0000030167-20-000005.txt : 20200803 0000030167-20-000005.hdr.sgml : 20200803 20200803165138 ACCESSION NUMBER: 0000030167-20-000005 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200531 FILED AS OF DATE: 20200803 DATE AS OF CHANGE: 20200803 EFFECTIVENESS DATE: 20200803 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BNY Mellon 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: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-02192 FILM NUMBER: 201069795 BUSINESS ADDRESS: STREET 1: C/O BNY MELLON INVESTMENT ADVISER, INC. STREET 2: 240 GREENWICH STREET CITY: NEW YORK STATE: NY ZIP: 10286 BUSINESS PHONE: 2129226400 MAIL ADDRESS: STREET 1: C/O BNY MELLON INVESTMENT ADVISER, INC. STREET 2: 240 GREENWICH STREET CITY: NEW YORK STATE: NY ZIP: 10286 FORMER COMPANY: FORMER CONFORMED NAME: Dreyfus Sustainable U.S. Equity Fund, Inc. DATE OF NAME CHANGE: 20170501 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 0000030167 S000000095 BNY Mellon Sustainable U.S. Equity Fund, Inc. C000000149 Class A DTCAX C000000151 Class C DTCCX C000000152 Class I DRTCX C000000154 Class Z DRTHX C000174003 Class Y DTCYX N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0000030167 XXXXXXXX 811-02192 false false N-1A S000000095 C000000149 C000000151 C000000152 C000000154 C000174003 BNY Mellon Sustainable U.S. Equity Fund, Inc. 811-02192 0000030167 549300QQ876PDFBOND85 240 Greenwich Street New York 10286-1048 US-NY US 212.922.6400 BNY Mellon Investment Adviser, Inc. 200 Park Avenue New York 10166-0039 212.922.6400 Compliance policies and procedures and related items. BNY Mellon Investment Adviser, Inc. 240 Greenwich Street New York 10286-1048 212.922.6400 Organizational documents, board meeting minutes and materials, SEC filings and administration and accounting records. The Bank of New York Mellon 103 Bellevue Parkway Wilmington 19809-3701 212.495.1784 Administration and accounting records. The Bank of New York Mellon 240 Greenwich Street New York 10286-1048 212.495.1784 Records relating to custody of fund assets. The Bank of New York Mellon One Mellon Bank Center Pittsburgh 15258-0001 212.495.1784 Records relating to custody of fund assets. BNY Mellon Securities Corporation 240 Greenwich Street New York 10286-1048 212.922.6400 Records relating to advertising and sales materials. BNY Mellon Transfer, Inc. 240 Greenwich Street New York 10286-1048 212.922.6400 Records relating to the record holders of fund shares and purchases and sales of fund shares. BNY Mellon Investment Servicing (US), Inc. 4400 Computer Drive Westborough 01581-1722 800.441.9800 Records relating to the record holders of fund shares and purchases and sales of fund shares. Newton Investment Management Limited 160 Queen Victoria Street London GB EC4V 4LA 44.020.7163.9000 Records relating to decisions to buy/sell securities and the execution thereof. N N N-1A 1 Y Gordon J. Davis N/A Y Francine J. Bovich N/A N J. Charles Cardona N/A N Roslyn M. Watson N/A N Robin A. Melvin N/A N Andrew J. Donohue N/A N Nathan Leventhal N/A N Joseph S. DiMartino N/A N Isabel P. Dunst N/A N Benaree Pratt Wiley N/A N Joseph W. Connolly 001144952 200 Park Avenue New York 10166-0039 XXXXXX N N N N N N BNY Mellon Securities Corporation 008-13801 000000231 N/A Y N Ernst & Young LLP 42 254900H1VLSDPE6LJK37 N N N N N N BNY Mellon Sustainable U.S. Equity Fund, Inc. S000000095 549300QQ876PDFBOND85 N 5 0 1 N/A N N N N N/A N/A N/A Rule 12d1-1 (17 CFR 270.12d1-1) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N BNY Mellon Investment Adviser, Inc. 801-8147 000105642 54930067A504FBYASH16 N Newton Investment Management Limited 801-42114 000111208 VMMM74BJK67DIRDE9J26 Y GB N BNY Mellon Transfer, Inc. 84-06102 N/A Y N BNY Mellon Investment Servicing (US) Inc. 84-01761 N/A Y Y N ICE Data Pricing & Reference Data, LLC N/A TIN: 13-3668779 N ITG Analytics, Inc. 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N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 GB Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A IT Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. C3GTMMZIHMY46P4OIX74 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG 7LTWFZYICNSX8D621K86 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Nacional de Mexico S.A., lntegrante del GrupoFinanciero Banamex 6SHGI4ZSSLCXXQSBB395 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Publ) F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 213800GJYUJERRTNRE86 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG 7LTWFZYICNSX8D621K86 PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Plc N1FBEDJ5J41VKZLO2475 PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Publ) F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited MLU0ZO3ML4LN2LL2TL39 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N BNY Mellon Transfer, Inc. 84-06102 Y N N BNY Mellon Investment Adviser, Inc. 54930067A504FBYASH16 Y N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y Y N BNY Mellon Capital Markets, LLC 008-35255 000017454 VJW2DOOHGDT6PR0ZRO63 0.00 Hedgemark Securities, LLC 008-69106 000164503 N/A 0.00 BNY Mellon Securities Corporation 008-13801 000000231 N/A 0.00 Pershing Advisor Solutions LLC 008-47425 000036671 549300KTC63JRN36GZ84 0.00 Pershing LLC 008-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 0.00 BNY Mellon Asset Management Canada Ltd. 008-00000 N/A N/A CA 0.00 BNY Mellon Capital Markets EMEA Limited 008-00000 N/A 213800O5FBGOWU89LN14 GB 0.00 BNY Mellon Investment Management Australia Limited 008-00000 N/A 2ZQTMYGDRJZ57CRSPU33 AU 0.00 BNY Mellon Investment Management EMEA Limited 008-00000 N/A 213800X5NCNIAF9USD75 GB 0.00 BNY Mellon Investment Management Hong Kong Limited 008-00000 000169689 N/A HK 0.00 BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A 008-00000 N/A N/A BR 0.00 BNY Mellon Wealth Management, Advisory Services, Inc. 008-00000 N/A N/A CA 0.00 Pershing (Channel Islands) Limited 008-00000 N/A 2138009CM5DCI2OQW132 GB 0.00 Pershing Limited 008-00000 N/A 213800R6YVGU4VP7XK84 GB 0.00 Pershing Securities Australia Pty Limited 008-00000 N/A 5493008201YNLL3CPG58 AU 0.00 Pershing Securities Canada Limited 008-00000 N/A 5493000WV47FDC28QG89 CA 0.00 Pershing Securities International Limited 008-00000 N/A 549300PPJGN9E26TI110 IE 0.00 Pershing Securities Limited 008-00000 N/A 549300NC3GURN0AEZU06 GB 0.00 Pershing Securities Singapore Private Limited 008-00000 N/A N/A MY 0.00 The Bank of New York Mellon Securities Company Japan Limited 008-00000 N/A N/A JP 0.00 The Bank of New York Mellon, S.A., Institucion de Banca Multiple 008-00000 N/A N/A MX 0.00 BNY Mellon Fund Management (Luxemboug), S.A. 008-00000 000283267 5N2ES2M2WGR2TO0Q5G40 LU 0.00 J.P. MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 25583.00 UBS SECURITIES LLC 008-22651 000007654 T6FIZBDPKLYJKFCRVK44 17045.00 CITIGROUP GLOBAL MARKETS INC. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 16304.00 SANFORD C. BERNSTEIN & CO., LLC 008-42942 000104474 549300GA5IHQHIM7CU60 2549.00 HSBC SECURITIES (USA) INC. 008-41562 000019585 CYYGQCGNHMHPSMRL3R97 1745.00 GOLDMAN SACHS & CO. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 1296.00 DEUTSCHE BANK SECURITIES INC. 008-17822 000002525 9J6MBOOO7BECTDTUZW19 984.00 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 755.00 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 639.00 ITG INC. 008-44218 000029299 549300S41SMIODVIT266 333.00 67376.00 J.P. MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 93926676.00 CITIGROUP GLOBAL MARKETS INC. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 68460448.00 UBS SECURITIES LLC 008-22651 000007654 T6FIZBDPKLYJKFCRVK44 48817809.00 HSBC SECURITIES (USA) INC. 008-41562 000019585 CYYGQCGNHMHPSMRL3R97 8728208.00 SANFORD C. BERNSTEIN & CO., LLC 008-42942 000104474 549300GA5IHQHIM7CU60 5095225.00 DEUTSCHE BANK SECURITIES INC. 008-17822 000002525 9J6MBOOO7BECTDTUZW19 4919619.00 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 3774469.00 GOLDMAN SACHS & CO. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 2590614.00 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 1499945.00 ITG INC. 008-44218 000029299 549300S41SMIODVIT266 665006.00 238764156.00 N 338771116.01 Committed 747000000.00 Uncommitted 300000000.00 N N N N true INTERNAL CONTROL RPT 2 eyconsent035-7272020.htm eyconsent035-7272020.htm - Generated by SEC Publisher for SEC Filing

 

 

 

 

 

Report of Independent Registered Public Accounting Firm

 

 

To the Shareholders and Board of Directors of

BNY Mellon Sustainable U.S. Equity Fund, Inc.

 

In planning and performing our audit of the financial statements of BNY Mellon Sustainable U.S. Equity Fund, Inc. (the “Company”) as of and for the year ended May 31, 2020, 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-CEN, 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 U.S. 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 U.S. 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, 2020.

 

This report is intended solely for the information and use of management and the Board of Directors of BNY Mellon 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 27, 2020