POS EX 1 lp1.htm POST-EFFECTIVE AMENDMENT NO. 246 Untitled Document

File No. 33-43846

811-00524

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. 246  [X]

and/or

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

 Amendment No. 246  [X]

(Check appropriate box or boxes.)

BNY Mellon Investment Funds III

(Exact Name of Registrant as Specified in Charter)

c/o BNY Mellon Investment Adviser, Inc.

240 Greenwich Street, New York, New York 10286

(Address of Principal Executive Offices) (Zip Code)

 Registrant's Telephone Number, including Area Code: (212) 922-6400

Deirdre Cunnane, Esq.

240 Greenwich Street

New York, New York 10286

(Name and Address of Agent for Service)

It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).

 

Explanatory Note

This Post-Effective Amendment consists of the following:

1. Facing Sheet of the Registration Statement.

2. Part C to the Registration Statement (including signature page).

3. Exhibit (d)(9) to Item 28 to the Registration Statement.

This Post-Effective Amendment is for the purpose of filing the following exhibit: Sub-Investment Advisory Agreement, dated November 1, 2022 as an Exhibit to Item 28 of the Registrant's Registration Statement on Form N-1A.

 

Part A of BNY Mellon High Yield Fund, Post-Effective Amendment No. 244 was filed on April 27, 2022 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;

The Statement of Additional Information for the Registrant was filed on September 29, 2022 pursuant to Rule 497(c and e) under the Securities Act of 1933, as amended, and is incorporated by reference herein.

BNY MELLON INVESTMENT FUNDS III
(formerly, The Dreyfus/Laurel Funds Trust)
(formerly, The Laurel Funds Trust)
(formerly, The Boston Company Fund)

PART C
OTHER INFORMATION

Item 28. Exhibits

(a)(1)  Second Amended and Restated Agreement and Declaration of Trust, dated December 9, 1992, is incorporated by reference to Exhibit (a) of Post-Effective Amendment No. 87 to the Registration Statement on Form N-1A.

(a)(2)  Amendment No. 1 to Registrant's Second Amended and Restated Agreement and Declaration of Trust, dated February 7, 1994, is incorporated by reference to Exhibit (a)(2) of Post-Effective Amendment No. 236 to the Registration Statement on Form N-1A, filed on April 28, 2020 ("Post-Effective Amendment No. 236").

(a)(3)  Amendment No. 2 to Registrant's Second Amended and Restated Agreement and Declaration of Trust, dated March 31, 1994, is incorporated by reference to Exhibit (a)(3) of Post-Effective Amendment No. 236.

(a)(4)  Amendment No. 3 to Registrant's Second Amended and Restated Agreement and Declaration of Trust, dated October 17, 1994, is incorporated by reference to Exhibit 1(d) of Post-Effective Amendment No. 92 to the Registration Statement on Form N-1A, filed on December 13, 1994 ("Post-Effective Amendment No. 92").

(a)(5)  Amendment No. 4 to Registrant's Second Amended and Restated Agreement and Declaration of Trust, dated December 19, 1994, is incorporated by reference to Exhibit 1(e) of Post-Effective Amendment No. 93 to the Registration Statement on Form N-1A, filed on December 19, 1994.

(a)(6)  Amendment No. 9 to Registrant's Second Amended and Restated Agreement and Declaration of Trust, dated April 25, 2003, is incorporated by reference to Exhibit A(5) of Post-Effective Amendment No. 117 to the Registration Statement on Form N-1A, filed on April 25, 2003.

(a)(7)  Amendment No. 10 to Registrant's Second Amended and Restated Agreement and Declaration of Trust, dated December 1, 2008, is incorporated by reference to Exhibit A(7) of Post-Effective Amendment No. 145 to the Registration Statement on Form N-1A, filed on February 26, 2009.

(a)(8)   Amendment No. 11 to Registrant's Second Amended and Restated Agreement and Declaration of Trust, dated February 12, 2009, is incorporated by reference to Exhibit A(8) of Post-Effective Amendment No. 147 to the Registration Statement on Form N-1A, filed on April 30, 2009.

(a)(9)  Certificate of Designation to add Class Y Shares is incorporated by reference to Exhibit A(9) of Post-Effective Amendment No. 179 to the Registration Statement on Form N-1A, filed on September 26, 2013.

(a)(10)  Certificate of Amendment to change the names of the Trust and the funds in the Trust is incorporated by reference to Exhibit (a)(11) of Post-Effective Amendment No. 232 to the Registration Statement on Form N-1A, filed on September 26, 2019 ("Post-Effective Amendment No. 232").

(b) Amended and Restated By-Laws, dated July 1, 2011, is incorporated by reference to Exhibit B of Post-Effective Amendment No. 165 to the Registration Statement on Form N-1A, filed on September 28, 2011.

(c) Not applicable.

 

(d)(1)  Investment Management Agreement between Mellon Bank, N.A. and the Registrant, dated April 4, 1994, relating to BNY Mellon High Yield Fund (formerly, Dreyfus High Yield Fund) is incorporated by referenced to Exhibit (d)(1) of Post-Effective Amendment No. 236.

(d)(2)  Assignment and Assumption Agreement among Mellon Bank, N.A., BNY Mellon Investment Adviser, Inc. (formerly, The Dreyfus Corporation) and the Registrant, dated October 17, 1994 (relating to Investment Management Agreement), is incorporated by reference to Exhibit 5(b) of Post-Effective Amendment No. 92.

(d)(3)  Management Agreement between the Registrant and BNY Mellon Investment Adviser, Inc. is incorporated by reference to Exhibit (d)(3) of Post-Effective Amendment No. 242 to the Registration Statement on Form N-1A, filed on September 27, 2021 ("Post-Effective Amendment No. 242").

(d)(4)  Sub-Investment Advisory Agreement, between BNY Mellon Investment Adviser, Inc. and Newton Investment Management Limited ("NIM"), dated April 26, 2007, amended December 31, 2019, (relating to BNY Mellon Global Equity Income Fund) is incorporated by reference to Exhibit (d)(4) of Post-Effective Amendment No. 234 to the Registration Statement on Form N-1A, filed on February 26, 2020 ("Post-Effective Amendment No. 234").

(d)(5)  Expense Limitation Agreement (relating to BNY Mellon International Bond Fund) between the Registrant and BNY Mellon Investment Adviser, Inc., dated February 8, 2022, is incorporated by reference to Exhibit (d)(5) of Post-Effective Amendment No. 243 to the Registration Statement on Form N-1A, filed on February 25, 2022 ("Post-Effective Amendment No. 243").

(d)(6)  Sub-Investment Advisory Agreement, between BNY Mellon Investment Adviser, Inc. and Newton Investment Management North America, LLC. ("NIMNA"), dated September 1, 2021, relating to BNY Mellon Equity Income Fund, is incorporated by reference to Exhibit (d)(6) of Post-Effective Amendment No. 242.

(d)(7)  Expense Limitation Agreement (relating to BNY Mellon Equity Income Fund) between the Registrant and BNY Mellon Investment Adviser, Inc. dated September 6, 2022, is incorporated by reference to Exhibit (d)(7) of Post-Effective Amendment No. 245 to the Registration Statement on Form N-1A, filed on September 26, 2022 ("Post-Effective Amendment No. 245").

(d)(8)  Sub-Investment Advisory Agreement, between BNY Mellon Investment Adviser, Inc. and Insight North America LLC (INA), dated September 1, 2021, (relating to BNY Mellon International Bond Fund) is incorporated by reference to Exhibit (d)(8) of Post-Effective Amendment No. 243.

(d)(9)  Sub-Investment Advisory Agreement, between BNY Mellon Investment Adviser, Inc. and Alcentra NY LLC, dated November 1, 2022, (relating to BNY Mellon High Yield Fund).*

(e)(1)  Amended and Restated Distribution Agreement between the Registrant and BNY Mellon Securities Corporation (formerly, MBSC Securities Corporation), dated June 3, 2019, is incorporated by reference to Exhibit (e)(1) of Post-Effective Amendment No. 234.

(e)(2)  Form of Broker-Dealer Selling Agreement is incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 232.

(e)(3)  Form of Service Agreement is incorporated by reference to Exhibit (e)(3) of Post-Effective Amendment No. 244 to the Registration Statement on Form N-1A, filed on April 27, 2022 ("Post-Effective Amendment No. 244").

(e)(4)  Form of Bank Selling Agreement is incorporated by reference to Exhibit (e)(4) of Post-Effective Amendment No. 232.

(f)  Not applicable.

 

(g)(1)  Custody Agreement between the Registrant and The Bank of New York Mellon, dated January 1, 2011, (effective as of May 1, 2011) is incorporated by reference to Exhibit G of Post-Effective Amendment No. 160 to the Registration Statement on Form N-1A, filed on February 25, 2011.

(g)(2)  Amendment to Custody Agreement made as of October 1, 2013, is incorporated by reference to Exhibit G(2) of Post-Effective Amendment No. 181 to the Registration Statement on Form N-1A, filed on February 28, 2014.

(g)(3)  Second Amendment to Custody Agreement made as of December 22, 2016, is incorporated by reference to Exhibit (g)(3) of Post-Effective Amendment No. 206 to the Registration Statement on Form N-1A, filed on February 27, 2017.

(h)(1)  Transfer Agency Agreement between the Registrant and BNY Mellon Transfer, Inc. (formerly Dreyfus Transfer, Inc.), dated May 29, 2012, is incorporated by reference to Exhibit H(1) of Post-Effective Amendment No. 171 to the Registration Statement on Form N-1A, filed on September 27, 2012.

(h)(2)  Shareholder Services Plan, dated December 20, 2005, amended June 3, 2019, for BNY Mellon Equity Income Fund, BNY Mellon International Bond Fund and BNY Mellon Global Equity Income Fund is incorporated by reference to Exhibit (h)(2) to Post-Effective Amendment No. 232.

(h)(3)  Fund of Funds Investment Agreement dated December 15, 2021 (relating to BNY Mellon Global Equity Income Fund, BNY Mellon High Yield Fund and BNY Mellon International Bond Fund) is incorporated by reference to Exhibit (h)(3) of Post-Effective Amendment No. 243.

(i)(1)  Opinion and consent of Registrant's counsel (relating to BNY Mellon High Yield Fund) is incorporated by reference to Exhibit (i)(1) of Post-Effective Amendment No. 244.

(i)(2)  Opinion and consent of Registrant's counsel (relating to BNY Mellon Equity Income Fund) is incorporated by reference to Exhibit (i)(2) of Post-Effective Amendment No. 245.

(i)(3)   Opinion and consent of Registrant's counsel (relating to BNY Mellon Global Equity Income Fund and BNY Mellon International Bond Fund) is incorporated by reference to Exhibit (i)(3) of Post-Effective Amendment No. 243.

(j)(1)  Consent of Independent Registered Public Accounting Firm (relating to BNY Mellon Equity Income Fund) is incorporated by reference to Exhibit (j)(1) of Post-Effective Amendment No. 245.

(j)(2)  Consent of Independent Registered Public Accounting Firm (relating to BNY Mellon High Yield Fund) is incorporated by reference to Exhibit (j)(2) of Post-Effective Amendment No. 244.

(j)(3)  Consent of Independent Registered Public Accounting Firm (relating to BNY Mellon Global Equity Income Fund and BNY Mellon International Bond Fund) is incorporated by reference to Exhibit (j)(3) of Post-Effective Amendment No. 243.

(k)  Letter of Investment Intent is incorporated by reference to the Registration Statement.

(m)(1)  Amended Distribution Plan, dated April 24, 1997, as revised June 3, 2019 (relating to Class C Shares), for BNY Mellon High Yield Fund is incorporated by reference to Exhibit (m)(1) of Post-Effective Amendment No. 236.

(m)(2)  Amended and Restated Distribution Plan, dated January 27, 2000 and effective March 22, 2000, as Revised June 3, 2019 for (relating to Class A Shares) for BNY Mellon High Yield Fund is incorporated by reference to Exhibit (m)(2) of Post-Effective Amendment No. 236.

 

(m)(3)  Distribution Plan, dated December 20, 2005, amended June 3, 2019, for BNY Mellon Equity Income Fund (formerly Dreyfus Premier Equity Income Fund), BNY Mellon International Bond Fund (formerly Dreyfus Premier International Bond Fund) and BNY Mellon Global Equity Income Fund (formerly Dreyfus Premier Global Equity Income Fund) is incorporated by reference to Exhibit (m)(3) to Post-Effective No. 232.

(m)(4)  Service Plan (Rule12b-1 Plan), dated January 27, 2000, (effective as of March 22, 2000), as Revised June 3, 2019, for BNY Mellon High Yield Fund is incorporated by reference to Exhibit (m)(4) of Post-Effective Amendment No. 236.

(n)(1)  Rule 18f-3 Plan, adopted December 20, 2005, amended July 31, 2020, revised March 3 2022, for BNY Mellon Equity Income Fund, BNY Mellon Global Equity Income Fund and BNY Mellon International Bond Fund is incorporated by reference to Exhibit (n)(1) of Post-Effective Amendment No. 245.

(n)(2)  Rule 18f-3 Plan, adopted April 26, 1995, amended May 1, 2020, revised March 3, 2022, for BNY Mellon High Yield Fund is incorporated by reference to Exhibit (n)(2) of Post-Effective Amendment No. 244.

(p)(1)  Revised Code of Ethics adopted by The Registrant, BNY Mellon Investment Adviser, Inc., Newton Investment Management Limited, Newton Investment Management North America, LLC, Insight North America LLC and BNY Mellon Securities Corporation, which became effective March 31, 2021, is incorporated by reference to Exhibit (p)(1) of Post-Effective Amendment No. 242.

(p)(2)  Code of Ethics for the Non-Management Board Members of the BNY Mellon Family of Funds and BNY Mellon Funds Trust is incorporated by reference to Exhibit (p)(2) of Post-Effective Amendment No. 234.

Other Exhibits

(1)  Power of Attorney dated September 16, 2021 is incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 242.

___________________________

* 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 VI of the Registrant's Declaration of Trust and any amendments thereto, Article 10 of the Registrant's Amended and Restated By-Laws and Section 1.10 of the Amended and Restated Distribution Agreement.

Item 31. (a) Business and Other Connections of the Investment Adviser

 BNY Mellon Investment Adviser, Inc. ("BNYM Investment Adviser") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. BNYM Investment Adviser also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of BNYM Investment Adviser, serves primarily as a registered broker-dealer of shares of investment companies sponsored by BNYM Investment Adviser and of other investment companies for which BNYM Investment Adviser acts as an investment adviser, sub-investment adviser or administrator.

(b) Business and Other Connections of Sub-Investment Adviser

 Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Newton Investment Management Limited ("NIM"), the sub-investment adviser to Registrant's BNY Mellon Global Equity Income Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by NIM or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by NIM (SEC File No. 801-42114).

 Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Newton Investment Management North America, LLC ("NIMNA"), the sub-investment adviser to Registrant's BNY Mellon Equity Income Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by NIMNA or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by NIMNA (SEC File No. 801-120501).

Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Insight North America LLC ("INA"), the sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by INA, or those of its officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by INA (SEC File No. 801-69964).

Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Alcentra NY, LLC, the sub-investment adviser of the Registrant's BNY Mellon High Yield Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Alcentra NY, LLC, or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Alcentra NY, LLC (SEC File No. 801-62417).

 

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

             

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    

Kenneth Bradle 
Vice President and Director

BNY Mellon Securities Corporation++

Director
President

10/20 – Present
6/19 – Present

    
 

BNY Mellon Investment Adviser, Inc. ++

Director
Vice President

10/20 – Present
6/19 - Present

    
 

BNY Mellon Transfer, Inc.++

Chairman and Director

6/19 - Present

    
    

David DiPetrillo 
Vice President and Director

BNY Mellon Family of Funds++

President

1/21 - Present

 
 

BNY Mellon ETF Trust++

President

3/20 - Present

 
     
 

BNY Mellon Investment Adviser, Inc. ++

Director and Vice President

2/21 - Present

 
     
 

BNY Mellon Securities Corporation++

Director and Executive Vice President

1/21 - Present

 
     
 

DTR Commodity Fund Ltd. ##########

Director
President
Vice President

10/21 - Present
8/21 - Present
6/19 – 8/21

 
     
 

GRR Commodity Fund Ltd.++

Director
President
Vice President

10/21 - Present
8/21 - Present
8/19 – 8/21

 
    
    
    
    

Christopher O'Connor
Chief Administrative Officer

BNY Mellon Securities Corporation++

Executive Vice President

6/19 – Present

    
    

Peter M. Sullivan
Chief Legal Officer

BNY Mellon Family of Funds++

Chief Legal Officer
Vice President and Assistant Secretary

7/21 – Present
6/19 – Present

    
 

BNY Mellon ETF Trust++

Chief Legal Officer
Vice President and Assistant Secretary

7/21 – Present
3/20 – Present

    
 

BNY Mellon Funds Trust++

Chief Legal Officer
Vice President and Assistant Secretary

7/21 – Present
3/19 – Present

    
    

John Squillace
Chief Compliance Officer

BNY Mellon Securities Corporation++

Chief Compliance Officer (Investment Advisory Business)

6/19 – Present

 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    
    

Gregory Pasquale
Chief Financial Officer

BNY Mellon Securities Corporation++

Chief Financial Officer

1/21-Present

    
 

BNY Mellon Transfer, Inc. ++

Chief Financial Officer and Treasurer

1/21-Present

    
    

Katherine Scott
Chief Risk Officer

BNY Mellon Securities Corporation++

Chief Risk Officer

6/19-Present

    

Peter Arcabascio
Vice President – Distribution

BNY Mellon Investment Management*

Senior Vice President

7/06-Present

 

BNY Investment Strategy and Solutions Group, LLC*

Manager

6/15- Present

    

James Windels
Vice President

BNY Mellon ETF Trust++

Treasurer

3/20 - Present

 

BNY Mellon Family of Funds++

Treasurer

11/01 - Present

 

BNY Mellon Funds Trust ++

Treasurer

11/01 - Present

 

BNY Mellon Investment Adviser, Inc.++

Vice President

9/20 - Present

    
 

BNY Mellon Securities Corporation++

Vice President

6/19 - 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 IV, LLC ***

Assistant Treasurer

9/13 – Present

    
 

Asset Recovery V, LLC ***

Assistant Treasurer

9/13 – Present

    
 

Asset Recovery XIV, LLC ***

Assistant Treasurer

3/13 – Present

    
 

Asset Recovery XIX, LLC ***

Assistant Treasurer

7/13 – Present

    
 

Asset Recovery XX, LLC ***

Assistant Treasurer

7/13 – Present

    
 

Asset Recovery XXII, LLC ***

Assistant Treasurer

7/13 – Present

    
 

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

Assistant Treasurer - Tax

3/13 - Present

    
 

BNY Capital Funding LLC ***

Assistant Treasurer – Tax

9/13 - Present

 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    
 

BNY Investment Strategy and Solutions Group, LLC *

Assistant Treasurer – Tax

6/15 - Present

    
 

BNY Mellon Community Development Corporation ++

Assistant Treasurer – Tax

10/13 - Present

    
 

BNY Mellon Distributors Holdings Inc. #

Assistant Treasurer – Tax

6/14 – Present

    
 

BNY Mellon Investments CTA, LLC *

Assistant Treasurer

9/13 – Present

    
 

BNY Mellon Investment Servicing (US) Inc. +

Assistant Treasurer

3/14 – Present

    
 

BNY Mellon Investment Servicing Trust Company #

Assistant Treasurer

3/14 – Present

    
 

BNY Mellon Transfer, Inc.++

Assistant Treasurer

6/19 - Present

    
 

BNY Mellon Trust of Delaware#

Assistant Treasurer

11/13 – Present

    
 

IVY Asset Management LLC +

Assistant Treasurer

9/13 – Present

    
 

Mellon Hedge Advisors, LLC *

Assistant Treasurer

10/13 – Present

    
 

MUNB Loan Holdings, LLC***

Assistant Treasurer

10/13 – Present

    
 

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

    
 

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

    
 

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 Lease Equities (Cap Funding) LLC ########

Assistant Treasurer – Tax

7/13 – Present

 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    
 

BNY Lease Partners LLC ***

Assistant Treasurer – Tax

7/13 – Present

    
 

BNY Leasing Edge Corporation ***

Assistant Treasurer – Tax

7/13 – Present

    
 

BNY Mellon Capital Markets, LLC ++

Assistant Treasurer – Tax

7/13 – Present

    
 

BNY Mellon Clearing, LLC ***

Assistant Treasurer – Tax

3/16 – Present

    
 

BNY Mellon Clearing Holding Company, LLC ***

Assistant Treasurer – Tax

7/13 – Present

    
 

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 Recap I, LLC #

Assistant Treasurer – Tax

9/13 – Present

    
 

BNY Salvage Inc. ***

Assistant Treasurer – Tax

3/13 – Present

    
 

BNYM GIS Funding I LLC ***

Assistant Treasurer – Tax

6/13 – Present

    
 

BNYM GIS Funding III LLC ***

Assistant Treasurer – Tax

6/13 – Present

    
 

Amherst Capital Management, LLC ***

Assistant Treasurer – Tax

11/14 – Present

    
 

BNYM RECAP Holdings, LLC ***

Assistant Treasurer – Tax

11/14 – Present

    
 

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

Assistant Treasurer – Tax

4/13 – Present

    
 

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

Assistant Treasurer – Tax

4/13 – Present

    
 

BNY Mellon Insurance Agency, Inc. ++

Assistant Treasurer – Tax

6/19 - Present

    
 

BNY Mellon Securities Corporation++

Vice President – Tax

6/19 - Present

    
 

Boston Safe Deposit Finance Company, Inc. *

Assistant Treasurer – Tax

7/13 – Present

    
 

CenterSquare Investment Management Holdings, Inc. +++

Assistant Treasurer – Tax

12/13 – Present

 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    
 

Colson Services Corp.

Assistant Treasurer – Tax

3/14 - Present

    
 

CenterSquare Investment Management LLC+++

Assistant Treasurer – Tax

1/18 – 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

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

    
 

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

    
 

Island Waterworks, Inc. ††

Assistant Treasurer – Tax

7/13 – Present

    
 

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 Investment Corporation #

Assistant Treasurer – Tax

11/13 – Present

    
 

MCDI (Holdings) LLC ***

Assistant Treasurer – Tax

9/13 – 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

    
 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

 

Mellon Financial Services Corporation #1+

Assistant Treasurer – Tax

7/13 – Present

    
 

Mellon Financial Services Corporation #4 +

Assistant Treasurer – Tax

9/13 – Present

    
 

Mellon Funding Corporation +

Assistant Treasurer – Tax

3/14 - Present

    
 

Mellon Global Investing Corp. +

Assistant Treasurer – Tax

5/14 - Present

    
 

Mellon Investments Corporation*

Assistant Treasurer – Tax

1/19- Present

    
 

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

    
 

National Residential Assets Corp.***

Assistant Treasurer – Tax

4/13 – Present

    
 

Newton Capital Management LLC.***

Assistant Treasurer – Tax

8/14 - Present

    
 

NY CRE Asset Holdings, LLC. ***

Assistant Treasurer – Tax

1/14 - Present

    
 

NY CRE Asset Holdings II, LLC. ***

Assistant Treasurer – Tax

1/14 - Present

    
 

One Wall Street Corporation ***

Assistant Treasurer – Tax

11/13 – Present

    
 

Pareto New York LLC++

Assistant Treasurer – Tax

11/13 – Present

    
 

PAS Holdings LLC ***

Assistant Treasurer – Tax

6/13 – Present

    
 

Pershing Advisor Solutions LLC ###

Assistant Treasurer – Tax

6/13 – Present

    
 

Pershing Group LLC ###

Assistant Treasurer – Tax

6/13 – Present

    
 

Pershing Investments LLC ***

Assistant Treasurer – Tax

6/13 – Present

    
 

Pershing LLC ###

Assistant Treasurer – Tax

7/13 – Present

    
 

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

 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    
 

The Bank of New York Mellon Trust Company, National Association +

Assistant Treasurer

10/13 - Present

    
 

MBNA Institutional PA Services LLC +

Treasurer

7/13 – Present

    
 

MBNA PW PA Services LLC +

Treasurer

7/13 – Present

    
 

Stanwich Insurance Agency, Inc. ***

Treasurer

12/13 – Present

    
 

BNY Aurora Holding Corp. ***

Vice President

11/13 – Present

    
 

Agency Brokerage Holding LLC***

Vice President – Tax

6/13 – Present

    

Stephen Hagan
Director of Investment Oversight

None

N/A

N/A

    

Bushra Mannan
Vice President

J.P. Morgan Asset Management

Executive Director

9/13 – 11/21

    

Robert Pomeroy
Vice President – Derivative Risk Management

BNY Mellon Asset Management^^^

Vice President -Senior Performance Analyst

1/18– Present

    

John Tobin
Vice President – Cash Strategies

None

N/A

N/A

    

Christine F. Algozzini
Vice President - Cash Strategies

The Bank of New York Mellon++

Vice President

2/17 - Present

    

Anthony Mayo
Vice President – Information Systems

BNY Mellon Securities Corporation++

Chief Technology Officer

6/19 – Present

    

Vivian Herrera
Vice President – Tax

BNY Mellon Insurance Agency, Inc. ++

Vice President – Tax

5/21 – Present

    
 

BNY Mellon Securities Corporation++

Vice President – Tax

5/21 – Present

    
 

Asset Recovery II, LLC***

Assistant Treasurer

5/21 – Present

    
 

Asset Recovery IV, LLC ***

Assistant Treasurer

5/21 – Present

    
 

Asset Recovery V, LLC ***

Assistant Treasurer

5/21 – Present

    
 

Asset Recovery XIV, LLC ***

Assistant Treasurer

5/21 – Present

    
 

Asset Recovery XIX, LLC ***

Assistant Treasurer

5/21 – Present

    
 

Asset Recovery XX, LLC ***

Assistant Treasurer

5/21 – Present

 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    
 

Asset Recovery XXII, LLC ***

Assistant Treasurer

5/21 – Present

    
 

BNY Mellon Investments CTA, LLC *

Assistant Treasurer

5/21 – Present

    
 

BNY Mellon Transfer, Inc.++

Assistant Treasurer

5/21 – Present

    
 

BNY Mellon Trust of Delaware # 

Assistant Treasurer

5/21 – Present

    
 

Mellon Hedge Advisors, LLC *

Assistant Treasurer

5/21 – Present

    
 

Mellon Holdings LLC ++

Assistant Treasurer

5/21 – Present

    
 

MUNB Loan Holdings, LLC ***

Assistant Treasurer

5/21 – Present

    
 

Albridge Solutions, Inc. †††

Assistant Treasurer -Tax

5/21 – Present

    
 

Alcentra NY, LLC ++

Assistant Treasurer -Tax

5/21 – Present

    
 

Alcentra US, Inc. †††

Assistant Treasurer -Tax

5/21 – Present

    
 

Allomon Corporation †

Assistant Treasurer -Tax

5/21 – Present

    
 

Alternative Holdings I, LLC ***

Assistant Treasurer -Tax

5/21 – Present

    
 

Alternative Holdings II, LLC ***

Assistant Treasurer -Tax

5/21 – Present

    
 

AP Residential Realty, Inc. ††††

Assistant Treasurer -Tax

5/21 – Present

    
 

APT Holdings Corporation #

Assistant Treasurer -Tax

5/21 – Present

    
 

B.N.Y. Holdings (Delaware) Corporation #

Assistant Treasurer -Tax

5/21 – Present

    
 

BNY Administrative Services LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

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

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Capital Corporation ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Capital Funding LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Capital Markets Holdings, Inc. ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Capital Resources
Corporation #######

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Falcon Three Holding Corp. ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Foreign Holdings, Inc. ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Investment Strategy and Solutions Group LLC *

Assistant Treasurer –Tax

5/21 – Present

 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    
 

BNY Investment Management Services LLC #

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY ITC Leasing, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Lease Equities (Cap Funding) LLC ########

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Lease Partners LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Leasing Edge Corporation ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Alternative Investments Holdings LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Capital Markets,
LLC ++

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Clearing Holding Company, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Clearing, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Community Development Corporation ++

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Distributors Holdings
Inc. #

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Fixed Income Securities, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Investment Servicing (US) Inc. #

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Investment Servicing Trust Company #

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Performance & Risk Analytics, Inc. (US) 

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Performance & Risk Analytics, LLC +

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Transition Management Advisors, LLC **

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Trust Company of
Illinois *****

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mezzanine Funding LLC ******

Assistant Treasurer –Tax

5/21 – Present

    
 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

 

BNY Mezzanine Holdings LLC ******

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mezzanine Non NY Funding
LLC ******

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mezzanine NY Funding LLC ******

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Partnership Funding LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Real Estate Holdings LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Recap I, LLC #

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Salvage Inc. ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Wings, Inc. ††

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY XYZ Holdings LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNYM CSIM Funding LLC +++

Assistant Treasurer –Tax

5/21 – Present

    
 

BNYM GIS Funding I LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNYM GIS Funding III LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

Amherst Capital Management LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

BNYM RECAP Holdings, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

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

Assistant Treasurer –Tax

5/21 – Present

    
 

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

Assistant Treasurer –Tax

5/21 – Present

    
 

Boston Safe Deposit Finance Company, Inc. *

Assistant Treasurer –Tax

5/21 – Present

    
 

CenterSquare Investment Management Holdings, Inc. +++

Assistant Treasurer –Tax

5/21 – Present

    
 

Coates Holding LLC#

Assistant Treasurer – Tax

5/21 – Present

    
 

Colson Services Corp.

Assistant Treasurer –Tax

5/21 – Present

    
 

CenterSquare Investment Management LLC+++

Assistant Treasurer –Tax

5/21 – Present

    
 

Cutwater Asset Management Corp. ++++

Assistant Treasurer – Tax

5/21 – Present

    
 

Cutwater Holdings LLC ++++

Assistant Treasurer – Tax

5/21 – Present

    
 

Cutwater Investor Services Corp. ++++

Assistant Treasurer - Tax  

5/21 – Present

    
 

EACM Advisors LLC 

Assistant Treasurer –Tax

5/21 – Present

 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

    
 

Eagle Access LLC 

Assistant Treasurer –Tax

5/21 – Present

    
 

Eagle Investment Systems LLC 

Assistant Treasurer –Tax

5/21 – Present

    
 

ECM DE, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

HedgeMark International, LLC ##

Assistant Treasurer –Tax

5/21 – Present

    
 

iNautix (USA) LLC ###

Assistant Treasurer –Tax

5/21 – Present

    
 

IRE-1, Inc. ††

Assistant Treasurer –Tax

5/21 – Present

    
 

Island Waterworks, Inc. ††

Assistant Treasurer –Tax

5/21 – Present

    
 

JRHC 1998A LLC ####

Assistant Treasurer –Tax

5/21 – Present

    
 

Lease Equities (Texas) Corporation#####

Assistant Treasurer –Tax

5/21 – Present

    
 

Lockwood Advisors, Inc. ######

Assistant Treasurer –Tax

5/21 – Present

    
 

Lockwood Insurance Inc. ######

Assistant Treasurer –Tax

5/21 – Present

    
 

Lockwood Solutions, Inc. ######

Assistant Treasurer –Tax

5/21 – Present

    
 

Madison Pershing LLC ###

Assistant Treasurer –Tax

5/21 – Present

    
 

MAM (MA) Holding Trust *

Assistant Treasurer –Tax

5/21 – Present

    
 

MBC Investment Corporation #

Assistant Treasurer –Tax

5/21 – Present

    
 

MBNA Institutional PA Services
LLC +

Assistant Treasurer –Tax

5/21 – Present

    
 

MBNA PW PA Services LLC +

Assistant Treasurer –Tax

5/21 – Present

    
 

MCDI (Holdings) LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

MELDEL Leasing Corporation Number 2, Inc. #

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon EFT Services
Corporation ††††

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Financial Services Corporation #1 +

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Financial Services Corporation #4 +

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Funding Corporation +

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Global Investing Corp. +

Assistant Treasurer –Tax

5/21 – Present

    
 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

 

Mellon International Leasing
Company # 

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Investments Corporation *

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Investor Services Holdings LLC

Assistant Treasurer –Tax

5/21 – Present

 

++++++

  
 

Mellon Leasing Corporation +

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Life Insurance Company +

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Overseas Investment Corporation ***

Assistant Treasurer –Tax

5/21 – Present

    
 

Mellon Properties Company ****

Assistant Treasurer –Tax

5/21 – Present

    
 

National Residential Assets Corp. ***

Assistant Treasurer –Tax

5/21 – Present

    
 

Newton Capital Management LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

NY CRE Asset Holdings II, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

NY CRE Asset Holdings, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

One Wall Street Corporation ***

Assistant Treasurer –Tax

5/21 – Present

    
 

Pareto New York LLC ++

Assistant Treasurer –Tax

5/21 – Present

    
 

PAS Holdings LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

Pershing Advisor Solutions LLC ###

Assistant Treasurer –Tax

5/21 – Present

    
 

Pershing Group LLC ###

Assistant Treasurer –Tax

5/21 – Present

    
 

Pershing Investments LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

Pershing LLC ###

Assistant Treasurer –Tax

5/21 – Present

    
 

PFS Holdings, LLC ***

Assistant Treasurer –Tax

5/21 – Present

    
 

Stanwich Insurance Agency, Inc. ***

Assistant Treasurer –Tax

5/21 – Present

    
 

TBC Securities Co., Inc. *

Assistant Treasurer –Tax

5/21 – Present

    
 

TBCAM, LLC *

Assistant Treasurer –Tax

5/21 – Present

    
 

Technology Services Group,
Inc. ++

Assistant Treasurer –Tax

5/21 – Present

    
 

Tennessee Processing Center LLC ++

Assistant Treasurer –Tax

5/21 – Present

    
 

The Bank of New York Consumer Leasing Corporation ***

Assistant Treasurer –Tax

5/21 – Present

    
 

    

Name and Position
With BNY Mellon Investment Adviser, Inc. 

Other Businesses

Position Held

Dates

 

The Bank of New York Mellon Trust Company, National Association +

Assistant Treasurer

5/21 – Present

    
 

USPLP, Inc. *******

Assistant Treasurer –Tax

5/21 – Present

    
 

BNY Mellon Investment Management Holdings LLC #

Assistant Vice President –Tax

5/21 – Present

    
 

BNY Aurora Holding Corp. ***

Vice President

5/21 – Present

    
 

Agency Brokerage Holding LLC ***

Vice President –Tax

5/21 – Present

    

Andrew Provencher
Director

BNY Mellon Securities Corporation

Director

Executive Vice President

10/20 – Present
6/18 - Present

    

James Bitetto
Secretary

BNY Mellon Family of Funds++

Vice President and Secretary

6/19 - Present

    
 

BNY Mellon ETF Trust++

Vice President and Assistant Secretary

3/20 - Present

 

BNY Mellon Funds Trust++

Vice President and Secretary

2/18 – Present

 

BNY Mellon Insurance Agency, Inc. ++

Secretary

6/19 - Present

 

BNY Mellon Securities Corporation++

Assistant Secretary

6/19 - Present

    
  

*

The address of the business so indicated is One Boston Place, Boston, MA, 02108.

**

The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, CA 94105.

***

The address of the business so indicated is One Wall Street, New York, NY 10286.

****

The address of the business so indicated is 3601 N. I-10 Service Road, Suite 102, Metairie, LA 70002.

*****

The address of the business so indicated is 2 North LaSalle Street, Suite 1020, Chicago, IL, 60602

******

The address of the business so indicated is 445 Park Avenue, 12th Floor, New York, NY, 10022.

*******

The address of the business so indicated is 225 Liberty Street, New York, NY 10286.

********

The address of the business so indicated is Grand Canal House, 1 Upper Grand Canal Street, Dublin, 4 Ireland.

^

The address of the business so indicated is BNY Mellon Centre 160 Queen Victoria Street, London  EC4V 4LA.

^^

The address of the business so indicated is 87 Mary Street, George Town, KY1-9005, Cayman Islands.

^^^

The address of the business so indicated is 201 Washington Street, Boston, Massachusetts 02108.

^^^^

The address of the business so indicated is 2-4, rue Eugène Ruppert, L-2453 Luxembourg, Luxembourg.

^^^^^

The address of the business so indicated is One Dockland Central, Guild Street, IFSC, Dublin 1.

^^^^^^

The address of the business so indicated is 33 Sir John Rogersons Quay, Dublin 2.

^^^^^^^

The address of the business so indicated is Ogier House, The Esplanade, St Helier, Jersey, JE4 9WG.

^^^^^^^^

The address of the business so indicated is Room 6053, Level 6, 21st Century Building, No.210, Century Avenue, China, (Shanghai) Pilot Free Trade Zone.

^^^^^^^^^

The address of the business so indicated is 6th Floor, 2 Grand Canal Square, Dublin 2, Ireland.

^^^^^^^^^^

The address of the business so indicated is 32 Molesworth Street, Dublin 2, Ireland.

+

The address of the business so indicated is One Mellon Bank Center, Pittsburgh, PA 15258.

++

The address of the business so indicated is 240 Greenwich Street, New York, NY 10286

+++

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 113 King Street, Armonk, NY 10504.

 

       

+++++

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

++++++

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

+++++++

The address of the business so indicated is Hartpiece, Lamarsh, Bures, Suffolk, CO8 5EP..

†

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

††

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

†††

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

††††

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

†††††

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

††††††

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

†††††††

The address of the business so indicated is 114 Queen Victoria Street, London, EC4V 4BJ.

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



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



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



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



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



The address of the business so indicated is David M. Breen & Co. Suite 4, Wallace House, Maritana Gate, Canada Street, Waterford.



The address of the business so indicated is 277 Park Ave, New York, New York 10286.

#

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

##

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

###

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

####

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

#####

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

######

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

#######

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

########

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

#########

The address of the business so indicated is 6 C, route de Trèves, L-2633 Senningerberg, Luxembourg.

##########

The address of the business so indicated is P.O. Box 309, Ugland House, George Town, Cayman Islands, KY1-1104

 

Item 32. Principal Underwriters

 
 

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

 

1. 

BNY Mellon Absolute Insight Funds, Inc.

2. 

BNY Mellon Advantage Funds, Inc.

3. 

BNY Mellon Alcentra Opportunistic Global Credit Income Fund

4. 

BNY Mellon Appreciation Fund, Inc.

5. 

BNY Mellon California AMT-Free Municipal Bond Fund, Inc.

6. 

BNY Mellon Funds Trust

7. 

BNY Mellon Index Funds, Inc.

8. 

BNY Mellon Intermediate Municipal Bond Fund, Inc.

9. 

BNY Mellon Investment Funds I

10. 

BNY Mellon Investment Funds II, Inc.

 

  

11. 

BNY Mellon Investment Funds III

12. 

BNY Mellon Investment Funds IV, Inc.

13. 

BNY Mellon Investment Funds V, Inc.

14. 

BNY Mellon Investment Funds VI, Inc.

15. 

BNY Mellon Investment Funds VII, Inc.

16. 

BNY Mellon Investment Portfolios

17. 

BNY Mellon Large Cap Securities Fund, Inc.

18. 

BNY Mellon Midcap Index Fund, Inc.

19. 

BNY Mellon Municipal Bond Funds, Inc.

20. 

BNY Mellon Municipal Funds, Inc.

21. 

BNY Mellon New Jersey Municipal Bond Fund, Inc.

22. 

BNY Mellon New York AMT-Free Municipal Bond Fund

23. 

BNY Mellon New York Tax Exempt Bond Fund, Inc.

24. 

BNY Mellon Opportunistic Municipal Securities Fund

25. 

BNY Mellon Opportunity Funds

26. 

BNY Mellon Research Growth Fund, Inc.

27. 

BNY Mellon Short Term Municipal Bond Fund

28. 

BNY Mellon State Municipal Bond Funds

29. 

BNY Mellon Stock Funds

30. 

BNY Mellon Stock Index Fund, Inc.

31. 

BNY Mellon Strategic Funds, Inc.

32. 

BNY Mellon Sustainable U.S. Equity Fund, Inc.

33. 

BNY Mellon Sustainable U.S. Equity Portfolio, Inc.

34. 

BNY Mellon U.S. Mortgage Fund, Inc.

35. 

BNY Mellon Variable Investment Fund

36. 

BNY Mellon Worldwide Growth Fund, Inc.

37. 

CitizensSelect Funds

38. 

Dreyfus Cash Management

39. 

Dreyfus Government Cash Management Funds

40. 

Dreyfus Institutional Liquidity Funds

 

  

41. 

Dreyfus Institutional Preferred Money Market Funds

42. 

Dreyfus Institutional Reserves Funds

43. 

Dreyfus Tax Exempt Cash Management Funds

44. 

Dreyfus Treasury Obligations Cash Management

45. 

Dreyfus Treasury Securities Cash Management

46. 

General Money Market Fund, Inc.

47. 

General Municipal Money Market Funds, Inc.

48. 

General New York Municipal Money Market Fund

   

(b)

  

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Kenneth Bradle**

Director and President

None

Joe Gross****

Chairman, Executive Vice President and Director

None

David DiPetrillo****

Director and Executive Vice President

President

Catherine Keating*

Executive Vice President

None

Peter Arcabascio++

Executive Vice President

None

Christopher D. O'Connor****

Executive Vice President

None

Irene Papadoulis**

Executive Vice President

None

Matthew Perrone****

Executive Vice President

None

Andrew Provencher****

Executive Vice President and Director

None

Gregory Pasquale ***

Chief Financial Officer and Treasurer

None

John McLean****

Chief Legal Officer

None

John Squillace****

Chief Compliance Officer (Investment Advisory Business)

None

William Kennedy****

Chief Compliance Officer (Broker-Dealer Business)

None

Katherine M. Scott*

Chief Risk Officer

None

Anthony Mayo*

Chief Technology Officer

None

Christine Algozzini*

Senior Vice President

None

Timothy I. Barrett**

Senior Vice President

None

Kevin Brown****

Senior Vice President

None

Eric P. Cola****

Senior Vice President

None

Christopher A. Stallone**

Senior Vice President

None

John Cimino****

Vice President

None

Christopher Donoghue**

Senior Vice President

None

Tina Rizzo**

Vice President and Privacy Officer

None

Jonathan M. Snyder

Senior Vice President

None

Ryan Care****

Vice President

None

Susan O’Donovan***

Vice President

None

James Windels****

Vice President

Treasurer

Caridad M. Carosella**

Vice President – Compliance/Anti-Money Laundering Officer

Anti-Money Laundering Officer

Marianne Thomas+

Vice President – Human Resources

None

Charles Doumar****

Vice President – Tax

None

Vivian Herrera***

Vice President – Tax

None

Dennis Rimkunas****

Vice President – Tax

None

Elizabeth Schuette****

Vice President – Real Estate

None

 

   

Jennifer Stewart****

Vice President – Real Estate

None

Chase Ayers***

Secretary

None

 

   

(b)

  

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

James Bitetto****

Assistant Secretary

Vice President and
Secretary

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 240 Greenwich Street, New York, NY 10286.

†

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

††

Principal business address is 160 Queen Victoria Street, London, England, Greater London EC4V4LA

+

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

++

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

Item 33. Location of Accounts and Records

1. The Bank of New York Mellon
 240 Greenwich Street
 New York, New York 10286

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

3. BNY Mellon Investment Adviser, Inc.
 240 Greenwich Street
 New York, NY 10286

4. BNY Mellon Investment Adviser, Inc.
 200 Park Avenue
 New York, New York 10166

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 certifies that it meets all of the requirements of effectiveness of this Amendment to the Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933 and 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 9th of November, 2022.

BNY Mellon Investment Funds III

  

BY:

/s/ James Bitetto

 

James Bitetto, Vice 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/ David DiPetrillo*
David DiPetrillo

 

President (Principal Executive Officer)

 

11/09/2022

/s/ James Windels*
James Windels

 

Treasurer (Principal Financial and Accounting Officer)

 

11/09/2022

/s/ Joseph S. DiMartino*
Joseph S. DiMartino

 

Chairman of the Board

 

11/09/2022

/s/ Francine J. Bovich*
Francine J. Bovich

 

Board Member

 

11/09/2022

/s/ Andrew J. Donohue*
Andrew J. Donahue

 

Board Member

 

11/09/2022

/s/ Kenneth A. Himmel*
Kenneth A. Himmel

 

Board Member

 

11/09/2022

/s/ Bradley J. Skapyak *
Bradley J. Skapyak

 

Board Member

 

11/09/2022

/s/ Roslyn M. Watson*
Roselyn M. Watson

 

Board Member

 

11/09/2022

/s/ Benaree Pratt Wiley*
Benaree Pratt Wiley

 

Board Member

 

11/09/2022

*BY:

/s/ James Bitetto 

 

James Bitetto
Attorney-in-Fact

 

INDEX OF EXHIBITS

Exhibits

(d)(9)  Sub-Investment Advisory Agreement, between BNY Mellon Investment Adviser, Inc. and Alcentra NY LLC, dated November 1, 2022, (relating to BNY Mellon High Yield Fund).