U.S. SECURITIES AND EXCHANGE COMMISSION
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Washington, D.C. 20549
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FORM N-1A
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REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 /X/
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PRE-EFFECTIVE AMENDMENT NO. / /
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POST-EFFECTIVE AMENDMENT NO. 109 /X/
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AND/OR
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REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 /X/
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AMENDMENT NO. 109 /X/
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(Check appropriate box or boxes.)
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__________________________________________________________________
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STRATEGIC FUNDS, INC.
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(Exact Name of Registrant as Specified in its Charter)
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c/o The Dreyfus Corporation
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200 Park Avenue
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New York, New York 10166
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(Address of Principal Executive Offices) (Zip Code)
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Registrant's Telephone Number, including Area Code: (212) 922-6000
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John Pak, Esq.
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200 Park Avenue
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New York, New York 10166
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(Name and Address of Agent for Service)
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Copy To:
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David Stephens, Esq.
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Stroock & Stroock & Lavan LLP
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180 Maiden Lane
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New York, New York 10038
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1. Facing Sheet of the Registration Statement.
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2. Part C to the Registration Statement (including signature page).
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3. Exhibit (d)(xvii) to Item 28 to the Registration Statement.
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Item 28.
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Exhibits.
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(a)(i)
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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.
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(a)(ii)
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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.
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(a)(iii)
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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.
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(a)(iv)
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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.
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(a)(v)
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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.
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(a)(vi)
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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.
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(a)(vii)
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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.
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(a)(viii)
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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.
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(a)(ix)
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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.
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(a)(x)
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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, filed, on June 25, 2013.
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(a)(xi)
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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 to the Registration Statement on Form N-1A, filed, on June 25, 2013.
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(a)(xii)
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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, filed, on March 27, 2014.
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(a)(xiii)
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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.
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(b)
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Registrant's Bylaws, 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.
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(d)(i)
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Management Agreement is incorporated by reference to Exhibit (d)(i) of Post-Effective Amendment No. 107.
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(d)(ii)
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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.
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(d)(iii)
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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 to the Registration Statement on Form N-1A, filed on December 16, 2008.
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(d)(iv)
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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 to the Registration Statement on Form N-1A, filed on December 16, 2008.
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(d)(v)
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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, filed on March 30, 2010.
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(d)(vi)
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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, filed on December 26, 2012.
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(d)(vii)
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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, filed on September 25, 2014.
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(d)(viii)
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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 to the Registration Statement on Form N-1A, filed on June 29, 2010.
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(d)(ix)
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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, filed, on April 27, 2012.
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(d)(x)
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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 to the Registration Statement on Form N-1A, filed, on April 27, 2012.
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(d)(xi)
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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 to the Registration Statement on Form N-1A, filed, on April 27, 2012.
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(d)(xii)
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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, filed, on September 28, 2012.
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(d)(xiii)
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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 to the Registration Statement on Form N-1A, filed on December 26, 2012.
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(d)(xiv)
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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, filed on December 26, 2013.
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(d)(xv)
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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 to the Registration Statement on Form N-1A, filed on December 26, 2013.
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(d)(xvi)
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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 to the Registration Statement on Form N-1A, filed on September 25, 2014.
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(d)(xvii)
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Sub-Investment Advisory Agreement with The Boston Company Asset Management, LLC, with respect to Dreyfus MLP Fund.*
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(d)(xviii)
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Portfolio Allocation Management Agreement, as revised, 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.
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(e)(i)
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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.
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(e)(ii)
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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.
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(e)(iii)
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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.
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(g)(i)
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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.
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(g)(ii)
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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 to the Registration Statement on Form N-1A, filed on December 26, 2013.
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(h)
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Transfer Agency Agreement is incorporated by reference to Exhibit (h)(ii) of Post-Effective Amendment No. 82 to the Registration Statement on Form N-1A, filed, on September 28, 2012.
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(i)
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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.
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(m)(i)
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Rule 12b-1 Distribution Plan is incorporated by reference to Exhibit (m)(i) of Post-Effective Amendment No. 107.
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(m)(ii)
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Shareholder Services Plan is incorporated by reference to Exhibit (m)(ii) of Post-Effective Amendment No. 107.
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(n)
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Rule 18f-3 Plan is incorporated by reference to Exhibit (n) of Post-Effective Amendment No. 107.
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(p)(i)
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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.
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(p)(ii)
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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 to the Registration Statement on Form N-1A, filed on December 26, 2013.
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(p)(iii)
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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 to the Registration Statement on Form N-1A, filed on April 27, 2012.
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(p)(iv)
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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, filed on April 29, 2014.
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(p)(v)
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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 to the Registration Statement on Form N-1A, filed on April 27, 2012.
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(p)(vi)
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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.
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(p)(vii)
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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.
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(p)(viii)
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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.
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(p)(ix)
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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.
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(p)(x)
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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 to the Registration Statement on Form N-1A, filed, on April 29, 2014.
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(p)(xi)
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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 to the Registration Statement on Form N-1A, filed, on September 28, 2012.
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(p)(xii)
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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 to the Registration Statement on Form N-1A, filed on December 26, 2012.
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(p)(xiii)
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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 to the Registration Statement on Form N-1A, filed on December 26, 2013.
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(p)(xiv)
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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 to the Registration Statement on Form N-1A, filed on December 26, 2013.
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(p)(xv)
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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 to the Registration Statement on Form N-1A, filed on September 25, 2014.
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(p)(xvi)
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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 to the Registration Statement on Form N-1A, filed on March 30, 2010.
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(a)
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Power of Attorney of certain officers of the Registrant is incorporated by reference to Other Exhibits (a) of Post-Effective Amendment No. 106.
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(b)
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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.
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Item 29.
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Persons Controlled by or under Common Control with Registrant.
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Not Applicable
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Item 30.
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Indemnification.
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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 that no board member or officer of the Registrant 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:
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Article VII of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of Registrant's Amended and Restated By-Laws and Section 2-418 of the Maryland General Corporation Law.
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Item 31.
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Business and Other Connections of the Investment Adviser.
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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 other investment companies for which Dreyfus acts as investment adviser, sub-investment adviser or administrator.
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Name and Position
With Dreyfus
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Other Businesses
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Position Held
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Dates
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J. Charles Cardona
President and Director
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MBSC Securities Corporation++
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Director
Executive Vice President
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6/07 - Present
6/07 - Present
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BNY Mellon Liquidity Funds plc+
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Director
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4/06 - Present
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Certain Dreyfus Funds
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Executive Vice President
Director
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2/00 - Present
2/14 - Present
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Diane P. Durnin
Vice Chair and Director
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None
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Bradley J. Skapyak
Chief Operating Officer and Director
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MBSC Securities Corporation++
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Executive Vice President
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6/07 - Present
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The Bank of New York Mellon***
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Senior Vice President
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4/07 - Present
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The Dreyfus Family of Funds++
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President
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1/10 - Present
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Dreyfus Transfer, Inc. ++
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Chairman
Director
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5/11 - Present
5/10 - Present
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Gary Pierce
Controller
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The Bank of New York Mellon****
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Vice President
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7/08 - Present
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BNY Mellon, National Association +
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Vice President
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7/08 - Present
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Laurel Capital Advisors, LLP+
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Chief Financial Officer
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5/07 - Present
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MBSC Securities Corporation++
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Director
Chief Financial Officer
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6/07 - Present
6/07 - Present
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Dreyfus Transfer, Inc. ++
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Chief Financial Officer
Treasurer
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7/05 - Present
5/11- Present
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Dreyfus Service
Organization, Inc.++
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Treasurer
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7/05 - Present
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Seven Six Seven Agency, Inc. ++
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Treasurer
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4/99 - Present
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Joseph W. Connolly
Chief Compliance Officer
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The Dreyfus Family of Funds++
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Chief Compliance Officer
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10/04 - Present
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Laurel Capital Advisors, LLP+
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Chief Compliance Officer
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4/05 - Present
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BNY Mellon Funds Trust++
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Chief Compliance Officer
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10/04 - Present
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MBSC Securities Corporation++
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Chief Compliance Officer
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6/07 - Present
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Christopher O'Connor
Chief Administrative Officer
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MBSC Securities Corporation++
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Executive Vice President
Senior Vice President
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12/11 - Present
5/06 - 12/11
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John Pak
Chief Legal Officer
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The BNY Mellon Corporation***
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Deputy General Counsel, Investment Management
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8/14 - Present
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Charles Doumar
Vice President – Tax
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Asset Recovery II, LLC****
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Assistant Treasurer
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9/13 - Present
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Asset Recovery III, LLC****
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Assistant Treasurer
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9/13 - Present
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Asset Recovery IV, LLC****
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Assistant Treasurer
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9/13 - Present
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Asset Recovery V, LLC****
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Assistant Treasurer
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9/13 - Present
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Asset Recovery VII, LLC****
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Assistant Treasurer
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9/13 - Present
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Asset Recovery XIII, LLC****
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Assistant Treasurer
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3/13 - Present
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Asset Recovery XIV, LLC****
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Assistant Treasurer
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3/13 - Present
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Asset Recovery XIX, LLC****
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Assistant Treasurer
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7/13 - Present
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Asset Recovery XV, LLC****
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Assistant Treasurer
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3/13 - Present
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Asset Recovery XVI, LLC****
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Assistant Treasurer
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3/13 - Present
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Asset Recovery XVII, LLC****
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Assistant Treasurer
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3/13 - Present
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Asset Recovery XVIII, LLC****
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Assistant Treasurer
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7/13 - Present
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Asset Recovery XX, LLC****
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Assistant Treasurer
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7/13 - Present
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Asset Recovery XXI, LLC****
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Assistant Treasurer
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7/13 - Present
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Asset Recovery XXII, LLC****
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Assistant Treasurer
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7/13 - Present
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Asset Recovery XXIII, LLC****
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Assistant Treasurer
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7/13 - Present
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BNY Mellon Investments CTA, LLC****
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Assistant Treasurer
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9/13 - Present
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BNY Mellon Trust of Delaware+
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Assistant Treasurer
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11/13 - Present
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IVY Asset Management LLC+
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Assistant Treasurer
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9/13 - Present
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Mellon Hedge Advisors, LLC****
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Assistant Treasurer
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10/13 - Present
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MUNB Loan Holdings, LLC****
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Assistant Treasurer
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10/13 - Present
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484Wall Capital Management LLC****
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Assistant Treasurer – Tax
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10/13 - Present
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Airlease Incorporated****
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Assistant Treasurer – Tax
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7/13 - Present
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Albridge Solutions, Inc.+++++
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Assistant Treasurer – Tax
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7/13 - Present
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Allomon Corporation†
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Assistant Treasurer – Tax
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5/13 - Present
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AP Residential Realty, Inc. +
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Assistant Treasurer – Tax
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8/13 - Present
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APT Holdings Corporation++++
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Assistant Treasurer – Tax
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11/13 - Present
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AURORA-IRE, Inc.****
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Assistant Treasurer – Tax
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7/13 - Present
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B.I.E. Corporation+
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Assistant Treasurer – Tax
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12/13 – Present
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B.N.Y. Holdings (Delaware) Corporation††
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Assistant Treasurer – Tax
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4/13 - Present
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BNY Capital Corporation****
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Assistant Treasurer – Tax
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9/13 - Present
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BNY Capital Markets Holdings, Inc.****
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Assistant Treasurer – Tax
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9/13 - Present
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BNY Capital Resources Corporation****
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Assistant Treasurer – Tax
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3/13 - Present
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BNY Cargo Holdings LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Catair LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Falcon Three Holding Corp.****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Foreign Holdings, Inc.****
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Assistant Treasurer – Tax
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10/13 - Present
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BNY Gator LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Hitchcock Holdings LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Housing I Corp.****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Housing II LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY ITC Leasing, LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Lease Equities (Cap Funding) LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Lease Holdings LLC****
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Assistant Treasurer – Tax
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7/13 - Present
|
|
|
|||
BNY Lease Partners LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Leasing Edge Corporation****
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Assistant Treasurer – Tax
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7/13 - Present
|
|
BNY Mellon Alternative Investments Holdings LLC****
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Assistant Treasurer – Tax
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10/13 - Present
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BNY Mellon Capital Markets, LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Mellon Clearing Holding Company, LLC****
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Assistant Treasurer – Tax
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7/13 - Present
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BNY Mellon Fixed Income Securities, LLC****
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Assistant Treasurer – Tax
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8/13 - Present
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BNY Mellon Trust Company of Illinois+
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Assistant Treasurer – Tax
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3/13 - Present
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BNY Mezzanine Funding LLC****
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Assistant Treasurer – Tax
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5/13 - Present
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BNY Mezzanine Holdings LLC****
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Assistant Treasurer – Tax
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5/13 - Present
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BNY Mezzanine Non NY Funding LLC****
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Assistant Treasurer – Tax
|
5/13 - Present
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BNY Mezzanine NY Funding LLC****
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Assistant Treasurer – Tax
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5/13 - Present
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BNY Partnership Funding LLC****
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Assistant Treasurer – Tax
|
7/13 - Present
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BNY Rail Maintenance LLC****
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Assistant Treasurer – Tax
|
7/13 - Present
|
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BNY Recap I, LLC****
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Assistant Treasurer – Tax
|
9/13 - Present
|
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BNY Salvage Inc.****
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Assistant Treasurer – Tax
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3/13 - Present
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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
|
|
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
|
|
Hamilton Floating Rate Fund Holdings, LLC****
|
Assistant Treasurer – Tax
|
5/13 - 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
|
|
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 - Present
|
|
JRHC 1998A LLC****
|
Assistant Treasurer – Tax
|
12/13 - 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
|
|
MCDI (Holdings) LLC****
|
Assistant Treasurer – Tax
|
9/13 - Present
|
|
MELDEL Leasing Corporation Number 2, Inc. †††
|
Assistant Treasurer – Tax
|
9/13 - Present
|
|
Mellon Financial Services Corporation #1+
|
Assistant Treasurer – Tax
|
7/13 - Present
|
|
Mellon Financial Services Corporation #4+
|
Assistant Treasurer – Tax
|
9/13 - Present
|
|
Mellon Leasing Corporation+
|
Assistant Treasurer – Tax
|
7/13 - Present
|
|
Mellon Life Insurance Company+
|
Assistant Treasurer – Tax
|
10/13 - Present
|
|
Mellon Properties Company*****
|
Assistant Treasurer – Tax
|
8/13 - Present
|
|
National Residential Assets Corp.****
|
Assistant Treasurer – Tax
|
4/13 - Present
|
|
New GSM Holding Corporation****
|
Assistant Treasurer – Tax
|
7/13 - Present
|
|
Northern Waterworks, Inc.****
|
Assistant Treasurer – Tax
|
7/13 - 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
|
|
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
|
|
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 - Present
|
|
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
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
|
|
Tracy A. Hopkins
Vice President - Cash Strategies
|
MBSC Securities Corporation++
|
Senior Vice President
|
2/08 - Present
|
Anthony Mayo
Vice President – Information Systems
|
None
|
||
Kathleen Geis
Vice President
|
BNY Mellon, National Association+
|
Managing Director
|
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
|
|
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
|
|
MBNA Institutional PA Services, LLC+
|
Managing Director
|
7/09 - Present
|
|
Claudine Orloski
Vice President
|
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 - Present
|
|
Asset Recovery IV, LLC***
|
Assistant Treasurer
|
9/11 - Present
|
|
Asset Recovery IX, LLC***
|
Assistant Treasurer
|
2/11 - Present
|
|
Asset Recovery V, LLC***
|
Assistant Treasurer
|
9/11 - Present
|
|
Asset Recovery VII, LLC***
|
Assistant Treasurer
|
2/11 - Present
|
|
Asset Recovery X, LLC***
|
Assistant Treasurer
|
2/11 - Present
|
|
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 - Present
|
|
Asset Recovery XVI, LLC***
|
Assistant Treasurer
|
3/11 - Present
|
|
Asset Recovery XVII, LLC***
|
Assistant Treasurer
|
3/11 - Present
|
|
Asset Recovery XVIII, LLC***
|
Assistant Treasurer
|
7/11 - Present
|
|
Asset Recovery XX, LLC***
|
Assistant Treasurer
|
7/11 - Present
|
|
Asset Recovery XXI, LLC***
|
Assistant Treasurer
|
7/11 - Present
|
|
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,
Inc.††††††
|
Assistant Treasurer – Tax
|
3/13 - Present
|
|
BNY Capital Corporation***
|
Assistant Treasurer – Tax
|
11/11 - Present
|
|
BNY Capital Funding LLC***
|
Assistant Treasurer – Tax
|
7/11 - Present
|
|
BNY Capital Markets Holdings, Inc.***
|
Assistant Treasurer – Tax
|
11/ 11 - Present
|
|
BNY Capital Resources
Corporation#######
|
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
|
10/11 - Present
|
|
BNY Investment Management Services LLC#
|
Assistant Treasurer – Tax
|
7/11 - 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 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,
LLC^^^^^
|
Assistant Treasurer – Tax
|
7/11 - Present
|
|
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
Inc.#
|
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
Illinois*****
|
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
LLC******
|
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
|
|
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
|
|
BNY-N.J. I Corp.***
|
Assistant Treasurer
|
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
|
|
Colson Services Corp. ^
|
Assistant Treasurer – Tax
|
2/11 - Present
|
|
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 - Present
|
|
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 - Present
|
|
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
|
|
MBNA Institutional PA Services
LLC+
|
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
Corporation†††††
|
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
Company#
|
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
|
|
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
|
1/11 - Present
|
|
Stanwich Insurance Agency, Inc.***
|
Assistant Treasurer – Tax
|
12/11 - Present
|
|
TBC Securities Co., Inc.*
|
Assistant Treasurer – Tax
|
7/12 - Present
|
|
TBCAM, LLC*
|
Assistant Treasurer – Tax
|
10/11 - 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
|
1/11 - Present
|
|
Stanwich Insurance Agency, Inc.***
|
Assistant Treasurer – Tax
|
12/11 - Present
|
|
TBC Securities Co., Inc.*
|
Assistant Treasurer – Tax
|
7/12 - Present
|
|
Technology Services Group,
Inc.^^^^^
|
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 Boston Company Asset Management, LLC*
|
Assistant Treasurer – Tax
|
6/11 - Present
|
|
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
|
|
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
|
|
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 address of the business so indicated is One Boston Place, Boston, MA 02108.
|
||||
**
|
The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, CA 94105.
|
||||
***
|
The address of the business so indicated is One Wall Street, New York, NY 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, PA 15258.
|
||||
++
|
The address of the business so indicated is 200 Park Avenue, New York, NY 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 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.
|
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 BNY Mellon Funds, Inc.
|
||||
7.
|
Dreyfus Bond Funds, Inc.
|
||||
8.
|
Dreyfus Cash Management
|
||||
9.
|
Dreyfus Funds, Inc.
|
||||
10.
|
The Dreyfus Fund Incorporated
|
||||
11.
|
Dreyfus Government Cash Management Funds
|
||||
12.
|
Dreyfus Growth and Income Fund, Inc.
|
||||
13.
|
Dreyfus Index Funds, Inc.
|
||||
14.
|
Dreyfus Institutional Cash Advantage Funds
|
||||
15.
|
Dreyfus Institutional Preferred Money Market Funds
|
||||
16.
|
Dreyfus Institutional Reserves Funds
|
||||
17.
|
Dreyfus Intermediate Municipal Bond Fund, Inc.
|
||||
18.
|
Dreyfus International Funds, Inc.
|
||||
19.
|
Dreyfus Investment Funds
|
||||
20.
|
Dreyfus Investment Grade Funds, Inc.
|
||||
21.
|
Dreyfus Investment Portfolios
|
||||
22.
|
The Dreyfus/Laurel Funds, Inc.
|
||||
23.
|
The Dreyfus/Laurel Funds Trust
|
||||
24.
|
The Dreyfus/Laurel Tax-Free Municipal Funds
|
||||
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 Municipal Money Market Fund, Inc.
|
||||
33.
|
Dreyfus New Jersey Municipal Bond Fund, Inc.
|
||||
34.
|
Dreyfus New Jersey Municipal Money Market Fund, Inc.
|
||||
35.
|
Dreyfus New York AMT-Free Municipal Bond Fund
|
||||
36.
|
Dreyfus New York AMT-Free Municipal Money Market Fund
|
||||
37.
|
Dreyfus New York Municipal Cash Management
|
||||
38.
|
Dreyfus New York Tax Exempt Bond Fund, Inc.
|
||||
39.
|
Dreyfus Opportunity Funds
|
||||
40.
|
Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc.
|
||||
41.
|
Dreyfus Premier GNMA Fund, Inc.
|
||||
42.
|
Dreyfus Premier Investment Funds, Inc.
|
||||
43.
|
Dreyfus Premier Short-Intermediate Municipal Bond Fund
|
||||
44.
|
Dreyfus Premier Worldwide Growth Fund, Inc.
|
||||
45.
|
Dreyfus Research Growth Fund, Inc.
|
||||
46.
|
Dreyfus State Municipal Bond Funds
|
||||
47.
|
Dreyfus Stock Funds
|
||||
48.
|
Dreyfus Short Duration Bond Fund
|
||||
49.
|
The Dreyfus Socially Responsible Growth Fund, Inc.
|
||||
50.
|
Dreyfus Stock Index Fund, Inc.
|
||||
51.
|
Dreyfus Tax Exempt Cash Management Funds
|
||||
52.
|
The Dreyfus Third Century Fund, Inc.
|
||||
53.
|
Dreyfus Treasury & Agency Cash Management
|
||||
54.
|
Dreyfus Treasury Prime Cash Management
|
||||
55.
|
Dreyfus U.S. Treasury Intermediate Term Fund
|
||||
56.
|
Dreyfus U.S. Treasury Long Term Fund
|
||||
57.
|
Dreyfus 100% U.S. Treasury Money Market Fund
|
||||
58.
|
Dreyfus Variable Investment Fund
|
||||
59.
|
Dreyfus Worldwide Dollar Money Market Fund, Inc.
|
||||
60.
|
General California Municipal Money Market Fund
|
||||
61.
|
General Government Securities Money Market Funds, Inc.
|
||||
62.
|
General Money Market Fund, Inc.
|
||||
63.
|
General Municipal Money Market Funds, Inc.
|
||||
64.
|
General New York Municipal Money Market Fund
|
(b)
|
||
Name and principal
Business address
|
Positions and offices with the Distributor
|
Positions and Offices with Registrant
|
Kenneth Bradle**
|
Chief Executive Officer, President and Director
|
None
|
J. Charles Cardona*
|
Chairman of the Board
|
Executive Vice President (Money Market Funds Only)
|
Sue Ann Cormack**
|
Executive Vice President
|
None
|
John M. Donaghey***
|
Executive Vice President
|
None
|
Tracy Hopkins*
|
Executive Vice President
|
None
|
William H. Maresca**
|
Executive Vice President and Director
|
None
|
David K. Mossman***
|
Executive Vice President
|
None
|
Kimberly M. Mustin*
|
Executive Vice President and Director
|
None
|
Christopher D. O'Connor*
|
Executive Vice President and Director
|
None
|
Irene Papadoulis**
|
Executive Vice President
|
None
|
Matthew Perrone**
|
Executive Vice President
|
None
|
Andrew Provencher*
|
Executive Vice President
|
None
|
Bradley J. Skapyak*
|
Executive Vice President
|
President
|
Bill E. Sappington*
|
Executive Vice President and Director
|
None
|
Gary Pierce*
|
Chief Financial Officer and Director
|
None
|
Brie A. Steingarten*
|
Chief Legal Officer and Secretary
|
None
|
Mercedes Katz**
|
Senior Vice President
|
None
|
Mary T. Lomasney****
|
Senior Vice President
|
None
|
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
|
Barbara A. McCann****
|
Senior Vice President
|
None
|
Matthew D. Connolly*
|
Vice President and Anti-Money Laundering 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
|
Charles Doumar********
|
Vice President – Tax
|
None
|
Timothy I. Barrett**
|
Vice President
|
None
|
Gina DiChiara*
|
Vice President
|
None
|
Jill Gill*
|
Vice President
|
None
|
Kathleen Geis******
|
Vice President
|
None
|
Dean M. Steigauf******
|
Vice President
|
None
|
Donna M. Impagliazzo**
|
Vice President – Compliance
|
None
|
Carla R. Wanzer*
|
Vice President – Compliance
|
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
|
James Bitetto*
|
Assistant Secretary
|
Vice President and
Assistant Secretary
|
Audrey Edwards***
|
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 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 94105.
|
******
|
Principal business address is 101 Barclay Street, New York, NY 10286.
|
*******
|
Principal business address is 2 Hanson Place, Brooklyn, NY 11217.
|
********
|
Principal business address is One Wall Street, New York, NY 10286.
|
Item 33.
|
Location of Accounts and Records
|
||
1.
|
The Bank of New York Mellon
|
||
One Wall Street
|
|||
New York, NY 10286
|
|||
2.
|
The Bank of New York Mellon
|
||
One Mellon Bank Center
|
|||
Pittsburgh, PA 15258
|
|||
3.
|
BNY Mellon Investment Servicing (US), Inc.
|
||
4400 Computer Drive
|
|||
Westborough, MA 01581
|
|||
4.
|
The Dreyfus Corporation
|
||
200 Park Avenue
|
|||
New York, NY 10166
|
|||
5.
|
The Dreyfus Corporation
|
||
2 Hanson Place
|
|||
Brooklyn, NY 11217
|
|||
Item 34.
|
Management Services
|
||
Not Applicable
|
|||
Item 35.
|
Undertakings
|
||
None
|
|||
STRATEGIC FUNDS, INC.
|
||
By:
|
/s/ Bradley J. Skapyak*
|
|
Name:
|
Bradley J. Skapyak
|
|
Title:
|
President
|
Signatures
|
Title
|
Date
|
|||
/s/ Bradley J. Skapyak*
|
President (Principal Executive Officer)
|
April 29, 2015
|
|||
Bradley J. Skapyak
|
|||||
/s/ James Windels*
|
Treasurer (Principal Financial
and Accounting Officer)
|
April 29, 2015
|
|||
James Windels
|
|||||
/s/ Joseph S. DiMartino*
|
Chairman of the Board
|
April 29, 2015
|
|||
Joseph S. DiMartino
|
|||||
/s/ William Hodding Carter III*
|
Board Member
|
April 29, 2015
|
|||
William Hodding Carter III
|
|||||
/s/ Gordon J. Davis*
|
Board Member
|
April 29, 2015
|
|||
Gordon J. Davis
|
|||||
/s/ Joni Evans*
|
Board Member
|
April 29, 2015
|
|||
Joni Evans
|
|||||
/s/ Ehud Houminer*
|
Board Member
|
April 29, 2015
|
|||
Ehud Houminer
|
|||||
/s/ Richard C. Leone*
|
Board Member
|
April 29, 2015
|
|||
Richard C. Leone
|
|||||
/s/ Hans C. Mautner*
|
Board Member
|
April 29, 2015
|
|||
Hans C. Mautner
|
|||||
/s/ Robin A. Melvin*
|
Board Member
|
April 29, 2015
|
|||
Robin A. Melvin
|
|||||
/s/ Burton N. Wallack*
|
Board Member
|
April 29, 2015
|
|||
Burton N. Wallack
|
|||||
/s/ John E. Zuccotti*
|
Board Member
|
April 29, 2015
|
|||
John E. Zuccotti
|
*BY:
|
/s/ John B. Hammalian
|
John B. Hammalian,
Attorney-in-Fact
|
(d)(xvii)
|
Sub-Investment Advisory Agreement
|
Very truly yours,
|
|
THE DREYFUS CORPORATION
|
|
By: _________________________
Name: Bradley J. Skapyak
Title: Chief Operating Officer
|
|
Accepted:
|
|
THE BOSTON COMPANY ASSET MANAGEMENT, LLC
|
|
By: ___________________________
Name: Adam Joffe
Title: Executive Vice President
|
Name of Fund
|
Annual Fee as a
Percentage of Average Daily Net Sub-Advised Assets |
Reapproval Date
|
Reapproval Day
|
Dreyfus MLP Fund
|
November 30, 2016
|
November 30th
|