0000030162-17-000028.txt : 20171214 0000030162-17-000028.hdr.sgml : 20171214 20171214152618 ACCESSION NUMBER: 0000030162-17-000028 CONFORMED SUBMISSION TYPE: POS EX PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20171214 DATE AS OF CHANGE: 20171214 EFFECTIVENESS DATE: 20171214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DREYFUS RESEARCH GROWTH FUND, INC CENTRAL INDEX KEY: 0000030162 IRS NUMBER: 132641740 STATE OF INCORPORATION: NY FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: POS EX SEC ACT: 1933 Act SEC FILE NUMBER: 002-33733 FILM NUMBER: 171256054 BUSINESS ADDRESS: STREET 1: 200 PARK AVENUE, 7H FLOOR STREET 2: THE DREYFUS CORPORATION CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2129226400 MAIL ADDRESS: STREET 1: C/O DREYFUS CORP STREET 2: 200 PARK AVENUE, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS RESEARCH GROWTH FUND INC DATE OF NAME CHANGE: 20081201 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS GROWTH OPPORTUNITY FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS NUMBER NINE INC DATE OF NAME CHANGE: 19830704 POS EX 1 lp1_018.htm POST-EFFECTIVE AMENDMENT NO. 84 lp1_018.htm - Generated by SEC Publisher for SEC Filing

File No. 2-33733

811-01899

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. 84  [X]

and/or

REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]

 Amendment No. 84  [X]

(Check appropriate box or boxes.)

Dreyfus Research Growth 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 (n)(i) to Item 28 to the Registration Statement.

This Post-Effective Amendment is being filed solely to file the Rule 18f-3 Plan as Exhibit (n)(i) to Item 28 to this Registration Statement on Form N-1A.

Part A of the Registration Statement was filed on June 28, 2017 pursuant to Rule 485(b) under the Securities Act of 1933 and is incorporated by reference herein; and

Part B of the Registration Statement was filed on November 29, 2017 pursuant to Rule 497(e) under the Securities Act of 1933 and is incorporated by reference herein.

 


DREYFUS RESEARCH GROWTH FUND, INC.

PART C. OTHER INFORMATION

_________________________

Item 28. Exhibits

(a)(i) Registrant's Articles of Incorporation and Articles of Amendment are incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 42 to the Registration Statement on Form N-1A, filed on June 26, 1996.

(a)(ii) Articles Supplementary is incorporated by reference to Exhibit (a)(ii) of Post-Effective Amendment No. 58 to the Registration Statement on Form N-1A, filed on September 25, 2008.

(a)(iii) Articles of Amendment is incorporated by reference to Exhibit (a)(iii) of Post-Effective Amendment No. 59 to the Registration Statement on Form N-1A, filed on June 26, 2009.

(a)(iv) Articles Supplementary are incorporated by reference to Exhibit (a)(iv) of Post-Effective Amendment No. 70 to the Registration Statement on Form N-1A, filed on June 12, 2013 ("Post-Effective Amendment No. 70").

(a)(v) Articles Supplementary are incorporated by reference to Exhibit (a)(v) of Post-Effective Amendment No. 80 to the Registration Statement on Form N-1A, filed on March 24, 2017 ("Post-Effective Amendment No. 80").

(b) Registrant's By-Laws is incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 28, 2011.

(d) Management Agreement is incorporated by reference to Exhibit (d) of Post-Effective Amendment No. 78 to the Registration Statement on Form N-1A, filed on June 27, 2016 ("Post-Effective Amendment No. 78").

(e)(i) Distribution Agreement is incorporated by reference to Exhibit (e)(i) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 28, 2011.

(e)(ii) Form of Broker-Dealer Selling Agreement and Bank Selling Agreement is incorporated by reference to Exhibit (e)(ii) of Post-Effective Amendment No. 80.

(e)(iii) Forms of Service Agreements are incorporated by reference to Exhibit (e)(ii) of Post-Effective Amendment No. 74 to the Registration Statement on Form N-1A, filed on June 26, 2015 ("Post-Effective Amendment No. 74").

(e)(iv) Forms of Supplement to Service Agreements is incorporated by reference to Exhibit (e)(iii) of Post-Effective Amendment No. 56 to the Registration Statement on Form N-1A, filed on June 26, 2007.

(e)(v) Form of Service Agreement is incorporated by reference to Exhibit (e)(v) of Post-Effective Amendment No. 78.

(g)(i) Custody Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on June 28, 2011.

(g)(ii) Amendment to the Custody Agreement is incorporated by reference to Exhibit (g)(ii) of Post-Effective Amendment No. 72 to the Registration Statement on Form N-1A, filed on June 26, 2011.

(g)(iii) Second Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(iii) of Post-Effective Amendment No. 80.

 

(h)(i) Amended and Restated Transfer Agency Agreement is incorporated by reference to Exhibit (h)(i) of Post-Effective Amendment No. 67 to the Registration Statement on Form N-1A, filed on June 27, 2012.

(h)(ii) Shareholder Services Plan—Class Z shares is incorporated by reference to Exhibit (h(ii) of Post-Effective Amendment No. 58 to the Registration Statement on Form N-1A, filed on September 25, 2008.

(h)(iii) Shareholder Services Plan is incorporated by reference to Exhibit (h)(iii) of Post-Effective Amendment No. 58 to the Registration Statement on Form N-1A, filed on September 25, 2008.

(i) Opinion and consent of Registrant's counsel is incorporated by reference to Exhibit (10) of Post-Effective Amendment No. 42 to the Registration Statement on Form N-1A, filed on June 26, 1996.

(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 82 to the Registration Statement on Form N-1A, filed on June 28, 2017.

(m)(i) Distribution Plan is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 58 to the Registration Statement on Form N-1A, filed on September 25, 2008.

(m)(ii) Rule 12b-1 Service Plan with respect to Class T shares is incorporated by reference to Exhibit (m)(ii) of Post-Effective Amendment No. 80.

(n)(i) Rule 18f-3 Plan, as amended, December 15, 2017.*

(o) Not applicable. 

(p)(i) Code of Ethics is incorporated by reference to Exhibit (n) of Post-Effective Amendment No. 70.

(p)(ii)  Code of Ethics for the Nonmanagement Board Members is incorporated by reference to Exhibit (p)(1) of Post-Effective Amendment No. 74.

 Other Exhibits

(a) Power of Attorney is incorporated by reference to Other Exhibits (a) of Post-Effective Amendment No. 80.

(b) Certificate of Secretary is incorporated by reference to Other Exhibits (b) of Post-Effective Amendment No. 61 to the Registration Statement on Form N-1A, filed on April 29, 2010.

_________________________
* Filed herewith.

Item 29. Persons Controlled by or Under Common Control with Registrant

Not Applicable.

Item 30. Indemnification

The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including attorneys' fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to

 

the limitation under the Investment Company Act of 1940, 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 Seventh of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of the 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 and distributor of other investment companies advised and administered by Dreyfus.

Item 31. Business and Other Connections of Investment Adviser (continued)
  Officers and Directors of Investment Adviser

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

Mark Santero
Chief Executive Officer, President and Director

Alcentra US, Inc.††††

Director

9/14 – 7/16

 

BNY Alcentra Group Holdings, Inc.††††††

Director

5/15 – 7/16

       
 

BNY Mellon Asset Management Canada Limited++++++

Director

5/16 - Present

       
 

Mellon Canada Holding Company++++++

Director

5/16- Present

       
 

Mellon Capital Management Corporation**

Director

4/15 – 7/16

       
 

Mellon Global Investing Corp.+

Director

5/15 - Present

       
 

USPLP, Inc.*******

Director

12/15 - 5/16

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Alcentra NY, LLC++

Manager

9/14 – 7/16

       
 

Alternative Holdings I, LLC

Manager

4/16 – 7/16

       
 

BNY Investment Strategy and Solutions Group, LLC*

Manager

6/15 – 7/16

       
 

EACM Advisors LLC^^

Manager

12/15 – 7/16

       
 

Standish Mellon Asset Management Company LLC*

Manager

9/14 - 7/16

       
 

The Boston Company Asset Management, LLC*

Manager

9/14 – 7/16

       
 

The Boston Company Asset Management, LLC*

Manager

6/14 – 7/14

       
 

MAM (MA) Holding Trust*

Trustee

12/15 - Present

       
 

BNY Mellon, National Association++++

Executive Vice President

5/14 - Present

       
 

The Bank of New York Mellon*******

Executive Vice President

5/14 - Present

       

Diane P. Durnin
Vice Chair and Director

MBSC Securities Corporation++

Executive Vice President

3/15 - Present

 

Sumday Holdings LLC

Manager

2/16 - Present

       

Bradley J. Skapyak
Chief Operating Officer and Director

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

1/06 - 1/16

       

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

       

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
Chief Risk Officer

MBSC Securities Corporation++

Chief Risk Officer

2/14-Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

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
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 – 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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Asset Recovery XVII, LLC ***

Assistant Treasurer

3/13 – 3/15

       
 

Asset Recovery XVIII, LLC ***

Assistant Treasurer

7/13 – 3/15

       
 

Asset Recovery XX, LLC ***

Assistant Treasurer

7/13 – Present

       
 

Asset Recovery XXI, LLC ***

Assistant Treasurer

7/13 – 3/15

       
 

Asset Recovery XXII, LLC ***

Assistant Treasurer

7/13 – Present

       
 

Asset Recovery XXIII, LLC ***

Assistant Treasurer

7/13 – 6/16

       
 

BNY Alcentra Group Holdings, Inc. ††††††

Assistant Treasurer - Tax

3/13 - Present

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

BNY Mellon Trust of Delaware#

Assistant Treasurer

11/13 – Present

       
 

IVY Asset Management LLC +

Assistant Treasurer

9/13 – Present

       
 

Mellon Hedge Advisors, LLC *

Assistant Treasurer

10/13 – Present

       
 

MUNB Loan Holdings, LLC***

Assistant Treasurer

10/13 – Present

       
 

484Wall Capital Management LLC ***

Assistant Treasurer – Tax

10/13 – 5/16

       
 

Airlease Incorporated †††

Assistant Treasurer – Tax

7/13 – 12/15

       
 

Albridge Solutions, Inc. ††††

Assistant Treasurer – Tax

7/13 – Present

       
 

Allomon Corporation

Assistant Treasurer – Tax

5/13 – Present

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

BNY Cargo Holdings LLC***

Assistant Treasurer – Tax

7/13 – 12/15

       
 

BNY Catair LLC †††

Assistant Treasurer – Tax

7/13 – 10/15

       
 

BNYM CSIM Funding LLC +++

Assistant Treasurer – Tax

7/14 – Present

       
 

BNY Falcon Three Holding Corp. ***

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Foreign Holdings, Inc. ***

Assistant Treasurer – Tax

10/13 – Present

       
 

BNY Gator LLC ***

Assistant Treasurer – Tax

7/13 – 10/15

       
 

BNY Hitchcock Holdings LLC ***

Assistant Treasurer – Tax

7/13 – 12/15

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

BNY Mellon Capital Markets, LLC ^^^^^

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Mellon Clearing, LLC ***

Assistant Treasurer – Tax

3/16 – Present

       
 

BNY Mellon Clearing Holding Company, LLC ***

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Mellon Fixed Income Securities, LLC ***

Assistant Treasurer – Tax

8/13 – Present

       
 

BNY Mellon Trust Company of Illinois *****

Assistant Treasurer – Tax

3/13 – Present

       
 

BNY Mezzanine Funding LLC ******

Assistant Treasurer – Tax

5/13 – Present

       
 

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 – 10/15

       
 

BNY Recap I, LLC #

Assistant Treasurer – Tax

9/13 – Present

       
 

BNY Salvage Inc. ***

Assistant Treasurer – Tax

3/13 – Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

BNY Waterworks, Inc. †††

Assistant Treasurer – Tax

7/13 – 12/15

       
 

BNY Wings, Inc. †††

Assistant Treasurer – Tax

7/13 – 12/15

       
 

BNYM GIS Funding I LLC ***

Assistant Treasurer – Tax

6/13 – Present

       
 

BNYM GIS Funding III LLC ***

Assistant Treasurer – Tax

6/13 – Present

       
 

Amherst Capital Management, LLC ***

Assistant Treasurer – Tax

11/14 – Present

       
 

BNYM RECAP Holdings, LLC ***

Assistant Treasurer – Tax

11/14 – Present

       
 

BNY-N.J. I Corp. ***

Assistant Treasurer – Tax

4/13 – Present

       
 

BNY-N.J. II Corp. ***

Assistant Treasurer – Tax

4/13 – Present

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Cutwater Investor Services Corp. +++++

Assistant Treasurer - Tax  

1/15 - Present

       
 

Dreyfus Service Organization, Inc. ++

Assistant Treasurer – Tax

3/14 - Present

       
 

EACM Advisors LLC ^^

Assistant Treasurer – Tax

1/14 - Present

       
 

Eagle Access LLC ^^^

Assistant Treasurer – Tax

1/14 - Present

       
 

Eagle Investment Systems LLC ^^^^

Assistant Treasurer – Tax

1/14 - Present

       
 

ECM DE. LLC ***

Assistant Treasurer – Tax

1/14 - Present

       
 

GIS Holdings (International) Inc. #

Assistant Treasurer – Tax

6/14 – 12/14

       
 

Hamilton Floating Rate Fund Holdings, LLC ***

Assistant Treasurer – Tax

5/13 – 3/16

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

JRHC 1998A LLC ####

Assistant Treasurer – Tax

12/13 – Present

       
 

Lockwood Advisors, Inc. ######

Assistant Treasurer – Tax

3/14 - Present

       
 

Lockwood Insurance, Inc. ######

Assistant Treasurer – Tax

8/14 - Present

       
 

Lockwood Solutions, Inc. ######

Assistant Treasurer – Tax

3/14 - Present

       
 

Lease Equities (Texas) Corporation #####

Assistant Treasurer – Tax

7/13 – Present

       
 

Madison Pershing LLC ###

Assistant Treasurer – Tax

6/13 – Present

       
 

MAM (MA) Holding Trust *

Assistant Treasurer – Tax

8/13 – Present

       
 

MBC Investments Corporation #

Assistant Treasurer – Tax

11/13 – Present

       
 

MBSC Securities Corporation ++

Vice President – Tax

2/14 - Present

       
 

MCDI (Holdings) LLC ***

Assistant Treasurer – Tax

9/13 – Present

       
 

Mellon Capital Management Corporation **

Assistant Treasurer – Tax

1/14 - Present

       
 

Mellon Holdings LLC++

Assistant Treasurer

2/15 - Present

       
 

Mellon EFT Services†††††

Assistant Treasurer - Tax

10/15 - Present

       
 

MELDEL Leasing Corporation Number 2, Inc. #

Assistant Treasurer – Tax

9/13 – Present

       
 

Mellon Financial Services Corporation #1+

Assistant Treasurer – Tax

7/13 – Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Mellon Financial Services Corporation #4 +

Assistant Treasurer – Tax

9/13 – Present

       
 

Mellon Funding Corporation +

Assistant Treasurer – Tax

3/14 - Present

       
 

Mellon Global Investing Corp. +

Assistant Treasurer – Tax

5/14 - Present

       
 

Mellon International Leasing Company #

Assistant Treasurer – Tax

8/14 – 12/15

       
 

Mellon Investor Services Holdings LLC
+++++++

Assistant Treasurer – Tax

8/16 – Present

       
 

Mellon Leasing Corporation+

Assistant Treasurer – Tax

7/13 – Present

       
 

Mellon Life Insurance Company+

Assistant Treasurer – Tax

10/13 – Present

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

The Boston Company Asset Management, LLC *

Assistant Treasurer – Tax

8/13 – Present

       
 

Tiber Capital Management LLC++

Assistant Treasurer – Tax

8/15 – 7/16

       
 

USPLP, Inc. *******

Assistant Treasurer – Tax

10/13 – 5/16

       
 

MBNA Institutional PA Services LLC +

Treasurer

7/13 – Present

       
 

MBNA PW PA Services LLC +

Treasurer

7/13 – Present

       
 

Stanwich Insurance Agency, Inc. ***

Treasurer

12/13 – Present

       
 

BNY Aurora Holding Corp. ***

Vice President

11/13 – Present

       
 

Agency Brokerage Holding LLC***

Vice President – Tax

6/13 – Present

       
 

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
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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

Mellon Investor Services Holdings LLC+++++++

Vice President -
Real Estate

8/16 - 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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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 – 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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Asset Recovery XXIII, LLC ***

Assistant Treasurer

7/11 – 6/16

       
 

BNY Mellon Investments CTA, LLC *

Assistant Treasurer

9/13 – Present

       
 

BNY Mellon Trust of Delaware #

Assistant Treasurer

11/11 – Present

       
 

Mellon Hedge Advisors, LLC *

Assistant Treasurer

10/11 – Present

       
 

Mellon Holdings LLC ++

Assistant Treasurer

12/11 – Present

       
 

MUNB Loan Holdings, LLC ***

Assistant Treasurer

10/11 – Present

       
 

484 Wall Capital Management LLC

Assistant Treasurer -Tax

10/13 – 5/16

       
 

Airlease Incorporated †††

Assistant Treasurer -Tax

7/11 – 12/15

       
 

Albridge Solutions, Inc. ††††

Assistant Treasurer -Tax

6/11 – Present

       
 

Alcentra NY, LLC ++

Assistant Treasurer -Tax

10/12 – Present

       
 

Alcentra US, Inc. ††††

Assistant Treasurer -Tax

10/11 – Present

       
 

Allomon Corporation

Assistant Treasurer -Tax

5/12 – Present

       
 

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,
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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

BNY Capital Resources
Corporation #######

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Cargo Holdings LLC ***

Assistant Treasurer –Tax

7/11 – 12/15

       
 

BNY Catair LLC †††

Assistant Treasurer –Tax

7/11 – 10/15

       
 

BNY Falcon Three Holding Corp. ***

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Foreign Holdings, Inc. ***

Assistant Treasurer –Tax

9/11 – Present

       
 

BNY Gator LLC ***

Assistant Treasurer –Tax

7/11 – 10/15

       
 

BNY Hitchcock Holdings LLC ***

Assistant Treasurer –Tax

7/11 – 12/15

       
 

BNY Housing I Corp. †††

Assistant Treasurer –Tax

7/11 – 12/15

       
 

BNY Housing II LLC ***

Assistant Treasurer –Tax

7/11 – 10/15

       
 

BNY Investment Strategy and Solutions Group LLC *

Assistant Treasurer –Tax

6/15 – Present

       
 

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,
LLC ^^^^^

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Mellon Clearing Holding Company, LLC ***

Assistant Treasurer –Tax

7/11 – Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 – 10/15

       
 

BNY Real Estate Holdings LLC ***

Assistant Treasurer –Tax

4/11 – Present

       
 

BNY Recap I, LLC #

Assistant Treasurer –Tax

11/11 – Present

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

BNY Salvage Inc. ***

Assistant Treasurer –Tax

3/11 – Present

       
 

BNY Waterworks, Inc. †††

Assistant Treasurer –Tax

7/11 – 12/15

       
 

BNY Wings, Inc. †††

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY XYZ Holdings LLC ***

Assistant Treasurer –Tax

5/11 – Present

       
 

BNYM CSIM Funding LLC +++

Assistant Treasurer –Tax

7/14 – Present

       
 

BNYM GIS Funding I LLC ***

Assistant Treasurer –Tax

6/12 – Present

       
 

BNYM GIS Funding III LLC ***

Assistant Treasurer –Tax

6/12 – Present

       
 

Amherst Capital Management LLC ***

Assistant Treasurer –Tax

11/14 – Present

       
 

BNYM RECAP Holdings, LLC ***

Assistant Treasurer –Tax

11/14 – Present

       
 

BNY-N.J. I Corp. ***

Assistant Treasurer –Tax

4/11 – Present

       
 

BNY-N.J. II Corp. ***

Assistant Treasurer –Tax

4/11 – Present

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Eagle Access LLC ^^^

Assistant Treasurer –Tax

1/12 – Present

       
 

Eagle Investment Systems LLC ^^^^

Assistant Treasurer –Tax

1/12 – Present

       
 

ECM DE, LLC ***

Assistant Treasurer –Tax

3/11 – Present

       
 

GIS Holdings (International) Inc. #

Assistant Treasurer –Tax

4/12 – 12/14

       
 

Hamilton Floating Rate Fund Holdings, LLC ***

Assistant Treasurer –Tax

5/11 – 3/16

       
 

HedgeMark International, LLC ##

Assistant Treasurer –Tax

5/14 – Present

       
 

iNautix (USA) LLC ###

Assistant Treasurer –Tax

7/12 – Present

       
 

IRE-1, Inc. †††

Assistant Treasurer –Tax

7/11 – Present

       
 

IRE-AC, Inc. †††

Assistant Treasurer –Tax

7/11 – 12/15

       
 

IRE-BC, Inc. †††

Assistant Treasurer –Tax

7/11 – 12/15

       
 

IRE-SB, Inc. †††

Assistant Treasurer –Tax

7/11 – 12/15

       
 

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
LLC +

Assistant Treasurer –Tax

7/12 – Present

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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 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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

Northern Waterworks, Inc. †††

Assistant Treasurer –Tax

7/11 – 12/15

       
 

NY CRE Asset Holdings II, LLC ***

Assistant Treasurer –Tax

1/12 – Present

       
 

NY CRE Asset Holdings, LLC ***

Assistant Treasurer –Tax

1/12 – Present

       
 

One Wall Street Corporation ***

Assistant Treasurer –Tax

11/11 – Present

       
 

Pareto New York LLC ++

Assistant Treasurer –Tax

11/11 – Present

       
 

PAS Holdings LLC ***

Assistant Treasurer –Tax

6/11 – Present

       
 

Pershing Advisor Solutions LLC ###

Assistant Treasurer –Tax

6/11 – Present

       
 

Pershing Group LLC ###

Assistant Treasurer –Tax

4/11 – Present

       
 

Pershing Investments LLC ***

Assistant Treasurer –Tax

2/11 – Present

       
 

Pershing LLC ###

Assistant Treasurer –Tax

4/11 – Present

       
 

PFS Holdings, LLC ***

Assistant Treasurer –Tax

1/12 – Present

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

Tiber Capital Management LLC++

Assistant Treasurer –Tax

8/15 – 7/16

       
 

USPLP, Inc. *******

Assistant Treasurer –Tax

10/11 – Present

       
 

BNY Mellon Investment Management Holdings LLC #

Assistant Vice President –Tax

12/12 – Present

       
 

BNY Aurora Holding Corp. ***

Vice President

10/11 – Present

       
 

Agency Brokerage Holding LLC ***

Vice President –Tax

2/11 – Present

       
 

BNY Community Development Enterprises Corporation***

Vice President –Tax

4/12 – 4/14

       
 

MBSC Securities Corporation ++

Vice President –Tax

2/12 – Present

       

James Bitetto
Secretary

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 One Mellon Bank Center, Pittsburgh, PA 15258.

++

The address of the business so indicated is 200 Park Avenue, New York, NY 10166.

+++

The address of the business so indicated is 630 West Germantown Pike, Suite 300, Plymouth Meeting, PA, 19462

++++

The address of the business so indicated is 500 Grant Street, Pittsburgh, PA 15258

+++++

The address of the business so indicated is 113 King Street, Armonk, NY 10504

++++++

The address of the business so indicated is 320 Bay Street, Toronto, ON M5H 4A6

+++++++

The address of the business so indicated is 480 Washington Blvd, Jersey City, NJ 07310

 

         

The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259.

†††

The address of the business so indicated is 100 White Clay Center, Newark, DE 19711.

†††

The address of the business so indicated is 1633 Broadway, New York, NY, 10019

††††

The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA, 90024

†††††

The address of the business so indicated is 1735 Market Street, Philadelphia, PA, 19103

††††††

The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD

^

The address of the business so indicated is 4 New York Plaza, New York, NY, 10004

^^

The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT, 06854-1940

^^^

The address of the business so indicated is One Wells Avenue, Newton, MA, 02459

^^^^

The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT, 06107

^^^^^

The address of the business so indicated is 101 Barclay Street, 3rd Floor, New York, NY, 10286

^^^^^^

The address of the business so indicated is 1313 Broadway Plaza, Tacoma, WA, 98402

#

The address of the business so indicated is 301 Bellevue Parkway, Wilmington, DE, 19809

##

The address of the business so indicated is 780, Third Avenue, 44th Floor, New York, NY, 10017

###

The address of the business so indicated is One Pershing Plaza, Jersey City, NJ, 07399

####

The address of the business so indicated is 601 Travis Street, 17th Floor, Houston, TX, 77002

#####

The address of the business so indicated is 1201 Louisiana, Suite 3160, Houston, TX, 77002

######

The address of the business so indicated is 760 Moore Road, King of Prussia, PA, 19406-1212

#######

The address of the business so indicated is 8400 E. Prentice Ave, Greenwood Village, CO, 80111

########

The address of the business so indicated is 1290 Avenue of the Americas, New York, NY, 10104

Item 32. Principal Underwriters

 (a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor:

1. 

Advantage Funds, Inc.

2. 

BNY Mellon Absolute Insight Funds, Inc.

3. 

BNY Mellon Funds Trust

4. 

CitizensSelect Funds

5. 

Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.

6. 

Dreyfus AMT-Free Municipal Cash Management Plus

7. 

Dreyfus AMT-Free New York Municipal Cash Management

8. 

Dreyfus Appreciation Fund, Inc.

9. 

Dreyfus BASIC Money Market Fund, Inc.

10. 

Dreyfus BNY Mellon Funds, Inc.

11. 

Dreyfus Bond Funds, Inc.

 

   

12. 

Dreyfus Cash Management

13. 

Dreyfus Funds, Inc.

14. 

The Dreyfus Fund Incorporated

15. 

Dreyfus Government Cash Management Funds

16. 

Dreyfus Growth and Income Fund, Inc.

17. 

Dreyfus Index Funds, Inc.

18. 

Dreyfus Institutional Liquidity Funds

19. 

Dreyfus Institutional Preferred Money Market Funds

20. 

Dreyfus Institutional Reserves Funds

21. 

Dreyfus Intermediate Municipal Bond Fund, Inc.

22. 

Dreyfus International Funds, Inc.

23. 

Dreyfus Investment Funds

24. 

Dreyfus Investment Grade Funds, Inc.

25. 

Dreyfus Investment Portfolios

26. 

The Dreyfus/Laurel Funds, Inc.

27. 

The Dreyfus/Laurel Funds Trust

28. 

Dreyfus Liquid Assets, Inc.

29. 

Dreyfus Manager Funds II

30. 

Dreyfus Midcap Index Fund, Inc.

31. 

Dreyfus Municipal Bond Opportunity Fund

32. 

Dreyfus Municipal Funds, Inc.

33. 

Dreyfus New Jersey Municipal Bond Fund, Inc.

34. 

Dreyfus New York AMT-Free Municipal Bond Fund

35. 

Dreyfus New York Tax Exempt Bond Fund, Inc.

36. 

Dreyfus Opportunity Funds

37. 

Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc.

38. 

Dreyfus Premier GNMA Fund, Inc.

39. 

Dreyfus Premier Investment Funds, Inc.

40. 

Dreyfus Premier Short-Intermediate Municipal Bond Fund

41. 

Dreyfus Premier Worldwide Growth Fund, Inc.

42. 

Dreyfus Research Growth Fund, Inc.

43. 

Dreyfus State Municipal Bond Funds

44. 

Dreyfus Stock Funds

45. 

Dreyfus Stock Index Fund, Inc.

 

   

46. 

Dreyfus Sustainable U.S. Equity Fund, Inc.

47. 

Dreyfus Sustainable U.S. Equity Portfolio, Inc.

48. 

Dreyfus Tax Exempt Cash Management Funds

49. 

Dreyfus Treasury & Agency Cash Management

50. 

Dreyfus Treasury Securities Cash Management

51. 

Dreyfus Ultra Short Income Fund

52. 

Dreyfus Variable Investment Fund

53. 

General California Municipal Money Market Fund

54. 

General Government Securities Money Market Funds, Inc.

55. 

General Money Market Fund, Inc.

56. 

General Municipal Money Market Funds, Inc.

57. 

General New Jersey Municipal Money Market Fund, Inc.

58. 

General New York AMT-Free Municipal Money Market Fund

59. 

Strategic Funds, Inc.

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Bradley J. Skapyak*

Chief Executive Officer and Director

President

Kenneth Bradle**

President and Director

None

Sue Ann Cormack

Executive Vice President

None

Diane P. Durnin†††

Executive Vice President

None

Joseph P. Gennaco††††

Executive Vice President

None

Tracy Hopkins*

Executive Vice President

None

William H. Maresca**

Executive Vice President and Director

None

Joseph Moran†††

Executive Vice President

None

Christopher D. O'Connor†††

Executive Vice President

None

Irene Papadoulis**

Executive Vice President

None

Matthew Perrone*****

Executive Vice President

None

Bill E. Sappington*

Executive Vice President and Director

None

Susan Verbil Goldgraben****

Executive Vice President

None

Alban J. Miranda†††

Chief Financial Officer and Treasurer

None

Brie A. Steingarten*

Chief Legal Officer and Secretary

None

 

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

John Squillace*

Chief Compliance officer (Investment Advisory Business)

None

Katherine M. Scott*

Chief Risk Officer

None

Anthony Mayo*

Chief Technology Officer

None

Timothy I. Barrett**

Senior Vice President

None

Eric P. Cola*

Senior Vice President

None

Mercedes Katz**

Senior Vice President

None

John Ragusa*

Senior Vice President

None

Christopher A. Stallone**

Senior Vice President

None

John Cimino*

Vice President

None

Christopher Donoghue**

Vice President

None

Jill Gill*

Vice President

None

Tina Rizzol**

Vice President

None

Carla R. Wanzer**

Vice President and Privacy Officer

None

James Windels*****

Vice President

Treasurer

Caridad M. Carosella**

Vice President – Compliance/Anti-Money Laundering Officer

Anti-Money Laundering Officer

Donna M. Impagliazzo**

Vice President – Compliance

None

John Shea†††

Vice President – Finance

None

Sandra Hatter***

Vice President – Human Resources

None

Marianne Thomas+

Vice President – Human Resources

None

Carol A. Britton****

Vice President – Real Estate

None

Kathleen Geis††

Vice President – Real Estate

None

Thaddeus S. Logan****

Vice President – Real Estate

None

Charles Doumar†††

Vice President – Tax

None

Claudine Orloski***

Vice President – Tax

None

Ronny Santos*

Assistant Vice President

None

Paul Mazziotti**

Anti-Money Laundering Officer

None

James Bitetto*

Assistant Secretary

Vice President and
Assistant Secretary

Audrey Edwards***

Assistant Secretary

None

Susan K. Maroni***

Assistant Secretary

None

 

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Cristina Rice***

Assistant Secretary

None

   

*

Principal business address is 200 Park Avenue, New York, NY 10166.

**

Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144.

***

Principal business address is BNY Mellon Center, 500 Grant Street, Pittsburgh, PA 15258.

****

Principal business address is 101 Barclay Street, New York, NY 10286.

*****

Principal business address is 2 Hanson Place, Brooklyn, NY 11217

Principal business address is 100 Saint Paul Street Denver, CO 80206

††

Principal business address is 525 William Penn Place, Pittsburgh, PA 15259

†††

Principal business address is 225 Liberty Street, New York, NY 10286

††††

Principal business address is 1 Boston Place, Boston, MA 02108-4407

+

Principal business address is 19 Vreeland Road Florham Park, NJ 07932

Item 33. Location of Accounts and Records

  1. The Bank of New York Mellon
    225 Liberty Street
    New York, New York 10286

         2.    The Bank of New York Mellon
               One Mellon Bank Center
               Pittsburgh, Pennsylvania 15258

  3. BNY Mellon Investment Servicing (US), Inc.
    4400 Computer Drive
    Westborough, Massachusetts 01581

  4. The Dreyfus Corporation
    200 Park Avenue
    New York, New York 10166

  5. The Dreyfus Corporation
    2 Hanson Place 
    Brooklyn, New York 11217 

Item 34. Management Services

    Not Applicable

Item 35. Undertakings

    None

 

SIGNATURES

 Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant 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 14th day of December 2017.

Dreyfus Research Growth 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)

 

12/14/2017

Bradley J. Skapyak

       

/s/ James Windels*

 


Treasurer (Principal Financial

 

12/14/2017

James Windels

 

and Accounting Officer)

   

/s/ Joseph S. DiMartino*

 

Chairman of the Board

 

12/14/2017

Joseph S. DiMartino

       

/s/ Peggy C. Davis*

 

Board Member

 

12/14/2017

Peggy C. Davis

       

/s/ David P. Feldman*

 

Board Member

 

12/14/2017

David P. Feldman

       

/s/ Joan L. Gulley*

 

Board Member

 

12/14/2017

Joan L. Gulley

       

/s/ Ehud Houminer*

 

Board Member

 

12/14/2017

Ehud Houminer

       

/s/ Lynn Martin*

 

Board Member

 

12/14/2017

Lynn Martin

       

/s/ Robin A. Melvin*

 

Board Member

 

12/14/2017

Robin A. Melvin

       

/s/ Martin Peretz*

 

Board Member

 

12/14/2017

 

           

Martin Peretz

       

*BY:

/s/ Janette Farragher

 

Janette Farragher
Attorney-in-Fact

 

INDEX OF EXHIBITS

Exhibits

 

   

(n)(i)

Rule 18f-3 Plan, as amended, December 15, 2017.

   

 

EX-99.N 18F-3 PLAN 2 rule18f3dfamoffunds-1215171.htm RULE 18F-3 PLAN rule18f3dfamoffunds-1215171.htm - Generated by SEC Publisher for SEC Filing

THE DREYFUS FAMILY OF FUNDS

(Dreyfus Family of Funds—Funds Included on Schedule A)

Rule 18f-3 Plan

Rule 18f-3 under the Investment Company Act of 1940, as amended (the "1940 Act"), requires that the Board of an investment company desiring to offer multiple classes pursuant to said Rule adopt a plan setting forth the separate arrangement and expense allocation of each class, and any related conversion features or exchange privileges.

The Board, including a majority of the Board members who are not "interested persons" (as defined in the 1940 Act), of each of the investment companies, or series thereof, listed on Schedule A attached hereto, as such Schedule may be revised from time to time (each, a "Fund"), which desires to offer multiple classes in accordance with Rule 18f-3, has determined that the following plan is in the best interests of each class individually and each Fund as a whole:

1.         Class Designation:  Fund shares shall be divided, except as otherwise noted on Schedule A hereto, into Class A, Class C, Class I, Class T and Class Y and, if indicated on Schedule A hereto, Class J, Class Z and Investor shares.

2.         Differences in Services:  The services offered to shareholders of each Class, as described in the Fund's prospectus or statement of additional information, unless otherwise noted on Schedule A hereto, shall be substantially the same, except that Rights of Accumulation, Letter of Intent and Reinvestment Privilege shall be available only to holders of Class A shares.  Dreyfus Automatic Asset Builder®, Dreyfus Payroll Savings Plan, Dreyfus Government Direct Deposit, Dreyfus Dividend Sweep, Dreyfus Auto-Exchange Privilege and Dreyfus Automatic Withdrawal Plan are not available for Class T or Class Y shares and Exchange Privilege is not available for Class T shares.

3.         Differences in Distribution Arrangements:  Class A shares shall be offered with a front-end sales charge, as such term is defined under the Conduct Rules of the Financial Industry Regulatory Authority (the "FINRA Conduct Rules"), and a deferred sales charge (a "CDSC"), as such term is defined under the FINRA Conduct Rules, may be assessed on certain redemptions of Class A shares, including Class A shares purchased without an initial sales charge as part of an investment of $1 million or more.  The amount of the sales charge and the amount of and provisions relating to the CDSC pertaining to the Class A shares are set forth on Schedule B attached hereto.  In addition, Class A shares shall be subject to an annual service fee at the rate of .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.


 

Class C shares shall not be subject to a front-end sales charge, but shall be subject to a CDSC and shall be charged an annual distribution fee under a Distribution Plan adopted pursuant to Rule 12b-1 under the 1940 Act.  The amount of and provisions relating to the CDSC and the amount of the fees under the Distribution Plan pertaining to the Class C shares are set forth on Schedule C attached hereto.  In addition, Class C shares shall be subject to an annual service fee at the rate of .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.

Class I shares shall be offered at net asset value only to (i) bank trust departments, trust companies and insurance companies that have entered into agreements with the Fund's Distributor to offer Class I shares to their clients, (ii) institutional investors acting in a fiduciary, advisory, agency, custodial or similar capacity for qualified or non-qualified employee benefit plans, including 401(k), 403(b)(7), Keogh, pension, profit-sharing and other deferred compensation plans, whether established by corporations, partnerships, sole proprietorships, non-profit entities, trade or labor unions, or state and local governments ("Retirement Plans"), and IRAs set up under Simplified Employee Pension Plans ("SEP-IRAs"), but not including traditional IRAs, Roth IRAs, Coverdell Education Savings Accounts, IRA "Rollover Accounts," Salary Reduction Simplified Employee Pension Plans or Savings Incentive Match Plans for Employees (Class I shares may be purchased for a Retirement Plan or SEP-IRA only by a custodian, trustee, investment manager or other entity authorized to act on behalf of such Retirement Plan or SEP-IRA that has entered into an agreement with the Fund's Distributor to offer Class I shares to such Retirement Plan or SEP-IRA), (iii) law firms or attorneys acting as trustees or executors/administrators, (iv) foundations and endowments that make an initial investment in the Fund of at least $1 million, (v) sponsors of college savings plans that qualify for tax-exempt treatment under Section 529 of the Internal Revenue Code of 1986, as amended (the "Code"), that maintain an omnibus account with the Fund and do not require shareholder tax reporting or 529 account support responsibilities from the Fund's Distributor, (vi) advisory fee-based accounts offered through financial intermediaries who, depending on the structure of the selected advisory platform, make Class I shares available, (vii) certain institutional clients of an investment advisory subsidiary of The Bank of New York Mellon Corporation approved by The Dreyfus Corporation, (viii) U.S.-based employees of The Bank of New York Mellon Corporation, Board members of The Dreyfus Corporation and Board members of funds in the Dreyfus Family of Funds, and the spouse, domestic partner or minor child of any of the foregoing, subject to certain requirements described in the Fund's prospectus or statement of additional information, and (ix) except as otherwise noted on Schedule A hereto, unaffiliated investment companies approved by the Fund's Distributor.  Class I shares also may be offered to certain shareholders as set forth on Schedule A hereto.

-2-

 


 

Class T shares shall be offered with a front-end sales charge, as such term is defined under the FINRA Conduct Rules, and shall be charged an annual fee under a Service Plan adopted pursuant to Rule 12b-1 under the 1940 Act for distribution, advertising and marketing Class T shares, and servicing and/or maintaining accounts of holders of Class T shares.  The amount of the sales charge and the amount of fees under the Service Plan pertaining to the Class T shares are set forth on Schedule D attached hereto.

Class Y shares shall be offered at net asset value only to (i) institutional investors, acting for themselves or on behalf of their clients, that have entered into an agreement with the Fund's Distributor and that make an initial investment in Class Y shares of the Fund of at least $1 million, (ii) Retirement Plans, or certain recordkeepers of Retirement Plan platforms that maintain a super-omnibus account with the Fund, provided that, in each case, they have entered into an agreement with the Fund's Distributor and make an initial investment in Class Y shares of the Fund of at least $1 million or have, in the opinion of The Dreyfus Corporation, adequate intent and availability of assets to reach a future level of investment of $1 million or more in Class Y shares of the Fund, (iii) certain institutional clients of an investment advisory subsidiary of The Bank of New York Mellon Corporation, provided that such clients are approved by The Dreyfus Corporation and make an initial investment in Class Y shares of the Fund of at least $1 million, and (iv) except as otherwise noted on Schedule A hereto, certain funds in the Dreyfus Family of Funds and series of BNY Mellon Funds Trust.

-3-

 


 

Class J shares shall be offered at net asset value only to certain shareholders as set forth on Schedule A hereto.

Class Z shares shall be offered at net asset value only to certain shareholders as set forth on Schedule A hereto.  To the extent indicated on Schedule E hereto, Class Z shares shall be subject to a Service Plan adopted pursuant to Rule 12b-1 under the 1940 Act or a Shareholder Services Plan.  The amount of fees and provisions relating to such Service Plan or Shareholder Services Plan are set forth on Schedule E hereto. 

Investor shares shall be offered at net asset value and are designed primarily for investors who are investing directly with the Fund through the Fund's Distributor or other entities that have entered into agreements with the Distributor to sell such shares.  Investor shares shall be subject to an annual service fee at the rate of .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.

4.         Expense Allocation:  The following expenses shall be allocated, to the extent practicable, on a Class-by-Class basis:  (a) fees under a Distribution Plan, Service Plan and Shareholder Services Plan; (b) printing and postage expenses related to preparing and distributing materials, such as shareholder reports, prospectuses and proxies, to current shareholders of a specific Class; (c) Securities and Exchange Commission registration fees incurred by a specific Class; (d) the expense of administrative personnel and services as required to support the shareholders of a specific Class; (e) litigation or other legal expenses relating solely to a specific Class; (f) transfer agent fees identified by the Fund's transfer agent as being attributable to a specific Class; and (g) Board members' fees incurred as a result of issues relating to a specific Class.

-4-

 


 

5.         Conversion Features:  Class C shares shall automatically convert to Class A shares after a specified period of time after the date of purchase, based on the relative net asset value of each such Class, without the imposition of any sales charge, fee or other charge, as set forth on Schedule C hereto.  No other Class shall be subject to any automatic conversion feature.  Shares of one Class of a Fund may be converted into shares of another Class of the Fund, provided the shareholder requesting the conversion meets the eligibility requirements for the purchase of the new Class of shares of the Fund.  Shares subject to a CDSC or a redemption fee at the time of the requested conversion shall not be eligible for conversion.

6.         Exchange Privileges:  Shares of a Class (other than Class T) shall be exchangeable only for (a) shares of the same Class of other investment companies managed or administered by The Dreyfus Corporation or its affiliates as specified from time to time and, except for shares held through financial intermediary brokerage platforms, (b) shares of certain other Classes of such investment companies or shares of certain other investment companies as specified from time to time.

Amended as of:  December 15, 2017

-5-

 


 

SCHEDULE A

Name of Fund

Date Plan Adopted

 

 

Advantage Funds, Inc.

February 25, 1999                       

 

(Revised as of November 7, 2017)

--Dreyfus Strategic Value Fund

 

--Dreyfus Structured Midcap Fund

 

--Dreyfus Technology Growth Fund

 

--Dynamic Total Return Fund

 

--Dreyfus Opportunistic Midcap Value Fund

 

--Dreyfus Global Real Return Fund

 

--Dreyfus Global Dynamic Bond Fund

 

--Dreyfus Total Emerging Markets Fund

 

--Dreyfus Opportunistic Small Cap Fund*

 

--Dreyfus Global Multi-Asset Income Fund**

 

 

 

BNY Mellon Absolute Insight Funds, Inc.

November 3, 2015

 

(Revised as of October 31, 2017)

--BNY Mellon Absolute Insight Multi-Strategy Fund

 

--BNY Mellon Insight Broad Opportunities Fund

 

--BNY Mellon Insight Core Plus Fund**

 

 

 

Dreyfus BNY Mellon Funds, Inc.

December 17, 2013

 

(Revised as of November 29, 2017)

--Dreyfus Alternative Diversifier Strategies Fund***

 

--Dreyfus Global Emerging Markets Fund

 

--Dreyfus Select Managers Long/Short Fund

 

--Dreyfus Yield Enhancement Strategy Fund***

 

 

 

Dreyfus International Funds, Inc.

September 9, 2002

 

(Revised as of March 10, 2017)

--Dreyfus Emerging Markets Fund***

 

 

 

Dreyfus Investment Funds

December 3, 2008

 

(Revised as of July 27, 2017)

--Dreyfus/Newton International Equity Fund

 

--Dreyfus Diversified Emerging Markets Fund***

 

--Dreyfus/The Boston Company Small Cap Growth Fund

 

--Dreyfus/The Boston Company Small/Mid Cap Growth Fund###

 

--Dreyfus/The Boston Company Small Cap Value Fund

 

--Dreyfus Tax Sensitive Total Return Bond Fund

 

--Dreyfus/Standish Global Fixed Income Fund

 

 

 

Dreyfus Investment Grade Funds, Inc.

October 18, 2007

 

(Revised as of March 1, 2017)

--Dreyfus Intermediate Term Income Fund

 

 

 

 

 

 

 

 

 

A-1

 


 

SCHEDULE A (continued)

Name of Fund

Date Plan Adopted

 

 

Dreyfus Manager Funds II

October 14, 2003

 

(Revised as of March 10, 2017)

--Dreyfus Balanced Opportunity Fund††

 

 

 

Dreyfus Opportunity Funds

April 17, 2000

 

(Revised as of September 8, 2017)

--Dreyfus Natural Resources Fund

 

--Dreyfus Strategic Beta Emerging Markets Equity Fund

 

 

 

Dreyfus Premier Investment Funds, Inc.

April 24, 1995

 

(Revised as of March 10, 2017)

--Dreyfus Diversified International Fund***

 

--Dreyfus Global Real Estate Securities Fund†††

 

--Dreyfus Large Cap Equity Fund†††

 

--Dreyfus Large Cap Growth Fund†††

 

--Dreyfus Global Infrastructure Fund

 

 

 

Dreyfus Premier Worldwide Growth Fund, Inc.

April 12, 1995

 

(Revised as of March 2, 2017)

--Dreyfus Worldwide Growth Fund****

 

 

 

Dreyfus Stock Funds

January 27, 2003

 

(Revised as of February 28, 2017)

--Dreyfus International Equity Fund

 

--Dreyfus Small Cap Equity Fund#

 

--Dreyfus International Small Cap Fund

 

 

 

Dreyfus Research Growth Fund, Inc. ##

July 15, 2008

 

(Revised as of March 10, 2017)

 

 

The Dreyfus/Laurel Funds, Inc.

April 20, 2006

 

(Revised as of February 23, 2017)

--Dreyfus Opportunistic Fixed Income Fund

 

--Dreyfus Floating Rate Income Fund

 

 

 

The Dreyfus/Laurel Funds Trust

December 20, 2005

 

(Revised as of November 29, 2017)

--Dreyfus Equity Income Fund

 

--Dreyfus Global Equity Income Fund

 

--Dreyfus International Bond Fund

 

 

A-2

 


 

SCHEDULE A (continued)

Name of Fund

Date Plan Adopted

 

 

Strategic Funds, Inc.

September 17, 2002

 

(Revised as of November 15, 2017)

--Dreyfus Active MidCap Fund****

 

--Global Stock Fund

 

--International Stock Fund

 

--Dreyfus U.S. Equity Fund

 

--Dreyfus Select Managers Small Cap Value Fund

 

--Dreyfus Select Managers Small Cap Growth Fund

 

________________________

 

*

The Fund offers Class I, Class Y and Investor shares only.

**

The Fund offers Class A, Class C, Class I and Class Y shares only.

***

The Fund does not offer Class I shares to unaffiliated investment companies and does not offer Class Y shares to funds in the Dreyfus Family of Funds or series of BNY Mellon Funds Trust.

****

The Fund also offers Class I shares to shareholders who have held Class I shares of the Fund since June 5, 2003 and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor.

The Fund offers Class I and Class Y shares only.

††

The Fund also offers Class J shares only to shareholders who received Class J shares in exchange for shares of its predecessor fund as a result of the reorganization of such fund.  The Fund also offers Class Z shares only to shareholders who received Class Z shares in exchange for their shares of Dreyfus Balanced Fund, Inc. as a result of the reorganization of such fund and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor.  In addition, certain broker-dealers and other financial institutions maintaining accounts with Dreyfus Balanced Fund, Inc. at the time of the reorganization of such fund may open new accounts in Class Z shares of the Fund on behalf of qualified Retirement Plans and wrap accounts or similar programs.

†††

The Fund also offers Class I shares to shareholders who received Class I shares in exchange for Institutional shares of a predecessor series of BNY Hamilton Funds or who received Class A shares in exchange for Class A shares of a predecessor series of BNY Hamilton Funds, which shares were subsequently converted to Class I shares, and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor.

#

The Fund offers Class A, Class C, Class I and Class T shares only.

##

The Fund also offers Class Z shares only to shareholders of the Fund with Fund accounts that existed on September 30, 2008 (the date of the implementation of the Fund's multiple class distribution structure) and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor.  In addition, certain broker-dealers and other financial institutions maintaining accounts with the Fund at that time may open new accounts in Class Z shares of the Fund on behalf of qualified Retirement Plans and wrap accounts or similar programs.

###

The Fund also offers Class Z shares only to shareholders of the Fund who received Class Z shares in exchange for their shares of Dreyfus Mid-Cap Growth Fund as a result of the reorganization of such fund and who purchase such shares directly through the Fund's Distributor for Fund accounts maintained with the Distributor.  In addition, certain broker-dealers and other financial institutions maintaining accounts with the Fund at the time of said reorganization may open new accounts in Class Z shares of the Fund on behalf of qualified Retirement Plans and wrap accounts or similar programs.

A-3

 


 

SCHEDULE B

Front-End Sales Charge—Class A Shares—The public offering price for Class A shares, except as otherwise set forth herein, shall be the net asset value per share of Class A plus a sales load as shown below:

 

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

Less than $50,000.....................................................

5.75

 

6.10

$50,000 to less than $100,000...................................

4.50

 

4.71

$100,000 to less than $250,000.................................

3.50

 

3.63

$250,000 to less than $500,000.................................

2.50

 

2.56

$500,000 to less than $1,000,000..............................

2.00

 

2.04

$1,000,000 or more...................................................

-0-

 

-0-

 

 

Front-End Sales Charge—Class A Shares of Dreyfus Global Dynamic Bond Fund, Dreyfus International Bond Fund, Dreyfus Intermediate Term Income Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Opportunistic Fixed Income Fund, and Dreyfus Yield Enhancement Strategy Fund—The public offering price for Class A shares of Dreyfus Global Dynamic Bond Fund, Dreyfus International Bond Fund, Dreyfus Intermediate Term Income Fund, Dreyfus Tax Sensitive Total Return Bond Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus Opportunistic Fixed Income Fund, and Dreyfus Yield Enhancement Strategy Fund, except as otherwise set forth herein, shall be the net asset value per share of Class A plus a sales load as shown below:

 

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

Less than $50,000.....................................................

4.50

 

4.71

$50,000 to less than $100,000...................................

4.00

 

4.17

$100,000 to less than $250,000.................................

3.00

 

3.09

$250,000 to less than $500,000.................................

2.50

 

2.56

$500,000 to less than $1,000,000..............................

2.00

 

2.04

$1,000,000 or more...................................................

-0-

 

-0-

 

B-1

 


 

SCHEDULE B (continued)

Front-End Sales Charge—Class A Shares of Dreyfus Floating Rate Income Fund—The public offering price for Class A shares of Dreyfus Floating Rate Income Fund shall be the net asset value per share of Class A plus a sales load as shown below:

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

Less than $100,000...................................................

2.50

 

2.60

$100,000 to less than $250,000.................................

2.00

 

2.10

$250,000 to less than $500,000.................................

1.50

 

1.52

$500,000 to less than $1,000,000..............................

1.00

 

1.01

$1,000,000 or more...................................................

-0-

 

-0-

Contingent Deferred Sales Charge—Class A Shares—A CDSC of 1.00% shall be assessed, except as set forth below, at the time of redemption of Class A shares purchased without an initial sales charge as part of an investment of at least $1,000,000 and redeemed within one year of purchase.  The terms contained in Schedule C pertaining to the CDSC assessed on redemptions of Class C shares, including the provisions for waiving the CDSC, shall be applicable to the Class A shares subject to a CDSC.  Letter of Intent and Rights of Accumulation, to the extent offered, shall apply to purchases of Class A shares subject to a CDSC.

Class A Shares of Dreyfus Intermediate Term Income Fund, Dreyfus Opportunistic Midcap Value Fund, Dreyfus International Equity Fund, Dreyfus Active MidCap Fund, Dreyfus Balanced Opportunity Fund, Dreyfus Diversified International Fund, and Dreyfus Strategic Value Fund Only—Shareholders beneficially owning Class A shares of Dreyfus Intermediate Term Income Fund on May 13, 2008 and Dreyfus Opportunistic Midcap Value Fund on May 29, 2008, may purchase Class A shares of such Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of the Fund without imposition of a CDSC. 

Shareholders beneficially owning Class A shares of Dreyfus Premier Core Bond Fund on February 29, 2000 who received Class A shares of Dreyfus Intermediate Term Income Fund as a result of the merger of such fund into Dreyfus Intermediate Term Income Fund on May 15, 2008 may purchase Class A shares of Dreyfus Intermediate Term Income Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Intermediate Term Income Fund without imposition of a CDSC for as long as the shareholder's account is open.

Shareholders beneficially owning Class A shares of Dreyfus International Value Fund on November 14, 2002, who received Class A shares of Dreyfus International Equity Fund as a result of the merger of such fund into Dreyfus International Equity Fund on January 22, 2016 may purchase Class A shares of Dreyfus International Equity Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus International Equity Fund without imposition of a CDSC for as long as the shareholder's account is open.

B-2

 


 

SCHEDULE B (continued)

Shareholders of Dreyfus A Bonds Plus, Inc. who received Class A shares of Dreyfus Intermediate Term Income Fund as a result of the merger of such fund into Dreyfus Intermediate Term Income Fund on May 14, 2008 may purchase Class A shares of Dreyfus Intermediate Term Income Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Intermediate Term Income Fund without imposition of a CDSC for as long as the shareholder's account is open.

Class A shares of Dreyfus Active MidCap Fund, Dreyfus Balanced Opportunity Fund, Dreyfus Diversified International Fund, Dreyfus Intermediate Term Income Fund and Dreyfus Strategic Value Fund may be purchased directly through the Fund's Distributor at net asset value without a sales charge by participants in a health savings account program, provided that the health savings account program has maintained a Fund account with the Distributor since on or before January 31, 2016.

Class A shares of a Fund may be purchased at net asset value without a front-end sales charge by the following individuals and entities:

·         Full-time or part-time employees, and their spouses or domestic partners and minor children, of The Dreyfus Corporation or any of its affiliates.

·         Board members of The Dreyfus Corporation and Board members of the Dreyfus Family of Funds, and their spouses or domestic partners and minor children.

·         Full-time employees, and their spouses and minor children, of financial intermediaries that have entered into selling agreements with the Fund's Distributor.

·         "Wrap" accounts for the benefit of clients of financial intermediaries, provided they have entered into an agreement with the Fund's Distributor specifying operating policies and standards.

·         Qualified separate accounts maintained by an insurance company; any state, county or city or instrumentality thereof; and charitable organizations investing $50,000 or more in Fund shares and charitable remainder trusts, provided that such Class A shares are purchased directly through the Fund's Distributor for Fund accounts maintained with the Fund's Distributor.

·         Investors who purchase Class A shares directly through the Fund's Distributor for Fund accounts maintained with the Fund's Distributor, and either (i) have, or whose spouse or minor children have, beneficially owned shares and continuously maintained an open account with the Fund's Distributor in a Dreyfus-managed fund since on or before February 28, 2006, or (ii) such purchase is for a self-directed investment account that may or may not be subject to a transaction fee.

·         Shareholders who received Class A shares in exchange for old Class T shares of the Fund on February 4, 2009, provided that such Class A shares are purchased directly through the Fund's Distributor for Fund accounts maintained with the Fund's Distributor.

·         Investors who participate in a self-directed investment brokerage account program offered by a financial intermediary that has entered into an agreement with the Fund's Distributor.  Financial intermediaries offering self-directed investment brokerage accounts may or may not charge their customers a transaction fee.

B-3

 


 

SCHEDULE B (continued)

·         Investors with the cash proceeds from the investor's exercise of stock options and/or disposition of stock related to employment-based stock plans, whether invested in the Fund directly or indirectly through an exchange from a Dreyfus-managed money market fund, provided that the proceeds are processed through an entity that has entered into an agreement with the Fund's Distributor specifically relating to administering employment-based stock plans.  Upon establishing the account in the Fund or the Dreyfus-managed money market fund, the investor and the investor's spouse and minor children shall become eligible to purchase Class A shares of the Fund at net asset value, whether or not the investor uses the proceeds of the employment-based stock plan to establish the account.

·         Members of qualified affinity groups who purchase Class A shares directly through the Fund's Distributor for Fund accounts maintained with the Fund's Distributor, provided that the qualified affinity group has entered into an affinity agreement with the Fund's Distributor.

·         Retirement Plans, provided that such Class A shares are purchased through a financial intermediary that performs recordkeeping or other administrative services for the Retirement Plan and has entered into an agreement with the Fund's Distributor relating to such services, or are purchased directly through the Fund's Distributor. 

·         Shareholders in Dreyfus-sponsored IRA rollover accounts funded with the distribution proceeds from Retirement Plans, provided that the rollover (except in the case of a rollover from a Dreyfus-sponsored Retirement Plan) is processed through an entity that has entered into an agreement with the Fund's Distributor specifically relating to processing rollovers.  Upon establishing the Dreyfus-sponsored IRA rollover account in the Fund, the shareholder shall become eligible to make subsequent purchases of Class A shares of the Fund at net asset value in such account.

In addition, effective December 15, 2017, shareholders of the Fund will receive Class A shares of the Fund at net asset value without a front-end sales charge upon the conversion of such shareholders' Class C shares of the Fund in the month of or month following the 10-year anniversary date of the purchase of the Class C shares. 

Front-end sales charge waivers on Class A shares of a Fund purchased through Merrill Lynch

Effective April 10, 2017, shareholders purchasing Class A shares of the Fund through an omnibus account maintained with Merrill Lynch may purchase Class A shares at net asset value without payment of a front-end sales charge as follows:

·         Shares purchased by employer-sponsored retirement, deferred compensation and employee benefit plans (including health savings accounts) and trusts used to fund those plans, provided that the shares are not held in a commission-based brokerage account and the shares are held for the benefit of the plan. 

·         Shares purchased by or through a 529 plan.

·         Shares purchased through a Merrill Lynch-affiliated investment advisory program.

·         Shares purchased by third party investment advisors on behalf of their advisory clients through Merrill Lynch's platform.

·         Shares purchased through the Merrill Edge Self-Directed platform.

B-4

 


 

SCHEDULE B (continued)

·         Shares of the Fund purchased through reinvestment of dividends and capital gains distributions of the Fund (but not any other fund in the Dreyfus Family of Funds).

·         Shares of the Fund received through an exchange of Class C shares of the Fund in the month of or month following the 10-year anniversary date of the purchase of the Class C shares. 

·         Shares purchased by employees and registered representatives of Merrill Lynch or its affiliates and their family members.

·         Shares purchased by board members of the Fund and employees of The Dreyfus Corporation or any of its affiliates, as described in the Fund's prospectus.

·         Shares purchased from the proceeds of a redemption of shares of a fund in the Dreyfus Family of Funds, provided (1) the repurchase occurs within 90 days following the redemption, (2) the redemption and purchase occur in the same account, and (3) redeemed shares were subject to a front-end sales charge or CDSC (Right of Reinstatement).

 

 

 

B-5

 


 

SCHEDULE C

Contingent Deferred Sales Charge—Class C Shares—A CDSC of 1.00% payable to the Fund's Distributor shall be imposed on any redemption of Class C shares within one year of the date of purchase.  No CDSC shall be imposed to the extent that the net asset value of the Class C shares redeemed does not exceed (i) the current net asset value of Class C shares of the Fund acquired through reinvestment of Fund dividends or capital gain distributions, plus (ii) increases in the net asset value of the shareholder's Class C shares above the dollar amount of all payments for the purchase of Class C shares of the Fund held by such shareholder at the time of redemption.

If the aggregate value of the Class C shares redeemed has declined below their original cost as a result of the Fund's performance, a CDSC may be applied to the then-current net asset value rather than the purchase price.

In determining whether a CDSC is applicable to a redemption, the calculation shall be made in a manner that results in the lowest possible rate.  Therefore, it shall be assumed that the redemption is made first of amounts representing Class C shares of the Fund acquired pursuant to the reinvestment of Fund dividends and distributions; then of amounts representing the increase in net asset value of Class C shares above the total amount of payments for the purchase of Class C shares made during the preceding year; and finally, of amounts representing the cost of Class C shares held for the longest period of time.

Waiver of CDSC—Except as set forth below, the CDSC shall be waived in connection with (a) exchanges of shares, except if shares acquired by exchange are then redeemed within the period during which a CDSC would apply to the initial shares purchased, (b) redemptions made within one year after the death or disability, as defined in Section 72(m)(7) of the Code, of the shareholder, (c) redemptions by Retirement Plans, provided that the shares being redeemed were purchased through a financial intermediary that performs recordkeeping or other administrative services for the Retirement Plan and has entered into an agreement with the Fund's Distributor relating to such services, or were purchased directly through the Fund's Distributor, (d) redemptions as a result of a combination of any investment company with the Fund by merger, acquisition of assets or otherwise, (e) redemptions due to receiving applicable required minimum distributions from IRA accounts (other than Roth IRAs or Coverdell Education Savings Accounts) upon attaining age 70-1/2, and (f) redemptions pursuant to any systematic withdrawal plan as described in the Fund's prospectus.  If a CDSC waiver is discontinued, Fund shares subject to a CDSC which were purchased prior to the termination of such waiver shall have the CDSC waived as provided in the Fund's prospectus at the time of the purchase of such shares.

CDSC Waivers Available Through Merrill Lynch—Effective April 10, 2017, Fund shares purchased through an omnibus account maintained with Merrill Lynch will be eligible only for the following CDSC waivers:  (a) redemptions made within one year of death or disability of the shareholder, (b) redemptions made through Dreyfus Automatic Withdrawal Plan, if such redemptions do not exceed 12% of the value of the account annually, (c) redemptions made in connection with a return of excess contributions from an IRA account, (d) shares acquired through a Right of Reinstatement, (e) redemptions due to receiving applicable required minimum distributions from IRA accounts (other than Roth IRAs or Coverdell Education Savings Accounts) upon reaching age 70½, (f) redemptions made to pay Merrill Lynch fees, but only if the redemption is initiated by Merrill Lynch, and (g) redemptions of Fund shares held in a retirement brokerage account that are exchanged for shares of a lower cost share class in connection with the transfer to certain fee based accounts or platforms.

Amount of Distribution Plan Fees—Class C Shares—.75 of 1% of the value of the average daily net assets of Class C.

C-1

 


 

SCHEDULE C (continued)

Conversion of Class C Shares—Effective December 15, 2017, approximately ten years after the date of purchase, Class C shares automatically shall convert to Class A shares, based on the relative net asset values for shares of each such Class, and shall no longer be subject to the distribution fee.  At the time of conversion, Class C shares that have been acquired through the reinvestment of dividends and distributions ("Dividend Shares") shall be converted in the proportion that a shareholder's Class C shares (other than Dividend Shares) converting to Class A shares bears to the total Class C shares then held by the shareholder which were not acquired through the reinvestment of dividends and distributions.

 

C-2

 


 

SCHEDULE D

Front-End Sales Charge—Class T Shares—The public offering price for Class T shares shall be the net asset value per share of Class T plus a sales load as shown below:

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

Less than $250,000...................................................

2.50

 

2.56

$250,000 to less than $500,000.................................

2.00

 

2.04

$500,000 to less than $1,000,000..............................

1.50

 

1.52

$1,000,000 or more...................................................

1.00

 

1.01

 

Amount of Service Plan Fees—Class T Shares—.25 of 1% of the value of the average daily net assets of Class T.

 

 

D-1

 


 

SCHEDULE E

 

Shareholder Services Plan—Class Z shares of Dreyfus Research Growth Fund, Inc. are subject to a Shareholder Services Plan pursuant to which the Fund reimburses the Distributor an amount not to exceed an annual rate of .25% of the Fund's average daily net assets attributable to Class Z for the provision of shareholder services.

Service Plan—Class Z shares of Dreyfus/The Boston Company Small/Mid Cap Growth Fund are subject to a Service Plan adopted pursuant to Rule 12b-1 under the 1940 Act, pursuant to which the Fund reimburses the Distributor for expenses incurred in distributing Class Z shares and providing account services and maintenance with respect to Class Z, at a maximum aggregate annual rate of up to .25% of the Fund's average daily net assets attributable to Class Z.

 

E-1