Washington, D.C. 20549
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
1. Facing Sheet of the Registration Statement.
2. Part C to the Registration Statement (including signature page).
3. Exhibit (n)(1) to Item 28 to the Registration Statement.
4. Exhibit (n)(2) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file Rule 18f-3 Plans as Exhibit (n)(1) and (n)(2) to Item 28 to this Registration Statement on Form N-1A.
Part A of the Registration Statement was filed on April 27, 2015, as a part of Post-Effective Amendment No. 96 to the Registration Statement, and is incorporated by reference herein.
Part B of the Registration Statement was filed on December 31, 2015, pursuant to Rule 497(e) under the Securities Act of 1933, and is incorporated by reference herein.
Item 28. | Exhibits |
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(a) | (1) | Articles of Incorporation of Founders Funds, Inc., dated June 19, 1987.1 |
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| (2) | Articles Supplementary to the Articles of Incorporation, filed November 25, 1987.1 |
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| (3) | Articles Supplementary to the Articles of Incorporation, filed February 25, 1988.1 |
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| (4) | Articles Supplementary to the Articles of Incorporation, filed December 12, 1989.1 |
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| (5) | Articles Supplementary to the Articles of Incorporation, filed May 3, 1990.1 |
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| (6) | Articles Supplementary to the Articles of Incorporation, filed September 22, 1993.1 |
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| (7) | Articles Supplementary to the Articles of Incorporation, filed December 27, 1995.1 |
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| (8) | Articles Supplementary to the Articles of Incorporation, filed May 20, 1996.2 |
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| (9) | Articles Supplementary to the Articles of Incorporation, filed October 21, 1996.2 |
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| (10) | Articles Supplementary to the Articles of Incorporation, filed April 9, 1997.3 |
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| (11) | Articles of Amendment to the Articles of Incorporation, filed April 27, 1999.4 |
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| (12) | Articles Supplementary to the Articles of Incorporation, filed October 25, 1999.5 |
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| (13) | Articles Supplementary to the Articles of Incorporation, filed December 29, 1999.5 |
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| (14) | Articles of Amendment to the Articles of Incorporation, filed December 29, 1999.5 |
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| (15) | Articles of Amendment to the Articles of Incorporation, effective December 22, 2004.8 |
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| (16) | Articles Supplementary to the Articles of Incorporation, filed November 30, 2006.9 |
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| (17) | Articles of Amendment to the Articles of Incorporation, effective June 1, 2007.10 |
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| (18) | Articles Supplementary to the Articles of Incorporation, effective June 1, 2007.10 |
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| (19) | Articles Supplementary to the Articles of Incorporation, effective August 20, 2008.11 |
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| (20) | Articles of Amendment to the Articles of Incorporation, effective December 1, 2008.11 |
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(b) | | By-Laws of Dreyfus Funds, Inc. (formerly known as Dreyfus Founders Funds, Inc.), as amended July 1, 2011.14 |
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(c) | | Provisions defining the rights of holders of securities are contained in Article Fifth of the Registrant's Articles of Incorporation, as amended, the Articles Supplementary to the Articles of Incorporation filed October 25, 1999, and Articles II, IV, VII and IX of the Registrant's Bylaws. |
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(d) | | Investment Advisory Agreement between Dreyfus Funds, Inc. and The Dreyfus Corporation, dated September 1, 2009.12 |
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(e) | (1) | Form of Underwriting Agreement between Dreyfus Funds, Inc. and MBSC Securities Corporation (formerly known as Dreyfus Services Corporation), dated March 22, 2000, amended October 2009.12 |
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| (2) | Form of Distribution and Shareholder Support Agreement for Dreyfus Funds, Inc. - Class F Shares.10 |
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| (3) | Amended and Restated Distribution Agreement dated October 1, 2010.13 |
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| (4) | Amended Exhibit A (revised as of June 18, 2013) to Amended and Restated Distribution Agreement dated October 1, 2010 (relating to Dreyfus Mid-Cap Growth Fund).16 |
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| (5) | Form of Broker-Dealer Agreement for Dreyfus Funds, Inc.11 |
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| (6) | Form of Bank Affiliated Broker-Dealer Agreement for Dreyfus Funds, Inc.7 |
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| (7) | Form of Bank Agreement for Dreyfus Funds, Inc.11 |
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| (8) | Form of Supplement to Service Agreements dated October 1, 2006.9 |
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| (9) | Form of Supplement to Service Agreements dated April 16, 2007.9 |
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| (10) | Form of Supplemental Agreement to Broker-Dealer Agreements and Bank Agreements for Dreyfus Funds, Inc.10 |
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(f) | | Not applicable. |
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(g) | (1) | Custody Agreement between Dreyfus Funds, Inc. and The Bank of New York Mellon, dated January 1, 2011.13 |
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| (2) | Amendment to Custody Agreement between Dreyfus Funds, Inc. and The Bank of New York Mellon, dated October 1, 2013.16 |
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(h) | (1) | Transfer Agency Agreement between the registrant and Dreyfus Transfer, Inc., dated May 29, 2012.15 |
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| (2) | Amended and Restated Shareholder Services Agreement between Dreyfus Funds, Inc. and MBSC Securities Corporation, dated September 1, 2009.12 |
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| (3) | Amended and Restated Fund Accounting and Administrative Services Agreement between Dreyfus Funds, Inc. and The Dreyfus Corporation, dated August 20, 2008.11 |
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| (4) | Shareholder Services Plan, dated December 31, 1999.4 |
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(i) | (1) | Opinion and consent of Moye, Giles, O'Keefe, Vermeire & Gorrell.4 |
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| (2) | Opinion and consent of Dreyfus Funds Inc.'s counsel (relating to Dreyfus Mid-Cap Growth Fund).17 |
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(j) | | Consent of Independent Registered Public Accounting Firm.17 |
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(k) | | Not applicable |
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(l) | | Investment letters from MBC Investment Corporation, dated December 30, 1999.6 |
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(m) | (1) | Amended and Restated Dreyfus Funds, Inc. Rule 12b-1 Distribution Plan (For Class F shares only), dated December 31, 1999 and amended August 19, 2009.12 |
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| (2) | Dreyfus Funds, Inc. Distribution Plan for Classes B and C, dated December 31, 1999 and amended August 19, 2009.12 |
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(n) | (1) | Dreyfus Funds, Inc. Rule 18f-3 Plan, as revised November 13, 2015.18 |
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| (2) | Dreyfus Funds, Inc. Rule 18f-3 Plan, effective as of February 1, 2016.18 |
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(p) | (1) | Code of Ethics for the Independent Directors of Dreyfus Funds, Inc., effective March 31, 2010.12 |
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| (2) | Revised Code of Ethics adopted by the Registrant dated May 29, 2012.15 |
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| (3) | Revised Code of Ethics adopted by The Bank of New York Mellon Corporation ("BNY Mellon"), effective November 3, 2014.17 |
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Other Exhibits |
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| (a) | Power of Attorney of Bradley J. Skapyak, James Windels and Trustees, dated February 25, 2015, effective April 1, 2015.17 |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
J. Charles Cardona President and Director | MBSC Securities Corporation++ | Director Executive Vice President | 6/07 – Present 6/07 – 3/15 |
| | | |
| | Chairman | 2/13 - Present |
| | | |
| BNY Mellon Liquidity Funds plc+ | Director | 4/06 - Present |
| | | |
Diane P. Durnin Vice Chair and Director | MBSC Securities Corporation++ | Executive Vice President | 3/15 - Present |
| | | |
Bradley J. Skapyak Chief Operating Officer and Director | 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 Chief Compliance Officer | 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 Chief Administrative Officer | 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 Mellon Corporation ++ | 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 |
| | | |
Kim Mustin Executive Vice President – North American Distribution | MBSC Securities Corporation++ | Chief Executive Officer | 3/15 - Present |
| MBSC Securities Corporation++ | Director | 10/14 - Present |
| | | |
| MBSC Securities Corporation++ | Executive Vice President | 10/14 - 3/15 |
| | | |
| BNY Mellon Investments CTA, LLC* | Manager | 3/15 - Present |
| | | |
| BNY Mellon Investments CTA, LLC* | President | 3/15 - Present |
| | | |
Charles Doumar Vice President – Tax | 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 |
| | | |
| 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 |
| | | |
| 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 |
| | | |
| 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 |
| | | |
| 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 LLC ****** | 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 |
| | | |
| 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 |
| | | |
| 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 |
| | | |
| 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 |
| | | |
| 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 |
| | | |
| 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 |
| | | |
| Stanwich Insurance Agency, Inc. *** | Treasurer | 12/13 – 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 |
| | | |
| 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 |
| | | |
| 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 Vice President – Human Resources | 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 Senior Vice President | 2/14 – Present 2/08 – 2/14 |
| | | |
Anthony Mayo Vice President – Information Systems | MBSC Securities Corporation++ | Chief Technology Officer | 4/14 – Present |
| | | |
| | | |
Kathleen Geis Vice President | 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 - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Investment Management Services LLC # | Vice President - Real Estate | 10/11 - Present |
| | | |
| BNY Mellon Investment Servicing (US) Inc. + | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Performance & Risk Analytics, LLC + | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Trust Company of Illinois ***** | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Trust of Delaware# | Vice President - Real Estate | 7/11 - Present |
| | | |
| CenterSquare Investment Management Holdings, Inc. +++ | Vice President - Real Estate | 10/12 – Present |
| | | |
| Eagle Investment Systems LLC ^^^^ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Ivy Asset Management LLC + | Vice President - Real Estate | 7/11 – Present |
| | | |
| MBSC Securities Corporation ++ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Mellon Capital Management Corporation** | Vice President - Real Estate | 7/11 – Present |
| | | |
| Mellon Financial Services Corporation #1+ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Mellon Holdings LLC++ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Pareto New York LLC ++ | Vice President - Real Estate | 7/11 – Present |
| | | |
| SourceNet Solutions, Inc. + | Vice President - Real Estate | 7/11 – 5/13 |
| | | |
| Technology Services Group, Inc. ^^^^^ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Tennessee Processing Center LLC ^^^^^ | Vice President - Real Estate | 7/11 - Present |
| | | |
| The Bank of New York Mellon Trust Company, National Association+ | Vice President - Real Estate | 7/11 - Present |
| | | |
| Alcentra US, Inc. †††† | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Capital Markets LLC^^^^^ | Vice President - Real Estate | 7/11 - Present |
| | | |
| Pershing LLC ### | Vice President - Real Estate | 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 Vice President – Tax | 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 |
| | | |
| 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 |
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| 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 |
| | | |
| 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 |
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| APT Holdings Corporation # | Assistant Treasurer -Tax | 12/11 – Present |
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| 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, Inc. †††††† | Assistant Treasurer –Tax | 3/13 – Present |
| | | |
| BNY Capital Corporation *** | Assistant Treasurer –Tax | 11/11 – Present |
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| BNY Capital Funding LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Capital Markets Holdings, Inc. *** | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| BNY Capital Resources Corporation ####### | Assistant Treasurer –Tax | 7/11 – Present |
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| BNY Cargo Holdings LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
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| 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 |
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| BNY Housing II LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Investment Strategy and Solutions Group LLC * | Assistant Treasurer –Tax | 6/15 – Present |
| | | |
| BNY Investment Management Services LLC # | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| BNY ITC Leasing, LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
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| 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, LLC ^^^^^ | 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 Inc. # | 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 |
| | | |
| 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 Illinois ***** | 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 LLC ****** | 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 |
| | | |
| 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 |
| | | |
| 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 LLC + | 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 Corporation ††††† | Assistant Treasurer –Tax | 2/11 – Present |
| | | |
| Mellon Financial Services Corporation #1 + | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| Mellon Financial Services Corporation #4 + | Assistant Treasurer –Tax | 12/11 – Present |
| | | |
| Mellon Funding Corporation + | Assistant Treasurer –Tax | 12/11 – Present |
| | | |
| Mellon Global Investing Corp. + | Assistant Treasurer –Tax | 5/11 – Present |
| | | |
| Mellon International Leasing Company # | 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 |
| | | |
| 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, Inc. ^^^^^ | 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 Secretary | 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 |
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.