File No. 33-07496
811-04764
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. 58 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 58 [X]
(Check appropriate box or boxes.)
Dreyfus Municipal Bond Opportunity Fund
(Exact Name of Registrant as Specified in Charter)
c/o The Dreyfus Corporation
200 Park Avenue, New York, New York 10166
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6400
Bennett A. MacDougall, Esq.
200 Park Avenue
New York, New York 10166
(Name and Address of Agent for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
Explanatory Note
This Post-Effective Amendment consists of the following:
1. Facing Sheet of the Registration Statement.
2. Part C to the Registration Statement (including signature page).
3. Exhibit (n)(i) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file the Rule 18f-3 Plans as Exhibit (n)(i) to Item 28 to this Registration Statement on Form N-1A.
Part A of the Registration Statement was filed on August 28, 2017 pursuant to Rule 485(b) under the Securities Act of 1933 and is incorporated by reference herein; and
Part B of the Registration Statement was filed on August 31, 2017 pursuant to Rule 497(e) under the Securities Act of 1933 and is incorporated by reference herein.
DREYFUS MUNICIPAL BOND OPPORTUNITY FUND
PART C. OTHER INFORMATION
Item 28 Exhibits
(a)(i) Registrant's Amended and Restated Agreement and Declaration of Trust is incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 13 to the Registration Statement on Form N-1A, filed on July 12, 1995 ("Post-Effective Amendment No. 13"), and Amendment to Agreement and Declaration of Trust is incorporated by reference to Exhibit (1)(b) of Post-Effective Amendment No. 18 to the Registration Statement on Form N-1A, filed on August 13, 1997.
(a)(ii) Articles of Amendment are incorporated by reference to Exhibit (a)(ii) of Post-Effective Amendment No. 35 to the Registration Statement on Form N-1A, filed on August 27, 2009.
(a)(iii) Certificate of Amendment to the Declaration of Trust is incorporated by reference to Exhibit (a)(iii) of Post-Effective Amendment No. 52 to the Registration Statement on Form N-1A, filed on August 25, 2016 ("Post-Effective Amendment No. 52").
(a) (iv) Certificate of Amendment to the Declaration of Trust is incorporated by reference to Exhibit (a)(iv) of Post-Effective Amendment No. 54 to the Registration Statement on Form N-1A, filed on March 23, 2017 ("Post-Effective Amendment No. 54").
(b) Registrant's By-Laws are incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 39 to the Registration Statement on Form N-lA, filed on August 26, 2011 ("Post-Effective Amendment No. 39").
(d) Management Agreement is incorporated by reference to Exhibit (d) of Post-Effective Amendment No. 56 to the Registration Statement on Form N-1A, filed on August 28, 2017 ("Post-Effective Amendment No. 56").
(e)(i) Distribution Agreement is incorporated by reference to Exhibit (e)(i) of Post-Effective Amendment No. 39.
(e)(ii) Forms of Broker/Dealer Selling Agreement and Bank Selling Agreement are incorporated by reference to Exhibit (e)(ii) of Post-Effective Amendment No. 56.
(e)(iii) Form of Service Agreement is incorporated by reference to Exhibit (e)(iv) of Post-Effective Amendment No. 52.
(g)(i) Custody Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 39.
(g)(ii) Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(ii) of Post-Effective Amendment No. 46 to the Registration Statement on Form N-1A, filed on August 27, 2014.
(g)(iii) Second Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(iii) of Post-Effective Amendment No. 54.
(h)(i) Shareholder Services Plan is incorporated by reference to Exhibit (h)(i) of Post-Effective Amendment No. 56.
(h)(ii) Transfer Agency Agreement is incorporated by reference to Exhibit (h)(ii) of Post-Effective Amendment No. 42 to the Registration Statement on Form N-1A, filed on August 28, 2012.
(i) Opinion and consent of Registrant's counsel is incorporated by reference to Exhibit (10) of Post-Effective Amendment No. 13.
(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 56.
(m) Rule 12b-1 Distribution Plan is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 56.
(m)(i) Rule 12b-1 Service Plan is incorporated by reference to Exhibit (m)(i) of Post-Effective Amendment No. 54.
(n)(i) Rule 18f-3 Plan, amended as of December 15, 2017.*
(p)(i) Code of Ethics adopted by Registrant, Registrant's Adviser & Registrant's Distributor is incorporated by reference to Exhibit (p)(i) of Post-Effective Amendment No. 48 ("Post-Effective Amendment No. 48").
(p)(ii) Code of Ethics of the Nonmanagement Board Members of the Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(ii) of Post- Effective Amendment No. 36 to the Registration Statement on Form N-1A, filed on June 24, 2010 ("Post-Effective Amendment No. 36").
__________________
*Filed herewith.
Other Exhibits
(a) Power of Attorney of certain Board Members and Officers of Registrant is incorporated by reference to Other Exhibits (a) of Post-Effective Amendment No. 54.
Item 29 Persons Controlled by or under Common Control with Registrant
Not applicable.
Item 30 Indemnification
The Registrant’s charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including attorneys’ fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, as amended, that no board member or officer of a fund may be protected against liability for willful misfeasance, bad faith, gross negligence or reckless disregard for the duties of his or her office.
Reference is made to Article VIII of the Registrant's Amended and Restated Declaration of Trust incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 13. The application of these provisions is limited by Article 10 of the Registrant's By-Laws incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 39, and by the following undertaking set forth in the rules promulgated by the Securities and Exchange Commission (the "SEC"):
Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to trustees, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in such Act and is, therefore, unenforceable. In the event that a claim for indemnification is against such liabilities (other than the payment by the registrant of expenses incurred or paid by a trustee, officer or controlling person of the registrant in the successful defense of any such action, suit or proceeding) is asserted by such trustee, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in such Act and will be governed by the final adjudication of such issue.
Reference is also made to Section 1.10 of the Distribution Agreement incorporated by reference to Exhibit (e)(i) of Post-Effective Amendment No. 39.
Item 31 Business and Other Connections of Investment Adviser
The Dreyfus Corporation ("Dreyfus") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Dreyfus and of other investment companies for which Dreyfus acts as investment adviser, sub-investment adviser or administrator.
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position |
Other Businesses |
Position Held |
Dates |
Mark Santero |
Alcentra US, Inc.†††† |
Director |
9/14 – 7/16 |
BNY Alcentra Group Holdings, Inc.†††††† |
Director |
5/15 – 7/16 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Mellon Asset Management Canada Limited++++++ |
Director |
5/16 - Present | |
Mellon Canada Holding Company++++++ |
Director |
5/16- Present | |
Mellon Capital Management Corporation** |
Director |
4/15 – 7/16 | |
Mellon Global Investing Corp.+ |
Director |
5/15 - Present | |
USPLP, Inc.******* |
Director |
12/15 - 5/16 | |
Alcentra NY, LLC++ |
Manager |
9/14 – 7/16 | |
Alternative Holdings I, LLC |
Manager |
4/16 – 7/16 | |
BNY Investment Strategy and Solutions Group, LLC* |
Manager |
6/15 – 7/16 | |
EACM Advisors LLC^^ |
Manager |
12/15 – 7/16 | |
Standish Mellon Asset Management Company LLC* |
Manager |
9/14 - 7/16 | |
The Boston Company Asset Management, LLC* |
Manager |
9/14 – 7/16 | |
The Boston Company Asset Management, LLC* |
Manager |
6/14 – 7/14 | |
MAM (MA) Holding Trust* |
Trustee |
12/15 - Present | |
BNY Mellon, National Association++++ |
Executive Vice President |
5/14 - Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
The Bank of New York Mellon******* |
Executive Vice President |
5/14 - Present | |
Diane P. Durnin |
MBSC Securities Corporation++ |
Executive Vice President |
3/15 - Present |
Sumday Holdings LLC |
Manager |
2/16 - Present | |
Bradley J. Skapyak |
MBSC Securities Corporation++ |
Chief Executive Officer Director |
8/16 – Present 8/16 - Present |
MBSC Securities Corporation++ |
Executive Vice President |
6/07 – 8/16 | |
The Bank of New York Mellon*** |
Senior Vice President |
4/07 - Present | |
The Dreyfus Family of Funds++ |
President |
1/10 - Present | |
Dreyfus Transfer, Inc. ++ |
Chairman Director |
5/11 - Present 5/10 - Present | |
Joseph W. Connolly |
The Dreyfus Family of Funds++ |
Chief Compliance Officer |
10/04 - Present |
BNY Mellon Funds Trust++ |
Chief Compliance Officer |
10/04 - Present | |
MBSC Securities Corporation++ |
Chief Compliance Officer |
1/06 - 1/16 | |
Christopher O'Connor |
MBSC Securities Corporation++ |
Director |
3/12 – 3/15 |
Executive Vice President |
12/11 – Present | ||
Name and Position |
Other Businesses |
Position Held |
Dates |
Bennett A. MacDougall Chief Legal Officer |
The Bank of New York |
Associate General Counsel |
6/15 - Present |
Deutsche Bank 60 Wall Street New York, NY 10005 |
Director and Associate General Counsel |
6/05 - 6/15 | |
Deutsche Investment Management Americas, Inc. 345 Park Avenue New York, NY 10154 |
Chief Legal Officer |
11/08 - 6/15 | |
Alban J. Miranda Chief Financial Officer |
Resources Global Professionals 7 Times Square, Suite 2600 New York, NY 10036 |
Senior Program Manager/Consultant |
10/15 - 5/16 |
P.K. Gupta Certified Public Accountants 425 Broadhollow Road Melville, NY 11747 |
Senior Partner |
6/13 - 9/15 | |
Katherine Scott |
MBSC Securities Corporation++ |
Chief Risk Officer |
2/14-Present |
Peter Arcabascio Vice President – Distribution |
BNY Mellon Investment Management* |
Senior Vice President |
7/06-Present |
BNY Investment Strategy and Solutions Group, LLC* |
Manager |
6/15- Present | |
Charles Doumar |
Alcentra NY LLC ++ |
Assistant Treasurer - Tax |
9/14 - Present |
Alcentra US. Inc. †††† |
Assistant Treasurer - Tax |
9/14 - Present | |
Alternative Holdings I, LLC *** |
Assistant Treasurer - Tax |
1/14 - Present | |
Alternative Holdings II, LLC *** |
Assistant Treasurer - Tax |
1/14 - Present | |
Asset Recovery II, LLC *** |
Assistant Treasurer |
9/13 – Present | |
Asset Recovery III, LLC *** |
Assistant Treasurer |
9/13 – 3/15 | |
Asset Recovery IV, LLC *** |
Assistant Treasurer |
9/13 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
Asset Recovery V, LLC *** |
Assistant Treasurer |
9/13 – Present | |
Asset Recovery VII, LLC *** |
Assistant Treasurer |
9/13 – 3/15 | |
Asset Recovery IX, LLC *** |
Assistant Treasurer |
3/14 – 3/15 | |
Asset Recovery X, LLC *** |
Assistant Treasurer |
3/14 – 3/15 | |
Asset Recovery XIII, LLC *** |
Assistant Treasurer |
3/13 – 3/16 | |
Asset Recovery XIV, LLC *** |
Assistant Treasurer |
3/13 – Present | |
Asset Recovery XIX, LLC *** |
Assistant Treasurer |
7/13 – Present | |
Asset Recovery XV, LLC *** |
Assistant Treasurer |
3/13 – 3/15 | |
Asset Recovery XVI, LLC *** |
Assistant Treasurer |
3/13 – 6/16 | |
Asset Recovery XVII, LLC *** |
Assistant Treasurer |
3/13 – 3/15 | |
Asset Recovery XVIII, LLC *** |
Assistant Treasurer |
7/13 – 3/15 | |
Asset Recovery XX, LLC *** |
Assistant Treasurer |
7/13 – Present | |
Asset Recovery XXI, LLC *** |
Assistant Treasurer |
7/13 – 3/15 | |
Asset Recovery XXII, LLC *** |
Assistant Treasurer |
7/13 – Present | |
Asset Recovery XXIII, LLC *** |
Assistant Treasurer |
7/13 – 6/16 | |
BNY Alcentra Group Holdings, Inc. †††††† |
Assistant Treasurer - Tax |
3/13 - Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Capital Funding LLC *** |
Assistant Treasurer – Tax |
9/13 - Present | |
BNY Investment Strategy and Solutions Group, LLC * |
Assistant Treasurer – Tax |
6/15 - Present | |
BNY Mellon Community Development Corporation ^^^^^ |
Assistant Treasurer – Tax |
10/13 - Present | |
BNY Mellon Distributors Holdings Inc. # |
Assistant Treasurer – Tax |
6/14 – Present | |
BNY Mellon Investments CTA, LLC * |
Assistant Treasurer |
9/13 – Present | |
BNY Mellon Investment Servicing (US) Inc. + |
Assistant Treasurer |
3/14 – Present | |
BNY Mellon Investment Servicing Trust Company # |
Assistant Treasurer |
3/14 – Present | |
BNY Mellon Trust of Delaware# |
Assistant Treasurer |
11/13 – Present | |
IVY Asset Management LLC + |
Assistant Treasurer |
9/13 – Present | |
Mellon Hedge Advisors, LLC * |
Assistant Treasurer |
10/13 – Present | |
MUNB Loan Holdings, LLC*** |
Assistant Treasurer |
10/13 – Present | |
484Wall Capital Management LLC *** |
Assistant Treasurer – Tax |
10/13 – 5/16 | |
Airlease Incorporated ††† |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
Albridge Solutions, Inc. †††† |
Assistant Treasurer – Tax |
7/13 – Present | |
Allomon Corporation † |
Assistant Treasurer – Tax |
5/13 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 – 12/15 | |
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 – 12/15 | |
BNY Catair LLC ††† |
Assistant Treasurer – Tax |
7/13 – 10/15 | |
BNYM CSIM Funding LLC +++ |
Assistant Treasurer – Tax |
7/14 – Present | |
BNY Falcon Three Holding Corp. *** |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Foreign Holdings, Inc. *** |
Assistant Treasurer – Tax |
10/13 – Present | |
BNY Gator LLC *** |
Assistant Treasurer – Tax |
7/13 – 10/15 | |
BNY Hitchcock Holdings LLC *** |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Housing I Corp. ††† |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
BNY Housing II LLC *** |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
BNY ITC Leasing, LLC *** |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
BNY Lease Equities (Cap Funding) LLC ######## |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Lease Holdings LLC *** |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
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 – 5/16 | |
BNY Mellon Capital Markets, LLC ^^^^^ |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Mellon Clearing, LLC *** |
Assistant Treasurer – Tax |
3/16 – 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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Mezzanine Holdings LLC ****** |
Assistant Treasurer – Tax |
5/13 – Present | |
BNY Mezzanine Non NY Funding |
Assistant Treasurer – Tax |
5/13 – Present | |
BNY Mezzanine NY Funding LLC ****** |
Assistant Treasurer – Tax |
5/13 – Present | |
BNY Partnership Funding LLC *** |
Assistant Treasurer – Tax |
7/13 – Present | |
BNY Partnership Funding LLC *** |
Manager |
11/14 – 6/15 | |
BNY Rail Maintenance LLC *** |
Assistant Treasurer – Tax |
7/13 – 10/15 | |
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 – 12/15 | |
BNY Wings, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
BNYM GIS Funding I LLC *** |
Assistant Treasurer – Tax |
6/13 – Present | |
BNYM GIS Funding III LLC *** |
Assistant Treasurer – Tax |
6/13 – Present | |
Amherst Capital Management, LLC *** |
Assistant Treasurer – Tax |
11/14 – Present | |
BNYM RECAP Holdings, LLC *** |
Assistant Treasurer – Tax |
11/14 – Present | |
BNY-N.J. I Corp. *** |
Assistant Treasurer – Tax |
4/13 – Present | |
BNY-N.J. II Corp. *** |
Assistant Treasurer – Tax |
4/13 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
Boston Safe Deposit Finance Company, Inc. * |
Assistant Treasurer – Tax |
7/13 – Present | |
CenterSquare Investment Management Holdings, Inc. +++ |
Assistant Treasurer – Tax |
12/13 – Present | |
CenterSquare Investment Management, Inc. +++ |
Assistant Treasurer – Tax |
12/13 – Present | |
Coates Holding LLC# |
Assistant Treasurer – Tax |
3/15 – 6/16 | |
Colson Services Corp. ^ |
Assistant Treasurer – Tax |
3/14 - Present | |
Cutwater Asset Management Corp. +++++ |
Assistant Treasurer – Tax |
1/15 - Present | |
Cutwater Holdings LLC +++++ |
Assistant Treasurer – Tax |
1//15 - Present | |
Cutwater Investor Services Corp. +++++ |
Assistant Treasurer - Tax |
1/15 - Present | |
Dreyfus Service Organization, Inc. ++ |
Assistant Treasurer – Tax |
3/14 - Present | |
EACM Advisors LLC ^^ |
Assistant Treasurer – Tax |
1/14 - Present | |
Eagle Access LLC ^^^ |
Assistant Treasurer – Tax |
1/14 - Present | |
Eagle Investment Systems LLC ^^^^ |
Assistant Treasurer – Tax |
1/14 - Present | |
ECM DE. LLC *** |
Assistant Treasurer – Tax |
1/14 - Present | |
GIS Holdings (International) Inc. # |
Assistant Treasurer – Tax |
6/14 – 12/14 | |
Hamilton Floating Rate Fund Holdings, LLC *** |
Assistant Treasurer – Tax |
5/13 – 3/16 |
Name and Position |
Other Businesses |
Position Held |
Dates |
HedgeMark International, LLC ## |
Assistant Treasurer – Tax |
5/14 – Present | |
iNautix (USA) LLC ### |
Assistant Treasurer – Tax |
11/13 – Present | |
IRE-1, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – Present | |
IRE-AC, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
IRE-BC, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
IRE-SB, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
Island Waterworks, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – Present | |
ITCMED, Inc. *** |
Assistant Treasurer – Tax |
6/13 – 5/15 | |
JRHC 1998A LLC #### |
Assistant Treasurer – Tax |
12/13 – Present | |
Lockwood Advisors, Inc. ###### |
Assistant Treasurer – Tax |
3/14 - Present | |
Lockwood Insurance, Inc. ###### |
Assistant Treasurer – Tax |
8/14 - Present | |
Lockwood Solutions, Inc. ###### |
Assistant Treasurer – Tax |
3/14 - Present | |
Lease Equities (Texas) Corporation ##### |
Assistant Treasurer – Tax |
7/13 – Present | |
Madison Pershing LLC ### |
Assistant Treasurer – Tax |
6/13 – Present | |
MAM (MA) Holding Trust * |
Assistant Treasurer – Tax |
8/13 – Present | |
MBC Investments Corporation # |
Assistant Treasurer – Tax |
11/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
MBSC Securities Corporation ++ |
Vice President – Tax |
2/14 - Present | |
MCDI (Holdings) LLC *** |
Assistant Treasurer – Tax |
9/13 – Present | |
Mellon Capital Management Corporation ** |
Assistant Treasurer – Tax |
1/14 - Present | |
Mellon Holdings LLC++ |
Assistant Treasurer |
2/15 - Present | |
Mellon EFT Services††††† |
Assistant Treasurer - Tax |
10/15 - 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 Funding Corporation + |
Assistant Treasurer – Tax |
3/14 - Present | |
Mellon Global Investing Corp. + |
Assistant Treasurer – Tax |
5/14 - Present | |
Mellon International Leasing Company # |
Assistant Treasurer – Tax |
8/14 – 12/15 | |
Mellon Investor Services Holdings LLC |
Assistant Treasurer – Tax |
8/16 – Present | |
Mellon Leasing Corporation+ |
Assistant Treasurer – Tax |
7/13 – Present | |
Mellon Life Insurance Company+ |
Assistant Treasurer – Tax |
10/13 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Mellon Overseas Investment Corporation *** |
Assistant Treasurer – Tax |
12/13 - Present | |
Mellon Properties Company **** |
Assistant Treasurer – Tax |
8/13 – Present | |
Mellon Residential Funding Corporation ++++ |
Assistant Treasurer - Tax |
4/14 – 3/16 | |
National Residential Assets Corp.*** |
Assistant Treasurer – Tax |
4/13 – Present | |
New GSM Holding Corporation ^^^^ |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
Newton Capital Management LLC.*** |
Assistant Treasurer – Tax |
8/14 - Present | |
Northern Waterworks, Inc. ††† |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
NY CRE Asset Holdings, LLC. *** |
Assistant Treasurer – Tax |
1/14 - Present | |
NY CRE Asset Holdings II, LLC. *** |
Assistant Treasurer – Tax |
1/14 - Present | |
One Wall Street Corporation *** |
Assistant Treasurer – Tax |
11/13 – Present | |
Pareto New York LLC++ |
Assistant Treasurer – Tax |
11/13 – Present | |
PAS Holdings LLC *** |
Assistant Treasurer – Tax |
6/13 – Present | |
Pershing Advisor Solutions LLC ### |
Assistant Treasurer – Tax |
6/13 – Present | |
Pershing Group LLC ### |
Assistant Treasurer – Tax |
6/13 – Present | |
Pershing Investments LLC *** |
Assistant Treasurer – Tax |
6/13 – Present | |
Pershing LLC ### |
Assistant Treasurer – Tax |
7/13 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
Standish Mellon Asset Management Company LLC* |
Assistant Treasurer – Tax |
11/14 – 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 Bank of New York Mellon Trust Company, National Association + |
Assistant Treasurer |
10/13 - Present | |
The Boston Company Asset Management, LLC * |
Assistant Treasurer – Tax |
8/13 – Present | |
Tiber Capital Management LLC++ |
Assistant Treasurer – Tax |
8/15 – 7/16 | |
USPLP, Inc. ******* |
Assistant Treasurer – Tax |
10/13 – 5/16 | |
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 |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Community Development Enterprises Corp. *** |
Vice President – Tax |
4/13 – 5/14 | |
Asset Recovery I, LLC *** |
Assistant Treasurer |
9/13 - 11/13 | |
Asset Recovery VI, LLC *** |
Assistant Treasurer |
9/13 - 11/13 | |
Asset Recovery XII, LLC *** |
Assistant Treasurer |
3/13 - 11/13 | |
Tracy A. Hopkins Vice President - Cash Strategies |
MBSC Securities Corporation++ |
Executive Vice President |
2/14 – Present |
Anthony Mayo |
MBSC Securities Corporation++ |
Chief Technology Officer |
4/14 – Present |
Kathleen Geis |
BNY Mellon International Operations (India) Private Limited |
Director |
5/05 - Present |
BNY Mellon, National Association+ |
Managing Director |
7/09 – 10/14 | |
Albridge Solutions, Inc. |
Managing Director |
7/11 - Present | |
BNY Mellon Distributors Holdings, Inc. # |
Vice President - |
7/11 - Present | |
BNY Mellon Investment Management Services LLC # |
Vice President - |
10/11 - Present | |
BNY Mellon Investment |
Vice President - |
7/11 - Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Mellon Performance & Risk Analytics, LLC + |
Vice President - |
7/11 - Present | |
BNY Mellon Trust Company of Illinois ***** |
Vice President - |
7/11 - Present | |
BNY Mellon Trust of Delaware# |
Vice President - |
7/11 - Present | |
CenterSquare Investment Management Holdings, Inc. +++ |
Vice President - |
10/12 – Present | |
Eagle Investment Systems LLC ^^^^ |
Vice President - |
7/11 – Present | |
Ivy Asset Management LLC + |
Vice President - |
7/11 – Present | |
MBSC Securities Corporation ++ |
Vice President - |
7/11 – Present | |
Mellon Capital Management Corporation** |
Vice President - |
7/11 – Present | |
Mellon Financial Services Corporation #1+ |
Vice President - |
7/11 – Present | |
Mellon Holdings LLC++ |
Vice President - |
7/11 – Present | |
Mellon Investor Services Holdings LLC+++++++ |
Vice President - |
8/16 - Present | |
Pareto New York LLC ++ |
Vice President - |
7/11 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
SourceNet Solutions, Inc. + |
Vice President - |
7/11 – 5/13 | |
Technology Services Group, Inc. ^^^^^ |
Vice President - |
7/11 – Present | |
Tennessee Processing Center LLC ^^^^^ |
Vice President - |
7/11 - Present | |
The Bank of New York Mellon Trust Company, National Association+ |
Vice President - |
7/11 - Present | |
Alcentra US, Inc. †††† |
Vice President - |
7/11 - Present | |
BNY Mellon Capital Markets LLC^^^^^ |
Vice President - |
7/11 - Present | |
Pershing LLC ### |
Vice President - |
7/11 - Present | |
The Bank of New York Mellon+ |
Managing Director |
7/09 - Present | |
MBNA Institutional PA Services, LLC+ |
Managing Director |
7/09 – 10/14 | |
Claudine Orloski |
Dreyfus Service Organization++ |
Vice President – Tax |
8/14 – Present |
MBSC Securities Corporation++ |
Vice President – Tax |
2/12 - Present | |
Asset Recovery II, LLC*** |
Assistant Treasurer |
9/11 - Present | |
Asset Recovery III, LLC *** |
Assistant Treasurer |
9/11 – 3/15 | |
Asset Recovery IV, LLC *** |
Assistant Treasurer |
9/11 – Present | |
Asset Recovery IX, LLC *** |
Assistant Treasurer |
2/11 – 3/15 | |
Asset Recovery V, LLC *** |
Assistant Treasurer |
9/11 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Asset Recovery VII, LLC *** |
Assistant Treasurer |
2/11 – 3/15 | |
Asset Recovery X, LLC *** |
Assistant Treasurer |
2/11 – 3/15 | |
Asset Recovery XIII, LLC*** |
Assistant Treasurer |
3/11 – 3/16 | |
Asset Recovery XIV, LLC *** |
Assistant Treasurer |
3/11 – Present | |
Asset Recovery XIX, LLC *** |
Assistant Treasurer |
7/11 – Present | |
Asset Recovery XV, LLC *** |
Assistant Treasurer |
3/11 – 3/15 | |
Asset Recovery XVI, LLC *** |
Assistant Treasurer |
3/11 – 6/16 | |
Asset Recovery XVII, LLC *** |
Assistant Treasurer |
3/11 – 3/15 | |
Asset Recovery XVIII, LLC *** |
Assistant Treasurer |
7/11 – 3/15 | |
Asset Recovery XX, LLC *** |
Assistant Treasurer |
7/11 – Present | |
Asset Recovery XXI, LLC *** |
Assistant Treasurer |
7/11 – 3/15 | |
Asset Recovery XXII, LLC *** |
Assistant Treasurer |
7/11 – Present | |
Asset Recovery XXIII, LLC *** |
Assistant Treasurer |
7/11 – 6/16 | |
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 – 5/16 | |
Airlease Incorporated ††† |
Assistant Treasurer -Tax |
7/11 – 12/15 | |
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 | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 – 12/15 | |
B.N.Y. Holdings (Delaware) Corporation # |
Assistant Treasurer -Tax |
4/12 – Present | |
BNY Administrative Services LLC *** |
Assistant Treasurer –Tax |
12/11 – Present | |
BNY Alcentra Group Holdings, |
Assistant Treasurer –Tax |
3/13 – Present | |
BNY Capital Corporation *** |
Assistant Treasurer –Tax |
11/11 – Present | |
BNY Capital Funding LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Capital Markets Holdings, Inc. *** |
Assistant Treasurer –Tax |
11/11 – Present | |
BNY Capital Resources |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Cargo Holdings LLC *** |
Assistant Treasurer –Tax |
7/11 – 12/15 | |
BNY Catair LLC ††† |
Assistant Treasurer –Tax |
7/11 – 10/15 | |
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 – 10/15 | |
BNY Hitchcock Holdings LLC *** |
Assistant Treasurer –Tax |
7/11 – 12/15 | |
BNY Housing I Corp. ††† |
Assistant Treasurer –Tax |
7/11 – 12/15 | |
BNY Housing II LLC *** |
Assistant Treasurer –Tax |
7/11 – 10/15 | |
BNY Investment Strategy and Solutions Group LLC * |
Assistant Treasurer –Tax |
6/15 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Investment Management Services LLC # |
Assistant Treasurer –Tax |
10/11 – Present | |
BNY ITC Leasing, LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Lease Equities (Cap Funding) LLC ######## |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Lease Holdings LLC *** |
Assistant Treasurer –Tax |
7/11 – 12/15 | |
BNY Lease Partners LLC *** |
Assistant Treasurer –Tax |
9/11 – Present | |
BNY Leasing Edge Corporation *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Mellon Alternative Investments Holdings LLC *** |
Assistant Treasurer –Tax |
10/13 – Present | |
BNY Mellon Capital Markets, |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Mellon Clearing Holding Company, LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Mellon Clearing, LLC *** |
Assistant Treasurer –Tax |
6/11 – Present | |
BNY Mellon Community Development Corporation ^^^^^ |
Assistant Treasurer –Tax |
10/11 – Present | |
BNY Mellon Distributors Holdings |
Assistant Treasurer –Tax |
7/12 – Present | |
BNY Mellon Fixed Income Securities, LLC *** |
Assistant Treasurer –Tax |
8/12 – Present | |
BNY Mellon Investment Servicing (US) Inc. # |
Assistant Treasurer –Tax |
3/11 – Present | |
BNY Mellon Investment Servicing Trust Company # |
Assistant Treasurer –Tax |
3/11 – Present | |
BNY Mellon Performance & Risk Analytics, Inc. (US) ^^^^^^ |
Assistant Treasurer –Tax |
10/11 – Present | |
BNY Mellon Performance & Risk Analytics, LLC + |
Assistant Treasurer –Tax |
7/11 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
BNY Mellon Transition Management Advisors, LLC ** |
Assistant Treasurer –Tax |
5/13 – Present | |
BNY Mellon Trust Company of |
Assistant Treasurer –Tax |
3/11 – Present | |
BNY Mezzanine Funding LLC ****** |
Assistant Treasurer –Tax |
6/11 – Present | |
BNY Mezzanine Holdings LLC ****** |
Assistant Treasurer –Tax |
5/11 – Present | |
BNY Mezzanine Non NY Funding |
Assistant Treasurer –Tax |
6/11 – Present | |
BNY Mezzanine NY Funding LLC ****** |
Assistant Treasurer –Tax |
6/11 – Present | |
BNY Partnership Funding LLC *** |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY Rail Maintenance LLC *** |
Assistant Treasurer –Tax |
7/11 – 10/15 | |
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 – 12/15 | |
BNY Wings, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – Present | |
BNY XYZ Holdings LLC *** |
Assistant Treasurer –Tax |
5/11 – Present | |
BNYM CSIM Funding LLC +++ |
Assistant Treasurer –Tax |
7/14 – Present | |
BNYM GIS Funding I LLC *** |
Assistant Treasurer –Tax |
6/12 – Present | |
BNYM GIS Funding III LLC *** |
Assistant Treasurer –Tax |
6/12 – Present | |
Amherst Capital Management LLC *** |
Assistant Treasurer –Tax |
11/14 – Present | |
BNYM RECAP Holdings, LLC *** |
Assistant Treasurer –Tax |
11/14 – Present | |
BNY-N.J. I Corp. *** |
Assistant Treasurer –Tax |
4/11 – Present | |
BNY-N.J. II Corp. *** |
Assistant Treasurer –Tax |
4/11 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Boston Safe Deposit Finance Company, Inc. * |
Assistant Treasurer –Tax |
7/11 – Present | |
CenterSquare Investment Management Holdings, Inc. +++ |
Assistant Treasurer –Tax |
2/13 – Present | |
CenterSquare Investment Management, Inc. +++ |
Assistant Treasurer –Tax |
2/13 – Present | |
Coates Holding LLC# |
Assistant Treasurer – Tax |
3/15 - Present | |
Colson Services Corp. ^ |
Assistant Treasurer –Tax |
2/11 – Present | |
Cutwater Asset Management Corp. +++++ |
Assistant Treasurer – Tax |
1/15 - Present | |
Cutwater Holdings LLC +++++ |
Assistant Treasurer – Tax |
1//15 - Present | |
Cutwater Investor Services Corp. +++++ |
Assistant Treasurer - Tax |
1/15 - Present | |
EACM Advisors LLC ^^ |
Assistant Treasurer –Tax |
4/14 – Present | |
Eagle Access LLC ^^^ |
Assistant Treasurer –Tax |
1/12 – Present | |
Eagle Investment Systems LLC ^^^^ |
Assistant Treasurer –Tax |
1/12 – Present | |
ECM DE, LLC *** |
Assistant Treasurer –Tax |
3/11 – Present | |
GIS Holdings (International) Inc. # |
Assistant Treasurer –Tax |
4/12 – 12/14 | |
Hamilton Floating Rate Fund Holdings, LLC *** |
Assistant Treasurer –Tax |
5/11 – 3/16 | |
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 – 12/15 | |
IRE-BC, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – 12/15 | |
IRE-SB, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – 12/15 |
Name and Position |
Other Businesses |
Position Held |
Dates |
Island Waterworks, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – Present | |
ITCMED, Inc. *** |
Assistant Treasurer –Tax |
6/11 – 5/15 | |
JRHC 1998A LLC #### |
Assistant Treasurer –Tax |
12/11 – Present | |
Lease Equities (Texas) Corporation##### |
Assistant Treasurer –Tax |
7/11 – Present | |
Lockwood Advisors, Inc. ###### |
Assistant Treasurer –Tax |
3/11 – Present | |
Lockwood Insurance Inc. ###### |
Assistant Treasurer –Tax |
8/14 – 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 |
Assistant Treasurer –Tax |
7/12 – Present | |
MBNA PW PA Services LLC + |
Assistant Treasurer –Tax |
7/12 – Present | |
MCDI (Holdings) LLC *** |
Assistant Treasurer –Tax |
8/11 – Present | |
MELDEL Leasing Corporation Number 2, Inc. # |
Assistant Treasurer –Tax |
8/11 – Present | |
Mellon Capital Management Corporation ** |
Assistant Treasurer –Tax |
10/13 – Present | |
Mellon EFT Services |
Assistant Treasurer –Tax |
2/11 – Present | |
Mellon Financial Services Corporation #1 + |
Assistant Treasurer –Tax |
7/11 – Present | |
Mellon Financial Services Corporation #4 + |
Assistant Treasurer –Tax |
12/11 – Present | |
Mellon Funding Corporation + |
Assistant Treasurer –Tax |
12/11 – Present | |
Mellon Global Investing Corp. + |
Assistant Treasurer –Tax |
5/11 – Present |
Name and Position |
Other Businesses |
Position Held |
Dates |
Mellon International Leasing |
Assistant Treasurer –Tax |
7/11 – Present | |
Mellon Investor Services Holdings LLC |
Assistant Treasurer –Tax |
8/16 – 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 – 3/16 | |
National Residential Assets Corp. *** |
Assistant Treasurer –Tax |
4/12 – Present | |
New GSM Holding Corporation ^^^^ |
Assistant Treasurer –Tax |
7/11 – 12/15 | |
Newton Capital Management LLC *** |
Assistant Treasurer –Tax |
10/11 – Present | |
Northern Waterworks, Inc. ††† |
Assistant Treasurer –Tax |
7/11 – 12/15 | |
NY CRE Asset Holdings II, LLC *** |
Assistant Treasurer –Tax |
1/12 – Present | |
NY CRE Asset Holdings, LLC *** |
Assistant Treasurer –Tax |
1/12 – Present | |
One Wall Street Corporation *** |
Assistant Treasurer –Tax |
11/11 – Present | |
Pareto New York LLC ++ |
Assistant Treasurer –Tax |
11/11 – Present | |
PAS Holdings LLC *** |
Assistant Treasurer –Tax |
6/11 – Present | |
Pershing Advisor Solutions LLC ### |
Assistant Treasurer –Tax |
6/11 – Present | |
Pershing Group LLC ### |
Assistant Treasurer –Tax |
4/11 – Present | |
Pershing Investments LLC *** |
Assistant Treasurer –Tax |
2/11 – Present | |
Pershing LLC ### |
Assistant Treasurer –Tax |
4/11 – Present | |
PFS Holdings, LLC *** |
Assistant Treasurer –Tax |
1/12 – Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
Standish Mellon Asset Management Company LLC* |
Assistant Treasurer –Tax |
11/14 - Present | |
Stanwich Insurance Agency, Inc. *** |
Assistant Treasurer –Tax |
12/11 – Present | |
TBC Securities Co., Inc. * |
Assistant Treasurer –Tax |
7/11 – Present | |
TBCAM, LLC * |
Assistant Treasurer –Tax |
10/13 – Present | |
Technology Services Group, |
Assistant Treasurer –Tax |
5/11 – Present | |
Tennessee Processing Center LLC ^^^^^ |
Assistant Treasurer –Tax |
9/11 – Present | |
The Bank of New York Consumer Leasing Corporation *** |
Assistant Treasurer –Tax |
5/11 – Present | |
The Bank of New York Mellon Trust Company, National Association + |
Assistant Treasurer |
10/13 - Present | |
The Boston Company Asset Management, LLC * |
Assistant Treasurer –Tax |
6/11 – Present | |
Tiber Capital Management LLC++ |
Assistant Treasurer –Tax |
8/15 – 7/16 | |
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 | |
BNY Community Development Enterprises Corporation*** |
Vice President –Tax |
4/12 – 4/14 | |
MBSC Securities Corporation ++ |
Vice President –Tax |
2/12 – Present | |
James Bitetto |
The Dreyfus Family of Funds++ |
Vice President and Assistant Secretary |
8/05 - Present |
MBSC Securities Corporation++ |
Assistant Secretary |
1/06 - Present | |
Name and Position |
Other Businesses |
Position Held |
Dates |
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 225 Liberty Street, New York, NY 10286 |
+ |
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 500 Grant Street, Pittsburgh, PA 15258 |
+++++ |
The address of the business so indicated is 113 King Street, Armonk, NY 10504 |
++++++ |
The address of the business so indicated is 320 Bay Street, Toronto, ON M5H 4A6 |
+++++++ |
The address of the business so indicated is 480 Washington Blvd, Jersey City, NJ 07310 |
† |
The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259. |
††† |
The address of the business so indicated is 100 White Clay Center, Newark, DE 19711. |
††† |
The address of the business so indicated is 1633 Broadway, New York, NY, 10019 |
†††† |
The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA, 90024 |
††††† |
The address of the business so indicated is 1735 Market Street, Philadelphia, PA, 19103 |
†††††† |
The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD |
^ |
The address of the business so indicated is 4 New York Plaza, New York, NY, 10004 |
^^ |
The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT, 06854-1940 |
^^^ |
The address of the business so indicated is One Wells Avenue, Newton, MA, 02459 |
^^^^ |
The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT, 06107 |
^^^^^ |
The address of the business so indicated is 101 Barclay Street, 3rd Floor, New York, NY, 10286 |
^^^^^^ |
The address of the business so indicated is 1313 Broadway Plaza, Tacoma, WA, 98402 |
# |
The address of the business so indicated is 301 Bellevue Parkway, Wilmington, DE, 19809 |
## |
The address of the business so indicated is 780, Third Avenue, 44th Floor, New York, NY, 10017 |
### |
The address of the business so indicated is One Pershing Plaza, Jersey City, NJ, 07399 |
#### |
The address of the business so indicated is 601 Travis Street, 17th Floor, Houston, TX, 77002 |
##### |
The address of the business so indicated is 1201 Louisiana, Suite 3160, Houston, TX, 77002 | |||
###### |
The address of the business so indicated is 760 Moore Road, King of Prussia, PA, 19406-1212 | |||
####### |
The address of the business so indicated is 8400 E. Prentice Ave, Greenwood Village, CO, 80111 | |||
######## |
The address of the business so indicated is 1290 Avenue of the Americas, New York, NY, 10104 | |||
Item 32. Principal Underwriters | ||||
(a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor: | ||||
1. |
Advantage Funds, Inc. | |||
2. |
BNY Mellon Absolute Insight Funds, Inc. | |||
3. |
BNY Mellon Funds Trust | |||
4. |
CitizensSelect Funds | |||
5. |
Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc. | |||
6. |
Dreyfus AMT-Free Municipal Cash Management Plus | |||
7. |
Dreyfus AMT-Free New York Municipal Cash Management | |||
8. |
Dreyfus Appreciation Fund, Inc. | |||
9. |
Dreyfus BASIC Money Market Fund, Inc. | |||
10. |
Dreyfus BNY Mellon Funds, Inc. | |||
11. |
Dreyfus Bond Funds, Inc. | |||
12. |
Dreyfus Cash Management | |||
13. |
Dreyfus Funds, Inc. | |||
14. |
The Dreyfus Fund Incorporated | |||
15. |
Dreyfus Government Cash Management Funds | |||
16. |
Dreyfus Growth and Income Fund, Inc. | |||
17. |
Dreyfus Index Funds, Inc. | |||
18. |
Dreyfus Institutional Liquidity Funds | |||
19. |
Dreyfus Institutional Preferred Money Market Funds | |||
20. |
Dreyfus Institutional Reserves Funds | |||
21. |
Dreyfus Intermediate Municipal Bond Fund, Inc. | |||
22. |
Dreyfus International Funds, Inc. | |||
23. |
Dreyfus Investment Funds | |||
24. |
Dreyfus Investment Grade Funds, Inc. | |||
25. |
Dreyfus Investment Portfolios | |||
26. |
The Dreyfus/Laurel Funds, Inc. | |||
27. |
The Dreyfus/Laurel Funds Trust | |||
28. |
Dreyfus Liquid Assets, Inc. |
29. |
Dreyfus Manager Funds II |
30. |
Dreyfus Midcap Index Fund, Inc. |
31. |
Dreyfus Municipal Bond Opportunity Fund |
32. |
Dreyfus Municipal Funds, Inc. |
33. |
Dreyfus New Jersey Municipal Bond Fund, Inc. |
34. |
Dreyfus New York AMT-Free Municipal Bond Fund |
35. |
Dreyfus New York Tax Exempt Bond Fund, Inc. |
36. |
Dreyfus Opportunity Funds |
37. |
Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
38. |
Dreyfus Premier GNMA Fund, Inc. |
39. |
Dreyfus Premier Investment Funds, Inc. |
40. |
Dreyfus Premier Short-Intermediate Municipal Bond Fund |
41. |
Dreyfus Premier Worldwide Growth Fund, Inc. |
42. |
Dreyfus Research Growth Fund, Inc. |
43. |
Dreyfus State Municipal Bond Funds |
44. |
Dreyfus Stock Funds |
45. |
Dreyfus Stock Index Fund, Inc. |
46. |
Dreyfus Sustainable U.S. Equity Fund, Inc. |
47. |
Dreyfus Sustainable U.S. Equity Portfolio, Inc. |
48. |
Dreyfus Tax Exempt Cash Management Funds |
49. |
Dreyfus Treasury & Agency Cash Management |
50. |
Dreyfus Treasury Securities Cash Management |
51. |
Dreyfus Ultra Short Income Fund |
52. |
Dreyfus Variable Investment Fund |
53. |
General California Municipal Money Market Fund |
54. |
General Government Securities Money Market Funds, Inc. |
55. |
General Money Market Fund, Inc. |
56. |
General Municipal Money Market Funds, Inc. |
57. |
General New Jersey Municipal Money Market Fund, Inc. |
58. |
General New York AMT-Free Municipal Money Market Fund |
59. |
Strategic Funds, Inc. |
(b) |
||
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
Bradley J. Skapyak* |
Chief Executive Officer and Director |
President |
Kenneth Bradle** |
President and Director |
None |
Sue Ann Cormack† |
Executive Vice President |
None |
Diane P. Durnin††† |
Executive Vice President |
None |
Joseph P. Gennaco†††† |
Executive Vice President |
None |
Tracy Hopkins* |
Executive Vice President |
None |
William H. Maresca** |
Executive Vice President and Director |
None |
Joseph Moran††† |
Executive Vice President |
None |
Christopher D. O'Connor††† |
Executive Vice President |
None |
Irene Papadoulis** |
Executive Vice President |
None |
Matthew Perrone***** |
Executive Vice President |
None |
Bill E. Sappington* |
Executive Vice President and Director |
None |
Susan Verbil Goldgraben**** |
Executive Vice President |
None |
Alban J. Miranda††† |
Chief Financial Officer and Treasurer |
None |
Brie A. Steingarten* |
Chief Legal Officer and Secretary |
None |
John Squillace* |
Chief Compliance officer (Investment Advisory Business) |
None |
Katherine M. Scott* |
Chief Risk Officer |
None |
Anthony Mayo* |
Chief Technology Officer |
None |
Timothy I. Barrett** |
Senior Vice President |
None |
Eric P. Cola* |
Senior Vice President |
None |
Mercedes Katz** |
Senior Vice President |
None |
John Ragusa* |
Senior Vice President |
None |
Christopher A. Stallone** |
Senior Vice President |
None |
John Cimino* |
Vice President |
None |
Christopher Donoghue** |
Vice President |
None |
Jill Gill* |
Vice President |
None |
Tina Rizzol** |
Vice President |
None |
Carla R. Wanzer** |
Vice President and Privacy Officer |
None |
James Windels***** |
Vice President |
Treasurer |
(b) |
||
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
Caridad M. Carosella** |
Vice President – Compliance/Anti-Money Laundering Officer |
Anti-Money Laundering Officer |
Donna M. Impagliazzo** |
Vice President – Compliance |
None |
John Shea††† |
Vice President – Finance |
None |
Sandra Hatter*** |
Vice President – Human Resources |
None |
Marianne Thomas+ |
Vice President – Human Resources |
None |
Carol A. Britton**** |
Vice President – Real Estate |
None |
Kathleen Geis†† |
Vice President – Real Estate |
None |
Thaddeus S. Logan**** |
Vice President – Real Estate |
None |
Charles Doumar††† |
Vice President – Tax |
None |
Claudine Orloski*** |
Vice President – Tax |
None |
Ronny Santos* |
Assistant Vice President |
None |
Paul Mazziotti** |
Anti-Money Laundering Officer |
None |
James Bitetto* |
Assistant Secretary |
Vice President and |
Audrey Edwards*** |
Assistant Secretary |
None |
Susan K. Maroni*** |
Assistant Secretary |
None |
Cristina Rice*** |
Assistant Secretary |
None |
* |
Principal business address is 200 Park Avenue, New York, NY 10166. |
** |
Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144. |
*** |
Principal business address is BNY Mellon Center, 500 Grant Street, Pittsburgh, PA 15258. |
**** |
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 100 Saint Paul Street Denver, CO 80206 |
†† |
Principal business address is 525 William Penn Place, Pittsburgh, PA 15259 |
††† |
Principal business address is 225 Liberty Street, New York, NY 10286 |
†††† |
Principal business address is 1 Boston Place, Boston, MA 02108-4407 |
+ |
Principal business address is 19 Vreeland Road Florham Park, NJ 07932 |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
225 Liberty Street
New York, New York 10286
2. The Bank of New York Mellon
One Mellon Bank Center
Pittsburgh, Pennsylvania 15258
3. BNY Mellon Investment Servicing (US), Inc.
4400 Computer Drive
Westborough, Massachusetts 01581
4. The Dreyfus Corporation
200 Park Avenue
New York, New York 10166
5. The Dreyfus Corporation
2 Hanson Place
Brooklyn, New York 11217
Item 34. Management Services
Not Applicable
Item 35. Undertakings
None
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant, Dreyfus Municipal Bond Opportunity Fund, has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, and State of New York on the 15th day of December, 2017.
Dreyfus Municipal Bond Opportunity Fund
BY: |
/s/ Bradley J. Skapyak* |
Bradley J. Skapyak, PRESIDENT |
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
Signatures |
Title |
Date | ||
/s/ Bradley J. Skapyak* |
President (Principal Executive Officer) |
12/15/17 | ||
Bradley J. Skapyak |
||||
/s/ James Windels* |
Treasurer (Principal Financial |
12/15/17 | ||
James Windels |
||||
/s/ Joseph S. DiMartino* |
Chairman of the Board |
12/15/17 | ||
Joseph S. DiMartino |
||||
/s/ Francine J. Bovich* |
Board Member |
12/15/17 | ||
Francine J. Bovich |
||||
/s/ Peggy C. Davis* |
Board Member |
12/15/17 | ||
Peggy C. Davis |
||||
/s/ Diane Dunst* |
Board Member |
12/15/17 | ||
Diane Dunst |
||||
/s/ Nathan Leventhal* |
Board Member |
12/15/17 | ||
Nathan Leventhal |
||||
/s/ Robin A. Melvin* |
Board Member |
12/15/17 | ||
Robin A. Melvin |
*BY: |
/s/ Natalya Zelensky |
Natalya Zelensky |
Attorney-in-Fact |
INDEX OF EXHIBITS
Exhibits
(n)(i) |
Rule 18f-3 Plan, amended as of December 15, 2017 |
THE DREYFUS FAMILY OF FUNDS
(Dreyfus Family of Funds—Funds Included on Schedule A)
Rule 18f-3 Plan
Rule 18f-3 under the Investment Company Act of 1940, as amended (the "1940 Act"), requires that the Board of an investment company desiring to offer multiple classes pursuant to said Rule adopt a plan setting forth the separate arrangement and expense allocation of each class, and any related conversion features or exchange privileges.
The Board, including a majority of the Board members who are not "interested persons" (as defined in the 1940 Act), of each of the investment companies, or series thereof, listed on Schedule A attached hereto, as such Schedule may be revised from time to time (each, a "Fund"), which desires to offer multiple classes in accordance with Rule 18f-3, has determined that the following plan is in the best interests of each class individually and each Fund as a whole:
1. Class Designation: Fund shares shall be divided, except as otherwise noted on Schedule A hereto, into Class A, Class C, Class I, Class T, Class Y and Class Z.
2. Differences in Services: The services offered to shareholders of each Class, as described in the Fund's prospectus or statement of additional information, unless otherwise noted on Schedule A hereto, shall be substantially the same, except that Rights of Accumulation, Letter of Intent and Reinvestment Privilege shall be available only to holders of Class A shares, Checkwriting services shall be available only to holders of Class A or Class Z shares, and Dreyfus Express® services shall be available only to holders of Class Z shares. Dreyfus Automatic Asset Builder®, Dreyfus Payroll Savings Plan, Dreyfus Government Direct Deposit, Dreyfus Dividend Sweep, Dreyfus Auto-Exchange Privilege and Dreyfus Automatic Withdrawal Plan are not available for Class T or Class Y shares and Exchange Privilege is not available for Class T shares.
3. Differences in Distribution Arrangements: Class A shares shall be offered with a front-end sales charge, as such term is defined under the Conduct Rules of the Financial Industry Regulatory Authority (the "FINRA Conduct Rules"), and a deferred sales charge (a "CDSC"), as such term is defined under the FINRA Conduct Rules, may be assessed on certain redemptions of Class A shares, including Class A shares purchased without an initial sales charge as part of an investment of $1 million or more. The amount of the sales charge and the amount of and provisions relating to the CDSC pertaining to the Class A shares are set forth on Schedule B attached hereto. In addition, Class A shares shall be subject to an annual service fee at the rate of .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.
Class C shares shall not be subject to a front-end sales charge, but shall be subject to a CDSC and shall be charged an annual distribution fee under a Distribution Plan adopted pursuant to Rule 12b-1 under the 1940 Act. The amount of and provisions relating to the CDSC and the amount of the fees under the Distribution Plan pertaining to the Class C shares are set forth on Schedule C attached hereto. In addition, Class C shares shall be subject to an annual service fee at the rate of .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.
Class I shares shall be offered at net asset value only to (i) bank trust departments, trust companies and insurance companies that have entered into agreements with the Fund's Distributor to offer Class I shares to their clients, (ii) with respect to taxable Funds only, institutional investors acting in a fiduciary, advisory, agency, custodial or similar capacity for qualified or non-qualified employee benefit plans, including 401(k), 403(b)(7), Keogh, pension, profit-sharing and other deferred compensation plans, whether established by corporations, partnerships, sole proprietorships, non-profit entities, trade or labor unions, or state and local governments ("Retirement Plans"), and IRAs set up under Simplified Employee Pension Plans ("SEP-IRAs"), but not including traditional IRAs, Roth IRAs, Coverdell Education Savings Accounts, IRA "Rollover Accounts," Salary Reduction Simplified Employee Pension Plans or Savings Incentive Match Plans for Employees (Class I shares may be purchased for a Retirement Plan or SEP-IRA only by a custodian, trustee, investment manager or other entity authorized to act on behalf of such Retirement Plan or SEP-IRA that has entered into an agreement with the Fund's Distributor to offer Class I shares to such Retirement Plan or SEP-IRA), (iii) law firms or attorneys acting as trustees or executors/administrators, (iv) foundations and endowments that make an initial investment in the Fund of at least $1 million, (v) with respect to taxable Funds only, sponsors of college savings plans that qualify for tax-exempt treatment under Section 529 of the Internal Revenue Code of 1986, as amended (the "Code"), that maintain an omnibus account with the Fund and do not require shareholder tax reporting or 529 account support responsibilities from the Fund's Distributor, (vi) advisory fee-based accounts offered through financial intermediaries who, depending on the structure of the selected advisory platform, make Class I shares available, (vii) certain institutional clients of an investment advisory subsidiary of The Bank of New York Mellon Corporation approved by The Dreyfus Corporation, (viii) U.S.-based employees of The Bank of New York Mellon Corporation, Board members of The Dreyfus Corporation and Board members of funds in the Dreyfus Family of Funds, and the spouse, domestic partner or minor child of any of the foregoing, subject to certain requirements described in the Fund's prospectus or statement of additional information, and (ix) unaffiliated investment companies approved by the Fund's Distributor.
-2-
Class T shares shall be offered with a front-end sales charge, as such term is defined under the FINRA Conduct Rules, and shall be charged an annual fee under a Service Plan adopted pursuant to Rule 12b-1 under the 1940 Act for distribution, advertising and marketing Class T shares, and servicing and/or maintaining accounts of holders of Class T shares. The amount of the sales charge and the amount of fees under the Service Plan pertaining to the Class T shares are set forth on Schedule D attached hereto.
Class Y shares shall be offered at net asset value only to (i) institutional investors, acting for themselves or on behalf of their clients, that have entered into an agreement with the Fund's Distributor and that make an initial investment in Class Y shares of the Fund of at least $1 million, (ii) with respect to taxable Funds only, Retirement Plans, or certain recordkeepers of Retirement Plan platforms that maintain a super-omnibus account with the Fund, provided that, in each case, they have entered into an agreement with the Fund's Distributor and make an initial investment in Class Y shares of the Fund of at least $1 million or have, in the opinion of The Dreyfus Corporation, adequate intent and availability of assets to reach a future level of investment of $1 million or more in Class Y shares of the Fund, (iii) certain institutional clients of an investment advisory subsidiary of The Bank of New York Mellon Corporation, provided that such clients are approved by The Dreyfus Corporation and make an initial investment in Class Y shares of the Fund of at least $1 million, and (iv) certain funds in the Dreyfus Family of Funds and series of BNY Mellon Funds Trust.
-3-
Class Z shares shall be offered at net asset value only to certain shareholders as set forth on Schedule E attached hereto. To the extent indicated on Schedule F hereto, Class Z shares shall be subject to a Service Plan adopted pursuant to Rule 12b-1 under the 1940 Act or a Shareholder Services Plan. The amount of fees and provisions relating to such Service Plan or Shareholder Services Plan are set forth on Schedule F attached hereto.
4. Expense Allocation: The following expenses shall be allocated, to the extent practicable, on a Class-by-Class basis: (a) fees under a Distribution Plan, Service Plan and Shareholder Services Plan; (b) printing and postage expenses related to preparing and distributing materials, such as shareholder reports, prospectuses and proxies, to current shareholders of a specific Class; (c) Securities and Exchange Commission registration fees incurred by a specific Class; (d) the expense of administrative personnel and services as required to support the shareholders of a specific Class; (e) litigation or other legal expenses relating solely to a specific Class; (f) transfer agent fees identified by the Fund's transfer agent as being attributable to a specific Class; and (g) Board members' fees incurred as a result of issues relating to a specific Class.
5. Conversion Features: Class C shares shall automatically convert to Class A shares after a specified period of time after the date of purchase, based on the relative net asset value of each such Class, without the imposition of any sales charge, fee or other charge, as set forth on Schedule C hereto. No other Class shall be subject to any automatic conversion feature. Shares of one Class of a Fund may be converted into shares of another Class of the Fund, provided the shareholder requesting the conversion meets the eligibility requirements for the purchase of the new Class of shares of the Fund. Shares subject to a CDSC or a redemption fee at the time of the requested conversion shall not be eligible for conversion.
-4-
6. Exchange Privileges: Shares of a Class (other than Class T) shall be exchangeable only for (a) shares of the same Class of other investment companies managed or administered by The Dreyfus Corporation or its affiliates as specified from time to time and, except for shares held through financial intermediary brokerage platforms, (b) shares of certain other Classes of such investment companies or shares of certain other investment companies as specified from time to time.
Amended as of: December 15, 2017
-5-
SCHEDULE A
Name of Fund |
|
Date Plan Adopted |
|
|
|
Dreyfus Premier GNMA Fund, Inc.
|
|
November 6, 2006 (Revised as of November 1, 2017) |
--Dreyfus U.S. Mortgage Fund |
|
|
|
|
|
Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc.
|
|
April 28, 2004 (Revised as of February 28, 2017) |
--Dreyfus California AMT-Free Municipal Bond Fund |
|
|
|
|
|
Dreyfus Municipal Bond Opportunity Fund |
|
April 12, 1995 (Revised as of March 2, 2017) |
|
|
|
Dreyfus New Jersey Municipal Bond Fund, Inc. |
|
October 22, 2002 (Revised as of March 10, 2017) |
|
|
|
Dreyfus New York AMT-Free Municipal Bond Fund* |
|
April 12, 1995 (Revised as of March 2, 2017) |
|
|
|
Dreyfus State Municipal Bond Funds
|
|
April 12, 1995 (Revised as of March 2, 2017) |
--Dreyfus Connecticut Fund |
|
|
--Dreyfus Massachusetts Fund† |
|
|
--Dreyfus Pennsylvania Fund† |
|
|
|
|
|
Dreyfus Municipal Funds, Inc.
|
|
January 16, 2003 (Revised as of February 28, 2017) |
--Dreyfus AMT-Free Municipal Bond Fund |
|
|
--Dreyfus High Yield Municipal Bond Fund |
|
|
________________________
* The Fund does not offer Class Z shares.
† The Fund does not offer Class I or Class Y shares.
A-1
SCHEDULE B
Front-End Sales Charge—Class A Shares—The public offering price for Class A shares, except as otherwise set forth herein, shall be the net asset value per share of Class A plus a sales load as shown below:
|
Total Sales Load |
||
|
|
|
net asset value per share |
Less than $50,000..................................................... |
4.50 |
|
4.71 |
$50,000 to less than $100,000................................... |
4.00 |
|
4.17 |
$100,000 to less than $250,000................................. |
3.00 |
|
3.09 |
$250,000 to less than $500,000................................. |
2.50 |
|
2.56 |
$500,000 to less than $1,000,000.............................. |
2.00 |
|
2.04 |
$1,000,000 or more................................................... |
-0- |
|
-0- |
Contingent Deferred Sales Charge—Class A Shares—A CDSC of 1.00% shall be assessed, except as set forth below, at the time of redemption of Class A shares purchased without an initial sales charge as part of an investment of at least $1,000,000 and redeemed within one year of purchase. The terms contained in Schedule C pertaining to the CDSC assessed on redemptions of Class C shares, including the provisions for waiving the CDSC, shall be applicable to the Class A shares subject to a CDSC. Letter of Intent and Rights of Accumulation, to the extent offered, shall apply to purchases of Class A shares subject to a CDSC.
Class A shares of a Fund may be purchased at net asset value without a front-end sales charge by the following individuals and entities:
· Full-time or part-time employees, and their spouses or domestic partners and minor children, of The Dreyfus Corporation or any of its affiliates.
· Board members of The Dreyfus Corporation and Board members of the Dreyfus Family of Funds, and their spouses or domestic partners and minor children.
· Full-time employees, and their spouses and minor children, of financial intermediaries that have entered into selling agreements with the Fund's Distributor.
· "Wrap" accounts for the benefit of clients of financial intermediaries, provided they have entered into an agreement with the Fund's Distributor specifying operating policies and standards.
· Qualified separate accounts maintained by an insurance company; any state, county or city or instrumentality thereof; and charitable organizations investing $50,000 or more in Fund shares and charitable remainder trusts, provided that such Class A shares are purchased directly through the Fund's Distributor for Fund accounts maintained with the Fund's Distributor.
B-1
SCHEDULE B (continued)
· Investors who purchase Class A shares directly through the Fund's Distributor for Fund accounts maintained with the Fund's Distributor, and either (i) have, or whose spouse or minor children have, beneficially owned shares and continuously maintained an open account with the Fund's Distributor in a Dreyfus-managed fund since on or before February 28, 2006, or (ii) such purchase is for a self-directed investment account that may or may not be subject to a transaction fee.
· Shareholders who received Class A shares in exchange for old Class T shares of the Fund on February 4, 2009, provided that such Class A shares are purchased directly through the Fund's Distributor for Fund accounts maintained with the Fund's Distributor.
· Investors who participate in a self-directed investment brokerage account program offered by a financial intermediary that has entered into an agreement with the Fund's Distributor. Financial intermediaries offering self-directed investment brokerage accounts may or may not charge their customers a transaction fee.
· Investors with the cash proceeds from the investor's exercise of stock options and/or disposition of stock related to employment-based stock plans, whether invested in the Fund directly or indirectly through an exchange from a Dreyfus-managed money market fund, provided that the proceeds are processed through an entity that has entered into an agreement with the Fund's Distributor specifically relating to administering employment-based stock plans. Upon establishing the account in the Fund or the Dreyfus-managed money market fund, the investor and the investor's spouse and minor children shall become eligible to purchase Class A shares of the Fund at net asset value, whether or not the investor uses the proceeds of the employment-based stock plan to establish the account.
· Members of qualified affinity groups who purchase Class A shares directly through the Fund's Distributor for Fund accounts maintained with the Fund's Distributor, provided that the qualified affinity group has entered into an affinity agreement with the Fund's Distributor.
In addition, shareholders of the Fund will receive Class A shares of the Fund at net asset value without a front-end sales charge upon the conversion of such shareholders' Class C shares of the Fund in the month of or month following the 10-year anniversary date of the purchase of the Class C shares.
Front-end sales charge waivers on Class A shares of a Fund purchased through Merrill Lynch
Effective April 10, 2017, shareholders purchasing Class A shares of the Fund through an omnibus account maintained with Merrill Lynch may purchase Class A shares at net asset value without payment of a front-end sales charge as follows:
· Shares purchased by employer-sponsored retirement, deferred compensation and employee benefit plans (including health savings accounts) and trusts used to fund those plans, provided that the shares are not held in a commission-based brokerage account and the shares are held for the benefit of the plan.
· Shares purchased by or through a 529 plan.
· Shares purchased through a Merrill Lynch-affiliated investment advisory program.
· Shares purchased by third party investment advisors on behalf of their advisory clients through Merrill Lynch's platform.
B-2
SCHEDULE B (continued)
· Shares purchased through the Merrill Edge Self-Directed platform.
· Shares of the Fund purchased through reinvestment of dividends and capital gains distributions of the Fund (but not any other fund in the Dreyfus Family of Funds).
· Shares of the Fund received through an exchange of Class C shares of the Fund in the month of or month following the 10-year anniversary date of the purchase of the Class C shares.
· Shares purchased by employees and registered representatives of Merrill Lynch or its affiliates and their family members.
· Shares purchased by board members of the Fund and employees of The Dreyfus Corporation or any of its affiliates, as described in the Fund's prospectus.
· Shares purchased from the proceeds of a redemption of shares of a fund in the Dreyfus Family of Funds, provided (1) the repurchase occurs within 90 days following the redemption, (2) the redemption and purchase occur in the same account, and (3) redeemed shares were subject to a front-end sales charge or CDSC (Right of Reinstatement).
B-3
SCHEDULE C
Contingent Deferred Sales Charge--Class C Shares—A CDSC of 1.00% payable to the Fund's Distributor shall be imposed on any redemption of Class C shares within one year of the date of purchase. No CDSC shall be imposed to the extent that the net asset value of the Class C shares redeemed does not exceed (i) the current net asset value of Class C shares of the Fund acquired through reinvestment of Fund dividends or capital gain distributions, plus (ii) increases in the net asset value of the shareholder's Class C shares above the dollar amount of all payments for the purchase of Class C shares of the Fund held by such shareholder at the time of redemption.
If the aggregate value of the Class C shares redeemed has declined below their original cost as a result of the Fund's performance, a CDSC may be applied to the then-current net asset value rather than the purchase price.
In determining whether a CDSC is applicable to a redemption, the calculation shall be made in a manner that results in the lowest possible rate. Therefore, it shall be assumed that the redemption is made first of amounts representing Class C shares of the Fund acquired pursuant to the reinvestment of Fund dividends and distributions; then of amounts representing the increase in net asset value of Class C shares above the total amount of payments for the purchase of Class C shares made during the preceding year; and finally, of amounts representing the cost of Class C shares held for the longest period of time.
Waiver of CDSC—Except as set forth below, the CDSC shall be waived in connection with (a) exchanges of shares, except if shares acquired by exchange are then redeemed within the period during which a CDSC would apply to the initial shares purchased, (b) redemptions made within one year after the death or disability, as defined in Section 72(m)(7) of the Code, of the shareholder, (c) redemptions by Retirement Plans, provided that the shares being redeemed were purchased through a financial intermediary that performs recordkeeping or other administrative services for the Retirement Plan and has entered into an agreement with the Fund's Distributor relating to such services, or were purchased directly through the Fund's Distributor, (d) redemptions as a result of a combination of any investment company with the Fund by merger, acquisition of assets or otherwise, (e) redemptions due to receiving applicable required minimum distributions from IRA accounts (other than Roth IRAs or Coverdell Education Savings Accounts) upon attaining age 70-1/2, and (f) redemptions pursuant to any systematic withdrawal plan as described in the Fund's prospectus. If a CDSC waiver is discontinued, Fund shares subject to a CDSC which were purchased prior to the termination of such waiver shall have the CDSC waived as provided in the Fund's prospectus at the time of the purchase of such shares.
CDSC Waivers Available Through Merrill Lynch—Effective April 10, 2017, Fund shares purchased through an omnibus account maintained with Merrill Lynch will be eligible only for the following CDSC waivers: (a) redemptions made within one year of death or disability of the shareholder, (b) redemptions made through Dreyfus Automatic Withdrawal Plan, if such redemptions do not exceed 12% of the value of the account annually, (c) redemptions made in connection with a return of excess contributions from an IRA account, (d) shares acquired through a Right of Reinstatement, (e) redemptions due to receiving applicable required minimum distributions from IRA accounts (other than Roth IRAs or Coverdell Education Savings Accounts) upon reaching age 70½, (f) redemptions made to pay Merrill Lynch fees, but only if the redemption is initiated by Merrill Lynch, and (g) redemptions of Fund shares held in a retirement brokerage account that are exchanged for shares of a lower cost share class in connection with the transfer to certain fee based accounts or platforms.
Amount of Distribution Plan Fees—Class C Shares—.75 of 1% of the value of the average daily net assets of Class C.
C-1
SCHEDULE C (continued)
Conversion of Class C Shares—Approximately ten years after the date of purchase, Class C shares automatically shall convert to Class A shares, based on the relative net asset values for shares of each such Class, and shall no longer be subject to the distribution fee. At the time of conversion, Class C shares that have been acquired through the reinvestment of dividends and distributions ("Dividend Shares") shall be converted in the proportion that a shareholder's Class C shares (other than Dividend Shares) converting to Class A shares bears to the total Class C shares then held by the shareholder which were not acquired through the reinvestment of dividends and distributions.
C-2
SCHEDULE D
Front-End Sales Charge—Class T Shares—The public offering price for Class T shares shall be the net asset value per share of Class T plus a sales load as shown below:
|
Total Sales Load |
||
Amount of Transaction |
As a % of offering price per share |
|
As a % of net asset value per share |
Less than $250,000................................................... |
2.50 |
|
2.56 |
$250,000 to less than $500,000................................. |
2.00 |
|
2.04 |
$500,000 to less than $1,000,000.............................. |
1.50 |
|
1.52 |
$1,000,000 or more................................................... |
1.00 |
|
1.01 |
Amount of Service Plan Fees—Class T Shares—.25 of 1% of the value of the average daily net assets of Class T.
D-1
SCHEDULE E
Class Z Shares—Dreyfus California AMT-Free Municipal Bond Fund offers Class Z shares only to shareholders of the Fund with accounts that existed on the date the Fund classified its shares as Class Z shares (September 30, 2004), or who received Class Z shares in exchange for their shares of General California Municipal Bond Fund, Inc., Dreyfus California Municipal Income, Inc. or Dreyfus California Intermediate Municipal Bond Fund as a result of the reorganizations of such funds, and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with the Fund on September 30, 2004, or with General California Municipal Bond Fund, Inc., Dreyfus California Municipal Income, Inc. or Dreyfus California Intermediate Municipal Bond Fund, Inc. at the time of the reorganizations of such funds, may purchase Class Z shares on behalf of qualified Retirement Plans and "wrap accounts" or similar programs.
Dreyfus Connecticut Fund offers Class Z shares only to shareholders of the Fund who received Class Z shares in exchange for their shares of Dreyfus Connecticut Intermediate Municipal Bond Fund as a result of the reorganization of such fund and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with Dreyfus Connecticut Intermediate Municipal Bond Fund at the time of the reorganization of such fund may purchase Class Z shares on behalf of qualified Retirement Plans and "wrap accounts" or similar programs.
Dreyfus Massachusetts Fund offers Class Z shares only to shareholders of the Fund who received Class Z shares in exchange for their shares of Dreyfus Massachusetts Tax Exempt Bond Fund or Dreyfus Massachusetts Intermediate Municipal Bond Fund as a result of the reorganizations of such funds and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with Dreyfus Massachusetts Tax Exempt Bond Fund or Dreyfus Massachusetts Intermediate Municipal Bond Fund at the time of the reorganizations of such funds may purchase Class Z shares on behalf of qualified Retirement Plans and "wrap accounts" or similar programs.
Dreyfus Pennsylvania Fund offers Class Z shares only to shareholders of the Fund who received Class Z shares in exchange for their shares of Dreyfus Pennsylvania Intermediate Municipal Bond Fund as a result of the reorganization of such fund and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with Dreyfus Pennsylvania Intermediate Municipal Bond Fund at the time of the reorganization of such fund may purchase Class Z shares on behalf of qualified Retirement Plans and "wrap accounts" or similar programs.
Dreyfus Municipal Bond Opportunity Fund offers Class Z shares only to shareholders of the Fund who received Class Z shares in exchange for their shares of General Municipal Bond Fund, Inc. as a result of the reorganization of such fund and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with General Municipal Bond Fund, Inc. at the time of the reorganization of such fund may purchase Class Z shares on behalf of qualified Retirement Plans and "wrap accounts" or similar programs.
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SCHEDULE E (continued)
Dreyfus New Jersey Municipal Bond Fund, Inc. offers Class Z shares only to shareholders of the Fund who received Class Z shares in exchange for their shares of Dreyfus New Jersey Intermediate Municipal Bond Fund as a result of the reorganization of such fund and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker dealers and other financial institutions maintaining accounts with Dreyfus New Jersey Intermediate Municipal Bond Fund at the time of the reorganization of such fund may purchase Class Z shares on behalf of qualified Retirement Plans and "wrap accounts" or similar programs.
Dreyfus U.S. Mortgage Fund offers Class Z shares only to shareholders of the Fund with accounts that existed on the date the Fund classified its shares as Class Z shares and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with Dreyfus U.S. Mortgage Fund on such date may purchase Class Z shares on behalf of qualified Retirement Plans and "wrap accounts" or similar programs.
Dreyfus AMT-Free Municipal Bond Fund offers Class Z shares only to shareholders of the Fund with accounts that existed on the date the Fund classified its shares as Class Z shares and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with Dreyfus AMT-Free Municipal Bond Fund on such date may purchase Class Z shares on behalf of "wrap accounts" or similar programs.
Dreyfus High Yield Municipal Bond Fund offers Class Z shares only to shareholders of the Fund with accounts that existed on the date the Fund classified its shares as Class Z shares and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor. In addition, certain broker-dealers and other financial institutions maintaining accounts with Dreyfus High Yield Municipal Bond Fund on such date may purchase Class Z shares on behalf of "wrap accounts" or similar programs.
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SCHEDULE F
Shareholder Services Plan—Class A and Class C shares of each Fund, and Class Z shares of Dreyfus Municipal Bond Opportunity Fund, are subject to a Shareholder Services Plan pursuant to which the Fund pays the Distributor a fee at the annual rate of .25% of the Fund's average daily net assets attributable to Class A and Class C, and .20% of the Fund's average daily net assets attributable to Class Z, respectively, for providing shareholder services.
Class Z shares of Dreyfus California AMT-Free Municipal Bond Fund, Dreyfus AMT-Free Municipal Bond Fund, Dreyfus New Jersey Municipal Bond Fund, Inc., Dreyfus Connecticut Fund, Dreyfus Massachusetts Fund and Dreyfus Pennsylvania Fund are subject to a Shareholder Services Plan pursuant to which the Fund reimburses the Distributor an amount not to exceed an annual rate of .25% of the Fund's average daily net assets attributable to Class Z for the provision of shareholder services.
Service Plan—Class Z shares of Dreyfus U.S. Mortgage Fund are subject to a Service Plan adopted pursuant to Rule 12b-1 under the 1940 Act, pursuant to which the Fund reimburses the Distributor for expenses incurred in distributing Class Z shares and servicing shareholder accounts and advertising and marketing with respect to Class Z, at a maximum aggregate annual rate of up to .20% of the Fund's average daily net assets attributable to Class Z.
Class Z shares of Dreyfus High Yield Municipal Bond Fund are subject to a Service Plan adopted pursuant to Rule 12b-1 under the 1940 Act, pursuant to which the Fund reimburses the Distributor for expenses incurred in distributing Class Z shares and servicing shareholder accounts and advertising and marketing with respect to Class Z, at a maximum aggregate annual rate of up to .25% of the Fund's average daily net assets attributable to Class Z.
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