BNY Mellon Global Stock Fund - Class I (DGLRX)
Filed: 14 Dec 17, 12:00am
File No.2-88816
811-03940
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. 137 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 137 [X]
(Check appropriate box or boxes.)
Strategic 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. Exhibit (n) to Item 28 of the Registration Statement.
This Post-Effective Amendment is being filed solely to file a revised Rule 18f-3 plan, amended as of December 15, 2017, as Exhibit (n) to Item 28 to this Registration Statement on Form N-1A.
With respect to Global Stock Fund, International Stock Fund, Dreyfus U. S. Equity Fund and Dreyfus Select Managers Small Cap Value Fund, Part A of Post-Effective Amendment No. 129 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 129") was filed on March 27, 2017 pursuant to 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
With respect to Dreyfus Active MidCap Fund, Part A of Post-Effective Amendment No. 133 to the Registration Statement on Form N-1A was filed on April 26, 2017 pursuant to 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
With respect to Dreyfus Select Managers Small Cap Growth Fund, Part A of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A was filed on September 26, 2017 pursuant to 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
With respect to Class T prospectuses for Dreyfus Active MidCap Fund, Dreyfus Select Managers Small Cap Growth Fund, Dreyfus Select Managers Small Cap Value Fund, Global Stock Fund, International Stock Fund and Dreyfus U. S. Equity Fund, Part A of Post-Effective Amendment No. 129 is incorporated by reference herein; and
Part B for the Registrant was filed on November 29, 2017 pursuant to Rule 497(e) under the Securities Act of 1933, as amended, and is incorporated by reference herein.
Strategic Funds, Inc.
PART C. OTHER INFORMATION
Item 28. Exhibits.
(a)(1) Registrant's Articles of Incorporation and Articles of Amendment are incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 15 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 15"), filed on April 25, 1996.
(a)(2) Articles of Amendment and Articles Supplementary, as amended, are incorporated by reference to Exhibit (a)(ii) of Post-Effective Amendment No. 24 to the Registration Statement on Form N-1A, filed on September 27, 2002.
(a)(3) Articles of Amendment are incorporated by reference to Exhibit (a)(iii) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 32"), filed on May 16, 2006.
(a)(4) Articles Supplementary are incorporated by reference to Exhibit (a)(iv) of Post-Effective Amendment No. 32.
(a)(5) Articles Supplementary, as revised, are incorporated by reference to Exhibit (a)(v) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 50"), filed on December 16, 2008.
(a)(6) Articles of Amendment are incorporated by reference to Exhibit (a)(vi) of Post-Effective Amendment No. 53 to the Registration Statement on Form N-1A, filed on April 30, 2009.
(a)(7) Articles of Supplementary are incorporated by reference to Exhibit (a)(vii) of Post-Effective Amendment No. 56 to the Registration Statement on Form N-1A, filed on September 25, 2009.
(a)(8) Articles of Supplementary are incorporated by reference to Exhibit (a)(viii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A ("Post Amendment No. 63"), filed on June 29, 2010.
(a)(9) Articles of Supplementary are incorporated by reference to Exhibit (a)(ix) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 74"), filed on December 28, 2011.
(a)(10) Articles of Supplementary for Class I shares of International Stock Fund are incorporated by reference to Exhibit (a)(x) of Post-Effective Amendment No. 90 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 90"), filed on June 25, 2013.
(a)(11) Form of Articles of Supplementary for Class Y shares of Dreyfus Select Managers Small Cap Growth Fund, Dreyfus Select Managers Small Cap Value Fund, Dreyfus U.S. Equity Fund, Global Stock Fund and International Stock Fund is incorporated by reference to Exhibit (a)(xi) of Post-Effective Amendment No. 90.
(a)(12) Articles Supplementary for Class I shares of Global Stock Fund are incorporated by reference to Exhibit (a)(xii) of Post-Effective Amendment No. 97 to the Registration Statement on Form N-1A, filed on March 27, 2014.
(a)(13) Articles Supplementary are incorporated by reference to Exhibit (a)(xiii) of Post-Effective Amendment No. 107 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 107"), filed on April 22, 2015.
(a)(14) Articles Supplementary for adding Class T shares, relating to Dreyfus Active MidCap Fund, Dreyfus MLP Fund, Dreyfus Select Managers Small Cap Growth Fund, Dreyfus Select Managers Small Cap Value Fund, Dreyfus U.S. Equity Fund, Global Stock Fund and International Stock Fund are incorporated by reference to Exhibit (a)(14) of Post-Effective Amendment No. 129 to the Registration Statement on Form N-1A ("Post Amendment No. 129"), filed on March 27, 2017.
(b) Registrant's By-Laws, as amended, are incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 74.
(d)(1) Management Agreement, revised as of May 1, 2017, is incorporated by reference to Exhibit (d)(1) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 135"), filed on September 26, 2017.
(d)(2) Sub-Investment Advisory Agreement with Walter Scott & Partners Limited, as amended, with respect to Dreyfus U.S. Equity Fund, Global Stock Fund and International Stock Fund is incorporated by reference to Exhibit (d)(ii) of Post-Effective Amendment No. 46 to the Registration Statement on Form N-1A, filed on May 27, 2008.
(d)(3) Sub-Investment Advisory Agreement with Walthausen & Co., LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(iv) of Post-Effective Amendment No. 50.
(d)(4) Sub-Investment Advisory Agreement with Thompson, Siegel and Walmsley LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(v) of Post-Effective Amendment No. 50.
(d)(5) Sub-Investment Advisory Agreement with Neuberger Berman Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 60"), filed on March 30, 2010.
(d)(6) Sub-Investment Advisory Agreement with Redwood Investments, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (d)(6) of Post-Effective Amendment No. 135.
(d)(7) Sub-Investment Advisory Agreement with Geneva Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (d)(vii) of Post-Effective Amendment No. 101 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 101"), filed on September 25, 2014.
(d)(10) Sub-Investment Advisory Agreement with Nicholas Investment Partners, L.P., with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(x) of Post-Effective Amendment No. 79.
(d)(11) Sub-Investment Advisory Agreement with Kayne Anderson Rudnick Investment Management, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(xiii) of Post-Effective Amendment No. 82 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 82"), filed on September 28, 2012.
(d)(12) Sub-Investment Advisory Agreement with EAM Investors, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xv) of Post-Effective Amendment No. 84.
(d)(13) Sub-Investment Advisory Agreement with Rice Hall James & Associates, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference
to Exhibit (d)(13) of Post-Effective Amendment No. 124 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 124"), filed on September 27, 2016.
(d)(14) Sub-Investment Advisory Agreement with Granite Investments Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xvi) of Post-Effective Amendment No. 95 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 95"), filed on December 26, 2013.
(d)(15) Sub-Investment Advisory Agreement with Channing Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (d)(xvi) of Post-Effective Amendment No. 101.
(d)(16) Sub-Investment Advisory Agreement with The Boston Company Asset Management, LLC, with respect to Dreyfus MLP Fund, is incorporated by reference to Exhibit (d)(xvii) of Post-Effective Amendment No. 107.
(d)(17) Portfolio Allocation Management Agreement, as revised, is incorporated by reference to Exhibit (d)(xv) of Post-Effective Amendment No. 63.
(d)(18) Sub-Investment Advisory Agreement with Eastern Shore Capital Management, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(xix) of Post-Effective Amendment No. 113.
(e)(1) Amended and Restated Distribution Agreement dated October 1, 2010 is incorporated by reference to Exhibit (e)(i) of Post-Effective Amendment No. 111 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 111"), filed on August 27, 2015.
(e)(2) Forms of Broker-Dealer Selling Agreement and Bank Selling Agreement are incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 135.
(e)(3) Form of Service Agreement is incorporated by reference to Exhibit (e)(iv) of Post-Effective Amendment No. 120 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 120"), filed on March 29, 2016.
(g)(1) Custody Agreement with The Bank of New York Mellon dated January 1, 2011 is incorporated by reference to Exhibit (g)(iii) of Post-Effective Amendment No. 67 to the Registration Statement on Form N-1A, filed on March 30, 2011.
(g)(2) Amendment to Custody Agreement with The Bank of New York Mellon is incorporated by reference to Exhibit (g)(ii) of Post-Effective Amendment No. 95.
(g)(3) Second Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(3) of Post-Effective Amendment No. 129.
(h) Transfer Agency Agreement is incorporated by reference to Exhibit (h)(ii) of Post-Effective Amendment No. 82.
(i) Opinion and Consent of Registrant's counsel are incorporated by reference to Exhibit (10) of Post-Effective Amendment No. 15.
(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 135.
(m)(1) Rule 12b-1 Distribution Plan, as amended is incorporated by reference to Exhibit (m)(i) of Post-Effective Amendment No. 111.
(m)(2) Shareholder Services Plan is incorporated by reference to Exhibit (m)(ii) of Post-Effective Amendment No. 107.
(m)(3) Rule 12b-1 Service Plan with respect to Class T shares is incorporated by reference to Exhibit (m)(3) of Post-Effective Amendment No. 129.
(n) Rule 18f-3 Plan, amended as of December 15, 2017.*
(p)(1) Revised Code of Ethics of the Bank of New York Mellon and its affiliates and the Registrant is incorporated by reference to Exhibit (p)(i) of Post-Effective Amendment No. 106 to the Registration Statement on From N-1A ("Post-Effective Amendment No. 106"), filed on March 30, 2015.
(p)(2) Revised Code of Ethics for Walthausen & Co, LLC, with respect to Dreyfus Select Manager Small Cap Value Fund, is incorporated by reference to Exhibit (p)(ii) of Post-Effective Amendment No. 95.
(p)(3) Code of Ethics for Redwood Investments, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (p)(3) of Post-Effective Amendment No. 135.
(p)(4) Revised Code of Ethics for Thompson, Siegel and Walmsley LLC with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (p)(iv) of Post-Effective Amendment No. 99 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 99"), filed on April 29, 2014.
(p)(7) Revised Code of Ethics for Geneva Capital Management, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (p)(vii) of Post-Effective Amendment No. 103 to the Registration Statement on Form N-1A, filed on December 23, 2014.
(p)(8) Revised Code of Ethics for Neuberger Berman Group LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(x) of Post-Effective Amendment No. 77 to the Registration Statement on Form N-1A, filed on March 29, 2012.
(p)(9) Revised Code of Ethics for Nicholas Investment Partners, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(x) of Post-Effective Amendment No. 99.
(p)(10) Code of Ethics for Kayne Anderson Rudnick Investment Management, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(xii) of Post-Effective Amendment No. 82.
(p)(11) Code of Ethics for EAM Investors, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xi) of Post-Effective Amendment No. 84.
(p)(12) Code of Ethics for Granite Investment Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xiv) of Post-Effective Amendment No. 95.
(p)(13) Code of Ethics for Rice Hall James & Associates, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xv) of Post-Effective Amendment No. 95.
(p)(14) Code of Ethics for Channing Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (p)(xv) of Post-Effective Amendment No. 101.
(p)(15) Code of Ethics for the Nonmanagement Board members of the Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(v) of Post-Effective Amendment No. 60.
(p)(16) Code of Ethics for Eastern Shore Capital Management, dated April 6, 2015, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(xvii) of Post-Effective Amendment No. 113.
Other Exhibits.
(a) Power of Attorney of Board members, dated February 28, 2017 is incorporated by reference to Exhibit (a) of Post-Effective Amendment No. 129.
____________
*Filed herewith.
Item 29. Persons Controlled by or under Common Control with Registrant.
Not Applicable
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 attorney's 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, as amended, that no board member or officer of a fund 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 Registrant's Amended and Restated By-Laws, Section 2-418 of the Maryland General Corporation Law and Section 1.10 of the Amended and Restated Distribution Agreement.
Item 31(a). 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 investment adviser, sub-investment adviser or administrator.
Item 31(b). Business and Other Connections of Sub-Investment Adviser.
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Walter Scott & Partners Limited, the sub-investment adviser of the
registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Walter Scott & Partners Limited, 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 Walter Scott & Partners Limited (SEC File No. 801-19420).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Walthausen & Co., LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Walthausen & Co., LLC, 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 Walthausen & Co., LLC (SEC File No. 801-68321).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Thompson, Siegel and Walmsley LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Thompson, Siegel and Walmsley LLC, 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 Thompson, Siegel and Walmsley LLC (SEC File No. 801-6273).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Neuberger Berman Management LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Neuberger Berman Management LLC, 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 Neuberger Berman Management LLC (SEC File No. 801-3908).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Redwood Investments, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Redwood Investments, LLC, 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 Redwood Investments, LLC (SEC File No. 801-63597).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Geneva Capital Management LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Geneva Capital Management LLC, 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 Geneva Capital Management LLC (SEC File No. 801-28444).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Nicholas Investment Partners, L.P., the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Nicholas Investment Partners, L.P., 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 Nicholas Investment Partners, L.P. (SEC File No. 801-66532).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Kayne Anderson Rudnick Investment Management, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Kayne Anderson Rudnick Investment Management, LLC, 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 Kayne Anderson Rudnick Investment Management, LLC (SEC File No. 801-46991).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of EAM Investors, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by EAM Investors, LLC, 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 EAM Investors, LLC (SEC File No. 801-79753).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Rice Hall James & Associates, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Rice Hall James & Associates, LLC, 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 Rice Hall James & Associates, LLC (SEC File No. 801-61905).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Granite Investments Partners, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Granite Investments Partners, LLC, 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 Granite Investments Partners, LLC (SEC File No. 801-70383).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Channing Capital Management LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Channing Capital Management LLC, 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 Channing Capital Management LLC (SEC File No. 801-62371).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of The Boston Company Asset Management, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by The Boston Company Asset Management, LLC, 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 The Boston Company Asset Management, LLC (SEC File No. 801-6829).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Eastern Shore Capital Management, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Eastern Shore Capital Management, LLC, 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 Eastern Shore Capital Management, LLC (SEC File No. 801-32888).
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 – 7/16 |
BNY Alcentra Group Holdings, Inc.†††††† | Director | 5/15 – 7/16 | |
BNY Mellon Asset Management Canada Limited++++++ | Director | 5/16 - Present | |
Mellon Canada Holding Company++++++ | Director | 5/16- Present | |
Mellon Capital Management Corporation** | Director | 4/15 – 7/16 | |
Mellon Global Investing Corp.+ | Director | 5/15 - Present | |
USPLP, Inc.******* | Director | 12/15 - 5/16 | |
Alcentra NY, LLC++ | Manager | 9/14 – 7/16 | |
Alternative Holdings I, LLC | Manager | 4/16 – 7/16 | |
BNY Investment Strategy and Solutions Group, LLC* | Manager | 6/15 – 7/16 | |
Name and Position | Other Businesses | Position Held | Dates |
EACM Advisors LLC^^ | Manager | 12/15 – 7/16 | |
Standish Mellon Asset Management Company LLC* | Manager | 9/14 - 7/16 | |
The Boston Company Asset Management, LLC* | Manager | 9/14 – 7/16 | |
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 | |
Diane P. Durnin | MBSC Securities Corporation++ | Executive Vice President | 3/15 - Present |
Sumday Holdings LLC | Manager | 2/16 - Present | |
Bradley J. Skapyak | MBSC Securities Corporation++ | Chief Executive Officer Director | 8/16 – Present 8/16 - Present |
MBSC Securities Corporation++ | Executive Vice President | 6/07 – 8/16 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
MBSC Securities Corporation++ | Chief Compliance Officer | 1/06 - 1/16 | |
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 | |
Alban J. Miranda Chief Financial Officer | Resources Global Professionals 7 Times Square, Suite 2600 New York, NY 10036 | Senior Program Manager/Consultant | 10/15 - 5/16 |
P.K. Gupta Certified Public Accountants 425 Broadhollow Road Melville, NY 11747 | Senior Partner | 6/13 - 9/15 | |
Katherine Scott | MBSC Securities Corporation++ | Chief Risk Officer | 2/14-Present |
Peter Arcabascio Vice President – Distribution | BNY Mellon Investment Management* | Senior Vice President | 7/06-Present |
BNY Investment Strategy and Solutions Group, LLC* | Manager | 6/15- Present | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 – 3/16 | |
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 – 6/16 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
Asset Recovery XXIII, LLC*** | Assistant Treasurer | 7/13 – 6/16 | |
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 – 5/16 |
Name and Position | Other Businesses | Position Held | Dates |
Airlease Incorporated††† | Assistant Treasurer – Tax | 7/13 – 12/15 | |
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 – 12/15 | |
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 – 12/15 | |
BNY Catair LLC††† | Assistant Treasurer – Tax | 7/13 – 10/15 | |
BNYM CSIM Funding LLC +++ | Assistant Treasurer – Tax | 7/14 – Present | |
BNY Falcon Three Holding Corp. *** | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Foreign Holdings, Inc.*** | Assistant Treasurer – Tax | 10/13 – Present | |
BNY Gator LLC*** | Assistant Treasurer – Tax | 7/13 – 10/15 | |
BNY Hitchcock Holdings LLC*** | Assistant Treasurer – Tax | 7/13 – 12/15 | |
BNY Housing I Corp.††† | Assistant Treasurer – Tax | 7/13 – 12/15 | |
BNY Housing II LLC*** | Assistant Treasurer – Tax | 7/13 – 12/15 | |
BNY ITC Leasing, LLC*** | Assistant Treasurer – Tax | 7/13 – 12/15 | |
BNY Lease Equities (Cap Funding) LLC######## | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Holdings LLC*** | Assistant Treasurer – Tax | 7/13 – 12/15 | |
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 – 5/16 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 – 10/15 | |
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 – 12/15 | |
BNY Wings, Inc.††† | Assistant Treasurer – Tax | 7/13 – 12/15 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 – 6/16 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 – 3/16 | |
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 – 12/15 | |
IRE-BC, Inc.††† | Assistant Treasurer – Tax | 7/13 – 12/15 | |
IRE-SB, Inc.††† | Assistant Treasurer – Tax | 7/13 – 12/15 | |
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 | 3/14 - Present | |
Lease Equities (Texas) Corporation##### | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 International Leasing Company# | Assistant Treasurer – Tax | 8/14 – 12/15 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Mellon Residential Funding Corporation++++ | Assistant Treasurer - Tax | 4/14 – 3/16 | |
National Residential Assets Corp.*** | Assistant Treasurer – Tax | 4/13 – Present | |
New GSM Holding Corporation^^^^ | Assistant Treasurer – Tax | 7/13 – 12/15 | |
Newton Capital Management LLC.*** | Assistant Treasurer – Tax | 8/14 - Present | |
Northern Waterworks, Inc.††† | Assistant Treasurer – Tax | 7/13 – 12/15 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 | |
Tiber Capital Management LLC++ | Assistant Treasurer – Tax | 8/15 – 7/16 | |
USPLP, Inc. ******* | Assistant Treasurer – Tax | 10/13 – 5/16 | |
MBNA Institutional PA Services LLC+ | Treasurer | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Mellon Investor Services Holdings LLC+++++++ | Vice President - | 8/16 - Present | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 – 3/16 | |
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 – 6/16 | |
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 – 6/16 | |
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 – 5/16 | |
Name and Position | Other Businesses | Position Held | Dates |
Airlease Incorporated††† | Assistant Treasurer -Tax | 7/11 – 12/15 | |
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 | |
APT Holdings Corporation# | Assistant Treasurer -Tax | 12/11 – Present | |
AURORA-IRE, INC.††† | Assistant Treasurer -Tax | 7/11 – 12/15 | |
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 – 12/15 | |
BNY Catair LLC††† | Assistant Treasurer –Tax | 7/11 – 10/15 | |
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 – 10/15 |
Name and Position | Other Businesses | Position Held | Dates |
BNY Hitchcock Holdings LLC*** | Assistant Treasurer –Tax | 7/11 – 12/15 | |
BNY Housing I Corp.††† | Assistant Treasurer –Tax | 7/11 – 12/15 | |
BNY Housing II LLC*** | Assistant Treasurer –Tax | 7/11 – 10/15 | |
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 – 12/15 | |
BNY Lease Partners LLC*** | Assistant Treasurer –Tax | 9/11 – Present | |
BNY Leasing Edge Corporation*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Alternative Investments Holdings LLC*** | Assistant Treasurer –Tax | 10/13 – Present | |
BNY Mellon Capital Markets, | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Clearing Holding Company, LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Clearing, LLC*** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mellon Community Development Corporation^^^^^ | Assistant Treasurer –Tax | 10/11 – Present | |
BNY Mellon Distributors Holdings | Assistant Treasurer –Tax | 7/12 – Present | |
BNY Mellon Fixed Income Securities, LLC*** | Assistant Treasurer –Tax | 8/12 – Present | |
BNY Mellon Investment Servicing (US) Inc.# | Assistant Treasurer –Tax | 3/11 – Present |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Investment Servicing Trust Company# | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mellon Performance & Risk Analytics, Inc. (US)^^^^^^ | Assistant Treasurer –Tax | 10/11 – Present | |
BNY Mellon Performance & Risk Analytics, LLC+ | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Transition Management Advisors, LLC** | Assistant Treasurer –Tax | 5/13 – Present | |
BNY Mellon Trust Company of | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mezzanine Funding LLC****** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mezzanine Holdings LLC****** | Assistant Treasurer –Tax | 5/11 – Present | |
BNY Mezzanine Non NY Funding | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mezzanine NY Funding LLC****** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Partnership Funding LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Rail Maintenance LLC*** | Assistant Treasurer –Tax | 7/11 – 10/15 | |
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 – 12/15 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 – 3/16 | |
HedgeMark International, LLC## | Assistant Treasurer –Tax | 5/14 – Present |
Name and Position | Other Businesses | Position Held | Dates |
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 – 12/15 | |
IRE-BC, Inc.††† | Assistant Treasurer –Tax | 7/11 – 12/15 | |
IRE-SB, Inc.††† | Assistant Treasurer –Tax | 7/11 – 12/15 | |
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 Insurance Inc. ###### | Assistant Treasurer –Tax | 8/14 – Present | |
Lockwood Solutions, Inc.###### | Assistant Treasurer –Tax | 3/11 – Present | |
Madison Pershing LLC### | Assistant Treasurer –Tax | 4/11 – Present | |
MAM (MA) Holding Trust* | Assistant Treasurer –Tax | 8/11 – Present | |
MBC 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 |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Financial Services Corporation #1+ | Assistant Treasurer –Tax | 7/11 – Present | |
Mellon Financial Services Corporation #4+ | Assistant Treasurer –Tax | 12/11 – Present | |
Mellon Funding Corporation+ | Assistant Treasurer –Tax | 12/11 – Present | |
Mellon Global Investing Corp.+ | Assistant Treasurer –Tax | 5/11 – Present | |
Mellon International Leasing | Assistant Treasurer –Tax | 7/11 – Present | |
Mellon Investor Services Holdings LLC | Assistant Treasurer –Tax | 8/16 – Present | |
+++++++ | |||
Mellon Leasing Corporation+ | Assistant Treasurer –Tax | 9/11 – Present | |
Mellon Life Insurance Company+ | Assistant Treasurer –Tax | 10/12 – Present | |
Mellon Overseas Investment Corporation*** | Assistant Treasurer –Tax | 11/11 – Present | |
Mellon Properties Company**** | Assistant Treasurer –Tax | 8/12 – Present | |
Mellon Residential Funding Corporation**** | Assistant Treasurer –Tax | 4/14 – 3/16 | |
National Residential Assets Corp.*** | Assistant Treasurer –Tax | 4/12 – Present | |
New GSM Holding Corporation^^^^ | Assistant Treasurer –Tax | 7/11 – 12/15 | |
Newton Capital Management LLC*** | Assistant Treasurer –Tax | 10/11 – Present | |
Northern Waterworks, Inc.††† | Assistant Treasurer –Tax | 7/11 – 12/15 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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, | 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 | |
Tiber Capital Management LLC++ | Assistant Treasurer –Tax | 8/15 – 7/16 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Community Development Enterprises Corporation*** | Vice President –Tax | 4/12 – 4/14 | |
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 | 1/06 - Present | |
Dreyfus Service Organization, Inc.++ | Secretary | 8/05 - 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 One Mellon Bank Center, Pittsburgh, PA 15258. |
++ | The address of the business so indicated is 200 Park Avenue, New York, NY 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 480 Washington Blvd, Jersey City, NJ 07310 |
† | 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 Alcentra Global Credit Income 2024 Target Term Fund, Inc. | |||
6. | Dreyfus AMT-Free Municipal Cash Management Plus | |||
7. | Dreyfus AMT-Free New York Municipal Cash Management | |||
8. | Dreyfus Appreciation Fund, Inc. | |||
9. | Dreyfus BASIC Money Market Fund, Inc. | |||
10. | Dreyfus BNY Mellon Funds, Inc. | |||
11. | Dreyfus Bond Funds, Inc. | |||
12. | Dreyfus Cash Management | |||
13. | Dreyfus Funds, Inc. | |||
14. | The Dreyfus Fund Incorporated | |||
15. | Dreyfus Government Cash Management Funds | |||
16. | Dreyfus Growth and Income Fund, Inc. | |||
17. | Dreyfus Index Funds, Inc. | |||
18. | Dreyfus Institutional Liquidity Funds | |||
19. | Dreyfus Institutional Preferred Money Market Funds | |||
20. | Dreyfus Institutional Reserves Funds |
21. | Dreyfus Intermediate Municipal Bond Fund, Inc. |
22. | Dreyfus International Funds, Inc. |
23. | Dreyfus Investment Funds |
24. | Dreyfus Investment Grade Funds, Inc. |
25. | Dreyfus Investment Portfolios |
26. | The Dreyfus/Laurel Funds, Inc. |
27. | The Dreyfus/Laurel Funds Trust |
28. | Dreyfus Liquid Assets, Inc. |
29. | Dreyfus Manager Funds II |
30. | Dreyfus Midcap Index Fund, Inc. |
31. | Dreyfus Municipal Bond Opportunity Fund |
32. | Dreyfus Municipal Funds, Inc. |
33. | Dreyfus New Jersey Municipal Bond Fund, Inc. |
34. | Dreyfus New York AMT-Free Municipal Bond Fund |
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. | Dreyfus Stock Index Fund, Inc. |
46. | Dreyfus Sustainable U.S. Equity Fund, Inc. |
47. | Dreyfus Sustainable U.S. Equity Portfolio, Inc. |
48. | Dreyfus Tax Exempt Cash Management Funds |
49. | Dreyfus Treasury & Agency Cash Management |
50. | Dreyfus Treasury Securities Cash Management |
51. | Dreyfus Ultra Short Income Fund |
52. | Dreyfus Variable Investment Fund |
53. | General California Municipal Money Market Fund |
54. | General Government Securities Money Market Funds, Inc. |
55. | General Money Market Fund, Inc. |
56. | General Municipal Money Market Funds, Inc. |
57. | General New Jersey Municipal Money Market Fund, Inc. |
58. | General New York AMT-Free Municipal Money Market Fund |
59. | Strategic Funds, Inc. |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
Bradley J. Skapyak* | Chief Executive Officer and Director | President |
Kenneth Bradle** | President and Director | None |
Sue Ann Cormack† | Executive Vice President | None |
Diane P. Durnin††† | Executive Vice President | None |
Joseph P. Gennaco†††† | Executive Vice President | None |
Tracy Hopkins* | Executive Vice President | None |
William H. Maresca** | Executive Vice President and Director | None |
Joseph Moran††† | Executive Vice President | None |
Christopher D. O'Connor††† | Executive Vice President | None |
Irene Papadoulis** | Executive Vice President | None |
Matthew Perrone***** | Executive Vice President | None |
Bill E. Sappington* | Executive Vice President and Director | None |
Susan Verbil Goldgraben**** | Executive Vice President | None |
Alban J. Miranda††† | Chief Financial Officer and Treasurer | None |
Brie A. Steingarten* | Chief Legal Officer and Secretary | None |
John Squillace* | Chief Compliance officer (Investment Advisory 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 |
Mercedes Katz** | Senior Vice President | None |
John Ragusa* | Senior Vice President | None |
Christopher A. Stallone** | Senior Vice President | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
John Cimino* | Vice President | None |
Christopher Donoghue** | Vice President | None |
Jill Gill* | Vice President | None |
Tina Rizzol** | Vice President | None |
Carla R. Wanzer** | Vice President and Privacy Officer | None |
James Windels***** | Vice President | Treasurer |
Caridad M. Carosella** | Vice President – Compliance/Anti-Money Laundering Officer | Anti-Money Laundering Officer |
Donna M. Impagliazzo** | Vice President – Compliance | None |
John Shea††† | Vice President – Finance | None |
Sandra Hatter*** | Vice President – Human Resources | None |
Marianne Thomas+ | Vice President – Human Resources | None |
Carol A. Britton**** | Vice President – Real Estate | None |
Kathleen Geis†† | Vice President – Real Estate | None |
Thaddeus S. Logan**** | Vice President – Real Estate | None |
Charles Doumar††† | Vice President – Tax | None |
Claudine Orloski*** | Vice President – Tax | None |
Ronny Santos* | Assistant Vice President | None |
Paul Mazziotti** | Anti-Money Laundering Officer | None |
James Bitetto* | Assistant Secretary | Vice President and |
Audrey Edwards*** | Assistant Secretary | None |
Susan K. Maroni*** | Assistant Secretary | None |
Cristina Rice*** | Assistant Secretary | None |
* | Principal business address is 200 Park Avenue, New York, NY 10166. |
** | Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144. |
*** | Principal business address is BNY Mellon Center, 500 Grant Street, Pittsburgh, PA 15258. |
**** | Principal business address is 101 Barclay Street, New York, NY 10286. |
***** | Principal business address is 2 Hanson Place, Brooklyn, NY 11217 |
† | Principal business address is 100 Saint Paul Street 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 |
†††† | Principal business address is 1 Boston Place, Boston, MA 02108-4407 |
+ | Principal business address is 19 Vreeland Road Florham Park, NJ 07932 |
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, Massachusetts 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 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 14th day of December, 2017.
Strategic 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) | 12/14/2017 | ||
Bradley J. Skapyak | ||||
/s/ James Windels* | Treasurer (Principal Financial | 12/14/2017 | ||
James Windels | ||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 12/14/2017 | ||
Joseph S. DiMartino | ||||
/s/ Gordon J. Davis* | Board Member | 12/14/2017 | ||
Gordon J. Davis | ||||
/s/ Joni Evans* | Board Member | 12/14/2017 | ||
Joni Evans | ||||
/s/ Joan L. Gulley* | Board Member | 12/14/2017 | ||
Joan L. Gulley | ||||
/s/ Ehud Houminer* | Board Member | 12/14/2017 | ||
Ehud Houminer | ||||
/s/ Hans C. Mautner* | Board Member | 12/14/2017 | ||
Hans C. Mautner | ||||
/s/ Robin A. Melvin* | Board Member | 12/14/2017 | ||
Robin A. Melvin | ||||
/s/ Burton N. Wallack* | Board Member | 12/14/2017 | ||
Burton N. Wallack | ||||
/s/ Benaree P. Wiley* | Board Member | 12/14/2017 | ||
Benaree P. Wiley | ||||
*BY: | /s/Sarah S. Kelleher |
Sarah S. Kelleher, |
INDEX OF EXHIBITS
Exhibits
(n) | Rule 18f-3 Plan, amended as of December 15, 2017 |