File No. 2-40341
811-2192
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. 62 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 62 [X]
The Dreyfus Third Century Fund, Inc.
(Exact Name of Registrant as Specified in Charter)
c/o The Dreyfus Corporation
200 Park Avenue, New York, New York 10166
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6000
Michael A. Rosenberg, Esq.
200 Park Avenue
New York, New York 10166
(Name and Address of Agent for Service)
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:
This Post-Effective Amendment is being filed solely to file a revised Rule 18f-3 Plan as Exhibit (n) to Item 28 to this Registration Statement on Form N-1A.
Parts A and B of The Dreyfus Third Century Fund, Inc. were filed with Post-Effective Amendment No. 61 to the Registration Statement on Form N-1A filed on September 24, 2010 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and are incorporated by reference herein.
THE DREYFUS THIRD CENTURY FUND, INC.
PART C. OTHER INFORMATION
________________________________
Item 28. Exhibits
_______ __________
(a)(1) Registrant's Articles of Incorporation in the State of Maryland are incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 21 to the Registration Statement on Form N‑1A, filed on July 30, 1982.
(a)(2) Articles of Amendment and Restatement are incorporated by reference to Exhibit (a)(2) of Post-Effective Amendment No. 48 to the Registration Statement on Form N‑1A, filed on September 25, 2000 (“Post-Effective Amendment No. 48”).
(b) Registrant's By‑Laws are incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 55 to the Registration Statement on Form N‑1A, filed on August 23, 2006.
(d) Management Agreement is incorporated by reference to Exhibit 5(a) of Post-Effective Amendment No. 38 to the Registration Statement on Form N-1A, filed on September 16, 1994.
(e)(1) Form of Distribution Agreement is incorporated by reference to Exhibit (e)(1) of Post-Effective Amendment No. 61 to the Registration Statement on Form N-1A, filed on September 24, 2010 ("Post-Effective Amendment No. 61").
(e)(2) Forms of Service Agreement is incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 57 to the Registration Statement on Form N-1A, filed on September 26, 2007 (“Post-Effective Amendment No. 57”).
(e)(3) Form of Supplemental Service Agreement is incorporated by reference to Exhibit (e)(3) of Post-Effective Amendment No. 57.
(f) The documents making up model plans in the establishment of retirement plans in conjunction with which Registrant offers its securities is incorporated by reference to Exhibit (14) of Post-Effective Amendment No. 16 to the Registration Statement on Form N-1A, filed on August 24, 1979.
(g) Mutual Fund Custody and Services Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on September 25, 2002.
(h)(1) Shareholder Services Plan is incorporated by reference to Exhibit (h) of Post-Effective Amendment No. 48.
(h)(2) Amended and Restated Transfer Agency Agreement is incorporated by reference to Exhibit (h)(2) of Post-Effective Amendment No. 59 to the Registration Statement on Form N-1A, filed on September 25, 2008 (“Post-Effective Amendment No. 59”).
(i) Opinion and consent of Registrant's counsel is incorporated by reference to Exhibit (3) of Post-Effective Amendment No. 1 to the Registration Statement on Form S-5, filed on March 29, 1972.
______________
* Filed herewith.
C-1
(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 61 to the Registration Statement on Form N-1A, filed on September 24, 2010.
(m) Rule 12b-1 Distribution Plans are incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 52 to the Registration Statement on Form N-1A, filed on September 27, 2007.
(n) Rule 18f-3 Plan.*
(p)(1) Code of Ethics adopted by Registrant is incorporated by reference to Exhibit (p) of Post-Effective Amendment No. 59.
(p)(2) Code of Ethics for the Non-for the Non-management Board Members of The Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(2) of Post-Effective Amendment No. 61.
Other Exhibits
______________
(a) Power of Attorney is incorporated by reference to Other Exhibit (a) of Post-Effective Amendment No. 61.
(b) Certificate of Assistant Secretary is incorporated by reference to Other Exhibit (b) of Post-Effective Amendment No. 61.
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 VII 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 1.11 of the Distribution Agreement.
Item 31. Business and Other Connections of Investment Adviser.
_______ ____________________________________________________
The Dreyfus Corporation (“Dreyfus”) and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of other investment companies sponsored by Dreyfus and other investment companies for which Dreyfus acts as an investment adviser, sub-investment adviser or administrator. Dreyfus Investment Advisors, Inc., another wholly-owned subsidiary, provides investment management services to various pension plans, institutions and individuals.
______________
* Filed herewith.
C-2
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position |
Other Businesses |
Position Held |
Dates |
|
|
|
|
Jonathan Baum |
MBSC Securities Corporation++ |
Chief Executive Officer |
3/08 - Present |
|
|
|
|
J. Charles Cardona |
MBSC Securities Corporation++ |
Director |
6/07 – Present |
|
|
|
|
|
Universal Liquidity Funds plc+ |
Director |
4/06 - Present |
|
|
|
|
Diane P. Durnin |
None |
|
|
|
|
|
|
Robert G. Capone |
MBSC Securities Corporation++ |
Executive Vice President Director |
4/07 - Present |
|
The Bank of New York Mellon***** |
Vice President |
2/06 - Present |
|
|
|
|
Mitchell E. Harris |
Standish Mellon Asset Management Company LLC |
Chairman |
2/05 – Present |
|
|
|
|
|
Alcentra NY, LLC++ |
Manager |
1/08 - Present |
|
|
|
|
|
Alcentra US, Inc. ++ |
Director |
1/08 - Present |
|
|
|
|
|
Alcentra, Inc. ++ |
Director |
1/08 - Present |
|
|
|
|
|
BNY Alcentra Group Holdings, Inc. |
Director |
10/07 - Present |
|
|
|
|
|
Pareto New York LLC++ |
Manager |
11/07 - Present |
|
|
|
|
|
Standish Ventures LLC |
President |
12/05 - Present |
|
|
|
|
|
Palomar Management |
Director |
12/97 - Present |
|
|
|
|
|
Palomar Management Holdings Limited |
Director |
12/97 - Present |
|
|
|
|
|
Pareto Investment Management Limited |
Director |
9/04 - Present |
|
|
|
|
Jeffrey D. Landau |
The Bank of New York Mellon+ |
Executive Vice President |
4/07 - Present |
|
Allomon Corporation+ |
Treasurer |
12/07 - Present |
|
|
|
|
|
APT Holdings Corporation+ |
Treasurer |
12/07 - Present |
|
|
|
|
|
BNY Mellon, N.A.+ |
Treasurer |
7/07 - 0/10 |
|
|
|
|
|
Mellon Funding Corporation+ |
Treasurer |
12/07 - 12/09 |
|
|
|
|
Cyrus Taraporevala |
Urdang Capital Management, Inc. |
Director |
10/07 - Present |
|
|
|
|
|
Urdang Securities Management, Inc. |
Director |
10/07 - Present |
|
|
|
|
|
The Boston Company Asset Management NY, LLC* |
Manager |
08/06 - Present |
|
|
|
|
|
The Boston Company Asset Management LLC* |
Manager |
01/08 - Present |
|
|
|
|
|
BNY Mellon, National Association+ |
Senior Vice President |
07/06 - Present |
|
|
|
|
|
The Bank of New York Mellon***** |
Senior Vice President |
07/06 - Present |
|
|
|
|
Scott E. Wennerholm |
Mellon Capital Management Corporation*** |
Director |
10/05 - Present |
|
|
|
|
|
Newton Management Limited |
Director |
1/06 - Present |
|
|
|
|
|
Gannett Welsh & Kotler LLC |
Manager |
11/07 - Present |
|
222 Berkley Street |
Administrator |
11/07 - Present |
|
|
|
|
|
BNY Alcentra Group Holdings, Inc. ++ |
Director |
10/07 - Present |
|
|
|
|
|
Ivy Asset Management Corp. |
Director |
12/07 - Present |
|
|
|
|
|
Urdang Capital Management, Inc. |
Director |
10/07 - Present |
|
|
|
|
|
Urdang Securities Management, Inc. |
Director |
10/07 - Present |
|
|
|
|
|
EACM Advisors LLC |
Manager |
6/04 - Present |
|
|
|
|
|
Franklin Portfolio Associates LLC* |
Manager |
1/06 - Present |
|
|
|
|
|
The Boston Company Asset Management NY, LLC* |
Manager |
10/07 - Present |
|
|
|
|
|
The Boston Company Asset Management LLC* |
Manager |
10/05 - Present |
|
|
|
|
|
Pareto Investment Management Limited London, England |
Director |
3/06 - Present |
|
|
|
|
|
Standish Mellon Asset Management Company, LLC |
Member, Board of Managers |
10/05 - Present |
|
|
|
|
|
The Boston Company Holding, LLC* |
Member, Board of Managers |
4/06 - Present |
|
|
|
|
|
The Bank of New York Mellon ***** |
Senior Vice President
|
7/08 - Present
|
|
|
|
|
|
BNY Mellon, National Association + |
Senior Vice President |
7/08 - Present |
|
|
|
|
|
Mellon Bank, N.A. + |
Senior Vice President |
10/05 - 6/08 |
|
|
|
|
|
Mellon Trust of New England, N. A.* |
Director |
4/06 - 6/08 |
|
|
|
|
|
MAM (DE) Trust+++++ |
Member of Board of Trustees |
1/07 - Present |
|
|
|
|
|
MAM (MA) Holding Trust+++++ |
Member of Board of Trustees |
1/07 - Present |
|
|
|
|
Bradley J. Skapyak |
MBSC Securities Corporation++ |
Executive Vice President
|
6/07 - Present |
|
The Bank of New York Mellon**** |
Senior Vice President |
4/07 - Present |
|
|
|
|
|
The Dreyfus Family of Funds++ |
President |
1/10 - Present |
|
|
|
|
|
Dreyfus Transfer, Inc. ++ |
Chairman Director Senior Vice President |
5/11 - Present 5/10 - Present |
|
|
|
|
Dwight Jacobsen |
None |
|
|
|
|
|
|
Patrice M. Kozlowski |
None |
|
|
|
|
|
|
Gary Pierce |
The Bank of New York Mellon ***** |
Vice President |
7/08 - Present |
|
|
|
|
|
BNY Mellon, National Association + |
Vice President |
7/08 - Present |
|
|
|
|
|
The Dreyfus Trust Company+++ |
Chief Financial Officer Treasurer |
7/05 - 6/08 |
|
|
|
|
|
Laurel Capital Advisors, LLP+ |
Chief Financial Officer |
5/07 - Present |
|
|
|
|
|
MBSC Securities Corporation++ |
Director |
6/07 – Present |
|
|
|
|
|
Founders Asset Management, LLC**** |
Assistant Treasurer |
7/06 - 12/09 |
|
Dreyfus Consumer Credit |
Treasurer |
7/05 - 08/10 |
|
|
|
|
|
Dreyfus Transfer, Inc. ++ |
Chief Financial Officer |
7/05 - Present |
|
|
|
|
|
Dreyfus Service |
Treasurer |
7/05 – Present |
|
Seven Six Seven Agency, Inc. ++ |
Treasurer |
4/99 - Present |
|
|
|
|
Joseph W. Connolly |
The Dreyfus Family of Funds++
|
Chief Compliance Officer |
10/04 - Present |
|
Laurel Capital Advisors, LLP+ |
Chief Compliance Officer |
4/05 - Present |
|
BNY Mellon Funds Trust++
|
Chief Compliance Officer |
10/04 - Present |
|
MBSC Securities Corporation++ |
Chief Compliance Officer |
6/07 – Present |
|
|
|
|
Gary E. Abbs |
The Bank of New York Mellon+ |
First Vice President and Manager of Tax Compliance |
12/96 - Present |
|
|
|
|
|
Dreyfus Service Organization++ |
Vice President – Tax |
01/09 - Present |
|
|
|
|
|
Dreyfus Consumer Credit Corporation++ |
Chairman |
01/09 – 08/10 |
|
|
|
|
|
MBSC Securities Corporation++ |
Vice President – Tax |
01/09 - Present |
|
|
|
|
Jill Gill |
MBSC Securities Corporation++ |
Vice President |
6/07 – Present |
|
The Bank of New York Mellon ***** |
Vice President |
7/08 – Present |
|
|
|
|
|
BNY Mellon, National Association + |
Vice President |
7/08 - Present |
|
|
|
|
|
Mellon Bank N.A. + |
Vice President |
10/06 – 6/08 |
|
|
|
|
Joanne S. Huber |
The Bank of New York Mellon+ |
State & Local Compliance Manager |
07/1/07 - Present |
|
|
|
|
|
Dreyfus Service Organization++ |
Vice President – Tax |
01/09 – Present |
|
|
|
|
|
Dreyfus Consumer Credit Corporation++ |
Vice President – Tax |
01/09 – 08/10 |
|
|
|
|
|
MBSC Securities Corporation++ |
Vice President – Tax |
01/09 – Present |
|
|
|
|
Anthony Mayo |
None |
|
|
|
|
|
|
John E. Lane |
A P Colorado, Inc. + |
Vice President – Real Estate and Leases |
8/07 - Present |
|
A P East, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
A P Management, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
A P Properties, Inc. + |
Vice President – Real Estate and Leases |
8/07 - Present |
|
Allomon Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
AP Residential Realty, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
AP Wheels, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
BNY Mellon, National Association + |
Vice President – Real Estate and Leases |
7/08 - Present |
|
Citmelex Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Eagle Investment Systems LLC |
Vice President– Real Estate and Leases |
8/07 - Present |
|
East Properties Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
FSFC, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Holiday Properties, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
MBC Investments Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
MBSC Securities Corporation++ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
MELDEL Leasing Corporation Number 2, Inc. + |
Vice President– Real Estate and Leases |
7/07 - Present |
|
Mellon Bank Community Development Corporation+ |
Vice President– Real Estate and Leases |
11/07 - Present |
|
Mellon Capital Management Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Mellon Financial Services Corporation #1+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Mellon Financial Services Corporation #4+ |
Vice President – Real Estate and Leases |
7/07 - Present |
|
Mellon Funding Corporation+ |
Vice President– Real Estate and Leases |
12/07 - Present |
|
Mellon Holdings, LLC+ |
Vice President– Real Estate and Leases |
12/07 - Present |
|
Mellon International Leasing Company+ |
Vice President– Real Estate and Leases |
7/07 - Present |
|
Mellon Leasing Corporation+ |
Vice President– Real Estate and Leases |
7/07 - Present |
|
Mellon Securities Trust Company+ |
Vice President– Real Estate and Leases |
8/07 - 7/08 |
|
Mellon Trust Company of Illinois+ |
Vice President– Real Estate and Leases |
8/07 - 07/08 |
|
Mellon Trust Company of New England, N.A.+ |
Vice President– Real Estate and Leases |
8/07 - 6/08 |
|
Mellon Trust Company of New York LLC++ |
Vice President– Real Estate and Leases |
8/07 - 6/08 |
|
Mellon Ventures, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Melnamor Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
MFS Leasing Corp. + |
Vice President– Real Estate and Leases |
7/07 - Present |
|
MMIP, LLC+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Pareto New York LLC++ |
Vice President– Real Estate and Leases |
10/07 - Present |
|
Pontus, Inc. + |
Vice President– Real Estate and Leases |
7/07 - Present |
|
Promenade, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
RECR, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Technology Services Group, Inc.***** |
Senior Vice President |
6/06 - Present |
|
|
|
|
|
Tennesee Processing Center LLC***** |
Managing Director |
5/08 - Present |
|
|
|
|
|
Texas AP, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
The Bank of New York Mellon***** |
Vice President – Real Estate and Leases |
7/08 - Present |
|
The Bank of New York Mellon Corporation***** |
Executive Vice President |
8/07 - Present |
|
|
|
|
|
Trilem, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
Jeanne M. Login |
A P Colorado, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
A P East, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
A P Management, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
A P Properties, Inc. + |
Vice President – Real Estate and Leases |
8/07 - Present |
|
Allomon Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
AP Residential Realty, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
AP Wheels, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
APT Holdings Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
BNY Investment Management Services LLC++++ |
Vice President– Real Estate and Leases |
1/01 - Present |
|
BNY Mellon, National Association + |
Vice President – Real Estate and Leases |
7/08 - Present |
|
Citmelex Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Eagle Investment Systems LLC+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
East Properties Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
FSFC, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Holiday Properties, Inc. + |
Vice President– Real Estate and Leases |
8/07 - Present |
|
MBC Investments Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
MBSC Securities Corporation++ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
MELDEL Leasing Corporation Number 2, Inc. + |
Vice President– Real Estate and Leases |
7/07 - Present |
|
Mellon Bank Community Development Corporation+ |
Vice President – Real Estate and Leases |
11/07 - Present |
|
Mellon Capital Management Corporation+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Mellon Financial Services Corporation #1+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Mellon Financial Services Corporation #4+ |
Vice President – Real Estate and Leases |
7/07 - Present |
|
Mellon Funding Corporation+ |
Vice President – Real Estate and Leases |
12/07 - Present |
|
Mellon Holdings LLC+ |
Vice President – Real Estate and Leases |
12/07 - Present |
|
Mellon International Leasing Company+ |
Vice President– Real Estate and Leases |
7/07 - Present |
|
Mellon Leasing Corporation+ |
Vice President– Real Estate and Leases |
7/07 - Present |
|
Mellon Securities Trust Company+ |
Vice President – Real Estate and Leases |
8/07 - 7/08 |
|
Mellon Trust of New England, N.A. * |
Vice President – Real Estate and Leases |
8/07 - 6/08 |
|
Mellon Trust Company of Illinois+ |
Vice President– Real Estate and Leases |
8/07 - 7/08 |
|
MFS Leasing Corp. + |
Vice President– Real Estate and Leases |
7/07 - Present |
|
MMIP, LLC+ |
Vice President– Real Estate and Leases |
8/07 - Present |
|
Pontus, Inc. + |
Vice President– Real Estate and Leases |
7/07 - Present |
|
Promenade, Inc. + |
Vice President – Real Estate and Leases |
8/07 - Present |
|
RECR, Inc. + |
Vice President – Real Estate and Leases |
8/07 - Present |
|
Tennesee Processing Center LLC***** |
Managing Director |
5/08 - Present |
|
|
|
|
|
Texas AP, Inc. + |
Vice President – Real Estate and Leases |
8/07 - Present |
|
The Bank of New York Mellon***** |
Vice President – Real Estate and Leases |
7/08 - Present |
|
Trilem, Inc. + |
Vice President – Real Estate and Leases |
8/07 - Present |
|
|
|
|
James Bitetto |
The Dreyfus Family of Funds++ |
Vice President and Assistant Secretary |
8/05 - Present |
|
|
|
|
|
MBSC Securities Corporation++ |
Assistant Secretary |
6/07 - Present |
|
|
|
|
|
Dreyfus Service Organization, Inc.++ |
Secretary |
8/05 - Present |
|
|
|
|
|
The Dreyfus Consumer Credit Corporation++ |
Vice President |
2/02 - 08/10 |
|
|
|
|
|
Founders Asset Management LLC**** |
Assistant Secretary |
3/09 - 12/09 |
* |
The address of the business so indicated is One Boston Place, Boston, Massachusetts, 02108. |
** |
The address of the business so indicated is One Bush Street, Suite 450, San Francisco, California 94104. |
*** |
The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, California 94104. |
**** |
The address of the business so indicated is 210 University Blvd., Suite 800, Denver, Colorado 80206. |
***** |
The address of the business so indicated is One Wall Street, New York, New York 10286. |
+ |
The address of the business so indicated is One Mellon Bank Center, Pittsburgh, Pennsylvania 15258. |
++ |
The address of the business so indicated is 200 Park Avenue, New York, New York 10166. |
+++ |
The address of the business so indicated is 144 Glenn Curtiss Boulevard, Uniondale, New York 11556-0144. |
++++ |
The address of the business so indicated is White Clay Center, Route 273, Newark, Delaware 19711. |
+++++ |
The address of the business so indicated is 4005 Kennett Pike, Greenville, DE 19804. |
Item 32. Principal Underwriters | |||
(a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor: | |||
|
1. |
Advantage Funds, Inc. |
|
|
2. |
BNY Mellon Funds Trust |
|
|
3. |
CitizensSelect Funds |
|
|
4. |
Dreyfus Appreciation Fund, Inc. |
|
|
5. |
Dreyfus BASIC Money Market Fund, Inc. |
|
|
6. |
Dreyfus BASIC U.S. Government Money Market Fund |
|
|
7. |
Dreyfus BASIC U.S. Mortgage Securities Fund |
|
|
8. |
Dreyfus Bond Funds, Inc. |
|
|
9. |
Dreyfus Cash Management |
|
|
10. |
Dreyfus Cash Management Plus, Inc. |
|
|
11. |
Dreyfus Connecticut Municipal Money Market Fund, Inc. |
|
|
12. |
Dreyfus Dynamic Alternatives Fund, Inc. |
|
|
13. |
Dreyfus Funds, Inc. |
|
|
14. |
The Dreyfus Fund Incorporated |
|
|
15. |
Dreyfus Government Cash Management Funds |
|
|
16. |
Dreyfus Growth and Income Fund, Inc. |
|
|
17. |
Dreyfus Index Funds, Inc. |
|
|
18. |
Dreyfus Institutional Cash Advantage Funds |
|
|
19. |
Dreyfus Institutional Preferred Money Market Funds |
|
|
20. |
Dreyfus Institutional Reserves Funds |
|
|
21. |
Dreyfus Intermediate Municipal Bond Fund, Inc. |
|
|
22. |
Dreyfus International Funds, Inc. |
|
|
23. |
Dreyfus Investment Funds |
|
|
24. |
Dreyfus Investment Grade Funds, Inc. |
|
|
25. |
Dreyfus Investment Portfolios |
|
|
26. |
The Dreyfus/Laurel Funds, Inc. |
|
|
27. |
The Dreyfus/Laurel Funds Trust |
|
|
28. |
The Dreyfus/Laurel Tax-Free Municipal Funds |
|
|
29. |
Dreyfus LifeTime Portfolios, Inc. |
|
|
30. |
Dreyfus Liquid Assets, Inc. |
|
|
31. |
Dreyfus Manager Funds I |
|
|
32. |
Dreyfus Manager Funds II |
|
|
33. |
Dreyfus Massachusetts Municipal Money Market Fund |
|
|
34. |
Dreyfus Midcap Index Fund, Inc. |
|
|
35. |
Dreyfus Money Market Instruments, Inc. |
|
|
36. |
Dreyfus Municipal Bond Opportunity Fund |
|
|
37. |
Dreyfus Municipal Cash Management Plus |
|
|
38. |
Dreyfus Municipal Funds, Inc. |
|
|
39. |
Dreyfus Municipal Money Market Fund, Inc. |
|
|
40. |
Dreyfus New Jersey Municipal Bond Fund, Inc. |
|
|
41. |
Dreyfus New Jersey Municipal Money Market Fund, Inc. |
|
|
42. |
Dreyfus New York AMT-Free Municipal Bond Fund |
|
|
43. |
Dreyfus New York AMT-Free Municipal Money Market Fund |
|
|
44. |
Dreyfus New York Municipal Cash Management |
|
|
45. |
Dreyfus New York Tax Exempt Bond Fund, Inc. |
|
|
46. |
Dreyfus Opportunity Funds |
|
|
47. |
Dreyfus Pennsylvania Municipal Money Market Fund |
|
|
48. |
Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
|
|
49. |
Dreyfus Premier GNMA Fund, Inc. |
|
|
50. |
Dreyfus Premier Investment Funds, Inc. |
|
|
51. |
Dreyfus Premier Short-Intermediate Municipal Bond Fund |
|
|
52. |
Dreyfus Premier Worldwide Growth Fund, Inc. |
|
|
53. |
Dreyfus Research Growth Fund, Inc. |
|
|
54. |
Dreyfus State Municipal Bond Funds |
|
|
55. |
Dreyfus Stock Funds |
|
|
56. |
Dreyfus Short-Intermediate Government Fund |
|
|
57. |
The Dreyfus Socially Responsible Growth Fund, Inc. |
|
|
58. |
Dreyfus Stock Index Fund, Inc. |
|
|
59. |
Dreyfus Tax Exempt Cash Management Funds |
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|
60. |
The Dreyfus Third Century Fund, Inc. |
|
|
61. |
Dreyfus Treasury & Agency Cash Management |
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|
62. |
Dreyfus Treasury Prime Cash Management |
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|
63. |
Dreyfus U.S. Treasury Intermediate Term Fund |
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|
64. |
Dreyfus U.S. Treasury Long Term Fund |
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|
65. |
Dreyfus 100% U.S. Treasury Money Market Fund |
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|
66. |
Dreyfus Variable Investment Fund |
|
|
67. |
Dreyfus Worldwide Dollar Money Market Fund, Inc. |
|
|
68. |
General California Municipal Money Market Fund |
|
|
69. |
General Government Securities Money Market Funds, Inc. |
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|
70. |
General Money Market Fund, Inc. |
|
|
71. |
General Municipal Money Market Funds, Inc. |
|
|
72. |
General New York Municipal Money Market Fund |
|
|
73. |
Strategic Funds, Inc. |
|
(b) |
|
|
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
Jon R. Baum* |
Chief Executive Officer and Chairman of the Board |
None |
Ken Bradle** |
President and Director |
None |
Robert G. Capone**** |
Executive Vice President and Director |
None |
J. Charles Cardona* |
Executive Vice President and Director |
Executive Vice President (Money Market Funds Only) |
Sue Ann Cormack** |
Executive Vice President |
None |
John M. Donaghey*** |
Executive Vice President and Director |
None |
Dwight D. Jacobsen* |
Executive Vice President and Director |
None |
Mark A. Keleher***** |
Executive Vice President |
None |
James D. Kohley*** |
Executive Vice President |
None |
Jeffrey D. Landau* |
Executive Vice President and Director |
None |
William H. Maresca* |
Executive Vice President and Director |
None |
Timothy M. McCormick* |
Executive Vice President |
None |
David K. Mossman*** |
Executive Vice President |
None |
Irene Papadoulis** |
Executive Vice President |
None |
Matthew Perrone** |
Executive Vice President |
None |
Noreen Ross* |
Executive Vice President |
None |
Bradley J. Skapyak* |
Executive Vice President |
President |
Gary Pierce* |
Chief Financial Officer and Director |
None |
Tracy Hopkins* |
Senior Vice President |
None |
Mercedez Katz** |
Senior Vice President |
None |
Mary T. Lomasney**** |
Senior Vice President |
None |
Barbara A. McCann**** |
Senior Vice President |
None |
Christopher D. O' Connor* |
Senior Vice President |
None |
Christine Carr Smith***** |
Senior Vice President |
None |
Ronald Jamison* |
Chief Legal Officer and Secretary |
None |
Joseph W. Connolly* |
Chief Compliance Officer (Investment Advisory Business) |
Chief Compliance Officer |
Stephen Storen* |
Chief Compliance Officer |
Anti-Money Laundering Compliance Officer |
Maria Georgopoulos* |
Vice President – Facilities Management |
None |
Stewart Rosen* |
Vice President – Facilities Management |
None |
Karin L. Waldmann* |
Privacy Officer |
None |
Gary E. Abbs*** |
Vice President – Tax |
None |
Timothy I. Barrett** |
Vice President |
None |
Gina DiChiara* |
Vice President |
None |
Jill Gill* |
Vice President |
None |
Joanne S. Huber*** |
Vice President – Tax |
None |
John E. Lane****** |
Vice President – Real Estate and Leases |
None |
Jeanne M. Login****** |
Vice President – Real Estate and Leases |
None |
Donna M. Impagliazzo** |
Vice President – Compliance and Anti-Money Laundering Officer |
None |
Edward A. Markward* |
Vice President – Compliance |
None |
Anthony Nunez* |
Vice President – Finance |
None |
William Schalda* |
Vice President |
None |
John Shea* |
Vice President – Finance |
None |
Christopher A. Stallone** |
Vice President |
None |
Susan Verbil* |
Vice President – Finance |
None |
William Verity* |
Vice President – Finance |
None |
James Windels* |
Vice President |
Treasurer |
James Bitetto* |
Assistant Secretary |
Vice President and |
James D. Muir* |
Assistant Secretary |
None |
Barbara J. Parrish*** |
Assistant Secretary |
None |
Cristina Rice*** |
Assistant Secretary |
None |
* |
Principal business address is 200 Park Avenue, New York, NY 10166. |
** |
Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144. |
*** |
Principal business address is One Mellon Bank Center, Pittsburgh, PA 15258. |
**** |
Principal business address is One Boston Place, Boston, MA 02108. |
***** |
Principal business address is 50 Fremont Street, Suite 3900, San Francisco, CA 94104. |
****** |
Principal business address is 101 Barclay Street, New York 10286. |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
One Wall Street
New York, New York 10286
2. The Bank of New York Mellon
One Mellon Bank Center
Pittsburgh, Pennsylvania 15258
3. DST Systems, Inc.
1055 Broadway
Kansas City, MO 64105
4. The Dreyfus Corporation
200 Park Avenue
New York, New York 10166
Item 34. Management Services
Not Applicable
Item 35. Undertakings
None
SIGNATURES
_____________
Pursuant to the requirements of the Securities Act of 1933 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, thereunto duly authorized, in the City of New York, and State of New York on the 15th day of July, 2011.
THE DREYFUS THIRD CENTURY FUND, INC.
BY: /s/Bradley J. Skapyak
Bradley J. Skapyak, President
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, 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)
|
7/15/11 |
/s/James Windels* |
Treasurer (Principal Financial and Accounting Officer)
|
7/15/11 |
/s/Joseph S. DiMartino* |
Chairman of the Board |
7/15/11 |
Joseph S. DiMartino
|
|
|
/s/Clifford L. Alexander, Jr.* |
Director |
7/15/11 |
Clifford L. Alexander, Jr.
|
|
|
/s/David W. Burke* |
Director |
7/15/11 |
/s/Whitney I. Gerard* Whitney I. Gerard
|
Director |
7/15/11 |
/s/Nathan Leventhal* Nathan Leventhal
|
Director |
7/15/11 |
/s/George L. Perry* George L. Perry
|
Director |
7/15/11 |
/s/Benaree Pratt Wiley* Benaree Pratt Wiley |
Director |
7/15/11 |
*BY: /s/Robert R. Mullery
Robert R. Mullery
Attorney-in-Fact
THE DREYFUS THIRD CENTURY FUND, INC.
Rule 18f-3 Plan
Rule 18f-3 under the Investment Company Act of 1940, as amended (the “1940 Act”), requires that the Board of an investment company desiring to offer multiple classes pursuant to said Rule adopt a plan setting forth the separate arrangement and expense allocation of each class, and any related conversion features or exchange privileges.
The Board, including a majority of the non-interested Board members, of The Dreyfus Third Century Fund, Inc. (the “Fund”), which desires to offer multiple classes, has determined that the following plan is in the best interests of each class individually and the Fund as a whole:
-1-
Class B shares shall be offered only in connection with dividend reinvestment and exchanges permitted by the Exchange Privilege. Class B shares shall not be subject to a front-end sales charge, but shall be subject to a CDSC and shall be charged an annual distribution fee under a Distribution Plan adopted pursuant to Rule 12b-1 under the 1940 Act. The amount of and provisions relating to the CDSC, and the amount of the fees under the Distribution Plan pertaining to the Class B shares, are set forth on Schedule B hereto.
Class C shares shall not be subject to a front-end sales charge, but shall be subject to a CDSC and shall be charged an annual distribution fee under a Distribution Plan adopted pursuant to Rule 12b-1 under the 1940 Act. The amount of and provisions relating to the CDSC, and the amount of the fees under the Distribution Plan pertaining to the Class C shares, are set forth on Schedule C hereto.
Class I shares shall be offered at net asset value only to (i) bank trust departments, trust companies and insurance companies that have entered into agreements with the Fund’s Distributor to offer Class I shares to their clients, (ii) institutional investors acting in a fiduciary, advisory, agency, custodial or similar capacity for qualified or non-qualified employee benefit plans, including pension, profit-sharing and other deferred compensation plans, whether established by corporations, partnerships, non-profit entities, trade or labor unions, or state and local governments (“Retirement Plans”), and IRAs set up under Simplified Employee Pension Plans (“SEP-IRAs”), but not including IRAs or IRA “Rollover Accounts” (Class I shares may be purchased for a Retirement Plan or SEP-IRA only by a custodian, trustee, investment manager or other entity authorized to act on behalf of such Retirement Plan or SEP-IRA that has entered into an agreement with the Fund’s Distributor to offer Class I shares to such Retirement Plan or SEP-IRA), (iii) law firms or attorneys acting as trustees or executors/administrators, (iv) foundations and endowments that make an initial investment in the Fund of at least $1 million, (v) sponsors of college savings plans that qualify for tax-exempt treatment under Section 529 of the Internal Revenue Code of 1986, as amended (the “Code”), that maintain an omnibus account with the Fund and do not require shareholder tax reporting or 529 account support responsibilities from the Fund’s Distributor, (vi) advisory fee-based accounts offered through financial intermediaries who, depending on the structure of the selected advisory platform, make Class I shares available, (vii) certain institutional clients of an investment advisory subsidiary of The Bank of New York Mellon Corporation approved by The Dreyfus Corporation, and (viii) unaffiliated investment companies approved by the Fund's Distributor.
-2-
Class Z shares shall be offered at net asset value only to shareholders of the Fund who have held Fund shares since August 30, 1999.
Class A, Class B and Class C shares shall be subject to an annual service fee at the rate of .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.
Class Z shares shall be subject to an annual service fee at the rate of up to .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.
-3-
Class; (f) transfer agent fees identified by the Fund’s transfer agent as being attributable to a specific Class; and (g) Board members’ fees incurred as a result of issues relating to a specific Class.
Dated: August 31, 1999
Revised as of: July 15, 2011
-4-
SCHEDULE A
Front-End Sales Charge--Class A Shares--The public offering price for Class A shares, except as set forth below, shall be the net asset value per share of Class A plus a sales load as shown below:
|
Total Sales Load |
||
Amount of Transaction |
As a % of offering price per share |
|
As a % of net asset value per share |
Less than $50,000........................................................ |
5.75 |
|
6.10 |
$50,000 to less than $100,000.................................... |
4.50 |
|
4.70 |
$100,000 to less than $250,000.................................. |
3.50 |
|
3.60 |
$250,000 to less than $500,000................................. |
2.50 |
|
2.60 |
$500,000 to less than $1,000,000.............................. |
2.00 |
|
2.00 |
$1,000,000 or more..................................................... |
-0- |
|
-0- |
Front-End Sales Charge--Class A Shares--Shareholders Who Received Class A Shares of the Fund in Exchange for Class T Shares of the Fund on February 4, 2009--For shareholders who received Class A shares of the Fund in exchange for Class T shares of the Fund on February 4, 2009, the public offering price for Class A shares of the Fund shall be the net asset value per share of Class A plus a sales load as shown below:
|
Total Sales Load |
||
Amount of Transaction |
As a % of offering price per share |
|
As a % of net asset value per share |
Less than $50,000....................................................... |
4.50 |
|
4.70 |
$50,000 to less than $100,000................................... |
4.00 |
|
4.20 |
$100,000 to less than $250,000................................ |
3.00 |
|
3.10 |
$250,000 to less than $500,000................................ |
2.00 |
|
2.00 |
$500,000 to less than $1,000,000............................. |
1.50 |
|
1.50 |
$1,000,000 or more.................................................... |
-0- |
|
-0- |
Contingent Deferred Sales Charge--Class A Shares--A CDSC of 1.00% shall be assessed at the time of redemption of Class A shares purchased without an initial sales charge as part of an investment of at least $1 million and redeemed within one year of purchase. The terms contained in Schedule B pertaining to the CDSC assessed on redemptions of Class B shares (other than the amount of the CDSC and its time periods), including the provisions for waiving the CDSC, shall be applicable to the Class A shares subject to a CDSC. Letter of Intent and Right of Accumulation shall apply to purchases of Class A shares subject to a CDSC.
A-1
SCHEDULE B
Contingent Deferred Sales Charge--Class B Shares--A CDSC payable to the Fund’s Distributor shall be imposed on any redemption of Class B shares which reduces the current net asset value of such Class B shares to an amount which is lower than the dollar amount of all payments by the redeeming shareholder for the purchase of Class B shares of the Fund held by such shareholder at the time of redemption. No CDSC shall be imposed to the extent that the net asset value of the Class B shares redeemed does not exceed (i) the current net asset value of Class B shares of the Fund acquired through reinvestment of Fund dividends or capital gain distributions, plus (ii) increases in the net asset value of the shareholder’s Class B shares above the dollar amount of all payments for the purchase of Class B shares of the Fund held by such shareholder at the time of redemption.
If the aggregate value of the Class B shares redeemed has declined below their original cost as a result of the Fund’s performance, a CDSC may be applied to the then-current net asset value rather than the purchase price.
In circumstances where the CDSC is imposed, the amount of the charge shall depend on the number of years from the time the shareholder purchased the Class B shares until the time of redemption of such shares. Solely for purposes of determining the number of years from the time of any payment for the purchase of Class B shares, all payments during a month shall be aggregated and deemed to have been made on the first day of the month. The following table sets forth the rates of the CDSC, except for Class B shares issued in connection with certain transactions described below:
|
Year Since |
CDSC
as a % of |
|
|
|
||
First |
4.00 |
||
Second |
4.00 |
||
Third |
3.00 |
||
Fourth |
3.00 |
||
Fifth |
2.00 |
||
Sixth |
1.00 |
||
For Class B shares issued in connection with (i) the exchange of shares originally issued by a series of The Bear Stearns Funds or (ii) the reorganization of any such series of The Bear Stearns Funds, where the shares of such series were purchased before December 1, 2003, the following table sets forth the rates of the CDSC for such shares:
B-1
SCHEDULE B (continued)
Year
Since |
CDSC
as a % of |
|
|
|
|
First |
5.00 |
|
Second |
4.00 |
|
Third |
3.00 |
|
Fourth |
3.00 |
|
Fifth |
2.00 |
|
Sixth |
1.00 |
|
Seventh |
0.00 |
|
Eighth |
0.00 |
|
|
|
|
In determining whether a CDSC is applicable to a redemption, the calculation shall be made in a manner that results in the lowest possible rate. Therefore, it shall be assumed that the redemption is made first of amounts representing shares acquired pursuant to the reinvestment of dividends and distributions; then of amounts representing the increase in net asset value of Class B shares above the total amount of payments for the purchase of Class B shares made during the preceding six years (eight years for certain shares issued in connection with shares originally issued by a series of The Bear Stearns Funds); and finally, of amounts representing the cost of Class B shares held for the longest period of time.
Waiver of CDSC--The CDSC shall be waived in connection with (a) redemptions made within one year after the death or disability, as defined in Section 72(m)(7) of the Code, of the shareholder, (b) redemptions by employees participating in qualified or non-qualified employee benefit plans or other programs, (c) redemptions as a result of a combination of any investment company with the Fund by merger, acquisition of assets or otherwise, (d) a distribution following retirement under a tax-deferred retirement plan or upon attaining age 70-1/2 in the case of an IRA or Keogh plan or custodial account pursuant to Section 403(b) of the Code, and (e) redemptions pursuant to any systematic withdrawal plan as described in the Fund’s prospectus. Any Fund shares subject to a CDSC which were purchased prior to the termination of such waiver shall have the CDSC waived as provided in the Fund’s prospectus at the time of the purchase of such shares.
Amount of Distribution Plan Fees--Class B Shares--.75 of 1% of the value of the average daily net assets of Class B.
B-2
SCHEDULE C
Contingent Deferred Sales Charge--Class C Shares--A CDSC of 1.00% payable to the Fund’s Distributor shall be imposed on any redemption of Class C shares within one year of the date of purchase. The basis for calculating the payment of any such CDSC shall be the method used in calculating the CDSC for Class B shares. In addition, the provisions for waiving the CDSC shall be those set forth for Class B shares.
Amount of Distribution Plan Fees--Class C Shares--.75 of 1% of the value of the average daily net assets of Class C.
C-1
SCHEDULE D
Conversion of Class B Shares--Approximately six years after the date of purchase, Class B shares (other than those issued in connection with certain transactions described below) automatically shall convert to Class A shares, based on the relative net asset values for shares of each such Class, and shall no longer be subject to the distribution fee. Class B shares issued in connection with (i) the exchange of shares originally issued by a series of The Bear Stearns Funds or (ii) the reorganization of any such series of The Bear Stearns Funds, where the shares of such series were purchased before December 1, 2003, automatically shall convert to Class A shares approximately eight years after the date of original purchase of such shares from the series of The Bear Stearns Funds. At the time of conversion, Class B shares that have been acquired through the reinvestment of dividends and distributions (“Dividend Shares”) shall be converted in the proportion that a shareholder’s Class B shares (other than Dividend Shares) converting to Class A shares bears to the total Class B shares then held by the shareholder which were not acquired through the reinvestment of dividends and distributions.
D-1