0000846421-12-000007.txt : 20120316 0000846421-12-000007.hdr.sgml : 20120316 20120316163808 ACCESSION NUMBER: 0000846421-12-000007 CONFORMED SUBMISSION TYPE: POS EX PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20120316 DATE AS OF CHANGE: 20120316 EFFECTIVENESS DATE: 20120316 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Strategic Funds, Inc. CENTRAL INDEX KEY: 0000737520 IRS NUMBER: 133272460 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: POS EX SEC ACT: 1933 Act SEC FILE NUMBER: 002-88816 FILM NUMBER: 12698121 BUSINESS ADDRESS: STREET 1: THE DREYFUS CORPORATION STREET 2: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2129226817 MAIL ADDRESS: STREET 1: C/O DREYFUS CORP STREET 2: 200 PARK AVENUE, 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS PREMIER NEW LEADERS FUND INC DATE OF NAME CHANGE: 20021213 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS NEW LEADERS FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS NEW EQUITY FUND INC DATE OF NAME CHANGE: 19850904 POS EX 1 lp1.htm POST-EFFECTIVE AMENDMENT NO. 76 lp1.htm - Generated by SEC Publisher for SEC Filing

 

File No. 2-88816 

811-3940

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. 76                                 [X]

 

                                      and/or

 

REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940      [X]

 

     Amendment No. 76                                                [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

 

Michael A. Rosenberg, Esq.

200 Park Avenue

New York, New York 10166

(Name and Address of Agent for Service)

 

COPY TO:

 

David Stephens, Esq.

Stroock & Stroock & Lavan LLP

180 Maine Lane

New York, NY 10038-4982

 


 

 

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 to the Registration Statement.

 

This Post-Effective Amendment is being filed solely to file revised Rule 18f-3 Plans as Exhibit (n) to Item 28 to this Registration Statement on Form N-1A.

 

Part A and Part B of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A filed on December 28, 2011 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, are incorporated by reference herein.

 

 

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, 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, filed on May 16, 2006.

(a)(iv) Articles Supplementary are incorporated by reference to Exhibit (a)(iv) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on May 16, 2006.

(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, 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, 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, filed on December 28, 2011.

 (b) Registrant's By-Laws, as amended, is incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A, filed on December 28, 2011.

 (d)(i) Management Agreement, as revised, is incorporated by reference to Exhibit (d)(i) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

 

(d)(ii) Sub-Investment Advisory Agreement with Walter Scott & Partners Limited, as amended, 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 Riverbridge Partners, LLC. is incorporated by reference to Exhibit (d)(iii) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.

   

 (d)(iv) Sub-Investment Advisory Agreement with Walthausen & Co., LLC. is incorporated by reference to Exhibit (d)(iv) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.

   

 

 

 (d)(v) Sub-Investment Advisory Agreement with Thompson, Siegel and Walmsley LLC is incorporated by reference to Exhibit (d)(v) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.

   

(d)(vi) Sub-Investment Advisory Agreement with WestLB Mellon Asset Management (USA) LLC. is incorporated by reference to Exhibit (d)(ii) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on May 16, 2006.

   

(d)(vii) Sub-Investment Advisory Agreement with Mellon Equity Associates, LLP. is incorporated by reference to Exhibit (d)(iii) of Post-Effective Amendment No. 37 to the Registration Statement on Form N-1A, filed on November 22, 2006.

 

 (d)(viii) Sub-Investment Advisory Agreement with Neuberger Berman Management LLC is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on March 30, 2010.

 

(d)(ix) Sub-Investment Advisory Agreement with Cupps Capital Management, LLC, with respect to Dreyfus Select Managers Large Cap Growth Fund is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

    

(d)(x) Sub-Investment Advisory Agreement with Goldman Sachs Asset Management, L.P., with respect to Dreyfus Select Managers Large Cap Growth Fund is incorporated by reference to Exhibit (d)(x) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

    

(d)(xi) Sub-Investment Advisory Agreement with Mar Vista Investment Partners, LLC, with respect to Dreyfus Select Managers Large Cap Growth Fund is incorporated by reference to Exhibit (d)(xi) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

    

(d)(xii) 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)(xii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

    

(d)(xiii) Sub-Investment Advisory Agreement with Geneva Capital Management Ltd, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xiii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

    

     (d)(xiv) 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)(xiv) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

 

(d)(xv) Portfolio Allocation Management Agreement, as revised, is incorporated by reference to Exhibit (d)(xv) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

 (e)(i)  Amended and Restated Distribution Agreement dated October 1, 2010 is incorporated by reference to Exhibit (e)(i) of Post-Effective Amendment No. 67 to the Registration Statement on Form N-1A, filed on March 30, 2011.

 

 

(e)(ii)  Distribution and Shareholders Services Plan Agreements, as amended, are incorporated by reference to Exhibit (e)(ii) of Post-Effective Amendment No. 24 to the Registration Statement on Form N-1A, filed on September 27, 2002.

(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)(iii) of Post-Effective Amendment No. 67 to the Registration Statement on Form N-1A, filed on March 30, 2011.

(g)(ii) Sub-Custodian Agreement is incorporated by reference to Exhibit (8)(b) of Post-Effective Amendment No. 15 to the Registration Statement on Form N-1A, filed on April 25, 1996.

(g)(iii) Foreign Custody Manager Agreement with The Bank of New York is incorporated by reference to Exhibit (g)(iii) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on May 16, 2006.

 (h)(i) Shareholder Services Plan, as revised, is incorporated by reference to Exhibit (h)(i) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

 (h) (ii) Amended and Restated Transfer Agency Agreement is incorporated by reference to Exhibit (h)(ii) of Post-Effective Amendment No. 42 to the Registration Statement on Form N-1A, filed on February 28, 2008.

 (h) (iii) Amendment to the Amended and Restated Transfer Agency Agreement is incorporated by reference to Exhibit (h)(iii) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A, filed on December 28, 2011.

 (i) Opinion and Consent of Registrant's counsel are incorporated by reference to Exhibit (10) of Post-Effective Amendment No. 15 to the Registration Statement on Form N-1A, filed on April 25, 1996.

(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A, filed on December 28, 2011 .

(m) Rule 12b-1 Distribution Plan, as revised, is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

(n) Rule 18f-3 Plan is filed herewith.

 

(p)(i)  Code of Ethics of the Bank of New York Mellon, is incorporated by reference to Exhibit (p)(i) of Post-Effective Amendment No. 42 to the Registration Statement on Form N-1A, filed on February 28, 2008.

 (p)(ii) Code of Ethics for Walthausen & Co. LLC is incorporated by reference to Exhibit (p)(ii) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.

 

 (p)(iii) Code of Ethics for Riverbridge Partners, LLC is incorporated by reference to Exhibit (p)(iii) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.

 

 

 (p)(iv) Code of Ethics for Thompson, Siegel and Walmsley LLC is incorporated by reference to Exhibit (p)(iv) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.

  

 (p)(v) Code of Ethics for Cupps Capital Management, LLC is incorporated by reference to Exhibit (p)(v) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

 (p)(vi) Code of Ethics for Goldman Sachs Asset Management, L.P. is incorporated by reference to Exhibit (p)(vi) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

 (p)(vii) Code of Ethics for Mar Vista Investment Partners, LLC is incorporated by reference to Exhibit (p)(vii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

 (p)(viii) Code of Ethics for Geneva Capital Management Ltd. is incorporated by reference to Exhibit (p)(viii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.

 

(p)(ix) Code of Ethics for the Nonmanagement Board members of the Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(iv) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on March 30, 2010.

Item 28. Exhibits. - List (continued)

_______ _____________________________________________________

  Other Exhibits

  ______________

a) Power of Attorney of certain officers of the Registrant is incorporated by reference to Other Exhibits (a) of Post-Effective Amendment No. 58 to the Registration Statement on Form N-1A, filed on January 29, 2010.

b) Certificate of Assistant Secretary is incorporated by reference to Other Exhibits (b) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on March 30, 2010.

Item 29. Persons Controlled by or under Common Control with Registrant.

_______ ______________________________________________________________

  Not Applicable

Item 30.  Indemnification

_______  _______________

  The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including attorneys' fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, as amended, that no board member or officer of a fund may be protected against liability for willful misfeasance, bad faith, gross

 

 

negligence or reckless disregard for the duties of his or her office. Reference is hereby made to the following: Article SEVENTH of the Registrant's Articles of Incorporation, Article VIII of the Registrant's By-Laws, as amended, Section 2-418 of the Maryland General Corporation Law, and Section 1.10 of the Distribution Agreement.

Item 31.  Business and Other Connections of Investment Adviser.

_______  ____________________________________________________

The Dreyfus Corporation ("Dreyfus") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Dreyfus and of other investment companies for which Dreyfus acts as investment adviser, sub-investment adviser or administrator.

Item 31. Business and Other Connections of Investment Adviser (continued)
  Officers and Directors of Investment Adviser

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

       

Jonathan Baum
Chief Executive Officer and Chair of the Board

MBSC Securities Corporation++

Chief Executive Officer
Chairman of the Board

3/08 - Present
3/08 - Present

       

J. Charles Cardona
President and Director

MBSC Securities Corporation++

Director
Executive Vice President

6/07 – Present
6/07 - Present

       
 

Universal Liquidity Funds plc+

Director

4/06 - Present

       

Diane P. Durnin
Vice Chair and Director

None

   
       

Robert G. Capone
Director

MBSC Securities Corporation++

Executive Vice President Director

4/07 - Present
4/07 - Present

 

The Bank of New York Mellon*****

Vice President

2/06 - Present

       

Mitchell E. Harris
Director

Standish Mellon Asset Management Company LLC
Mellon Financial Center
201 Washington Street
Boston, MA 02108-4408

Chairman
Chief Executive Officer
Member, Board of Managers

2/05 – Present
8/04 – Present
10/04 - Present

       

 

 

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

 

Alcentra NY, LLC++

Manager

1/08 - Present

       
 

Alcentra US, Inc. ++

Director

1/08 - Present

       
 

Alcentra, Inc. ++

Director

1/08 - Present

       
 

BNY Alcentra Group Holdings, Inc. ++

Director

10/07 - Present

       
 

Pareto New York LLC++

Manager

11/07 - Present

       
 

Standish Ventures LLC
Mellon Financial Center
201 Washington Street
Boston, MA 02108-4408

President
Manager

12/05 - Present
12/05 - Present

       
 

Palomar Management
London, England

Director

12/97 - Present

       
 

Palomar Management Holdings Limited
London, England

Director

12/97 - Present

       
 

Pareto Investment Management Limited
London, England

Director

9/04 - Present

       

Christopher E. Sheldon
Chief Investment Officer, Executive Vice President and Director

Mellon Global Investing Corp. +

Senior Vice President

5/08 - Present

 

BNY Mellon, National Association+

Managing Director

7/09 – Present

 

The Bank of New York Mellon*****

Managing Director

7/09 - Present

       

Bradley J. Skapyak
Chief Operating Officer and Director

MBSC Securities Corporation++

Executive Vice President

6/07 - Present

 

The Bank of New York Mellon****

Senior Vice President

4/07 - Present

       
 

The Dreyfus Family of Funds++

President

1/10 - Present

       
 

Dreyfus Transfer, Inc. ++

Chairman

Director

Senior Vice President

5/11 - Present

5/10 - Present
5/10 - 5/11

       

 

 

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

Dwight Jacobsen
Executive Vice President and Director

MBSC Securities Corporation++

Executive Vice President
Director

6/08 – Present
6/08 – Present

       

Patrice M. Kozlowski
Senior Vice President – Corporate Communications

None

   
       

Gary Pierce
Controller

The Bank of New York Mellon *****

Vice President

7/08 - Present

       
 

BNY Mellon, National Association +

Vice President

7/08 - Present

       
 

Laurel Capital Advisors, LLP+

Chief Financial Officer

5/07 - Present

       
 

MBSC Securities Corporation++

Director
Chief Financial Officer

6/07 – Present
6/07 - Present

       
 

Founders Asset Management, LLC****

Assistant Treasurer

7/06 - 12/09

 

Dreyfus Consumer Credit
Corporation ++

Treasurer

7/05 - 8/10

       
 

Dreyfus Transfer, Inc. ++

Chief Financial Officer
Treasurer

7/05 - Present
5/11- Present

       
 

Dreyfus Service
Organization, Inc.++

Treasurer

7/05 – Present

       
 

Seven Six Seven Agency, Inc. ++

Treasurer

4/99 - Present

       

Joseph W. Connolly
Chief Compliance Officer

The Dreyfus Family of Funds++

Chief Compliance Officer

10/04 - Present

 

Laurel Capital Advisors, LLP+

Chief Compliance Officer

4/05 - Present

 

BNY Mellon Funds Trust++

Chief Compliance Officer

10/04 - Present

 

MBSC Securities Corporation++

Chief Compliance Officer

6/07 – Present

       

 

 

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

Christopher O'Connor
Chief Administrative Officer

MBSC Securities Corporation++

Executive Vice President
Senior Vice President

12/11 – Present
5/06 – 12/11

       

Gary E. Abbs
Vice President – Tax

The Bank of New York Mellon+

First Vice President and Manager of Tax Compliance

12/96 - Present

 

Dreyfus Service Organization++

Vice President – Tax

1/09 - Present

       
 

Dreyfus Consumer Credit Corporation++

Chairman
President

1/09 – 8/10
1/09 – 8/10

       
 

MBSC Securities Corporation++

Vice President – Tax

1/09 - Present

       

Jill Gill
Vice President –
Human Resources

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

       

Joanne S. Huber
Vice President – Tax

The Bank of New York Mellon+

State & Local Compliance Manager

7/07 - Present

       
 

Dreyfus Service Organization++

Vice President – Tax

1/09 – Present

       
 

Dreyfus Consumer Credit Corporation++

Vice President – Tax

1/09 – 8/10

       
 

MBSC Securities Corporation++

Vice President – Tax

1/09 – Present

       

Anthony Mayo
Vice President – Information Systems

None

   
       

John E. Lane
Vice President

A P Colorado, Inc. +

Vice President – Real Estate and Leases

8/07 - Present

 

A P East, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

 

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

 

A P Management, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

A P Properties, Inc. +

Vice President – Real Estate and Leases

8/07 - Present

 

Allomon Corporation+

Vice President– Real Estate and Leases

8/07 - Present

 

AP Residential Realty, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

AP Wheels, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

BNY Mellon, National Association +

Vice President – Real Estate and Leases

7/08 - Present

 

Citmelex Corporation+

Vice President– Real Estate and Leases

8/07 - Present

 

Eagle Investment Systems LLC
65 LaSalle Road
West Hartford, CT 06107

Vice President– Real Estate and Leases

8/07 - Present

 

East Properties Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

FSFC, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

Holiday Properties, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

MBC Investments Corporation+

Vice President– Real Estate and Leases

8/07 - Present

 

MBSC Securities Corporation++

Vice President– Real Estate and Leases

8/07 - Present

 

MELDEL Leasing Corporation Number 2, Inc. +

Vice President– Real Estate and Leases

7/07 - Present

 

Mellon Bank Community Development Corporation+

Vice President– Real Estate and Leases

11/07 - Present

 

Mellon Capital Management Corporation+

Vice President– Real Estate and Leases

8/07 - Present

 

Mellon Financial Services Corporation #1+

Vice President– Real Estate and Leases

8/07 - Present

 

Mellon Financial Services Corporation #4+

Vice President – Real Estate and Leases

7/07 - Present

 

Mellon Funding Corporation+

Vice President– Real Estate and Leases

12/07 - Present

 

 

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

 

Mellon Holdings, LLC+

Vice President– Real Estate and Leases

12/07 - Present

 

Mellon International Leasing Company+

Vice President– Real Estate and Leases

7/07 - Present

 

Mellon Leasing Corporation+

Vice President– Real Estate and Leases

7/07 - Present

 

Mellon Ventures, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

Melnamor Corporation+

Vice President– Real Estate and Leases

8/07 - Present

 

MFS Leasing Corp. +

Vice President– Real Estate and Leases

7/07 - Present

 

MMIP, LLC+

Vice President– Real Estate and Leases

8/07 - Present

 

Pareto New York LLC++

Vice President– Real Estate and Leases

10/07 - Present

 

Pontus, Inc. +

Vice President– Real Estate and Leases

7/07 - Present

 

Promenade, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

RECR, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

Technology Services Group, Inc.*****

Senior Vice President

6/06 - Present

       
 

Tennesee Processing Center LLC*****

Managing Director

5/08 - Present

       
 

Texas AP, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

 

The Bank of New York Mellon*****

Vice President – Real Estate and Leases

7/08 - Present

 

The Bank of New York Mellon Corporation*****

Executive Vice President

8/07 - Present

       
 

Trilem, Inc. +

Vice President– Real Estate and Leases

8/07 - Present

       

Kathleen Geis
Vice President

BNY Mellon, National Association+

Managing Director

7/09 - Present

 

 

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

 

BNY Mellon Distributors Holdings, Inc. +

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Investment
Servicing (US) Inc. +

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Performance & Risk Analytics, LLC+

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Trust Company of Illinois+

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Trust of Delaware+

Vice President -
Real Estate

7/11 - Present

 

Eagle Investment Systems LLC+

Vice President -
Real Estate

7/11 - Present

 

Ivy Asset Management LLC+

Vice President -
Real Estate

7/11 - Present

 

Mellon Capital Management Corporation***

Vice President -
Real Estate

7/11 - Present

 

Mellon Financial Services

Corporation #1+

Vice President -
Real Estate

7/11 - Present

 

Mellon Holdings LLC+

Vice President -
Real Estate

7/11 - Present

 

Mellon Investor Services LLC+

Vice President -
Real Estate

7/11 - Present

 

Pareto New York LLC*****

Vice President -
Real Estate

7/11 - Present

 

SourceNet Solutions, Inc. +

Vice President -
Real Estate

7/11 - Present

 

Technology Services Group, Inc. +

Vice President -
Real Estate

7/11 - Present

 

Tennessee Processing Center LLC+

Vice President -
Real Estate

7/11 - Present

 

The Bank of New York Mellon Trust Company, National Association+

Vice President -
Real Estate

7/11 - Present

 

Alcentra US, Inc. ++

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Capital Markets LLC++

Vice President -
Real Estate

7/11 - Present

 

Pershing LLC*****

Vice President -
Real Estate

7/11 - Present

 

The Bank of New York Mellon+

Managing Director

7/09 - Present

 

 

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

 

MBNA Institutional PA Services, LLC+

Managing Director
Senior Vice President

7/09 - Present
10/06 - 7/09

       

Dean M. Steigauf
Vice President

BNY Mellon, National Association+

Vice President

7/09 - Present

 

BNY Mellon Distributors Holdings, Inc. +

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Investment
Servicing (US) Inc. +

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Performance & Risk Analytics, LLC+

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Trust Company of Illinois+

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Trust of Delaware+

Vice President -
Real Estate

7/11 - Present

 

Eagle Investment Systems LLC+

Vice President -
Real Estate

7/11 - Present

 

Ivy Asset Management LLC+

Vice President -
Real Estate

7/11 - Present

 

Mellon Capital Management Corporation***

Vice President -
Real Estate

7/11 - Present

 

Mellon Financial Services

Corporation #1+

Vice President -
Real Estate

7/11 - Present

 

Mellon Holdings LLC+

Vice President -
Real Estate

7/11 - Present

 

Mellon Investor Services LLC+

Vice President -
Real Estate

7/11 - Present

 

Pareto New York LLC*****

Vice President -
Real Estate

7/11 - Present

 

SourceNet Solutions, Inc. +

Vice President -
Real Estate

7/11 - Present

 

Technology Services Group, Inc. +

Vice President -
Real Estate

7/11 - Present

 

Tennessee Processing Center LLC+

Vice President -
Real Estate

7/11 - Present

 

The Bank of New York Mellon Trust Company, National Association+

Vice President -
Real Estate

7/11 - Present

 

 

       

Name and Position
With Dreyfus  

Other Businesses

Position Held

Dates

 

Alcentra US, Inc. ++

Vice President -
Real Estate

7/11 - Present

 

BNY Mellon Capital Markets LLC++

Vice President -
Real Estate

7/11 - Present

 

Pershing LLC*****

Vice President -
Real Estate

7/11 - Present

 

The Bank of New York Mellon+

Vice President

12/02 - Present

       

James Bitetto
Secretary

The Dreyfus Family of Funds++

Vice President and Assistant Secretary

8/05 - Present

       
 

MBSC Securities Corporation++

Assistant Secretary

6/07 - Present

       
 

Dreyfus Service Organization, Inc.++

Secretary

8/05 - Present

       
 

The Dreyfus Consumer Credit Corporation++

Vice President

2/02 - 8/10

       
 

Founders Asset Management LLC****

Assistant Secretary

3/09 - 12/09

   

*

The address of the business so indicated is One Boston Place, Boston, Massachusetts, 02108.

**

The address of the business so indicated is One Bush Street, Suite 450, San Francisco, California 94104.

***

The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, California 94104.

****

The address of the business so indicated is 210 University Blvd., Suite 800, Denver, Colorado 80206.

*****

The address of the business so indicated is One Wall Street, New York, New York 10286.

+

The address of the business so indicated is One Mellon Bank Center, Pittsburgh, Pennsylvania 15258.

++

The address of the business so indicated is 200 Park Avenue, New York, New York 10166.

+++

The address of the business so indicated is 144 Glenn Curtiss Boulevard, Uniondale, New York 11556-0144.

++++

The address of the business so indicated is White Clay Center, Route 273, Newark, Delaware 19711.

+++++

The address of the business so indicated is 4005 Kennett Pike, Greenville, DE 19804.

 

 

     

Item 32. Principal Underwriters

 (a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor:

1. 

Advantage Funds, Inc.

 

2. 

BNY Mellon Funds Trust

 

3. 

CitizensSelect Funds

 

4. 

Dreyfus Appreciation Fund, Inc.

 

5. 

Dreyfus BASIC Money Market Fund, Inc.

 

6. 

Dreyfus BASIC U.S. Government Money Market Fund

 

7. 

Dreyfus BASIC U.S. Mortgage Securities Fund

 

8. 

Dreyfus Bond Funds, Inc.

 

9. 

Dreyfus Cash Management

 

10. 

Dreyfus Connecticut Municipal Money Market Fund, Inc.

 

11. 

Dreyfus Dynamic Alternatives Fund, Inc.

 

12. 

Dreyfus Funds, Inc.

 

13. 

The Dreyfus Fund Incorporated

 

14. 

Dreyfus Government Cash Management Funds

 

15. 

Dreyfus Growth and Income Fund, Inc.

 

16. 

Dreyfus Index Funds, Inc.

 

17. 

Dreyfus Institutional Cash Advantage Funds

 

18. 

Dreyfus Institutional Preferred Money Market Funds

 

19. 

Dreyfus Institutional Reserves Funds

 

20. 

Dreyfus Intermediate Municipal Bond Fund, Inc.

 

21. 

Dreyfus International Funds, Inc.

 

22. 

Dreyfus Investment Funds

 

23. 

Dreyfus Investment Grade Funds, Inc.

 

24. 

Dreyfus Investment Portfolios

 

25. 

The Dreyfus/Laurel Funds, Inc.

 

26. 

The Dreyfus/Laurel Funds Trust

 

27. 

The Dreyfus/Laurel Tax-Free Municipal Funds

 

28. 

Dreyfus LifeTime Portfolios, Inc.

 

29. 

Dreyfus Liquid Assets, Inc.

 

30. 

Dreyfus Manager Funds I

 

31. 

Dreyfus Manager Funds II

 

32. 

Dreyfus Massachusetts Municipal Money Market Fund

 

 

 

   

33. 

Dreyfus Midcap Index Fund, Inc.

34. 

Dreyfus Money Market Instruments, Inc.

35. 

Dreyfus Municipal Bond Opportunity Fund

36. 

Dreyfus Municipal Cash Management Plus

37. 

Dreyfus Municipal Funds, Inc.

38. 

Dreyfus Municipal Money Market Fund, Inc.

39. 

Dreyfus New Jersey Municipal Bond Fund, Inc.

40. 

Dreyfus New Jersey Municipal Money Market Fund, Inc.

41. 

Dreyfus New York AMT-Free Municipal Bond Fund

42. 

Dreyfus New York AMT-Free Municipal Money Market Fund

43. 

Dreyfus New York Municipal Cash Management

44. 

Dreyfus New York Tax Exempt Bond Fund, Inc.

45. 

Dreyfus Opportunity Funds

46. 

Dreyfus Pennsylvania Municipal Money Market Fund

47. 

Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc.

48. 

Dreyfus Premier GNMA Fund, Inc.

49. 

Dreyfus Premier Investment Funds, Inc.

50. 

Dreyfus Premier Short-Intermediate Municipal Bond Fund

51. 

Dreyfus Premier Worldwide Growth Fund, Inc.

52. 

Dreyfus Research Growth Fund, Inc.

53. 

Dreyfus State Municipal Bond Funds

54. 

Dreyfus Stock Funds

55. 

Dreyfus Short-Intermediate Government Fund

56. 

The Dreyfus Socially Responsible Growth Fund, Inc.

57. 

Dreyfus Stock Index Fund, Inc.

58. 

Dreyfus Tax Exempt Cash Management Funds

59. 

The Dreyfus Third Century Fund, Inc.

60. 

Dreyfus Treasury & Agency Cash Management

61. 

Dreyfus Treasury Prime Cash Management

62. 

Dreyfus U.S. Treasury Intermediate Term Fund

63. 

Dreyfus U.S. Treasury Long Term Fund

64. 

Dreyfus 100% U.S. Treasury Money Market Fund

65. 

Dreyfus Variable Investment Fund

66. 

Dreyfus Worldwide Dollar Money Market Fund, Inc.

 

 

   

67. 

General California Municipal Money Market Fund

68. 

General Government Securities Money Market Funds, Inc.

69. 

General Money Market Fund, Inc.

70. 

General Municipal Money Market Funds, Inc.

71. 

General New York Municipal Money Market Fund

72. 

Strategic Funds, Inc.

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Jon R. Baum*

Chairman of the Board

None

Ken Bradle**

Chief Executive Officer, President and Director

None

Robert G. Capone****

Executive Vice President and Director

None

J. Charles Cardona*

Executive Vice President and Director

Executive Vice President (Money Market Funds Only)

Sue Ann Cormack**

Executive Vice President

None

John M. Donaghey***

Executive Vice President and Director

None

Dwight D. Jacobsen*

Executive Vice President and Director

None

Mark A. Keleher*****

Executive Vice President

None

James D. Kohley***

Executive Vice President

None

Jeffrey D. Landau*

Executive Vice President and Director

None

William H. Maresca*

Executive Vice President and Director

None

Timothy M. McCormick*

Executive Vice President

None

David K. Mossman***

Executive Vice President

None

Christopher D. O'Connor*

Executive Vice President and Director

None

Irene Papadoulis**

Executive Vice President

None

Matthew Perrone**

Executive Vice President

None

Bradley J. Skapyak*

Executive Vice President

President

Bill E. Sappingon*

Executive Vice President and Director

None

Gary Pierce*

Chief Financial Officer and Director

None

Tracy Hopkins*

Senior Vice President

None

Mercedez Katz**

Senior Vice President

None

Mary T. Lomasney****

Senior Vice President

None

Barbara A. McCann****

Senior Vice President

None

 

 

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Christine Carr Smith*****

Senior Vice President

None

Kathleen DeNicholas*

Chief Legal Officer and Secretary

None

Joseph W. Connolly*

Chief Compliance Officer (Investment Advisory Business)

Chief Compliance Officer

Stephen Storen*

Chief Compliance Officer

Anti-Money Laundering Compliance Officer

Maria Georgopoulos*

Vice President – Facilities Management

None

Stewart Rosen*

Vice President – Facilities Management

None

Karin L. Waldmann*

Privacy Officer

None

Gary E. Abbs***

Vice President – Tax

None

Timothy I. Barrett**

Vice President

None

Gina DiChiara*

Vice President

None

Jill Gill*

Vice President

None

Joanne S. Huber***

Vice President – Tax

None

John E. Lane******

Vice President

None

Kathleen Geis******

Vice President

None

Dean M. Steigauf******

Vice President

None

Donna M. Impagliazzo**

Vice President – Compliance and Anti-Money Laundering Officer

None

Edward A. Markward*

Vice President – Compliance

None

Anthony Nunez*

Vice President – Finance

None

Claudine Orloski***

Vice President – Tax

None

William Schalda*

Vice President

None

John Shea*

Vice President – Finance

None

Christopher A. Stallone**

Vice President

None

Susan Verbil*

Vice President – Finance

None

William Verity*

Vice President – Finance

None

James Windels*

Vice President

Treasurer

James Bitetto*

Assistant Secretary

Vice President and
Assistant Secretary

James D. Muir*

Assistant Secretary

None

Barbara J. Parrish***

Assistant Secretary

None

 

 

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Cristina Rice***

Assistant Secretary

None

   

*

Principal business address is 200 Park Avenue, New York, NY 10166.

**

Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144.

***

Principal business address is One Mellon Bank Center, Pittsburgh, PA 15258.

****

Principal business address is One Boston Place, Boston, MA 02108.

*****

Principal business address is 50 Fremont Street, Suite 3900, San Francisco, CA 94104.

******

Principal business address is 101 Barclay Street, New York 10286.

Item 33. Location of Accounts and Records

  1. The Bank of New York Mellon
   One Wall Street
   New York, New York 10286

2. The Bank of New York Mellon
  One Mellon Bank Center
  Pittsburgh, Pennsylvania 15258

  3. DST Systems, Inc.
   1055 Broadway
   Kansas City, MO 64105

  4. The Dreyfus Corporation
   200 Park Avenue
   New York, New York 10166 

Item 34. Management Services

  Not Applicable

Item 35. Undertakings

  None

 

 

SIGNATURES

 Pursuant to the requirements of the Securities Act of 1933, the Registrant, Strategic Funds, Inc., has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, and State of New York on the 16th day of March 2012.

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)

 

03/16/2012

Bradley J. Skapyak

       

/s/ James Windels*

 

Treasurer (Principal Financial
and Accounting Officer)

 

03/16/2012

James Windels

       

/s/ Joseph S. DiMartino*

 

Chairman of the Board

 

03/16/2012

Joseph S. DiMartino

       

/s/ David W. Burke*

 

Board Member

 

03/16/2012

David W. Burke

       

/s/ William Hodding Carter III*

 

Board Member

 

03/16/2012

William Hodding Carter III

       

/s/ Gordon J. Davis*

 

Board Member

 

03/16/2012

Gordon J. Davis

       

/s/ Joni Evans*

 

Board Member

 

03/16/2012

Joni Evans

       

/s/ Ehud Houminer*

 

Board Member

 

03/16/2012

Ehud Houminer

       

/s/ Richard C. Leone*

 

Board Member

 

03/16/2012

Richard C. Leone

       

 

 

         

/s/ Hans C. Mautner*

 

Board Member

 

03/16/2012

Hans C. Mautner

       

/s/ Robin A. Melvin*

 

Board Member

 

03/16/2012

Robin A. Melvin

       

/s/ Burton N. Wallack* 

 

Board Member

 

03/16/2012

Burton N. Wallack

       

/s/ John E. Zuccotti* 

 

Board Member

 

03/16/2012

John E. Zuccotti

       
   

*BY:

/s/ John B. Hammalian

 

John B. Hammalian,
Attorney-in-Fact

INDEX OF EXHIBITS

_________________________

Exhibits

 

   

(n)

Rule 18F-3 Plan

 

EX-99.77O RULE 10F-3 2 rule18f-3plan.htm RULE 10F-3 rule18f-3plan.htm - Generated by SEC Publisher for SEC Filing

 

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 non-interested Board members, 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 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, into Class A, Class C and Class I and, if indicated on Schedule A hereto, Class J and Class Z.

2.                  Differences in Services:  The services offered to shareholders of each Class, unless otherwise noted on Schedule A, 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.

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 hereto.

Class C shares shall not be subject to a front-end sales charge, but shall be subject to a CDSC and shall be charged an annual distribution fee under a Distribution Plan adopted pursuant to Rule 12b-1 under the 1940 Act.  The amount of and provisions relating to the CDSC, and the amount of the fees under the Distribution Plan pertaining to the Class C shares, are set forth on Schedule C hereto.

 

 

NY 70146437v69


 

 

Class I shares shall be offered at net asset value only to (i) bank trust departments, trust companies and insurance companies that have entered into agreements with the Fund's Distributor to offer Class I shares to their clients, (ii) institutional investors acting in a fiduciary, advisory, agency, custodial or similar capacity for qualified or non-qualified employee benefit plans, including pension, profit-sharing and other deferred compensation plans, whether established by corporations, partnerships, non-profit entities, trade or labor unions, or state and local governments ("Retirement Plans"), and IRAs set up under Simplified Employee Pension Plans ("SEP-IRAs"), but not including IRAs or IRA "Rollover Accounts" (Class I shares may be purchased for a Retirement Plan or SEP-IRA only by a custodian, trustee, investment manager or other entity authorized to act on behalf of such Retirement Plan or SEP-IRA that has entered into an agreement with the Fund's Distributor to offer Class I shares to such Retirement Plan or SEP-IRA), (iii) law firms or attorneys acting as trustees or executors/administrators, (iv) foundations and endowments that make an initial investment in the Fund of at least $1 million, (v) sponsors of college savings plans that qualify for tax-exempt treatment under Section 529 of the Internal Revenue Code of 1986, as amended (the "Code"), that maintain an omnibus account with the Fund and do not require shareholder tax reporting or 529 account support responsibilities from the Fund's Distributor, (vi) advisory fee-based accounts offered through financial intermediaries who, depending on the structure of the selected advisory platform, make Class I shares available, (vii) certain institutional clients of an investment advisory subsidiary of The Bank of New York Mellon Corporation approved by The Dreyfus Corporation, and (viii) with respect to Class I shares of those Funds indicated on Schedule A hereto, certain funds in the Dreyfus Family of Funds, series of BNY Mellon Funds Trust and unaffiliated investment companies approved by the Fund's Distributor.

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.

-2-

 

NY 70146437v69


 

 

Class J shares shall be offered at net asset value only to certain shareholders as set forth on Schedule A hereto.

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.

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

 

 

Amended as of:  March 13, 2012

 

-3-

 

NY 70146437v69


 

 

SCHEDULE A

Name of Fund

Date Plan Adopted

 

 

Advantage Funds, Inc.

February 25, 1999

 

(Revised as of March 13, 2012)

--Dreyfus International Value Fund

 

--Dreyfus Strategic Value Fund

 

--Dreyfus Structured Midcap Fund††

 

--Dreyfus Technology Growth Fund††

 

--Dreyfus Total Return Advantage Fund*

 

--Global Alpha Fund*  

 

--Dreyfus Global Absolute 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*†

 

 

 

Dreyfus Dynamic Alternatives Fund, Inc.*††

March 3, 2010

 

(Revised as of July 15, 2011)

 

 

Dreyfus International Funds, Inc.

September 9, 2002

 

(Revised as of March 13, 2012)

--Dreyfus Emerging Markets Fund

 

--Dreyfus Brazil Equity Fund*†

 

 

 

Dreyfus Investment Funds

December 3, 2008

 

(Revised as of July 15, 2011)

--Dreyfus/Newton International Equity Fund*††††‡

 

--Dreyfus/The Boston Company Emerging Markets Core Equity Fund*†‡

 

--Dreyfus/The Boston Company Large Cap Core Fund*†‡

 

--Dreyfus/The Boston Company Small/Mid Cap Growth Fund*†‡

 

--Dreyfus/Standish Intermediate Tax Exempt
Bond Fund*††‡

 

--Dreyfus/Standish Global Fixed Income Fund*††‡

 

 

 

Dreyfus Investment Grade Funds, Inc.

October 18, 2007

 

(Revised as of March 13, 2012)

--Dreyfus Intermediate Term Income Fund††

 

 

 

 

A-1

 

NY 70146437v69


 

 

 

SCHEDULE A (continued)

Name of Fund

Date Plan Adopted

 

 

Dreyfus Manager Funds I

November 17, 2003

 

(Revised as of March 13, 2012)

--Dreyfus MidCap Core Fund

 

 

 

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 March 13, 2012)

--Dreyfus Natural Resources Fund

 

--Dreyfus Global Sustainability Fund*†

 

 

 

Dreyfus Premier Investment Funds, Inc.

April 24, 1995

 

(Revised as of March 13, 2012)

--Dreyfus Greater China Fund††

 

--Dreyfus India Fund*†

 

--Dreyfus Emerging Asia Fund*†

 

--Dreyfus Diversified International Fund*

 

--Dreyfus Global Real Estate Securities Fund*†††

 

--Dreyfus Large Cap Equity Fund*††

 

--Dreyfus Large Cap Growth Fund*††

 

--Dreyfus Satellite Alpha Fund*

 

--Dreyfus Diversified Large Cap Fund*

 

 

 

Dreyfus Premier Worldwide Growth Fund, Inc.

April 12, 1995

 

(Revised as of March 13, 2012)

--Dreyfus Worldwide Growth Fund

 

 

 

Dreyfus Stock Funds

January 27, 2003

 

(Revised as of March 13, 2012)

--Dreyfus International Equity Fund

 

--Dreyfus Small Cap Equity Fund††

 

 

 

Dreyfus Research Growth Fund, Inc.*##†††

July 15, 2008

 

(Revised as of March 19, 2012)

 

A-2

 

NY 70146437v69


 

 

SCHEDULE A (continued) 

Name of Fund

Date Plan Adopted

 

 

The Dreyfus/Laurel Funds Trust

December 20, 2005

 

(Revised as of July 15, 2011)

--Dreyfus International Bond Fund*†

 

--Dreyfus Equity Income Fund*††

 

--Dreyfus Global Equity Income Fund*†

 

--Dreyfus Emerging Markets Debt
Local Currency Fund*†††

 

 

 

The Dreyfus/Laurel Funds, Inc.

April 20, 2006

 

(Revised as of July 15, 2011)

--Dreyfus Opportunistic Fixed Income Fund*†

 

 

 

Strategic Funds, Inc.

September 17, 2002

 

(Revised as of March 19, 2012)

--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*††††

 

 

 

 

 

 

________________________

 

*         Class A, Class C and Class I only.

**       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 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 I shares to certain funds in the Dreyfus Family of Funds, series of BNY Mellon Funds Trust and unaffiliated investment companies approved by the Fund's Distributor.

††††     The Fund offers Class I shares to series of BNY Mellon Funds Trust and unaffiliated investment companies approved by the Fund's Distributor.

         Class I shares of the Fund are subject to an administrative services fee of up to .15% payable to certain financial intermediaries, including affiliates, who provide sub-administration, recordkeeping and/or sub-transfer agency services to beneficial owners of the Fund's Class I shares. 

#         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 continue to maintain accounts with the Fund at the time of purchase.  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 continue to maintain accounts with the Fund at the time of purchase.  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. 

A-3

 

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SCHEDULE B

Front-End Sales Charge--Class A Shares--Effective December 1, 1996, the public offering price for Class A shares, except as set forth below, shall be the net asset value per share of Class A plus a sales load as shown below:

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

Less than $50,000.....................................................

5.75

 

6.10

$50,000 to less than $100,000...................................

4.50

 

4.70

$100,000 to less than $250,000.................................

3.50

 

3.60

$250,000 to less than $500,000.................................

2.50

 

2.60

$500,000 to less than $1,000,000..............................

2.00

 

2.00

$1,000,000 or more...................................................

-0-

 

-0-

 

 

Front-End Sales Charge--Class A Shares--Shareholders Beneficially Owning Class A Shares on November 30, 1996 and Class A Shares of Dreyfus International Bond Fund, Dreyfus Total Return Advantage Fund, Dreyfus Intermediate Term Income Fund, Dreyfus Emerging Markets Debt Local Currency Fund, Dreyfus/Standish Intermediate Tax Exempt Bond Fund, Dreyfus/Standish Global Fixed Income Fund and Dreyfus Opportunistic Fixed Income Fund--For shareholders who beneficially owned Class A shares of a Fund on November 30, 1996 and for Class A shares of Dreyfus International Bond Fund, Dreyfus Total Return Advantage Fund, Dreyfus Intermediate Term Income Fund, Dreyfus Emerging Markets Debt Local Currency Fund, Dreyfus/Standish Intermediate Tax Exempt Bond Fund, Dreyfus/Standish Global Fixed Income Fund and Dreyfus Opportunistic Fixed Income Fund, the public offering price for Class A shares of such Funds, except as set forth below, shall be the net asset value per share of Class A plus a sales load as shown below:

 

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

Less than $50,000.....................................................

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-

 

 

 

 

 

 

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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 New Leaders Fund (for as long as the shareholder's account is open) 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-

 

 

 

 


*     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.

 

 

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SCHEDULE B (continued) 

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, except as set forth below, shall be the net asset value per share of Class A plus a sales load as shown below:

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

Less than $50,000.....................................................

4.50

 

4.70

$50,000 to less than $100,000...................................

4.00

 

4.20

$100,000 to less than $250,000.................................

3.00

 

3.10

$250,000 to less than $500,000.................................

2.00

 

2.00

$500,000 to less than $1,000,000..............................

1.50

 

1.50

$1,000,000 or more...................................................

-0-

 

-0-

 

Contingent Deferred Sales Charge--Class A Shares--A CDSC of 1.00% shall be assessed, 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 International Value 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 International Value Fund on November 14, 2002, Dreyfus New Leaders Fund, Inc. 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 at net asset value without a front-end sales charge and redeem Class A shares of such 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 at net asset value without a front-end sales charge and redeem Class A shares of Dreyfus Active MidCap Fund without imposition of a CDSC for as long as the shareholder's account is open. 

 

 

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SCHEDULE B (continued)

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 at net asset value without a front-end sales charge and redeem 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 at net asset value without a front-end sales charge and redeem 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 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 at net asset value without a front-end sales charge and redeem Class A shares of Dreyfus Intermediate Term Income Fund without imposition of a CDSC for as long as the shareholder's account is open.

 

 

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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 employees participating in qualified or non-qualified employee benefit plans or other programs, (c) redemptions as a result of a combination of any investment company with the Fund by merger, acquisition of assets or otherwise, (d) a distribution following retirement under a tax-deferred retirement plan or upon attaining age 70-1/2 in the case of an IRA or Keogh plan or custodial account pursuant to Section 403(b) of the Code, and (e) redemptions pursuant to any systematic withdrawal plan as described in the Fund's prospectus.  Any Fund shares subject to a CDSC which were purchased prior to the termination of such waiver shall have the CDSC waived as provided in the Fund's prospectus at the time of the purchase of such shares.

Amount of Distribution Plan Fees--Class C Shares--.75 of 1% of the value of the average daily net assets of Class C.