0000899681-15-000301.txt : 20150429 0000899681-15-000301.hdr.sgml : 20150429 20150429153126 ACCESSION NUMBER: 0000899681-15-000301 CONFORMED SUBMISSION TYPE: POS EX PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20150429 DATE AS OF CHANGE: 20150429 EFFECTIVENESS DATE: 20150429 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: 15812078 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 p15-0141_posex.htm POS EX p15-0141_posex.htm

Securities Act File No. 2-88816
Investment Company Act File No. 811-3940

 
U.S. 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. 109         /X/
 
AND/OR
 
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940      /X/
 
AMENDMENT NO. 109     /X/
 
(Check appropriate box or boxes.)
__________________________________________________________________
 
STRATEGIC FUNDS, INC.
(Exact Name of Registrant as Specified in its 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
 
John Pak, 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 Maiden Lane
New York, New York 10038
 
 
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 (d)(xvii) to Item 28 to the Registration Statement.
 
 
This Post-Effective Amendment is being filed solely to file the Sub-Investment Advisory Agreement between The Dreyfus Corporation and The Boston Company Asset Management, LLC with respect to Dreyfus MLP Fund as Exhibit (d)(xvii) to Item 28 to the Registration Statement on Form N-1A.  This Post-Effective Amendment does not modify any other part of the Registration Statement.
 


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.
   
(a)(x)
Articles of Supplementary for Class I shares of International Stock Fund are incorporated by reference to Exhibit (a)(x) of Post-Effective Amendment No. 90 to the Registration Statement on Form N-1A, filed, on June 25, 2013.
   
(a)(xi)
Form of Articles of Supplementary for Class Y shares of Dreyfus Select Managers Small Cap Growth Fund, Dreyfus Select Managers Small Cap Value Fund, Dreyfus U.S. Equity Fund, Global Stock Fund and International Stock Fund is incorporated by reference to Exhibit (a)(xi) of Post-Effective Amendment No. 90 to the Registration Statement on Form N-1A, filed, on June 25, 2013.
   
(a)(xii)
Articles Supplementary for Class I shares of Global Stock Fund are incorporated by reference to Exhibit (a)(xii) of Post-Effective Amendment No. 97 to the Registration Statement on Form N-1A, filed, on March 27, 2014.
   
(a)(xiii)
Articles Supplementary are incorporated by reference to Exhibit (a)(xiii) of Post-Effective Amendment No. 107 to the Registration Statement on Form N-1A ("Post-Effective Amendment No. 107"), filed on April 22, 2015.
   
(b)
Registrant's Bylaws, as amended, is incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A, filed on December 28, 2011.
   
(d)(i)
Management Agreement is incorporated by reference to Exhibit (d)(i) of Post-Effective Amendment No. 107.
   
(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 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.
   
(d)(iv)
Sub-Investment Advisory Agreement with Thompson, Siegel and Walmsley LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(iv) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on December 16, 2008.
   
(d)(v)
Sub-Investment Advisory Agreement with Neuberger Berman Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(v) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on March 30, 2010.
   
(d)(vi)
Sub-Investment Advisory Agreement with Riverbridge Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(vi) of Post-Effective Amendment No. 84 to the Registration Statement on Form N-1A, filed on December 26, 2012.
   
(d)(vii)
Sub-Investment Advisory Agreement with Geneva Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (d)(vii) of Post-Effective Amendment No. 101 to the Registration Statement on Form N-1A, filed on September 25, 2014.
   
(d)(viii)
Sub-Investment Advisory Agreement with Cupps Capital Management, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(viii) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 29, 2010.
   
(d)(ix)
Sub-Investment Advisory Agreement with Lombardia Capital Partners, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(ix) of Post-Effective Amendment No. 79 to the Registration Statement on Form N-1A, filed, on April 27, 2012.
   
(d)(x)
Sub-Investment Advisory Agreement with Nicholas Investment Partners, L.P., with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(x) of Post-Effective Amendment No. 79 to the Registration Statement on Form N-1A, filed, on April 27, 2012.
   
(d)(xi)
Sub-Investment Advisory Agreement with Iridian Asset Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(xi) of Post-Effective Amendment No. 79 to the Registration Statement on Form N-1A, filed, on April 27, 2012.
   
(d)(xii)
Sub-Investment Advisory Agreement with Kayne Anderson Rudnick Investment Management, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (d)(xiii) of Post-Effective Amendment No. 82 to the Registration Statement on Form N-1A, filed, on September 28, 2012.
   
(d)(xiii)
Sub-Investment Advisory Agreement with EAM Investors, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xv) of Post-Effective Amendment No. 84 to the Registration Statement on Form N-1A, filed on December 26, 2012.
   
(d)(xiv)
Sub-Investment Advisory Agreement with Rice Hall James & Associates, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xv) of Post-Effective Amendment No. 95 to the Registration Statement on Form N-1A, filed on December 26, 2013.
   
(d)(xv)
Sub-Investment Advisory Agreement with Granite Investments Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (d)(xvi) of Post-Effective Amendment No. 95 to the Registration Statement on Form N-1A, filed on December 26, 2013.
   
(d)(xvi)
Sub-Investment Advisory Agreement with Channing Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (d)(xvi) of Post-Effective Amendment No. 101 to the Registration Statement on Form N-1A, filed on September 25, 2014.
   
(d)(xvii)
Sub-Investment Advisory Agreement with The Boston Company Asset Management, LLC, with respect to Dreyfus MLP Fund.*
   
(d)(xviii)
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.
   
(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)(ii) of Post-Effective Amendment No. 67 to the Registration Statement on Form N-1A, filed on March 30, 2011.
   
(g)(ii)
Amendment to Custody Agreement with The Bank of New York Mellon is incorporated by reference to Exhibit (g)(ii) of Post-Effective Amendment No. 95 to the Registration Statement on Form N-1A, filed on December 26, 2013.
   
(h)
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.
   
(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.
   
(m)(i)
Rule 12b-1 Distribution Plan is incorporated by reference to Exhibit (m)(i) of Post-Effective Amendment No. 107.
   
(m)(ii)
Shareholder Services Plan is incorporated by reference to Exhibit (m)(ii) of Post-Effective Amendment No. 107.
   
(n)
Rule 18f-3 Plan is incorporated by reference to Exhibit (n) of Post-Effective Amendment No. 107.
   
(p)(i)
Revised Code of Ethics of the Bank of New York Mellon and its affiliates and the Registrant is incorporated by reference to Exhibit (p)(i) of Post-Effective Amendment No. 106 to the Registration Statement on From N-1A ("Post-Effective Amendment No. 106"), filed on March 30, 2015.
   
(p)(ii)
Revised Code of Ethics for Walthausen & Co, LLC, with respect to Dreyfus Select Manager Small Cap Value Fund, is incorporated by reference to Exhibit (p)(ii) of Post-Effective Amendment No. 95 to the Registration Statement on Form N-1A, filed on December 26, 2013.
   
(p)(iii)
Revised Code of Ethics for Riverbridge Partners, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (p)(iii) of Post-Effective Amendment No. 79 to the Registration Statement on Form N-1A, filed on April 27, 2012.
   
(p)(iv)
Revised Code of Ethics for Thompson, Siegel and Walmsley LLC with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (p)(iv) of Post-Effective Amendment No. 99 to the Registration Statement on Form N-1A, filed on April 29, 2014.
   
(p)(v)
Revised Code of Ethics for Lombardia Capital Partners, LLC with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(v) of Post-Effective Amendment No. 79 to the Registration Statement on Form N-1A, filed on April 27, 2012.
   
(p)(vi)
Revised Code of Ethics for Cupps Capital Management, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(vi) of Post-Effective Amendment No. 86 to the Registration Statement on Form N-1A, filed on March 27, 2013.
   
(p)(vii)
Revised Code of Ethics for Geneva Capital Management, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund, is incorporated by reference to Exhibit (p)(vii) of Post-Effective Amendment No. 103 to the Registration Statement on Form N-1A, filed on December 23, 2014.
   
(p)(viii)
Revised Code of Ethics for Iridian Asset Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(viii) of Post-Effective Amendment No. 93 to the Registration Statement on Form N-1A, filed on September 30, 2013.
   
(p)(ix)
Revised Code of Ethics for Neuberger Berman Group LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(ix) of Post-Effective Amendment No. 78 to the Registration Statement on Form N-1A, filed on April 30, 2012.
   
(p)(x)
Revised Code of Ethics for Nicholas Investment Partners, LLC with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(x) of Post-Effective Amendment No. 99 to the Registration Statement on Form N-1A, filed, on April 29, 2014.
   
(p)(xi)
Code of Ethics for Kayne Anderson Rudnick Investment Management, LLC, with respect to Dreyfus Select Managers Small Cap Value Fund is incorporated by reference to Exhibit (p)(xii) of Post-Effective Amendment No. 82 to the Registration Statement on Form N-1A, filed, on September 28, 2012.
   
(p)(xii)
Code of Ethics for EAM Investors, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xiv) of Post-Effective Amendment No. 84 to the Registration Statement on Form N-1A, filed on December 26, 2012.
   
(p)(xiii)
Code of Ethics for Granite Investment Partners, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xiv) of Post-Effective Amendment No. 95 to the Registration Statement on Form N-1A, filed on December 26, 2013.
   
(p)(xiv)
Code of Ethics for Rice Hall James & Associates, LLC, with respect to Dreyfus Select Managers Small Cap Growth Fund is incorporated by reference to Exhibit (p)(xv) of Post-Effective Amendment No. 95 to the Registration Statement on Form N-1A, filed on December 26, 2013.
   
(p)(xv)
Code of Ethics for Channing Capital Management LLC, with respect to Dreyfus Select Managers Small Cap Value Fund, is incorporated by reference to Exhibit (p)(xv) of Post-Effective Amendment No. 101 to the Registration Statement on Form N-1A, filed on September 25, 2014.
   
(p)(xvi)
Code of Ethics for the Nonmanagement Board members of the Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(xii) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on March 30, 2010.

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. 106.
   
(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.

____________
 
*Filed herewith.
 
Item 29.
Persons Controlled by or under Common Control with Registrant.
   
 
Not Applicable
   
Item 30.
Indemnification.
   
 
The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant.  The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including 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:
   
 
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.
   
Item 31.
Business and Other Connections of the 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  other investment companies for which Dreyfus acts as investment adviser, sub-investment adviser or administrator.

Name and Position
With Dreyfus
Other Businesses
Position Held
Dates
       
J. Charles Cardona
President and Director
MBSC Securities Corporation++
Director
Executive Vice President
6/07 - Present
6/07 - Present
       
 
BNY Mellon Liquidity Funds plc+
Director
4/06 - Present
 
Certain Dreyfus Funds
Executive Vice President
Director
2/00 - Present
2/14 - Present
       
Diane P. Durnin
Vice Chair and Director
None
   
       
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
5/11 - Present
5/10 - Present
       
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
       
 
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
       
Christopher O'Connor
Chief Administrative Officer
MBSC Securities Corporation++
Executive Vice President
Senior Vice President
12/11 - Present
5/06 - 12/11
 
       
John Pak
Chief Legal Officer
The BNY Mellon Corporation***
Deputy General Counsel, Investment Management
8/14 - Present
       
Charles Doumar
Vice President – Tax
Asset Recovery II, LLC****
Assistant Treasurer
9/13 - Present
 
Asset Recovery III, LLC****
Assistant Treasurer
9/13 - Present
       
 
Asset Recovery IV, LLC****
Assistant Treasurer
9/13 - Present
       
 
Asset Recovery V, LLC****
Assistant Treasurer
9/13 - Present
       
 
Asset Recovery VII, LLC****
Assistant Treasurer
9/13 - Present
       
 
Asset Recovery XIII, LLC****
Assistant Treasurer
3/13 - Present
       
 
Asset Recovery XIV, LLC****
Assistant Treasurer
3/13 - Present
       
 
Asset Recovery XIX, LLC****
Assistant Treasurer
7/13 - Present
       
 
Asset Recovery XV, LLC****
Assistant Treasurer
3/13 - Present
       
 
Asset Recovery XVI, LLC****
Assistant Treasurer
3/13 - Present
       
 
Asset Recovery XVII, LLC****
Assistant Treasurer
3/13 - Present
       
 
Asset Recovery XVIII, LLC****
Assistant Treasurer
7/13 - Present
       
 
Asset Recovery XX, LLC****
Assistant Treasurer
7/13 - Present
       
 
Asset Recovery XXI, LLC****
Assistant Treasurer
7/13 - Present
       
 
Asset Recovery XXII, LLC****
Assistant Treasurer
7/13 - Present
       
 
Asset Recovery XXIII, LLC****
Assistant Treasurer
7/13 - Present
       
 
BNY Mellon Investments CTA, LLC****
Assistant Treasurer
9/13 - Present
       
 
BNY Mellon Trust of Delaware+
Assistant Treasurer
11/13 - Present
       
 
IVY Asset Management LLC+
Assistant Treasurer
9/13 - Present
       
 
Mellon Hedge Advisors, LLC****
Assistant Treasurer
10/13 - Present
       
 
MUNB Loan Holdings, LLC****
Assistant Treasurer
10/13 - Present
       
 
484Wall Capital Management LLC****
Assistant Treasurer – Tax
10/13 - Present
       
 
Airlease Incorporated****
Assistant Treasurer – Tax
7/13 - Present
       
 
Albridge Solutions, Inc.+++++
Assistant Treasurer – Tax
7/13 - Present
       
 
Allomon Corporation
Assistant Treasurer – Tax
5/13 - Present
       
 
AP Residential Realty, Inc. +
Assistant Treasurer – Tax
8/13 - Present
       
 
APT Holdings Corporation++++
Assistant Treasurer – Tax
11/13 - Present
       
 
AURORA-IRE, Inc.****
Assistant Treasurer – Tax
7/13 - Present
       
 
B.I.E. Corporation+
Assistant Treasurer – Tax
12/13 – Present
       
 
B.N.Y. Holdings (Delaware) Corporation††
Assistant Treasurer – Tax
4/13 - Present
       
 
BNY Capital Corporation****
Assistant Treasurer – Tax
9/13 - Present
       
 
BNY Capital Markets Holdings, Inc.****
Assistant Treasurer – Tax
9/13 - Present
       
 
BNY Capital Resources Corporation****
Assistant Treasurer – Tax
3/13 - Present
       
 
BNY Cargo Holdings LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Catair LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Falcon Three Holding Corp.****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Foreign Holdings, Inc.****
Assistant Treasurer – Tax
10/13 - Present
       
 
BNY Gator LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Hitchcock Holdings LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Housing I Corp.****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Housing II LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY ITC Leasing, LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Lease Equities (Cap Funding) LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Lease Holdings LLC****
Assistant Treasurer – Tax
7/13 - Present
 
 
   
 
BNY Lease Partners LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Leasing Edge Corporation****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Mellon Alternative Investments Holdings LLC****
Assistant Treasurer – Tax
10/13 - Present
       
 
BNY Mellon Capital Markets, LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Mellon Clearing Holding Company, LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Mellon Fixed Income Securities, LLC****
Assistant Treasurer – Tax
8/13 - Present
       
 
BNY Mellon Trust Company of Illinois+
Assistant Treasurer – Tax
3/13 - Present
       
 
BNY Mezzanine Funding LLC****
Assistant Treasurer – Tax
5/13 - Present
       
 
BNY Mezzanine Holdings LLC****
Assistant Treasurer – Tax
5/13 - Present
       
 
BNY Mezzanine Non NY Funding LLC****
Assistant Treasurer – Tax
5/13 - Present
       
 
BNY Mezzanine NY Funding LLC****
Assistant Treasurer – Tax
5/13 - Present
       
 
BNY Partnership Funding LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Rail Maintenance LLC****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Recap I, LLC****
Assistant Treasurer – Tax
9/13 - Present
       
 
BNY Salvage Inc.****
Assistant Treasurer – Tax
3/13 - Present
       
 
BNY Waterworks, Inc.****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNY Wings, Inc.****
Assistant Treasurer – Tax
7/13 - Present
       
 
BNYM GIS Funding I LLC****
Assistant Treasurer – Tax
6/13 - Present
       
 
BNYM GIS Funding III LLC****
Assistant Treasurer – Tax
6/13 - Present
       
 
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.
 
 
(b)           Business and Other Connections of Sub-Investment Adviser
 
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Walter Scott & Partners Limited, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Walter Scott & Partners Limited or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Walter Scott & Partners Limited (SEC File No. 801-19420).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Walthausen & Co., LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Walthausen & Co., LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Walthausen & Co., LLC (SEC File No. 801-68321).
 
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Thompson, Siegel and Walmsley LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Thompson, Siegel and Walmsley LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Thompson, Siegel and Walmsley LLC (SEC File No. 801-6273).
 
Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Neuberger Berman Management LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Neuberger Berman Management LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Neuberger Berman Management LLC (SEC File No. 801-8259).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Riverbridge Partners, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Riverbridge Partners, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Riverbridge Partners, LLC (SEC File No. 801-57432).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Geneva Capital Management, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Geneva Capital Management, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Geneva Capital Management, LLC (SEC File No. 801-28444).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Cupps Capital Management, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Cupps Capital Management, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Cupps Capital Management, LLC (SEC File No. 801-60017).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Lombardia Capital Partners, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Lombardia Capital Partners, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Lombardia Capital Partners, LLC (SEC File No. 801-35519).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Nicholas Investment Partners, L.P., a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Nicholas Investment Partners, L.P. or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Nicholas Investment Partners, L.P. (SEC File No. 801-66532).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Iridian Asset Management LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Iridian Asset Management LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Iridian Asset Management LLC (SEC File No. 801-50661).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Kayne Anderson Rudnick Investment Management, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Kayne Anderson Rudnick Investment Management, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Kayne Anderson Rudnick Investment Management, LLC (SEC File No. 801-24241).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of EAM Investors, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by EAM Investors, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by EAM Investors, LLC (SEC File No. 801-70305).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Rice Hall James & Associates, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Rice Hall James & Associates, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Rice Hall James & Associates, LLC (SEC File No. 801-61905).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Granite Investment Partners, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Granite Investment Partners, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Granite Investment Partners, LLC (SEC File No. 801-70383).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Channing Capital Management LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Channing Capital Management LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Channing Capital Management LLC (SEC File No. 801-62371).

Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of The Boston Company Asset Management, LLC, a sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by The Boston Company Asset Management, LLC or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by The Boston Company Asset Management, LLC (SEC File No. 801-6829).

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 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
 
     
 


SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant 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, State of New York, on the 29th day of April, 2015.

STRATEGIC FUNDS, INC.
 
 
By:
/s/  Bradley J. Skapyak*
 
Name:
Bradley J. Skapyak
 
Title:
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 dates indicated.

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

 
Index of Exhibits


 
(d)(xvii)
Sub-Investment Advisory Agreement
 


EX-99 2 p15-0140_exhdxvii.htm EXHIBIT (D)(XVII) p15-0140_exhdxvii.htm

SUB-INVESTMENT ADVISORY AGREEMENT
 
THE DREYFUS CORPORATION
200 Park Avenue
New York, New York  10166
 
April 22, 2015
 
The Boston Company Asset Management, LLC
BNY Mellon Center
One Boston Place
Boston, Massachusetts  02108
 
Ladies and Gentlemen:
 
Strategic Funds, Inc. (the "Company") desires to employ the capital of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a "Fund"), by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the relevant Fund's Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Company's Board.  The Company employs The Dreyfus Corporation (the "Adviser") to act as the Fund's investment adviser pursuant to a written agreement (the "Management Agreement"), a copy of which has been furnished to you.  The Adviser is authorized to and desires to retain you, and you hereby agree to accept such retention, to act as the Fund's sub-investment adviser with respect to that portion of the Fund's assets which may be assigned to you from time to time (the "sub-advised assets").
 
In connection with your serving as sub-investment adviser to the Fund, it is understood that from time to time you will employ or associate with yourself such person or persons as you may believe to be particularly fitted to assist you in the performance of this Agreement.  Such person or persons may be officers or employees of both you and the Company.  The compensation of such person or persons shall be paid by you and no obligation may be incurred on the Company's behalf in any such respect.
 
Subject to the supervision and approval of the Adviser and the Company's Board, you will provide investment management of the sub-advised assets.  Your advisory duties and responsibilities hereunder shall pertain only to the sub-advised assets.  You will provide such investment management in accordance with the Fund's investment objective(s), policies and limitations as stated in the Fund's Prospectus and Statement of Additional Information as from time to time in effect and provided to you by the Adviser.  In connection therewith, you (i) will obtain and provide investment research and supervise the Fund's investments with respect to the sub-advised assets and (ii) will conduct a continuous program of investment, evaluation and, if appropriate, sale and reinvestment of the sub-advised assets, including the placing of portfolio transactions for execution with brokers or dealers.  You agree that, in placing any orders with selected brokers and dealers, you will attempt to obtain the best net result in terms of price and execution.  Consistent with this obligation and in accordance with applicable securities laws, you, in your discretion, may cause the Fund to purchase and sell portfolio securities from and to brokers and dealers who provide the Fund, the Adviser's other clients, or your other clients with research, analysis, advice and similar services.  You may cause the Fund to pay to brokers and dealers, in return for such research and analysis, a higher commission than may be charged by other brokers and dealers, subject to your good faith determination that such commission is reasonable in terms either of the particular transaction or of your overall responsibility to the Company, the Fund and your other clients and that the total commissions paid by the Fund will be reasonable in relation to the benefits to the Fund over the long term and, if applicable, subject to compliance with Section 28(e) of the Securities Exchange Act of 1934, as amended.  Such authorization is subject to termination at any time by the Company's Board for any reason.  In addition, you are authorized to allocate purchase and sale orders for portfolio securities to brokers and dealers that are affiliated with you, the Adviser, the Fund's principal underwriter or any other sub-investment adviser to the Fund if you believe that the quality of the transaction and the commission are comparable to what they would be with other qualified firms, and provided that the transactions are consistent with the Company's Rule 17e-1 procedures as they may be provided to you by the Adviser from time to time.  In no instance may portfolio securities be purchased from or sold to you, the Adviser, the Fund's principal underwriter, any other sub-investment adviser to the Fund or any person affiliated with you, the Adviser, the Fund's principal underwriter, any other sub-investment adviser to the Fund or the Fund, except in accordance with the applicable securities laws and the rules and regulations thereunder, including Rules 17a-7 and 17a-10 under the Investment Company Act of 1940, as amended, and any exemptive order then currently in effect.  The Adviser will periodically provide you with a list of the affiliates of the Adviser or the Fund to which investment restrictions apply, and will specifically identify in writing (a) all publicly traded companies in which the Fund may not invest, together with ticker symbols for all such companies, and (b) any affiliated brokers and any restrictions that apply to the use of those brokers by the Fund.
 
Proxies of companies whose shares are part of the sub-advised assets shall be voted as described in the Fund's Prospectus and Statement of Additional Information, and you shall not be required to assume any responsibility for the voting of such proxies without your prior consent.  You are authorized and agree to act on behalf of the Fund with respect to any reorganizations, exchange offers and other voluntary corporate actions in connection with securities held in the sub-advised assets in such manner as you deem advisable, unless the Fund or the Adviser otherwise specifically directs in writing.  You shall have no responsibility with respect to the collection of income, physical acquisition or the safekeeping of the sub-advised assets.  The Adviser shall furnish you with copies of the Fund's Prospectuses, Statements of Additional Information and shareholder reports.  You will be provided the opportunity to review and approve any description of you and your investment process set forth in the Fund's Prospectus, Statement of Additional Information and shareholder reports.  The Adviser also will furnish you with copies of Prospectus or Statement of Additional Information supplements that disclose any changes to the Fund's investment objective, policies, strategies or restrictions.
 
You will furnish to the Adviser or the Fund such information, with respect to the investments which the Fund may hold or contemplate purchasing in connection with the sub-advised assets, as the Adviser or the Company may reasonably request.  The Company and the Adviser wish to be informed of important developments materially affecting the sub-advised assets and shall expect you, on your own initiative, to furnish to the Company or the Adviser from time to time such information as you may believe appropriate for this purpose.  In connection therewith, you will notify the Adviser if you become aware of any securities litigation class actions or settlements affecting the investments which the Fund may hold or may have held in the sub-advised assets.  Upon reasonable request, you will make available your officers and employees to meet with the Company's Board and/or the Adviser to review the sub-advised assets.
 
You will maintain all books and records with respect to the securities transactions of the Fund for the sub-advised assets as required by applicable law, and will furnish the Company's Board and the Adviser with such periodic and special reports as the Company's Board or the Adviser reasonably may request.  You hereby agree that all records which you maintain for the Company or the Adviser are the property of the Company or the Adviser, and agree to preserve for the periods prescribed by applicable law any records which you maintain for the Company or the Adviser and which are required to be maintained, and further agree to surrender promptly to the Company or the Adviser any records which you maintain for the Company or the Adviser upon request by the Company or the Adviser, provided that you shall have reasonable opportunity to create and maintain copies of applicable records.
 
The Adviser and you each agree to comply with applicable laws, rules and regulations, including the Investment Advisers Act of 1940, as amended, and the Investment Company Act of 1940, as amended.  You will promptly notify the Company's Chief Compliance Officer (a) in the event the Securities and Exchange Commission or other governmental authority has censured you, placed limitations upon your activities, functions or operations, suspended or revoked your registration, as an investment adviser, or has commenced proceedings or an investigation that may result in any of these actions; or (b) upon becoming aware of any material fact relating to you that is not contained in the Fund's Prospectus or Statement of Additional Information, and is required to be stated therein or necessary to make the statements therein not misleading, or of any statement contained therein that becomes untrue in any material respect.  Upon request, and in accordance with the scope of your obligations and responsibilities contained in this Agreement, you will provide reasonable assistance to the Company in connection with the Fund's compliance with applicable provisions of the Sarbanes-Oxley Act of 2002 and the rules and regulations thereunder, and Rule 38a-1 under the Investment Company Act of 1940, as amended.  Such assistance shall include, but not be limited to, (i) certifying periodically, upon the request of the Company's Chief Compliance Officer, that you are in compliance with all applicable "federal securities laws," as required by Rule 38a-1 under the Investment Company Act of 1940, as amended, and Rule 206(4)-7 under the Investment Advisers Act of 1940, as amended; (ii) facilitating and cooperating with the Company's Chief Compliance Officer to evaluate the effectiveness of your compliance controls; (iii) providing the Company's Chief Compliance Officer with direct access to your compliance personnel; (iv) providing the Company's Chief Compliance Officer with periodic reports; and (v) promptly providing the Company's Chief Compliance Officer with special reports in the event of material compliance violations.  Upon request, you will provide certifications to the Company, in a form satisfactory to the Company, to be relied upon by the Company's officers certifying the Company's periodic reports on Form N-CSR pursuant to Rule 30a-2 under the Investment Company Act of 1940, as amended.
 
In consideration of services rendered pursuant to this Agreement, the Adviser will pay you on the first business day of each month, out of the management fee it receives and only to the extent thereof, a fee at the annual rate set forth on Schedule 1 hereto.  If the Adviser waives all or a portion of the management fee it is entitled to receive from the Fund, the fee payable to you pursuant to this Agreement may be reduced as you and the Adviser mutually agree.  The fee for the period from the date of the commencement of the public sale of the Fund's shares to the end of the month during which such sale shall have been commenced shall be pro-rated according to the proportion which such period bears to the full monthly period, and upon any termination of this Agreement before the end of any month, the fee for such part of a month shall be pro-rated according to the proportion which such period bears to the full monthly period and shall be payable within 10 business days of the date of termination of this Agreement.  For the purpose of determining fees payable to you, the value of the Fund's net sub-advised assets shall be computed in the manner specified in the Fund's then-current Prospectus and Statement of Additional Information for the computation of the value of the Fund's net assets.
 
Net asset value shall be computed on such days and at such time or times as described in the Fund's then-current Prospectus and Statement of Additional Information.  You agree to monitor the sub-advised assets and to notify the Adviser on any day that you determine that a significant event has occurred with respect to one or more securities held in the sub-advised assets that would materially affect the value of such securities (provided that you shall not be responsible for providing information based on valuations provided by third party services which value securities based upon changes in one or more broad-based indices).  At the request of the Adviser or the Company's Valuation Committee, you agree to provide additional reasonable assistance to the Adviser, the Company's Valuation Committee and the Fund's pricing agents in valuing the sub-advised assets, including in connection with fair value pricing of the sub-advised assets.
 
You will bear all expenses in connection with the performance of your services under this Agreement.  All other expenses to be incurred in the operation of the Fund (other than those borne by the Adviser) will be borne by the Fund, except to the extent specifically assumed by you.  The expenses to be borne by the Fund include, without limitation, the following:  taxes, interest, loan commitment fees, interest and distributions paid on securities sold short, brokerage fees and commissions, if any, fees of Board members who are not the Adviser's or your officers, directors or employees or holders of 5% or more of the outstanding voting securities of you or the Adviser or any affiliate of you or the Adviser, Securities and Exchange Commission fees, state Blue Sky qualification fees, advisory fees, charges of custodians, transfer and dividend disbursing agents' fees, certain insurance premiums, industry association fees, outside auditing and legal expenses, costs of independent pricing services, costs of maintaining the Fund's existence, costs attributable to investor services (including, without limitation, telephone and personnel expenses), costs of preparing and printing prospectuses and statements of additional information for regulatory purposes and for distribution to existing stockholders, costs of stockholders' reports and meetings, and any extraordinary expenses.
 
The Adviser understands that in entering into this Agreement you have relied upon the inducements made by the Company to you under the Management Agreement.  The Adviser also understands that you now act, and that from time to time hereafter you may act, as investment adviser or sub-investment adviser to one or more investment companies and fiduciary or other managed accounts, and the Adviser has no objection to your so acting, provided that when the purchase or sale of securities of the same issuer is suitable for the investment objectives of two or more companies or accounts managed by you and which have available funds for investment in the case of a purchase, the available securities will be allocated in a manner believed by you to be equitable to each company or account.  It is recognized that in some cases this procedure may adversely affect the price paid or received by the Fund or the size of the position obtainable for or disposed of by the Fund.
 
It is also understood that (i) you shall be prohibited from consulting with any other sub-investment adviser to the Fund (including, in the case of an offering of securities subject to Section 10(f) of the Investment Company Act of 1940, as amended, any sub-investment adviser that is a principal underwriter or an affiliated person of a principal underwriter of such offering) concerning transactions for the Fund in securities or other assets, except, in the case of transactions involving securities of persons engaged in securities-related businesses, for purposes of complying with the conditions of paragraphs (a) and (b) of Rule 12d3-1 under the Investment Company Act of 1940, as amended, and (ii) your responsibility regarding investment advice hereunder is limited to the sub-advised assets.
 
In addition, it is understood that the persons employed by you to assist in the performance of your duties hereunder will not devote their full time to such services and nothing contained herein shall be deemed to limit or restrict your right or the right of any of your affiliates to engage in and devote time and attention to other businesses or to render services of whatever kind or nature.
 
You shall exercise your best judgment in rendering the services to be provided hereunder, and the Adviser agrees as an inducement to your undertaking the same that you shall not be liable hereunder for any error of judgment or mistake of law or for any loss suffered by the Company, the Fund, the Fund's security holders, or the Adviser, provided that nothing herein shall be deemed to protect or purport to protect you against any liability to the Adviser, the Company, the Fund or the Fund's security holders to which you would otherwise be subject by reason of willful misfeasance, bad faith or gross negligence in the performance of your duties hereunder, or by reason of your reckless disregard of your obligations and duties under this Agreement.  In no event will you have any responsibility for any other series of the Company, for any portion of the Fund's assets not managed by you or for the acts or omissions of the Adviser or any other sub-investment adviser to the Company or the Fund.  In particular, in the event that you manage only a segment of the Fund's assets, you shall have no responsibility for the Fund being in violation of any applicable law or regulation or investment policy or restriction applicable to the Fund as a whole, or for the Fund failing to qualify as a regulated investment company under the Internal Revenue Code of 1986, as amended (the "Code"), if the securities and other holdings of the segment of the Fund's assets managed by you are such that your segment would not be in such violation or fail to so qualify if such segment were deemed a separate series of the Company or a separate regulated investment company under the Code, unless such violation was due to your failure to comply with written guidelines adopted by the Company or the Adviser and provided to you.  Any person, even though also your officer, director, partner, employee or agent, who may be or become an officer, Board member, employee or agent of the Company, shall be deemed, when rendering services to the Company or acting on any business of the Company, to be rendering such services to or acting solely for the Company and not as your officer, director, partner, employee, or agent or one under your control or direction even though paid by you.
 
As to each Fund, this Agreement shall continue until the date set forth opposite such Fund's name on Schedule 1 hereto (the "Reapproval Date"), and thereafter shall continue automatically for successive annual periods ending on the day of each year set forth opposite the Fund's name on Schedule 1 hereto (the "Reapproval Day"), provided such continuance is specifically approved at least annually by (i) the Company's Board or (ii) vote of a majority (as defined in the Investment Company Act of 1940, as amended) of the Fund's outstanding voting securities, provided that in either event its continuance also is approved by a majority of the Company's Board members who are not "interested persons" (as defined in said Act) of the Company or any party to this Agreement, by vote cast in person at a meeting called for the purpose of voting on such approval.  As to each Fund, this Agreement is terminable without penalty (i) by the Adviser on not more than 60 days' notice to you, (ii) by the Company's Board or by vote of the holders of a majority of the Fund's outstanding voting securities on not more than 60 days' notice to you, or (iii) by you on not less than 90 days' notice to the Company and the Adviser.  This Agreement also will terminate automatically, as to the relevant Fund, in the event of its assignment (as defined in said Act or the Investment Advisers Act of 1940, as amended) and you shall be notified by the Company and the Adviser, or you shall notify the Company and the Adviser, as applicable, as soon as reasonably practicable and as permissible under applicable law or agreement, before any such assignment occurs.  In addition, notwithstanding anything herein to the contrary, if the Management Agreement terminates for any reason, this Agreement shall terminate effective upon the date the Management Agreement terminates.
 
The Adviser acknowledges that it has received and has had an opportunity to read a copy of your Form ADV Part 2A (the "Brochure") and a copy of the Form ADV Part 2B with respect to your personnel with the most significant responsibility for providing advisory services to the Fund (the "Brochure Supplement").  The Adviser agrees that the Brochure and Brochure Supplement, as well as other client communications, may be transmitted to the Adviser electronically.
 
Unless indicated on Schedule 1 hereto, the Fund has claimed an exclusion from the definition of a Commodity Pool Operator pursuant to CFTC Rule 4.5 (the "CPO Exclusion") and you shall not manage the sub-advised assets in a manner that would cause the Fund (as if the Fund was comprised solely of the sub-advised assets) to not qualify for the CPO Exclusion until otherwise indicated for the Fund on such Schedule.  If a Fund is identified on Schedule 1 as not claiming the CPO Exclusion and you intend to rely on CFTC Rule 4.7, unless Schedule 1 states to the contrary, the Adviser represents that the Fund is a "qualified eligible person" under the rule, consents to the Fund being treated as an exempt account under the rule, and acknowledges the legend set forth above its signature below.
 
No provision of this Agreement may be changed, waived or discharged unless signed in writing by the parties hereto.  This Agreement shall be governed by the laws of the State of New York, without regard to the conflict of law principles thereof, provided that nothing herein shall be construed in a manner inconsistent with the Investment Company Act of 1940, as amended, or the Investment Advisers Act of 1940, as amended.  This Agreement may be executed in several counterparts, each of which shall be deemed an original for all purposes, including judicial proof of the terms hereof, and all of which together shall constitute and be deemed one and the same agreement.  Nothing in this Agreement shall be deemed a limitation or waiver of any obligation or duty that may not by law be limited or waived.  If any one or more of the provisions of this Agreement shall be held contrary to express law or against public policy, or shall for any reason whatsoever be held invalid, then such provisions shall be deemed severable from the remainder of this Agreement and shall in no way affect the validity or enforceability of the other provisions of this Agreement.
 
Unless otherwise provided herein or agreed to in writing by the parties, all notices or instructions permitted or required under this Agreement shall be deemed to have been properly given if sent by regular first-class mail, registered mail, private courier, facsimile or electronically and addressed to (or delivered to) the respective party at the address set forth above or at such other address or addresses as shall be specified, in each case, in a notice similarly given.  Each party may rely upon any notice from the other party or other communication reasonably believed by the receiving party to be genuine.
 
PURSUANT TO AN EXEMPTION FROM THE COMMODITY FUTURES TRADING COMMISSION IN CONNECTION WITH ACCOUNTS OF QUALIFIED ELIGIBLE PERSONS, THIS BROCHURE OR ACCOUNT DOCUMENT IS NOT REQUIRED TO BE, AND HAS NOT BEEN, FILED WITH THE COMMISSION.  THE COMMODITY FUTURES TRADING COMMISSION DOES NOT PASS UPON THE MERITS OF PARTICIPATING IN A TRADING PROGRAM OR UPON THE ADEQUACY OR ACCURACY OF COMMODITY TRADING ADVISOR DISCLOSURE.  CONSEQUENTLY, THE COMMODITY FUTURES TRADING COMMISSION HAS NOT REVIEWED OR APPROVED THIS TRADING PROGRAM OR THIS BROCHURE OR ACCOUNT DOCUMENT.
 
The Company is expressly made a third party beneficiary of this Agreement with rights as respect to the Fund to the same extent as if it had been a party hereto.
 


If the foregoing is in accordance with your understanding, will you kindly so indicate by signing and returning to us the enclosed copy hereof.
 
 
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
 



SCHEDULE 1
 

 
 
 
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