BNY Mellon Global Stock Fund - Class I (DGLRX)
Filed: 16 Mar 12, 12:00am
File No.2-88816
811-3940
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. 76 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 76 [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) 922-6000
Michael A. Rosenberg, Esq.
200 Park Avenue
New York, New York 10166
(Name and Address of Agent for Service)
COPY TO:
David Stephens, Esq.
Stroock & Stroock & Lavan LLP
180 Maine Lane
New York, NY 10038-4982
It is proposed that this filing will become effective immediately upon filing pursuant toRule 462(d).
Explanatory Note
This Post-Effective Amendment consists of the following:
This Post-Effective Amendment is being filed solely to file revised Rule 18f-3 Plans as Exhibit (n) to Item 28 to this Registration Statement on Form N-1A.
Part A and Part B of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A filed on December 28, 2011 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, are incorporated by reference herein.
STRATEGIC FUNDS, INC.
PART C. OTHER INFORMATION
Item 28. Exhibits.
(a)(i) 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, filed on April 25, 1996.
(a)(ii) Articles of Amendment and Articles Supplementary, as amended, are incorporated by reference to Exhibit (a) of Post-Effective Amendment No. 24 to the Registration Statement on Form N-1A, filed on September 27, 2002.
(a)(iii) 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, filed on May 16, 2006.
(a)(iv) Articles Supplementary are incorporated by reference to Exhibit (a)(iv) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on May 16, 2006.
(a)(v) 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, filed on December 16, 2008.
(a)(vi) 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)(vii) 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)(viii) 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, filed on June 29, 2010.
(a)(ix) 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, filed on December 28, 2011.
(b) Registrant's By-Laws, as amended, is incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A, filed on December 28, 2011.
(d)(i) Management Agreement, as revised, is incorporated by reference to Exhibit (d)(i) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(d)(ii) Sub-Investment Advisory Agreement with Walter Scott & Partners Limited, as amended, 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)(iii) Sub-Investment Advisory Agreement with Riverbridge Partners, LLC. is incorporated by reference to Exhibit (d)(iii) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.
(d)(iv) Sub-Investment Advisory Agreement with Walthausen & Co., LLC. is incorporated by reference to Exhibit (d)(iv) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.
(d)(v) Sub-Investment Advisory Agreement with Thompson, Siegel and Walmsley LLC is incorporated by reference to Exhibit (d)(v) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.
(d)(vi) Sub-Investment Advisory Agreement with WestLB Mellon Asset Management (USA) LLC. is incorporated by reference to Exhibit (d)(ii) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on May 16, 2006.
(d)(vii) Sub-Investment Advisory Agreement with Mellon Equity Associates, LLP. is incorporated by reference to Exhibit (d)(iii) of Post-Effective Amendment No. 37 to the Registration Statement on Form N-1A, filed on November 22, 2006.
(d)(viii) Sub-Investment Advisory Agreement with Neuberger Berman Management LLC is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on March 30, 2010.
(d)(ix) Sub-Investment Advisory Agreement with Cupps Capital Management, LLC, with respect to Dreyfus Select Managers Large Cap Growth Fund is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(d)(x) Sub-Investment Advisory Agreement with Goldman Sachs Asset Management, L.P., with respect to Dreyfus Select Managers Large Cap Growth Fund is incorporated by reference to Exhibit (d)(x) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(d)(xi) Sub-Investment Advisory Agreement with Mar Vista Investment Partners, LLC, with respect to Dreyfus Select Managers Large Cap Growth Fund is incorporated by reference to Exhibit (d)(xi) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(d)(xii) Sub-Investment Advisory Agreement with Riverbridge Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(d)(xiii) Sub-Investment Advisory Agreement with Geneva Capital Management Ltd, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xiii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(d)(xiv) Sub-Investment Advisory Agreement with Cupps Capital Management, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xiv) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(d)(xv) Portfolio Allocation Management Agreement, as revised, is incorporated by reference to Exhibit (d)(xv) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(e)(i) Amended and Restated Distribution Agreement dated October 1, 2010 is incorporated by reference to Exhibit (e)(i) of Post-Effective Amendment No. 67 to the Registration Statement on Form N-1A, filed on March 30, 2011.
(e)(ii) Distribution and Shareholders Services Plan Agreements, as amended, are incorporated by reference to Exhibit (e)(ii) of Post-Effective Amendment No. 24 to the Registration Statement on Form N-1A, filed on September 27, 2002.
(e)(iii) Forms of Supplement to Service Agreements are incorporated by reference to Exhibit (e)(iii) of Post-Effective Amendment No. 40 to the Registration Statement on Form N-1A, filed on April 27, 2007.
(g)(i) 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)(ii) Sub-Custodian Agreement is incorporated by reference to Exhibit (8)(b) of Post-Effective Amendment No. 15 to the Registration Statement on Form N-1A, filed on April 25, 1996.
(g)(iii) Foreign Custody Manager Agreement with The Bank of New York is incorporated by reference to Exhibit (g)(iii) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on May 16, 2006.
(h)(i) Shareholder Services Plan, as revised, is incorporated by reference to Exhibit (h)(i) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(h) (ii) Amended and Restated Transfer Agency Agreement is incorporated by reference to Exhibit (h)(ii) of Post-Effective Amendment No. 42 to the Registration Statement on Form N-1A, filed on February 28, 2008.
(h) (iii) Amendment to the Amended and Restated Transfer Agency Agreement is incorporated by reference to Exhibit (h)(iii) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A, filed on December 28, 2011.
(i) Opinion and Consent of Registrant's counsel are incorporated by reference to Exhibit (10) of Post-Effective Amendment No. 15 to the Registration Statement on Form N-1A, filed on April 25, 1996.
(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A, filed on December 28, 2011 .
(m) Rule 12b-1 Distribution Plan, as revised, is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(n) Rule 18f-3 Plan is filed herewith.
(p)(i) Code of Ethics of the Bank of New York Mellon, is incorporated by reference to Exhibit (p)(i) of Post-Effective Amendment No. 42 to the Registration Statement on Form N-1A, filed on February 28, 2008.
(p)(ii) Code of Ethics for Walthausen & Co. LLC is incorporated by reference to Exhibit (p)(ii) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.
(p)(iii) Code of Ethics for Riverbridge Partners, LLC is incorporated by reference to Exhibit (p)(iii) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.
(p)(iv) Code of Ethics for Thompson, Siegel and Walmsley LLC is incorporated by reference to Exhibit (p)(iv) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.
(p)(v) Code of Ethics for Cupps Capital Management, LLC is incorporated by reference to Exhibit (p)(v) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(p)(vi) Code of Ethics for Goldman Sachs Asset Management, L.P. is incorporated by reference to Exhibit (p)(vi) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(p)(vii) Code of Ethics for Mar Vista Investment Partners, LLC is incorporated by reference to Exhibit (p)(vii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(p)(viii) Code of Ethics for Geneva Capital Management Ltd. is incorporated by reference to Exhibit (p)(viii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
(p)(ix) Code of Ethics for the Nonmanagement Board members of the Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(iv) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on March 30, 2010.
Item 28. Exhibits. - List (continued)
_______ _____________________________________________________
Other Exhibits
______________
a) Power of Attorney of certain officers of the Registrant is incorporated by reference to Other Exhibits (a) of Post-Effective Amendment No. 58 to the Registration Statement on Form N-1A, filed on January 29, 2010.
b) Certificate of Assistant Secretary is incorporated by reference to Other Exhibits (b) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on March 30, 2010.
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 attorneys' fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, 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, Article VIII of the Registrant's By-Laws, as amended, Section 2-418 of the Maryland General Corporation Law, and Section 1.10 of the Distribution Agreement.
Item 31. Business and Other Connections of Investment Adviser.
_______ ____________________________________________________
The Dreyfus Corporation ("Dreyfus") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Dreyfus and of other investment companies for which Dreyfus acts as investment adviser, sub-investment adviser or administrator.
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position | Other Businesses | Position Held | Dates |
Jonathan Baum | MBSC Securities Corporation++ | Chief Executive Officer | 3/08 - Present |
J. Charles Cardona | MBSC Securities Corporation++ | Director | 6/07 – Present |
Universal Liquidity Funds plc+ | Director | 4/06 - Present | |
Diane P. Durnin | None | ||
Robert G. Capone | MBSC Securities Corporation++ | Executive Vice President Director | 4/07 - Present |
The Bank of New York Mellon***** | Vice President | 2/06 - Present | |
Mitchell E. Harris | Standish Mellon Asset Management Company LLC | Chairman | 2/05 – Present |
Name and Position | Other Businesses | Position Held | Dates |
Alcentra NY, LLC++ | Manager | 1/08 - Present | |
Alcentra US, Inc. ++ | Director | 1/08 - Present | |
Alcentra, Inc. ++ | Director | 1/08 - Present | |
BNY Alcentra Group Holdings, Inc. ++ | Director | 10/07 - Present | |
Pareto New York LLC++ | Manager | 11/07 - Present | |
Standish Ventures LLC | President | 12/05 - Present | |
Palomar Management | Director | 12/97 - Present | |
Palomar Management Holdings Limited | Director | 12/97 - Present | |
Pareto Investment Management Limited | Director | 9/04 - Present | |
Christopher E. Sheldon | Mellon Global Investing Corp. + | Senior Vice President | 5/08 - Present |
BNY Mellon, National Association+ | Managing Director | 7/09 – Present | |
The Bank of New York Mellon***** | Managing Director | 7/09 - Present | |
Bradley J. Skapyak | MBSC Securities Corporation++ | Executive Vice President | 6/07 - Present |
The Bank of New York Mellon**** | Senior Vice President | 4/07 - Present | |
The Dreyfus Family of Funds++ | President | 1/10 - Present | |
Dreyfus Transfer, Inc. ++ | Chairman Director Senior Vice President | 5/11 - Present 5/10 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
Dwight Jacobsen | MBSC Securities Corporation++ | Executive Vice President | 6/08 – Present |
Patrice M. Kozlowski | None | ||
Gary Pierce | The Bank of New York Mellon ***** | Vice President | 7/08 - Present |
BNY Mellon, National Association + | Vice President | 7/08 - Present | |
Laurel Capital Advisors, LLP+ | Chief Financial Officer | 5/07 - Present | |
MBSC Securities Corporation++ | Director | 6/07 – Present | |
Founders Asset Management, LLC**** | Assistant Treasurer | 7/06 - 12/09 | |
Dreyfus Consumer Credit | Treasurer | 7/05 - 8/10 | |
Dreyfus Transfer, Inc. ++ | Chief Financial Officer | 7/05 - Present | |
Dreyfus Service | Treasurer | 7/05 – Present | |
Seven Six Seven Agency, Inc. ++ | Treasurer | 4/99 - Present | |
Joseph W. Connolly | The Dreyfus Family of Funds++ | Chief Compliance Officer | 10/04 - Present |
Laurel Capital Advisors, LLP+ | Chief Compliance Officer | 4/05 - Present | |
BNY Mellon Funds Trust++ | Chief Compliance Officer | 10/04 - Present | |
MBSC Securities Corporation++ | Chief Compliance Officer | 6/07 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
Christopher O'Connor | MBSC Securities Corporation++ | Executive Vice President | 12/11 – Present |
Gary E. Abbs | The Bank of New York Mellon+ | First Vice President and Manager of Tax Compliance | 12/96 - Present |
Dreyfus Service Organization++ | Vice President – Tax | 1/09 - Present | |
Dreyfus Consumer Credit Corporation++ | Chairman | 1/09 – 8/10 | |
MBSC Securities Corporation++ | Vice President – Tax | 1/09 - Present | |
Jill Gill | MBSC Securities Corporation++ | Vice President | 6/07 – Present |
The Bank of New York Mellon ***** | Vice President | 7/08 – Present | |
BNY Mellon, National Association + | Vice President | 7/08 - Present | |
Joanne S. Huber | The Bank of New York Mellon+ | State & Local Compliance Manager | 7/07 - Present |
Dreyfus Service Organization++ | Vice President – Tax | 1/09 – Present | |
Dreyfus Consumer Credit Corporation++ | Vice President – Tax | 1/09 – 8/10 | |
MBSC Securities Corporation++ | Vice President – Tax | 1/09 – Present | |
Anthony Mayo | None | ||
John E. Lane | A P Colorado, Inc. + | Vice President – Real Estate and Leases | 8/07 - Present |
A P East, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present |
Name and Position | Other Businesses | Position Held | Dates |
A P Management, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
A P Properties, Inc. + | Vice President – Real Estate and Leases | 8/07 - Present | |
Allomon Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
AP Residential Realty, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
AP Wheels, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
BNY Mellon, National Association + | Vice President – Real Estate and Leases | 7/08 - Present | |
Citmelex Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
Eagle Investment Systems LLC | Vice President– Real Estate and Leases | 8/07 - Present | |
East Properties Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
FSFC, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
Holiday Properties, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
MBC Investments Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
MBSC Securities Corporation++ | Vice President– Real Estate and Leases | 8/07 - Present | |
MELDEL Leasing Corporation Number 2, Inc. + | Vice President– Real Estate and Leases | 7/07 - Present | |
Mellon Bank Community Development Corporation+ | Vice President– Real Estate and Leases | 11/07 - Present | |
Mellon Capital Management Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
Mellon Financial Services Corporation #1+ | Vice President– Real Estate and Leases | 8/07 - Present | |
Mellon Financial Services Corporation #4+ | Vice President – Real Estate and Leases | 7/07 - Present | |
Mellon Funding Corporation+ | Vice President– Real Estate and Leases | 12/07 - Present |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Holdings, LLC+ | Vice President– Real Estate and Leases | 12/07 - Present | |
Mellon International Leasing Company+ | Vice President– Real Estate and Leases | 7/07 - Present | |
Mellon Leasing Corporation+ | Vice President– Real Estate and Leases | 7/07 - Present | |
Mellon Ventures, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
Melnamor Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
MFS Leasing Corp. + | Vice President– Real Estate and Leases | 7/07 - Present | |
MMIP, LLC+ | Vice President– Real Estate and Leases | 8/07 - Present | |
Pareto New York LLC++ | Vice President– Real Estate and Leases | 10/07 - Present | |
Pontus, Inc. + | Vice President– Real Estate and Leases | 7/07 - Present | |
Promenade, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
RECR, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
Technology Services Group, Inc.***** | Senior Vice President | 6/06 - Present | |
Tennesee Processing Center LLC***** | Managing Director | 5/08 - Present | |
Texas AP, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
The Bank of New York Mellon***** | Vice President – Real Estate and Leases | 7/08 - Present | |
The Bank of New York Mellon Corporation***** | Executive Vice President | 8/07 - Present | |
Trilem, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
Kathleen Geis | BNY Mellon, National Association+ | Managing Director | 7/09 - Present |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Distributors Holdings, Inc. + | Vice President - | 7/11 - 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 | |
Eagle Investment Systems LLC+ | Vice President - | 7/11 - Present | |
Ivy Asset Management LLC+ | 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 | |
Mellon Investor Services LLC+ | Vice President - | 7/11 - Present | |
Pareto New York LLC***** | Vice President - | 7/11 - Present | |
SourceNet Solutions, Inc. + | Vice President - | 7/11 - Present | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
MBNA Institutional PA Services, LLC+ | Managing Director | 7/09 - Present | |
Dean M. Steigauf | BNY Mellon, National Association+ | Vice President | 7/09 - Present |
BNY Mellon Distributors Holdings, Inc. + | Vice President - | 7/11 - 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 | |
Eagle Investment Systems LLC+ | Vice President - | 7/11 - Present | |
Ivy Asset Management LLC+ | 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 | |
Mellon Investor Services LLC+ | Vice President - | 7/11 - Present | |
Pareto New York LLC***** | Vice President - | 7/11 - Present | |
SourceNet Solutions, Inc. + | Vice President - | 7/11 - Present | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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+ | Vice President | 12/02 - Present | |
James Bitetto | The Dreyfus Family of Funds++ | Vice President and Assistant Secretary | 8/05 - Present |
MBSC Securities Corporation++ | Assistant Secretary | 6/07 - Present | |
Dreyfus Service Organization, Inc.++ | Secretary | 8/05 - Present | |
The Dreyfus Consumer Credit Corporation++ | Vice President | 2/02 - 8/10 | |
Founders Asset Management LLC**** | Assistant Secretary | 3/09 - 12/09 |
* | The address of the business so indicated is One Boston Place, Boston, Massachusetts, 02108. |
** | The address of the business so indicated is One Bush Street, Suite 450, San Francisco, California 94104. |
*** | The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, California 94104. |
**** | The address of the business so indicated is 210 University Blvd., Suite 800, Denver, Colorado 80206. |
***** | The address of the business so indicated is One Wall Street, New York, New York 10286. |
+ | The address of the business so indicated is One Mellon Bank Center, Pittsburgh, Pennsylvania 15258. |
++ | The address of the business so indicated is 200 Park Avenue, New York, New York 10166. |
+++ | The address of the business so indicated is 144 Glenn Curtiss Boulevard, Uniondale, New York 11556-0144. |
++++ | The address of the business so indicated is White Clay Center, Route 273, Newark, Delaware 19711. |
+++++ | The address of the business so indicated is 4005 Kennett Pike, Greenville, DE 19804. |
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 Funds Trust | |
3. | CitizensSelect Funds | |
4. | Dreyfus Appreciation Fund, Inc. | |
5. | Dreyfus BASIC Money Market Fund, Inc. | |
6. | Dreyfus BASIC U.S. Government Money Market Fund | |
7. | Dreyfus BASIC U.S. Mortgage Securities Fund | |
8. | Dreyfus Bond Funds, Inc. | |
9. | Dreyfus Cash Management | |
10. | Dreyfus Connecticut Municipal Money Market Fund, Inc. | |
11. | Dreyfus Dynamic Alternatives Fund, Inc. | |
12. | Dreyfus Funds, Inc. | |
13. | The Dreyfus Fund Incorporated | |
14. | Dreyfus Government Cash Management Funds | |
15. | Dreyfus Growth and Income Fund, Inc. | |
16. | Dreyfus Index Funds, Inc. | |
17. | Dreyfus Institutional Cash Advantage Funds | |
18. | Dreyfus Institutional Preferred Money Market Funds | |
19. | Dreyfus Institutional Reserves Funds | |
20. | Dreyfus Intermediate Municipal Bond Fund, Inc. | |
21. | Dreyfus International Funds, Inc. | |
22. | Dreyfus Investment Funds | |
23. | Dreyfus Investment Grade Funds, Inc. | |
24. | Dreyfus Investment Portfolios | |
25. | The Dreyfus/Laurel Funds, Inc. | |
26. | The Dreyfus/Laurel Funds Trust | |
27. | The Dreyfus/Laurel Tax-Free Municipal Funds | |
28. | Dreyfus LifeTime Portfolios, Inc. | |
29. | Dreyfus Liquid Assets, Inc. | |
30. | Dreyfus Manager Funds I | |
31. | Dreyfus Manager Funds II | |
32. | Dreyfus Massachusetts Municipal Money Market Fund | |
33. | Dreyfus Midcap Index Fund, Inc. |
34. | Dreyfus Money Market Instruments, Inc. |
35. | Dreyfus Municipal Bond Opportunity Fund |
36. | Dreyfus Municipal Cash Management Plus |
37. | Dreyfus Municipal Funds, Inc. |
38. | Dreyfus Municipal Money Market Fund, Inc. |
39. | Dreyfus New Jersey Municipal Bond Fund, Inc. |
40. | Dreyfus New Jersey Municipal Money Market Fund, Inc. |
41. | Dreyfus New York AMT-Free Municipal Bond Fund |
42. | Dreyfus New York AMT-Free Municipal Money Market Fund |
43. | Dreyfus New York Municipal Cash Management |
44. | Dreyfus New York Tax Exempt Bond Fund, Inc. |
45. | Dreyfus Opportunity Funds |
46. | Dreyfus Pennsylvania Municipal Money Market Fund |
47. | Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
48. | Dreyfus Premier GNMA Fund, Inc. |
49. | Dreyfus Premier Investment Funds, Inc. |
50. | Dreyfus Premier Short-Intermediate Municipal Bond Fund |
51. | Dreyfus Premier Worldwide Growth Fund, Inc. |
52. | Dreyfus Research Growth Fund, Inc. |
53. | Dreyfus State Municipal Bond Funds |
54. | Dreyfus Stock Funds |
55. | Dreyfus Short-Intermediate Government Fund |
56. | The Dreyfus Socially Responsible Growth Fund, Inc. |
57. | Dreyfus Stock Index Fund, Inc. |
58. | Dreyfus Tax Exempt Cash Management Funds |
59. | The Dreyfus Third Century Fund, Inc. |
60. | Dreyfus Treasury & Agency Cash Management |
61. | Dreyfus Treasury Prime Cash Management |
62. | Dreyfus U.S. Treasury Intermediate Term Fund |
63. | Dreyfus U.S. Treasury Long Term Fund |
64. | Dreyfus 100% U.S. Treasury Money Market Fund |
65. | Dreyfus Variable Investment Fund |
66. | Dreyfus Worldwide Dollar Money Market Fund, Inc. |
67. | General California Municipal Money Market Fund |
68. | General Government Securities Money Market Funds, Inc. |
69. | General Money Market Fund, Inc. |
70. | General Municipal Money Market Funds, Inc. |
71. | General New York Municipal Money Market Fund |
72. | Strategic Funds, Inc. |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Offices with Registrant |
Jon R. Baum* | Chairman of the Board | None |
Ken Bradle** | Chief Executive Officer, President and Director | None |
Robert G. Capone**** | Executive Vice President and Director | None |
J. Charles Cardona* | Executive Vice President and Director | Executive Vice President (Money Market Funds Only) |
Sue Ann Cormack** | Executive Vice President | None |
John M. Donaghey*** | Executive Vice President and Director | None |
Dwight D. Jacobsen* | Executive Vice President and Director | None |
Mark A. Keleher***** | Executive Vice President | None |
James D. Kohley*** | Executive Vice President | None |
Jeffrey D. Landau* | Executive Vice President and Director | None |
William H. Maresca* | Executive Vice President and Director | None |
Timothy M. McCormick* | Executive Vice President | None |
David K. Mossman*** | Executive Vice President | None |
Christopher D. O'Connor* | Executive Vice President and Director | None |
Irene Papadoulis** | Executive Vice President | None |
Matthew Perrone** | Executive Vice President | None |
Bradley J. Skapyak* | Executive Vice President | President |
Bill E. Sappingon* | Executive Vice President and Director | None |
Gary Pierce* | Chief Financial Officer and Director | None |
Tracy Hopkins* | Senior Vice President | None |
Mercedez Katz** | Senior Vice President | None |
Mary T. Lomasney**** | Senior Vice President | None |
Barbara A. McCann**** | Senior Vice President | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Offices with Registrant |
Christine Carr Smith***** | Senior Vice President | None |
Kathleen DeNicholas* | Chief Legal Officer and Secretary | None |
Joseph W. Connolly* | Chief Compliance Officer (Investment Advisory Business) | Chief Compliance Officer |
Stephen Storen* | Chief Compliance Officer | Anti-Money Laundering Compliance Officer |
Maria Georgopoulos* | Vice President – Facilities Management | None |
Stewart Rosen* | Vice President – Facilities Management | None |
Karin L. Waldmann* | Privacy Officer | None |
Gary E. Abbs*** | Vice President – Tax | None |
Timothy I. Barrett** | Vice President | None |
Gina DiChiara* | Vice President | None |
Jill Gill* | Vice President | None |
Joanne S. Huber*** | Vice President – Tax | None |
John E. Lane****** | Vice President | None |
Kathleen Geis****** | Vice President | None |
Dean M. Steigauf****** | Vice President | None |
Donna M. Impagliazzo** | Vice President – Compliance and Anti-Money Laundering Officer | None |
Edward A. Markward* | Vice President – Compliance | None |
Anthony Nunez* | Vice President – Finance | None |
Claudine Orloski*** | Vice President – Tax | None |
William Schalda* | Vice President | None |
John Shea* | Vice President – Finance | None |
Christopher A. Stallone** | Vice President | None |
Susan Verbil* | Vice President – Finance | None |
William Verity* | Vice President – Finance | None |
James Windels* | Vice President | Treasurer |
James Bitetto* | Assistant Secretary | Vice President and |
James D. Muir* | Assistant Secretary | None |
Barbara J. Parrish*** | Assistant Secretary | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Offices with Registrant |
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 One Mellon Bank Center, Pittsburgh, PA 15258. |
**** | Principal business address is One Boston Place, Boston, MA 02108. |
***** | Principal business address is 50 Fremont Street, Suite 3900, San Francisco, CA 94104. |
****** | Principal business address is 101 Barclay Street, New York 10286. |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
One Wall Street
New York, New York 10286
2. The Bank of New York Mellon
One Mellon Bank Center
Pittsburgh, Pennsylvania 15258
3. DST Systems, Inc.
1055 Broadway
Kansas City, MO 64105
4. The Dreyfus Corporation
200 Park Avenue
New York, New York 10166
Item 34. Management Services
Not Applicable
Item 35. Undertakings
None
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant, Strategic Funds, Inc., has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, and State of New York on the 16th day of March 2012.
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) | 03/16/2012 | ||
Bradley J. Skapyak | ||||
/s/ James Windels* | Treasurer (Principal Financial | 03/16/2012 | ||
James Windels | ||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 03/16/2012 | ||
Joseph S. DiMartino | ||||
/s/ David W. Burke* | Board Member | 03/16/2012 | ||
David W. Burke | ||||
/s/ William Hodding Carter III* | Board Member | 03/16/2012 | ||
William Hodding Carter III | ||||
/s/ Gordon J. Davis* | Board Member | 03/16/2012 | ||
Gordon J. Davis | ||||
/s/ Joni Evans* | Board Member | 03/16/2012 | ||
Joni Evans | ||||
/s/ Ehud Houminer* | Board Member | 03/16/2012 | ||
Ehud Houminer | ||||
/s/ Richard C. Leone* | Board Member | 03/16/2012 | ||
Richard C. Leone |
/s/ Hans C. Mautner* | Board Member | 03/16/2012 | ||
Hans C. Mautner | ||||
/s/ Robin A. Melvin* | Board Member | 03/16/2012 | ||
Robin A. Melvin | ||||
/s/ Burton N. Wallack* | Board Member | 03/16/2012 | ||
Burton N. Wallack | ||||
/s/ John E. Zuccotti* | Board Member | 03/16/2012 | ||
John E. Zuccotti |
*BY: | /s/ John B. Hammalian |
John B. Hammalian, |
INDEX OF EXHIBITS
_________________________
Exhibits
(n) | Rule 18F-3 Plan |