File No.33-16338
811-05202
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. 178 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 178 [X]
(Check appropriate box or boxes.)
The Dreyfus/Laurel Funds, Inc.
(Exact Name of Registrant as Specified in Charter)
c/o The Dreyfus Corporation
200 Park Avenue, New York, New York 10166
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6400
Bennett A. MacDougall, Esq.
200 Park Avenue
New York, New York 10166
(Name and Address of Agent for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
Explanatory Note
This Post-Effective Amendment consists of the following:
1. Facing Sheet of the Registration Statement.
2. Part C to the Registration Statement (including signature page).
3. Exhibit (a)(41) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to include Articles Supplementary to the Articles of Incorporation, dated February 26, 2018 as Exhibit (a)(41) to item 28 of the Registrant's Registration Statement on Form N-1A.
Part A of Dreyfus Floating Rate Income Fund, Post-Effective Amendment No. 174 was filed on December 27, 2017 pursuant to Rule 485(b) under the Securities Act of 1933 and is incorporated by reference herein; and
The Statement of Additional Information for the Registrant with respect to Dreyfus Floating Rate Income Fund was filed on February 27, 2018 pursuant to Rule 497(e) under the Securities Act of 1933 and is incorporated by reference herein.
THE DREYFUS/LAUREL FUNDS, INC.
(formerly, The Laurel Funds, Inc.)
PART C.
OTHER INFORMATION
Item 28. Exhibits
(a)(1) Articles of Incorporation dated July 31, 1987 is incorporated by reference to Exhibit (a)(1) of Post-Effective Amendment No. 41 to the Registration Statement on Form N-1A, filed on December 29, 1995 ("Post-Effective Amendment No. 41").
(a)(2) Articles Supplementary to the Articles of Incorporation, dated October 15, 1993(increasing authorized capital stock) is incorporated by reference to Exhibit 1(b) of Post-Effective Amendment No. 39 to the Registration Statement on Form N-1A, filed on September 22, 1995 ("Post-Effective Amendment No. 39").
(a)(3) Articles of Amendment to the Articles of Incorporation, dated March 31, 1994 is incorporated by reference to Exhibit a(c) of Post-Effective Amendment No. 41.
(a)(4) Articles Supplementary to the Articles of Incorporation, dated March 31, 1994(reclassifying shares) is incorporated by reference to Exhibit 1(d) of Post-Effective Amendment No. 41.
(a)(5) Articles Supplementary dated May 24, 1994(designating and classifying shares) is incorporated by reference to Exhibit 1(e) of Post-Effective Amendment No. 39.
(a)(6) Articles of Amendment to the Articles of Incorporation, dated October 17, 1994 are incorporated by reference to Exhibit 1(f) of Post-Effective Amendment No. 31 to the Registration Statement on Form N-1A, filed on December 13, 1994("Post-Effective Amendment No. 31").
(a)(7) Articles Supplementary to the Articles of Incorporation, dated December 19, 1994(designating classes) is incorporated by reference to Exhibit 1(g) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on December 13, 2014.
(a)(8) Articles of Amendment to the Articles of Incorporation, dated June 9, 1995 is incorporated by reference to Exhibit 1(h) of Post-Effective Amendment No. 39.
(a)(9) Articles of Amendment to the Articles of Incorporation, dated August 30, 1995 is incorporated by reference to Exhibit 1(i) of Post-Effective Amendment No. 39.
(a)(10) Articles Supplementary to the Articles of Incorporation, dated August 31, 1995(reclassifying shares) is incorporated by reference to Exhibit 1(j) of Post-Effective Amendment No. 39.
(a)(11) Articles of Amendment to the Articles of Incorporation, dated October 31, 1995(designating and classifying shares) is incorporated by reference to Exhibit 1(k) of Post-Effective Amendment No. 41.
(a)(12) Articles of Amendment of the Articles of Incorporation, dated November 22, 1995(designating and reclassifying shares) is incorporated by reference to Exhibit 1(l) of Post-Effective Amendment No. 41.
(a)(13) Articles of Amendment of the Articles of Incorporation, dated July 15, 1996 is incorporated by reference to Exhibit 1(m) of Post-Effective Amendment No. 53 to the Registration Statement on Form N-1A, filed on August 20, 1997("Post-Effective Amendment No. 53").
(a)(14) Articles of Amendment of the Articles of Incorporation, dated February 27, 1997 is incorporated by reference to Exhibit 1(n) of Post-Effective Amendment No. 53.
(a)(15) Articles of Amendment of the Articles of Incorporation, dated August 13, 1997 is incorporated by reference to Exhibit 1(o) of Post-Effective Amendment No. 53.
(a)(16) Articles of Amendment of the Articles of Incorporation, dated October 30, 1997 is incorporated by reference to Exhibit 1(p) of Post-Effective Amendment No. 56 to the Registrant's Registration Statement on Form N-1A, filed on November 4, 1997.
(a)(17) Articles of Amendment of the Articles of Incorporation, dated March 25, 1998 is incorporated by reference to Exhibit 1(M) of Post-Effective Amendment No. 62 to the Registrant's Registration Statement on Form N-1A, filed on March 31, 1998.
(a)(18) Articles of Amendment of the Articles of Incorporation, dated July 30, 1998 is incorporated by reference to Exhibit A(18) of Post-Effective Amendment No. 67 to the Registrant's Registration Statement on Form N-1A, filed on September 30, 1998.
(a)(19) Articles Supplementary to the Articles of Incorporation, dated August 9, 1999(designating and classifying shares) is incorporated by reference to Exhibit A(19) of Post-Effective Amendment No. 76 to the Registrant's Registration Statement on Form N-1A, filed on February 24, 2000 ("Post-Effective Amendment No. 76").
(a)(20) Articles Supplementary to the Articles of Incorporation, dated March 15, 1999(designating and classifying shares) is incorporated by reference to Exhibit A(20) of Post-Effective Amendment No. 76.
(a)(21) Articles of Amendment of the Articles of Incorporation, dated March 15, 1999 is incorporated by reference to Exhibit A(21) of Post-Effective Amendment No. 76.
(a)(22) Articles of Amendment of the Articles of Incorporation, dated January 31, 2002 is incorporated by reference to Exhibit A(22) of Post-Effective Amendment No. 83 to the Registrant's Registration Statement on Form N-1A, filed on April 15, 2002 ("Post-Effective Amendment No. 83").
(a)(23) Articles Supplementary of the Articles of Incorporation, dated January 31, 2002(designating and classifying shares) is incorporated by reference to Exhibit A(23) of Post-Effective Amendment No. 83.
(a)(24) Articles Supplementary to the Articles of Incorporation, dated May 12, 2004(designating and classifying shares) is incorporated by reference to Exhibit (a)(3) of Post-Effective Amendment No. 89 to Registrant's Registration Statement on Form N-1A filed on May 13, 2004.
(a)(25) Articles Supplementary to the Articles of Incorporation, dated June 30, 2006(designating and classifying shares) is incorporated by reference to Exhibit a(25) of Post-Effective Amendment No. 99 to Registrant's Registration Statement on Form N-1A filed on June 29, 2006.
(a)(26) Articles Supplementary to the Articles of Incorporation, dated June 25, 2007(designating and classifying shares) is incorporated by reference to Exhibit A(26) of Post-Effective Amendment No. 106 to Registrant's Registration Statement on Form N-1A filed on December 26, 2007.
(a)(27) Articles of Amendment of the Articles of Incorporation, dated July 5, 2007(redesignating Class R shares as Class I shares) is incorporated by reference to Exhibit A(19) of Post-Effective Amendment No. 107 to Registrant's Registration Statement on Form N-1A, filed on December 27, 2007.
(a)(28) Articles Supplementary to the Articles of Incorporation, dated October 14, 2008(designating and classifying shares) is incorporated by reference to Exhibit A(29) of Post-Effective Amendment No. 110.
(a)(29) Articles Amendment of the Articles of Incorporation, dated December 2, 2008 is incorporated by reference to Post-Effective Amendment No.110.
(a)(30) Articles Supplementary to the Articles of Incorporation, dated April 23, 2009 is incorporated by reference to Exhibit A(31) of Post-Effective Amendment No. 114 to Registrant's Registration Statement on Form N-1A, filed on December 22, 2009.
(a)(31) Articles of Amendment of the Articles of Incorporation, dated February 17, 2010(redesignating Dreyfus Small Cap Value Fund as Dreyfus Small Cap Fund) is incorporated by reference to Exhibit A(32) of Post-Effective Amendment No. 117 to Registrant's Registration Statement on Form N-1A, filed on February 26, 2010.
(a)(32) Articles of Amendment of the Articles of Incorporation, dated October 28, 2010(redesignating Dreyfus Strategic Income Fund as Dreyfus Opportunistic Fixed Income Fund) is incorporated by reference to Exhibit A(33) of Post-Effective Amendment No. 119 to Registrant's Registration Statement on Form N-1A filed on December 23, 2010("Post-Effective Amendment No. 119").
(a)(33) Articles Supplementary to the Articles of Incorporation, dated March 28, 2013 is incorporated by reference to Exhibit A(34) of Post-Effective Amendment No. 133 to Registrant's Registration Statement on Form N-1A, filed on June 12, 2013.
(a)(34) Articles Supplementary to the Articles of Incorporation, dated June 20, 2013 (relating to Class Y of Dreyfus Opportunistic Fixed Income Fund) is incorporated by reference to Exhibit A(35) of Post-Effective Amendment No. 134 to Registrant's Registration Statement on Form N-1A, filed on June 26, 2013.
(a)(35) Articles Supplementary to the Articles of Incorporation, dated September 17, 2013 (relating to Dreyfus Floating Rate Income Fund) is incorporated by reference to Exhibit A(36) of Post-Effective Amendment No. 139 to Registrant's registration statement on Form N-1A, filed on September 5, 2013 ("Post-Effective Amendment No. 139").
(a)(36) Articles of Amendment of the Articles of Incorporation dated, September 1, 2015, is incorporated by reference to Exhibit A(37) of Post-Effective Amendment 151 to the Registrant’s Registration Statement on Form N-1A, filed on November 3, 2015 ("Post-Effective Amendment No. 151").
(a)(37) Articles Supplementary to the Articles of Incorporation, dated December 15, 2015(relating to Class B of General Treasury and Agency Money Market Fund) is incorporated by reference to Exhibit A(38) of Post-Effective Amendment No. 153 to the Registrant’s Registration Statement on Form N-1A, filed on December 30, 2015 ("Post-Effective Amendment No. 153").
(a)(38) Articles Supplementary to the Articles of Incorporation, dated March 31, 2016, is incorporated by reference to Exhibit A(39) of Post-Effective Amendment No. 160 to the Registrant's Registration Statement on Form N-1A, filed on April 11, 2016.
(a)(39) Articles of Amendment of the Articles of Incorporation, dated August 31, 2016, is incorporated by reference to Exhibit a(40) of Post-Effective Amendment No. 162 to the Registrant's Registration Statement on Form N-1A, filed on September 12, 2016("Post-Effective Amendment No. 162").
(a)(40) Articles Supplementary to the Articles of Incorporation, dated March 7, 2017, adding Class T Shares (relating to Dreyfus Core Equity Fund, Dreyfus Floating Rate Income Fund, Dreyfus Opportunistic Fixed Income Fund and Dreyfus Tax Managed Growth Fund) is incorporated by reference to Exhibit A(41) of Post-Effective Amendment No. 169 to the Registrant's Registration Statement on Form N-1A, filed on March 30, 2017 ("Post-Effective Amendment No. 169").
(a)(41) Articles Supplementary to the Articles of Incorporation, dated February 26, 2018, (relating to Dreyfus Floating Rate Income Fund) is filed herewith.
(b) Amended and Restated By-Laws, dated July 1, 2011 is incorporated by reference to Exhibit B(2) of Post-Effective Amendment No. 124 to Registrant's Registration Statement on Form N-1A, filed on August 12, 2011.
(c) Not applicable.
(d)(1) Investment Management Agreement between Mellon Bank, N.A. and the Registrant, dated April 4, 1994 is incorporated by reference to Exhibit 5(b) of Post-Effective Amendment No. 41.
(d)(2) Assignment and Assumption Agreement among Mellon Bank, N.A., The Dreyfus Corporation and the Registrant, dated October 17, 1994 (relating to Investment Management Agreement) is incorporated by reference to Exhibit 5(d) of Post-Effective Amendment No. 31.
(d)(3) Management Agreement between the Registrant (on behalf of Dreyfus Opportunistic Fixed Income Fund and Dreyfus Floating Rate Income Fund) and The Dreyfus Corporation, dated April 20, 2006, As Amended, April 25, 2013, Revised as of March 20, 2014, is incorporated by reference to Exhibit D(7) of Post-Effective Amendment No. 146 to Registrant's Registration Statement on Form N-1A, filed on June 26, 2014.
(d)(4) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Fayez Sarofim & Co. (with respect to Dreyfus Core Equity Fund), dated July 30, 1998 and as amended, August 3, 2009, is incorporated by reference to Exhibit D(5) of Post-Effective Amendment No. 112 to Registrant's Registration Statement on Form N-1A, filed on July 24, 2009("Post-Effective Amendment No. 112").
(d)(5) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Fayez Sarofim & Co. (with respect to Dreyfus Tax Managed Growth Fund), dated October 23, 1997 and as amended, August 3, 2009, is incorporated by reference to D(6) Post-Effective Amendment No. 112.
(d)(6) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Alcentra NY, LLC, (with respect to Dreyfus Floating Rate Income Fund), dated September 17, 2013, is incorporated by reference to Exhibit D(10) Post-Effective Amendment No. 139.
(d)(7) Revised Exhibit A, dated March 1, 2018, to Investment Management Agreement between Mellon Bank, N. A. and Registrant, dated April 4, 1994, is incorporated by reference to Exhibit d(7) of Post-Effective Amendment No. 176 to the Registrant's Registration Statement on Form N-1A, filed on February 27, 2018 ("Post-Effective Amendment No. 176").
(e)(1) Amended and Restated Distribution Agreement between the Registrant and MBSC Securities Corporation, dated October 1, 2010, revised as of September 17, 2013 (relating to Dreyfus Floating Rate Income Fund) is incorporated by reference to E(1) of Post-Effective Amendment No. 139.
(e)(2) Forms of Broker-Dealer Selling Agreement and Bank Selling Agreement (relating to Dreyfus Bond Market Index Fund, Dreyfus Core Equity Fund, Dreyfus Floating Rate Income Fund, Dreyfus Institutional S&P 500 Stock Index Fund, Dreyfus Opportunistic Fixed Income Fund and Dreyfus Tax Managed Growth Fund is incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 167 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2017 ("Post-Effective Amendment No. 167").
(e)(3) Forms of Supplemental to Service Agreements are incorporated by reference to Post-Effective Amendment No. 103 to Registrant's Registration Statement on Form N-1A, filed on February 28, 2007.
(e)(4) Form of Service Agreement is incorporated by reference to Exhibit (e)(4) of Post-Effective Amendment No. 162.
(f) Not applicable.
(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 of Post-Effective Amendment No. 119 to Registrant's Registration Statement on Form N-1A, filed on December 23, 2010.
(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) of Post-Effective
Amendment No. 142 to the Registrant's Registration Statement on Form N-1A, filed on December 24, 2013 ("Post-Effective Amendment No. 142").
(g)(3) Second Amendment to Custody Agreement made as of December 22, 2016 is incorporated by reference to Exhibit (g)(3) to Post-Effective Amendment No. 167 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2017 ("Post-Effective Amendment No. 167").
(h)(1) Transfer Agency Agreement between the Registrant and Dreyfus Transfer, Inc., dated May 29, 2012 is incorporated by reference to Exhibit H of Post-Effective Amendment No. 128 to the Registrant's Registration Statement on Form N-1A, filed on December 27, 2012.
(h)(2) Shareholder Services Plan, as revised September 17, 2013 (relating to Class A and Class C shares of Dreyfus Floating Rate Income Fund and Dreyfus Opportunistic Fixed Income Fund) is incorporated by reference Exhibit M(15) to Post-Effective Amendment No. 139.
(i)(1) Consent and opinion of Registrant's counsel (relating to Dreyfus Core Equity Fund and Dreyfus Floating Rate Income Fund) is incorporated by reference to Exhibit i(1) of Post-Effective Amendment No. 174 to the Registrant's Registration Statement on Form N-1A, filed on December 27, 2017("Post-Effective Amendment No. 174").
(i)(2) Consent and opinion of Registrant's counsel (relating to Dreyfus Bond Market Index Fund, Dreyfus Disciplined Stock Fund, Dreyfus Tax Managed Growth Fund, Dreyfus Institutional S&P 500 Stock Index Fund and Dreyfus Opportunistic Fixed Income Fund) is incorporated by reference to Exhibit (i)(2) of Post-Effective Amendment No. 176.
(i)(3) Consent and opinion of Registrant's counsel (relating to General Treasury and Agency Money Market Fund; and to the Class T shares of Dreyfus Core Equity Fund, Dreyfus Floating Rate Income Fund, Dreyfus Opportunistic Fixed Income Fund and Dreyfus Tax Managed Growth Fund) is incorporated by reference to Exhibit i(3) of Post-Effective Amendment No. 169.
(j)(1) Consent of Independent Registered Public Accounting Firm (relating to Dreyfus Core Equity Fund and Dreyfus Floating Rate Income Fund) is incorporated by reference to Exhibit j(1) of Post-Effective Amendment No. 174.
(j)(2) Consent of Independent Registered Public Accounting Firm (relating to Dreyfus Bond Market Index Fund, Dreyfus Disciplined Stock Fund, Dreyfus Tax Managed Growth Fund, Dreyfus Institutional S&P 500 Stock Index Fund and Dreyfus Opportunistic Fixed Income Fund) is incorporated by reference to Exhibit (j)(2) of Post-Effective Amendment No. 176.
(j)(3) Consent of Independent Registered Public Accounting Firm (relating to General Treasury and Agency Money Market Fund; and to the Class T shares of Dreyfus Core Equity Fund, Dreyfus Floating Rate Income Fund, Dreyfus Opportunistic Fixed Income Fund and Dreyfus Tax Managed Growth Fund) is incorporated by reference to Exhibit j(3) of Post-Effective Amendment No. 169.
(k) Letter of Investment Intent is incorporated by reference to the Registration Statement.
(l) Not applicable.
(m)(1) Amended and Restated Distribution Plan effective as of March 22, 2000, (relating to Investor Class Shares and Class A Shares) for Dreyfus Bond Market Index Fund, General Treasury and Agency Money Market Fund (formerly Dreyfus U.S. Treasury Reserves), and Dreyfus Tax Managed Growth Fund is incorporated by reference to Exhibit M(1) of Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004 ("Post-Effective Amendment No. 87").
(m)(2) Amended and Restated Distribution Plan, dated October 17, 1994, as revised October 25, 1995, and 1997, (relating to Dreyfus Disciplined Stock Fund) is incorporated by reference to Exhibit M(2) of Post-Effective Amendment No. 61 to the Registrant's Registration Statement on Form N-1A, filed on February 26, 1998.
(m)(3) Amended and Restated Distribution Plan, effective as of March 22, 2000 and as revised April 15, 2002, (relating to Class A shares for Dreyfus Core Equity Fund (formerly Dreyfus Premier Core Equity Fund)) is incorporated by reference to Exhibit M(3) Post-Effective Amendment No. 87.
(m)(4) Distribution Plan, dated December 19, 1994, as revised November 20, 1997, as of April 15, 2002 and revised March 13, 2012, (relating to Class B and Class C shares for Dreyfus Tax Managed Growth Fund and Dreyfus Core Equity Fund) is incorporated by reference to Exhibit (m)(4) of Post-Effective Amendment No. 162.
(m)(5) Distribution Plan dated April 20, 2006, as revised September 17, 2013, (relating to Class C shares of Dreyfus Opportunistic Fixed Income Fund and Dreyfus Floating Rate Income Fund) is incorporated by reference to Exhibit M(9) of Post-Effective Amendment No. 139 to Registrant's Registration Statement on Form N-1A, filed on September 5, 2013.
(m)(6) Distribution Plan, dated October 28, 2015, (relating to Class B Shares of General Treasury and Agency Money Market Fund) is incorporated by reference to Exhibit M(10) of Post-Effective Amendment 151.
(m)(7) Amended and Restated Service Plan, effective March 22, 2000, revised March 13, 2012 (relating to Dreyfus Tax Managed Growth Fund and Dreyfus Core Equity Fund) is incorporated by reference to Exhibit (m)(11) of Post-Effective Amendment No. 162.
(m)(8) Shareholder Services Plan, dated April 26, 2007, as revised October 28, 2015, (relating to Class B shares of General Treasury and Agency Money Market Fund) is incorporated by reference to Exhibit M(14) of Post-Effective Amendment No. 151.
(m)(9) Service Plan (Rule 12b-1 Plan) dated as of March 31, 2017, (relating to Dreyfus Core Equity Fund, Dreyfus Floating Rate Income Fund, Dreyfus Opportunistic Fixed Income Fund and Dreyfus Tax Managed Growth Fund) is incorporated by reference to Exhibit M(13) of Post-Effective Amendment No. 169.
(n)(1) Amended Rule 18f-3 Plan for Dreyfus Bond Market Index Fund, dated April 26, 1995, amended August 31, 2016, amended February 23, 2017 is incorporated by reference to Exhibit N(1) of Post-Effective Amendment No. 169.
(n)(2) Rule 18f-3 Plan, as amended February 1, 2016, as amended February 23, 2017, as amended December 15, 2017 for Dreyfus Tax Managed Growth Fund and Dreyfus Core Equity Fund, is incorporated by reference to Exhibit (n)(2) of Post-Effective Amendment No. 173 to
Registrant's Registration Statement on Form N-1A, filed on December 15, 2017 ("Post-Effective Amendment No. 173").
(n)(3) Rule18f-3 Plan, as amended March 1, 2016, as amended February 23, 2017, as amended December 15, 2017 for Dreyfus Floating Rate Income Fund and Dreyfus Opportunistic Fixed Income Fund, is incorporated by reference to Exhibit (n)(3) of Post-Effective Amendment No. 173.
(n)(4) Rule 18f-3 Plan, dated August 1, 2015, as revised April 15, 2016 for General Treasury and Agency Money Market Fund is incorporated by reference to Exhibit N(5) of Post-Effective Amendment No. 161.
(p)(1) Revised Code of Ethics adopted by the Registrant, The Dreyfus Corporation, Alcentra NY, LLC and MBSC Securities Corporation, which became effective November 3, 2014 is incorporated by reference to Exhibit P(4) of Post-Effective Amendment No. 152.
(p)(2) Revised Code of Ethics of Fayez Sarofim & Co. effective as of May 6, 2013, for Dreyfus Core Equity Fund and Dreyfus Tax Managed Growth Fund is incorporated by reference to Exhibit P(2) of Post-Effective Amendment No. 142.
(p)(3) Code of Ethics for the Nonmanagement Board Members of the Dreyfus Family of Funds and BNY Mellon Funds Trust is filed incorporated by reference to Exhibit (p)(3) of Post-Effective Amendment No. 162.
Other Exhibits
(1) Power of Attorney of Bradley J. Skapyak, James Windels and Trustees, dated February 21, 2018, effective March 30, 2018, is incorporated by reference to (1) Post-Effective Amendment No. 176.
Item 29. Persons Controlled by or under Common Control with Registrant
Not applicable.
Item 30. Indemnification
The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including attorneys' fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, as amended, that no board member or officer of a fund may be protected against liability for willful misfeasance, bad faith, gross negligence or reckless disregard for the duties of his or her office. Reference is hereby made to the following:
Article Tenth of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of Registrant's Amended and Restated Bylaws, Section 2-418 of the Maryland General Corporation Law and Section 1.10 of the Distribution Agreement.
Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to directors, 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 Securities Act of 1933 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 director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, 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 by it is against public policy as expressed in the Securities Act of 1933 and will be governed by the final adjudication of such issue.
Item 31. Business and Other Connections of Investment Adviser
(a) The Dreyfus Corporation ("Dreyfus") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Dreyfus and of other investment companies for which Dreyfus acts as investment adviser, sub-investment adviser or administrator.
(b) The Registrant (on behalf of Dreyfus Core Equity Fund and Dreyfus Tax Managed Growth Fund (the "Funds")) is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Fayez Sarofim & Co., the sub-investment adviser of the Funds, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Fayez Sarofim & Co., or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Fayez Sarofim & Co. (SEC File No. 801-1725).
(c) The Registrant (on behalf of Dreyfus Floating Rate Income Fund) is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Alcentra NY, LLC (the sub-investment adviser of Dreyfus Floating Rate Income Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Alcentra NY, LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Advisers Act by Alcentra NY, LLC (SEC File No. 801-62417).
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
Renee LaRoche-Morris President and Director | 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 Chief Operating Officer and Director | 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 Director | 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 |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| 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 |
| | | |
| 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 |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| 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 |
| | | |
| 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 |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| 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 |
| | | |
| Mellon Global Investing Corp+ | Director | 8/10 - Present |
| | | |
| Mellon JV Limited^ | Director | 1/06 - Present |
| | | |
| Mellon Overseas Investment Corporation******* | Director | 4/08 - Present |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| 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 |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| BNY Mellon Compass Fund SICAV######### | Director | 11/11 – 1/16 |
| | | |
| 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 Chief Compliance Officer | The Dreyfus Family of Funds++ | Chief Compliance Officer | 10/04 - Present |
| BNY Mellon Funds Trust++ | Chief Compliance Officer | 10/04 - Present |
| MBSC Securities Corporation++ | Chief Compliance Officer | 1/06 - 1/16 |
| | | |
Christopher O'Connor Chief Administrative Officer | MBSC Securities Corporation++ | Director | 3/12 – 3/15 |
| | | |
| | Executive Vice President | 12/11 – Present |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
Bennett A. MacDougall Chief Legal Officer | The Bank of New York Mellon Corporation ++ | Associate General Counsel | 6/15 - Present |
| | | |
| Deutsche Bank 60 Wall Street New York, NY 10005 | Director and Associate General Counsel | 6/05 - 6/15 |
| | | |
| Deutsche Investment Management Americas, Inc. 345 Park Avenue New York, NY 10154 | Chief Legal Officer | 11/08 - 6/15 |
| | | |
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 Chief Risk Officer | 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 Vice President – Tax | Alcentra NY LLC ++ | Assistant Treasurer - Tax | 9/14 - Present |
| Alcentra US. Inc. †††† | Assistant Treasurer - Tax | 9/14 - Present |
| | | |
| Alternative Holdings I, LLC *** | Assistant Treasurer - Tax | 1/14 - Present |
| | | |
| Alternative Holdings II, LLC *** | Assistant Treasurer - Tax | 1/14 - Present |
| | | |
| Asset Recovery II, LLC *** | Assistant Treasurer | 9/13 – Present |
| | | |
| Asset Recovery III, LLC *** | Assistant Treasurer | 9/13 – 3/15 |
| | | |
| Asset Recovery IV, LLC *** | Assistant Treasurer | 9/13 – Present |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| Asset Recovery V, LLC *** | Assistant Treasurer | 9/13 – Present |
| | | |
| Asset Recovery VII, LLC *** | Assistant Treasurer | 9/13 – 3/15 |
| | | |
| Asset Recovery IX, LLC *** | Assistant Treasurer | 3/14 – 3/15 |
| | | |
| Asset Recovery X, LLC *** | Assistant Treasurer | 3/14 – 3/15 |
| | | |
| Asset Recovery XIII, LLC *** | Assistant Treasurer | 3/13 – 3/16 |
| | | |
| Asset Recovery XIV, LLC *** | Assistant Treasurer | 3/13 – Present |
| | | |
| Asset Recovery XIX, LLC *** | Assistant Treasurer | 7/13 – Present |
| | | |
| Asset Recovery XV, LLC *** | Assistant Treasurer | 3/13 – 3/15 |
| | | |
| Asset Recovery XVI, LLC *** | Assistant Treasurer | 3/13 – 6/16 |
| | | |
| Asset Recovery XVII, LLC *** | Assistant Treasurer | 3/13 – 3/15 |
| | | |
| Asset Recovery XVIII, LLC *** | Assistant Treasurer | 7/13 – 3/15 |
| | | |
| Asset Recovery XX, LLC *** | Assistant Treasurer | 7/13 – Present |
| | | |
| Asset Recovery XXI, LLC *** | Assistant Treasurer | 7/13 – 3/15 |
| | | |
| Asset Recovery XXII, LLC *** | Assistant Treasurer | 7/13 – Present |
| | | |
| Asset Recovery XXIII, LLC *** | Assistant Treasurer | 7/13 – 6/16 |
| | | |
| BNY Alcentra Group Holdings, Inc. †††††† | Assistant Treasurer - Tax | 3/13 - Present |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| BNY Capital Funding LLC *** | Assistant Treasurer – Tax | 9/13 - Present |
| | | |
| BNY Investment Strategy and Solutions Group, LLC * | Assistant Treasurer – Tax | 6/15 - Present |
| | | |
| BNY Mellon Community Development Corporation ^^^^^ | Assistant Treasurer – Tax | 10/13 - Present |
| | | |
| BNY Mellon Distributors Holdings Inc. # | Assistant Treasurer – Tax | 6/14 – Present |
| | | |
| BNY Mellon Investments CTA, LLC * | Assistant Treasurer | 9/13 – Present |
| | | |
| BNY Mellon Investment Servicing (US) Inc. + | Assistant Treasurer | 3/14 – Present |
| | | |
| BNY Mellon Investment Servicing Trust Company # | Assistant Treasurer | 3/14 – Present |
| | | |
| BNY Mellon Trust of Delaware# | Assistant Treasurer | 11/13 – Present |
| | | |
| IVY Asset Management LLC + | Assistant Treasurer | 9/13 – Present |
| | | |
| Mellon Hedge Advisors, LLC * | Assistant Treasurer | 10/13 – Present |
| | | |
| MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/13 – Present |
| | | |
| 484Wall Capital Management LLC *** | Assistant Treasurer – Tax | 10/13 – 5/16 |
| | | |
| 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 |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| 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 |
| | | |
| 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 |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| 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 |
| | | |
| BNY Mezzanine Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| BNY Mezzanine Holdings LLC ****** | Assistant Treasurer – Tax | 5/13 – Present |
| | | |
| BNY Mezzanine Non NY Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present |
| | | |
| BNY Mezzanine NY Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present |
| | | |
| BNY Partnership Funding LLC *** | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| BNY Partnership Funding LLC *** | Manager | 11/14 – 6/15 |
| | | |
| BNY Rail Maintenance LLC *** | Assistant Treasurer – Tax | 7/13 – 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 |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| BNY-N.J. II Corp. *** | Assistant Treasurer – Tax | 4/13 – Present |
| | | |
| Boston Safe Deposit Finance Company, Inc. * | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer – Tax | 12/13 – Present |
| | | |
| CenterSquare Investment Management, Inc. +++ | Assistant Treasurer – Tax | 12/13 – Present |
| | | |
| Coates Holding LLC# | Assistant Treasurer – Tax | 3/15 – 6/16 |
| | | |
| Colson Services Corp. ^ | Assistant Treasurer – Tax | 3/14 - Present |
| | | |
| Cutwater Asset Management Corp. +++++ | Assistant Treasurer – Tax | 1/15 - Present |
| | | |
| Cutwater Holdings LLC +++++ | Assistant Treasurer – Tax | 1//15 - Present |
| | | |
| Cutwater Investor Services Corp. +++++ | Assistant Treasurer - Tax | 1/15 - Present |
| | | |
| Dreyfus Service Organization, Inc. ++ | Assistant Treasurer – Tax | 3/14 - Present |
| | | |
| EACM Advisors LLC ^^ | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| Eagle Access LLC ^^^ | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| Eagle Investment Systems LLC ^^^^ | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| ECM DE. LLC *** | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| GIS Holdings (International) Inc. # | Assistant Treasurer – Tax | 6/14 – 12/14 |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| Hamilton Floating Rate Fund Holdings, LLC *** | Assistant Treasurer – Tax | 5/13 – 3/16 |
| | | |
| HedgeMark International, LLC ## | Assistant Treasurer – Tax | 5/14 – Present |
| | | |
| iNautix (USA) LLC ### | Assistant Treasurer – Tax | 11/13 – Present |
| | | |
| IRE-1, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| IRE-AC, Inc. ††† | Assistant Treasurer – Tax | 7/13 – 12/15 |
| | | |
| IRE-BC, Inc. ††† | Assistant Treasurer – Tax | 7/13 – 12/15 |
| | | |
| IRE-SB, Inc. ††† | Assistant Treasurer – Tax | 7/13 – 12/15 |
| | | |
| Island Waterworks, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| ITCMED, Inc. *** | Assistant Treasurer – Tax | 6/13 – 5/15 |
| | | |
| JRHC 1998A LLC #### | Assistant Treasurer – Tax | 12/13 – Present |
| | | |
| Lockwood Advisors, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present |
| | | |
| Lockwood Insurance, Inc. ###### | Assistant Treasurer – Tax | 8/14 - Present |
| | | |
| Lockwood Solutions, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present |
| | | |
| Lease Equities (Texas) Corporation ##### | Assistant Treasurer – Tax | 7/13 – Present |
| | | |
| Madison Pershing LLC ### | Assistant Treasurer – Tax | 6/13 – Present |
| | | |
| MAM (MA) Holding Trust * | Assistant Treasurer – Tax | 8/13 – Present |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| MBC Investments Corporation # | Assistant Treasurer – Tax | 11/13 – Present |
| | | |
| MBSC Securities Corporation ++ | Vice President – Tax | 2/14 - Present |
| | | |
| MCDI (Holdings) LLC *** | Assistant Treasurer – Tax | 9/13 – Present |
| | | |
| Mellon Capital Management Corporation ** | Assistant Treasurer – Tax | 1/14 – 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 |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| Mellon Life Insurance Company+ | Assistant Treasurer – Tax | 10/13 – Present |
| | | |
| Mellon Overseas Investment Corporation *** | Assistant Treasurer – Tax | 12/13 - Present |
| | | |
| Mellon Properties Company **** | Assistant Treasurer – Tax | 8/13 – Present |
| | | |
| Mellon Residential Funding Corporation ++++ | Assistant Treasurer - Tax | 4/14 – 3/16 |
| | | |
| National Residential Assets Corp.*** | Assistant Treasurer – Tax | 4/13 – Present |
| | | |
| New GSM Holding Corporation ^^^^ | Assistant Treasurer – Tax | 7/13 – 12/15 |
| | | |
| Newton Capital Management LLC.*** | Assistant Treasurer – Tax | 8/14 - Present |
| | | |
| Northern Waterworks, Inc. ††† | Assistant Treasurer – Tax | 7/13 – 12/15 |
| | | |
| NY CRE Asset Holdings, LLC. *** | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| NY CRE Asset Holdings II, LLC. *** | Assistant Treasurer – Tax | 1/14 - Present |
| | | |
| One Wall Street Corporation *** | Assistant Treasurer – Tax | 11/13 – Present |
| | | |
| Pareto New York LLC++ | Assistant Treasurer – Tax | 11/13 – Present |
| | | |
| PAS Holdings LLC *** | Assistant Treasurer – Tax | 6/13 – Present |
| | | |
| 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 |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| 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 |
| | | |
| 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 |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| 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 Senior Vice President | 2/14 – Present 2/08 – 2/14 |
| | | |
Anthony Mayo Vice President – Information Systems | MBSC Securities Corporation++ | Chief Technology Officer | 4/14 – Present |
| | | |
| | | |
Kathleen Geis Vice President | BNY Mellon International Operations (India) Private Limited | Director | 5/05 - Present |
| | | |
| BNY Mellon Asset Management North America Corporation* | Vice President - Real Estate | 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 - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Investment Management Services LLC # | Vice President - Real Estate | 10/11 - Present |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| BNY Mellon Investment Servicing (US) Inc. + | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Performance & Risk Analytics, LLC + | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Trust Company of Illinois ***** | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Trust of Delaware# | Vice President - Real Estate | 7/11 - Present |
| | | |
| CenterSquare Investment Management Holdings, Inc. +++ | Vice President - Real Estate | 10/12 – Present |
| | | |
| Eagle Investment Systems LLC ^^^^ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Ivy Asset Management LLC + | Vice President - Real Estate | 7/11 – Present |
| | | |
| MBSC Securities Corporation ++ | Vice President - Real Estate | 7/11 – Present |
| | | |
| Mellon Capital Management Corporation** | Vice President - Real Estate | 7/11 – 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 Investor Services Holdings LLC+++++++ | Vice President - Real Estate | 8/16 - Present |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| Pareto New York LLC ++ | Vice President - Real Estate | 7/11 – Present |
| | | |
| SourceNet Solutions, Inc. + | Vice President - Real Estate | 7/11 – 5/13 |
| | | |
| Technology Services Group, Inc. ^^^^^ | Vice President - Real Estate | 7/11 – Present |
| Tennessee Processing Center LLC ^^^^^ | Vice President - Real Estate | 7/11 - Present |
| | | |
| The Bank of New York Mellon Trust Company, National Association+ | Vice President - Real Estate | 7/11 - Present |
| | | |
| Alcentra US, Inc. †††† | Vice President - Real Estate | 7/11 - Present |
| | | |
| BNY Mellon Capital Markets LLC^^^^^ | Vice President - Real Estate | 7/11 - Present |
| | | |
| Pershing LLC ### | Vice President - Real Estate | 7/11 - Present |
| | | |
| The Bank of New York Mellon+ | Managing Director | 7/09 - Present |
| | | |
| MBNA Institutional PA Services, LLC+ | Managing Director | 7/09 – 10/14 |
| | | |
| | | |
Claudine Orloski Vice President – Tax | Dreyfus Service Organization++ | Vice President – Tax | 8/14 – Present |
| | | |
| MBSC Securities Corporation++ | Vice President – Tax | 2/12 - Present |
| | | |
| Asset Recovery II, LLC*** | Assistant Treasurer | 9/11 - Present |
| | | |
| Asset Recovery III, LLC *** | Assistant Treasurer | 9/11 – 3/15 |
| | | |
| Asset Recovery IV, LLC *** | Assistant Treasurer | 9/11 – Present |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| Asset Recovery IX, LLC *** | Assistant Treasurer | 2/11 – 3/15 |
| | | |
| Asset Recovery V, LLC *** | Assistant Treasurer | 9/11 – Present |
| | | |
| Asset Recovery VII, LLC *** | Assistant Treasurer | 2/11 – 3/15 |
| | | |
| Asset Recovery X, LLC *** | Assistant Treasurer | 2/11 – 3/15 |
| | | |
| Asset Recovery XIII, LLC*** | Assistant Treasurer | 3/11 – 3/16 |
| | | |
| Asset Recovery XIV, LLC *** | Assistant Treasurer | 3/11 – Present |
| | | |
| Asset Recovery XIX, LLC *** | Assistant Treasurer | 7/11 – Present |
| | | |
| Asset Recovery XV, LLC *** | Assistant Treasurer | 3/11 – 3/15 |
| | | |
| Asset Recovery XVI, LLC *** | Assistant Treasurer | 3/11 – 6/16 |
| | | |
| Asset Recovery XVII, LLC *** | Assistant Treasurer | 3/11 – 3/15 |
| | | |
| Asset Recovery XVIII, LLC *** | Assistant Treasurer | 7/11 – 3/15 |
| | | |
| Asset Recovery XX, LLC *** | Assistant Treasurer | 7/11 – Present |
| | | |
| Asset Recovery XXI, LLC *** | Assistant Treasurer | 7/11 – 3/15 |
| | | |
| Asset Recovery XXII, LLC *** | Assistant Treasurer | 7/11 – Present |
| | | |
| Asset Recovery XXIII, LLC *** | Assistant Treasurer | 7/11 – 6/16 |
| | | |
| BNY Mellon 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 |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| Alcentra NY, LLC ++ | Assistant Treasurer -Tax | 10/12 – Present |
| | | |
| Alcentra US, Inc. †††† | Assistant Treasurer -Tax | 10/11 – Present |
| | | |
| Allomon Corporation † | Assistant Treasurer -Tax | 5/12 – Present |
| | | |
| Alternative Holdings I, LLC *** | Assistant Treasurer -Tax | 1/13 – Present |
| | | |
| Alternative Holdings II, LLC *** | Assistant Treasurer -Tax | 1/13 – Present |
| | | |
| AP Residential Realty, Inc. ††††† | Assistant Treasurer -Tax | 8/11 – Present |
| | | |
| APT Holdings Corporation # | Assistant Treasurer -Tax | 12/11 – Present |
| | | |
| AURORA-IRE, INC. ††† | Assistant Treasurer -Tax | 7/11 – 12/15 |
| | | |
| B.N.Y. Holdings (Delaware) Corporation # | Assistant Treasurer -Tax | 4/12 – Present |
| | | |
| BNY Administrative Services LLC *** | Assistant Treasurer –Tax | 12/11 – Present |
| | | |
| BNY Alcentra Group Holdings, 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 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 |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| BNY Housing I Corp. ††† | Assistant Treasurer –Tax | 7/11 – 12/15 |
| | | |
| BNY Housing II LLC *** | Assistant Treasurer –Tax | 7/11 – 10/15 |
| | | |
| BNY Investment Strategy and Solutions Group LLC * | Assistant Treasurer –Tax | 6/15 – Present |
| | | |
| BNY Investment Management Services LLC # | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| BNY ITC Leasing, LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Lease Equities (Cap Funding) LLC ######## | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Lease Holdings LLC *** | Assistant Treasurer –Tax | 7/11 – 12/15 |
| | | |
| BNY Lease Partners LLC *** | Assistant Treasurer –Tax | 9/11 – Present |
| | | |
| BNY Leasing Edge Corporation *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Mellon Alternative Investments Holdings LLC *** | Assistant Treasurer –Tax | 10/13 – Present |
| | | |
| BNY Mellon Capital Markets, 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 |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| BNY Mellon Performance & Risk Analytics, Inc. (US) ^^^^^^ | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| BNY Mellon Performance & Risk Analytics, LLC + | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Mellon Transition Management Advisors, LLC ** | Assistant Treasurer –Tax | 5/13 – Present |
| | | |
| BNY Mellon Trust Company of Illinois ***** | Assistant Treasurer –Tax | 3/11 – Present |
| | | |
| BNY Mezzanine Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| BNY Mezzanine Holdings LLC ****** | Assistant Treasurer –Tax | 5/11 – Present |
| | | |
| BNY Mezzanine Non NY Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| BNY Mezzanine NY Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| BNY Partnership Funding LLC *** | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| BNY Rail Maintenance LLC *** | Assistant Treasurer –Tax | 7/11 – 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 |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| BNYM RECAP Holdings, LLC *** | Assistant Treasurer –Tax | 11/14 – Present |
| | | |
| BNY-N.J. I Corp. *** | Assistant Treasurer –Tax | 4/11 – Present |
| | | |
| BNY-N.J. II Corp. *** | Assistant Treasurer –Tax | 4/11 – Present |
| | | |
| Boston Safe Deposit Finance Company, Inc. * | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer –Tax | 2/13 – Present |
| | | |
| CenterSquare Investment Management, Inc. +++ | Assistant Treasurer –Tax | 2/13 – Present |
| | | |
| Coates Holding LLC# | Assistant Treasurer – Tax | 3/15 - Present |
| | | |
| Colson Services Corp. ^ | Assistant Treasurer –Tax | 2/11 – Present |
| | | |
| Cutwater Asset Management Corp. +++++ | Assistant Treasurer – Tax | 1/15 - Present |
| | | |
| Cutwater Holdings LLC +++++ | Assistant Treasurer – Tax | 1//15 - Present |
| | | |
| Cutwater Investor Services Corp. +++++ | Assistant Treasurer - Tax | 1/15 - Present |
| | | |
| EACM Advisors LLC ^^ | Assistant Treasurer –Tax | 4/14 – Present |
| | | |
| Eagle Access LLC ^^^ | Assistant Treasurer –Tax | 1/12 – Present |
| | | |
| Eagle Investment Systems LLC ^^^^ | Assistant Treasurer –Tax | 1/12 – Present |
| | | |
| ECM DE, LLC *** | Assistant Treasurer –Tax | 3/11 – Present |
| | | |
| GIS Holdings (International) Inc. # | Assistant Treasurer –Tax | 4/12 – 12/14 |
| | | |
| Hamilton Floating Rate Fund Holdings, LLC *** | Assistant Treasurer –Tax | 5/11 – 3/16 |
| | | |
| HedgeMark International, LLC ## | Assistant Treasurer –Tax | 5/14 – Present |
| | | |
| iNautix (USA) LLC ### | Assistant Treasurer –Tax | 7/12 – Present |
| | | |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| IRE-1, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| IRE-AC, Inc. ††† | Assistant Treasurer –Tax | 7/11 – 12/15 |
| | | |
| IRE-BC, Inc. ††† | Assistant Treasurer –Tax | 7/11 – 12/15 |
| | | |
| IRE-SB, Inc. ††† | Assistant Treasurer –Tax | 7/11 – 12/15 |
| | | |
| Island Waterworks, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| ITCMED, Inc. *** | Assistant Treasurer –Tax | 6/11 – 5/15 |
| | | |
| JRHC 1998A LLC #### | Assistant Treasurer –Tax | 12/11 – Present |
| | | |
| Lease Equities (Texas) Corporation##### | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
| Lockwood Advisors, Inc. ###### | Assistant Treasurer –Tax | 3/11 – Present |
| | | |
| Lockwood Insurance Inc. ###### | Assistant Treasurer –Tax | 8/14 – Present |
| | | |
| Lockwood Solutions, Inc. ###### | Assistant Treasurer –Tax | 3/11 – Present |
| | | |
| Madison Pershing LLC ### | Assistant Treasurer –Tax | 4/11 – Present |
| | | |
| MAM (MA) Holding Trust * | Assistant Treasurer –Tax | 8/11 – Present |
| | | |
| MBC Investments Corporation # | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| MBNA Institutional PA Services LLC + | Assistant Treasurer –Tax | 7/12 – Present |
| | | |
| MBNA PW PA Services LLC + | Assistant Treasurer –Tax | 7/12 – Present |
| | | |
| MCDI (Holdings) LLC *** | Assistant Treasurer –Tax | 8/11 – Present |
| | | |
| MELDEL Leasing Corporation Number 2, Inc. # | Assistant Treasurer –Tax | 8/11 – Present |
| | | |
| Mellon Capital Management Corporation ** | Assistant Treasurer –Tax | 10/13 – 1/18 |
| | | |
| Mellon EFT Services Corporation ††††† | Assistant Treasurer –Tax | 2/11 – Present |
| | | |
| Mellon Financial Services Corporation #1 + | Assistant Treasurer –Tax | 7/11 – Present |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| 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 Investor Services Holdings LLC | Assistant Treasurer –Tax | 8/16 – Present |
| +++++++ | | |
| Mellon Leasing Corporation + | Assistant Treasurer –Tax | 9/11 – Present |
| | | |
| Mellon Life Insurance Company + | Assistant Treasurer –Tax | 10/12 – Present |
| | | |
| Mellon Overseas Investment Corporation *** | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| Mellon Properties Company **** | Assistant Treasurer –Tax | 8/12 – Present |
| | | |
| Mellon Residential Funding Corporation **** | Assistant Treasurer –Tax | 4/14 – 3/16 |
| | | |
| National Residential Assets Corp. *** | Assistant Treasurer –Tax | 4/12 – Present |
| | | |
| New GSM Holding Corporation ^^^^ | Assistant Treasurer –Tax | 7/11 – 12/15 |
| | | |
| Newton Capital Management LLC *** | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| Northern Waterworks, Inc. ††† | Assistant Treasurer –Tax | 7/11 – 12/15 |
| | | |
| NY CRE Asset Holdings II, LLC *** | Assistant Treasurer –Tax | 1/12 – Present |
| | | |
| NY CRE Asset Holdings, LLC *** | Assistant Treasurer –Tax | 1/12 – Present |
| | | |
| One Wall Street Corporation *** | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| Pareto New York LLC ++ | Assistant Treasurer –Tax | 11/11 – Present |
| | | |
| PAS Holdings LLC *** | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| Pershing Advisor Solutions LLC ### | Assistant Treasurer –Tax | 6/11 – Present |
| | | |
| Pershing Group LLC ### | Assistant Treasurer –Tax | 4/11 – Present |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
| 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 |
| | | |
| Tiber Capital Management LLC++ | Assistant Treasurer –Tax | 8/15 – 7/16 |
| | | |
| USPLP, Inc. ******* | Assistant Treasurer –Tax | 10/11 – Present |
| | | |
| BNY Mellon Investment Management Holdings LLC # | Assistant Vice President –Tax | 12/12 – Present |
| | | |
| BNY Aurora Holding Corp. *** | Vice President | 10/11 – Present |
| | | |
| Agency Brokerage Holding LLC *** | Vice President –Tax | 2/11 – Present |
| | | |
| BNY Community Development Enterprises Corporation*** | Vice President –Tax | 4/12 – 4/14 |
| | | |
| MBSC Securities Corporation ++ | Vice President –Tax | 2/12 – Present |
| | | |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
| | | |
James Bitetto Secretary | 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 Business address | Positions and offices with the Distributor | Positions and Offices with 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 |
| | |
(b) | | |
Name and principal Business address | Positions and offices with the Distributor | Positions and Offices with Registrant |
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 |
| | |
(b) | | |
Name and principal Business address | Positions and offices with the Distributor | Positions and Offices with Registrant |
James Bitetto* | Assistant Secretary | Vice President and Assistant Secretary |
Audrey Edwards*** | Assistant Secretary | None |
Susan K. Maroni*** | Assistant Secretary | None |
Cristina Rice*** | Assistant Secretary | None |
| |
* | Principal business address is 200 Park Avenue, New York, NY 10166. |
** | Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144. |
*** | Principal business address is BNY Mellon Center, 500 Grant Street, Pittsburgh, PA 15258. |
**** | Principal business address is 101 Barclay Street, New York, NY 10286. |
***** | Principal business address is 2 Hanson Place, Brooklyn, NY 11217 |
† | Principal business address is 100 Saint Paul Street Denver, CO 80206 |
†† | Principal business address is 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 6th of March 2018.
The Dreyfus/Laurel Funds, Inc.
| |
BY: | /s/ Bradley J. Skapyak* |
| Bradley J. Skapyak, PRESIDENT |
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
| | | | | |
Signatures | | Title | | Date |
| | | | |
|
/s/ Bradley J. Skapyak* | | President (Principal Executive Officer) | | 03/6/2018 |
|
Bradley J. Skapyak | | | | |
|
/s/ James Windels* | | Treasurer (Principal Financial and Accounting Officer) | | 03/6/2018 |
|
James Windels | | | | |
|
/s/ Joseph S. DiMartino* | | Chairman of the Board | | 03/6/2018 |
|
Joseph S. DiMartino | | | | |
|
/s/ Kenneth A. Himmel* | | Board Member | | 03/6/2018 |
|
Kenneth A. Himmel | | | | |
|
/s/ Stephen J. Lockwood* | | Board Member | | 03/6/2018 |
|
Stephen J. Lockwood | | | | |
|
/s/ Roslyn M. Watson* | | Board Member | | 03/6/2018 |
|
Roslyn M. Watson | | | | |
|
/s/ Benaree Pratt Wiley* | | Board Member | | 03/6/2018 |
|
Benaree Pratt Wiley | | | | |
|
/s/ Francine J. Bovich* | | Board Member | | 03/6/2018 |
|
Francine J. Bovich | | | | |
*BY: | /s/ James Bitetto |
| James Bitetto Attorney-in-Fact |
INDEX OF EXHIBITS
Exhibits
(a)(41) Articles Supplementary to the Articles of Incorporation, dated February 26, 2018 (relating to Dreyfus Floating Rate Income Fund).