File No. 2-88816
811-03940
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. 119 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 119 [X]
(Check appropriate box or boxes.)
Strategic Funds, 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
Bennett A. MacDougall, 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 (n) to Item 28 of the Registration Statement.
This Post-Effective Amendment is being filed solely to file a revised Rule 18f-3 as Exhibit (n) to Item 28 to this Registration Statement of Form N-1A.
Part A of Post-Effective Amendment No. 113 to the Registration Statement filed on September 25, 2015 with respect to Dreyfus Select Managers Small Cap Growth Fund, Part A of Post-Effective Amendment No. 111 to the Registration Statement filed on August 27, 2015 with respect to Dreyfus Active MidCap Fund, Part A of Post-Effective Amendment No. 107 to the Registration Statement filed on April 22, 2015 with respect to Dreyfus MLP Fund, Part A of Post-Effective Amendment No. 106 to the Registration Statement filed on March 30, 2015 with respect to Dreyfus Select Managers Small Cap Value Fund, Dreyfus U.S. Equity Fund, Global Stock Fund and International Stock Fund and the Statement of Additional Information that was filed on February 29, 2016 pursuant to 497(e) under the Securities Act of 1933, as amended are incorporated by reference herein.
The following post-effective amendment to the Registrant's Registration Statement on Form N-1A relates to the series listed below and does not affect the Registration Statement of Dreyfus Conservative Allocation Fund, Dreyfus Growth Allocation Fund or Dreyfus Moderate Allocation Fund.
DREYFUS ACTIVE MIDCAP FUND
DREYFUS MLP FUND
DREYFUS SELECT MANAGERS SMALL CAP VALUE FUND
DREYFUS SELECT MANAGERS SMALL CAP GROWTH FUND
GLOBAL STOCK FUND
INTERNATIONAL STOCK FUND
DREYFUS U.S. EQUITY FUND
Strategic Funds, Inc.
PART C. OTHER INFORMATION
Item 28. Exhibits.
(a)(i) Registrant's Articles of Incorporation and Articles of Amendment are incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 15 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 15"), filed on April 25, 1996.
(a)(ii) Articles of Amendment and Articles Supplementary, as amended, are incorporated by reference to Exhibit (a) of Post-Effective Amendment No. 24 to the Registration Statement on Form N-1A, filed on September 27, 2002.
(a)(iii) Articles of Amendment are incorporated by reference to Exhibit (a)(iii) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 32"), filed on May 16, 2006.
(a)(iv) Articles Supplementary are incorporated by reference to Exhibit (a)(iv) of Post-Effective Amendment No. 32.
(a)(v) Articles Supplementary, as revised, are incorporated by reference to Exhibit (a)(v) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 50"), filed on December 16, 2008.
(a)(vi) Articles of Amendment are incorporated by reference to Exhibit (a)(vi) of Post-Effective Amendment No. 53 to the Registration Statement on Form N-1A, filed on April 30, 2009.
(a)(vii) Articles of Supplementary are incorporated by reference to Exhibit (a)(vii) of Post-Effective Amendment No. 56 to the Registration Statement on Form N-1A, filed on September 25, 2009.
(a)(viii) Articles of Supplementary are incorporated by reference to Exhibit (a)(viii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A ("Post Amendment No. 63"), filed on June 29, 2010.
(a)(ix) Articles of Supplementary are incorporated by reference to Exhibit (a)(ix) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 74"), filed on December 28, 2011.
(a)(x) Articles of Supplementary for Class I shares of International Stock Fund are incorporated by reference to Exhibit (a)(x) of Post-Effective Amendment No. 90 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 90"), filed on June 25, 2013.
(a)(xi) Form of Articles of Supplementary for Class Y shares of Dreyfus Select Managers Small Cap Growth Fund, Dreyfus Select Managers Small Cap Value Fund, Dreyfus U.S. Equity Fund, Global Stock Fund and International Stock Fund is incorporated by reference to Exhibit (a)(xi) of Post-Effective Amendment No. 90.
(a)(xii) Articles Supplementary for Class I shares of Global Stock Fund are incorporated by reference to Exhibit (a)(xii) of Post-Effective Amendment No. 97 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 97), filed on March 27, 2014.
(a)(xiii) Articles Supplementary are incorporated by reference to Exhibit (a)(xiii) of Post-Effective Amendment No. 107 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 107"), filed on April 22, 2015.
(b) Registrant's Bylaws, as amended, is incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 74.
(d)(i) Management Agreement, revised May 4, 2015 is incorporated by reference to Exhibit (d)(i) of Post-Effective Amendment No. 113 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 113), filed on September 25, 2015.
(d)(ii) Sub-Investment Advisory Agreement with Walter Scott & Partners Limited, as amended, with respect to Dreyfus U.S. Equity Fund, Global Stock Fund and International Stock Fund is incorporated by reference to Exhibit (d)(ii) of Post-Effective Amendment No. 46 to the Registration Statement on Form N-1A, filed on May 27, 2008.
(d)(iii) Sub-Investment Advisory Agreement with Walthausen & Co., LLC. , with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(iii) of Post-Effective Amendment No. 50.
(d)(iv) Sub-Investment Advisory Agreement with Thompson, Siegel and Walmsley LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(iv) of Post-Effective Amendment No. 50.
(d)(v) Sub-Investment Advisory Agreement with Neuberger Berman Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(v) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 60"), filed on March 30, 2010.
(d)(vi) Sub-Investment Advisory Agreement with Riverbridge Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(vi) of Post-Effective Amendment No. 84 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 84"), filed on December 26, 2012.
(d)(vii) Sub-Investment Advisory Agreement with Geneva Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (d)(vii) of Post-Effective Amendment No. 101 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 101"), filed on September 25, 2014.
(d)(viii) Sub-Investment Advisory Agreement with Cupps Capital Management, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(viii) of Post-Effective Amendment No. 63.
(d)(ix) Sub-Investment Advisory Agreement with Lombardia Capital Partners, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 79 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 79"), filed, on April 27, 2012.
(d)(x) Sub-Investment Advisory Agreement with Nicholas Investment Partners, L.P., with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(x) of Post-Effective Amendment No. 79.
(d)(xi) Sub-Investment Advisory Agreement with Iridian Asset Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(xi) of Post-Effective Amendment No. 79.
(d)(xii) Sub-Investment Advisory Agreement with Kayne Anderson Rudnick Investment Management, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(xiii) of Post-Effective Amendment No. 82 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 82"), filed, on September 28, 2012.
(d)(xiii) Sub-Investment Advisory Agreement with EAM Investors, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xv) of Post-Effective Amendment No. 84.
(d)(xiv) Sub-Investment Advisory Agreement with Rice Hall James & Associates, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xv) of Post-Effective Amendment No. 95 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 95"), filed on December 26, 2013.
(d)(xv) Sub-Investment Advisory Agreement with Granite Investments Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xvi) of Post-Effective Amendment No. 95.
(d)(xvi) Sub-Investment Advisory Agreement with Channing Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (d)(xvi) of Post-Effective Amendment No. 101.
(d)(xvii) Sub-Investment Advisory Agreement with The Boston Company Asset Management, LLC, with respect to Dreyfus MLP Fund, is incorporated by reference to Exhibit (d)(xvii) of Post-Effective Amendment No. 107.
(d)(xviii) Portfolio Allocation Management Agreement, as revised, is incorporated by reference to Exhibit (d)(xii) of Post-Effective Amendment No. 63.
(d)(xix) Sub-Investment Advisory Agreement with Eastern Shore Capital Management, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(xix) of Post-Effective Amendment No. 113.
(e)(i) Amended and Restated Distribution Agreement dated October 1, 2010 is incorporated by reference to Exhibit (e)(i) of Post-Effective Amendment No. 111 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 111"), filed on August 27, 2015.
(e)(ii) Forms of Broker-Dealer Selling Agreement and Bank Selling Agreement are incorporated by reference to Exhibit (e)(ii) of Post-Effective Amendment No. 111.
(e)(iii) Forms of Supplement to Service Agreements are incorporated by reference to Exhibit (e)(iii) of Post-Effective Amendment No. 40 to the Registration Statement on Form N-1A, filed on April 27, 2007.
(g)(i) Custody Agreement with The Bank of New York Mellon dated January 1, 2011 is incorporated by reference to Exhibit (g)(ii) of Post-Effective Amendment No. 67 to the Registration Statement on Form N-1A, filed on March 30, 2011.
(g)(ii) Amendment to Custody Agreement with The Bank of New York Mellon is incorporated by reference to Exhibit (g)(ii) of Post-Effective Amendment No. 95.
(h) Transfer Agency Agreement is incorporated by reference to Exhibit (h)(ii) of Post-Effective Amendment No. 82.
(i) Opinion and Consent of Registrant's counsel are incorporated by reference to Exhibit (10) of Post-Effective Amendment No. 15.
(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 115 to the Registration Statement on Form N-1A, filed on December 29, 2015.
(m)(i) Rule 12b-1 Distribution Plan, as amended is incorporated by reference to Exhibit (m)(i) of Post-Effective Amendment No. 111.
(m)(ii) Shareholder Services Plan is incorporated by reference to Exhibit (m)(ii) of Post-Effective Amendment No. 107.
(n) Rule 18f-3 Plan, amended as of March 1, 2016.*
(p)(i) Revised Code of Ethics of the Bank of New York Mellon and its affiliates and the Registrant is incorporated by reference to Exhibit (p)(i) of Post-Effective Amendment No. 106 to the Registration Statement on From N-1A ("Post-Effective Amendment No. 106"), filed on March 30, 2015.
(p)(ii) Revised Code of Ethics for Walthausen & Co, LLC, with respect to Dreyfus Select Manager Small Cap Value Fund, is incorporated by reference to Exhibit (p)(ii) of Post-Effective Amendment No. 95.
(p)(iii) Revised Code of Ethics for Riverbridge Partners, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (p)(iii) of Post-Effective Amendment No. 79.
(p)(iv) Revised Code of Ethics for Thompson, Siegel and Walmsley LLC with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (p)(iv) of Post-Effective Amendment No. 99 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 99"), filed on April 29, 2014.
(p)(v) Revised Code of Ethics for Lombardia Capital Partners, LLC with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(v) of Post-Effective Amendment No. 79.
(p)(vi) Revised Code of Ethics for Cupps Capital Management, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(vi) of Post-Effective Amendment No. 86 to the Registration Statement on Form N-1A, filed on March 27, 2013.
(p)(vii) Revised Code of Ethics for Geneva Capital Management, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (p)(vii) of Post-Effective Amendment No. 103 to the Registration Statement on Form N-1A, filed on December 23, 2014.
(p)(viii) Revised Code of Ethics for Iridian Asset Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(viii) of Post-Effective Amendment No. 93 to the Registration Statement on Form N-1A, filed on September 30, 2013.
(p)(ix) Revised Code of Ethics for Neuberger Berman Group LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(ix) of Post-Effective Amendment No. 78 to the Registration Statement on Form N-1A, filed on April 30, 2012.
(p)(x) Revised Code of Ethics for Nicholas Investment Partners, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(x) of Post-Effective Amendment No. 99.
(p)(xi) Code of Ethics for Kayne Anderson Rudnick Investment Management, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(xii) of Post-Effective Amendment No. 82.
(p)(xii) Code of Ethics for EAM Investors, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xiv) of Post-Effective Amendment No. 84.
(p)(xiii) Code of Ethics for Granite Investment Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xiv) of Post-Effective Amendment No. 95.
(p)(xiv) Code of Ethics for Rice Hall James & Associates, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xv) of Post-Effective Amendment No. 95.
(p)(xv) Code of Ethics for Channing Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (p)(xv) of Post-Effective Amendment No. 101.
(p)(xvi) Code of Ethics for the Nonmanagement Board members of the Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(xii) of Post-Effective Amendment No. 60.
(p)(xvii) Code of Ethics for Eastern Shore Capital Management, dated April 6, 2015, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(xvii) of Post-Effective Amendment No. 113.
Other Exhibits.
(a) Power of Attorney of certain Officers and Board members of the Registrant is incorporated by reference to Other Exhibits (a) of Post-Effective Amendment No. 106.
____________
*Filed herewith.
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 attorney's 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 Seventh of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of Registrant's Amended and Restated By-Laws, Section 2-418 of the Maryland General Corporation Law and Section 1.10 of the Amended and Restated Distribution Agreement.
Item 31(a). 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(b). Business and Other Connections of Sub-Investment Adviser.
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Walter Scott & Partners Limited, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Walter Scott & Partners Limited, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Walter Scott & Partners Limited (SEC File No. 801-19420).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Walthausen & Co., LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Walthausen & Co., LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Walthausen & Co., LLC (SEC File No. 801-68321).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Thompson, Siegel and Walmsley LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Thompson, Siegel and Walmsley LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Thompson, Siegel and Walmsley LLC (SEC File No. 801-6273).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Neuberger Berman Management LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Neuberger Berman Management LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Neuberger Berman Management LLC (SEC File No. 801-3908).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Riverbridge Partners, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Riverbridge Partners, LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Riverbridge Partners, LLC (SEC File No. 801-57432).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Geneva Capital Management LLC, the sub-investment adviser of the
registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Geneva Capital Management LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Geneva Capital Management LLC (SEC File No. 801-28444).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Cupps Management LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Cupps Management LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Cupps Management LLC (SEC File No. 801-60017).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Lombardia Capital Partners, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Lombardia Capital Partners, LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Lombardia Capital Partners, LLC (SEC File No. 801-35519).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Nicholas Investment Partners, L.P., the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Nicholas Investment Partners, L.P., or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Nicholas Investment Partners, L.P. (SEC File No. 801-66532).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Iridian Asset Management LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Iridian Asset Management LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Iridian Asset Management LLC (SEC File No. 801-50661).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Kayne Anderson Rudnick Investment Management, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Kayne Anderson Rudnick Investment Management, LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Kayne Anderson Rudnick Investment Management, LLC (SEC File No. 801-46991).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of EAM Investors, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by EAM Investors, LLC, or those of its officers and
directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by EAM Investors, LLC (SEC File No. 801-79753).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Rice Hall James & Associates, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Rice Hall James & Associates, LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Rice Hall James & Associates, LLC (SEC File No. 801-61905).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Granite Investments Partners, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Granite Investments Partners, LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Granite Investments Partners, LLC (SEC File No. 801-70383).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Channing Capital Management LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Channing Capital Management LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Channing Capital Management LLC (SEC File No. 801-62371).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of The Boston Company Asset Management, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by The Boston Company Asset Management, LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by The Boston Company Asset Management, LLC (SEC File No. 801-6829).
Registrant is fulfilling the requirement of the Item 31(b) to provide a list of the officers and directors of Eastern Shore Capital Management, LLC, the sub-investment adviser of the registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged by Eastern Shore Capital Management, LLC, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the investment Advisers Act of 1940 by Eastern Shore Capital Management, LLC (SEC File No. 801-32888).
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 | |
Joseph W. Connolly |
The Dreyfus Family of Funds++ |
Chief Compliance Officer |
10/04 - Present |
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 | ||
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
Kim Mustin |
MBSC Securities Corporation++ |
Chief Executive Officer |
3/15 - Present |
MBSC Securities Corporation++ |
Director |
10/14 - Present | |
MBSC Securities Corporation++ |
Executive Vice President |
10/14 - 3/15 | |
BNY Mellon Investments CTA, LLC* |
Manager |
3/15 - Present | |
BNY Mellon Investments CTA, LLC* |
President |
3/15 - Present | |
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 | |
Asset Recovery VII, LLC *** |
Assistant Treasurer |
9/13 – 3/15 | |
Asset Recovery IX, LLC *** |
Assistant Treasurer |
3/14 – 3/15 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
BNY Investment Strategy and Solutions Group, LLC * |
Assistant Treasurer – Tax |
6/15 - Present | |
BNY Mellon Community Development Corporation ^^^^^ |
Assistant Treasurer – Tax |
10/13 - Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
APT Holdings Corporation # |
Assistant Treasurer – Tax |
11/13 – Present | |
AURORA-IRE, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
CenterSquare Investment Management, Inc. +++ |
Assistant Treasurer – Tax |
12/13 – Present | |
Coates Holding LLC# |
Assistant Treasurer – Tax |
3/15 - Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Tracy A. Hopkins Vice President - Cash Strategies |
MBSC Securities Corporation++ |
Executive Vice President |
2/14 – 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 | |
BNY Mellon Trust of Delaware# |
Vice President - |
7/11 - Present | |
CenterSquare Investment Management Holdings, Inc. +++ |
Vice President - |
10/12 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 - Present | |
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 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 | |
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 Absolute Insight Funds, Inc. | |||
3. |
BNY Mellon Funds Trust | |||
4. |
CitizensSelect Funds | |||
5. |
Dreyfus Appreciation Fund, Inc. | |||
6. |
Dreyfus BASIC Money Market Fund, Inc. | |||
7. |
Dreyfus BNY Mellon Funds, Inc. | |||
8. |
Dreyfus Bond Funds, Inc. | |||
9. |
Dreyfus Cash Management | |||
10. |
Dreyfus Funds, Inc. | |||
11. |
The Dreyfus Fund Incorporated | |||
12. |
Dreyfus Government Cash Management Funds | |||
13. |
Dreyfus Growth and Income Fund, Inc. | |||
14. |
Dreyfus Index Funds, Inc. | |||
15. |
Dreyfus Institutional Cash Advantage Funds | |||
16. |
Dreyfus Institutional Preferred Money Market Funds |
17. |
Dreyfus Institutional Reserves Funds |
18. |
Dreyfus Intermediate Municipal Bond Fund, Inc. |
19. |
Dreyfus International Funds, Inc. |
20. |
Dreyfus Investment Funds |
21. |
Dreyfus Investment Grade Funds, Inc. |
22. |
Dreyfus Investment Portfolios |
23. |
The Dreyfus/Laurel Funds, Inc. |
24. |
The Dreyfus/Laurel Funds Trust |
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 New Jersey Municipal Bond Fund, Inc. |
33. |
Dreyfus New York AMT-Free Municipal Bond Fund |
34. |
Dreyfus New York Municipal Cash Management |
35. |
Dreyfus New York Tax Exempt Bond Fund, Inc. |
36. |
Dreyfus Opportunity Funds |
37. |
Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
38. |
Dreyfus Premier GNMA Fund, Inc. |
39. |
Dreyfus Premier Investment Funds, Inc. |
40. |
Dreyfus Premier Short-Intermediate Municipal Bond Fund |
41. |
Dreyfus Premier Worldwide Growth Fund, Inc. |
42. |
Dreyfus Research Growth Fund, Inc. |
43. |
Dreyfus State Municipal Bond Funds |
44. |
Dreyfus Stock Funds |
45. |
Dreyfus Short Duration Bond Fund |
46. |
The Dreyfus Socially Responsible Growth Fund, Inc. |
47. |
Dreyfus Stock Index Fund, Inc. |
48. |
Dreyfus Tax Exempt Cash Management Funds |
49. |
The Dreyfus Third Century Fund, Inc. |
50. |
Dreyfus Treasury & Agency Cash Management |
51. |
Dreyfus Treasury Prime Cash Management |
52. |
Dreyfus U.S. Treasury Intermediate Term Fund |
53. |
Dreyfus U.S. Treasury Long Term Fund |
54. |
Dreyfus Variable Investment Fund |
55. |
General California Municipal Money Market Fund |
56. |
General Government Securities Money Market Funds, Inc. |
57. |
General Money Market Fund, Inc. |
58. |
General Municipal Money Market Funds, Inc. |
59. |
General New Jersey Municipal Money Market Fund, Inc. |
60. |
General New York AMT-Free Municipal Money Market Fund |
61. |
Strategic Funds, Inc. |
(b) |
||
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
Kenneth Bradle** |
President and Director |
None |
J. Charles Cardona* |
Chairman of the Board and Co-Head |
Executive Vice President (Money Market Funds Only) |
Sue Ann Cormack† |
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 |
Kimberly M. Mustin††† |
Chief Executive Officer 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 |
Bradley J. Skapyak* |
Executive Vice President |
President |
Bill E. Sappington* |
Executive Vice President 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 |
(b) |
||
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
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 |
Charles Doumar††† |
Vice President – Tax |
None |
Timothy I. Barrett** |
Vice President |
None |
Jill Gill* |
Vice President |
None |
Kathleen Geis†† |
Vice President |
None |
Joseph R. Kane*** |
Vice President – Tax |
None |
Donna M. Impagliazzo** |
Vice President – Compliance |
None |
Carla R. Wanzer** |
Vice President |
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 |
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 BNY Mellon Center, 500 Grant Street, Pittsburgh, PA 15258. |
**** |
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 201 Columbine Street, Suite 200, Denver, CO 80206 |
†† |
Principal business address is 525 William Penn Place, Pittsburgh, PA 15259 |
††† |
Principal business address is 225 Liberty Street, New York, NY 10286 |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
225 Liberty 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 10th day of March, 2016.
Strategic Funds, Inc.
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) |
03/10/2016 | ||
Bradley J. Skapyak |
||||
/s/ James Windels* |
Treasurer (Principal Financial |
03/10/2016 | ||
James Windels |
||||
/s/ Joseph S. DiMartino* |
Chairman of the Board |
03/10/2016 | ||
Joseph S. DiMartino |
||||
/s/ Gordon J. Davis* |
Board Member |
03/10/2016 | ||
Gordon J. Davis |
||||
/s/ Joni Evans* |
Board Member |
03/10/2016 | ||
Joni Evans |
||||
/s/ Ehud Houminer* |
Board Member |
03/10/2016 | ||
Ehud Houminer |
||||
/s/ Hans C. Mautner* |
Board Member |
03/10/2016 | ||
Hans C. Mautner |
||||
/s/ Robin A. Melvin* |
Board Member |
03/10/2016 | ||
Robin A. Melvin |
||||
/s/ Burton N. Wallack* |
Board Member |
03/10/2016 | ||
Burton N. Wallack |
||||
/s/ Benaree P. Wiley* |
Board Member |
03/10/2016 | ||
Benaree P. Wiley |
*BY: |
/s/Sarah S. Kelleher |
Sarah S. Kelleher, |
INDEX OF EXHIBITS
Exhibits
(n) Rule 18f-3 Plan, amended as of March 1, 2016.
THE DREYFUS FAMILY OF FUNDS
(Dreyfus Family of Funds—Funds Included on Schedule A)
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 Board members who are not "interested persons" (as defined in the 1940 Act), of each of the investment companies, or series thereof, listed on Schedule A attached hereto, as such Schedule may be revised from time to time (each, a "Fund"), which desires to offer multiple classes in accordance with Rule 18f-3, has determined that the following plan is in the best interests of each class individually and each Fund as a whole:
1. Class Designation: Fund shares shall be divided, except as otherwise noted on Schedule A hereto, into Class A, Class C and Class I and, if indicated on Schedule A hereto, Class J, Class Y and Class Z.
2. Differences in Services: The services offered to shareholders of each Class, as described in the Fund's prospectus or statement of additional information, unless otherwise noted on Schedule A hereto, 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, and Dreyfus Express® services shall be available only to holders of Class Z shares. Dreyfus Automatic Asset Builder®, Dreyfus Payroll Savings Plan, Dreyfus Government Direct Deposit, Dreyfus Dividend Sweep, Dreyfus Auto-Exchange Privilege and Dreyfus Automatic Withdrawal Plan are not available for Class Y 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 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, including 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 B attached 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 attached 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 401(k), 403(b)(7), Keogh, pension, profit-sharing and other deferred compensation plans, whether established by corporations, partnerships, sole proprietorships, 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 traditional IRAs, Roth IRAs, Coverdell Education Savings Accounts, IRA "Rollover Accounts," Salary Reduction Simplified Employee Pension Plans or Savings Incentive Match Plans for Employees (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) with respect to Class I shares of those Funds indicated on Schedule A hereto, unaffiliated investment companies approved by the Fund's Distributor. Class I shares also may be offered to certain shareholders as set forth on Schedule A hereto.
-2-
Class Y shares shall be offered at net asset value only to (i) institutional investors, acting for themselves or on behalf of their clients, that have entered into an agreement with the Fund's Distributor and that make an initial investment in Class Y shares of the Fund of at least $1 million, (ii) Retirement Plans, or certain recordkeepers of Retirement Plan platforms that maintain a super-omnibus account with the Fund, provided that, in each case, they have entered into an agreement with the Fund's Distributor and make an initial investment in Class Y shares of the Fund of at least $1 million or have, in the opinion of The Dreyfus Corporation, adequate intent and availability of assets to reach a future level of investment of $1 million or more in Class Y shares of the Fund, (iii) certain institutional clients of an investment advisory subsidiary of The Bank of New York Mellon Corporation, provided that such clients are approved by The Dreyfus Corporation and make an initial investment in Class Y shares of the Fund of at least $1 million, and (iv) with respect to Class Y shares of those Funds indicated on Schedule A hereto, certain funds in the Dreyfus Family of Funds and series of BNY Mellon Funds Trust.
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 J shares shall be offered at net asset value only to certain shareholders as set forth on Schedule A hereto.
-3-
Class Z shares shall be offered at net asset value only to certain shareholders as set forth on Schedule A hereto. 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 a Distribution Plan and Shareholder Services Plan; (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 a 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, except for shares held through financial intermediary brokerage platforms, (b) shares of certain other Classes of such investment companies or shares of certain other investment companies as specified from time to time.
Amended as of: March 1, 2016
-4-
SCHEDULE A
Name of Fund |
Date Plan Adopted |
|
|
Advantage Funds, Inc. |
February 25, 1999 |
|
(Revised as of January 22, 2016) |
--Dreyfus Strategic Value Fund*††† |
|
--Dreyfus Structured Midcap Fund*††† |
|
--Dreyfus Technology Growth Fund† |
|
--Dynamic Total Return Fund*††† |
|
--Dreyfus Opportunistic Midcap Value Fund*††† |
|
--Dreyfus Global Real Return Fund*††† |
|
--Dreyfus Global Dynamic Bond Fund*††† |
|
--Dreyfus Total Emerging Markets Fund*††† |
|
--Dreyfus Opportunistic U.S. Stock Fund*††† |
|
|
|
BNY Mellon Absolute Insight Funds, Inc. |
November 3, 2015 |
|
|
--BNY Mellon Absolute Insight Multi-Strategy Fund*††† |
|
|
|
Dreyfus BNY Mellon Funds, Inc. |
December 17, 2013 |
|
(Revised as of June 30, 2015) |
--Dreyfus Alternative Diversifier Strategies Fund* |
|
--Dreyfus Emerging Markets Debt U.S. Dollar Fund*††† |
|
--Dreyfus Global Emerging Markets Fund*††† |
|
--Dreyfus Select Managers Long/Short Fund*††† |
|
--Dreyfus Yield Enhancement Strategy Fund* |
|
|
|
Dreyfus International Funds, Inc. |
September 9, 2002 |
|
(Revised as of August 22, 2014) |
--Dreyfus Emerging Markets Fund*†††### |
|
|
|
Dreyfus Investment Funds |
December 3, 2008 |
|
(Revised as of February 21, 2014) |
--Dreyfus/Newton International Equity Fund*††† |
|
--Dreyfus Diversified Emerging Markets Fund* |
|
--Dreyfus/The Boston Company Small Cap Growth Fund****††† |
|
--Dreyfus/The Boston Company Small/Mid Cap Growth Fund*††† |
|
--Dreyfus/The Boston Company Small Cap Value Fund***†† |
|
--Dreyfus Tax Sensitive Total Return Bond Fund*††† |
|
--Dreyfus/Standish Global Fixed Income Fund*††† |
|
|
|
Dreyfus Investment Grade Funds, Inc. |
October 18, 2007 |
|
(Revised as of July 1, 2013) |
--Dreyfus Intermediate Term Income Fund*††† |
|
|
|
Dreyfus Manager Funds I |
November 17, 2003 |
|
(Revised as of July 1, 2013) |
--Dreyfus Research Long/Short Equity Fund*††† |
|
|
|
|
|
A-1
SCHEDULE A (continued)
Name of Fund |
Date Plan Adopted |
|
|
Dreyfus Manager Funds II |
October 14, 2003 |
|
(Revised as of March 13, 2012) |
--Dreyfus Balanced Opportunity Fund**††# |
|
|
|
Dreyfus Opportunity Funds |
April 17, 2000 |
|
(Revised as of July 23, 2015) |
--Dreyfus Natural Resources Fund*††† |
|
--Dreyfus Strategic Beta Emerging Markets Equity Fund*††† |
|
--Dreyfus Strategic Beta Global Equity Fund*††† |
|
--Dreyfus Strategic Beta U.S. Equity Fund*††† |
|
|
|
Dreyfus Premier Investment Funds, Inc. |
April 24, 1995 |
|
(Revised as of September 18, 2015) |
--Dreyfus Diversified International Fund* |
|
--Dreyfus Global Real Estate Securities Fund*†††≠ |
|
--Dreyfus Large Cap Equity Fund*†††≠ |
|
--Dreyfus Large Cap Growth Fund*†††≠ |
|
--Dreyfus Global Infrastructure Fund*††† |
|
|
|
Dreyfus Premier Worldwide Growth Fund, Inc. |
April 12, 1995 |
|
(Revised as of July 1, 2013) |
--Dreyfus Worldwide Growth Fund*†††### |
|
|
|
Dreyfus Stock Funds |
January 27, 2003 |
|
(Revised as of May 4, 2015) |
--Dreyfus International Equity Fund*††† |
|
--Dreyfus Small Cap Equity Fund†† |
|
--Dreyfus International Small Cap Fund*††† |
|
|
|
Dreyfus Research Growth Fund, Inc.*†††## |
July 15, 2008 |
|
(Revised as of July 1, 2013) |
|
|
The Dreyfus/Laurel Funds, Inc. |
April 20, 2006 |
|
(Revised as of June 30, 2015) |
--Dreyfus Opportunistic Fixed Income Fund*††† |
|
--Dreyfus Floating Rate Income Fund*††† |
|
|
|
The Dreyfus/Laurel Funds Trust |
December 20, 2005 |
|
(Revised as of July 1, 2013) |
--Dreyfus Emerging Markets Debt Local Currency Fund*††† |
|
--Dreyfus Equity Income Fund*††† |
|
--Dreyfus Global Equity Income Fund*††† |
|
--Dreyfus International Bond Fund*††† |
|
A-2
SCHEDULE A (continued)
Name of Fund |
Date Plan Adopted |
|
|
Strategic Funds, Inc. |
September 17, 2002 |
|
(Revised as of July 27, 2015) |
--Dreyfus Active MidCap Fund*†††### |
|
--Global Stock Fund*††† |
|
--International Stock Fund*††† |
|
--Dreyfus U.S. Equity Fund*††† |
|
--Dreyfus Select Managers Small Cap Value Fund*††† |
|
--Dreyfus Select Managers Small Cap Growth Fund*††† |
|
--Dreyfus MLP Fund*††† |
|
________________________
* |
The Fund also offers Class Y shares. |
** |
The Fund also offers Class J shares only to shareholders who received Class J shares in exchange for shares of its predecessor fund as a result of the reorganization of such fund. |
*** |
The Fund offers Class A and Class I shares only. |
**** |
The Fund offers Class I and Class Y shares only. |
† |
The Fund offers Class I shares to certain funds in the Dreyfus Family of Funds and unaffiliated investment companies approved by the Fund's Distributor. |
†† |
The Fund offers Class I shares to unaffiliated investment companies approved by the Fund's Distributor. |
††† |
The Fund offers Class Y shares to certain funds in the Dreyfus Family of Funds and series of BNY Mellon Funds Trust and offers Class I shares to unaffiliated investment companies approved by the Fund's Distributor. |
# |
The Fund also offers Class Z shares only to shareholders who received Class Z shares in exchange for their shares of Dreyfus Balanced Fund, Inc. as a result of the reorganization of such fund and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with Dreyfus Balanced Fund, Inc. at the time of the reorganization of such fund may open new accounts in Class Z shares of the Fund on behalf of qualified Retirement Plans and wrap accounts or similar programs. |
## |
The Fund also offers Class Z shares only to shareholders of the Fund with Fund accounts that existed on September 30, 2008 (the date of the implementation of the Fund's multiple class distribution structure) and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with the Fund at that time may open new accounts in Class Z shares of the Fund on behalf of qualified Retirement Plans and wrap accounts or similar programs. |
### |
The Fund also offers Class I shares to shareholders who have held Class I shares of the Fund since June 5, 2003 and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. |
≠ |
The Fund also offers Class I shares to shareholders who received Class I shares in exchange for Institutional shares of a predecessor series of BNY Hamilton Funds or who received Class A shares in exchange for Class A shares of a predecessor series of BNY Hamilton Funds, which shares were subsequently converted to Class I shares, and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. |
A-3
SCHEDULE B
Front-End Sales Charge—Class A Shares—Effective December 1, 1996, 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 | ||
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 of Dreyfus International Bond Fund, Dreyfus Intermediate Term Income Fund, Dreyfus Emerging Markets Debt Local Currency Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Opportunistic Fixed Income Fund, Dreyfus Yield Enhancement Strategy Fund and Dreyfus Emerging Markets Debt U.S. Dollar Fund—The public offering price for Class A shares of Dreyfus International Bond Fund, Dreyfus Intermediate Term Income Fund, Dreyfus Emerging Markets Debt Local Currency Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Opportunistic Fixed Income Fund, Dreyfus Yield Enhancement Strategy Fund, and Dreyfus Emerging Markets Debt U.S. Dollar Fund, 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 | ||
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................................. |
2.50 |
|
2.60 |
$500,000 to less than $1,000,000.............................. |
2.00 |
|
2.00 |
$1,000,000 or more................................................... |
-0- |
|
-0- |
B-1
SCHEDULE B (continued)
Front-End Sales Charge—Class A Shares of Dreyfus Floating Rate Income Fund—The public offering price for Class A shares of Dreyfus Floating Rate Income 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 $100,000................................................... |
2.50 |
|
2.60 |
$100,000 to less than $250,000................................. |
2.00 |
|
2.10 |
$250,000 to less than $500,000................................. |
1.50 |
|
1.52 |
$500,000 to less than $1,000,000.............................. |
1.00 |
|
1.01 |
$1,000,000 or more................................................... |
-0- |
|
-0- |
Front-End Sales Charge—Class A Shares—Shareholders Beneficially Owning Class A Shares on November 30, 1996—For shareholders who beneficially owned Class A shares of a Fund on November 30, 1996, the public offering price for Class A shares of such Fund purchased directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, 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 | ||
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................................. |
2.50 |
|
2.60 |
$500,000 to less than $1,000,000.............................. |
2.00 |
|
2.00 |
$1,000,000 or more................................................... |
-0- |
|
-0- |
B-2
SCHEDULE B (continued)
Front-End Sales Charge—Class A Shares of Dreyfus Active MidCap Fund Only—For shareholders who beneficially owned Class A shares of Dreyfus Premier Aggressive Growth Fund on December 31, 1995* and who received Class A shares of Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund) as a result of the merger of such fund into Dreyfus Active MidCap Fund on March 28, 2003, the public offering price for Class A shares of Dreyfus Active MidCap 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 | ||
Amount of Transaction |
As a % of offering price per share |
|
As a % of net asset value per share |
Less than $100,000................................................... |
3.00 |
|
3.10 |
$100,000 to less than $250,000................................. |
2.75 |
|
2.80 |
$250,000 to less than $500,000................................. |
2.25 |
|
2.30 |
$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 a Fund in Exchange for Class T Shares of the Fund on February 4, 2009—For shareholders who received Class A shares of a Fund in exchange for Class T shares of the Fund on February 4, 2009, the public offering price for Class A shares of such Fund purchased directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, 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 | ||
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- |
__________________
* At a meeting held on March 7, 2003, shareholders of Dreyfus Premier Aggressive Growth Fund voted to merge such fund into Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund). In addition, at a meeting held on December 16, 1996, shareholders of Dreyfus Premier Strategic Growth Fund voted to merge such fund into Dreyfus Premier Aggressive Growth Fund. Shareholders of Dreyfus Premier Aggressive Growth Fund who received Class A shares of Dreyfus Active MidCap Fund and shareholders of Dreyfus Premier Strategic Growth Fund who received Class A shares of Dreyfus Premier Aggressive Growth Fund in the respective merger are deemed to have beneficially owned such shares as of the date they beneficially owned Class A shares of the merging fund for purposes of the front-end sales charge applicable to purchases of Class A shares of Dreyfus Active MidCap Fund by such former shareholders of Dreyfus Premier Aggressive Growth Fund.
B-3
SCHEDULE B (continued)
Contingent Deferred Sales Charge—Class A Shares—A CDSC of 1.00% shall be assessed, except as set forth below, at the time of redemption of Class A shares purchased without an initial sales charge as part of an investment of at least $1,000,000 and redeemed within one year of purchase. The terms contained in Schedule C 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, to the extent offered, shall apply to purchases of Class A shares subject to a CDSC.
Class A Shares of Dreyfus Technology Growth Fund, Dreyfus Strategic Value Fund, Dreyfus Emerging Markets Fund, Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund), Dreyfus Intermediate Term Income Fund and Dreyfus Opportunistic Midcap Value Fund Only—Shareholders beneficially owning Class A shares of Dreyfus Technology Growth Fund on April 15, 1999, Dreyfus Strategic Value Fund on May 31, 2001, Dreyfus Emerging Markets Fund on November 11, 2002, Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund) on November 25, 2002, Dreyfus Intermediate Term Income Fund on May 13, 2008 and Dreyfus Opportunistic Midcap Value Fund on May 29, 2008, may purchase Class A shares of such Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of the Fund without imposition of a CDSC.
Shareholders of Dreyfus Aggressive Growth Fund who received Class A shares of Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund) as a result of the merger of such fund into Dreyfus Active MidCap Fund on March 28, 2003 may purchase Class A shares of Dreyfus Active MidCap Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Active MidCap Fund without imposition of a CDSC for as long as the shareholder's account is open.
Shareholders of Dreyfus Large Company Value Fund who received Class A shares of Dreyfus Strategic Value Fund as a result of the merger of such fund into Dreyfus Strategic Value Fund on April 18, 2005 may purchase Class A shares of Dreyfus Strategic Value Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Strategic Value Fund without imposition of a CDSC for as long as the shareholder's account is open.
Shareholders beneficially owning Class A shares of Dreyfus Premier Core Bond Fund on February 29, 2000 who received Class A shares of Dreyfus Intermediate Term Income Fund as a result of the merger of such fund into Dreyfus Intermediate Term Income Fund on May 15, 2008 may purchase Class A shares of Dreyfus Intermediate Term Income Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Intermediate Term Income Fund without imposition of a CDSC for as long as the shareholder's account is open.
Shareholders beneficially owning Class A shares of Dreyfus International Value Fund on November 14, 2002, who received Class A shares of Dreyfus International Equity Fund as a result of the merger of such fund into Dreyfus International Equity Fund on January 22, 2016 may purchase Class A shares of Dreyfus International Equity Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus International Equity Fund without imposition of a CDSC for as long as the shareholder's account is open.
B-4
SCHEDULE B (continued)
Shareholders of Dreyfus A Bonds Plus, Inc. who received Class A shares of Dreyfus Intermediate Term Income Fund as a result of the merger of such fund into Dreyfus Intermediate Term Income Fund on May 14, 2008 may purchase Class A shares of Dreyfus Intermediate Term Income Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Intermediate Term Income Fund without imposition of a CDSC for as long as the shareholder's account is open.
Shareholders of Dreyfus Global Growth Fund who received Class A shares of Dreyfus Worldwide Growth Fund as a result of the merger of such fund into Dreyfus Worldwide Growth Fund on August 28, 2002 may purchase Class A shares of Dreyfus Worldwide Growth Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Worldwide Growth Fund without imposition of a CDSC for as long as the shareholder's account is open.
Class A shares of Dreyfus Active MidCap Fund, Dreyfus Balanced Opportunity Fund, Dreyfus Diversified International Fund, Dreyfus Intermediate Term Income Fund and Dreyfus Strategic Value Fund may be purchased directly through the Fund's Distributor at net asset value without a sales charge by participants in a health savings account program, provided that the health savings account program has maintained a Fund account with the Distributor since on or before January 31, 2016.
Class A shares of a Fund may be purchased at net asset value without a front-end sales charge by the following individuals and entities:
• Full-time or part-time employees, and their family members, of The Dreyfus Corporation or any of its affiliates.
• Board members of The Dreyfus Corporation and Board members of the Dreyfus Family of Funds.
• Full-time employees, and their family members, of financial institutions that have entered into selling agreements with the Fund's Distributor.
• "Wrap" accounts for the benefit of clients of financial institutions, provided they have entered into an agreement with the Fund's Distributor specifying operating policies and standards.
• Qualified separate accounts maintained by an insurance company; any state, county or city or instrumentality thereof; and charitable organizations investing $50,000 or more in Fund shares and charitable remainder trusts, provided that such Class A shares are purchased directly through the Fund's Distributor for Fund accounts maintained with the Distributor.
• Investors who purchase Class A shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor, and either (i) have, or whose spouse or minor children have, beneficially owned shares and continuously maintained an open account with the Distributor in a Dreyfus-managed fund since on or before February 28, 2006, or (ii) such purchase is for a self-directed investment account that may or may not be subject to a transaction fee.
• Investors who participate in a self-directed investment brokerage account program offered by a financial intermediary that has entered into an agreement with the Fund's Distributor. Financial intermediaries offering self-directed investment brokerage accounts may or may not charge their customers a transaction fee.
B-5
SCHEDULE B (continued)
• Investors with the cash proceeds from the investor's exercise of stock options and/or disposition of stock related to employment-based stock plans, whether invested in the Fund directly or indirectly through an exchange from a Dreyfus money market fund, provided that the proceeds are processed through an entity that has entered into an agreement with the Fund's Distributor specifically relating to administering employment-based stock plans. Upon establishing the account in the Fund or the Dreyfus money market fund, the investor and the investor's spouse and minor children shall become eligible to purchase Class A shares of the Fund at net asset value, whether or not the investor uses the proceeds of the employment-based stock plan to establish the account.
• Members of qualified affinity groups who purchase Class A shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor, provided that the qualified affinity group has entered into an affinity agreement with the Distributor.
• Retirement Plans, provided that such Class A shares are purchased through a financial intermediary that performs recordkeeping or other administrative services for the Retirement Plan and has entered into an agreement with the Fund's Distributor relating to such services, or are purchased directly through the Fund's Distributor.
• Shareholders in Dreyfus-sponsored IRA rollover accounts funded with the distribution proceeds from Retirement Plans, provided that the rollover (except in the case of a rollover from a Dreyfus-sponsored Retirement Plan) is processed through an entity that has entered into an agreement with the Fund's Distributor specifically relating to processing rollovers. Upon establishing the Dreyfus-sponsored IRA rollover account in the Fund, the shareholder shall become eligible to make subsequent purchases of Class A shares of the Fund at net asset value in such account.
B-6
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. 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 Retirement Plans, provided that the shares being redeemed were purchased through a financial intermediary that performs recordkeeping or other administrative services for the Retirement Plan and has entered into an agreement with the Fund's Distributor relating to such services, or were purchased directly through the Fund's Distributor, (c) redemptions as a result of a combination of any investment company with the Fund by merger, acquisition of assets or otherwise, (d) redemptions due to receiving applicable required minimum distributions from IRA accounts (other than Roth IRAs or Coverdell Education Savings Accounts) upon attaining age 70-1/2, and (e) redemptions pursuant to any systematic withdrawal plan as described in the Fund's prospectus. The CDSC also shall be waived in connection with redemptions by Retirement Plans of Fund shares purchased on or before January 31, 2016. If a CDSC waiver is discontinued, 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.
C-1