File No. 33-27172
811-05719
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. 42 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 42 [X]
(Check appropriate box or boxes.)
Dreyfus Stock Index Fund, Inc.
(Exact Name of Registrant as Specified in Charter)
c/o The Dreyfus Corporation
200 Park Avenue, New York, New York 10166
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6400
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 (d) (2) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file the Index Management Agreement, as Exhibit (d)(2) to Item 28 to this Registration Statement on Form N-1A.
The Prospectus and Statement of Additional Information filed on April 11, 2017 pursuant to Rule 485(b) under the Securities Act of 1933 are incorporated by reference herein.
DREYFUS STOCK INDEX FUND, INC.
PART C. OTHER INFORMATION
_________________________
Item 28. Exhibits.
(a) Registrant's Articles of Incorporation and Articles of Amendment are incorporated by reference to Exhibit (1)(b) of Post-Effective Amendment No. 6 to the Registration Statement on Form N-1A, filed on April 20, 1994.
(b) Registrant's By Laws are incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 30 to the Registration Statement on Form N-1A, filed on April 13, 2012.
(d)(1) Management Agreement is incorporated by reference to Exhibit (d)(1) of Post-Effective Amendment No. 36 to the Registration Statement on Form N-1A, filed on April 15, 2015 ("Post-Effective Amendment No. 36").
(d)(2) Index Management Agreement, as amended, January 31, 2018.*
(e)(1) Distribution Agreement is incorporated by reference to Exhibit (e)(1) of Post-Effective Amendment No. 28 to the Registration Statement on Form N-1A, filed on April 14, 2011.
(e)(2) Form of Broker-Dealer Selling Agreement and Bank Selling Agreement is incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 40 to the Registration Statement on Form N-1A, filed on April 11, 2017 ("Post-Effective Amendment No. 40").
(e)(3) Form of Service Agreement is incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 38 to the Registration Statement on Form N-1A, filed on April 15, 2016.
(e)(4) Contract between a principal underwriter and dealer is incorporated by reference to Exhibit (e)(3) of Post-Effective Amendment No. 23 to the Registration Statement on Form N-1A, filed on April 13, 2007.
(g)(1) Custody Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 28 to the Registration Statement on Form N-1A, filed on April 14, 2011.
(g)(2) Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(2) of Post-Effective Amendment No. 34 to the Registration Statement on Form N1-A, filed on April 15, 2014.
(g)(3) Second Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(3) of Post-Effective Amendment No. 40.
(h)(1) Transfer Agency Agreement is incorporated by reference to Exhibit (h)(1) of Post-Effective Amendment No. 32 to the Registration Statement on Form N-1A, filed on April 15, 2013.
(h)(2) Shareholder Services Plan is incorporated by reference to Exhibit (9) of Post-Effective Amendment No. 7 to the Registration Statement on Form N-1A, filed on March 2, 1995.
(i) Opinion and consent of Registrant's counsel is incorporated by reference to Exhibit (10) of Post-Effective Amendment No. 6 to the Registration Statement on Form N-1A, filed on April 20, 1994.
(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 40.
(m) Distribution Plan is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 14 to the Registration Statement on Form N-1A, filed on October 31, 2000.
(o) Rule 18f-3 Plan is incorporated by reference to Exhibit (o) of Post-Effective Amendment No. 14 to the Registration Statement on Form N-1A, filed on October 31, 2000.
(p)(1) Code of Ethics is incorporated by reference to Exhibit (p)(1) of Post-Effective Amendment No. 36.
(p)(2) Code of Ethics for the Non-management Board Members of The Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(ii) of Post-Effective Amendment No. 27 to the Registration Statement on Form N-1A, filed on April 13, 2010.
Other Exhibits.
(a) Power of Attorney is incorporated by reference to Other Exhibits (a) of Post-Effective Amendment No. 40.
(b) Certificate of Secretary is incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 26 to the Registration Statement on Form N-1A, filed on February 12, 2010.
_______________
*Filed herewith.
Item 29. Persons Controlled by or under Common Control with Registrant.
Not Applicable.
Item 30. Indemnification.
The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them including attorney's fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, as amended, that no board member or officer of a fund may be protected against liability for willful misfeasance, bad faith, gross negligence or reckless disregard for the duties of his or her office. Reference is hereby made to the following:
Article VII of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of Registrant's Amended and Restated Bylaws, Section 2-418 of the Maryland General Corporation Law and Section 1.10 of the Distribution Agreement.
Item 31 (a). 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 and manager 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 on which Dreyfus acts as investment adviser, sub-investment adviser or administrator.
Item 31(b). Business and Other Connections of Sub-Investment Adviser.
With respect to the Dreyfus Stock Index Fund, Inc., the Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of BNY Mellon Asset Management North America Corporation ("BNY Mellon AMNA"), the sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by BNY Mellon AMNA, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by BNY Mellon AMNA (SEC File No. 801-19785).
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
Renee LaRoche-Morris |
The Dreyfus Corporation++ |
President |
1/18 – Present |
|
BNY Mellon Investment Management******* |
Chief Operating Officer |
1/18 - Present | |
|
BNY Mellon Wealth Management++ |
Chief Financial Officer |
5/14-12/17 | |
|
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 | |
|
Gregory Brisk |
Alcentra Limited^ |
Director |
9/12 - Present |
|
Alcentra NY LLC++ |
Director |
10/15 - Present | |
|
Alcentra US, Inc. †††† |
Director |
10/15 - Present | |
|
Alternative Holdings I, LLC******* |
Director |
7/16 - Present | |
|
Alternative Holdings II, LLC******* |
Director |
3/16 - Present | |
|
BNY Alcentra Group Holdings, Inc. †††††† |
Director |
7/16 - Present | |
|
BNYM CSIM Funding LLC+++ |
Director |
8/17 - Present | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
ABF Brazil Fund, SPC^^ |
Director |
7/08 - Present | |
|
BNY Mellon Asset Management Operations LLC^^^ |
Director |
11/17 - Present | |
|
BNY Mellon Asset Management North America Corporation* |
Director |
1/18 - Present | |
|
BNY Mellon Fund Managers Limited^ |
Director |
10/02 - Present | |
|
BNY Mellon Fund Management (Luxembourg) S.A.^^^^ |
Director |
3/16 - Present | |
|
BNY Mellon Global Funds PLC^^^^^ |
Director |
2/03 - Present | |
|
BNY Mellon Global Management Limited^^^^^^ |
Director |
11/02 - Present | |
|
BNY Mellon International Asset Management (Holdings) Limited^ |
Director |
10/12 - Present | |
|
BNY Mellon International Asset Management (Holdings) No. 1 Limited^ |
Director |
10/12 - Present | |
|
BNY Mellon International Asset Management Group Limited^ |
Director |
5/10 - Present | |
|
BNY Mellon Investment Management (APAC) Holdings Ltd^ |
Director |
9/03 - Present | |
|
BNY Mellon Investment Management EMEA Limited^ |
Director |
12/15 - Present | |
|
BNY Mellon Investment Management (Europe) Limited^ |
Director |
11/12 – Present | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
BNY Mellon Investment Management (Jersey) Limited. ^^^^^^^ |
Director |
11/12 – Present | |
|
BNY Mellon Investment Management Europe Holdings Limited^ |
Director |
11/12 – Present | |
|
BNY Mellon Investment Management Holdings (Germany) Limited^ |
Director |
9/12 - Present | |
|
BNY Mellon Investment Management Seed Capital Limited^ |
Director |
11/13 - Present | |
|
BNY Mellon Investment Management (Shanghai) Limited^^^^^^^^ |
Director |
6/17 - Present | |
|
BNY Mellon Liquidity Funds PLC^^^^^^^^^ |
Director |
12/02 - Present | |
|
BNY MFM Nominees Limited^ |
Director |
5/02 - Present | |
|
CenterSquare Investment Management Holdings, Inc. +++ |
Director |
7/16 - Present | |
|
CenterSquare Investment Management, Inc. +++ |
Director |
7/16 - Present | |
|
CenterSquare Global Securities Management Inc. +++ |
Director |
8/17 - Present | |
|
Cutwater Asset Management Corp++ |
Director |
1/15 - Present | |
|
Cutwater Holdings LLC++ |
Director |
1/15 - Present | |
|
Cutwater Investor Services Corp++ |
Director |
1/15 - Present | |
|
EACM Advisors LLC^^ |
Director |
7/16 - Present | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
Insight Investment International Limited^ |
Director |
2/18 – Present | |
|
Insight Investment Management Limited^ |
Director |
4/16 - Present | |
|
Insight Investment Management (Global) Limited^ |
Director |
4/16 - Present | |
|
Insight Investment Funds Management Limited^ |
Director |
4/16 - Present | |
|
Insight Investment Management (Ireland) Limited^^^^^^^^^^ |
Director |
3/17 - Present | |
|
Insight North America LLC++ |
Director |
11/17 - Present | |
|
Absolute Insight Funds PLC^^^^^^^^^^ |
Director |
3/17 - Present | |
|
Insight Global Funds II PLC^^^^^^^^^^ |
Director |
3/17 - Present | |
|
Insight Liquidity Funds PLC^^^^^^^^^^ |
Director |
3/17 - Present | |
|
LDI Solutions Plus PLC^^^^^^^^^^ |
Director |
3/17 - Present | |
|
MBC Investment Corporation# |
Director |
2/17 - Present | |
|
Mellon Capital Management Corporation** |
Director |
7/16 – 1/18 | |
|
Mellon Europe Pension (Nominees) Limited^ |
Director |
12/00 - Present | |
|
Mellon Global Investing Corp+ |
Director |
8/10 - Present | |
|
Mellon JV Limited^ |
Director |
1/06 - Present | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
Mellon Overseas Investment Corporation******* |
Director |
4/08 - Present | |
|
Newton Investment Management Limited^ |
Director |
5/16 - Present | |
|
Newton Investment Management (North America) Limited^ |
Director |
5/16 - Present | |
|
Newton Management Limited^ |
Director |
8/16 - Present | |
|
NWK Multi-Strategy Funds PLC^^^^^^ |
Director |
5/07 - Present | |
|
Pareto Investment Management Limited^ |
Director |
4/16 – 1/18 | |
|
Standish Mellon Asset Management Company LLC******* |
Director |
6/16 – 1/18 | |
|
The Boston Company Asset Management, LLC* |
Director |
7/16 – 1/18 | |
|
XBK LLC^^^ |
Director |
11/17 - Present | |
|
The Fordham Trust++++++++ |
Director |
3/15 - Present | |
|
The St. Nicholas Cole Abbey Centre for Workplace Ministry Limited††††††† |
Director |
9/11 - Present | |
|
Distaff Lane Coffee Limited††††††† |
Director |
9/17 - Present | |
|
BNY Mellon Advantage Series^^^^^^^ |
Director |
11/13 – 6/17 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
BNY Mellon China A Share Equity Fund, A SEGREGATED PORTFOLIO^^ |
Director |
3/11 – 10/15 | |
|
BNY Mellon Compass Fund SICAV######### |
Director |
11/11 – 1/16 | |
|
BNY Mellon Enhanced Coefficient Select Fund PLC^^^^^^^ |
Director |
4/08 – 8/15 | |
|
BNY Mellon Term Investment Portfolios PLC ^^^^^^^ |
Director |
8/13 – 7/16 | |
|
BNY Mellon Offshore Currency Opportunity Enhanced Master Fund Limited^^ |
Director |
6/06 – 1/15 | |
|
BNY Mellon Offshore Currency Opportunity Enhanced UK Equitized Fund Limited^^ |
Director |
6/06 – 1/15 | |
|
Mellon Global Alternative Investment Fund PLC******** |
Director |
2/06 – 12/16 | |
|
MAM (MA) Holding Trust* |
Director |
7/16 – 3/16 | |
|
MAM (MA) Holdings LLC* |
Director |
12/16 – 3/16 | |
|
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
Christopher O'Connor |
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 |
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 – 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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
Asset Recovery XXIII, LLC *** |
Assistant Treasurer |
7/13 – 6/16 | |
|
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 – 5/16 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
BNY Gator LLC *** |
Assistant Treasurer – Tax |
7/13 – 10/15 | |
|
BNY Hitchcock Holdings LLC *** |
Assistant Treasurer – Tax |
7/13 – 12/15 | |
|
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 Asset Management North America Corporation * |
Assistant Treasurer – Tax |
1/18 – Present | |
|
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 |
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 – 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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 – 1/18 | |
|
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 – 1/18 | |
|
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 – 1/18 | |
|
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 Asset Management North America Corporation* |
Vice President - |
1/18 – Present | |
|
BNY Mellon, National Association+ |
Managing Director |
7/09 – 10/14 | |
|
Albridge Solutions, Inc. |
Managing Director |
7/11 - Present | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 – 1/18 | |
|
Mellon Financial Services Corporation #1+ |
Vice President - |
7/11 – Present | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 – 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 Asset Management North America Corporation * |
Assistant Treasurer –Tax |
1/18 – 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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 |
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
Mellon Capital Management Corporation ** |
Assistant Treasurer –Tax |
10/13 – 1/18 | |
|
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 | |
|
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 – 1/18 | |
|
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 – 1/18 | |
|
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 | |
|
Name and Position |
Other Businesses |
Position Held |
Dates |
|
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 | |
|
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 Grand Canal House, 1 Upper Grand Canal Street, Dublin, 4 Ireland. |
|
^ |
The address of the business so indicated is BNY Mellon Centre 160 Queen Victoria Street, London EC4V 4LA. |
|
^^ |
The address of the business so indicated is 87 Mary Street, George Town, KY1-9005, Cayman Islands. |
|
^^^ |
The address of the business so indicated is 201 Washington Street, Boston, Massachusetts 02108. |
|
^^^^ |
The address of the business so indicated is 2-4, rue Eugène Ruppert, L-2453 Luxembourg, Luxembourg. |
|
^^^^^ |
The address of the business so indicated is One Dockland Central, Guild Street, IFSC, Dublin 1. |
|
^^^^^^ |
The address of the business so indicated is 33 Sir John Rogersons Quay, Dublin 2. |
|
^^^^^^^ |
The address of the business so indicated is Ogier House, The Esplanade, St Helier, Jersey, JE4 9WG. |
|
^^^^^^^^ |
The address of the business so indicated is Room 6053, Level 6, 21st Century Building, No.210, Century Avenue, China, (Shanghai) Pilot Free Trade Zone. |
|
^^^^^^^^^ |
The address of the business so indicated is 6th Floor, 2 Grand Canal Square, Dublin 2, Ireland. |
|
^^^^^^^^^^ |
The address of the business so indicated is 32 Molesworth Street, Dublin 2, Ireland. |
|
+ |
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 Hartpiece, Lamarsh, Bures, Suffolk, CO8 5EP.. |
|
† |
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 114 Queen Victoria Street, London, EC4V 4BJ. |
|
^ |
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 David M. Breen & Co. Suite 4, Wallace House, Maritana Gate, Canada Street, Waterford. |
|
# |
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. |
|
######### |
The address of the business so indicated is 6 C, route de Trèves, L-2633 Senningerberg, Luxembourg. |
|
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. |
The Dreyfus Fund Incorporated | |
|
14. |
Dreyfus Government Cash Management Funds | |
|
15. |
Dreyfus Growth and Income Fund, Inc. | |
|
16. |
Dreyfus Index Funds, Inc. | |
|
17. |
Dreyfus Institutional Liquidity Funds | |
|
18. |
Dreyfus Institutional Preferred Money Market Funds | |
|
19. |
Dreyfus Institutional Reserves Funds | |
|
20. |
Dreyfus Intermediate Municipal Bond Fund, Inc. | |
|
21. |
Dreyfus International Funds, Inc. | |
|
22. |
Dreyfus Investment Funds | |
|
23. |
Dreyfus Investment Grade Funds, Inc. | |
|
24. |
Dreyfus Investment Portfolios | |
|
25. |
The Dreyfus/Laurel Funds, Inc. | |
|
26. |
The Dreyfus/Laurel Funds Trust | |
|
27. |
Dreyfus Liquid Assets, Inc. | |
|
28. |
Dreyfus Manager Funds II | |
|
29. |
Dreyfus Midcap Index Fund, Inc. | |
|
30. |
Dreyfus Municipal Bond Opportunity Fund | |
|
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 Tax Exempt Bond Fund, Inc. |
|
35. |
Dreyfus Opportunity Funds |
|
36. |
Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
|
37. |
Dreyfus Premier GNMA Fund, Inc. |
|
38. |
Dreyfus Premier Investment Funds, Inc. |
|
39. |
Dreyfus Premier Short-Intermediate Municipal Bond Fund |
|
40. |
Dreyfus Premier Worldwide Growth Fund, Inc. |
|
41. |
Dreyfus Research Growth Fund, Inc. |
|
42. |
Dreyfus State Municipal Bond Funds |
|
43. |
Dreyfus Stock Funds |
|
44. |
Dreyfus Stock Index Fund, Inc. |
|
45. |
Dreyfus Sustainable U.S. Equity Fund, Inc. |
|
46. |
Dreyfus Sustainable U.S. Equity Portfolio, Inc. |
|
47. |
Dreyfus Tax Exempt Cash Management Funds |
|
48. |
Dreyfus Treasury & Agency Cash Management |
|
49. |
Dreyfus Treasury Securities Cash Management |
|
50. |
Dreyfus Ultra Short Income Fund |
|
51. |
Dreyfus Variable Investment Fund |
|
52. |
General California Municipal Money Market Fund |
|
53. |
General Government Securities Money Market Funds, Inc. |
|
54. |
General Money Market Fund, Inc. |
|
55. |
General Municipal Money Market Funds, Inc. |
|
56. |
General New Jersey Municipal Money Market Fund, Inc. |
|
57. |
General New York AMT-Free Municipal Money Market Fund |
|
58. |
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 |
|
Joseph P. Gennaco†††† |
Executive Vice President |
None |
|
(b) |
||
|
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
|
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 |
|
William Kennedy††† |
Chief Compliance officer |
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 |
|
Tina Rizzo** |
Vice President |
None |
|
Carla R. Wanzer** |
Vice President and Privacy Officer |
None |
|
James Windels***** |
Vice President |
Treasurer |
|
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 |
|
(b) |
||
|
Name and principal |
Positions and offices with the Distributor |
Positions and Offices with Registrant |
|
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 |
|
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 5oo Ross Street, Pittsburgh, PA 15262-0001 |
|
††† |
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 has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of New York, and State of New York on the 8th day of March 2018.
Dreyfus Stock Index Fund, Inc.
|
BY: |
/s/ Bradley J. Skapyak* |
|
Bradley J. Skapyak, PRESIDENT |
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
|
Signatures |
Title |
Date | ||
|
/s/ Bradley J. Skapyak* |
President (Principal Executive Officer) |
03/8/2018 | ||
|
Bradley J. Skapyak |
||||
|
/s/ James Windels* |
|
03/8/2018 | ||
|
James Windels |
and Accounting Officer) |
|||
|
/s/ Joseph S. DiMartino* |
Chairman of the Board |
03/8/2018 | ||
|
Joseph S. DiMartino |
||||
|
/s/ Peggy C. Davis* |
Board Member |
03/8/2018 | ||
|
Peggy C. Davis |
||||
|
/s/ David P. Feldman* |
Board Member |
03/8/2018 | ||
|
David P. Feldman |
||||
|
/s/ Joan L. Gulley* |
Board Member |
03/8/2018 | ||
|
Joan L. Gulley |
||||
|
/s/ Ehud Houminer* |
Board Member |
03/8/2018 | ||
|
Ehud Houminer |
||||
|
/s/ Lynn Martin* |
Board Member |
03/8/2018 | ||
|
Lynn Martin |
||||
|
/s/ Robin A. Melvin* |
Board Member |
03/8/2018 | ||
|
Robin A. Melvin |
||||
|
/s/ Martin Peretz* |
Board Member |
03/8/2018 | ||
|
Martin Peretz |
|||||
|
*BY: |
/s/ James Bitetto | ||||
|
James Bitetto | |||||
INDEX OF EXHIBITS
Exhibits
|
(d)(2) |
Index Management Agreement, as amended, January 31, 2018. |
INDEX MANAGEMENT AGREEMENT
THE DREYFUS CORPORATION
200 Park Avenue
New York, New York 10166
November 13, 1995
Amended as of January 31, 2018
BNY Mellon Asset Management North America Corporation
BNY Mellon Center
One Boston Place
Boston, Massachusetts 02108
Ladies and Gentlemen:
As you are aware, Dreyfus Stock Index Fund, Inc. (the "Fund") desires to employ its capital by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in its charter documents and in its Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Fund's Board. The Fund employs The Dreyfus Corporation ("Dreyfus") pursuant to a written agreement (the "Management Agreement"), a copy of which has been furnished to you. Dreyfus desires to employ you to act as the Fund's index manager.
In this connection, it is understood that from time to time you will employ or associate with yourself such person or persons as you may believe to be particularly fitted to assist you in the performance of this Agreement. Such person or persons may be officers or employees who are employed by both you and the Fund. The compensation of such person or persons shall be paid by you and no obligation may be incurred on the Fund's behalf in any such respect.
Subject to the supervision and approval of Dreyfus, you will provide investment management of the Fund's portfolio in accordance with the Fund's investment objective and policies as stated in the Fund's Prospectus and Statement of Additional Information as from time to time in effect. In connection therewith, you will supervise the Fund's investments and, if appropriate, the sale and reinvestment of the Fund's assets. You are authorized to invest the Fund's assets in securities issued by The Bank of New York Mellon Corporation, to the extent required or permitted by the Fund's investment objective and policies, and to the extent permitted by the U.S. Securities and Exchange Commission or other applicable authority. You will furnish to Dreyfus or the Fund such statistical information, with respect to the investments, which the Fund may hold or contemplate purchasing, as Dreyfus or the Fund may reasonably request. The Fund and Dreyfus wish to be informed of important developments materially affecting the Fund's portfolio and shall expect you, on your own initiative, to furnish to the Fund or Dreyfus from time to time such information as you may believe appropriate for this purpose.
You shall exercise your best judgment in rendering the services to be provided hereunder, and Dreyfus agrees as an inducement to your undertaking the same that you shall not be liable hereunder for any error of judgment or mistake of law or for any loss suffered by the Fund or Dreyfus, provided that nothing herein shall be deemed to protect or purport to protect you against any liability to Dreyfus, the Fund or the Fund's security holders to which you would otherwise be subject by reason of willful misfeasance, bad faith or gross negligence in the performance of your duties hereunder, orby reason of your reckless disregard of yourobligations and duties hereunder.
In consideration of the services rendered pursuant to this Agreement, Dreyfus will pay you, on the first business day of each month, out of the management fee it receives and only to the extent thereof, a fee calculated daily and paid monthly at the annual rate of .095 of 1% of the value of the Fund's average daily net assets, for the preceding month.
Net asset value shall be computed on such days and at such time or times as described in the Fund's then-current Prospectus and Statement of Additional Information. The fee for the period from the date hereof to the end of the month hereof shall be pro-rated according to the proportion which such period bears to the full monthly period, and upon any termination of this Agreement before the end of any month, the fee for such part of a month shall be pro-rated according to the proportion which such period bears to the full monthly period and shall be payable within 10 business days of date of termination of this Agreement.
For the purpose of determining fees payable to you, the value of the Fund's net assets shall be computed in the manner specified in the Fund's charter documents for the computation of the value of the Fund's net assets.
You will bear all expenses in connection with the performance of your services under this Agreement. You also will pay, out of your fee to be received hereunder or from other sources available to you, for the custody services to be provided to the Fund. All other expenses to be incurred in the operation of the Fund (other than those borne by Dreyfus) will be borne by the Fund, except to the extent specifically assumed by you. The expenses to be borne by the Fund include, without limitation, the following: organizational costs, taxes, interest, loan commitment fees, interest and distributions paid on securities sold short, brokerage fees and commissions, if any, fees of Board members who are not officers, directors, employees or holders of 5% or more of the outstanding voting securities of you or Dreyfus or any affiliate of you or Dreyfus, Securities and Exchange Commission fees and state Blue Sky qualification fees, advisory fees, transfer and dividend disbursing agents' fees, certain insurance premiums, industry association fees, outside auditing and legal expenses, costs of independent pricing services, costs of maintaining the Fund's existence, costs attributable to investor services (including, without limitation, telephone and personnel expenses), costs of preparing and printing prospectuses and statements of additional information for regulatory purposes and for distribution to existing stockholders, costs of stockholders' reports and meetings, and any extraordinary expenses.
If in any fiscal year the aggregate expenses of the Fund (including fees pursuant to the Fund's Management Agreement, but excluding interest, taxes, brokerage and, with the prior written consent of the necessary state securities commissions, extraordinary expenses) exceed the expense limitation of any state having jurisdiction over the Fund, Dreyfus may deduct from the fees to be paid hereunder, or you will bear such excess expense on a pro-rata basis with Dreyfus, in the proportion ("Your Proportion") that the index management fee payable to you pursuant to this Agreement bears to the fee payable to Dreyfus pursuant to the Management Agreement, to the extent required by state law. If Dreyfus fails to receive any portion of its fees under the Management Agreement, for any reason other than Dreyfus' voluntary waiver of such fees, your fee under this Agreement shall be reduced by Your Proportion of the amount which Dreyfus shall not have received. If Dreyfus waives receipt of any portion of its fees under the Management Agreement, your fee under this Agreement shall be reduced by Your Proportion of the amount which Dreyfus shall have waived, provided that in no event will any such waiver reduce the fee to be paid to you hereunder below the annual rate of .055 of 1% of the value of the Fund's average daily net assets during the period of such waiver. Dreyfus agrees to notify you in advance of any such waiver. Your obligations pursuant to this paragraph will be limited to the amount of your fees hereunder. Such deduction or payment, if any, will be estimated daily, and reconciled and effected or paid, as the case may be, on a monthly basis.
-2-
Dreyfus understands that you now act, and that from time to time hereafter you may act, as investment adviser to one or more other investment companies and fiduciary or other managed accounts, and Dreyfus has no objection to your so acting, provided that when purchase or sale of securities of the same issuer is suitable for the investment objectives of two or more companies or accounts managed by you which have available funds for investment, the available securities will be allocated in a manner believed by you to be equitable to each company or account. It is recognized that in some cases this procedure may adversely affect the price paid or received by the Fund or the size of the position obtainable for or disposed of by the Fund.
In addition, it is understood that the persons employed by you to assist in the performance of your duties hereunder will not devote their full time to such services and nothing contained herein shall be deemed to limit or restrict your right or the right of any of your affiliates to engage in and devote time and attention to other businesses or to render services of whatever kind or nature.
You shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Fund or Dreyfus in connection with the matters to which this Agreement relates, except for a loss resulting from willful misfeasance, bad faith or gross negligence on your part in the performance of your duties or from reckless disregard by you of your obligations and duties under this Agreement. Any person, even though also your officer, director, partner, employee or agent, who may be or become an officer, Board member, employee or agent of the Fund, shall be deemed, when rendering services to the Fund or acting on any business of the Fund, to be rendering such services to or acting solely for the Fund and not as your officer, director, partner, employee, or agent or one under your control or direction even though paid by you.
This Agreement shall continue automatically for successive annual periods ending on March 30th of each year, provided such continuance is specifically approved at least annually by (i) the Fund's Board or (ii) vote of a majority (as defined in the Investment Company Act of 1940, as amended) of the Fund's outstanding voting securities, provided that in either event its continuance also is approved by a majority of the Fund's Board members who are not "interested persons" (as defined in said Act) of any party to this Agreement, by vote cast in person at a meeting called for the purpose of voting on such approval. This Agreement is terminable without penalty (i) by Dreyfus upon 60 days' notice to you, (ii) by the Fund's Board or by vote of the holders of a majority of the Fund's shares upon 60 days' notice to you, or (iii) by you upon not less than 90 days' notice to the Fund and Dreyfus. This Agreement also will terminate automatically in the event of its assignment (as defined in said Act). In addition, notwithstanding anything herein to the contrary, if the Management Agreement terminates for any reason, this Agreement shall terminate effective upon the date the Management Agreement terminates.
-3-
If the foregoing is in accordance with your understanding, will you kindly so indicate by signing and returning to us the enclosed copy hereof.
|
|
Very truly yours, |
|
|
THE DREYFUS CORPORATION |
|
|
By: /s/ James Bitetto Name: James Bitetto Title: Secretary |
|
Accepted: |
|
|
BNY MELLON ASSET MANAGEMENT NORTH AMERICA CORPORATION |
|
|
By: /s/ Des MacIntyre Name: Des MacIntyre Title: CEO |
|
-4-