0000030167-15-000001.txt : 20150126 0000030167-15-000001.hdr.sgml : 20150126 20150126120431 ACCESSION NUMBER: 0000030167-15-000001 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20141130 FILED AS OF DATE: 20150126 DATE AS OF CHANGE: 20150126 EFFECTIVENESS DATE: 20150126 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DREYFUS THIRD CENTURY FUND INC CENTRAL INDEX KEY: 0000030167 IRS NUMBER: 132691318 STATE OF INCORPORATION: MD FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-02192 FILM NUMBER: 15547538 BUSINESS ADDRESS: STREET 1: THE DREYFUS CORPORATION STREET 2: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2129226883 MAIL ADDRESS: STREET 1: C/O DREYFUS CORP STREET 2: 200 PARK AVENUE, 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS PREMIER THIRD CENTURY FUND INC DATE OF NAME CHANGE: 20020517 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS THIRD CENTURY FUND INC DATE OF NAME CHANGE: 19920703 0000030167 S000000095 DREYFUS THIRD CENTURY FUND INC C000000149 Class A DTCAX C000000151 Class C DTCCX C000000152 Class I DRTCX C000000154 Class Z DRTHX NSAR-A 1 answer.fil SEMI-ANNUAL N-SAR PAGE 1 000 A000000 11/30/2014 000 C000000 0000030167 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 U 001 A000000 THE DREYFUS THIRD CENTURY FUND, INC. 001 B000000 811-2192 001 C000000 2129226906 002 A000000 200 PARK AVENUE 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10166 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 012 A000001 DREYFUS TRANSFER, INC. 012 B000001 84-06102 012 C010001 NEW YORK 012 C020001 NY 012 C030001 10166 014 A000001 BNY MELLON CAPITAL MARKETS, LLC 014 B000001 8-35255 014 A000002 CONVERGEX EXECUTION SOLUTIONS LLC 014 B000002 8-46838 014 A000003 CONVERGEX PRIME SERVICES LLC 014 B000003 8-67289 014 A000004 G-TRADE SERVICES LLC 014 B000004 8-67304 014 A000005 HEDGEMARK SECURITIES LLC 014 B000005 8-69106 014 A000006 LIQUIDPOINT, LLC 014 B000006 8-51850 014 A000007 MBSC SECURITIES CORPORATION 014 B000007 8-13801 PAGE 2 014 A000008 PERSHING ADVISOR SOLUTIONS LLC 014 B000008 8-47425 014 A000009 PERSHING LLC 014 B000009 8-17574 014 A000010 WESTMINSTER RESEARCH ASSOCIATES LLC 014 B000010 8-28900 018 000000 Y 019 A000000 Y 019 B000000 146 019 C000000 DREYFUSFAM 020 A000001 CREDIT SUISSE (USA) INC. 020 B000001 13-1898818 020 C000001 12 020 A000002 WEEDEN & CO L.P. 020 B000002 13-3364318 020 C000002 10 020 A000003 MORGAN STANLEY 020 B000003 36-3145972 020 C000003 9 020 A000004 J.P. 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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 Designation: Fund shares shall be divided into Class A, Class C, Class I and Class Z.

     2. Differences in Services: The services offered to shareholders of each Class shall be substantially the same, except that Right of Accumulation, Letter of Intent and Reinvestment Privilege shall be available only to holders of Class A shares.

     3. Differences in Distribution Arrangements: Class A shares shall be offered with a front-end sales charge, as such term is defined under the Conduct Rules of the Financial Industry Regulatory Authority (the "FINRA Conduct Rules"), and a contingent deferred sales charge (a "CDSC"), as such term is defined under the FINRA Conduct Rules, may be assessed on certain redemptions of Class A shares purchased without an initial sales charge as part of an investment of $1 million or more. The amount of the sales charge and the amount of and provisions relating to the CDSC pertaining to the Class A shares are set forth on Schedule A 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 B hereto.

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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. In addition, Class I shares of the Fund shall be offered to shareholders of the Fund who have held their Class I shares since June 5, 2003 and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor.

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 and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor.

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Class A 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.

4. Expense Allocation: The following expenses shall be allocated, to the extent practicable, on a Class-by-Class basis: (a) fees under the Distribution Plans and Shareholder Services Plans; (b) printing and postage expenses related to preparing and distributing materials, such as shareholder reports, prospectuses and proxies, to current shareholders of a specific Class; (c) Securities and Exchange Commission and Blue Sky registration fees incurred by a specific Class; (d) the expense of administrative personnel and services as required to support the shareholders of a specific Class; (e) litigation or other legal expenses relating solely to a specific 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.

5. Conversion Features: No Class shall be subject to any automatic conversion feature. Shares of one Class of the Fund may be converted into shares of another Class of the Fund, provided the shareholder requesting the conversion meets the eligibility requirements for the purchase of the new Class of shares of the Fund. Shares subject to a CDSC or a redemption fee at the time of the requested conversion shall not be eligible for conversion.

6. Exchange Privileges:

Shares of a Class shall be exchangeable only for (a) shares of the same Class of other investment companies managed or administered by The Dreyfus Corporation or its affiliates as specified from time to time and (b) shares of certain other Classes of such investment companies or shares of certain other investment companies as specified from time to time.

Dated: August 31, 1999
Amended as of: October 1, 2014

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SCHEDULE A

Front-End Sales Charge—Class A Shares—The public offering price for Class A shares, except as otherwise set forth herein, shall be the net asset value per share of Class A plus a sales load as shown below:

    Total Sales Load 
    As a % of    As a % of 
    offering price    net asset value 
Amount of Transaction    per share    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 purchased directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, shall be the net asset value per share of Class A plus a sales load as shown below:

    Total Sales Load 
    As a % of    As a % of 
    offering price    net asset value 
Amount of Transaction    per share    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 C shares, 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

NY 70148564v16


SCHEDULE B

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. No CDSC shall be imposed to the extent that the net asset value of the Class C shares redeemed does not exceed (i) the current net asset value of Class C 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 C shares above the dollar amount of all payments for the purchase of Class C shares of the Fund held by such shareholder at the time of redemption.

If the aggregate value of the Class C 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 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 Class C shares of the Fund acquired pursuant to the reinvestment of Fund dividends and distributions; then of amounts representing the increase in net asset value of Class C shares above the total amount of payments for the purchase of Class C shares made during the preceding year; and finally, of amounts representing the cost of Class C 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 Retirement Plans, (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 C Shares—.75 of 1% of the value of the average daily net assets of Class C.

B-1

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 EX-99.77Q1 OTHR EXHB 3 subitem77q1.htm SUB-ITEM 77Q1 subitem77q1.htm - Generated by SEC Publisher for SEC Filing

 

Sub-Item 77I

Terms of new or amended securities

 

The Dreyfus Third Century Fund, Inc.

 

During the six-month period ended November 30, 2014, the Board of Directors of The Dreyfus Third Century Fund, Inc. (the "Fund") approved amendments to the plan adopted by the Fund pursuant to Rule 18f-3 under the Investment Company Act of 1940, as amended.  The amendments, effective October 1, 2014, provide that shares of Class A, Class C, Class I or Class Z of the Fund may be converted into shares of another class of the Fund, provided the shareholder requesting the conversion meets the eligibility requirements for the purchase of the new class of shares of the Fund.  Shares subject to a contingent deferred sales charge at the time of the requested conversion are not eligible for conversion.