X0404 N-CEN LIVE 0000737520 XXXXXXXX 811-03940 false false N-1A S000024356 C000072172 C000072173 C000072174 C000130443 S000015656 C000042690 C000042691 C000042692 C000130440 S000015657 C000042694 C000042695 C000042696 C000130441 S000022407 C000064456 C000064457 C000064458 C000130442 BNY Mellon Strategic Funds, Inc. 811-03940 0000737520 549300KOXIZHC0IVRM71 240 Greenwich Street New York 10286-1048 US-NY US 212.922.6400 BNY Mellon Investment Adviser, Inc. 200 Park Avenue New York 10166-0039 212.922.6400 Compliance policies and procedures and related items. BNY Mellon Investment Adviser, Inc. 240 Greenwich Street New York 10286-1048 212.922.6400 Organizational documents, board meeting minutes and materials, SEC filings and administration and accounting records. The Bank of New York Mellon 103 Bellevue Parkway Wilmington 19809-3701 212.495.1784 Administration and accounting records. The Bank of New York Mellon 240 Greenwich Street New York 10286-1048 212.495.1784 Records relating to custody of fund assets. The Bank of New York Mellon One Mellon Bank Center Pittsburgh 15258-0001 212.495.1784 Records relating to custody of fund assets. BNY Mellon Securities Corporation 240 Greenwich Street New York 10286-1048 212.922.6400 Records relating to advertising and sales materials. BNY Mellon Transfer, Inc. 240 Greenwich Street New York 10286-1048 212.922.6400 Records relating to the record holders of fund shares and purchases and sales of fund shares. BNY Mellon Investment Servicing (US), Inc. 4400 Computer Drive Westborough 01581-1722 800.441.9800 Records relating to the record holders of fund shares and purchases and sales of fund shares. Channing Capital Management, LLC 10 South LaSalle Street Chicago 60633-1002 312.223.0211 With respect to BNY Mellon Select Managers Small Cap Value Fund, records relating to decisions to buy/sell securities and the execution thereof. Eastern Shore Capital Management 18 Sewall Street Marblehead 01945-3322 781.639.2750 With respect to BNY Mellon Select Managers Small Cap Value Fund, records relating to decisions to buy/sell securities and the execution thereof. Heartland Advisors, Inc. 790 N. Water Street, Suite 1200 Milwaukee 53202 414-347-7777 With respect to BNY Mellon Select Managers Small Cap Value Fund, records relating to decisions to buy/sell securities and the execution thereof. Neuberger Berman Investment Advisers LLC 1290 Avenue of The Americas New York 10104-0101 212.476.9000 With respect to BNY Mellon Select Managers Small Cap Value Fund, records relating to decisions to buy/sell securities and the execution thereof. Rice, Hall, James & Associates, LLC 600 West Broadway, Suite 1000 San Diego 92101-3383 619-239-9005 With respect to BNY Mellon Select Managers Small Cap Value Fund, records relating to decisions to buy/sell securities and the execution thereof. Walthausen & Co., LLC 2691 Route 9 Malta 12020-4319 518.371.3450 With respect to BNY Mellon Select Managers Small Cap Value Fund, records relating to decisions to buy/sell securities and the execution thereof. Walter Scott & Partners Limited One Charlotte Square Edinburgh GB EH2 4DR 44.131.225.1357 With respect to BNY Mellon U.S. Equity Fund, BNY Mellon Global Stock Fund and BNY Mellon International Stock Fund, records relating to decisions to buy/sell securities and the execution thereof. N N N-1A 6 Y Joni Evans N/A N Joan L. Gulley N/A N Burton N. Wallack N/A N Joseph S. DiMartino N/A N Benaree Pratt Wiley N/A N Robin A. Melvin N/A N Alan H. Howard N/A N Joseph W. Connolly 001144952 200 Park Avenue New York 10166-0039 XXXXXX N N N N N N BNY Mellon Securities Corporation 008-13801 000000231 N/A Y N Ernst & Young LLP 42 254900H1VLSDPE6LJK37 N N N N N N BNY Mellon Select Managers Small Cap Value Fund S000024356 549300TBXW4TZ0M6JD51 N 4 0 0 N/A N N Y N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Revenue sharing split 65621717.91 145449.67 Rule 12d1-1 (17 CFR 270.12d1-1) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) Y Y N N BNY Mellon Investment Adviser, Inc. 801-8147 000105642 54930067A504FBYASH16 N Eastern Shore Capital Management 801-32888 000106920 N/A N N Channing Capital Management, LLC 801-62371 000128450 N/A N N Neuberger Berman Investment Advisers LLC 801-61757 000124687 8PSZVUUKYGCPW2RDO373 N N Rice, Hall, James & Associates, LLC 801-61905 000125410 N/A N N Heartland Advisors, Inc. 801-19074 000029433 N/A N N Walthausen & Co., LLC 801-68321 000144996 N/A N N BNY Mellon Transfer, Inc. 84-06102 N/A Y N BNY Mellon Investment Servicing (US) Inc. 84-01761 549300CFZQLI9QMJ1Z03 Y Y N ICE Data Pricing & Reference Data, LLC N/A TIN: 13-3668779 N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Self - rule 17f-2 (17 CFR 270.17f-2) The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 GB Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citigroup Pty Limited MLU0ZO3ML4LN2LL2TL39 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N BNY Mellon Transfer, Inc. 84-06102 Y N N BNY Mellon Investment Adviser, Inc. 54930067A504FBYASH16 Y N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y Y N BNY Mellon Capital Markets, LLC 008-35255 000017454 VJW2DOOHGDT6PR0ZRO63 0.00 Hedgemark Securities, LLC 008-69106 000164503 N/A 0.00 BNY Mellon Securities Corporation 008-13801 000000231 N/A 0.00 Pershing Advisor Solutions LLC 008-47425 000036671 549300KTC63JRN36GZ84 0.00 Pershing LLC 008-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 0.00 BNY Mellon Asset Management Canada Ltd. 008-00000 N/A N/A CA 0.00 BNY Mellon Capital Markets EMEA Limited 008-00000 N/A 213800O5FBGOWU89LN14 GB 0.00 BNY Mellon Investment Management Australia Limited 008-00000 N/A 2ZQTMYGDRJZ57CRSPU33 AU 0.00 BNY Mellon Investment Management EMEA Limited 008-00000 N/A 213800X5NCNIAF9USD75 GB 0.00 BNY Mellon Investment Management Hong Kong Limited 008-00000 000169689 N/A HK 0.00 BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A 008-00000 N/A N/A BR 0.00 BNY Mellon Wealth Management, Advisory Services, Inc. 008-00000 N/A N/A CA 0.00 Pershing (Channel Islands) Limited 008-00000 N/A 2138009CM5DCI2OQW132 GB 0.00 Pershing Limited 008-00000 N/A 213800R6YVGU4VP7XK84 GB 0.00 Pershing Securities Australia Pty Limited 008-00000 N/A 5493008201YNLL3CPG58 AU 0.00 Pershing Securities Canada Limited 008-00000 N/A 5493000WV47FDC28QG89 CA 0.00 Pershing Securities International Limited 008-00000 N/A 549300PPJGN9E26TI110 IE 0.00 Pershing Securities Limited 008-00000 N/A 549300NC3GURN0AEZU06 GB 0.00 The Bank of New York Mellon Securities Company Japan Limited 008-00000 N/A N/A JP 0.00 The Bank of New York Mellon, S.A., Institucion de Banca Multiple 008-00000 N/A N/A MX 0.00 BNY Mellon Fund Management (Luxemboug), S.A. 008-00000 000283267 5N2ES2M2WGR2TO0Q5G40 LU 0.00 Pershing Securities Singapore Private Limited 008-00000 N/A N/A SG 0.00 ETF Distributors LLC 008-69191 000166181 N/A 0.00 Neuberger Berman BD LLC 008-1068 000002908 PWDS3JJ631D5N70JXG61 0.00 VP Distributors LLC 008-14100 000003036 N/A 0.00 COWEN AND COMPANY 008-22522 000007616 549300WR155U7DVMIW58 65765.00 KCG SECURITIES, LLC 008-68357 000151300 N/A 31266.00 INSTINET, LLC 008-23669 000007897 549300MGMN3RKMU8FT57 24704.00 JEFFERIES LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 22941.00 STIFEL, NICOLAUS & COMPANY, INCORPORATED 008-01447 000000793 5WUVMA08EYG4KEUPW589 19862.00 KEEFE, BRUYETTE & WOODS, INC. 008-10888 000000481 549300OM47DQV01G4854 17102.00 ROBERT W. BAIRD & CO. INCORPORATED 008-00497 000008158 549300772UJAHRD6LO53 17102.00 KEYBANC CAPITAL MARKETS INC. 008-30177 000000566 2EQWV0180Z211YVAD813 14245.00 PIPER JAFFRAY & CO. 008-15204 000000665 QUQDBTUSOAKFEVMRMF78 13061.00 EVERCORE GROUP L.L.C. 008-49830 000042405 5493008F0LRLS5N8LZ81 12064.00 469091.00 COWEN AND COMPANY 008-22522 000007616 549300WR155U7DVMIW58 57812137.00 ITG INC. 008-44218 000029299 549300S41SMIODVIT266 53138510.00 JEFFERIES LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 47928304.00 KCG SECURITIES, LLC 008-68357 000151300 N/A 47223696.00 INSTINET, LLC 008-23669 000007897 549300MGMN3RKMU8FT57 43268002.00 STIFEL, NICOLAUS & COMPANY, INCORPORATED 008-01447 000000793 5WUVMA08EYG4KEUPW589 31796683.00 KEEFE, BRUYETTE & WOODS, INC. 008-10888 000000481 549300OM47DQV01G4854 30750213.00 LOOP CAPITAL MARKETS LLC 008-50140 000043098 254900FPPM2WN90D4786 26442470.00 THE WILLIAMS CAPITAL GROUP, L.P. 008-46623 000035149 254900QGK3PNRGR9BD85 25830448.00 ROBERT W. BAIRD & CO. INCORPORATED 008-00497 000008158 549300772UJAHRD6LO53 25767766.00 769819744.00 Y 614065761.00 Uncommitted 300000000.00 N Committed 688500000.00 N N N N BNY Mellon Global Stock Fund S000015656 549300ZJ8KEGRL2S8K51 N 4 0 0 N/A N N Y N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Revenue sharing split 1017193.19 1435.98 Rule 12d1-1 (17 CFR 270.12d1-1) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) N N N N BNY Mellon Investment Adviser, Inc. 801-8147 000105642 54930067A504FBYASH16 N Walter Scott & Partners Limited 801-19420 000112161 2138003GMKAIWQ1PGY37 Y GB N BNY Mellon Transfer, Inc. 84-06102 N/A Y N BNY Mellon Investment Servicing (US) Inc. 84-01761 549300CFZQLI9QMJ1Z03 Y Y N ICE Data Pricing & Reference Data, LLC N/A TIN: 13-3668779 N ITG Analytics, Inc. N/A TIN: 76-0809350 N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Self - rule 17f-2 (17 CFR 270.17f-2) Citigroup Pty Limited MLU0ZO3ML4LN2LL2TL39 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company (CIBC Mellon) 549300IYUUH221WBZ505 CA Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd. 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main N/A DE Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Publ) F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Bilbao Vizcaya Argentaria, S.A. K8MS7FD7N5Z2WQ51AZ71 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Publ) F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services S.C.A. N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 GB Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon N/A IE Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. C3GTMMZIHMY46P4OIX74 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Plc N1FBEDJ5J41VKZLO2475 PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Publ) F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Singapore) Limited 549300MDYVVHJ8D1DW28 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N BNY Mellon Transfer, Inc. 84-06102 Y N N BNY Mellon Investment Adviser, Inc. 54930067A504FBYASH16 Y N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y Y N BNY Mellon Capital Markets, LLC 008-35255 000017454 VJW2DOOHGDT6PR0ZRO63 0.00 Hedgemark Securities, LLC 008-69106 000164503 N/A 0.00 BNY Mellon Securities Corporation 008-13801 000000231 N/A 0.00 Pershing Advisor Solutions LLC 008-47425 000036671 549300KTC63JRN36GZ84 0.00 Pershing LLC 008-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 0.00 BNY Mellon Asset Management Canada Ltd. 008-00000 N/A N/A CA 0.00 BNY Mellon Capital Markets EMEA Limited 008-00000 N/A 213800O5FBGOWU89LN14 GB 0.00 BNY Mellon Investment Management Australia Limited 008-00000 N/A 2ZQTMYGDRJZ57CRSPU33 AU 0.00 BNY Mellon Investment Management EMEA Limited 008-00000 N/A 213800X5NCNIAF9USD75 GB 0.00 BNY Mellon Investment Management Hong Kong Limited 008-00000 000169689 N/A HK 0.00 BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A 008-00000 N/A N/A BR 0.00 BNY Mellon Wealth Management, Advisory Services, Inc. 008-00000 N/A N/A CA 0.00 Pershing (Channel Islands) Limited 008-00000 N/A 2138009CM5DCI2OQW132 GB 0.00 Pershing Limited 008-00000 N/A 213800R6YVGU4VP7XK84 GB 0.00 Pershing Securities Australia Pty Limited 008-00000 N/A 5493008201YNLL3CPG58 AU 0.00 Pershing Securities Canada Limited 008-00000 N/A 5493000WV47FDC28QG89 CA 0.00 Pershing Securities International Limited 008-00000 N/A 549300PPJGN9E26TI110 IE 0.00 Pershing Securities Limited 008-00000 N/A 549300NC3GURN0AEZU06 GB 0.00 The Bank of New York Mellon Securities Company Japan Limited 008-00000 N/A N/A JP 0.00 The Bank of New York Mellon, S.A., Institucion de Banca Multiple 008-00000 N/A N/A MX 0.00 BNY Mellon Fund Management (Luxemboug), S.A. 008-00000 000283267 5N2ES2M2WGR2TO0Q5G40 LU 0.00 Pershing Securities Singapore Private Limited 008-00000 N/A N/A SG 0.00 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 35429.71 ATLANTIC - PACIFIC CAPITAL, INC. 008-48198 000038356 N/A 33262.02 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 21831.95 JEFFERIES LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 20501.40 MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD. 008-48233 000038108 549300PSNQDKPURVCF76 CA 18187.00 SANFORD C. BERNSTEIN & CO., LLC 008-42942 000104474 549300GA5IHQHIM7CU60 14616.81 UBS SECURITIES LLC 008-22651 000007654 T6FIZBDPKLYJKFCRVK44 14164.73 EXANE, INC. 008-49569 000041784 6SDWK6FV8H98XAGSYS75 9618.40 CREDIT SUISSE SECURITIES (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 5688.94 COWEN AND COMPANY 008-22522 000007616 549300WR155U7DVMIW58 3609.42 196285.00 ATLANTIC - PACIFIC CAPITAL, INC. 008-48198 000038356 N/A 91318375.51 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 88648942.62 JEFFERIES LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 54399533.30 SANFORD C. BERNSTEIN & CO., LLC 008-42942 000104474 549300GA5IHQHIM7CU60 39163247.09 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 36386019.56 MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD. 008-48233 000038108 549300PSNQDKPURVCF76 CA 24126802.00 UBS SECURITIES LLC 008-22651 000007654 T6FIZBDPKLYJKFCRVK44 16795125.95 CREDIT SUISSE SECURITIES (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 15494873.29 EXANE, INC. 008-49569 000041784 6SDWK6FV8H98XAGSYS75 13363554.96 COWEN AND COMPANY 008-22522 000007616 549300WR155U7DVMIW58 12027731.35 447894980.00 N 1481747303.00 Committed 688500000.00 Uncommitted 300000000.00 N N N N BNY Mellon International Stock Fund S000015657 549300KKLHYK1M7PY666 N 4 0 0 N/A N N Y N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Revenue sharing split 7945663.90 10730.59 Rule 12d1-1 (17 CFR 270.12d1-1) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) N N N N BNY Mellon Investment Adviser, Inc. 801-8147 000105642 54930067A504FBYASH16 N Walter Scott & Partners Limited 801-19420 000112161 2138003GMKAIWQ1PGY37 Y GB N BNY Mellon Transfer, Inc. 84-06102 N/A Y N BNY Mellon Investment Servicing (US) Inc. 84-01761 549300CFZQLI9QMJ1Z03 Y Y N ICE Data Pricing & Reference Data, LLC N/A TIN: 13-3668779 N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Self - rule 17f-2 (17 CFR 270.17f-2) Citigroup Pty Limited MLU0ZO3ML4LN2LL2TL39 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV 549300OZ46BRLZ8Y6F65 BE Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV CGYP50QBGGR6NCHTSN68 BE Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Brazil 6SHGI4ZSSLCXXQSBB395 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company (CIBC Mellon) 549300IYUUH221WBZ505 CA Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd. 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main N/A DE Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Publ) F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Bilbao Vizcaya Argentaria, S.A. K8MS7FD7N5Z2WQ51AZ71 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Publ) F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services S.C.A. N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 GB Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon N/A IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A IT Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. C3GTMMZIHMY46P4OIX74 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL Y Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Plc N1FBEDJ5J41VKZLO2475 PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Publ) F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Singapore) Limited 549300MDYVVHJ8D1DW28 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N BNY Mellon Transfer, Inc. 84-06102 Y N N BNY Mellon Investment Adviser, Inc. 54930067A504FBYASH16 Y N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y Y N BNY Mellon Capital Markets, LLC 008-35255 000017454 VJW2DOOHGDT6PR0ZRO63 0.00 Hedgemark Securities, LLC 008-69106 000164503 N/A 0.00 BNY Mellon Securities Corporation 008-13801 000000231 N/A 0.00 Pershing Advisor Solutions LLC 008-47425 000036671 549300KTC63JRN36GZ84 0.00 Pershing LLC 008-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 0.00 BNY Mellon Asset Management Canada Ltd. 008-00000 N/A N/A CA 0.00 BNY Mellon Capital Markets EMEA Limited 008-00000 N/A 213800O5FBGOWU89LN14 GB 0.00 BNY Mellon Investment Management Australia Limited 008-00000 N/A 2ZQTMYGDRJZ57CRSPU33 AU 0.00 BNY Mellon Investment Management EMEA Limited 008-00000 N/A 213800X5NCNIAF9USD75 GB 0.00 BNY Mellon Investment Management Hong Kong Limited 008-00000 000169689 N/A HK 0.00 BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A 008-00000 N/A N/A BR 0.00 BNY Mellon Wealth Management, Advisory Services, Inc. 008-00000 N/A N/A CA 0.00 Pershing (Channel Islands) Limited 008-00000 N/A 2138009CM5DCI2OQW132 GB 0.00 Pershing Limited 008-00000 N/A 213800R6YVGU4VP7XK84 GB 0.00 Pershing Securities Australia Pty Limited 008-00000 N/A 5493008201YNLL3CPG58 AU 0.00 Pershing Securities Canada Limited 008-00000 N/A 5493000WV47FDC28QG89 CA 0.00 Pershing Securities International Limited 008-00000 N/A 549300PPJGN9E26TI110 IE 0.00 Pershing Securities Limited 008-00000 N/A 549300NC3GURN0AEZU06 GB 0.00 The Bank of New York Mellon Securities Company Japan Limited 008-00000 N/A N/A JP 0.00 The Bank of New York Mellon, S.A., Institucion de Banca Multiple 008-00000 N/A N/A MX 0.00 BNY Mellon Fund Management (Luxemboug), S.A. 008-00000 000283267 5N2ES2M2WGR2TO0Q5G40 LU 0.00 Pershing Securities Singapore Private Limited 008-00000 N/A N/A SG 0.00 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 265980.00 SMBC NIKKO SECURITIES AMERICA, INC. 008-43852 000028602 6PJDTY319315T5LR2241 168910.00 MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD. 008-48233 000038108 549300PSNQDKPURVCF76 CA 154278.00 CLSA AMERICAS, LLC 008-69166 000165533 213800M2DXATWY7JMS07 65248.00 EXANE, INC. 008-49569 000041784 6SDWK6FV8H98XAGSYS75 62421.00 CREDIT SUISSE SECURITIES (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 49053.00 RBC CAPITAL MARKETS, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 32358.00 BERENBERG CAPITAL MARKETS LLC 008-68821 000156757 5493007EG0CYRKKG9L11 16380.00 COWEN EXECUTION SERVICES LLC 008-46838 000035693 5493005RJDJD18OPUP27 12664.00 J.P. MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 11135.00 902419.00 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 666277486.00 MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD. 008-48233 000038108 549300PSNQDKPURVCF76 CA 191930947.00 SMBC NIKKO SECURITIES AMERICA, INC. 008-43852 000028602 6PJDTY319315T5LR2241 168741508.00 CREDIT SUISSE SECURITIES (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 112441621.00 EXANE, INC. 008-49569 000041784 6SDWK6FV8H98XAGSYS75 77963496.00 CLSA AMERICAS, LLC 008-69166 000165533 213800M2DXATWY7JMS07 65339094.00 RBC CAPITAL MARKETS, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 53105281.00 BERENBERG CAPITAL MARKETS LLC 008-68821 000156757 5493007EG0CYRKKG9L11 20491894.00 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 16342131.00 COWEN EXECUTION SERVICES LLC 008-46838 000035693 5493005RJDJD18OPUP27 15922360.00 1487093293.00 N 6836335391.00 Committed 688500000.00 N Uncommitted 300000000.00 N N N N BNY Mellon U.S. Equity Fund S000022407 549300WPQUILDEF0P640 N 4 0 0 N/A N N Y N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Revenue sharing split 5877741.27 7622.62 Rule 12d1-1 (17 CFR 270.12d1-1) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N BNY Mellon Investment Adviser, Inc. 801-8147 000105642 54930067A504FBYASH16 N Walter Scott & Partners Limited 801-19420 000112161 2138003GMKAIWQ1PGY37 Y GB N BNY Mellon Transfer, Inc. 84-06102 N/A Y N BNY Mellon Investment Servicing (US) Inc. 84-01761 549300CFZQLI9QMJ1Z03 Y Y N ICE Data Pricing & Reference Data, LLC N/A TIN: 13-3668779 N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Self - rule 17f-2 (17 CFR 270.17f-2) N BNY Mellon Transfer, Inc. 84-06102 Y N N BNY Mellon Investment Adviser, Inc. 54930067A504FBYASH16 Y N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y Y N BNY Mellon Capital Markets, LLC 008-35255 000017454 VJW2DOOHGDT6PR0ZRO63 0.00 Hedgemark Securities, LLC 008-69106 000164503 N/A 0.00 BNY Mellon Securities Corporation 008-13801 000000231 N/A 0.00 Pershing Advisor Solutions LLC 008-47425 000036671 549300KTC63JRN36GZ84 0.00 Pershing LLC 008-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 0.00 BNY Mellon Asset Management Canada Ltd. 008-00000 N/A N/A CA 0.00 BNY Mellon Capital Markets EMEA Limited 008-00000 N/A 213800O5FBGOWU89LN14 GB 0.00 BNY Mellon Investment Management Australia Limited 008-00000 N/A 2ZQTMYGDRJZ57CRSPU33 AU 0.00 BNY Mellon Investment Management EMEA Limited 008-00000 N/A 213800X5NCNIAF9USD75 GB 0.00 BNY Mellon Investment Management Hong Kong Limited 008-00000 000169689 N/A HK 0.00 BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A 008-00000 N/A N/A BR 0.00 BNY Mellon Wealth Management, Advisory Services, Inc. 008-00000 N/A N/A CA 0.00 Pershing (Channel Islands) Limited 008-00000 N/A 2138009CM5DCI2OQW132 GB 0.00 Pershing Limited 008-00000 N/A 213800R6YVGU4VP7XK84 GB 0.00 Pershing Securities Australia Pty Limited 008-00000 N/A 5493008201YNLL3CPG58 AU 0.00 Pershing Securities Canada Limited 008-00000 N/A 5493000WV47FDC28QG89 CA 0.00 Pershing Securities International Limited 008-00000 N/A 549300PPJGN9E26TI110 IE 0.00 Pershing Securities Limited 008-00000 N/A 549300NC3GURN0AEZU06 GB 0.00 The Bank of New York Mellon Securities Company Japan Limited 008-00000 N/A N/A JP 0.00 The Bank of New York Mellon, S.A., Institucion de Banca Multiple 008-00000 N/A N/A MX 0.00 BNY Mellon Fund Management (Luxemboug), S.A. 008-00000 000283267 5N2ES2M2WGR2TO0Q5G40 LU 0.00 Pershing Securities Singapore Private Limited 008-00000 N/A N/A SG 0.00 PAVILION GLOBAL MARKETS LTD. 008-52850 000104387 89RLTMP2WM4KXYJMWI06 CA 22063.11 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 21869.12 ATLANTIC - PACIFIC CAPITAL, INC. 008-48198 000038356 N/A 20938.75 ROBERT W. BAIRD & CO. INCORPORATED 008-00497 000008158 549300772UJAHRD6LO53 18182.14 INSTINET, LLC 008-23669 000007897 549300MGMN3RKMU8FT57 15431.30 SANFORD C. BERNSTEIN & CO., LLC 008-42942 000104474 549300GA5IHQHIM7CU60 4851.91 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 3925.58 RBC CAPITAL MARKETS, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 3765.22 COWEN AND COMPANY 008-22522 000007616 549300WR155U7DVMIW58 3505.50 JEFFERIES LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 1126.48 115659.11 PAVILION GLOBAL MARKETS LTD. 008-52850 000104387 89RLTMP2WM4KXYJMWI06 CA 66615558.78 ATLANTIC - PACIFIC CAPITAL, INC. 008-48198 000038356 N/A 63135166.30 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 54669571.71 INSTINET, LLC 008-23669 000007897 549300MGMN3RKMU8FT57 43986729.52 ROBERT W. BAIRD & CO. INCORPORATED 008-00497 000008158 549300772UJAHRD6LO53 42180224.95 RBC CAPITAL MARKETS, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 12546788.85 SANFORD C. BERNSTEIN & CO., LLC 008-42942 000104474 549300GA5IHQHIM7CU60 11915752.50 COWEN AND COMPANY 008-22522 000007616 549300WR155U7DVMIW58 11681278.42 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 6538578.13 JEFFERIES LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 3753787.08 317023436.24 N 755343732.00 Uncommitted 300000000.00 N Committed 688500000.00 N N N N true