EX-99.77O RULE 10F-3 2 rule10f36096.htm RULE 10F3 rule10f36096.htm - Generated by SEC Publisher for SEC Filing  

                                                                        Sub-Item 77O

 

STRATEGIC FUNDS, INC.

 

-DREYFUS SELECT MANAGERS SMALL CAP GROWTH FUND

 

On December 10, 2014, Dreyfus Select Managers Small Cap Growth Fund (the “Fund”), a series of Strategic Funds, Inc., purchased 4,248 shares of common stock issued by  Gramercy Property Trust Inc. (CUSIP No. 38489R100) (the “Shares”) at a purchase price of $5.90 per Share, including underwriter compensation of $0.2655 per Share. The Shares were purchased from Compass Point Research & Trading, LLC, a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund’s investment adviser, was also a member.  BNY Mellon Capital Markets, LLC received no benefit in connection with the transaction.  The following is a list of the syndicate’s members:

 

Morgan Stanley & Co. LLC

Merrill Lynch, Pierce, Fenner & Smith Incorporated

J.P. Morgan Securities LLC

RBC Capital Markets, LLC

JMP Securities LLC

Ladenburg Thalmann & Co. Inc.

Piper Jaffray & Co.

SunTrust Robinson Humphrey, Inc.

Compass Point Research & Trading, LLC

BNY Mellon Capital Markets, LLC

Huntington Investment Company

CJS Securities, Inc.

 

Accompanying this statement are materials provided to the Board of Directors for the Fund, which ratified the purchase as being in compliance with the Fund’s Rule 10f-3 Procedures at a Board meeting held on February 23, 2015.  These materials include additional information about the terms of the transaction.


 



 



 
 

                                                                        Sub-Item 77O

STRATEGIC FUNDS, INC.

 

 DREYFUS SELECT MANAGERS SMALL CAP GROWTH FUND

 

On December 10, 2014, Dreyfus Select Managers Small Cap Growth Fund (the “Fund”), a series of Strategic Funds, Inc., purchased 1,098 shares of common stock issued by Gramercy Property Trust Inc. (CUSIP No. 38489R100) (the “Shares”) at a purchase price of $5.90 per Share, including underwriter compensation of $0.2655 per Share. The Shares were purchased from Morgan Stanley & Co. LLC, a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund’s investment adviser, was also a member. BNY Mellon Capital Markets, LLC received no benefit in connection with the transaction. The following is a list of the syndicate’s members:

 

Morgan Stanley & Co. LLC

Merrill Lynch, Pierce, Fenner & Smith Incorporated

J.P. Morgan Securities LLC

RBC Capital Markets, LLC

JMP Securities LLC

Ladenburg Thalmann & Co. Inc.

Piper Jaffray & Co.

SunTrust Robinson Humphrey, Inc.

Compass Point Research & Trading, LLC

BNY Mellon Capital Markets, LLC

Huntington Investment Company

CJS Securities, Inc.

 

Accompanying this statement are materials provided to the Board of Directors for the Fund, which ratified the purchase as being in compliance with the Fund’s Rule 10f-3 Procedures at a Board meeting held on February 23, 2015. These materials include additional information about the terms of the transaction.