Appreciation Fund, Inc.)
(Formerly, General Aggressive Growth Fund, Inc.)
PART C OTHER INFORMATION
_________________________
Item 28. Exhibits
Other Exhibits
______________
*Filed herewith.
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 (a). Business and Other Connections of Investment Adviser
BNY Mellon Investment Adviser, Inc. (“BNYM Investment Adviser”) and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. BNYM Investment Adviser also serves as sub-investment adviser to and/or administrator of other investment companies. BNY Mellon Securities Corporation, a wholly-owned subsidiary of BNYM Investment Adviser, serves primarily as a registered broker-dealer of shares of investment companies sponsored by BNYM Investment Adviser and of other investment companies for which BNYM Investment Adviser acts as an investment adviser, sub-investment adviser or administrator.
Item 31 (b). Business and Other Connections of Sub-Investment Adviser.
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Fayez Sarofim & Co., the 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 Fayez Sarofim & Co., 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 Fayez Sarofim & Co. (SEC File No. 801-1725).
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position | Other Businesses | Position Held | Dates | |||||
Kenneth Bradle | BNY Mellon Securities Corporation++ | Director | 10/20 – Present | |||||
BNY Mellon Investment Adviser, Inc. ++ | Director | 10/20 – Present | ||||||
BNY Mellon Transfer, Inc.++ | Chairman and Director | 6/19 - Present | ||||||
David DiPetrillo | BNY Mellon Family of Funds++ | President | 1/21 - Present | |||||
BNY Mellon ETF Trust++ | President | 3/20 - Present | ||||||
BNY Mellon Investment Adviser, Inc. ++ | Director and Vice President | 2/21 - Present | ||||||
BNY Mellon Securities Corporation++ | Director and Executive Vice President | 1/21 - Present | ||||||
DTR Commodity Fund Ltd. ########## | Director | 10/21 - Present | ||||||
GRR Commodity Fund Ltd.++ | Director | 10/21 - Present |
Name and Position | Other Businesses | Position Held | Dates | |||||
Christopher O'Connor | BNY Mellon Securities Corporation++ | Executive Vice President | 6/19 – Present | |||||
Peter M. Sullivan | BNY Mellon Family of Funds++ | Chief Legal Officer | 7/21 – Present | |||||
BNY Mellon ETF Trust++ | Chief Legal Officer | 7/21 – Present | ||||||
BNY Mellon Funds Trust++ | Chief Legal Officer | 7/21 – Present | ||||||
John Squillace | BNY Mellon Securities Corporation++ | Chief Compliance Officer (Investment Advisory Business) | 6/19 – Present | |||||
Gregory Pasquale | BNY Mellon Securities Corporation++ | Chief Financial Officer | 1/21-Present | |||||
BNY Mellon Transfer, Inc. ++ | Chief Financial Officer and Treasurer | 1/21-Present | ||||||
Katherine Scott | BNY Mellon Securities Corporation++ | Chief Risk Officer | 6/19-Present | |||||
Peter Arcabascio | BNY Mellon Investment Management* | Senior Vice President | 7/06-Present | |||||
BNY Investment Strategy and Solutions Group, LLC* | Manager | 6/15- Present | ||||||
James Windels | BNY Mellon ETF Trust++ | Treasurer | 3/20 - Present | |||||
BNY Mellon Family of Funds++ | Treasurer | 11/01 - Present | ||||||
BNY Mellon Funds Trust ++ | Treasurer | 11/01 - Present | ||||||
BNY Mellon Investment Adviser, Inc.++ | Vice President | 9/20 - Present | ||||||
BNY Mellon Securities Corporation++ | Vice President | 6/19 - Present | ||||||
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 IV, LLC *** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery V, LLC *** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery XIV, LLC *** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XIX, LLC *** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XX, LLC *** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XXII, LLC *** | Assistant Treasurer | 7/13 – Present | |
BNY Alcentra Group Holdings, Inc. ††††† | Assistant Treasurer - Tax | 3/13 - Present | |
BNY Capital Funding LLC *** | Assistant Treasurer – Tax | 9/13 - Present | |
BNY Investment Strategy and Solutions Group, LLC * | Assistant Treasurer – Tax | 6/15 - Present | |
BNY Mellon Community Development Corporation ++ | Assistant Treasurer – Tax | 10/13 - Present | |
BNY Mellon Distributors Holdings Inc. # | Assistant Treasurer – Tax | 6/14 – Present | |
BNY Mellon Investments CTA, LLC * | Assistant Treasurer | 9/13 – Present | |
BNY Mellon Investment Servicing (US) Inc. + | Assistant Treasurer | 3/14 – Present | |
BNY Mellon Investment Servicing Trust Company # | Assistant Treasurer | 3/14 – Present | |
BNY Mellon Transfer, Inc.++ | Assistant Treasurer | 6/19 - 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 | |
MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/13 – Present | |
Albridge Solutions, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
Allomon Corporation † | Assistant Treasurer – Tax | 5/13 – Present | |
AP Residential Realty, Inc. †††† | Assistant Treasurer – Tax | 8/13 – Present | |
APT Holdings Corporation # | Assistant Treasurer – Tax | 11/13 – Present | |
B.I.E. Corporation + | Assistant Treasurer – Tax | 12/13 – Present | |
B.N.Y. Holdings (Delaware) Corporation # | Assistant Treasurer – Tax | 4/13 – Present | |
BNY Capital Corporation *** | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Capital Markets Holdings, Inc. *** | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Capital Resources Corporation ####### | Assistant Treasurer – Tax | 3/13 – Present | |
BNYM CSIM Funding LLC +++ | Assistant Treasurer – Tax | 7/14 – Present | |
BNY Falcon Three Holding Corp. *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Foreign Holdings, Inc. *** | Assistant Treasurer – Tax | 10/13 – Present | |
BNY Lease Equities (Cap Funding) LLC ######## | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Partners LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Leasing Edge Corporation *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Capital Markets, LLC ++ | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Clearing, LLC *** | Assistant Treasurer – Tax | 3/16 – Present | |
BNY Mellon Clearing Holding Company, LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Fixed Income Securities, LLC *** | Assistant Treasurer – Tax | 8/13 – Present | |
BNY Mellon Trust Company of Illinois ***** | Assistant Treasurer – Tax | 3/13 – Present | |
BNY Mezzanine Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine Holdings LLC ****** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine Non NY Funding | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine NY Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present | |
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 – Present | |
BNY Salvage Inc. *** | Assistant Treasurer – Tax | 3/13 – Present | |
BNYM GIS Funding I LLC *** | Assistant Treasurer – Tax | 6/13 – Present | |
BNYM GIS Funding III LLC *** | Assistant Treasurer – Tax | 6/13 – Present | |
Amherst Capital Management, LLC *** | Assistant Treasurer – Tax | 11/14 – Present | |
BNYM RECAP Holdings, LLC *** | Assistant Treasurer – Tax | 11/14 – Present | |
BNY-N.J. I Corp. *** | Assistant Treasurer – Tax | 4/13 – Present | |
BNY-N.J. II Corp. *** | Assistant Treasurer – Tax | 4/13 – Present | |
BNY Mellon Insurance Agency, Inc. ++ | Assistant Treasurer – Tax | 6/19 - Present | |
BNY Mellon Securities Corporation++ | Vice President – Tax | 6/19 - Present | |
Boston Safe Deposit Finance Company, Inc. * | Assistant Treasurer – Tax | 7/13 – Present | |
CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer – Tax | 12/13 – Present | |
Colson Services Corp. | Assistant Treasurer – Tax | 3/14 - Present | |
CenterSquare Investment Management LLC+++ | Assistant Treasurer – Tax | 1/18 – Present | |
Cutwater Asset Management Corp. ++++ | Assistant Treasurer – Tax | 1/15 - Present | |
Cutwater Holdings LLC ++++ | Assistant Treasurer – Tax | 1//15 - Present | |
Cutwater Investor Services Corp. ++++ | Assistant Treasurer - Tax | 1/15 - Present | |
EACM Advisors LLC | Assistant Treasurer – Tax | 1/14 - Present | |
Eagle Access LLC | Assistant Treasurer – Tax | 1/14 - Present | |
Eagle Investment Systems LLC | Assistant Treasurer – Tax | 1/14 - Present | |
ECM DE. LLC *** | Assistant Treasurer – Tax | 1/14 - Present | |
HedgeMark International, LLC ## | Assistant Treasurer – Tax | 5/14 – Present | |
iNautix (USA) LLC ### | Assistant Treasurer – Tax | 11/13 – Present | |
IRE-1, Inc. †† | Assistant Treasurer – Tax | 7/13 – Present | |
Island Waterworks, Inc. †† | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
JRHC 1998A LLC #### | Assistant Treasurer – Tax | 12/13 – Present | |
Lockwood Advisors, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present | |
Lockwood Insurance, Inc. ###### | Assistant Treasurer – Tax | 8/14 - Present | |
Lockwood Solutions, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present | |
Lease Equities (Texas) Corporation ##### | Assistant Treasurer – Tax | 7/13 – Present | |
Madison Pershing LLC ### | Assistant Treasurer – Tax | 6/13 – Present | |
MAM (MA) Holding Trust * | Assistant Treasurer – Tax | 8/13 – Present | |
MBC Investment Corporation # | Assistant Treasurer – Tax | 11/13 – Present | |
MCDI (Holdings) LLC *** | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Holdings LLC++ | Assistant Treasurer | 2/15 - Present | |
Mellon EFT Services†††† | Assistant Treasurer - Tax | 10/15 - Present | |
MELDEL Leasing Corporation Number 2, Inc. # | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Financial Services Corporation #1+ | Assistant Treasurer – Tax | 7/13 – Present | |
Mellon Financial Services Corporation #4 + | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Funding Corporation + | Assistant Treasurer – Tax | 3/14 - Present | |
Mellon Global Investing Corp. + | Assistant Treasurer – Tax | 5/14 - Present | |
Mellon Investments Corporation* | Assistant Treasurer – Tax | 1/19- Present | |
Mellon Investor Services Holdings LLC | Assistant Treasurer – Tax | 8/16 – Present | |
Mellon Leasing Corporation+ | Assistant Treasurer – Tax | 7/13 – Present | |
Mellon Life Insurance Company+ | Assistant Treasurer – Tax | 10/13 – Present | |
Mellon Overseas Investment Corporation *** | Assistant Treasurer – Tax | 12/13 - Present | |
Mellon Properties Company **** | Assistant Treasurer – Tax | 8/13 – Present | |
National Residential Assets Corp.*** | Assistant Treasurer – Tax | 4/13 – Present | |
Newton Capital Management LLC.*** | Assistant Treasurer – Tax | 8/14 - Present | |
NY CRE Asset Holdings, LLC. *** | Assistant Treasurer – Tax | 1/14 - Present | |
NY CRE Asset Holdings II, LLC. *** | Assistant Treasurer – Tax | 1/14 - Present |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Pershing Investments LLC *** | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing LLC ### | Assistant Treasurer – Tax | 7/13 – 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 | |
MBNA Institutional PA Services LLC + | Treasurer | 7/13 – Present | |
MBNA PW PA Services LLC + | Treasurer | 7/13 – Present | |
Stanwich Insurance Agency, Inc. *** | Treasurer | 12/13 – Present | |
BNY Aurora Holding Corp. *** | Vice President | 11/13 – Present | |
Agency Brokerage Holding LLC*** | Vice President – Tax | 6/13 – Present | |
Stephen Hagan | None | N/A | N/A |
Bushra Mannan | J.P. Morgan Asset Management | Executive Director | 9/13 – 11/21 |
Robert Pomeroy | BNY Mellon Asset Management^^^ | Vice President -Senior Performance Analyst | 1/18– Present |
John Tobin | None | N/A | N/A |
Name and Position | Other Businesses | Position Held | Dates |
Christine F. Algozzini | The Bank of New York Mellon++ | Vice President | 2/17 - Present |
Anthony Mayo | BNY Mellon Securities Corporation++ | Chief Technology Officer | 6/19 – Present |
Vivian Herrera | BNY Mellon Insurance Agency, Inc. ++ | Vice President – Tax | 5/21 – Present |
BNY Mellon Securities Corporation++ | Vice President – Tax | 5/21 – Present | |
Asset Recovery II, LLC*** | Assistant Treasurer | 5/21 – Present | |
Asset Recovery IV, LLC *** | Assistant Treasurer | 5/21 – Present | |
Asset Recovery V, LLC *** | Assistant Treasurer | 5/21 – Present | |
Asset Recovery XIV, LLC *** | Assistant Treasurer | 5/21 – Present | |
Asset Recovery XIX, LLC *** | Assistant Treasurer | 5/21 – Present | |
Asset Recovery XX, LLC *** | Assistant Treasurer | 5/21 – Present | |
Asset Recovery XXII, LLC *** | Assistant Treasurer | 5/21 – Present | |
BNY Mellon Investments CTA, LLC * | Assistant Treasurer | 5/21 – Present | |
BNY Mellon Transfer, Inc.++ | Assistant Treasurer | 5/21 – Present | |
BNY Mellon Trust of Delaware # | Assistant Treasurer | 5/21 – Present | |
Mellon Hedge Advisors, LLC * | Assistant Treasurer | 5/21 – Present | |
Mellon Holdings LLC ++ | Assistant Treasurer | 5/21 – Present | |
MUNB Loan Holdings, LLC *** | Assistant Treasurer | 5/21 – Present | |
Albridge Solutions, Inc. ††† | Assistant Treasurer -Tax | 5/21 – Present | |
Alcentra NY, LLC ++ | Assistant Treasurer -Tax | 5/21 – Present | |
Alcentra US, Inc. ††† | Assistant Treasurer -Tax | 5/21 – Present | |
Allomon Corporation † | Assistant Treasurer -Tax | 5/21 – Present | |
Alternative Holdings I, LLC *** | Assistant Treasurer -Tax | 5/21 – Present | |
Alternative Holdings II, LLC *** | Assistant Treasurer -Tax | 5/21 – Present | |
AP Residential Realty, Inc. †††† | Assistant Treasurer -Tax | 5/21 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
APT Holdings Corporation # | Assistant Treasurer -Tax | 5/21 – Present | |
B.N.Y. Holdings (Delaware) Corporation # | Assistant Treasurer -Tax | 5/21 – Present | |
BNY Administrative Services LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Alcentra Group Holdings, | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Capital Corporation *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Capital Funding LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Capital Markets Holdings, Inc. *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Capital Resources | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Falcon Three Holding Corp. *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Foreign Holdings, Inc. *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Investment Strategy and Solutions Group LLC * | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Investment Management Services LLC # | Assistant Treasurer –Tax | 5/21 – Present | |
BNY ITC Leasing, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Lease Equities (Cap Funding) LLC ######## | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Lease Partners LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Leasing Edge Corporation *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Alternative Investments Holdings LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Capital Markets, | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Clearing Holding Company, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Clearing, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Community Development Corporation ++ | Assistant Treasurer –Tax | 5/21 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Distributors Holdings | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Fixed Income Securities, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Investment Servicing (US) Inc. # | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Investment Servicing Trust Company # | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Performance & Risk Analytics, Inc. (US) | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Performance & Risk Analytics, LLC + | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Transition Management Advisors, LLC ** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Trust Company of | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mezzanine Funding LLC ****** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mezzanine Holdings LLC ****** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mezzanine Non NY Funding | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mezzanine NY Funding 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 | 5/21 – Present | |
BNY Recap I, LLC # | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Salvage Inc. *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Wings, Inc. †† | Assistant Treasurer –Tax | 5/21 – Present | |
BNY XYZ Holdings LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNYM CSIM Funding LLC +++ | Assistant Treasurer –Tax | 5/21 – Present | |
BNYM GIS Funding I LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNYM GIS Funding III LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
Amherst Capital Management LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
BNYM RECAP Holdings, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY-N.J. I Corp. *** | Assistant Treasurer –Tax | 5/21 – Present | |
BNY-N.J. II Corp. *** | Assistant Treasurer –Tax | 5/21 – Present | |
Boston Safe Deposit Finance Company, Inc. * | Assistant Treasurer –Tax | 5/21 – Present | |
CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer –Tax | 5/21 – Present | |
Coates Holding LLC# | Assistant Treasurer – Tax | 5/21 – Present | |
Colson Services Corp. | Assistant Treasurer –Tax | 5/21 – Present | |
CenterSquare Investment Management LLC+++ | Assistant Treasurer –Tax | 5/21 – Present | |
Cutwater Asset Management Corp. ++++ | Assistant Treasurer – Tax | 5/21 – Present | |
Cutwater Holdings LLC ++++ | Assistant Treasurer – Tax | 5/21 – Present | |
Cutwater Investor Services Corp. ++++ | Assistant Treasurer - Tax | 5/21 – Present | |
EACM Advisors LLC | Assistant Treasurer –Tax | 5/21 – Present | |
Eagle Access LLC | Assistant Treasurer –Tax | 5/21 – Present | |
Eagle Investment Systems LLC | Assistant Treasurer –Tax | 5/21 – Present | |
ECM DE, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
HedgeMark International, LLC ## | Assistant Treasurer –Tax | 5/21 – Present | |
iNautix (USA) LLC ### | Assistant Treasurer –Tax | 5/21 – Present | |
IRE-1, Inc. †† | Assistant Treasurer –Tax | 5/21 – Present | |
Island Waterworks, Inc. †† | Assistant Treasurer –Tax | 5/21 – Present | |
JRHC 1998A LLC #### | Assistant Treasurer –Tax | 5/21 – Present | |
Lease Equities (Texas) Corporation##### | Assistant Treasurer –Tax | 5/21 – Present | |
Lockwood Advisors, Inc. ###### | Assistant Treasurer –Tax | 5/21 – Present | |
Lockwood Insurance Inc. ###### | Assistant Treasurer –Tax | 5/21 – Present | |
Lockwood Solutions, Inc. ###### | Assistant Treasurer –Tax | 5/21 – Present | |
Madison Pershing LLC ### | Assistant Treasurer –Tax | 5/21 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
MAM (MA) Holding Trust * | Assistant Treasurer –Tax | 5/21 – Present | |
MBC Investment Corporation # | Assistant Treasurer –Tax | 5/21 – Present | |
MBNA Institutional PA Services | Assistant Treasurer –Tax | 5/21 – Present | |
MBNA PW PA Services LLC + | Assistant Treasurer –Tax | 5/21 – Present | |
MCDI (Holdings) LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
MELDEL Leasing Corporation Number 2, Inc. # | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon EFT Services | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Financial Services Corporation #1 + | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Financial Services Corporation #4 + | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Funding Corporation + | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Global Investing Corp. + | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon International Leasing | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Investments Corporation * | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Investor Services Holdings LLC | Assistant Treasurer –Tax | 5/21 – Present | |
++++++ | |||
Mellon Leasing Corporation + | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Life Insurance Company + | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Overseas Investment Corporation *** | Assistant Treasurer –Tax | 5/21 – Present | |
Mellon Properties Company **** | Assistant Treasurer –Tax | 5/21 – Present | |
National Residential Assets Corp. *** | Assistant Treasurer –Tax | 5/21 – Present | |
Newton Capital Management LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
NY CRE Asset Holdings II, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
NY CRE Asset Holdings, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
One Wall Street Corporation *** | Assistant Treasurer –Tax | 5/21 – Present | |
Pareto New York LLC ++ | Assistant Treasurer –Tax | 5/21 – Present | |
PAS Holdings LLC *** | Assistant Treasurer –Tax | 5/21 – Present |
Name and Position | Other Businesses | Position Held | Dates |
Pershing Advisor Solutions LLC ### | Assistant Treasurer –Tax | 5/21 – Present | |
Pershing Group LLC ### | Assistant Treasurer –Tax | 5/21 – Present | |
Pershing Investments LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
Pershing LLC ### | Assistant Treasurer –Tax | 5/21 – Present | |
PFS Holdings, LLC *** | Assistant Treasurer –Tax | 5/21 – Present | |
Stanwich Insurance Agency, Inc. *** | Assistant Treasurer –Tax | 5/21 – Present | |
TBC Securities Co., Inc. * | Assistant Treasurer –Tax | 5/21 – Present | |
TBCAM, LLC * | Assistant Treasurer –Tax | 5/21 – Present | |
Technology Services Group, | Assistant Treasurer –Tax | 5/21 – Present | |
Tennessee Processing Center LLC ++ | Assistant Treasurer –Tax | 5/21 – Present | |
The Bank of New York Consumer Leasing Corporation *** | Assistant Treasurer –Tax | 5/21 – Present | |
The Bank of New York Mellon Trust Company, National Association + | Assistant Treasurer | 5/21 – Present | |
USPLP, Inc. ******* | Assistant Treasurer –Tax | 5/21 – Present | |
BNY Mellon Investment Management Holdings LLC # | Assistant Vice President –Tax | 5/21 – Present | |
BNY Aurora Holding Corp. *** | Vice President | 5/21 – Present | |
Agency Brokerage Holding LLC *** | Vice President –Tax | 5/21 – Present | |
Andrew Provencher | BNY Mellon Securities Corporation | Director Executive Vice President | 10/20 – Present |
James Bitetto | BNY Mellon Family of Funds++ | Vice President and Secretary | 6/19 - Present |
BNY Mellon ETF Trust++ | Vice President and Assistant Secretary | 3/20 - Present | |
BNY Mellon Funds Trust++ | Vice President and Secretary | 2/18 – Present | |
BNY Mellon Insurance Agency, Inc. ++ | Secretary | 6/19 - Present | |
BNY Mellon Securities Corporation++ | Assistant Secretary | 6/19 - Present | |
* | The address of the business so indicated is One Boston Place, Boston, MA, 02108. |
** | The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, CA 94105. |
*** | The address of the business so indicated is One Wall Street, New York, NY 10286. |
**** | The address of the business so indicated is 3601 N. I-10 Service Road, Suite 102, Metairie, LA 70002. |
***** | The address of the business so indicated is 2 North LaSalle Street, Suite 1020, Chicago, IL, 60602 |
****** | The address of the business so indicated is 445 Park Avenue, 12th Floor, New York, NY, 10022. |
******* | The address of the business so indicated is 225 Liberty Street, New York, NY 10286. |
******** | The address of the business so indicated is Grand Canal House, 1 Upper Grand Canal Street, Dublin, 4 Ireland. |
^ | The address of the business so indicated is BNY Mellon Centre 160 Queen Victoria Street, London EC4V 4LA. |
^^ | The address of the business so indicated is 87 Mary Street, George Town, KY1-9005, Cayman Islands. |
^^^ | The address of the business so indicated is 201 Washington Street, Boston, Massachusetts 02108. |
^^^^ | The address of the business so indicated is 2-4, rue Eugène Ruppert, L-2453 Luxembourg, Luxembourg. |
^^^^^ | The address of the business so indicated is One Dockland Central, Guild Street, IFSC, Dublin 1. |
^^^^^^ | The address of the business so indicated is 33 Sir John Rogersons Quay, Dublin 2. |
^^^^^^^ | The address of the business so indicated is Ogier House, The Esplanade, St Helier, Jersey, JE4 9WG. |
^^^^^^^^ | The address of the business so indicated is Room 6053, Level 6, 21st Century Building, No.210, Century Avenue, China, (Shanghai) Pilot Free Trade Zone. |
^^^^^^^^^ | The address of the business so indicated is 6th Floor, 2 Grand Canal Square, Dublin 2, Ireland. |
^^^^^^^^^^ | The address of the business so indicated is 32 Molesworth Street, Dublin 2, Ireland. |
+ | The address of the business so indicated is One Mellon Bank Center, Pittsburgh, PA 15258. |
++ | The address of the business so indicated is 240 Greenwich Street, New York, NY 10286 |
+++ | The address of the business so indicated is 630 West Germantown Pike, Suite 300, Plymouth Meeting, PA, 19462. |
++++ | The address of the business so indicated is 113 King Street, Armonk, NY 10504. |
+++++ | The address of the business so indicated is 320 Bay Street, Toronto, ON M5H 4A6. |
++++++ | The address of the business so indicated is 480 Washington Blvd, Jersey City, NJ 07310. |
+++++++ | The address of the business so indicated is Hartpiece, Lamarsh, Bures, Suffolk, CO8 5EP.. |
† | The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259. |
†† | The address of the business so indicated is 100 White Clay Center, Newark, DE 19711. |
††† | The address of the business so indicated is 1633 Broadway, New York, NY, 10019. |
†††† | The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA, 90024. |
††††† | The address of the business so indicated is 1735 Market Street, Philadelphia, PA, 19103. |
†††††† | The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD. |
††††††† | The address of the business so indicated is 114 Queen Victoria Street, London, EC4V 4BJ. |
| The address of the business so indicated is 4 New York Plaza, New York, NY, 10004. |
| The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT, 06854-1940. |
| The address of the business so indicated is One Wells Avenue, Newton, MA, 02459. |
| The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT, 06107. |
| The address of the business so indicated is 1313 Broadway Plaza, Tacoma, WA, 98402. |
| The address of the business so indicated is David M. Breen & Co. Suite 4, Wallace House, Maritana Gate, Canada Street, Waterford. |
| The address of the business so indicated is 277 Park Ave, New York, New York 10286. |
# | The address of the business so indicated is 301 Bellevue Parkway, Wilmington, DE, 19809. |
## | The address of the business so indicated is 780, Third Avenue, 44th Floor, New York, NY, 10017. |
### | The address of the business so indicated is One Pershing Plaza, Jersey City, NJ, 07399. |
#### | The address of the business so indicated is 601 Travis Street, 17th Floor, Houston, TX, 77002. |
##### | The address of the business so indicated is 1201 Louisiana, Suite 3160, Houston, TX, 77002. |
###### | The address of the business so indicated is 760 Moore Road, King of Prussia, PA, 19406-1212. |
####### | The address of the business so indicated is 8400 E. Prentice Ave, Greenwood Village, CO, 80111. |
######## | The address of the business so indicated is 1290 Avenue of the Americas, New York, NY, 10104. |
######### | The address of the business so indicated is 6 C, route de Trèves, L-2633 Senningerberg, Luxembourg. |
########## | The address of the business so indicated is P.O. Box 309, Ugland House, George Town, Cayman Islands, KY1-1104 | |||||
Item 32. Principal Underwriters | ||||||
(a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor: | ||||||
1. | BNY Mellon Absolute Insight Funds, Inc. | |||||
2. | BNY Mellon Advantage Funds, Inc. | |||||
3. | BNY Mellon Alcentra Opportunistic Global Credit Income Fund | |||||
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 Investment Funds I | |||||
10. | BNY Mellon Investment Funds II, Inc. | |||||
11. | BNY Mellon Investment Funds III | |||||
12. | BNY Mellon Investment Funds IV, Inc. | |||||
13. | BNY Mellon Investment Funds V, Inc. | |||||
14. | BNY Mellon Investment Funds VI, Inc. | |||||
15. | BNY Mellon Investment Funds VII, Inc. | |||||
16. | BNY Mellon Investment Portfolios | |||||
17. | BNY Mellon Large Cap Securities Fund, Inc. | |||||
18. | BNY Mellon Midcap Index Fund, Inc. | |||||
19. | BNY Mellon Municipal Bond Funds, Inc. | |||||
20. | BNY Mellon Municipal Funds, Inc. | |||||
21. | BNY Mellon New Jersey Municipal Bond Fund, Inc. | |||||
22. | BNY Mellon New York AMT-Free Municipal Bond Fund | |||||
23. | BNY Mellon New York Tax Exempt Bond Fund, Inc. | |||||
24. | BNY Mellon Opportunistic Municipal Securities Fund | |||||
25. | BNY Mellon Opportunity Funds |
26. | BNY Mellon Research Growth Fund, Inc. |
27. | BNY Mellon Short Term Municipal Bond Fund |
28. | BNY Mellon State Municipal Bond Funds |
29. | BNY Mellon Stock Funds |
30. | BNY Mellon Stock Index Fund, Inc. |
31. | BNY Mellon Strategic Funds, Inc. |
32. | BNY Mellon Sustainable U.S. Equity Fund, Inc. |
33. | BNY Mellon Sustainable U.S. Equity Portfolio, Inc. |
34. | BNY Mellon U.S. Mortgage Fund, Inc. |
35. | BNY Mellon Variable Investment Fund |
36. | BNY Mellon Worldwide Growth Fund, Inc. |
37. | CitizensSelect Funds |
38. | Dreyfus Cash Management |
39. | Dreyfus Government Cash Management Funds |
40. | Dreyfus Institutional Liquidity Funds |
41. | Dreyfus Institutional Preferred Money Market Funds |
42. | Dreyfus Institutional Reserves Funds |
43. | Dreyfus Tax Exempt Cash Management Funds |
44. | Dreyfus Treasury Obligations Cash Management |
45. | Dreyfus Treasury Securities Cash Management |
46. | General Money Market Fund, Inc. |
47. | General Municipal Money Market Funds, Inc. |
48. | General New York Municipal Money Market Fund |
(b) | ||
Name 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 |
Catherine Keating* | 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 |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Offices with Registrant |
John McLean**** | Chief Legal Officer and Assistant 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 |
Caridad M. Carosella** | Vice President – Compliance/Anti-Money Laundering Officer | Anti-Money Laundering Officer |
Marianne Thomas+ | Vice President – Human Resources | None |
Charles Doumar**** | Vice President – Tax | None |
Vivian Herrera*** | Vice President – Tax | None |
Paul V. Mazziotti** | Anti-Money Laundering Officer | None |
Alice Helscher*** | Secretary | None |
James Bitetto**** | Assistant Secretary | Vice President and |
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 160 Queen Victoria Street, London, England, Greater London EC4V4LA |
+ | Principal business address is 19 Vreeland Road Florham Park, NJ 07932 |
++ | Principal business address is 1 Boston Place, Boston, MA 02108-4407 |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
240 Greenwich Street
New York, New York 10286
2. BNY Mellon Investment Servicing (US), Inc.
4400 Computer Drive
Westborough, Massachusetts 01581
3. BNY Mellon Investment Adviser, Inc.
240 Greenwich Street
New York, NY 10286
4. BNY Mellon Investment Adviser, Inc.
200 Park Avenue
New York, New York 10166
Item 34. Management Services
Not Applicable
Item 35. Undertakings
None
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant BNY Mellon Appreciation Fund, Inc. 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 2nd day of November 2022.
BNY Mellon Appreciation Fund, Inc.
BY: | /s/ James Bitetto |
James Bitetto, 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) | 11/2/2022 | ||
David DiPetrillo | ||||
/s/ James Windels* | Treasurer (Principal Financial | 11/2/2022 | ||
James Windels | ||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 11/2/2022 | ||
Joseph S. DiMartino | ||||
/s/ Francine J. Bovich* | Board Member | 11/2/2022 | ||
Francine J. Bovich | ||||
/s/ Peggy C. Davis* | Board Member | 11/2/2022 | ||
Peggy C. Davis | ||||
/s/ Nathan Leventhal* | Board Member | 11/2/2022 | ||
Nathan Leventhal | ||||
/s/ Robin A. Melvin* | Board Member | 11/2/2022 | ||
Robin A. Melvin |
*BY: | /s/ James Bitetto |
James Bitetto Attorney-in-Fact |
INDEX OF EXHIBITS
Exhibits
(d)(2) | Sub-Investment Advisory Agreement, between BNY Mellon Investment Adviser, Inc. and Fayez Sarofim & Co., dated October 25, 2022. |