Securities Act File No. 33-7497
|
Investment Company Act File No. 811-4765
|
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. 66 /X/
|
and/or
|
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 /X/
|
AMENDMENT NO. 66 /X/
|
(Check appropriate box or boxes.)
|
__________________________________________________________________
|
DREYFUS STATE MUNICIPAL BOND FUNDS
|
(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
|
Bennett A. MacDougall, 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
|
(a)(i) | Registrant's Amended and Restated Agreement and Declaration of Trust is incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 21 to the Registration Statement on Form N-1A, filed on August 11, 1995 ("Post-Effective Amendment No. 21"). |
(a)(ii) | Articles of Amendment are incorporated by reference to Exhibit (a)(ii) of Post-Effective Amendment No. 51 to the Registration Statement on Form N-1A, filed on December 12, 2008. |
(a)(iii) | Articles Supplementary are incorporated by reference to Exhibit (a)(iii) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed on August 27, 2013 ("Post-Effective Amendment No. 60"). |
(b) | Registrant's By-laws are incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 55 to the Registration Statement on Form N-1A, filed on August 26, 2011 ("Post-Effective Amendment No. 55"). |
(d) | Management Agreement is incorporated by reference to Exhibit (5) of Post-Effective Amendment No. 29 to the Registration Statement on Form N-1A, filed on July 16, 1997. |
(e)(i) | Amended and Restated Distribution Agreement is incorporated by reference to Exhibit (e)(i) of Post-Effective Amendment No. 55. |
(e)(ii) | Forms of Service Agreements are incorporated by reference to Exhibit (e)(ii) of Post-Effective Amendment No. 64 to the Registration Statement on Form N-1A, filed on August 26, 2015 ("Post-Effective Amendment No. 64"). |
(e)(iii) | Supplemental Sales Agreement is incorporated by reference to Exhibit (e)(4) of Post-Effective Amendment No. 46 to the Registration Statement on Form N-1A, filed on February 28, 2007. |
(g)(i) | Custody Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 55. |
(g)(ii) | Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(ii) of Post-Effective Amendment No. 62 to the Registration Statement on Form N-1A, filed on August 27, 2014. |
(h)(i) | Shareholder Services Plan is incorporated by reference to Exhibit (h) of Post-Effective Amendment No. 37 to the Registration Statement on Form N-1A, filed on March 10, 2004 ("Post-Effective Amendment No. 37"). |
(h)(ii) | Transfer Agency Agreement is incorporated by reference to Exhibit (h)(ii) of Post-Effective Amendment No. 58 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. 21. |
(j) | Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 64. |
(m) | Rule 12b-1 Distribution Plan is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 37. |
(n)(i) | Rule 18f-3 Plan, amended as of November 13, 2015.* |
(n)(ii) | Rule 18f-3 Plan, amended as of February 1, 2016.* |
(p)(i) | Code of Ethics adopted by the Registrant, dated November 3, 2014, is incorporated by reference to Exhibit (p)(i) of Post-Effective Amendment No. 64. |
(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. 53 to the Registration Statement on Form N-1A, filed on August 26, 2010 ("Post-Effective Amendment No. 53"). |
(a)(i) | Power of Attorney of certain Trustees and officers, dated February 5, 2015, is incorporated by reference to Other Exhibit (a)(i) of Post-Effective Amendment No. 64. |
(b) | Certificate of Assistant Secretary is incorporated by reference to Other Exhibits (b) of Post-Effective Amendment No. 53. |
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 – 3/15 |
|||
Chairman
|
2/13 - Present
|
|||||
BNY Mellon Liquidity Funds plc+
|
Director
|
4/06 - Present
|
||||
Diane P. Durnin
Vice Chair and Director |
MBSC Securities Corporation++
|
Executive Vice President
|
3/15 - Present
|
|||
Bradley J. Skapyak
Chief Operating Officer and Director |
MBSC Securities Corporation++
|
Executive Vice President
|
6/07 - Present
|
|||
The Bank of New York Mellon***
|
Senior Vice President
|
4/07 - Present
|
||||
The Dreyfus Family of Funds++
|
President
|
1/10 - Present
|
||||
Dreyfus Transfer, Inc. ++
|
Chairman
Director
|
5/11 - Present
5/10 - Present
|
||||
Joseph W. Connolly
Chief Compliance Officer |
The Dreyfus Family of Funds++
|
Chief Compliance Officer
|
10/04 - Present
|
|||
BNY Mellon Funds Trust++
|
Chief Compliance Officer
|
10/04 - Present
|
||||
MBSC Securities Corporation++
|
Chief Compliance Officer
|
6/07 – Present
|
||||
Christopher O'Connor
Chief Administrative Officer |
MBSC Securities Corporation++
|
Director
|
3/12 – 3/15
|
|||
Executive Vice President
|
12/11 – Present
|
|||||
Bennett A. MacDougall
Chief Legal Officer
|
The Bank of New York
Mellon Corporation ++ |
Associate General Counsel
|
6/15 - Present
|
|||
Deutsche Bank
60 Wall Street
New York, NY 10005
|
Director and Associate General Counsel
|
6/05 - 6/15
|
||||
Deutsche Investment Management Americas, Inc.
345 Park Avenue
New York, NY 10154
|
Chief Legal Officer
|
11/08 - 6/15
|
||||
Kim Mustin
Executive Vice President – North American Distribution |
MBSC Securities Corporation++
|
Chief Executive Officer
|
3/15 - Present
|
|||
MBSC Securities Corporation++
|
Director
|
10/14 - Present
|
||||
MBSC Securities Corporation++
|
Executive Vice President
|
10/14 - 3/15
|
||||
BNY Mellon Investments CTA, LLC*
|
Manager
|
3/15 - Present
|
||||
BNY Mellon Investments CTA, LLC*
|
President
|
3/15 - Present
|
||||
Charles Doumar
Vice President – Tax |
Alcentra NY LLC ++
|
Assistant Treasurer - Tax
|
9-14 - Present
|
|||
Alcentra US. Inc. ††††
|
Assistant Treasurer - Tax
|
9-14 - Present
|
||||
Alternative Holdings I, LLC ***
|
Assistant Treasurer - Tax
|
1/14 - Present
|
||||
Alternative Holdings II, LLC ***
|
Assistant Treasurer - Tax
|
1/14 - Present
|
||||
Asset Recovery II, LLC ***
|
Assistant Treasurer
|
9/13 – Present
|
||||
Asset Recovery III, LLC ***
|
Assistant Treasurer
|
9/13 – 3/15
|
||||
Asset Recovery IV, LLC ***
|
Assistant Treasurer
|
9/13 – Present
|
||||
Asset Recovery V, LLC ***
|
Assistant Treasurer
|
9/13 – Present
|
||||
Asset Recovery VII, LLC ***
|
Assistant Treasurer
|
9/13 – 3/15
|
||||
Asset Recovery IX, LLC ***
|
Assistant Treasurer
|
3/14 – 3/15
|
||||
Asset Recovery X, LLC ***
|
Assistant Treasurer
|
3/14 – 3/15
|
||||
Asset Recovery XIII, LLC ***
|
Assistant Treasurer
|
3/13 – Present
|
||||
Asset Recovery XIV, LLC ***
|
Assistant Treasurer
|
3/13 – Present
|
||||
Asset Recovery XIX, LLC ***
|
Assistant Treasurer
|
7/13 – Present
|
||||
Asset Recovery XV, LLC ***
|
Assistant Treasurer
|
3/13 – 3/15
|
||||
Asset Recovery XVI, LLC ***
|
Assistant Treasurer
|
3/13 – Present
|
||||
Asset Recovery XVII, LLC ***
|
Assistant Treasurer
|
3/13 – 3/15
|
||||
Asset Recovery XVIII, LLC ***
|
Assistant Treasurer
|
7/13 – 3/15
|
||||
Asset Recovery XX, LLC ***
|
Assistant Treasurer
|
7/13 – Present
|
||||
Asset Recovery XXI, LLC ***
|
Assistant Treasurer
|
7/13 – 3/15
|
||||
Asset Recovery XXII, LLC ***
|
Assistant Treasurer
|
7/13 – Present
|
||||
Asset Recovery XXIII, LLC ***
|
Assistant Treasurer
|
7/13 – Present
|
||||
BNY Alcentra Group Holdings, Inc. ††††††
|
Assistant Treasurer - Tax
|
3/13 - Present
|
||||
BNY Capital Funding LLC ***
|
Assistant Treasurer – Tax
|
9/13 - Present
|
||||
BNY Investment Strategy and Solutions Group, LLC *
|
Assistant Treasurer – Tax
|
6/15 - Present
|
||||
BNY Mellon Community Development Corporation ^^^^^
|
Assistant Treasurer – Tax
|
10/13 - Present
|
||||
BNY Mellon Distributors Holdings Inc. #
|
Assistant Treasurer – Tax
|
6/14 – Present
|
||||
BNY Mellon Investments CTA, LLC *
|
Assistant Treasurer
|
9/13 – Present
|
||||
BNY Mellon Investment Servicing (US) Inc. +
|
Assistant Treasurer
|
3/14 – Present
|
||||
BNY Mellon Investment Servicing Trust Company #
|
Assistant Treasurer
|
3/14 – Present
|
||||
BNY Mellon Trust of Delaware#
|
Assistant Treasurer
|
11/13 – Present
|
||||
IVY Asset Management LLC +
|
Assistant Treasurer
|
9/13 – Present
|
||||
Mellon Hedge Advisors, LLC *
|
Assistant Treasurer
|
10/13 – Present
|
||||
MUNB Loan Holdings, LLC***
|
Assistant Treasurer
|
10/13 – Present
|
||||
484Wall Capital Management LLC ***
|
Assistant Treasurer – Tax
|
10/13 – Present
|
||||
Airlease Incorporated †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
Albridge Solutions, Inc. ††††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
Allomon Corporation †
|
Assistant Treasurer – Tax
|
5/13 – Present
|
||||
AP Residential Realty, Inc. †††††
|
Assistant Treasurer – Tax
|
8/13 – Present
|
||||
APT Holdings Corporation #
|
Assistant Treasurer – Tax
|
11/13 – Present
|
||||
AURORA-IRE, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
B.I.E. Corporation +
|
Assistant Treasurer – Tax
|
12/13 – Present
|
||||
B.N.Y. Holdings (Delaware) Corporation #
|
Assistant Treasurer – Tax
|
4/13 – Present
|
||||
BNY Capital Corporation ***
|
Assistant Treasurer – Tax
|
9/13 – Present
|
||||
BNY Capital Markets Holdings, Inc. ***
|
Assistant Treasurer – Tax
|
9/13 – Present
|
||||
BNY Capital Resources Corporation #######
|
Assistant Treasurer – Tax
|
3/13 – Present
|
||||
BNY Cargo Holdings LLC***
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY Catair LLC †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNYM CSIM Funding LLC +++
|
Assistant Treasurer – Tax
|
7/14 – Present
|
||||
BNY Falcon Three Holding Corp. ***
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY Foreign Holdings, Inc. ***
|
Assistant Treasurer – Tax
|
10/13 – Present
|
||||
BNY Gator LLC ***
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY Hitchcock Holdings LLC ***
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY Housing I Corp. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY Housing II LLC ***
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY ITC Leasing, LLC ***
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY Lease Equities (Cap Funding) LLC ########
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
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 Partnership Funding LLC ***
|
Manager
|
11/14 – 6/15
|
||||
BNY Rail Maintenance LLC ***
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY Recap I, LLC #
|
Assistant Treasurer – Tax
|
9/13 – Present
|
||||
BNY Salvage Inc. ***
|
Assistant Treasurer – Tax
|
3/13 – Present
|
||||
BNY Waterworks, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNY Wings, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
BNYM GIS Funding I LLC ***
|
Assistant Treasurer – Tax
|
6/13 – Present
|
||||
BNYM GIS Funding III LLC ***
|
Assistant Treasurer – Tax
|
6/13 – Present
|
||||
Amherst Capital Management, LLC ***
|
Assistant Treasurer – Tax
|
11/14 – Present
|
||||
BNYM RECAP Holdings, LLC ***
|
Assistant Treasurer – Tax
|
11/14 – Present
|
||||
BNY-N.J. I Corp. ***
|
Assistant Treasurer – Tax
|
4/13 – Present
|
||||
BNY-N.J. II Corp. ***
|
Assistant Treasurer – Tax
|
4/13 – Present
|
||||
Boston Safe Deposit Finance Company, Inc. *
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
CenterSquare Investment Management Holdings, Inc. +++
|
Assistant Treasurer – Tax
|
12/13 – Present
|
||||
CenterSquare Investment Management, Inc. +++
|
Assistant Treasurer – Tax
|
12/13 – Present
|
||||
Coates Holding LLC#
|
Assistant Treasurer – Tax
|
3/15 - Present
|
||||
Colson Services Corp. ^
|
Assistant Treasurer – Tax
|
3/14 - Present
|
||||
Cutwater Asset Management Corp. +++++
|
Assistant Treasurer – Tax
|
1/15 - Present
|
||||
Cutwater Holdings LLC +++++
|
Assistant Treasurer – Tax
|
1//15 - Present
|
||||
Cutwater Investor Services Corp. +++++
|
Assistant Treasurer - Tax
|
1/15 - Present
|
||||
Dreyfus Service Organization, Inc. ++
|
Assistant Treasurer – Tax
|
3/14 - Present
|
||||
EACM Advisors LLC ^^
|
Assistant Treasurer – Tax
|
1/14 - Present
|
||||
Eagle Access LLC ^^^
|
Assistant Treasurer – Tax
|
1/14 - Present
|
||||
Eagle Investment Systems LLC ^^^^
|
Assistant Treasurer – Tax
|
1/14 - Present
|
||||
ECM DE. LLC ***
|
Assistant Treasurer – Tax
|
1/14 - Present
|
||||
GIS Holdings (International) Inc. #
|
Assistant Treasurer – Tax
|
6/14 – 12/14
|
||||
Hamilton Floating Rate Fund Holdings, LLC ***
|
Assistant Treasurer – Tax
|
5/13 – Present
|
||||
HedgeMark International, LLC ##
|
Assistant Treasurer – Tax
|
5/14 – Present
|
||||
iNautix (USA) LLC ###
|
Assistant Treasurer – Tax
|
11/13 – Present
|
||||
IRE-1, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
IRE-AC, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
IRE-BC, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
IRE-SB, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
Island Waterworks, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
ITCMED, Inc. ***
|
Assistant Treasurer – Tax
|
6/13 – 5/15
|
||||
JRHC 1998A LLC ####
|
Assistant Treasurer – Tax
|
12/13 – Present
|
||||
Lockwood Advisors, Inc. ######
|
Assistant Treasurer – Tax
|
3/14 - Present
|
||||
Lockwood Insurance, Inc. ######
|
Assistant Treasurer – Tax
|
8/14 - Present
|
||||
Lockwood Solutions, Inc. ######
|
Assistant Treasurer – Tax
|
8/14 - Present
|
||||
Lease Equities (Texas) Corporation #####
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
Madison Pershing LLC ###
|
Assistant Treasurer – Tax
|
6/13 – Present
|
||||
MAM (MA) Holding Trust *
|
Assistant Treasurer – Tax
|
8/13 – Present
|
||||
MBC Investments Corporation #
|
Assistant Treasurer – Tax
|
11/13 – Present
|
||||
MBSC Securities Corporation ++
|
Vice President – Tax
|
2/14 - Present
|
||||
MCDI (Holdings) LLC ***
|
Assistant Treasurer – Tax
|
9/13 – Present
|
||||
Mellon Capital Management Corporation **
|
Assistant Treasurer – Tax
|
1/14 - Present
|
||||
Mellon Holdings LLC++
|
Assistant Treasurer
|
2/15 - Present
|
||||
MELDEL Leasing Corporation Number 2, Inc. #
|
Assistant Treasurer – Tax
|
9/13 – Present
|
||||
Mellon Financial Services Corporation #1+
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
Mellon Financial Services Corporation #4 +
|
Assistant Treasurer – Tax
|
9/13 – Present
|
||||
Mellon Funding Corporation +
|
Assistant Treasurer – Tax
|
3/14 - Present
|
||||
Mellon Global Investing Corp. +
|
Assistant Treasurer – Tax
|
5/14 - Present
|
||||
Mellon International Leasing Company #
|
Assistant Treasurer – Tax
|
8/14 - Present
|
||||
Mellon Leasing Corporation+
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
Mellon Life Insurance Company+
|
Assistant Treasurer – Tax
|
10/13 – Present
|
||||
Mellon Overseas Investment Corporation ***
|
Assistant Treasurer – Tax
|
12/13 - Present
|
||||
Mellon Properties Company ****
|
Assistant Treasurer – Tax
|
8/13 – Present
|
||||
Mellon Residential Funding Corporation ++++
|
Assistant Treasurer - Tax
|
4/14 - Present
|
||||
National Residential Assets Corp.***
|
Assistant Treasurer – Tax
|
4/13 – Present
|
||||
New GSM Holding Corporation ^^^^
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
Newton Capital Management LLC.***
|
Assistant Treasurer – Tax
|
8/14 - Present
|
||||
Northern Waterworks, Inc. †††
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
NY CRE Asset Holdings, LLC. ***
|
Assistant Treasurer – Tax
|
1/14 - Present
|
||||
NY CRE Asset Holdings II, LLC. ***
|
Assistant Treasurer – Tax
|
1/14 - Present
|
||||
One Wall Street Corporation ***
|
Assistant Treasurer – Tax
|
11/13 – Present
|
||||
Pareto New York LLC++
|
Assistant Treasurer – Tax
|
11/13 – Present
|
||||
PAS Holdings LLC ***
|
Assistant Treasurer – Tax
|
6/13 – Present
|
||||
Pershing Advisor Solutions LLC ###
|
Assistant Treasurer – Tax
|
6/13 – Present
|
||||
Pershing Group LLC ###
|
Assistant Treasurer – Tax
|
6/13 – Present
|
||||
Pershing Investments LLC ***
|
Assistant Treasurer – Tax
|
6/13 – Present
|
||||
Pershing LLC ###
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
Standish Mellon Asset Management Company LLC*
|
Assistant Treasurer – Tax
|
11/14 – Present
|
||||
Stanwich Insurance Agency, Inc. ***
|
Treasurer
|
12/13 – Present
|
||||
TBC Securities Co., Inc.*
|
Assistant Treasurer – Tax
|
6/13 – Present
|
||||
TBCAM, LLC *
|
Assistant Treasurer – Tax
|
10/13 – Present
|
||||
Technology Services Group, Inc. ^^^^^
|
Assistant Treasurer – Tax
|
9/13 – Present
|
||||
Tennessee Processing Center LLC ^^^^^
|
Assistant Treasurer – Tax
|
9/13 – Present
|
||||
The Bank of New York Consumer Leasing Corporation***
|
Assistant Treasurer – Tax
|
7/13 – Present
|
||||
The Bank of New York Mellon Trust Company, National Association +
|
Assistant Treasurer
|
10/13 - Present
|
||||
The Boston Company Asset Management, LLC *
|
Assistant Treasurer – Tax
|
8/13 – Present
|
||||
USPLP, Inc. ***
|
Assistant Treasurer – Tax
|
10/13 – Present
|
||||
MBNA Institutional PA Services LLC +
|
Treasurer
|
7/13 – Present
|
||||
MBNA PW PA Services LLC +
|
Treasurer
|
7/13 – Present
|
||||
Stanwich Insurance Agency, Inc. ***
|
Treasurer
|
12/13 – Present
|
||||
BNY Aurora Holding Corp. ***
|
Vice President
|
11/13 – Present
|
||||
Agency Brokerage Holding LLC***
|
Vice President – Tax
|
6/13 – Present
|
||||
BNY Community Development Enterprises Corp. ***
|
Vice President – Tax
|
4/13 – 5/14
|
||||
Asset Recovery I, LLC ***
|
Assistant Treasurer
|
9/13 - 11/13
|
||||
Asset Recovery VI, LLC ***
|
Assistant Treasurer
|
9/13 - 11/13
|
||||
Asset Recovery XII, LLC ***
|
Assistant Treasurer
|
3/13 - 11/13
|
||||
Jill Gill
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++
|
Executive Vice President
Senior Vice President |
2/14 – Present
2/08 – 2/14 |
|||
Anthony Mayo
Vice President – Information Systems |
MBSC Securities Corporation++
|
Chief Technology Officer
|
4/14 – Present
|
|||
Kathleen Geis
Vice President |
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 - Real Estate
|
7/11 - Present
|
||||
BNY Mellon Investment Management Services LLC #
|
Vice President - Real Estate
|
10/11 - 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
|
||||
CenterSquare Investment Management Holdings, Inc. +++
|
Vice President - Real Estate
|
10/12 – Present
|
||||
Eagle Investment Systems LLC ^^^^
|
Vice President - Real Estate
|
7/11 – Present
|
||||
Ivy Asset Management LLC +
|
Vice President - Real Estate
|
7/11 – Present
|
||||
MBSC Securities Corporation ++
|
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
|
||||
Pareto New York LLC ++
|
Vice President - Real Estate
|
7/11 – Present
|
||||
SourceNet Solutions, Inc. +
|
Vice President - Real Estate
|
7/11 – 5/13
|
||||
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 – 10/14
|
||||
Claudine Orloski
Vice President – Tax |
Dreyfus Service Organization++
|
Vice President – Tax
|
8/14 – Present
|
|||
MBSC Securities Corporation++
|
Vice President – Tax
|
2/12 - Present
|
||||
Asset Recovery II, LLC***
|
Assistant Treasurer
|
9/11 - Present
|
||||
Asset Recovery III, LLC ***
|
Assistant Treasurer
|
9/11 – 3/15
|
||||
Asset Recovery IV, LLC ***
|
Assistant Treasurer
|
9/11 – Present
|
||||
Asset Recovery IX, LLC ***
|
Assistant Treasurer
|
2/11 – 3/15
|
||||
Asset Recovery V, LLC ***
|
Assistant Treasurer
|
9/11 – Present
|
||||
Asset Recovery VII, LLC ***
|
Assistant Treasurer
|
2/11 – 3/15
|
||||
Asset Recovery X, LLC ***
|
Assistant Treasurer
|
2/11 – 3/15
|
||||
Asset Recovery XIII, LLC***
|
Assistant Treasurer
|
3/11 – Present
|
||||
Asset Recovery XIV, LLC ***
|
Assistant Treasurer
|
3/11 – Present
|
||||
Asset Recovery XIX, LLC ***
|
Assistant Treasurer
|
7/11 – Present
|
||||
Asset Recovery XV, LLC ***
|
Assistant Treasurer
|
3/11 – 3/15
|
||||
Asset Recovery XVI, LLC ***
|
Assistant Treasurer
|
3/11 – Present
|
||||
Asset Recovery XVII, LLC ***
|
Assistant Treasurer
|
3/11 – 3/15
|
||||
Asset Recovery XVIII, LLC ***
|
Assistant Treasurer
|
7/11 – 3/15
|
||||
Asset Recovery XX, LLC ***
|
Assistant Treasurer
|
7/11 – Present
|
||||
Asset Recovery XXI, LLC ***
|
Assistant Treasurer
|
7/11 – 3/15
|
||||
Asset Recovery XXII, LLC ***
|
Assistant Treasurer
|
7/11 – Present
|
||||
Asset Recovery XXIII, LLC ***
|
Assistant Treasurer
|
7/11 – Present
|
||||
BNY Mellon Investments CTA, LLC *
|
Assistant Treasurer
|
9/13 – Present
|
||||
BNY Mellon Trust of Delaware #
|
Assistant Treasurer
|
11/11 – Present
|
||||
Mellon Hedge Advisors, LLC *
|
Assistant Treasurer
|
10/11 – Present
|
||||
Mellon Holdings LLC ++
|
Assistant Treasurer
|
12/11 – Present
|
||||
MUNB Loan Holdings, LLC ***
|
Assistant Treasurer
|
10/11 – Present
|
||||
484 Wall Capital Management LLC
|
Assistant Treasurer -Tax
|
10/13 – Present
|
||||
Airlease Incorporated †††
|
Assistant Treasurer -Tax
|
7/11 – Present
|
||||
Albridge Solutions, Inc. ††††
|
Assistant Treasurer -Tax
|
6/11 – Present
|
||||
Alcentra NY, LLC ++
|
Assistant Treasurer -Tax
|
10/12 – Present
|
||||
Alcentra US, Inc. ††††
|
Assistant Treasurer -Tax
|
10/11 – Present
|
||||
Allomon Corporation †
|
Assistant Treasurer -Tax
|
5/12 – Present
|
||||
Alternative Holdings I, LLC ***
|
Assistant Treasurer -Tax
|
1/13 – Present
|
||||
Alternative Holdings II, LLC ***
|
Assistant Treasurer -Tax
|
1/13 – Present
|
||||
AP Residential Realty, Inc. †††††
|
Assistant Treasurer -Tax
|
8/11 – Present
|
||||
APT Holdings Corporation #
|
Assistant Treasurer -Tax
|
12/11 – Present
|
||||
AURORA-IRE, INC. †††
|
Assistant Treasurer -Tax
|
7/11 – Present
|
||||
B.N.Y. Holdings (Delaware) Corporation #
|
Assistant Treasurer -Tax
|
4/12 – Present
|
||||
BNY Administrative Services LLC ***
|
Assistant Treasurer –Tax
|
12/11 – Present
|
||||
BNY Alcentra Group Holdings, 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
|
7/11 – Present
|
||||
BNY Investment Strategy and Solutions Group LLC *
|
Assistant Treasurer –Tax
|
6/15 – Present
|
||||
BNY Investment Management Services LLC #
|
Assistant Treasurer –Tax
|
10/11 – Present
|
||||
BNY ITC Leasing, LLC ***
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
BNY Lease Equities (Cap Funding) LLC ########
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
BNY Lease Holdings LLC ***
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
BNY Lease Partners LLC ***
|
Assistant Treasurer –Tax
|
9/11 – Present
|
||||
BNY Leasing Edge Corporation ***
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
BNY Mellon Alternative Investments Holdings LLC ***
|
Assistant Treasurer –Tax
|
10/13 – Present
|
||||
BNY Mellon Capital Markets, 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
|
||||
Amherst Capital Management LLC ***
|
Assistant Treasurer –Tax
|
11/14 – Present
|
||||
BNYM RECAP Holdings, LLC ***
|
Assistant Treasurer –Tax
|
11/14 – Present
|
||||
BNY-N.J. I Corp. ***
|
Assistant Treasurer –Tax
|
4/11 – Present
|
||||
BNY-N.J. II Corp. ***
|
Assistant Treasurer –Tax
|
4/11 – Present
|
||||
Boston Safe Deposit Finance Company, Inc. *
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
CenterSquare Investment Management Holdings, Inc. +++
|
Assistant Treasurer –Tax
|
2/13 – Present
|
||||
CenterSquare Investment Management, Inc. +++
|
Assistant Treasurer –Tax
|
2/13 – Present
|
||||
Coates Holding LLC#
|
Assistant Treasurer – Tax
|
3/15 - Present
|
||||
Colson Services Corp. ^
|
Assistant Treasurer –Tax
|
2/11 – Present
|
||||
Cutwater Asset Management Corp. +++++
|
Assistant Treasurer – Tax
|
1/15 - Present
|
||||
Cutwater Holdings LLC +++++
|
Assistant Treasurer – Tax
|
1//15 - Present
|
||||
Cutwater Investor Services Corp. +++++
|
Assistant Treasurer - Tax
|
1/15 - Present
|
||||
EACM Advisors LLC ^^
|
Assistant Treasurer –Tax
|
4/14 – Present
|
||||
Eagle Access LLC ^^^
|
Assistant Treasurer –Tax
|
1/12 – Present
|
||||
Eagle Investment Systems LLC ^^^^
|
Assistant Treasurer –Tax
|
1/12 – Present
|
||||
ECM DE, LLC ***
|
Assistant Treasurer –Tax
|
3/11 – Present
|
||||
GIS Holdings (International) Inc. #
|
Assistant Treasurer –Tax
|
4/12 – 12/14
|
||||
Hamilton Floating Rate Fund Holdings, LLC ***
|
Assistant Treasurer –Tax
|
5/11 – Present
|
||||
HedgeMark International, LLC ##
|
Assistant Treasurer –Tax
|
5/14 – Present
|
||||
iNautix (USA) LLC ###
|
Assistant Treasurer –Tax
|
7/12 – Present
|
||||
IRE-1, Inc. †††
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
IRE-AC, Inc. †††
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
IRE-BC, Inc. †††
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
IRE-SB, Inc. †††
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
Island Waterworks, Inc. †††
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
ITCMED, Inc. ***
|
Assistant Treasurer –Tax
|
6/11 – 5/15
|
||||
JRHC 1998A LLC ####
|
Assistant Treasurer –Tax
|
12/11 – Present
|
||||
Lease Equities (Texas) Corporation#####
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
Lockwood Advisors, Inc. ######
|
Assistant Treasurer –Tax
|
3/11 – Present
|
||||
Lockwood Solutions, Inc. ######
|
Assistant Treasurer –Tax
|
3/11 – Present
|
||||
Madison Pershing LLC ###
|
Assistant Treasurer –Tax
|
4/11 – Present
|
||||
MAM (MA) Holding Trust *
|
Assistant Treasurer –Tax
|
8/11 – Present
|
||||
MBC Investments Corporation #
|
Assistant Treasurer –Tax
|
11/11 – Present
|
||||
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
|
1/12 – Present
|
||||
Standish Mellon Asset Management Company LLC
|
Assistant Treasurer –Tax
|
11/14 - Present
|
||||
Stanwich Insurance Agency, Inc. ***
|
Assistant Treasurer –Tax
|
12/11 – Present
|
||||
TBC Securities Co., Inc. *
|
Assistant Treasurer –Tax
|
7/11 – Present
|
||||
TBCAM, LLC *
|
Assistant Treasurer –Tax
|
10/13 – Present
|
||||
Technology Services Group, 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 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
|
||||
USPLP, Inc. ***
|
Assistant Treasurer –Tax
|
10/11 – Present
|
||||
BNY Mellon Investment Management Holdings LLC #
|
Assistant Vice President –Tax
|
12/12 – Present
|
||||
BNY Aurora Holding Corp. ***
|
Vice President
|
10/11 – Present
|
||||
Agency Brokerage Holding LLC ***
|
Vice President –Tax
|
2/11 – Present
|
||||
MBSC Securities Corporation ++
|
Vice President –Tax
|
2/12 – Present
|
||||
James Bitetto
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 500 Grant Street, Pittsburgh, PA 15258.
|
|||||
+++++
|
The address of the business so indicated is 113 King Street, Armonk, NY 10504.
|
|||||
†
|
The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259.
|
|||||
††
|
The address of the business so indicated is 100 White Clay Center, Newark, DE 19711.
|
|||||
†††
|
The address of the business so indicated is 1633 Broadway, New York, NY 10019.
|
|||||
††††
|
The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA 90024.
|
|||||
†††††
|
The address of the business so indicated is 1735 Market Street, Philadelphia, PA 19103.
|
|||||
††††††
|
The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD.
|
|||||
^
|
The address of the business so indicated is 4 New York Plaza, New York, NY 10004.
|
|||||
^^
|
The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT 06854-1940.
|
|||||
^^^
|
The address of the business so indicated is One Wells Avenue, Newton, MA 02459.
|
|||||
^^^^
|
The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT 06107.
|
|||||
^^^^^
|
The address of the business so indicated is 101 Barclay Street, 3rd Floor, New York, NY 10286.
|
|||||
^^^^^^
|
The address of the business so indicated is 1313 Broadway Plaza, Tacoma, WA 98402.
|
|||||
#
|
The address of the business so indicated is 301 Bellevue Parkway, Wilmington, DE 19809.
|
|||||
##
|
The address of the business so indicated is 780, Third Avenue, 44th Floor, New York, NY 10017.
|
|||||
###
|
The address of the business so indicated is One Pershing Plaza, Jersey City, NJ 07399.
|
|||||
####
|
The address of the business so indicated is 601 Travis Street, 17th Floor, Houston, TX 77002.
|
|||||
#####
|
The address of the business so indicated is 1201 Louisiana, Suite 3160, Houston, TX 77002.
|
|||||
######
|
The address of the business so indicated is 760 Moore Road, King of Prussia, PA 19406-1212.
|
|||||
#######
|
The address of the business so indicated is 8400 E. Prentice Avenue, Greenwood Village, CO 80111.
|
|||||
########
|
The address of the business so indicated is 1290 Avenue of the Americas, New York, NY 10104.
|
Item 32. Principal Underwriters
|
|||
(a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor:
|
|||
1.
|
Advantage Funds, Inc.
|
||
2.
|
BNY Mellon Absolute Insight Funds, Inc.
|
||
3.
|
BNY Mellon Funds Trust
|
||
4.
|
CitizensSelect Funds
|
||
5.
|
Dreyfus Appreciation Fund, Inc.
|
||
6.
|
Dreyfus BASIC Money Market Fund, Inc.
|
||
7.
|
Dreyfus BNY Mellon Funds, Inc.
|
||
8.
|
Dreyfus Bond Funds, Inc.
|
||
9.
|
Dreyfus Cash Management
|
||
10.
|
Dreyfus Funds, Inc.
|
||
11.
|
The Dreyfus Fund Incorporated
|
||
12.
|
Dreyfus Government Cash Management Funds
|
||
13.
|
Dreyfus Growth and Income Fund, Inc.
|
||
14.
|
Dreyfus Index Funds, Inc.
|
||
15.
|
Dreyfus Institutional Cash Advantage Funds
|
||
16.
|
Dreyfus Institutional Preferred Money Market Funds
|
||
17.
|
Dreyfus Institutional Reserves Funds
|
||
18.
|
Dreyfus Intermediate Municipal Bond Fund, Inc.
|
||
19.
|
Dreyfus International Funds, Inc.
|
||
20.
|
Dreyfus Investment Funds
|
||
21.
|
Dreyfus Investment Grade Funds, Inc.
|
||
22.
|
Dreyfus Investment Portfolios
|
||
23.
|
The Dreyfus/Laurel Funds, Inc.
|
||
24.
|
The Dreyfus/Laurel Funds Trust
|
||
25.
|
Dreyfus Liquid Assets, Inc.
|
||
26.
|
Dreyfus Manager Funds I
|
||
27.
|
Dreyfus Manager Funds II
|
||
28.
|
Dreyfus Midcap Index Fund, Inc.
|
||
29.
|
Dreyfus Municipal Bond Opportunity Fund
|
||
30.
|
Dreyfus Municipal Cash Management Plus
|
||
31.
|
Dreyfus Municipal Funds, Inc.
|
||
32.
|
Dreyfus New Jersey Municipal Bond Fund, Inc.
|
||
33.
|
Dreyfus New York AMT-Free Municipal Bond Fund
|
||
34.
|
Dreyfus New York Municipal Cash Management
|
||
35.
|
Dreyfus New York Tax Exempt Bond Fund, Inc.
|
||
36.
|
Dreyfus Opportunity Funds
|
||
37.
|
Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc.
|
||
38.
|
Dreyfus Premier GNMA Fund, Inc.
|
||
39.
|
Dreyfus Premier Investment Funds, Inc.
|
||
40.
|
Dreyfus Premier Short-Intermediate Municipal Bond Fund
|
||
41.
|
Dreyfus Premier Worldwide Growth Fund, Inc.
|
||
42.
|
Dreyfus Research Growth Fund, Inc.
|
||
43.
|
Dreyfus Stock Funds
|
||
44.
|
Dreyfus Short Duration Bond Fund
|
||
45.
|
The Dreyfus Socially Responsible Growth Fund, Inc.
|
||
46.
|
Dreyfus Stock Index Fund, Inc.
|
||
47.
|
Dreyfus Tax Exempt Cash Management Funds
|
||
48.
|
The Dreyfus Third Century Fund, Inc.
|
||
49.
|
Dreyfus Treasury & Agency Cash Management
|
||
50.
|
Dreyfus Treasury Prime Cash Management
|
||
51.
|
Dreyfus U.S. Treasury Intermediate Term Fund
|
||
52.
|
Dreyfus U.S. Treasury Long Term Fund
|
||
53.
|
Dreyfus Variable Investment Fund
|
||
54.
|
General California Municipal Money Market Fund
|
||
55.
|
General Government Securities Money Market Funds, Inc.
|
||
56.
|
General Money Market Fund, Inc.
|
||
57.
|
General Municipal Money Market Funds, Inc.
|
||
58.
|
General New Jersey Municipal Money Market Fund, Inc.
|
||
59.
|
General New York AMT-Free Municipal Money Market Fund
|
||
60.
|
Strategic Funds, Inc.
|
(b)
|
||
Name and principal
Business address |
Positions and offices with the Distributor
|
Positions and Offices with Registrant
|
Kenneth Bradle**
|
President and Director
|
None
|
J. Charles Cardona*
|
Chairman of the Board and Co-Head
|
Executive Vice President (Money Market Funds Only)
|
Sue Ann Cormack†
|
Executive Vice President
|
None
|
Diane P. Durnin†††
|
Executive Vice President
|
None
|
Tracy Hopkins*
|
Executive Vice President
|
None
|
William H. Maresca**
|
Executive Vice President and Director
|
None
|
Kimberly M. Mustin†††
|
Chief Executive Officer and Director
|
None
|
Paul D. Nobile†††
|
Executive Vice President
|
None
|
Christopher D. O'Connor†††
|
Executive Vice President
|
None
|
Irene Papadoulis**
|
Executive Vice President
|
None
|
Matthew Perrone*******
|
Executive Vice President
|
None
|
Cheryl M. Pipia†††
|
Executive Vice President
|
None
|
Bradley J. Skapyak*
|
Executive Vice President
|
President
|
Bill E. Sappington*
|
Executive Vice President and Director
|
None
|
Brie A. Steingarten*
|
Chief Legal Officer and Secretary
|
None
|
Eric P. Cola*
|
Senior Vice President
|
None
|
Mercedes Katz**
|
Senior Vice President
|
None
|
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
|
Maria Georgopoulos*
|
Vice President – Facilities Management
|
None
|
Stewart Rosen*
|
Vice President – Facilities Management
|
None
|
Karin L. Waldmann**
|
Privacy Officer
|
None
|
Charles Doumar†††
|
Vice President – Tax
|
None
|
Timothy I. Barrett**
|
Vice President
|
None
|
Jill Gill*
|
Vice President
|
None
|
Kathleen Geis††
|
Vice President
|
None
|
Joseph R. Kane***
|
Vice President – Tax
|
None
|
Donna M. Impagliazzo**
|
Vice President – Compliance
|
None
|
Carla R. Wanzer**
|
Vice President
|
None
|
Claudine Orloski***
|
Vice President – Tax
|
None
|
John Shea†††
|
Vice President – Finance
|
None
|
Christopher A. Stallone**
|
Vice President
|
None
|
Susan Verbil******
|
Vice President – Finance
|
None
|
William Verity******
|
Vice President – Finance
|
None
|
James Windels*******
|
Vice President
|
Treasurer
|
Ronny Santos*
|
Assistant Vice President
|
None
|
James Bitetto*
|
Assistant Secretary
|
Vice President and
Assistant Secretary |
Audrey Edwards***
|
Assistant Secretary
|
None
|
Susan K. Maroni***
|
Assistant Secretary
|
None
|
Cristina Rice***
|
Assistant Secretary
|
None
|
Victor R. Siclari***
|
Assistant Secretary
|
None
|
*
|
Principal business address is 200 Park Avenue, New York, NY 10166.
|
**
|
Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144.
|
***
|
Principal business address is BNY Mellon Center, 500 Grant Street, Pittsburgh, PA 15258.
|
****
|
Principal business address is 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 10286.
|
*******
|
Principal business address is 2 Hanson Place, Brooklyn, NY 11217.
|
†
|
Principal business address is 201 Columbine Street, Suite 200, Denver, CO 80206.
|
††
|
Principal business address is 525 William Penn Place, Pittsburgh, PA 15259.
|
†††
|
Principal business address is 225 Liberty Street, New York, NY 10286.
|
Item 33.
|
Location of Accounts and Records
|
|
1.
|
The Bank of New York Mellon
|
|
225 Liberty Street
|
||
New York, New York 10286
|
||
2.
|
The Bank of New York Mellon
|
|
One Mellon Bank Center
|
||
Pittsburgh, Pennsylvania 15258
|
||
3.
|
BNY Mellon Investment Servicing (US), Inc.
|
|
4400 Computer Drive
|
||
Westborough, MA 01581
|
||
4.
|
The Dreyfus Corporation
|
|
200 Park Avenue
|
||
New York, New York 10166
|
||
5.
|
The Dreyfus Corporation
|
|
2 Hanson Place
|
||
Brooklyn, New York 11217
|
Dreyfus State Municipal Bond Funds | |
BY:
|
/s/ Bradley J. Skapyak*
|
Bradley J. Skapyak, PRESIDENT
|
Signatures
|
Title
|
Date
|
||
/s/ Bradley J. Skapyak*
|
President (Principal Executive Officer)
|
01/25/16
|
||
Bradley J. Skapyak
|
||||
/s/ James Windels*
|
Treasurer (Principal Financial
and Accounting Officer) |
01/25/16
|
||
James Windels
|
||||
/s/ Joseph S. DiMartino*
|
Chairman of the Board
|
01/25/16
|
||
Joseph S. DiMartino
|
||||
/s/ Francine J. Bovich*
|
Board Member
|
01/25/16
|
||
Francine J. Bovich
|
||||
/s/ Peggy C. Davis*
|
Board Member
|
01/25/16
|
||
Peggy C. Davis
|
||||
/s/ Diane Dunst*
|
Board Member
|
01/25/16
|
||
Diane Dunst
|
||||
/s/ Robin A. Melvin*
|
Board Member
|
01/25/16
|
||
Robin A. Melvin
|
||||
/s/ Nathan Leventhal*
|
Board Member
|
01/25/16
|
||
Nathan Leventhal
|
*BY:
|
/s/ Joni L. Charatan
|
Joni L. Charatan
Attorney-in-Fact |
Name of Fund
|
Date Plan Adopted
|
|
Dreyfus Premier GNMA Fund, Inc.
--Dreyfus GNMA Fund*#
|
November 6, 2006
(Revised as of July 27, 2015)
|
|
Dreyfus Premier California AMT-Free Municipal Bond
Fund, Inc. --Dreyfus California AMT-Free Municipal Bond Fund*†
|
April 28, 2004
(Revised as of July 1, 2013)
|
|
Dreyfus Municipal Bond Opportunity Fund*
|
April 12, 1995
(Revised as of March 13, 2012)
|
|
Dreyfus New Jersey Municipal Bond Fund, Inc.*†
|
October 22, 2002
(Revised as of July 1, 2013)
|
|
Dreyfus New York AMT-Free Municipal Bond Fund†
|
April 12, 1995
(Revised as of July 1, 2013)
|
|
Dreyfus State Municipal Bond Funds
--Dreyfus Connecticut Fund*†
|
April 12, 1995
(Revised as of September 3, 2013)
|
|
--Dreyfus Massachusetts Fund*
|
||
--Dreyfus Pennsylvania Fund*
|
||
Dreyfus Municipal Funds, Inc.
--Dreyfus AMT-Free Municipal Bond Fund*†
--Dreyfus High Yield Municipal Bond Fund*†
|
January 16, 2003
(Revised as of July 1, 2013)
|
Total Sales Load
|
|||
Amount of Transaction |
As a % of offering price
per share
|
As a % of net asset value
per share
|
|
Less than $50,000
|
4.50
|
4.70
|
|
$50,000 to less than $100,000
|
4.00
|
4.20
|
|
$100,000 to less than $250,000
|
3.00
|
3.10
|
|
$250,000 to less than $500,000
|
2.50
|
2.60
|
|
$500,000 to less than $1,000,000
|
2.00
|
2.00
|
|
$1,000,000 or more
|
-0-
|
-0-
|
• | Full-time or part-time employees, and their family members, of The Dreyfus Corporation or any of its affiliates. |
• | Board members of The Dreyfus Corporation and Board members of the Dreyfus Family of Funds. |
• | Full-time employees, and their family members, of financial institutions that have entered into selling agreements with the Fund's Distributor. |
• | "Wrap" accounts for the benefit of clients of financial institutions, provided they have entered into an agreement with the Fund's Distributor specifying operating policies and standards. |
• | Qualified separate accounts maintained by an insurance company; any state, county or city or instrumentality thereof; and charitable organizations investing $50,000 or more in Fund shares and charitable remainder trusts, provided that such Class A shares are purchased directly through the Fund's Distributor. |
• | Investors who purchase Class A shares directly through 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 Distributor in a Dreyfus-managed fund since on or before February 28, 2006, or (ii) such purchase is for a self-directed investment account that may or may not be subject to a transaction fee. |
• | Investors who participate in a self-directed investment brokerage account program offered by a financial intermediary that has entered into an agreement with the Fund's Distributor. Financial intermediaries offering self-directed investment brokerage accounts may or may not charge their customers a transaction fee. |
• | Investors with the cash proceeds from the investor's exercise of stock options and/or disposition of stock related to employment-based stock plans, whether invested in the Fund directly or indirectly through an exchange from a Dreyfus money market fund, provided that the proceeds are processed through an entity that has entered into an agreement with the Fund's Distributor specifically relating to administering employment-based stock plans. Upon establishing the account in the Fund or the Dreyfus money market fund, the investor and the investor's spouse and minor children shall become eligible to purchase Class A shares of the Fund at net asset value, whether or not the investor uses the proceeds of the employment-based stock plan to establish the account. |
• | Members of qualified affinity groups who purchase Class A shares directly through the Fund's Distributor, provided that the qualified affinity group has entered into an affinity agreement with the Distributor. |
Name of Fund
|
Date Plan Adopted
|
|
Dreyfus Premier GNMA Fund, Inc.
--Dreyfus GNMA Fund*#
|
November 6, 2006
(Revised as of July 27, 2015)
|
|
Dreyfus Premier California AMT-Free Municipal Bond
Fund, Inc. --Dreyfus California AMT-Free Municipal Bond Fund*†
|
April 28, 2004
(Revised as of July 1, 2013)
|
|
Dreyfus Municipal Bond Opportunity Fund*
|
April 12, 1995
(Revised as of March 13, 2012)
|
|
Dreyfus New Jersey Municipal Bond Fund, Inc.*†
|
October 22, 2002
(Revised as of July 1, 2013)
|
|
Dreyfus New York AMT-Free Municipal Bond Fund†
|
April 12, 1995
(Revised as of July 1, 2013)
|
|
Dreyfus State Municipal Bond Funds
--Dreyfus Connecticut Fund*†
|
April 12, 1995
(Revised as of September 3, 2013)
|
|
--Dreyfus Massachusetts Fund*
|
||
--Dreyfus Pennsylvania Fund*
|
||
Dreyfus Municipal Funds, Inc.
--Dreyfus AMT-Free Municipal Bond Fund*†
--Dreyfus High Yield Municipal Bond Fund*†
|
January 16, 2003
(Revised as of July 1, 2013)
|
Total Sales Load
|
|||
Amount of Transaction |
As a % of offering price
per share
|
As a % of net asset value
per share
|
|
Less than $50,000
|
4.50
|
4.70
|
|
$50,000 to less than $100,000
|
4.00
|
4.20
|
|
$100,000 to less than $250,000
|
3.00
|
3.10
|
|
$250,000 to less than $500,000
|
2.50
|
2.60
|
|
$500,000 to less than $1,000,000
|
2.00
|
2.00
|
|
$1,000,000 or more
|
-0-
|
-0-
|
• | Full-time or part-time employees, and their family members, of The Dreyfus Corporation or any of its affiliates. |
• | Board members of The Dreyfus Corporation and Board members of the Dreyfus Family of Funds. |
• | Full-time employees, and their family members, of financial institutions that have entered into selling agreements with the Fund's Distributor. |
• | "Wrap" accounts for the benefit of clients of financial institutions, provided they have entered into an agreement with the Fund's Distributor specifying operating policies and standards. |
• | Qualified separate accounts maintained by an insurance company; any state, county or city or instrumentality thereof; and charitable organizations investing $50,000 or more in Fund shares and charitable remainder trusts, provided that such Class A shares are purchased directly through the Fund's Distributor for Fund accounts maintained with the Distributor. |
• | Investors who purchase Class A shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor, and either (i) have, or whose spouse or minor children have, beneficially owned shares and continuously maintained an open account with the Distributor in a Dreyfus-managed fund since on or before February 28, 2006, or (ii) such purchase is for a self-directed investment account that may or may not be subject to a transaction fee. |
• | Investors who participate in a self-directed investment brokerage account program offered by a financial intermediary that has entered into an agreement with the Fund's Distributor. Financial intermediaries offering self-directed investment brokerage accounts may or may not charge their customers a transaction fee. |
• | Investors with the cash proceeds from the investor's exercise of stock options and/or disposition of stock related to employment-based stock plans, whether invested in the Fund directly or indirectly through an exchange from a Dreyfus money market fund, provided that the proceeds are processed through an entity that has entered into an agreement with the Fund's Distributor specifically relating to administering employment-based stock plans. Upon establishing the account in the Fund or the Dreyfus money market fund, the investor and the investor's spouse and minor children shall become eligible to purchase Class A shares of the Fund at net asset value, whether or not the investor uses the proceeds of the employment-based stock plan to establish the account. |
• | Members of qualified affinity groups who purchase Class A shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor, provided that the qualified affinity group has entered into an affinity agreement with the Distributor. |