File No.33-08214
811-04813
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. 200 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 200 [X]
(Check appropriate box or boxes.)
Dreyfus Investment Funds
(Exact Name of Registrant as Specified in Charter)
c/o The Dreyfus Corporation
200 Park Avenue, New York, New York 10166
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6400
Bennett A. MacDougall, Esq.
200 Park Avenue
New York, New York 10166
(Name and Address of Agent for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
Explanatory Note
This Post-Effective Amendment consists of the following:
1. Facing Sheet of the Registration Statement.
2. Part C to the Registration Statement (including signature page).
3. Exhibits (d)(9), (d)(10), and (d)(11) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to include as Exhibits (d)(9), (d)(10), and (d)(11) to Item 28 to this Registration Statement on Form N-1A.
With respect to Dreyfus Diversified Emerging Markets Fund, Dreyfus Tax Sensitive Total Return Bond Fund, and Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Part A of Post-Effective
Amendment No. 198 to the Registration Statement on Form N-1A was filed on February 1, 2018 pursuant to Rule 497(c) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
With respect to Dreyfus/Standish Global Fixed Income Fund, Part A of Post-Effective Amendment No. 189 to the Registration Statement on Form N-1A was filed on March 28, 2017 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
The Statement of Additional Information for the Registrant with respect to Dreyfus Diversified Emerging Markets Fund, Dreyfus Tax Sensitive Total Return Bond Fund, and Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Part B of Post-Effective Amendment No. 198 to the Registration Statement on Form N-1A was filed on January 29, 2018 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein; and
The Statement of Additional Information for the Registrant with respect to Dreyfus/Standish Global Fixed Income Fund was filed on January 31, 2018 pursuant to Rule 497e under the Securities Act of 1933, as amended, and is incorporated by reference herein.
Dreyfus Investment Funds
PART C
OTHER INFORMATION
Item 28. Exhibits.
(a)(1) Amended and Restated Agreement and Declaration of Trust dated October 27, 2011 is incorporated by reference to Exhibit (a)(1) of Post-Effective Amendment No. 153 to the Registration Statement on Form N-1A, filed on January 27, 2012 ("Post-Effective Amendment No. 153").
(a)(2) Certificate of Designation dated October 25, 2012 is incorporated by reference to Exhibit (a)(2) of Post-Effective Amendment No. 158 to the Registration Statement on Form N-1A, filed on January 28, 2013 ("Post-Effective Amendment No. 158").
(a)(3) Certificate of Designation dated May 8, 2013 (adding Class Y Shares of Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Tax Sensitive Total Return Bond Fund (formerly Dreyfus/Standish Intermediate Tax-Exempt Bond Fund), Dreyfus/The Boston Company Small/Mid Cap Growth Fund and Dreyfus/The Boston Company Small Cap Growth Fund) is incorporated by reference to Exhibit (a)(3) of Post-Effective Amendment No. 166 to the Registration Statement on Form N-1A, filed on December 31, 2013.
(a)(4) Certificate of Amendment dated January 23, 2014 (changing the name of Dreyfus/The Boston Company Emerging Markets Core Equity Fund to Dreyfus Diversified Emerging Markets Fund) is incorporated by reference to Exhibit (a)(5) of Post-Effective Amendment No. 167 to the Registration Statement on Form N-1A, filed on January 28, 2014 ("Post-Effective Amendment No. 167").
(a)(5) Certificate of Designation dated January 15, 2014 (adding Class Y Shares of Dreyfus Diversified Emerging Markets Fund), is incorporated by reference to Exhibit (a)(4) of Post-Effective Amendment No. 167.
(a)(6) Certificate of Amendment dated February 14, 2014 (changing the name of Dreyfus/Standish Intermediate Tax Exempt Bond Fund to Dreyfus Tax Sensitive Total Return Bond Fund) is incorporated by reference to Exhibit (a)(6) of Post-Effective Amendment No. 170 to the Registration Statement on Form N-1A, filed on February 21, 2014 ("Post-Effective Amendment No. 170").
(a)(7) Certificate of Amendment dated June 23, 2016 (adding Class C and Class Y Shares of Dreyfus/The Boston Company Small Cap Value Fund) is incorporated by reference to Exhibit (a)(7) of Post-Effective Amendment No. 185 to the Registration Statement on Form N-1A, filed on August 22, 2016 ("Post-Effective Amendment No. 185").
(a)(8) Certificate of Amendment dated March 7, 2017 (adding Class T Shares of Dreyfus Diversified Emerging Markets Fund, Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/The Boston Company Small Cap Value Fund and Dreyfus/The Boston Company Small/Mid Cap Growth Fund) is incorporated by reference to Exhibit (a)(8) of Post-Effective Amendment No. 189 to the Registration Statement on Form N-1A, filed on March 28, 2017 ("Post-Effective Amendment No. 189").
(a)(9) Certificate of Amendment (adding Class Z shares of Dreyfus/The Boston Company Small/Mid Cap Growth Fund) is incorporated by reference to Exhibit (a)(9) of Post-Effective Amendment No. 195 to the Registration Statement on Form N-1A, filed on August 31, 2017 ("Post-Effective Amendment No. 195").
(b)(1) Amended and Restated By-Laws dated July 1, 2011 is incorporated by reference to Exhibit (b)(1) of Post-Effective Amendment No. 152 to the Registration Statement on Form N-1A, filed on August 15, 2011.
(c) Not applicable.
(d)(1) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus Tax Sensitive Total Return Bond Fund (formerly Dreyfus/Standish Intermediate Tax Exempt Bond Fund), and The Dreyfus Corporation, dated December 1, 2008, is incorporated by reference to Exhibit (d)(7) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009 ("Post-Effective Amendment No. 135").
(d)(2) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Small/Mid Cap Growth Fund, and The Dreyfus Corporation, dated December 1, 2008, is incorporated by reference to Exhibit (d) (9) of Post-Effective Amendment No. 135.
(d)(3) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/Newton International Equity Fund, and The Dreyfus Corporation, dated December 1, 2008, is incorporated by reference to Exhibit (d) (27) of Post-Effective Amendment No. 133 to the Registration Statement on Form N-1A, filed on January 30, 2009 ("Post-Effective Amendment No. 133").
(d)(4) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus Diversified Emerging Markets Fund (formerly, Dreyfus/The Boston Company Emerging Markets Core Equity Fund), and The Dreyfus Corporation, dated December 1, 2008, as amended October 31, 2013, as revised January 31, 2014, is incorporated by reference to Exhibit (d)(6) of Post-Effective Amendment No. 167.
(d)(5) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Small Cap Growth Fund, and The Dreyfus Corporation, dated December 1, 2008, is incorporated by reference to Exhibit (d) (35) of Post-Effective Amendment No. 135.
(d)(6) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Small Cap Value Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit (d) (36) of Post- Effective Amendment No. 135.
(d)(7) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/Standish Global Fixed Income Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit (d) of Post-Effective Amendment No. 140 to the Registration Statement on Form N-1A, filed on September 30, 2009.
(d)(8) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Newton Capital Management Limited relating to Dreyfus/Newton International Equity Fund is incorporated by reference to Exhibit (d)(39) of Post-Effective Amendment No. 133.
(d)(9) Sub-Investment Advisory Agreement between The Dreyfus Corporation and BNY Mellon Asset Management North American Corporation relating to Dreyfus/The Boston Company Small/Mid Cap Growth Fund, dated January 31, 2014, revised January 31, 2018,is filed herewith.
(d)(10) Sub-Investment Advisory Agreement between The Dreyfus Corporation and BNY Mellon Asset Management North America Corporation relating to Dreyfus Diversified Emerging Markets Fund, dated July 30, 2015, revised January 31, 2018 is filed herewith.
(d)(11) Sub-Investment Advisory Agreement between The Dreyfus Corporation and BNY Mellon Asset Management North America Corporation relating to Dreyfus/Standish Global Fixed Income Fund and Dreyfus Tax Sensitive Total Return Bond Fund, dated February 21, 2014, revised January 31, 2018 is filed herewith.
(d)(12) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Newton Capital Management Limited relating to Dreyfus/Newton International Equity Fund is incorporated by reference to Exhibit (d)(12) of Post-Effective Amendment No. 187 to the Registration Statement on Form N-1A, filed on February 27, 2017 ("Post-Effective Amendment No. 187").
(d)(13) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/Newton International Equity Fund, and The Dreyfus Corporation is incorporated by reference to
Exhibit (d)(13) of Post-Effective Amendment No. 193 to the Registration Statement on Form N-1A, filed on August 8, 2017 ("Post-Effective Amendment No. 193").
(d)(14) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Newton Investment Management (North America) Limited relating to Dreyfus/Newton International Equity Fund is incorporated by reference to Exhibit (d)(14) of Post-Effective Amendment No. 193.
(e)(1) Amended and Restated Distribution Agreement between the Registrant and MBSC Securities Corporation, dated October 1, 2010, revised June 18, 2013, is incorporated by reference to Exhibit (e) and (e)(1) of Post-Effective Amendment No. 162 to the Registration Statement on Form N-1A, filed on January 26,2013").
(e)(2) Forms of Broker-Dealer Selling Agreement and Bank Selling Agreement is incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 193.
(e)(3) Form of Service Agreement is incorporated by reference to Exhibit (e)(4) of Post-Effective Amendment No. 182 to the Registrations Statement on Form N-1A, filed on April 27, 2016("Post-Effective Amendment No. 182").
(f) Not applicable.
(g)(1) Custody Agreement between the Registrant and The Bank of New York Mellon, dated January 1, 2011 (effective as of May 1, 2011)is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 149 to the Registration Statement on Form N-1A, filed on April 28, 2011.
(g)(2) Amendment to Custody Agreement made as of October 1, 2013 is incorporated by reference to Exhibit (g)(2) of Post-Effective Amendment No. 167.
(g)(3) Amendment to Custody Agreement made as of December 22, 2016incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 187.
(h)(1) Transfer Agency Agreement between the Registrant and Dreyfus Transfer, Inc., dated May 29, 2012isincorporated by reference to Exhibit (h)(1) of Post-Effective Amendment No. 158.
(h)(2) Fund Accounting and Administrative Services Agreement between the Registrant and The Dreyfus Corporation, dated May 1,2011, as amended October 31, 2013, is incorporated by reference to Exhibit (h)(2) of Post-Effective Amendment No. 167.
(h)(3) Shareholder Services Plan, dated December 20, 2007, amended October 29, 2009, and revised April 28, 2016 for Dreyfus Diversified Emerging Markets Fund, Dreyfus/The Boston Company Small Cap Value Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/Newton International Equity Fund, Dreyfus Tax Sensitive Total Return Bond Fund and Dreyfus/Standish Global Fixed Income Fundis incorporated by reference to Exhibit (h)(3) of Post-Effective Amendment No. 185.
(i)(1) Opinion and consent of Registrant's counsel (relating to Dreyfus/Standish Global Fixed Income Fund)is incorporated by reference to Exhibit (i) (1) of Post-Effective Amendment No. 189.
(i)(2) Opinion and consent of Registrant's counsel (relating to Dreyfus Diversified Emerging Markets Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small Cap Value Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/Newton International Equity Fund and Dreyfus Tax Sensitive Total Return Bond Fund) is incorporated by reference to Exhibit (i)(2) of Post-Effective Amendment No. 198 to the Registration Statement on Form N-1A, filed on January 29, 2018 ("Post-Effective Amendment No. 198").
(i)(3) Opinion and consent of Registrant's counsel (relating to Class T Shares of Dreyfus Diversified Emerging Markets Fund, Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/The Boston Company Small Cap Value Fund and Dreyfus/The Boston
Company Small/Mid Cap Growth Fund) is incorporated by reference to Exhibit (i) (3) of Post-Effective Amendment No. 189.
(j)(1) Consent of Independent Registered Public Accounting Firm (relating toDreyfus Diversified Emerging Markets Fund, Dreyfus/Newton International Equity Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small Cap Value Fund and Dreyfus/The Boston Company Small/Mid Cap Growth Fund) is incorporated by reference to Exhibit (j) (1) of Post-Effective Amendment No. 189
(j)(2) Consent of Independent Registered Public Accounting Firm (relating to Dreyfus/Standish Global Fixed Income Fund; and to the Class T shares ofrelating to Dreyfus Diversified Emerging Markets Fund, Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/The Boston Company Small Cap Value Fund and Dreyfus/The Boston Company Small/Mid Cap Growth Fund) isincorporated by reference to Exhibit (j) (2) of Post-Effective Amendment No. 189.
(k) None.
(l) Not applicable.
(m)(1) Distribution Plan, dated December 20, 2007 and amended October 29, 2009, adopted April 26, 2016 is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 185.
(m)(2) Service Plan (Rule 12b-1 Plan) dated March 31, 2017, (relating to Dreyfus Diversified Emerging Markets Fund, Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/The Boston Company Small Value Fund and Dreyfus/The Boston Company Small/Mid Cap Growth Fund isincorporated by reference to Exhibit (m) (2) of Post-Effective Amendment No. 189.
(m)(3) Service Plan (Rule 12b-1 Plan) isincorporated by reference to Exhibit (m) (3) of Post-Effective Amendment No. 195.
(n)(1) Rule 18f-3 Plan, dated December 15, 2017, is incorporated by reference to Exhibit (n)(1) of Post-Effective Amendment No. 197 to the Registration Statement on Form N-1A, filed on December 14, 2017 ("Post-Effective Amendment No. 197").
(p)(1) Revised Code of Ethics adopted by the Registrant, The Dreyfus Corporation, BNY Mellon, The Boston Company Asset Management and Standish Mellon Asset Management Company LLC, and Newton Investment Management (North America) Limited, which became effective November 3, 2014 is incorporated by reference toExhibit (p)(3) of Post-Effective Amendment No. 176 to the Registration Statement on Form N-1A, filed on April 27, 2015 ("Post-Effective Amendment No. 176").
(p)(2) Code of Ethics adopted by the non-management Board members of the Dreyfus Family of Funds, which became effective March 31, 2010, is incorporated by reference to Exhibit (r) of Post-Effective Amendment No. 144 to the Registration Statement on Form N-1A, filed on February 26, 2010.
Other Exhibits
(1) Power of Attorney of Bradley J. Skapyak, James Windels and Trustees, dated February 23, 201, effective April 1, 2017 is incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 189.
______________________
Item 29. Persons Controlled by or Under Common Control with Registrant
Not Applicable.
Item 30. Indemnification
Under the Registrant's Agreement and Declaration of Trust, as amended, any past or present Trustee or officer of the Registrant is indemnified to the fullest extent permitted by law against liability and all expenses reasonably incurred by him in connection with any
action, suit or proceeding to which he may be a party or is otherwise involved by reason of his being or having been a Trustee or officer of the Registrant. The Agreement and Declaration of Trust of the Registrant does not authorize indemnification where it is determined, in the manner specified in the Declaration, that such Trustee or officer has not acted in good faith in the reasonable belief that his actions were in the best interest of the Registrant. Moreover, the Declaration does not authorize indemnification where such Trustee or officer is liable to the Registrant or its shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of his or her duties.
Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to Trustees, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that, in the opinion of the Securities and Exchange Commission, such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a Trustee, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by any such Trustee, officer or controlling person against the Registrant in connection with the securities being registered, and the Commission is still of the same opinion, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.
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 an investment adviser, sub-investment adviser or administrator.
(b) Business and Other Connections of Sub-Investment Adviser
With respect to Dreyfus Diversified Emerging Markets Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund and Dreyfus/Standish Global Fixed Income Fund, Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of BNY Mellon Asset Management North America Corporation ("BNY Mellon AMNA"), together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by BNY Mellon AMNA or those firm's respective officers and directors during the past two years, by incorporating by reference the information contained in the respective Forms ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by BNY Mellon AMNA (SEC File No. 801-19785).
With respect to Dreyfus/Newton International Equity Fund, Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Newton Investment Management (North America) Limited ("Newton"), together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Newton or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Newton (SEC File No. 801-42114).
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position | Other Businesses | Position Held | Dates |
Renee LaRoche-Morris | The Dreyfus Corporation++ | President | 1/18 – Present |
BNY Mellon Investment Management******* | Chief Operating Officer | 1/18 - Present | |
BNY Mellon Wealth Management++ | Chief Financial Officer | 5/14-12/17 | |
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 | |
Gregory Brisk | Alcentra Limited^ | Director | 9/12 - Present |
Alcentra NY LLC++ | Director | 10/15 - Present | |
Alcentra US, Inc. †††† | Director | 10/15 - Present | |
Alternative Holdings I, LLC******* | Director | 7/16 - Present | |
Alternative Holdings II, LLC******* | Director | 3/16 - Present | |
BNY Alcentra Group Holdings, Inc. †††††† | Director | 7/16 - Present | |
BNYM CSIM Funding LLC+++ | Director | 8/17 - Present | |
ABF Brazil Fund, SPC^^ | Director | 7/08 - Present | |
BNY Mellon Asset Management Operations LLC^^^ | Director | 11/17 - Present | |
BNY Mellon Asset Management North America Corporation* | Director | 1/18 - Present | |
BNY Mellon Fund Managers Limited^ | Director | 10/02 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Fund Management (Luxembourg) S.A.^^^^ | Director | 3/16 - Present | |
BNY Mellon Global Funds PLC^^^^^ | Director | 2/03 - Present | |
BNY Mellon Global Management Limited^^^^^^ | Director | 11/02 - Present | |
BNY Mellon International Asset Management (Holdings) Limited^ | Director | 10/12 - Present | |
BNY Mellon International Asset Management (Holdings) No. 1 Limited^ | Director | 10/12 - Present | |
BNY Mellon International Asset Management Group Limited^ | Director | 5/10 - Present | |
BNY Mellon Investment Management (APAC) Holdings Ltd^ | Director | 9/03 - Present | |
BNY Mellon Investment Management EMEA Limited^ | Director | 12/15 - Present | |
BNY Mellon Investment Management (Europe) Limited^ | Director | 11/12 – Present | |
BNY Mellon Investment Management (Jersey) Limited. ^^^^^^^ | Director | 11/12 – Present | |
BNY Mellon Investment Management Europe Holdings Limited^ | Director | 11/12 – Present | |
BNY Mellon Investment Management Holdings (Germany) Limited^ | Director | 9/12 - Present | |
BNY Mellon Investment Management Seed Capital Limited^ | Director | 11/13 - Present | |
BNY Mellon Investment Management (Shanghai) Limited^^^^^^^^ | Director | 6/17 - Present | |
BNY Mellon Liquidity Funds PLC^^^^^^^^^ | Director | 12/02 - Present |
Name and Position | Other Businesses | Position Held | Dates |
BNY MFM Nominees Limited^ | Director | 5/02 - Present | |
CenterSquare Investment Management Holdings, Inc. +++ | Director | 7/16 - Present | |
CenterSquare Investment Management, Inc. +++ | Director | 7/16 - Present | |
CenterSquare Global Securities Management Inc. +++ | Director | 8/17 - Present | |
Cutwater Asset Management Corp++ | Director | 1/15 - Present | |
Cutwater Holdings LLC++ | Director | 1/15 - Present | |
Cutwater Investor Services Corp++ | Director | 1/15 - Present | |
EACM Advisors LLC^^ | Director | 7/16 - Present | |
Insight Investment International Limited^ | Director | 2/18 – Present | |
Insight Investment Management Limited^ | Director | 4/16 - Present | |
Insight Investment Management (Global) Limited^ | Director | 4/16 - Present | |
Insight Investment Funds Management Limited^ | Director | 4/16 - Present | |
Insight Investment Management (Ireland) Limited^^^^^^^^^^ | Director | 3/17 - Present | |
Insight North America LLC++ | Director | 11/17 - Present | |
Absolute Insight Funds PLC^^^^^^^^^^ | Director | 3/17 - Present | |
Insight Global Funds II PLC^^^^^^^^^^ | Director | 3/17 - Present | |
Insight Liquidity Funds PLC^^^^^^^^^^ | Director | 3/17 - Present | |
LDI Solutions Plus PLC^^^^^^^^^^ | Director | 3/17 - Present | |
MBC Investment Corporation# | Director | 2/17 - Present | |
Mellon Capital Management Corporation** | Director | 7/16 – 1/18 | |
Mellon Europe Pension (Nominees) Limited^ | Director | 12/00 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Global Investing Corp+ | Director | 8/10 - Present | |
Mellon JV Limited^ | Director | 1/06 - Present | |
Mellon Overseas Investment Corporation******* | Director | 4/08 - Present | |
Newton Investment Management Limited^ | Director | 5/16 - Present | |
Newton Investment Management (North America) Limited^ | Director | 5/16 - Present | |
Newton Management Limited^ | Director | 8/16 - Present | |
NWK Multi-Strategy Funds PLC^^^^^^ | Director | 5/07 - Present | |
Pareto Investment Management Limited^ | Director | 4/16 – 1/18 | |
Standish Mellon Asset Management Company LLC******* | Director | 6/16 – 1/18 | |
The Boston Company Asset Management, LLC* | Director | 7/16 – 1/18 | |
XBK LLC^^^ | Director | 11/17 - Present | |
The Fordham Trust++++++++ | Director | 3/15 - Present | |
The St. Nicholas Cole Abbey Centre for Workplace Ministry Limited††††††† | Director | 9/11 - Present | |
Distaff Lane Coffee Limited††††††† | Director | 9/17 - Present | |
BNY Mellon Advantage Series^^^^^^^ | Director | 11/13 – 6/17 | |
BNY Mellon China A Share Equity Fund, A SEGREGATED PORTFOLIO^^ | Director | 3/11 – 10/15 | |
BNY Mellon Compass Fund SICAV######### | Director | 11/11 – 1/16 | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Enhanced Coefficient Select Fund PLC^^^^^^^ | Director | 4/08 – 8/15 | |
BNY Mellon Term Investment Portfolios PLC^^^^^^^ | Director | 8/13 – 7/16 | |
BNY Mellon Offshore Currency Opportunity Enhanced Master Fund Limited^^ | Director | 6/06 – 1/15 | |
BNY Mellon Offshore Currency Opportunity Enhanced UK Equitized Fund Limited^^ | Director | 6/06 – 1/15 | |
Mellon Global Alternative Investment Fund PLC******** | Director | 2/06 – 12/16 | |
MAM (MA) Holding Trust* | Director | 7/16 – 3/16 | |
MAM (MA) Holdings LLC* | Director | 12/16 – 3/16 | |
Joseph W. Connolly | The Dreyfus Family of Funds++ | Chief Compliance Officer | 10/04 - Present |
BNY Mellon Funds Trust++ | Chief Compliance Officer | 10/04 - Present | |
MBSC Securities Corporation++ | Chief Compliance Officer | 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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/13 – Present | |
484Wall Capital Management LLC*** | Assistant Treasurer – Tax | 10/13 – 5/16 | |
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 Asset Management North America Corporation* | Assistant Treasurer – Tax | 1/18 – Present | |
BNY Mellon Capital Markets, LLC^^^^^ | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Clearing, LLC*** | Assistant Treasurer – Tax | 3/16 – Present | |
BNY Mellon Clearing Holding Company, LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Fixed Income Securities, LLC*** | Assistant Treasurer – Tax | 8/13 – Present | |
BNY Mellon Trust Company of Illinois ***** | Assistant Treasurer – Tax | 3/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Capital Management Corporation** | Assistant Treasurer – Tax | 1/14 – 1/18 | |
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 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 – 1/18 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 – 1/18 | |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Asset Management North America Corporation* | Vice President - | 1/18 – 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 | |
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 – 1/18 | |
Mellon Financial Services Corporation #1+ | Vice President - | 7/11 – Present | |
Mellon Holdings LLC++ | Vice President - | 7/11 – Present | |
Mellon Investor Services Holdings LLC+++++++ | Vice President - | 8/16 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
Pareto New York LLC ++ | Vice President - | 7/11 – Present | |
SourceNet Solutions, Inc. + | Vice President - | 7/11 – 5/13 | |
Technology Services Group, Inc.^^^^^ | Vice President - | 7/11 – Present | |
Tennessee Processing Center LLC^^^^^ | Vice President - | 7/11 - Present | |
The Bank of New York Mellon Trust Company, National Association+ | Vice President - | 7/11 - Present | |
Alcentra US, Inc.†††† | Vice President - | 7/11 - Present | |
BNY Mellon Capital Markets LLC^^^^^ | Vice President - | 7/11 - Present | |
Pershing LLC### | Vice President - | 7/11 - Present | |
The Bank of New York Mellon+ | Managing Director | 7/09 - Present | |
MBNA Institutional PA Services, LLC+ | Managing Director | 7/09 – 10/14 | |
Claudine Orloski | Dreyfus Service Organization++ | Vice President – Tax | 8/14 – Present |
MBSC Securities Corporation++ | Vice President – Tax | 2/12 - Present | |
Asset Recovery II, LLC*** | Assistant Treasurer | 9/11 - Present | |
Asset Recovery III, LLC*** | Assistant Treasurer | 9/11 – 3/15 | |
Asset Recovery IV, LLC*** | Assistant Treasurer | 9/11 – Present | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 Asset Management North America Corporation* | Assistant Treasurer –Tax | 1/18 – Present | |
BNY Mellon Investments CTA, LLC* | Assistant Treasurer | 9/13 – Present | |
BNY Mellon Trust of Delaware# | Assistant Treasurer | 11/11 – Present | |
Mellon Hedge Advisors, LLC* | Assistant Treasurer | 10/11 – Present | |
Mellon Holdings LLC++ | Assistant Treasurer | 12/11 – Present | |
MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/11 – Present | |
484 Wall Capital Management LLC | Assistant Treasurer -Tax | 10/13 – 5/16 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
BNY Lease Partners LLC*** | Assistant Treasurer –Tax | 9/11 – Present | |
BNY Leasing Edge Corporation*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Alternative Investments Holdings LLC*** | Assistant Treasurer –Tax | 10/13 – Present | |
BNY Mellon Capital Markets, | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Clearing Holding Company, LLC*** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Clearing, LLC*** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mellon Community Development Corporation^^^^^ | Assistant Treasurer –Tax | 10/11 – Present | |
BNY Mellon Distributors Holdings | Assistant Treasurer –Tax | 7/12 – Present | |
BNY Mellon Fixed Income Securities, LLC*** | Assistant Treasurer –Tax | 8/12 – Present | |
BNY Mellon Investment Servicing (US) Inc.# | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mellon Investment Servicing Trust Company# | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mellon Performance & Risk Analytics, Inc. (US)^^^^^^ | Assistant Treasurer –Tax | 10/11 – Present | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 – 1/18 | |
Mellon EFT Services | Assistant Treasurer –Tax | 2/11 – Present | |
Mellon Financial Services Corporation #1+ | Assistant Treasurer –Tax | 7/11 – Present | |
Mellon Financial Services Corporation #4+ | Assistant Treasurer –Tax | 12/11 – Present | |
Mellon Funding Corporation+ | Assistant Treasurer –Tax | 12/11 – Present | |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 – 1/18 | |
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 – 1/18 | |
Tiber Capital Management LLC++ | Assistant Treasurer –Tax | 8/15 – 7/16 | |
USPLP, Inc.******* | Assistant Treasurer –Tax | 10/11 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 Grand Canal House, 1 Upper Grand Canal Street, Dublin, 4 Ireland. |
^ | The address of the business so indicated is BNY Mellon Centre 160 Queen Victoria Street, London EC4V 4LA. |
^^ | The address of the business so indicated is 87 Mary Street, George Town, KY1-9005, Cayman Islands. |
^^^ | The address of the business so indicated is 201 Washington Street, Boston, Massachusetts 02108. |
^^^^ | The address of the business so indicated is 2-4, rue Eugène Ruppert, L-2453 Luxembourg, Luxembourg. |
^^^^^ | The address of the business so indicated is One Dockland Central, Guild Street, IFSC, Dublin 1. |
^^^^^^ | The address of the business so indicated is 33 Sir John Rogersons Quay, Dublin 2. |
^^^^^^^ | The address of the business so indicated is Ogier House, The Esplanade, St Helier, Jersey, JE4 9WG. |
^^^^^^^^ | The address of the business so indicated is Room 6053, Level 6, 21st Century Building, No.210, Century Avenue, China, (Shanghai) Pilot Free Trade Zone. |
^^^^^^^^^ | The address of the business so indicated is 6th Floor, 2 Grand Canal Square, Dublin 2, Ireland. |
^^^^^^^^^^ | The address of the business so indicated is 32 Molesworth Street, Dublin 2, Ireland. |
+ | The address of the business so indicated is One Mellon Bank Center, Pittsburgh, PA 15258. | |||
++ | The address of the business so indicated is 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 Hartpiece, Lamarsh, Bures, Suffolk, CO8 5EP.. | |||
† | The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259. | |||
††† | The address of the business so indicated is 100 White Clay Center, Newark, DE 19711. | |||
††† | The address of the business so indicated is 1633 Broadway, New York, NY, 10019. | |||
†††† | The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA, 90024. | |||
††††† | The address of the business so indicated is 1735 Market Street, Philadelphia, PA, 19103. | |||
†††††† | The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD. | |||
††††††† | The address of the business so indicated is 114 Queen Victoria Street, London, EC4V 4BJ. | |||
^ | The address of the business so indicated is 4 New York Plaza, New York, NY, 10004. | |||
^^ | The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT, 06854-1940. | |||
^^^ | The address of the business so indicated is One Wells Avenue, Newton, MA, 02459. | |||
^^^^ | The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT, 06107. | |||
^^^^^ | The address of the business so indicated is 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 David M. Breen & Co. Suite 4, Wallace House, Maritana Gate, Canada Street, Waterford. | |||
# | The address of the business so indicated is 301 Bellevue Parkway, Wilmington, DE, 19809. | |||
## | The address of the business so indicated is 780, Third Avenue, 44th Floor, New York, NY, 10017. | |||
### | The address of the business so indicated is One Pershing Plaza, Jersey City, NJ, 07399. | |||
#### | The address of the business so indicated is 601 Travis Street, 17th Floor, Houston, TX, 77002. | |||
##### | The address of the business so indicated is 1201 Louisiana, Suite 3160, Houston, TX, 77002. | |||
###### | The address of the business so indicated is 760 Moore Road, King of Prussia, PA, 19406-1212. | |||
####### | The address of the business so indicated is 8400 E. Prentice Ave, Greenwood Village, CO, 80111. | |||
######## | The address of the business so indicated is 1290 Avenue of the Americas, New York, NY, 10104. | |||
######### | The address of the business so indicated is 6 C, route de Trèves, L-2633 Senningerberg, Luxembourg. | |||
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. | 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 Liquidity 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. | Dreyfus Liquid Assets, Inc. |
28. | Dreyfus Manager Funds II |
29. | Dreyfus Midcap Index Fund, Inc. |
30. | Dreyfus Municipal Bond Opportunity Fund |
31. | Dreyfus Municipal Funds, Inc. |
32. | Dreyfus New Jersey Municipal Bond Fund, Inc. |
33. | Dreyfus New York AMT-Free Municipal Bond Fund |
34. | Dreyfus New York Tax Exempt Bond Fund, Inc. |
35. | Dreyfus Opportunity Funds |
36. | Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
37. | Dreyfus Premier GNMA Fund, Inc. |
38. | Dreyfus Premier Investment Funds, Inc. |
39. | Dreyfus Premier Short-Intermediate Municipal Bond Fund |
40. | Dreyfus Premier Worldwide Growth Fund, Inc. |
41. | Dreyfus Research Growth Fund, Inc. |
42. | Dreyfus State Municipal Bond Funds |
43. | Dreyfus Stock Funds |
44. | Dreyfus Stock Index Fund, Inc. |
45. | Dreyfus Sustainable U.S. Equity Fund, Inc. |
46. | Dreyfus Sustainable U.S. Equity Portfolio, Inc. |
47. | Dreyfus Tax Exempt Cash Management Funds |
48. | Dreyfus Treasury & Agency Cash Management |
49. | Dreyfus Treasury Securities Cash Management |
50. | Dreyfus Ultra Short Income Fund |
51. | Dreyfus Variable Investment Fund |
52. | General California Municipal Money Market Fund |
53. | General Government Securities Money Market Funds, Inc. |
54. | General Money Market Fund, Inc. |
55. | General Municipal Money Market Funds, Inc. |
56. | General New Jersey Municipal Money Market Fund, Inc. |
57. | General New York AMT-Free Municipal Money Market Fund |
58. | 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 |
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 |
William Kennedy††† | Chief Compliance officer | 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 |
John Cimino* | Vice President | None |
Christopher Donoghue** | Vice President | None |
Tina Rizzo** | 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 |
Paul Mazziotti** | Anti-Money Laundering Officer | None |
James Bitetto* | Assistant Secretary | Vice President and |
Audrey Edwards*** | Assistant Secretary | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
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 5oo Ross Street, Pittsburgh, PA 15262-0001 |
††† | 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 5th of March, 2018.
Dreyfus Investment Funds
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) | 03/5/2018 | |||
Bradley J. Skapyak | |||||
/s/ James Windels* | Treasurer (Principal Financial | 03/5/2018 | |||
James Windels | |||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 03/5/2018 | |||
Joseph S. DiMartino | |||||
/s/ Kenneth A. Himmel* | Board Member | 03/5/2018 | |||
Kenneth A. Himmel | |||||
/s/ Stephen J. Lockwood* | Board Member | 03/5/2018 | |||
Stephen J. Lockwood | |||||
/s/ Roslyn M. Watson* | Board Member | 03/5/2018 | |||
Roslyn M. Watson | |||||
/s/ Benaree Pratt Wiley* | Board Member | 03/5/2018 | |||
Benaree Pratt Wiley | |||||
/s/ Francine J. Bovich* | Board Member | 03/5/2018 | |||
Francine J. Bovich | |||||
*BY: | /s/ James Bitetto | ||||
James Bitetto | |||||
INDEX OF EXHIBITS
Exhibits
(d)(9) Sub-Investment Advisory Agreement between The Dreyfus Corporation and BNY Mellon Asset Management North American Corporation relating to Dreyfus/The Boston Company Small/Mid Cap Growth Fund, dated January 31, 2014, revised January 31, 2018.
(d)(10) Sub-Investment Advisory Agreement between The Dreyfus Corporation and BNY Mellon Asset Management North America Corporation relating to Dreyfus Diversified Emerging Markets Fund, dated July 30, 2015, revised January 31, 2018.
(d)(11) Sub-Investment Advisory Agreement between The Dreyfus Corporation and BNY Mellon Asset Management North America Corporation relating to Dreyfus/Standish Global Fixed Income Fund and Dreyfus Tax Sensitive Total Return Bond Fund, dated February 21, 2014, revised January 31, 2018.
