0000030167-18-000005.txt : 20180727 0000030167-18-000005.hdr.sgml : 20180727 20180727142229 ACCESSION NUMBER: 0000030167-18-000005 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20180531 FILED AS OF DATE: 20180727 DATE AS OF CHANGE: 20180727 EFFECTIVENESS DATE: 20180727 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Dreyfus Sustainable U.S. Equity Fund, Inc. CENTRAL INDEX KEY: 0000030167 IRS NUMBER: 132691318 STATE OF INCORPORATION: MD FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-02192 FILM NUMBER: 18974483 BUSINESS ADDRESS: STREET 1: THE DREYFUS CORPORATION STREET 2: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2129226400 MAIL ADDRESS: STREET 1: C/O DREYFUS CORP STREET 2: 200 PARK AVENUE, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS THIRD CENTURY FUND, INC DATE OF NAME CHANGE: 20161220 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS THIRD CENTURY FUND INC DATE OF NAME CHANGE: 20081201 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS PREMIER THIRD CENTURY FUND INC DATE OF NAME CHANGE: 20020517 0000030167 S000000095 The Dreyfus Sustainable U.S. Equity Fund, Inc. 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CO. OF PITTSBURGH, PA 080 B000000 FEDERAL INSURANCE C0. 080 C000000 100000 081 A000000 Y 081 B000000 149 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 N SIGNATURE JAMES BITETTO TITLE VP & SECRETARY EX-99.77B ACCT LTTR 2 acctltr035-72018.htm ACCOUNTANT'S REPORT ON INTERNAL CONTROL acctltr035-72018.htm - Generated by SEC Publisher for SEC Filing

 

 

 

 

 

Report of Independent Registered Public Accounting Firm

 

 

To the Shareholders and Board of Directors of

The Dreyfus Sustainable U.S. Equity Fund, Inc.

 

In planning and performing our audit of the financial statements of The Dreyfus Sustainable U.S. Equity Fund, Inc. (the “Company”) as of and for the year ended May 31, 2018, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Company’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Company’s internal control over financial reporting. Accordingly, we express no such opinion. 

 

The management of the Company is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.

 

Our consideration of the Company’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Company’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of May 31, 2018.

 

This report is intended solely for the information and use of management and the Board of Directors of The Dreyfus Sustainable U.S. Equity Fund, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

 

/s/ ERNST & YOUNG LLP

 

 

New York, New York

July 26, 2018

 EX-99.77I NEW SECUR 3 subitem77i035-72018.htm TERMS OF NEW OR AMENDED SECURITIES subitem77i035-72018.htm - Generated by SEC Publisher for SEC Filing

 

Sub-Item 77I

Terms of new or amended securities

 

 

The Dreyfus Sustainable U.S. Equity fund, inc.

(the "Fund")

Registration No. 811-02192

At a meeting of the Board of Directors (the "Board") of the Fund held on November 2, 2017,  the Board, on behalf of the Fund, approved a proposal whereby, effective on or about December 15, 2017, Class C shares of the Fund will automatically convert to Class A shares of the Fund in the month of or month following the 10-year anniversary date of the purchase of the Class C shares, based on the relative net asset value of each such class without the imposition of any sales charge, fee or other charge.

A supplement to the Fund's prospectus (the "Supplement") was filed with the Securities and Exchange Commission (the "SEC") pursuant to Rule 497(e) under the Securities Act of 1933, as amended, on November 8, 2017, and a revised Rule 18f-3 Plan (the "Revised 18f-3 Plan") was filed with the SEC on December 14, 2017 as Exhibit (n) to Post-Effective Amendment No. 88 to the Fund's Registration Statement.  Both the Supplement and the Revised 18f-3 Plan are incorporated herein by reference.