File No. 333-26513
811-08211
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. 31 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 31 [X]
(Check appropriate box or boxes.)
Dreyfus Institutional Preferred Money Market Funds
(Exact Name of Registrant as Specified in Charter)
c/o The Dreyfus Corporation
200 Park Avenue, New York, New York 10166
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6000
John Pak, 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 (e)(ii) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file a Bank Selling Agreement as Exhibit (e)(ii) to this Registration Statement on Form N-1A.
The Prospectuses and Statement of Additional Information for the Registrant were filed on July 28, 2015 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and are incorporated by reference herein.
DREYFUS INSTITUTIONAL PREFERRED MONEY MARKET FUNDS
PART C. OTHER INFORMATION
Item 28. Exhibits
(a)(1) Registrant's Amended and Restated Agreement and Declaration of Trust is incorporated by reference to Exhibit (1) of Pre-Effective Amendment No. 1 to the Registration Statement on Form N-1A, filed on June 5, 1997 ("Pre-Effective Amendment No.1").
(a)(2) Registrant's Articles of Amendment are incorporated by reference to Exhibit (a)(2) of Post-Effective Amendment No. 7 to the Registration Statement on Form N-1A, filed on October 12, 2000 ("Post-Effective Amendment No. 7").
(b) Form of Amended and Restated By-Laws is incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 21 to the Registration Statement on Form N-1A, filed on July 28, 2011 ("Post-Effective Amendment No. 21").
(d) Management Agreement, between the Registrant and The Dreyfus Corporation, dated July 14, 2010, as-revised April 24, 2014, is incorporated by reference to exhibit (d) of Post-Effective Amendment No. 29 to the Registration Statement on Form N-1A, filed on July 28, 2015 (“Post-Effective Amendment No. 29”).
(e)(1) Form of Amended Distribution Agreement is incorporated by reference to Exhibit (e) of Post-Effective Amendment No. 20 to the Registration Statement on Form N-1A, filed on July 29, 2010.
(e)(2) Forms of Service Agreements.*
(g)(1) Form of Custody Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 21.
(g)(2) Amendment to the Custody Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 27 to the Registration Statement on form N-1A, filed on July 28, 2014.
(h) Form of Transfer Agency Agreement is incorporated by reference to Exhibit (h) of Post-Effective Amendment No. 23 to the Registration Statement on Form N-1A, filed on July 27, 2012.
(i) Opinion and Consent of Registrant's counsel is incorporated by reference to Exhibit (10) of Pre-Effective Amendment No. 1.
(j) Consent of Independent Registered Public Accounting firm is incorporated by reference to exhibit (j) of Post-Effective Amendment No. 29.
(p)(1) Code of Ethics, adopted by Registrant, dated November 3, 2014, is incorporated by reference to exhibit (p)(1) of Post-Effective Amendment No. 29.
(p)(2) Code of Ethics for the Non-management Board Members of the Dreyfus Family of Funds is incorporated by reference to Exhibit (p) (ii) of Post-Effective Amendment No. 19 to the Registration Statement on Form N-1A, filed on May 28, 2010.
____________
*Filed herewith.
Other Exhibits
(a) Powers of Attorney of directors and certain officers of Registrant, dated February 5, 2015 and April 30, 2015, are incorporated by reference to exhibit (a) of Post-Effective Amendment No. 29.
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 EIGHTH of the Registrant's Agreement and Declaration of Trust and any amendments thereto, Article 10 of Registrant's Amended and Restated Bylaws and Section 1.10 of the Amended Distribution Agreement.
Item 31. Business and Other Connections of Investment Adviser.
The Dreyfus Corporation ("Dreyfus") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Dreyfus and of other investment companies for which Dreyfus acts as investment adviser, sub-investment adviser or administrator.
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position |
Other Businesses |
Position Held |
Dates |
J. Charles Cardona |
MBSC Securities Corporation++ |
Director |
6/07 – Present |
Chairman |
2/13 - Present | ||
BNY Mellon Liquidity Funds plc+ |
Director |
4/06 - Present | |
Diane P. Durnin |
MBSC Securities Corporation++ |
Executive Vice President |
3/15 - Present |
Bradley J. Skapyak |
MBSC Securities Corporation++ |
Executive Vice President |
6/07 - Present |
The Bank of New York Mellon*** |
Senior Vice President |
4/07 - Present | |
The Dreyfus Family of Funds++ |
President |
1/10 - Present | |
Dreyfus Transfer, Inc. ++ |
Chairman Director |
5/11 - Present 5/10 - Present | |
Gary Pierce |
The Bank of New York Mellon *** |
Vice President |
7/08 - Present |
BNY Mellon, National Association + |
Vice President |
7/08 - Present | |
Laurel Capital Advisors, LLP+ |
Chief Financial Officer |
5/07 – 7/10 | |
MBSC Securities Corporation++ |
Director |
6/07 – Present | |
Dreyfus Transfer, Inc. ++ |
Chief Financial Officer |
7/05 - Present | |
Dreyfus Service |
Treasurer |
7/05 – Present | |
Seven Six Seven Agency, Inc. ++ |
Treasurer |
4/99 – 2/13 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Joseph W. Connolly |
The Dreyfus Family of Funds++ |
Chief Compliance Officer |
10/04 - Present |
Laurel Capital Advisors, LLP+ |
Chief Compliance Officer |
4/05 – 7/10 | |
BNY Mellon Funds Trust++ |
Chief Compliance Officer |
10/04 - Present | |
MBSC Securities Corporation++ |
Chief Compliance Officer |
6/07 – Present | |
Christopher O'Connor |
MBSC Securities Corporation++ |
Director |
3/12 – 3/15 |
Executive Vice President |
12/11 – Present | ||
Bennett A. MacDougall Chief Legal Officer |
The Bank of New York |
Associate General Counsel |
6/15 - Present |
Deutsche Bank 60 Wall Street New York, NY 10005 |
Director and Associate General Counsel |
6/05 - 6/15 | |
Deutsche Investment Management Americas, Inc. 345 Park Avenue New York, NY 10154 |
Chief Legal Officer |
11/08 - 6/15 | |
Charles Doumar |
Alcentra NY LLC ++ |
Assistant Treasurer - Tax |
9-14 - Present |
Alcentra US. Inc. †††† |
Assistant Treasurer - Tax |
9-14 - Present | |
Alternative Holdings I, LLC *** |
Assistant Treasurer - Tax |
1/14 - Present | |
Alternative Holdings II, LLC *** |
Assistant Treasurer - Tax |
1/14 - Present | |
Asset Recovery II, LLC *** |
Assistant Treasurer |
9/13 – Present | |
Asset Recovery III, LLC *** |
Assistant Treasurer |
9/13 – 3/15 | |
Asset Recovery IV, LLC *** |
Assistant Treasurer |
9/13 – Present | |
Asset Recovery V, LLC *** |
Assistant Treasurer |
9/13 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 – Present | |
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 – Present | |
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 – Present | |
BNY Alcentra Group Holdings, Inc. †††††† |
Assistant Treasurer - Tax |
3/13 - Present | |
BNY Capital Funding LLC *** |
Assistant Treasurer – Tax |
9/13 - Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 – Present | |
Airlease Incorporated ††† |
Assistant Treasurer – Tax |
7/13 – 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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
APT Holdings Corporation # |
Assistant Treasurer – Tax |
11/13 – Present | |
AURORA-IRE, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – 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 | |
BNY Cargo Holdings LLC*** |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Catair LLC ††† |
Assistant Treasurer – Tax |
7/13 – 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 Gator LLC *** |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Hitchcock Holdings LLC *** |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Housing I Corp. ††† |
Assistant Treasurer – Tax |
7/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Housing II LLC *** |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY ITC Leasing, LLC *** |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Lease Equities (Cap Funding) LLC ######## |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Lease Holdings 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 | |
BNY Mellon Alternative Investments Holdings LLC *** |
Assistant Treasurer – Tax |
10/13 – Present | |
BNY Mellon Capital Markets, LLC ^^^^^ |
Assistant Treasurer – Tax |
7/13 – 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 |
Assistant Treasurer – Tax |
5/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 – Present | |
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 – Present | |
BNY Wings, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – 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 | |
Boston Safe Deposit Finance Company, Inc. * |
Assistant Treasurer – Tax |
7/13 – Present | |
CenterSquare Investment Management Holdings, Inc. +++ |
Assistant Treasurer – Tax |
12/13 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
CenterSquare Investment Management, Inc. +++ |
Assistant Treasurer – Tax |
12/13 – Present | |
Coates Holding LLC# |
Assistant Treasurer – Tax |
3/15 - Present | |
Colson Services Corp. ^ |
Assistant Treasurer – Tax |
3/14 - Present | |
Cutwater Asset Management Corp. +++++ |
Assistant Treasurer – Tax |
1/15 - Present | |
Cutwater Holdings LLC +++++ |
Assistant Treasurer – Tax |
1//15 - Present | |
Cutwater Investor Services Corp. +++++ |
Assistant Treasurer - Tax |
1/15 - Present | |
Dreyfus Service Organization, Inc. ++ |
Assistant Treasurer – Tax |
3/14 - Present | |
EACM Advisors LLC ^^ |
Assistant Treasurer – Tax |
1/14 - Present | |
Eagle Access LLC ^^^ |
Assistant Treasurer – Tax |
1/14 - Present | |
Eagle Investment Systems LLC ^^^^ |
Assistant Treasurer – Tax |
1/14 - Present | |
ECM DE. LLC *** |
Assistant Treasurer – Tax |
1/14 - Present | |
GIS Holdings (International) Inc. # |
Assistant Treasurer – Tax |
6/14 – 12/14 | |
Hamilton Floating Rate Fund Holdings, LLC *** |
Assistant Treasurer – Tax |
5/13 – Present | |
HedgeMark International, LLC ## |
Assistant Treasurer – Tax |
5/14 – Present | |
iNautix (USA) LLC ### |
Assistant Treasurer – Tax |
11/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
IRE-1, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – Present | |
IRE-AC, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – Present | |
IRE-BC, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – Present | |
IRE-SB, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – Present | |
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 |
8/14 - Present | |
Lease Equities (Texas) Corporation ##### |
Assistant Treasurer – Tax |
7/13 – Present | |
Madison Pershing LLC ### |
Assistant Treasurer – Tax |
6/13 – Present | |
MAM (MA) Holding Trust * |
Assistant Treasurer – Tax |
8/13 – Present | |
MBC Investments Corporation # |
Assistant Treasurer – Tax |
11/13 – Present | |
MBSC Securities Corporation ++ |
Vice President – Tax |
2/14 - Present | |
MCDI (Holdings) LLC *** |
Assistant Treasurer – Tax |
9/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Mellon Capital Management Corporation ** |
Assistant Treasurer – Tax |
1/14 - Present | |
Mellon Holdings LLC++ |
Assistant Treasurer |
2/15 - 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 - Present | |
Mellon Leasing Corporation+ |
Assistant Treasurer – Tax |
7/13 – Present | |
Mellon Life Insurance Company+ |
Assistant Treasurer – Tax |
10/13 – Present | |
Mellon Overseas Investment Corporation *** |
Assistant Treasurer – Tax |
12/13 - Present | |
Mellon Properties Company **** |
Assistant Treasurer – Tax |
8/13 – Present | |
Mellon Residential Funding Corporation ++++ |
Assistant Treasurer - Tax |
4/14 - Present | |
National Residential Assets Corp.*** |
Assistant Treasurer – Tax |
4/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
New GSM Holding Corporation ^^^^ |
Assistant Treasurer – Tax |
7/13 – Present | |
Newton Capital Management LLC.*** |
Assistant Treasurer – Tax |
8/14 - Present | |
Northern Waterworks, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – 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 – Present | |
Stanwich Insurance Agency, Inc. *** |
Treasurer |
12/13 – Present | |
TBC Securities Co., Inc.* |
Assistant Treasurer – Tax |
6/13 – Present | |
TBCAM, LLC * |
Assistant Treasurer – Tax |
10/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Technology Services Group, Inc. ^^^^^ |
Assistant Treasurer – Tax |
9/13 – Present | |
Tennessee Processing Center LLC ^^^^^ |
Assistant Treasurer – Tax |
9/13 – Present | |
The Bank of New York Consumer Leasing Corporation*** |
Assistant Treasurer – Tax |
7/13 – Present | |
The Bank of New York Mellon Trust Company, National Association + |
Assistant Treasurer |
10/13 - Present | |
The Boston Company Asset Management, LLC * |
Assistant Treasurer – Tax |
8/13 – Present | |
USPLP, Inc. *** |
Assistant Treasurer – Tax |
10/13 – Present | |
MBNA Institutional PA Services LLC + |
Treasurer |
7/13 – Present | |
MBNA PW PA Services LLC + |
Treasurer |
7/13 – Present | |
Stanwich Insurance Agency, Inc. *** |
Treasurer |
12/13 – Present | |
BNY Aurora Holding Corp. *** |
Vice President |
11/13 – Present | |
Agency Brokerage Holding LLC*** |
Vice President – Tax |
6/13 – Present | |
BNY Community Development Enterprises Corp. *** |
Vice President – Tax |
4/13 – 5/14 | |
Asset Recovery I, LLC *** |
Assistant Treasurer |
9/13 - 11/13 | |
Asset Recovery VI, LLC *** |
Assistant Treasurer |
9/13 - 11/13 | |
Asset Recovery XII, LLC *** |
Assistant Treasurer |
3/13 - 11/13 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Jill Gill |
MBSC Securities Corporation++ |
Vice President |
6/07 – Present |
The Bank of New York Mellon *** |
Vice President |
7/08 – Present | |
BNY Mellon, National Association + |
Vice President |
7/08 - Present | |
Tracy A. Hopkins Vice President - Cash Strategies |
MBSC Securities Corporation++ |
Senior Vice President |
2/08 - Present |
Anthony Mayo |
MBSC Securities Corporation++ |
Chief Technology Officer |
4/14 – Present |
Kathleen Geis |
BNY Mellon International Operations (India) Private Limited |
Director |
5/05 - Present |
BNY Mellon, National Association+ |
Managing Director |
7/09 – 10/14 | |
Albridge Solutions, Inc. |
Managing Director |
7/11 - Present | |
BNY Mellon Distributors Holdings, Inc. # |
Vice President - |
7/11 - Present | |
BNY Mellon Investment Management Services LLC # |
Vice President - |
10/11 - Present | |
BNY Mellon Investment |
Vice President - |
7/11 - Present | |
BNY Mellon Performance & Risk Analytics, LLC + |
Vice President - |
7/11 - Present | |
BNY Mellon Trust Company of Illinois ***** |
Vice President - |
7/11 - Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Mellon Trust of Delaware# |
Vice President - |
7/11 - Present | |
CenterSquare Investment Management Holdings, Inc. +++ |
Vice President - |
10/12 – Present | |
Eagle Investment Systems LLC ^^^^ |
Vice President - |
7/11 – Present | |
Ivy Asset Management LLC + |
Vice President - |
7/11 – Present | |
MBSC Securities Corporation ++ |
Vice President - |
7/11 – Present | |
Mellon Capital Management Corporation** |
Vice President - |
7/11 – Present | |
Mellon Financial Services Corporation #1+ |
Vice President - |
7/11 – Present | |
Mellon Holdings LLC++ |
Vice President - |
7/11 – Present | |
Mellon Investor Services LLC+ |
Vice President - |
7/11 – 12/11 | |
Pareto New York LLC ++ |
Vice President - |
7/11 – Present | |
SourceNet Solutions, Inc. + |
Vice President - |
7/11 – 5/13 | |
Technology Services Group, Inc. ^^^^^ |
Vice President - |
7/11 – Present | |
Tennessee Processing Center LLC ^^^^^ |
Vice President - |
7/11 - Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
The Bank of New York Mellon Trust Company, National Association+ |
Vice President - |
7/11 - Present | |
Alcentra US, Inc. †††† |
Vice President - |
7/11 - Present | |
BNY Mellon Capital Markets LLC^^^^^ |
Vice President - |
7/11 - Present | |
Pershing LLC ### |
Vice President - |
7/11 - Present | |
The Bank of New York Mellon+ |
Managing Director |
7/09 - Present | |
MBNA Institutional PA Services, LLC+ |
Managing Director |
7/09 – 10/14 | |
Claudine Orloski |
Dreyfus Service Organization++ |
Vice President – Tax |
8/14 – Present |
MBSC Securities Corporation++ |
Vice President – Tax |
2/12 - Present | |
Asset Recovery II, LLC*** |
Assistant Treasurer |
9/11 - Present | |
Asset Recovery III, LLC *** |
Assistant Treasurer |
9/11 – 3/15 | |
Asset Recovery IV, LLC *** |
Assistant Treasurer |
9/11 – Present | |
Asset Recovery IX, LLC *** |
Assistant Treasurer |
2/11 – 3/15 | |
Asset Recovery V, LLC *** |
Assistant Treasurer |
9/11 – Present | |
Asset Recovery VII, LLC *** |
Assistant Treasurer |
2/11 – 3/15 | |
Asset Recovery X, LLC *** |
Assistant Treasurer |
2/11 – 3/15 | |
Asset Recovery XIII, LLC*** |
Assistant Treasurer |
3/11 – Present | |
Asset Recovery XIV, LLC *** |
Assistant Treasurer |
3/11 – Present | |
Asset Recovery XIX, LLC *** |
Assistant Treasurer |
7/11 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
Asset Recovery XV, LLC *** |
Assistant Treasurer |
3/11 – 3/15 | |
Asset Recovery XVI, LLC *** |
Assistant Treasurer |
3/11 – Present | |
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 – 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 – Present | |
Airlease Incorporated ††† |
Assistant Treasurer -Tax |
7/11 – 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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
AURORA-IRE, INC. ††† |
Assistant Treasurer -Tax |
7/11 – 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, |
Assistant Treasurer –Tax |
3/13 – Present | |
BNY Capital Corporation *** |
Assistant Treasurer –Tax |
11/11 – Present | |
BNY Capital Funding LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Capital Markets Holdings, Inc. *** |
Assistant Treasurer –Tax |
11/11 – Present | |
BNY Capital Resources |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Cargo Holdings LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Catair LLC ††† |
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 Gator LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Hitchcock Holdings LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Housing I Corp. ††† |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Housing II LLC *** |
Assistant Treasurer –Tax |
7/11 – 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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Lease Holdings LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Lease Partners LLC *** |
Assistant Treasurer –Tax |
9/11 – Present | |
BNY Leasing Edge Corporation *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Mellon Alternative Investments Holdings LLC *** |
Assistant Treasurer –Tax |
10/13 – Present | |
BNY Mellon Capital Markets, |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Mellon Clearing Holding Company, LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Mellon Clearing, LLC *** |
Assistant Treasurer –Tax |
6/11 – Present | |
BNY Mellon Community Development Corporation ^^^^^ |
Assistant Treasurer –Tax |
10/11 – Present | |
BNY Mellon Distributors Holdings |
Assistant Treasurer –Tax |
7/12 – Present | |
BNY Mellon Fixed Income Securities, LLC *** |
Assistant Treasurer –Tax |
8/12 – Present | |
BNY Mellon Investment Servicing (US) Inc. # |
Assistant Treasurer –Tax |
3/11 – Present | |
BNY Mellon Investment Servicing Trust Company # |
Assistant Treasurer –Tax |
3/11 – Present | |
BNY Mellon Performance & Risk Analytics, Inc. (US) ^^^^^^ |
Assistant Treasurer –Tax |
10/11 – Present | |
BNY Mellon Performance & Risk Analytics, LLC + |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Mellon Transition Management Advisors, LLC ** |
Assistant Treasurer –Tax |
5/13 – Present | |
BNY Mellon Trust Company of |
Assistant Treasurer –Tax |
3/11 – Present | |
BNY Mezzanine Funding LLC ****** |
Assistant Treasurer –Tax |
6/11 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Mezzanine Holdings LLC ****** |
Assistant Treasurer –Tax |
5/11 – Present | |
BNY Mezzanine Non NY Funding |
Assistant Treasurer –Tax |
6/11 – Present | |
BNY Mezzanine NY Funding LLC ****** |
Assistant Treasurer –Tax |
6/11 – Present | |
BNY Partnership Funding LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Rail Maintenance LLC *** |
Assistant Treasurer –Tax |
7/11 – 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 Waterworks, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Wings, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY XYZ Holdings LLC *** |
Assistant Treasurer –Tax |
5/11 – Present | |
BNYM CSIM Funding LLC +++ |
Assistant Treasurer –Tax |
7/14 – Present | |
BNYM GIS Funding I LLC *** |
Assistant Treasurer –Tax |
6/12 – Present | |
BNYM GIS Funding III LLC *** |
Assistant Treasurer –Tax |
6/12 – Present | |
Amherst Capital Management LLC *** |
Assistant Treasurer –Tax |
11/14 – Present | |
BNYM RECAP Holdings, LLC *** |
Assistant Treasurer –Tax |
11/14 – Present | |
BNY-N.J. I Corp. *** |
Assistant Treasurer –Tax |
4/11 – Present | |
BNY-N.J. II Corp. *** |
Assistant Treasurer –Tax |
4/11 – Present | |
Boston Safe Deposit Finance Company, Inc. * |
Assistant Treasurer –Tax |
7/11 – Present | |
CenterSquare Investment Management Holdings, Inc. +++ |
Assistant Treasurer –Tax |
2/13 – Present | |
CenterSquare Investment Management, Inc. +++ |
Assistant Treasurer –Tax |
2/13 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 – 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 | |
IRE-AC, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – Present | |
IRE-BC, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – Present | |
IRE-SB, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – Present | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
Lockwood Advisors, Inc. ###### |
Assistant Treasurer –Tax |
3/11 – Present | |
Lockwood Solutions, Inc. ###### |
Assistant Treasurer –Tax |
3/11 – Present | |
Madison Pershing LLC ### |
Assistant Treasurer –Tax |
4/11 – Present | |
MAM (MA) Holding Trust * |
Assistant Treasurer –Tax |
8/11 – Present | |
MBC Investments Corporation # |
Assistant Treasurer –Tax |
11/11 – Present | |
MBNA Institutional PA Services |
Assistant Treasurer –Tax |
7/12 – Present | |
MBNA PW PA Services LLC + |
Assistant Treasurer –Tax |
7/12 – Present | |
MCDI (Holdings) LLC *** |
Assistant Treasurer –Tax |
8/11 – Present | |
MELDEL Leasing Corporation Number 2, Inc. # |
Assistant Treasurer –Tax |
8/11 – Present | |
Mellon Capital Management Corporation ** |
Assistant Treasurer –Tax |
10/13 – Present | |
Mellon EFT Services |
Assistant Treasurer –Tax |
2/11 – Present | |
Mellon Financial Services Corporation #1 + |
Assistant Treasurer –Tax |
7/11 – Present | |
Mellon Financial Services Corporation #4 + |
Assistant Treasurer –Tax |
12/11 – Present | |
Mellon Funding Corporation + |
Assistant Treasurer –Tax |
12/11 – Present | |
Mellon Global Investing Corp. + |
Assistant Treasurer –Tax |
5/11 – Present | |
Mellon International Leasing |
Assistant Treasurer –Tax |
7/11 – Present | |
Mellon 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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
Mellon Properties Company **** |
Assistant Treasurer –Tax |
8/12 – Present | |
Mellon Residential Funding Corporation **** |
Assistant Treasurer –Tax |
4/14 – Present | |
National Residential Assets Corp. *** |
Assistant Treasurer –Tax |
4/12 – Present | |
New GSM Holding Corporation ^^^^ |
Assistant Treasurer –Tax |
7/11 – Present | |
Newton Capital Management LLC *** |
Assistant Treasurer –Tax |
10/11 – Present | |
Northern Waterworks, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – 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 | |
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 | |
Stanwich Insurance Agency, Inc. *** |
Assistant Treasurer –Tax |
12/11 – Present | |
TBC Securities Co., Inc. * |
Assistant Treasurer –Tax |
7/11 – Present | |
TBCAM, LLC * |
Assistant Treasurer –Tax |
10/13 – Present | |
Technology Services Group, |
Assistant Treasurer –Tax |
5/11 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Tennessee Processing Center LLC ^^^^^ |
Assistant Treasurer –Tax |
9/11 – Present | |
The Bank of New York Consumer Leasing Corporation *** |
Assistant Treasurer –Tax |
5/11 – Present | |
The Bank of New York Mellon Trust Company, National Association + |
Assistant Treasurer |
10/13 - Present | |
The Boston Company Asset Management, LLC * |
Assistant Treasurer –Tax |
6/11 – Present | |
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 – Present | |
Dean M. Steigauf |
Albridge Solutions, Inc. |
Vice President - |
7/11 - Present |
BNY Capital Funding LLC *** |
Vice President - |
4/13 - Present | |
BNY Capital Resources |
Vice President - |
4/13 - Present | |
BNY Mellon, National Association+ |
Vice President - |
7/09 - Present | |
BNY Mellon Distributors Holdings, Inc. # |
Vice President - |
7/11 - Present | |
BNY Investment Management Services LLC # |
Vice President - |
10/11 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Mellon Investment |
Vice President - |
7/11 – Present | |
BNY Mellon Performance & Risk Analytics, LLC+ |
Vice President - |
7/11 - Present | |
BNY Mellon Trust Company of Illinois ***** |
Vice President - |
7/11 - Present | |
BNY Mellon Trust of Delaware# |
Vice President - |
7/11 - Present | |
Eagle Investment Systems LLC ^^^^ |
Vice President - |
7/11 - Present | |
CenterSquare Investment Management Holdings, Inc. +++ |
Vice President - |
10/12 - Present | |
Ivy Asset Management LLC + |
Vice President - |
7/11 - Present | |
MBSC Securities Corporation ++ |
Vice President - |
7/11 – Present | |
Mellon Capital Management Corporation** |
Vice President - |
7/11 – Present | |
Mellon Financial Services Corporation #1+ |
Vice President - |
7/11 – Present | |
Mellon Holdings LLC++ |
Vice President - |
7/11 – Present | |
Mellon Investor Services LLC+ |
Vice President - |
7/11 - 12/11 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Pareto New York LLC ++ |
Vice President - |
7/11 – Present | |
SourceNet Solutions, Inc. + |
Vice President - |
7/11 – 5/13 | |
Technology Services Group, Inc. ^^^^^ |
Vice President - |
7/11 – Present | |
Tennessee Processing Center LLC ^^^^^ |
Vice President - |
7/11 - Present | |
The Bank of New York Mellon Trust Company, National Association+ |
Vice President - |
7/11 - Present | |
Alcentra US, Inc. †††† |
Vice President - |
7/11 - Present | |
BNY Mellon Capital Markets LLC ^^^^^ |
Vice President - |
7/11 - Present | |
Pershing LLC ### |
Vice President - |
7/11 - Present | |
The Bank of New York Mellon+ |
Vice President |
12/02 - Present | |
James Bitetto |
The Dreyfus Family of Funds++ |
Vice President and Assistant Secretary |
8/05 - Present |
MBSC Securities Corporation++ |
Assistant Secretary |
6/07 - Present | |
Dreyfus Service Organization, Inc.++ |
Secretary |
8/05 - Present |
* |
The address of the business so indicated is One Boston Place, Boston, Massachusetts, 02108. |
** |
The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, California 94105. |
*** |
The address of the business so indicated is One Wall Street, New York, New York 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 One Mellon Bank Center, Pittsburgh, Pennsylvania 15258. | |||
++ |
The address of the business so indicated is 200 Park Avenue, New York, New York 10166. | |||
+++ |
The address of the business so indicated is 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 Two Mellon Center, Suite 329, Pittsburgh, PA 15259. | |||
††† |
The address of the business so indicated is 100 White Clay Center, Newark, DE 19711. | |||
††† |
The address of the business so indicated is 1633 Broadway, New York, NY, 10019 | |||
†††† |
The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA, 90024 | |||
††††† |
The address of the business so indicated is 1735 Market Street, Philadelphia, PA, 19103 | |||
†††††† |
The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD | |||
^ |
The address of the business so indicated is 4 New York Plaza, New York, NY, 10004 | |||
^^ |
The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT, 06854-1940 | |||
^^^ |
The address of the business so indicated is One Wells Avenue, Newton, MA, 02459 | |||
^^^^ |
The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT, 06107 | |||
^^^^^ |
The address of the business so indicated is 101 Barclay Street, 3rd Floor, New York, NY, 10286 | |||
^^^^^^ |
The address of the business so indicated is 1313 Broadway Plaza, Tacoma, WA, 98402 | |||
# |
The address of the business so indicated is 301 Bellevue Parkway, Wilmington, DE, 19809 | |||
## |
The address of the business so indicated is 780, Third Avenue, 44th Floor, New York, NY, 10017 | |||
### |
The address of the business so indicated is One Pershing Plaza, Jersey City, NJ, 07399 | |||
#### |
The address of the business so indicated is 601 Travis Street, 17th Floor, Houston, TX, 77002 | |||
##### |
The address of the business so indicated is 1201 Louisiana, Suite 3160, Houston, TX, 77002 | |||
###### |
The address of the business so indicated is 760 Moore Road, King of Prussia, PA, 19406-1212 | |||
####### |
The address of the business so indicated is 8400 E. Prentice Ave, Greenwood Village, CO, 80111 | |||
######## |
The address of the business so indicated is 1290 Avenue of the Americas, New York, NY, 10104 | |||
Item 32. Principal Underwriters |
||||
(a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor: |
||||
1. |
Advantage Funds, Inc. |
|||
2. |
BNY Mellon Funds Trust |
3. |
CitizensSelect Funds |
4. |
Dreyfus Appreciation Fund, Inc. |
5. |
Dreyfus BASIC Money Market Fund, Inc. |
6. |
Dreyfus BNY Mellon Funds, Inc. |
7. |
Dreyfus Bond Funds, Inc. |
8. |
Dreyfus Cash Management |
9. |
Dreyfus Funds, Inc. |
10. |
The Dreyfus Fund Incorporated |
11. |
Dreyfus Government Cash Management Funds |
12. |
Dreyfus Growth and Income Fund, Inc. |
13. |
Dreyfus Index Funds, Inc. |
14. |
Dreyfus Institutional Cash Advantage Funds |
15. |
Dreyfus Institutional Preferred Money Market Funds |
16. |
Dreyfus Institutional Reserves Funds |
17. |
Dreyfus Intermediate Municipal Bond Fund, Inc. |
18. |
Dreyfus International Funds, Inc. |
19. |
Dreyfus Investment Funds |
20. |
Dreyfus Investment Grade Funds, Inc. |
21. |
Dreyfus Investment Portfolios |
22. |
The Dreyfus/Laurel Funds, Inc. |
23. |
The Dreyfus/Laurel Funds Trust |
24. |
The Dreyfus/Laurel Tax-Free Municipal Funds |
25. |
Dreyfus Liquid Assets, Inc. |
26. |
Dreyfus Manager Funds I |
27. |
Dreyfus Manager Funds II |
28. |
Dreyfus Midcap Index Fund, Inc. |
29. |
Dreyfus Municipal Bond Opportunity Fund |
30. |
Dreyfus Municipal Cash Management Plus |
31. |
Dreyfus Municipal Funds, Inc. |
32. |
Dreyfus Municipal Money Market Fund, Inc. |
33. |
Dreyfus New Jersey Municipal Bond Fund, Inc. |
34. |
Dreyfus New Jersey Municipal Money Market Fund, Inc. |
35. |
Dreyfus New York AMT-Free Municipal Bond Fund |
36. |
Dreyfus New York AMT-Free Municipal Money Market Fund |
37. |
Dreyfus New York Municipal Cash Management |
38. |
Dreyfus New York Tax Exempt Bond Fund, Inc. |
39. |
Dreyfus Opportunity Funds |
40. |
Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
41. |
Dreyfus Premier GNMA Fund, Inc. |
42. |
Dreyfus Premier Investment Funds, Inc. |
43. |
Dreyfus Premier Short-Intermediate Municipal Bond Fund |
44. |
Dreyfus Premier Worldwide Growth Fund, Inc. |
45. |
Dreyfus Research Growth Fund, Inc. |
46. |
Dreyfus State Municipal Bond Funds |
47. |
Dreyfus Stock Funds |
48. |
Dreyfus Short Duration Bond Fund |
49. |
The Dreyfus Socially Responsible Growth Fund, Inc. |
50. |
Dreyfus Stock Index Fund, Inc. |
51. |
Dreyfus Tax Exempt Cash Management Funds |
52. |
The Dreyfus Third Century Fund, Inc. |
53. |
Dreyfus Treasury & Agency Cash Management |
54. |
Dreyfus Treasury Prime Cash Management |
55. |
Dreyfus U.S. Treasury Intermediate Term Fund |
56. |
Dreyfus U.S. Treasury Long Term Fund |
57. |
Dreyfus 100% U.S. Treasury Money Market Fund |
58. |
Dreyfus Variable Investment Fund |
59. |
Dreyfus Worldwide Dollar Money Market Fund, Inc. |
60. |
General California Municipal Money Market Fund |
61. |
General Government Securities Money Market Funds, Inc. |
62. |
General Money Market Fund, Inc. |
63. |
General Municipal Money Market Funds, Inc. |
64. |
General New York Municipal Money Market Fund |
65. |
Strategic Funds, Inc. |
(b) |
||
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
Kenneth Bradle** |
President and Director |
None |
(b) |
||
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
J. Charles Cardona* |
Chairman of the Board and Co-Head |
Executive Vice President (Money Market Funds Only) |
Sue Ann Cormack** |
Executive Vice President |
None |
John M. Donaghey*** |
Executive Vice President |
None |
Diane P. Durnin* |
Executive Vice President |
None |
Tracy Hopkins* |
Executive Vice President |
None |
William H. Maresca** |
Executive Vice President and Director |
None |
David K. Mossman*** |
Executive Vice President |
None |
Kimberly M. Mustin* |
Chief Executive Officer, Co-Head, and Director |
None |
Paul D. Nobile******** |
Executive Vice President |
None |
Christopher D. O'Connor* |
Executive Vice President |
None |
Irene Papadoulis** |
Executive Vice President |
None |
Matthew Perrone** |
Executive Vice President |
None |
Cheryl M. Pipia* |
Executive Vice President |
None |
Andrew Provencher* |
Executive Vice President |
None |
Bradley J. Skapyak* |
Executive Vice President |
President |
Bill E. Sappington* |
Executive Vice President and Director |
None |
Gary Pierce* |
Chief Financial Officer and Director |
None |
Brie A. Steingarten* |
Chief Legal Officer and Secretary |
None |
Eric P. Cola* |
Senior Vice President |
None |
Mercedes Katz** |
Senior Vice President |
None |
Mary T. Lomasney**** |
Senior Vice President |
None |
Joseph W. Connolly* |
Chief Compliance Officer (Investment Advisory Business) |
Chief Compliance Officer |
Jaynthi Gandhi* |
Chief Compliance Officer (Broker-Dealer Business) |
None |
Katherine M. Scott |
Chief Risk Officer |
None |
Anthony Mayo |
Chief Technology Officer |
None |
Maria Georgopoulos* |
Vice President – Facilities Management |
None |
Stewart Rosen* |
Vice President – Facilities Management |
None |
Karin L. Waldmann* |
Privacy Officer |
None |
(b) |
||
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
Charles Doumar******** |
Vice President – Tax |
None |
Timothy I. Barrett** |
Vice President |
None |
Gina DiChiara* |
Vice President |
None |
Jill Gill* |
Vice President |
None |
Kathleen Geis****** |
Vice President |
None |
Joseph R. Kane*** |
Vice President – Tax |
None |
Dean M. Steigauf****** |
Vice President |
None |
Donna M. Impagliazzo** |
Vice President |
None |
Carla R. Wanzer* |
Vice President – Compliance |
None |
Claudine Orloski*** |
Vice President – Tax |
None |
John Shea* |
Vice President – Finance |
None |
Christopher A. Stallone** |
Vice President |
None |
Susan Verbil* |
Vice President – Finance |
None |
William Verity* |
Vice President – Finance |
None |
Oren Weis* |
Vice President |
None |
James Windels****** |
Vice President |
Treasurer |
Ronny Santos* |
Assistant Vice President |
None |
James Bitetto* |
Assistant Secretary |
Vice President and |
Audrey Edwards*** |
Assistant Secretary |
None |
Susan K. Maroni*** |
Assistant Secretary |
None |
Cristina Rice*** |
Assistant Secretary |
None |
Victor R. Siclari*** |
Assistant Secretary |
None |
* |
Principal business address is 200 Park Avenue, New York, NY 10166. |
** |
Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144. |
*** |
Principal business address is One Mellon Bank Center, Pittsburgh, PA 15258. |
**** |
Principal business address is One Boston Place, Boston, MA 02108. |
***** |
Principal business address is 50 Fremont Street, Suite 3900, San Francisco, CA 94105. |
****** |
Principal business address is 101 Barclay Street, New York 10286. |
******* |
Principal business address is 2 Hanson Place, Brooklyn, New York 11217 |
******** |
Principal business address is One Wall Street, New York, New York 10286 |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
One Wall Street
New York, New York 10286
2. The Bank of New York Mellon
One Mellon Bank Center
Pittsburgh, Pennsylvania 15258
3. BNY Mellon Investment Servicing (US), Inc.
4400 Computer Drive
Westborough, MA 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 certifies that it meets all of the requirements for effectiveness of this Amendment to the Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933 and 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 31st of August, 2015.
Dreyfus Institutional Preferred Money Market Funds
BY: |
/s/ Bradley J. Skapyak* |
Bradley J. Skapyak, PRESIDENT |
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
Signatures |
Title |
Date | ||
/s/ Bradley J. Skapyak* |
President (Principal Executive Officer) |
8/31/15 | ||
Bradley J. Skapyak |
||||
/s/ James Windels* |
Treasurer (Principal Financial Officer and Accounting Officer) |
8/31/15 | ||
James Windels |
||||
/s/ Joseph S. DiMartino* |
Chairman of the Board |
8/31/15 | ||
Joseph S. DiMartino |
||||
/s/ Francine J. Bovich* |
Board Member |
8/31/15 | ||
Francine J. Bovich |
||||
/s/ J. Charles Cardona* |
Board Member |
8/31/15 | ||
J. Charles Cardona |
||||
/s/ Gordon J. Davis* |
Board Member |
8/31/15 | ||
Gordon J. Davis |
||||
/s/ Isabel P. Dunst* |
Board Member |
8/31/15 | ||
Isabel P. Dunst |
||||
/s/ Robin A. Melvin* |
Board Member |
8/31/15 | ||
Robin A. Melvin |
||||
/s/ Nathan Leventhal* |
Board Member |
8/31/15 | ||
Nathan Leventhal |
||||
/s/ Roslyn M. Watson* |
Board Member |
8/31/15 | ||
Roslyn M. Watson |
||||
/s/ Benaree Pratt Wiley* |
Board Member |
8/31/15 | ||
Benaree Pratt Wiley |
*BY: |
/s/ Maureen E. Kane |
Maureen E. Kane |
INDEX OF EXHIBITS
Exhibits
(e)(2) Forms of Service Agreements (Bank Seller Agreement only)
BANK SELLING AGREEMENT
Ladies and Gentlemen:
MBSC Securities Corporation (“we or “us”) is the principal underwriter and exclusive agent for the continuous distribution of the shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by The Dreyfus Corporation (“Dreyfus”) or its subsidiaries or affiliates (each, a “Fund” and collectively, the “Funds”) pursuant to the terms of a Distribution Agreement between us and the Funds. You, the firm specified on the signature page hereto (“you”), are a “bank” (as such term is defined in Section 3(a)(6) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)). We agree to allow you to make shares of the Funds available to your customers in accordance with the terms and conditions set forth in this Agreement. Unless the context otherwise requires, as used herein the term “Prospectus” shall mean the full, statutory prospectus (the “Statutory Prospectus”) and related statement of additional information (the “SAI”) incorporated therein by reference (as amended or supplemented) of each of the respective Funds included in the then currently effective registration statement (or post-effective amendment thereto) (the “Registration Statement”) of each such Fund, as filed with the Securities and Exchange Commission (the “SEC”) pursuant to the Securities Act of 1933, as amended (the “1933 Act”).
In consideration for the mutual covenants contained herein, the parties hereby agree as follows:
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You shall not make any representations concerning any Fund shares other than those contained in the Prospectus of such Fund or in any promotional materials or sales literature furnished to you by us or a Fund. You shall not furnish or cause to be furnished to any person or display or publish any information or materials relating to any Fund (including, without limitation, promotional materials and sales literature, advertisements, press releases, announcements, statements, posters, signs or other similar materials), except such information and materials as may be furnished to you by us or the Fund, and such other information and materials as may be approved in writing by us.
You understand and acknowledge that the Funds may offer shares in multiple classes, and you represent and warrant that, to the extent you recommend transactions in Fund shares, you have established compliance procedures designed to ensure that: (i) in offering more than one share class of Funds to your customers, customers are made aware of the terms of each class of shares offered, (ii) your representatives recommend only shares that are appropriate and suitable investments for each customer, (iii) the customer is availed of the opportunity to obtain front-end sales charge discounts as detailed in the Funds’ Prospectuses, and (iv) there is proper supervision of your representatives in recommending and offering different classes of Fund shares to your customers.
You represent and warrant that you have adopted and implemented policies and procedures to comply with all anti-money laundering, customer identification and verification, suspicious activity, currency transaction reporting and similar laws and regulations, including, but not limited to, the Bank Secrecy Act, as amended by the USA PATRIOT Act, and the regulations thereunder, applicable to you. You also represent and warrant that you will not purchase or sell Fund shares, or otherwise facilitate any transaction, on behalf of any person on the list of Specially Designated Nationals and Blocked Persons maintained by the Office of Foreign Assets Control (“OFAC”), or other similar governmental lists, or in contravention of any OFAC maintained sanctions program. You agree to share information with the Fund for purposes of ascertaining whether a suspicious activity report (“SAR”) is warranted with respect to any suspicious transaction involving Fund shares, provided that neither you nor the Fund is the subject of the SAR filing. You also represent and warrant that you have filed the requisite certification with the Financial Crimes Enforcement Network (“FinCEN”) to allow you to share information pursuant to Section 314(b) of the USA PATRIOT Act. In addition, you shall, to the extent consistent with applicable law, take all steps necessary and appropriate to provide the Funds and/or us with any requested information about investors and accounts in the event that the Funds or we shall request such information in response to an inquiry or investigation by an appropriate authority.
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(i) any breach of any representation, warranty or covenant made by the Indemnifying Party herein;
(ii) any failure by the Indemnifying Party to perform its obligations at set forth herein; or
(iii) any negligence, bad faith or misfeasance by the Indemnifying Party or any of its officers, directors, employees, agents, or any person who controls such Indemnifying Party within the meaning of Section 15 of the 1933 Act.
(b) We, as the Indemnifying Party, further agree to indemnify, defend and hold you, your several officers and directors, and any person who controls you within the meaning of Section 15 of the 1933 Act, as the Indemnified Parties, free and harmless from and against any and all claims, demands, liabilities and expenses (including the cost of investigating or defending such claims, demands or liabilities and any counsel fees incurred in connection therewith) which you may incur under the 1933 Act, or under common law or otherwise, arising out of or based upon any untrue statement, or alleged untrue statement, of a material fact contained in any Registration Statement or any Prospectus, or arising out of or based upon any omission, or alleged omission, to state a material fact required to be stated in either any Registration Statement or any Prospectus, or necessary to make the statements in any thereof not misleading; provided, however, that our agreement to indemnify you, your officers and directors, and any such controlling person under this Section 10(b) shall not be deemed to cover any claims, demands, liabilities or expenses arising out of any untrue statement or alleged untrue statement or omission or alleged omission made in any Registration Statement or Prospectus in reliance upon and in conformity with written information furnished to us or a Fund by you specifically for use in the preparation thereof.
(c) The Indemnifying Party’s agreement to indemnify the Indemnified Parties is expressly conditioned upon the Indemnifying Party being notified of any action brought against the Indemnified Parties, such notification to be given in writing received by the Indemnifying Party at its address as specified in Section 15 of this Agreement within seven (7) days after the summons or other first legal process shall have been served. The failure to so notify the Indemnifying Party of any such action shall not relieve the Indemnifying Party from any liability which it may have to the person against whom such action is brought by reason of any such breach, negligence, bad faith, misfeasance or untrue, or alleged untrue, statement or omission, or alleged omission, otherwise than on account of Indemnifying Party’s indemnity agreement contained in this Section 10. The Indemnifying Party will be entitled to assume the defense of any suit brought to enforce any such claim, demand, liability or expense. In the event that Indemnifying Party elects to assume the defense of any such suit and retain counsel, the defendant or defendants in such suit shall bear the fees and expenses of any additional counsel retained by any of them; but in case the Indemnifying Party does not elect to assume the defense of any such suit, it will reimburse the Indemnified Parties named as defendants in such suit, for the fees and expenses of any counsel retained by such Indemnified Parties.
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(d) The indemnification agreement contained in this Section 10 shall remain operative and in full force and effect regardless of any investigation made by or on behalf of any person entitled to indemnification pursuant to this Section 10, and shall survive the delivery of any Fund shares and termination of this Agreement. This agreement of indemnity will inure exclusively to the benefit of the Indemnified Parties and their respective estates, successors and assigns.
(e) NOTWITHSTANDING ANYTHING IN THIS AGREEMENT TO THE CONTRARY, THE INDEMNIFYING PARTY SHALL NOT BE LIABLE FOR EXEMPLARY, PUNITIVE, SPECIAL, INCIDENTAL, INDIRECT OR CONSEQUENTIAL DAMAGES OR LOSS OF BUSINESS, REGARDLESS OF WHETHER SUCH DAMAGES WERE FORESEEABLE OR WHETHER THE INDEMNIFYING PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES.
We agree to make available to you a list of: (i) U.S. states or other U.S. jurisdictions in which shares of the Funds are registered and qualified for sale and (ii) foreign countries (and attendant restrictions) where shares of the Fund may be sold, each of which may be revised by us from time to time (collectively, the “Jurisdiction List”). You will make Fund shares available to your customers only in those U.S. states, other U.S. jurisdictions and foreign countries that are included on the Jurisdiction List, subject to your compliance with any applicable requirements and restrictions, including those restrictions applicable to sales in foreign countries as set forth on the Jurisdiction List. You agree to provide us with certifications or other documentation as we deem necessary to monitor your compliance with such restrictions. Moreover, you will ensure that you (including your associated persons) are properly licensed and qualified to offer and sell shares in any U.S. state, other U.S. jurisdiction and foreign country that requires such licensing or qualification in connection with your activities. You further agree not to make Fund shares available in any other jurisdiction unless you have received prior written authorization from us.
By completing the Expedited Redemption Information Form annexed hereto as Appendix A, you agree that we, each Fund with respect to which we permit you to exercise an expedited redemption privilege, the Transfer Agent of each such Fund, and our and their respective officers, directors or trustees, agents, employees and affiliates shall not be liable for and shall be fully indemnified and held harmless by you from and against any and all claims, demands, liabilities and expenses (including, without limitation, reasonable attorneys’ fees) arising out of or in connection with any expedited redemption payments made in reliance upon the information set forth in Appendix A.
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The parties acknowledge and agree that: (i) neither this Agreement nor the arrangements described herein constitute an exclusive arrangement, or create a partnership, association or joint venture between you and us and (ii) each party may enter into similar agreements and arrangements with other entities. Other than as specifically set forth herein, neither party hereto shall be, act as, or represent itself as, the agent or representative of the other, nor shall either party have the right or authority to assume, create or incur any liability or any obligation of any kind, express or implied, against or in the name of, or on behalf of, the other party. This Agreement is not intended to, and shall not, create any rights against either party hereto by any third party solely on account of this Agreement. Neither party hereto shall use the name of the other party in any manner without the other party’s prior written consent, except as required by any applicable federal or state law, rule, regulation, requirement or condition, and except pursuant to any promotional programs mutually agreed upon in writing by the parties hereto. Notwithstanding the foregoing, you may use the names of the Funds on a list of funds available on your platform without our prior approval.
Except as otherwise specifically provided herein, all notices required or permitted to be given pursuant to this Agreement shall be given in writing and delivered by personal delivery; by U.S. mail; by nationally recognized overnight courier service; by fax; or by electronic mail. Unless otherwise notified in writing, all notices to us shall be given or sent to us: (i) at our offices, located at 144 Glenn Curtiss Boulevard, Uniondale, New York, 11556, Attention: Director of Institutional Services, (ii) via fax to the number (516) 338-3644, Attention: Director of Institutional Services or (iii) via e-mail to opsreview@bnymellon.com, Attention: Director of Institutional Services, in each case with a copy to: 200 Park Avenue, New York, New York 10166, Attention: Legal Department, and all notices to you shall be given or sent to you at your address, fax number or e-mail shown below.
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This Agreement shall be governed by and construed in accordance with the laws of the State of New York, without giving effect to principles of conflicts of laws.
[SIGNATURES FOLLOW ON NEXT PAGE]
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Very truly yours,
MBSC SECURITIES CORPORATION
Accepted:
Name of Selling Firm (Please Print or Type)
Dealer Code
Address
Phone number, fax number and e-mail address
Date: _____________________________ By:
Name:
Title:
Confirmed:
MBSC SECURITIES CORPORATION
Date: _____________________________ By:
Name:
Title:
NOTE TO SELLING FIRM: Please sign and return both copies of this Agreement to MBSC Securities Corporation.
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APPENDIX A
TO
BANK SELLING AGREEMENT
EXPEDITED REDEMPTION INFORMATION FORM
The following information is provided by the Firm identified below which desires to exercise expedited redemption privileges with respect to shares of certain mutual funds managed, advised or administered by The Dreyfus Corporation or its subsidiaries or affiliates, which shares are registered in the name of, or beneficially owned by, the customers of such Firm.
(PLEASE PRINT OR TYPE)
NAME OF FIRM
STREET ADDRESS CITY STATE ZIP CODE
In order to speed payment, redemption proceeds shall be sent only to the commercial bank identified below, for credit to customer accounts of the above-named Firm.
NAME OF COMMERCIAL BANK TO RECEIVE ALL PAYMENTS - ABA NUMBER
ACCOUNT NAME ACCOUNT NUMBER
STREET ADDRESS CITY STATE ZIP CODE
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