File No. 33-09451
811-04870
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. 61 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 61 [X]
(Check appropriate box or boxes.)
General New York AMT-Free Municipal Money Market Fund
(Exact Name of Registrant as Specified in Charter)
c/o BNY Mellon Investment Adviser, Inc.
240 Greenwich Street, New York, New York 10286
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6400
Bennett A. MacDougall, Esq.
240 Greenwich Street
New York, New York 10286
(Name and Address of Agent for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
Explanatory Note
This Post-Effective Amendment consists of the following:
1. Facing Sheet of the Registration Statement.
2. Part C to the Registration Statement (including signature page).
3. Exhibit (h)(3) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file the Shareholder Services Plan, with respect to Premier Shares, as Exhibit (h)(3) to Item 28 to this Registration Statement on Form N-1A.
Part A of the Registration Statement was filed on November 23, 2020 pursuant to Rule 485(b) under the Securities Act of 1933 and is incorporated by reference herein; and
Part B of the Registration Statement was filed on November 23, 2020 pursuant to Rule 485(b) under the Securities Act of 1933 and is incorporated by reference herein.
GENERAL NEW YORK AMT-FREE MUNICIPAL MONEY MARKET FUND
(formerly General New York Municipal Money Market Fund)
PART C. OTHER INFORMATION
_________________________
Item 28. Exhibits.
_______ ________
(a)(1) Registrant's Amended and Restated Declaration of Trust dated January 3, 1995, is incorporated by reference to Exhibit (1) to Post-Effective Amendment No. 11 to the Registration Statement on Form N-1A, filed on January 30, 1995 ("Post-Effective Amendment No. 11").
(a)(2) Registrant's Certificate of Amendment to the Amended and Restated Declaration of Trust, dated August 13, 2015, is incorporated by reference to Exhibit (a)(2) to Post-Effective Amendment No. 49 to the Registration Statement on Form N-1A, filed on March 29, 2016 ("Post-Effective Amendment No. 49").
(a)(3) Registrant's Certificate of Amendment to the Amended and Restated Declaration of Trust, dated November 16, 2020, is incorporated by reference to Exhibit (a)(3) to Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on November 23, 2020 ("Post-Effective Amendment No. 60").
(b) Registrant's Amended and Restated By-Laws, dated July 1, 2011 is incorporated by reference to Exhibit (b) to Post-Effective Amendment No. 57 to the Registration Statement on Form N-1A, filed on March 27, 2020 ("Post-Effective Amendment No. 57").
(d) Management Agreement between the Registrant and BNY Mellon Investment Adviser, Inc., dated June 3, 2019 is incorporated by reference to Exhibit (d) to Post-Effective Amendment No. 57.
(e) (1) Distribution Agreement between the Registrant and BNY Mellon Securities Corporation, Amended and Restated June 3, 2019 is incorporated by reference to Exhibit (e)(1) to Post-Effective Amendment No. 57.
(e) (2) Forms of Supplement to Service Agreements, dated October 1, 2006, are incorporated by reference to Exhibit (e) (3) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on March 30, 2007.
(e) (3) Form of Broker/Dealer Selling Agreement is incorporated by reference to Exhibit (e)(3) to Post-Effective Amendment No. 57.
(e) (4) Form of Bank Selling Agreement is incorporated by reference to Exhibit (e)(4) to Post-Effective Amendment No. 57.
(e) (5) Form of Service Agreement is incorporated by reference to Exhibit (e)(5) to Post-Effective Amendment No. 49.
(g) (1) Custody Agreement between the Registrant and The Bank of New York Mellon, dated January 1, 2011, is incorporated by reference to Exhibit (g) to Post-Effective Amendment No. 37 to the Registration Statement on Form N-1A, filed on March 30, 2011.
(g) (2) Amendment to Custody Agreement between the Registrant and The Bank of New York Mellon, dated October 1, 2013, is incorporated by reference to Exhibit (g) (2) to Post-
Effective Amendment No. 44 to the Registration Statement on Form N-1A, filed on March 28, 2014.
Amendment to Custody Agreement between the Registrant and The Bank of New York Mellon, dated October 1, 2013, is incorporated by reference to Exhibit (g) (2) to Post-
Effective Amendment No. 44 to the Registration Statement on Form N-1A, filed on March 28, 2014.
(g) (3) Second Amendment to Custody Agreement between the Registrant and The Bank of New York Mellon, dated December 22, 2016, is incorporated by reference to Exhibit (g) (3) of Post-Effective Amendment No. 51 to the Registration Statement on Form N-1A, filed on March 30, 2017.
(h) (1) Shareholder Services Plan, with respect to Class A, dated July 21, 1993 as revised June 3, 2019 is incorporated by reference to Exhibit (h)(1) to Post-Effective Amendment No. 57.
(h) (2) Shareholder Services Plan, with respect to Class B, dated July 19, 1995, revised September 1, 2015 is incorporated by reference to Exhibit (h)(2) to Post-Effective Amendment No. 57.
(h) (3) Shareholder Services Plan, with respect to Premier shares, dated July 21, 1993 as revised November 17, 2020.*
(h) (4) Form of Amended and Restated Transfer Agency Agreement between the Registrant and Dreyfus Transfer, Inc., dated May 29, 2012, is incorporated by reference to Exhibit (h) (2) of Post-Effective Amendment No. 42 to the Registration Statement on Form N-1A, filed on March 28, 2013.
(i) Opinion and consent of Registrant's counsel, dated November 5, 1986, is incorporated by reference to Exhibit (10) to Post-Effective Amendment No. 11.
(j) Consent of Independent Registered Public Accounting Firm dated November 20, 2020, is incorporated by reference to Exhibit (j) to Post-Effective Amendment No. 60.
(m) Distribution Plan, dated July 19, 1995 as revised June 3, 2019 is incorporated by reference to Exhibit (m) to Post-Effective Amendment No. 57.
(n) Rule 18f-3 Plan, dated July 19, 1995 as revised dated November 23, 2020, is incorporated by reference to Exhibit (n) to Post-Effective Amendment No. 60.
(p) (1) Revised Code of Ethics adopted by The Registrant, BNY Mellon Investment Adviser, Inc., BNY Mellon and BNY Mellon Securities Corporation is incorporated by reference to Exhibit (p)(1) to Post-Effective Amendment No. 57.
(p) (2) Code of Ethics for the Non-management Board Members of the BNY Mellon Family of Funds and BNY Mellon Funds Trust is incorporated by reference to Exhibit (p)(2) to Post-Effective Amendment No. 57.
Other Exhibits
(a) Power of Attorney, dated March 4, 2020 is incorporated by reference to Other Exhibit (a) to Post-Effective Amendment No. 57.
_______________
* Filed herewith
Item 29. Persons Controlled by or under Common Control with Registrant
_______ ______________________________________________________________
Not Applicable.
Item 30. Indemnification.
_______ _______________
The Registrant’s charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including 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 made to Article SEVENTH of the Registrant’s Declaration of Trust and any amendments thereto, Article 10 of Registrant’s Amended and Restated Bylaws, and Section 1.10 of the Distribution Agreement, which is incorporated by reference to Exhibit (e) (1) Post-Effective Amendment No. 37.
Item 31. Business and Other Connections of Investment Adviser
_______ ______________________________________________
BNY Mellon Investment Adviser, Inc. ("BNYM Investment Adviser") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. BNYM Investment Adviser also serves as sub-investment adviser to and/or administrator of other investment companies. BNY Mellon Securities Corporation, a wholly-owned subsidiary of BNYM Investment Adviser, serves primarily as a registered broker-dealer of shares of investment companies sponsored by BNYM Investment Adviser and of other investment companies for which BNYM Investment Adviser acts as 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 With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| | | |
Renee LaRoche-Morris President and Director | BNY Mellon Family of Funds++
| President | 6/19 - Present |
| BNY Mellon Investment Adviser, Inc. ++ | President | 6/19 – Present
|
| BNY Mellon Investment Management******* | Chief Operating Officer | 1/18 - Present |
| | | |
| BNY Mellon Securities Corporation++ | Chairman, Executive Vice President and Director | 6/19 - Present |
| BNY Mellon Transfer, Inc.++ | Director and Vice President | 6/19 - Present |
| | | |
| MBSC Securities Corporation++ | Chairman, Executive Vice President and Director | 6/18 – 6/19 |
| | | |
| MBSC Securities Corporation++ | Executive Vice President | 3/18 – 6/18 |
| | | |
| The Dreyfus Corporation++ | President | 1/18 –6/19 |
| | | |
| The Dreyfus Family of Funds++ | President | 5/19 – 6/19 |
| | | |
| | | |
|
Kenneth Bradle Vice President and Director | BNY Mellon Securities Corporation++ | Director President | 10/20 – Present 6/19 – Present |
|
|
| | | |
|
| BNY Mellon Investment Adviser, Inc. ++ | Director Vice President | 10/20 – Present 6/19 - Present |
|
| | | |
| BNY Mellon Transfer, Inc.++ | Chairman | 6/19 - Present |
| | | |
| MBSC Securities Corporation ++ | Director | 8/06 – 5/19 |
| | | |
| MBSC Securities Corporation ++ | President | 5/19 – 6/19 |
| | | |
| | | |
Joseph W. Connolly Chief Compliance Officer | BNY Mellon Family of Funds++ | Chief Compliance Officer | 6/19 - Present |
| BNY Mellon Funds Trust++ | Chief Compliance Officer | 10/04 - Present |
| | | |
| The Dreyfus Family of Funds++
| Chief Compliance Officer | 10/04 – 6/19 |
| | | |
Christopher O'Connor Chief Administrative Officer | BNY Mellon Securities Corporation++ | Executive Vice President | 6/19 – Present |
| | | |
| MBSC Securities Corporation++ | Executive Vice President | 12/11 – 6/19 |
| | | |
| | | |
Bennett A. MacDougall Chief Legal Officer | The Bank of New York Mellon Corporation ++ | Associate General Counsel | 6/15 – Present
|
| | | |
| BNY Mellon Family of Funds++ | Chief Legal Officer | 6/19 - Present |
| | | |
| BNY Mellon ETF Trust++ | Chief Legal Officer | 3/20 - Present |
| | | |
|
| BNY Mellon Funds Trust ++ | Chief Legal Officer | 10/15 – Present |
|
| | | |
| The Dreyfus Family of Funds++ | Chief Legal Officer | 10/15 – 6/19 |
| | | |
John P. Shea Chief Financial Officer | BNY Mellon Securities Corporation++ | Chief Financial Officer and Treasurer | 6/19-Present |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| | | |
| BNY Mellon Transfer, Inc. ++ | Chief Financial Officer and Treasurer | 9/19-Present |
| | | |
| Mellon Investments Corporation* | Chief Financial Officer and Treasurer | 1/18-6/19 |
| | | |
| XBK LLC^^^ | Chief Financial Officer | 11/17-Present |
| | | |
| BNY Mellon Securities Corporation++ | Vice President - Finance | 1/06-3/19 |
| | | |
| MBSC Securities Corporation ++ | Chief Financial Officer and Treasurer | 3/19-6/19 |
| | | |
| | | |
Katherine Scott Chief Risk Officer | BNY Mellon Securities Corporation++ | Chief Risk Officer | 6/19-Present |
| | | |
| MBSC Securities Corporation++ | Chief Risk Officer | 2/14-6/19 |
| | | |
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 |
| | | |
James Windels Vice President | BNY Mellon ETF Trust++ | Treasurer | 3/20 - Present |
| BNY Mellon Family of Funds++
| Treasurer | 11/01 - Present |
|
| BNY Mellon Funds Trust ++
| Treasurer | 11/01 - Present |
|
| BNY Mellon Investment Adviser, Inc.++ | Vice President | 9/20 - Present |
| | | |
| BNY Mellon Securities Corporation++ | Vice President | 6/19 - Present |
| | | |
| MBSC Securities Corporation++ | Vice President | 1/06 – 6/19 |
| | | |
Charles Doumar Vice President – Tax | Alcentra NY LLC ++ | Assistant Treasurer - Tax | 9/14 - Present |
| Alcentra US. Inc. †††† | Assistant Treasurer - Tax | 9/14 - Present |
| | | |
| Alternative Holdings I, LLC *** | Assistant Treasurer - Tax | 1/14 - Present |
| | | |
| Alternative Holdings II, LLC *** | Assistant Treasurer - Tax | 1/14 - Present |
| | | |
| Asset Recovery II, LLC *** | Assistant Treasurer | 9/13 – Present |
| | | |
| Asset Recovery IV, LLC *** | Assistant Treasurer | 9/13 – Present |
| | | |
| Asset Recovery V, LLC *** | Assistant Treasurer | 9/13 – Present |
| | | |
| Asset Recovery XIV, LLC *** | Assistant Treasurer | 3/13 – Present |
| | | |
| Asset Recovery XIX, LLC *** | Assistant Treasurer | 7/13 – Present |
| | | |
| Asset Recovery XX, LLC *** | Assistant Treasurer | 7/13 – Present |
| | | |
| Asset Recovery XXII, LLC *** | Assistant Treasurer | 7/13 – Present |
| | | |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| BNY Alcentra Group Holdings, Inc. †††††† | Assistant Treasurer - Tax | 3/13 - Present |
| | | |
| BNY Capital Funding LLC *** | Assistant Treasurer – Tax | 9/13 - Present |
| | | |
| BNY Investment Strategy and Solutions Group, LLC * | Assistant Treasurer – Tax | 6/15 - Present |
| | | |
| BNY Mellon Community Development Corporation ++ | Assistant Treasurer – Tax | 10/13 - Present |
| | | |
| BNY Mellon Distributors Holdings Inc. # | Assistant Treasurer – Tax | 6/14 – Present |
| | | |
| BNY Mellon Investments CTA, LLC * | Assistant Treasurer | 9/13 – Present |
| | | |
| BNY Mellon Investment Servicing (US) Inc. + | Assistant Treasurer | 3/14 – Present |
| | | |
| BNY Mellon Investment Servicing Trust Company # | Assistant Treasurer | 3/14 – Present |
| | | |
| BNY Mellon Transfer, Inc.++ | Assistant Treasurer | 12/14 - Present |
| | | |
| BNY Mellon Trust of Delaware# | Assistant Treasurer | 11/13 – Present |
| | | |
| IVY Asset Management LLC + | Assistant Treasurer | 9/13 – Present |
| | | |
| Mellon Hedge Advisors, LLC * | Assistant Treasurer | 10/13 – Present |
| | | |
| MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/13 – Present |
| | | |
| 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 |
| | | |
| B.I.E. Corporation + | Assistant Treasurer – Tax | 12/13 – Present |
| | | |
| B.N.Y. Holdings (Delaware) Corporation # | Assistant Treasurer – Tax | 4/13 – Present |
| | | |
| BNY Capital Corporation *** | Assistant Treasurer – Tax | 9/13 – Present |
| | | |
| BNY Capital Markets Holdings, Inc. *** | Assistant Treasurer – Tax | 9/13 – Present |
| | | |
| BNY Capital Resources Corporation ####### | Assistant Treasurer – Tax | 3/13 – Present |
| | | |
| BNYM CSIM Funding LLC +++ | Assistant Treasurer – Tax | 7/14 – Present |
| | | |
| BNY Falcon Three Holding Corp. *** | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| BNY Foreign Holdings, Inc. *** | Assistant Treasurer – Tax | 10/13 – Present |
| | | |
| BNY Lease Equities (Cap Funding) LLC ######## | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| BNY Lease Partners LLC *** | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| BNY Leasing Edge Corporation *** | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| BNY Mellon Asset Management North America Corporation * | Assistant Treasurer – Tax | 1/18 – 12/18 |
| | | |
| BNY Mellon Capital Markets, LLC ++ | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| BNY Mellon Clearing, LLC *** | Assistant Treasurer – Tax | 3/16 – Present |
| | | |
| BNY Mellon Clearing Holding Company, LLC *** | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| BNY Mellon Fixed Income Securities, LLC *** | Assistant Treasurer – Tax | 8/13 – Present |
| | | |
| BNY Mellon Trust Company of Illinois ***** | Assistant Treasurer – Tax | 3/13 – Present |
| | | |
| BNY Mezzanine Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present |
| | | |
| BNY Mezzanine Holdings LLC ****** | Assistant Treasurer – Tax | 5/13 – Present |
| | | |
| BNY Mezzanine Non NY Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present |
| | | |
| BNY Mezzanine NY Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present |
| | | |
| BNY Partnership Funding LLC *** | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| BNY Recap I, LLC # | Assistant Treasurer – Tax | 9/13 – Present |
| | | |
| BNY Salvage Inc. *** | Assistant Treasurer – Tax | 3/13 – Present |
| | | |
| BNYM GIS Funding I LLC *** | Assistant Treasurer – Tax | 6/13 – Present |
| | | |
| BNYM GIS Funding III LLC *** | Assistant Treasurer – Tax | 6/13 – Present |
| | | |
| Amherst Capital Management, LLC *** | Assistant Treasurer – Tax | 11/14 – Present |
| | | |
| BNYM RECAP Holdings, LLC *** | Assistant Treasurer – Tax | 11/14 – Present |
| | | |
| BNY-N.J. I Corp. *** | Assistant Treasurer – Tax | 4/13 – Present |
| | | |
| BNY-N.J. II Corp. *** | Assistant Treasurer – Tax | 4/13 – Present |
| | | |
| BNY Mellon Insurance Agency, Inc. ++ | Assistant Treasurer – Tax | 6/19 - Present |
| | | |
| BNY Mellon Securities Corporation++ | Vice President – Tax | 6/19 - Present |
| | | |
| Boston Safe Deposit Finance Company, Inc. * | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer – Tax | 12/13 – Present |
| | | |
| CenterSquare Investment Management, Inc. +++ | Assistant Treasurer – Tax | 12/13 – 1/18 |
| | | |
| Colson Services Corp. ^ | Assistant Treasurer – Tax | 3/14 - Present |
| | | |
| CenterSquare Investment Management LLC+++ | Assistant Treasurer – Tax | 1/18 – Present |
| | | |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| 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 – 6/19 |
| | | |
| EACM Advisors LLC ^^ | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| Eagle Access LLC ^^^ | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| Eagle Investment Systems LLC ^^^^ | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| ECM DE. LLC *** | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| HedgeMark International, LLC ## | Assistant Treasurer – Tax | 5/14 – Present |
| | | |
| iNautix (USA) LLC ### | Assistant Treasurer – Tax | 11/13 – Present |
| | | |
| IRE-1, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| Island Waterworks, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| JRHC 1998A LLC #### | Assistant Treasurer – Tax | 12/13 – Present |
| | | |
| Lockwood Advisors, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present |
| | | |
| Lockwood Insurance, Inc. ###### | Assistant Treasurer – Tax | 8/14 - Present |
| | | |
| Lockwood Solutions, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present |
| | | |
| Lease Equities (Texas) Corporation ##### | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| Madison Pershing LLC ### | Assistant Treasurer – Tax | 6/13 – Present |
| | | |
| MAM (MA) Holding Trust * | Assistant Treasurer – Tax | 8/13 – Present |
| | | |
| MBC Investment Corporation # | Assistant Treasurer – Tax | 11/13 – Present |
| | | |
| MBSC Securities Corporation ++ | Vice President – Tax | 2/14 – 6/19 |
| | | |
| MCDI (Holdings) LLC *** | Assistant Treasurer – Tax | 9/13 – Present |
| | | |
| 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 |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| | | |
| Mellon Investments Corporation* | Assistant Treasurer – Tax | 1/19- Present |
| | | |
| Mellon Investor Services Holdings LLC ++++++ | Assistant Treasurer – Tax | 8/16 – Present |
| | | |
| Mellon Leasing Corporation+ | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| Mellon Life Insurance Company+ | Assistant Treasurer – Tax | 10/13 – Present |
| | | |
| Mellon Overseas Investment Corporation *** | Assistant Treasurer – Tax | 12/13 - Present |
| | | |
| Mellon Properties Company **** | Assistant Treasurer – Tax | 8/13 – Present |
| | | |
| National Residential Assets Corp.*** | Assistant Treasurer – Tax | 4/13 – Present |
| | | |
| Newton Capital Management LLC.*** | Assistant Treasurer – Tax | 8/14 - Present |
| | | |
| NY CRE Asset Holdings, LLC. *** | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| NY CRE Asset Holdings II, LLC. *** | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| 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 |
| | | |
| 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 |
| | | |
| 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 |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| | | |
| BNY Aurora Holding Corp. *** | Vice President | 11/13 – Present |
| | | |
| Agency Brokerage Holding LLC*** | Vice President – Tax | 6/13 – Present |
| | | |
Tracy A. Hopkins-Condon Vice President - Cash Strategies | BNY Mellon Securities Corporation++ | Executive Vice President | 6/19 – Present |
| BNY Mellon Transfer, Inc.++ | Vice President | 5/98 - Present |
| | | |
| MBSC Securities Corporation++ | Executive Vice President | 2/14 – 6/19 |
| | | |
Anthony Mayo Vice President – Information Systems | BNY Mellon Securities Corporation++ | Chief Technology Officer | 6/19 – Present |
| | | |
| MBSC Securities Corporation++ | Chief Technology Officer | 4/14 – 6/19 |
| | | |
| | | |
Kathleen Geis Vice President | BNY Mellon International Operations (India) Private Limited | Director | 5/05 - Present |
| | | |
| BNY Mellon Asset Management North America Corporation* | Vice President - Real Estate | 1/18 – 12/18 |
| | | |
| Albridge Solutions, Inc. | Managing Director | 7/11 - Present |
| | | |
| BNY Mellon Distributors Holdings, Inc. # | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Investment Management Services LLC # | Vice President - Real Estate | 10/11 - Present |
| | | |
| BNY Mellon Investment Servicing (US) Inc. + | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Performance & Risk Analytics, LLC + | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Securities Corporation++ | Vice President - Real Estate | 6/19 - Present |
| | | |
| BNY Mellon Trust Company of Illinois ***** | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Trust of Delaware# | Vice President - Real Estate | 7/11 - Present |
| | | |
| CenterSquare Investment Management Holdings, Inc. +++ | Vice President - Real Estate | 10/12 – Present |
| | | |
| Eagle Investment Systems LLC ^^^^ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Ivy Asset Management LLC + | Vice President - Real Estate | 7/11 – Present |
| | | |
| MBSC Securities Corporation ++ | Vice President - Real Estate | 7/11 – 6/19 |
| | | |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| Mellon Capital Management Corporation** | Vice President - Real Estate | 7/11 – 1/18 |
| | | |
| Mellon Financial Services Corporation #1+ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Mellon Holdings LLC++ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Mellon Investments Corporation* | Vice President - Real Estate | 1/19 – Present |
| Mellon Investor Services Holdings LLC++++++ | Vice President - Real Estate | 8/16 - Present |
| | | |
| Pareto New York LLC ++ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Technology Services Group, Inc. ++ | Vice President - Real Estate | 7/11 – Present |
| Tennessee Processing Center LLC ++ | Vice President - Real Estate | 7/11 - Present |
| | | |
| The Bank of New York Mellon Trust Company, National Association+ | Vice President - Real Estate | 7/11 - Present |
| | | |
| Alcentra US, Inc. †††† | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Capital Markets LLC++ | Vice President - Real Estate | 7/11 - Present |
| | | |
| Pershing LLC ### | Vice President - Real Estate | 7/11 - Present |
| | | |
| The Bank of New York Mellon+ | Managing Director | 7/09 - Present |
| | | |
| | | |
| | | |
Claudine Orloski Vice President – Tax | BNY Mellon Insurance Agency, Inc. ++ | Vice President – Tax | 6/19 – Present |
| | | |
| BNY Mellon Securities Corporation++ | Vice President – Tax | 6/19 - Present |
| | | |
| Dreyfus Service Organization++ | Vice President – Tax | 8/14 – 6/19 |
| | | |
| Asset Recovery II, LLC*** | Assistant Treasurer | 9/11 - Present |
| | | |
| Asset Recovery IV, LLC *** | Assistant Treasurer | 9/11 – Present |
| | | |
| Asset Recovery V, LLC *** | Assistant Treasurer | 9/11 – Present |
| | | |
| Asset Recovery XIV, LLC *** | Assistant Treasurer | 3/11 – Present |
| | | |
| Asset Recovery XIX, LLC *** | Assistant Treasurer | 7/11 – Present |
| | | |
| Asset Recovery XX, LLC *** | Assistant Treasurer | 7/11 – Present |
| | | |
| Asset Recovery XXII, LLC *** | Assistant Treasurer | 7/11 – Present |
| | | |
| BNY Mellon Asset Management North America Corporation * | Assistant Treasurer –Tax | 1/18 – 12/18 |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| | | |
| BNY Mellon Investments CTA, LLC * | Assistant Treasurer | 9/13 – Present |
| | | |
| BNY Mellon Transfer, Inc.++ | Assistant Treasurer | 12/14 – 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 |
| | | |
| Albridge Solutions, Inc. †††† | Assistant Treasurer -Tax | 6/11 – Present |
| | | |
| Alcentra NY, LLC ++ | Assistant Treasurer -Tax | 10/12 – Present |
| | | |
| Alcentra US, Inc. †††† | Assistant Treasurer -Tax | 10/11 – Present |
| | | |
| Allomon Corporation † | Assistant Treasurer -Tax | 5/12 – Present |
| | | |
| Alternative Holdings I, LLC *** | Assistant Treasurer -Tax | 1/13 – Present |
| | | |
| Alternative Holdings II, LLC *** | Assistant Treasurer -Tax | 1/13 – Present |
| | | |
| AP Residential Realty, Inc. ††††† | Assistant Treasurer -Tax | 8/11 – Present |
| | | |
| APT Holdings Corporation # | Assistant Treasurer -Tax | 12/11 – Present |
| | | |
| B.N.Y. Holdings (Delaware) Corporation # | Assistant Treasurer -Tax | 4/12 – Present |
| | | |
| BNY Administrative Services LLC *** | Assistant Treasurer –Tax | 12/11 – Present |
| | | |
| BNY Alcentra Group Holdings, Inc. †††††† | Assistant Treasurer –Tax | 3/13 – Present |
| | | |
| BNY Capital Corporation *** | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| BNY Capital Funding LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Capital Markets Holdings, Inc. *** | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| BNY Capital Resources Corporation ####### | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Falcon Three Holding Corp. *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Foreign Holdings, Inc. *** | Assistant Treasurer –Tax | 9/11 – Present |
| | | |
| BNY Investment Strategy and Solutions Group LLC * | Assistant Treasurer –Tax | 6/15 – Present |
| | | |
| BNY Investment Management Services LLC # | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| BNY ITC Leasing, LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Lease Equities (Cap Funding) LLC ######## | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Lease Partners LLC *** | Assistant Treasurer –Tax | 9/11 – Present |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| | | |
| BNY Leasing Edge Corporation *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Mellon Alternative Investments Holdings LLC *** | Assistant Treasurer –Tax | 10/13 – Present |
| | | |
| BNY Mellon Capital Markets, LLC ++ | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Mellon Clearing Holding Company, LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Mellon Clearing, LLC *** | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| BNY Mellon Community Development Corporation ++ | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| BNY Mellon Distributors Holdings Inc. # | Assistant Treasurer –Tax | 7/12 – Present |
| | | |
| BNY Mellon Fixed Income Securities, LLC *** | Assistant Treasurer –Tax | 8/12 – Present |
| | | |
| BNY Mellon Investment Servicing (US) Inc. # | Assistant Treasurer –Tax | 3/11 – Present |
| | | |
| BNY Mellon Investment Servicing Trust Company # | Assistant Treasurer –Tax | 3/11 – Present |
| | | |
| BNY Mellon Performance & Risk Analytics, Inc. (US) ^^^^^ | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| BNY Mellon Performance & Risk Analytics, LLC + | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Mellon Transition Management Advisors, LLC ** | Assistant Treasurer –Tax | 5/13 – Present |
| | | |
| BNY Mellon Trust Company of Illinois ***** | Assistant Treasurer –Tax | 3/11 – Present |
| | | |
| BNY Mezzanine Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| BNY Mezzanine Holdings LLC ****** | Assistant Treasurer –Tax | 5/11 – Present |
| | | |
| BNY Mezzanine Non NY Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| BNY Mezzanine NY Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| BNY Partnership Funding LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY 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 Wings, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| 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 – 1/18 |
| | | |
| Coates Holding LLC# | Assistant Treasurer – Tax | 3/15 - Present |
| | | |
| Colson Services Corp. ^ | Assistant Treasurer –Tax | 2/11 – Present |
| | | |
| CenterSquare Investment Management LLC+++ | Assistant Treasurer –Tax | 1/18 – Present |
| | | |
| Cutwater Asset Management Corp. ++++ | Assistant Treasurer – Tax | 1/15 - Present |
| | | |
| Cutwater Holdings LLC ++++ | Assistant Treasurer – Tax | 1//15 - Present |
| | | |
| Cutwater Investor Services Corp. ++++ | Assistant Treasurer - Tax | 1/15 - Present |
| | | |
| EACM Advisors LLC ^^ | Assistant Treasurer –Tax | 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 |
| | | |
| 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 |
| | | |
| Island Waterworks, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| 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 |
| | | |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| 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 Investment Corporation # | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| MBNA Institutional PA Services LLC + | Assistant Treasurer –Tax | 7/12 – Present |
| | | |
| MBNA PW PA Services LLC + | Assistant Treasurer –Tax | 7/12 – Present |
| | | |
| MBSC Securities Corporation++ | Vice President – Tax | 2/12 – 6/19 |
| | | |
| 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 Corporation ††††† | Assistant Treasurer –Tax | 2/11 – Present |
| | | |
| Mellon Financial Services Corporation #1 + | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| Mellon Financial Services Corporation #4 + | Assistant Treasurer –Tax | 12/11 – Present |
| | | |
| Mellon Funding Corporation + | Assistant Treasurer –Tax | 12/11 – Present |
| | | |
| Mellon Global Investing Corp. + | Assistant Treasurer –Tax | 5/11 – Present |
| | | |
| Mellon International Leasing Company # | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| Mellon Investments Corporation * | Assistant Treasurer –Tax | 1/19 – Present |
| | | |
| Mellon Investor Services Holdings LLC | Assistant Treasurer –Tax | 8/16 – Present |
| ++++++ | | |
| Mellon Leasing Corporation + | Assistant Treasurer –Tax | 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 |
| | | |
| National Residential Assets Corp. *** | Assistant Treasurer –Tax | 4/12 – Present |
| | | |
| Newton Capital Management LLC *** | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| NY CRE Asset Holdings II, LLC *** | Assistant Treasurer –Tax | 1/12 – Present |
| | | |
| NY CRE Asset Holdings, LLC *** | Assistant Treasurer –Tax | 1/12 – Present |
| | | |
| One Wall Street Corporation *** | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| Pareto New York LLC ++ | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| | | |
| 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, Inc. ++ | Assistant Treasurer –Tax | 5/11 – Present |
| | | |
| Tennessee Processing Center LLC ++ | Assistant Treasurer –Tax | 9/11 – Present |
| | | |
| The Bank of New York Consumer Leasing Corporation *** | Assistant Treasurer –Tax | 5/11 – Present |
| | | |
| The Bank of New York Mellon Trust Company, National Association + | Assistant Treasurer | 10/13 - Present |
| | | |
| The Boston Company Asset Management, LLC * | Assistant Treasurer –Tax | 6/11 – 1/18 |
| | | |
| USPLP, Inc. ******* | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| BNY Mellon Investment Management Holdings LLC # | Assistant Vice President –Tax | 12/12 – Present |
| | | |
| BNY Aurora Holding Corp. *** | Vice President | 10/11 – Present |
| | | |
| Agency Brokerage Holding LLC *** | Vice President –Tax | 2/11 – Present |
| | | |
| MBSC Securities Corporation ++ | Vice President –Tax | 2/12 – 6/19 |
| | | |
Andrew Provencher Director | BNY Mellon Securities Corporation | Director Executive Vice President | 10/20 – Present 6/18 - Present |
| | | |
James Bitetto Secretary | BNY Mellon Family of Funds++ | Vice President and Secretary | 6/19 - Present |
| | | |
| BNY Mellon ETF Trust++ | Vice President and Assistant Secretary | 3/20 - Present |
|
| BNY Mellon Funds Trust++
| Vice President and Secretary Vice President and Assistant Secretary | 2/18 – Present 8/05 - 2/18 |
|
| | | | | |
Name and Position With BNY Mellon Investment Adviser, Inc. | Other Businesses | Position Held | Dates |
| BNY Mellon Insurance Agency, Inc. ++
| Secretary | 6/19 - Present |
| BNY Mellon Securities Corporation++ | Assistant Secretary | 6/19 - Present |
| | | |
| MBSC Securities Corporation++ | Assistant Secretary | 1/06 – 6/19 |
| | | |
| Dreyfus Service Organization, Inc.++ | Secretary | 8/05 – 6/19 |
| | | |
| The Dreyfus Family of Funds++ | Vice President and Secretary | 2/18 – 6/19 |
| | Vice President and Assistant Secretary | 8/05 – 2/18 | | 8/05 – 2/18 |
| | | |
Natalya Zelensky Assistant Secretary | BNY Mellon Family of Funds++ | Vice President and Assistant Secretary | 6/19 - Present |
| | | |
| | | |
| BNY Mellon ETF Investment Adviser, LLC++ | Vice President | 7/20 - Present |
| | | |
| BNY Mellon ETF Trust++ | Vice President and Assistant Secretary | 3/20 - Present |
|
| BNY Mellon Funds Trust++ | Vice President and Assistant Secretary | 4/17 - Present |
|
| | | |
| BNY Mellon Transfer, Inc.++ | Vice President and Secretary | 6/19 - Present |
| | | |
| | | |
| Dreyfus Transfer, Inc. ++ | Secretary | 6/17 – 6/19 |
| | | |
| The Dreyfus Family of Funds++ | Vice President and Assistant Secretary | 4/17 – 6/19 |
| |
* | The address of the business so indicated is One Boston Place, Boston, MA, 02108. |
** | The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, CA 94105. |
*** | The address of the business so indicated is One Wall Street, New York, NY 10286. |
**** | The address of the business so indicated is 3601 N. I-10 Service Road, Suite 102, Metairie, LA 70002. |
***** | The address of the business so indicated is 2 North LaSalle Street, Suite 1020, Chicago, IL, 60602 |
****** | The address of the business so indicated is 445 Park Avenue, 12th Floor, New York, NY, 10022. |
******* | The address of the business so indicated is 225 Liberty Street, New York, NY 10286. |
******** | The address of the business so indicated is Grand Canal House, 1 Upper Grand Canal Street, Dublin, 4 Ireland. |
^ | The address of the business so indicated is BNY Mellon Centre 160 Queen Victoria Street, London EC4V 4LA. |
^^ | The address of the business so indicated is 87 Mary Street, George Town, KY1-9005, Cayman Islands. |
^^^ | The address of the business so indicated is 201 Washington Street, Boston, Massachusetts 02108. |
^^^^ | The address of the business so indicated is 2-4, rue Eugène Ruppert, L-2453 Luxembourg, Luxembourg. |
^^^^^ | The address of the business so indicated is One Dockland Central, Guild Street, IFSC, Dublin 1. |
^^^^^^ | The address of the business so indicated is 33 Sir John Rogersons Quay, Dublin 2. |
^^^^^^^ | The address of the business so indicated is Ogier House, The Esplanade, St Helier, Jersey, JE4 9WG. |
^^^^^^^^ | The address of the business so indicated is Room 6053, Level 6, 21st Century Building, No.210, Century Avenue, China, (Shanghai) Pilot Free Trade Zone. |
^^^^^^^^^ | The address of the business so indicated is 6th Floor, 2 Grand Canal Square, Dublin 2, Ireland. |
^^^^^^^^^^ | The address of the business so indicated is 32 Molesworth Street, Dublin 2, Ireland. |
+ | The address of the business so indicated is One Mellon Bank Center, Pittsburgh, PA 15258. |
++ | The address of the business so indicated is 240 Greenwich Street, New York, NY 10286 |
+++ | The address of the business so indicated is 630 West Germantown Pike, Suite 300, Plymouth Meeting, PA, 19462. |
++++ | The address of the business so indicated is 113 King Street, Armonk, NY 10504. |
+++++ | The address of the business so indicated is 320 Bay Street, Toronto, ON M5H 4A6. |
| | | | |
++++++ | The address of the business so indicated is 480 Washington Blvd, Jersey City, NJ 07310. |
+++++++ | The address of the business so indicated is Hartpiece, Lamarsh, Bures, Suffolk, CO8 5EP.. |
† | The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259. |
††† | The address of the business so indicated is 100 White Clay Center, Newark, DE 19711. |
††† | The address of the business so indicated is 1633 Broadway, New York, NY, 10019. |
†††† | The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA, 90024. |
††††† | The address of the business so indicated is 1735 Market Street, Philadelphia, PA, 19103. |
†††††† | The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD. |
††††††† | The address of the business so indicated is 114 Queen Victoria Street, London, EC4V 4BJ. |
^ | The address of the business so indicated is 4 New York Plaza, New York, NY, 10004. |
^^ | The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT, 06854-1940. |
^^^ | The address of the business so indicated is One Wells Avenue, Newton, MA, 02459. |
^^^^ | The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT, 06107. |
^^^^^ | The address of the business so indicated is 1313 Broadway Plaza, Tacoma, WA, 98402. |
^^^^^^ | The address of the business so indicated is David M. Breen & Co. Suite 4, Wallace House, Maritana Gate, Canada Street, Waterford. |
# | The address of the business so indicated is 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. | BNY Mellon Absolute Insight Funds, Inc. |
2. | BNY Mellon Advantage Funds, Inc. |
3. | BNY Mellon Alcentra Global Multi-Strategy Credit Fund, Inc. |
4. | BNY Mellon Appreciation Fund, Inc. |
5. | BNY Mellon California AMT-Free Municipal Bond Fund, Inc. |
6. | BNY Mellon Funds Trust |
7. | BNY Mellon Index Funds, Inc. |
8. | BNY Mellon Intermediate Municipal Bond Fund, Inc. |
9. | BNY Mellon International Securities Funds, Inc. |
10. | BNY Mellon Investment Funds I |
11. | BNY Mellon Investment Funds II, Inc. |
12. | BNY Mellon Investment Funds III |
13. | BNY Mellon Investment Funds IV, Inc. |
14. | BNY Mellon Investment Funds V, Inc. |
15. | BNY Mellon Investment Funds VI, Inc. |
16. | BNY Mellon Investment Grade Funds, Inc. |
17. | BNY Mellon Investment Portfolios |
| | | |
18. | BNY Mellon Large Cap Securities Fund, Inc. |
19. | BNY Mellon Midcap Index Fund, Inc. |
20. | BNY Mellon Municipal Bond Funds, Inc. |
21. | BNY Mellon Municipal Funds, Inc. |
22. | BNY Mellon New Jersey Municipal Bond Fund, Inc. |
23. | BNY Mellon New York AMT-Free Municipal Bond Fund |
24. | BNY Mellon New York Tax Exempt Bond Fund, Inc. |
25. | BNY Mellon Opportunistic Municipal Securities Fund |
26. | BNY Mellon Opportunity Funds |
27. | BNY Mellon Research Growth Fund, Inc. |
28. | BNY Mellon Short-Intermediate Municipal Bond Fund |
29. | BNY Mellon State Municipal Bond Funds |
30. | BNY Mellon Stock Funds |
31. | BNY Mellon Stock Index Fund, Inc. |
32. | BNY Mellon Strategic Funds, Inc. |
33. | BNY Mellon Sustainable U.S. Equity Fund, Inc. |
34. | BNY Mellon Sustainable U.S. Equity Portfolio, Inc. |
35. | BNY Mellon Ultra Short Income Fund |
36. | BNY Mellon U.S. Mortgage Fund, Inc. |
37. | BNY Mellon Variable Investment Fund |
38. | BNY Mellon Worldwide Growth Fund, Inc. |
39. | CitizensSelect Funds |
40. | Dreyfus AMT-Free Municipal Cash Management Plus |
41. | Dreyfus AMT-Free New York Municipal Cash Management |
42. | Dreyfus BASIC Money Market Fund, Inc. |
43. | Dreyfus Cash Management |
44. | Dreyfus Government Cash Management Funds |
45. | Dreyfus Institutional Liquidity Funds |
46. | Dreyfus Institutional Preferred Money Market Funds |
47. | Dreyfus Institutional Reserves Funds |
48. | Dreyfus Liquid Assets, Inc. |
49. | Dreyfus Tax Exempt Cash Management Funds |
50. | Dreyfus Treasury Obligations Cash Management |
51. | Dreyfus Treasury Securities Cash Management |
|
52. | General Government Securities Money Market Funds, Inc. |
53. | General Money Market Fund, Inc. |
54. | General Municipal Money Market Funds, Inc. |
55. | General New York AMT-Free Municipal Money Market Fund |
| | |
(b) | | |
Name and principal Business address | Positions and offices with the Distributor | Positions and Offices with Registrant |
(b) | | |
Name and principal Business address | Positions and offices with the Distributor | Positions and Offices with Registrant |
Kenneth Bradle** | Director and President | None |
Sue Ann Cormack† | Executive Vice President | None |
Renee LaRoche-Morris**** | Chairman, Executive Vice President and Director | None |
Catherine Keating* | Executive Vice President | None |
Tracy Hopkins-Condon* | Executive Vice President | None |
Peter Arcabascio++ | Executive Vice President | None |
Christopher D. O'Connor**** | Executive Vice President | None |
Irene Papadoulis** | Executive Vice President | None |
Matthew Perrone**** | Executive Vice President | None |
Andrew Provencher**** | Executive Vice President and Director | None |
John P. Shea **** | 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 (Broker-Dealer Business) | None |
Katherine M. Scott* | Chief Risk Officer | None |
Anthony Mayo* | Chief Technology Officer | None |
Timothy I. Barrett** | Senior Vice President | None |
Eric P. Cola**** | Senior Vice President | None |
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 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 |
Marianne Thomas+ | Vice President – Human Resources | None |
Kathleen J. Geis†† | Vice President – Real Estate | None |
Charles Doumar**** | Vice President – Tax | None |
Claudine Orloski*** | Vice President – Tax | None |
Paul V. Mazziotti** | Anti-Money Laundering Officer | None |
James Bitetto**** | Assistant Secretary | Vice President and Secretary |
Alice Helscher*** | 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 240 Greenwich Street, New York, NY 10286. |
† | Principal business address is 100 Saint Paul Street Denver, CO 80206 |
†† | Principal business address is 500 Ross Street, Pittsburgh, PA 15262-0001 |
††† | Principal business address is 160 Queen Victoria Street, London, England, Greater London EC4V4LA |
+ | Principal business address is 19 Vreeland Road Florham Park, NJ 07932 |
++ | Principal business address is 1 Boston Place, Boston, MA 02108-4407 |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
240 Greenwich Street
New York, New York 10286
2. BNY Mellon Investment Servicing (US), Inc.
4400 Computer Drive
Westborough, Massachusetts 01581
3. BNY Mellon Investment Adviser, Inc.
240 Greenwich Street
New York, NY 10286
4. BNY Mellon Investment Adviser, Inc.
200 Park Avenue
New York, New York 10166
Item 34. Management Services
Not Applicable
Item 35. Undertakings
None
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant General New York AMT-Free Municipal Money Market Fund 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 7th day of January, 2021.
General New York AMT-Free Municipal Money Market Fund
| |
BY: | /s/ Renee LaRoche-Morris* |
| Renee LaRoche-Morris, 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/ Renee LaRoche-Morris* | | President (Principal Executive Officer) | | 1/7/2021 |
|
Renee LaRoche-Morris | | | | |
|
/s/ James Windels* | | Treasurer (Principal Financial and Accounting Officer) | | 1/7/2021 |
|
James Windels | | | | |
|
/s/ Joseph S. DiMartino* | | Chairman of the Board | | 1/7/2021 |
|
Joseph S. DiMartino | | | | |
|
/s/ Francine J. Bovich* | | Board Member | | 1/7/2021 |
|
Francine J. Bovich | | | | |
|
/s/ Peggy C. Davis* | | Board Member | | 1/7/2021 |
|
Peggy C. Davis | | | | |
|
/s/ Nathan Leventhal* | | Board Member | | 1/7/2021 |
|
Nathan Leventhal | | | | |
|
/s/ Robin A. Melvin* | | Board Member | | 1/7/2021 |
|
Robin A. Melvin | | | | |
| |
*BY: | /s/ Natalya Zelensky |
| Natalya Zelensky Attorney-in-Fact |
INDEX OF EXHIBITS
Exhibits
(h)(3) Shareholder Services Plan
Other Exhibits