0000819940-16-000182.txt : 20160707 0000819940-16-000182.hdr.sgml : 20160707 20160707135442 ACCESSION NUMBER: 0000819940-16-000182 CONFORMED SUBMISSION TYPE: POS EX PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20160707 DATE AS OF CHANGE: 20160707 EFFECTIVENESS DATE: 20160707 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DREYFUS/LAUREL FUNDS INC CENTRAL INDEX KEY: 0000819940 IRS NUMBER: 134024319 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: POS EX SEC ACT: 1933 Act SEC FILE NUMBER: 033-16338 FILM NUMBER: 161756183 BUSINESS ADDRESS: STREET 1: 200 PARK AVENUE STREET 2: THE DREYFUS CORPOORATION CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2129226787 MAIL ADDRESS: STREET 1: DREYFUS CORPORATION STREET 2: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS DISCIPLINED EQUITY INCOME FUND DATE OF NAME CHANGE: 19951122 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS LAUREL FUNDS INC DATE OF NAME CHANGE: 19941222 FORMER COMPANY: FORMER CONFORMED NAME: LAUREL FUNDS INC DATE OF NAME CHANGE: 19920703 POS EX 1 lp1-dlfi.htm POST-EFFECTIVE AMENDMENT NO. 161 lp1-dlfi.htm - Generated by SEC Publisher for SEC Filing

File No. 33-16338

811-05202

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. 161  [X]

and/or

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

 Amendment No. 161  [X]

(Check appropriate box or boxes.)

The Dreyfus/Laurel Funds, 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 (2) and N (5) to Item 28 to the Registration Statement.

This Post-Effective Amendment is being filed solely to include Rule 18f-3 Plans as Exhibit N (2) and N(5) of the Registrant’s Registration Statement on Form N-1A.

 

Part A of General AMT-Free Municipal Money Market Fund and General Treasury and Agency Money Market Fund, Post-Effective Amendment No. 157, was filed on February 29, 2016 pursuant to Rule 485(b) under the Securities Act of 1933 and is incorporated by reference herein; and

 

Part B of General AMT-Free Municipal Money Market Fund and General Treasury and Agency Money Market Fund, was filed on March 1, 2016 pursuant to Rule 497(e) under the Securities Act of 1933 and is incorporated by reference herein.

 

 


THE DREYFUS/LAUREL FUNDS, INC.

(formerly, The Laurel Funds, Inc.)

PART C.
OTHER INFORMATION

Item 28. Exhibits

A(1) Articles of Incorporation dated July 31, 1987 are incorporated by reference to Post-Effective Amendment No. 41 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 41").

A(2) Articles Supplementary dated October 15, 1993 increasing authorized capital stock are incorporated by reference to Post-Effective Amendment No. 39 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 39").

A(3) Articles of Amendment dated March 31, 1994 are incorporated by reference to Post-Effective Amendment No. 41.

A(4) Articles Supplementary dated March 31, 1994 reclassifying shares are incorporated by reference to Post-Effective Amendment No. 41.

A(5) Articles Supplementary dated May 24, 1994 designating and classifying shares are incorporated by reference to Post-Effective Amendment No. 39.

A(6) Articles of Amendment dated October 17, 1994 are incorporated by reference to Post-Effective Amendment No. 31 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 31").

A(7) Articles Supplementary dated December 19, 1994 designating classes are incorporated by reference to Post-Effective Amendment No. 32 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 32").

A(8) Articles of Amendment dated June 9, 1995 are incorporated by reference to Post-Effective Amendment No. 39.

A(9) Articles of Amendment dated August 30, 1995 are incorporated by reference to Post-Effective Amendment No. 39.

A(10) Articles Supplementary dated August 31, 1995 reclassifying shares are incorporated by reference to Post-Effective Amendment No. 39.

A(11) Articles of Amendment dated October 31, 1995 designating and classifying shares are incorporated by reference to Post-Effective Amendment No. 41.

A(12) Articles of Amendment dated November 22, 1995 designating and reclassifying shares are incorporated by reference to Post-Effective Amendment No. 41.

 

A(13) Articles of Amendment dated July 15, 1996 are incorporated by reference to Post-Effective Amendment No. 53 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 53").

A(14) Articles of Amendment dated February 27, 1997 are incorporated by reference to Post- Effective Amendment No. 53.

A(15) Articles of Amendment dated August 13, 1997 are incorporated by reference to Post- Effective Amendment No. 53.

A(16) Articles of Amendment dated October 30, 1997 are incorporated by reference to Post- Effective Amendment No. 56 to the Registrant's Registration Statement on Form N-1A,  filed on  November 4, 1997.

A(17) Articles of Amendment dated March 25, 1998 are incorporated by reference to Post- Effective Amendment No. 62 to the Registrant's Registration Statement on Form N-1A,  filed on  March 31, 1998.

A(18) Articles of Amendment dated July 30, 1998 are incorporated by reference to Post- Effective Amendment No. 67 to the Registrant's Registration Statement on Form N-1A,  filed on  September 30, 1998 ("Post-Effective Amendment No. 67").

A(19) Articles Supplementary dated August 9, 1999 are incorporated by reference to Post- Effective Amendment No. 76 to the Registrant's Registration Statement on Form N-1A,  filed on  February 24, 2000 ("Post-Effective Amendment No. 76").

A(20) Articles Supplementary dated March 15, 1999 are incorporated by reference to Post- Effective Amendment No. 76.

A(21) Articles of Amendment dated March 15, 1999 are incorporated by reference to Post- Effective Amendment No. 76.

A(22) Articles of Amendment dated January 31, 2002 are incorporated by reference to Post- Effective Amendment No. 83 to the Registrant's Registration Statement on Form N-1A,  filed on  April 15, 2002 ("Post-Effective Amendment No. 83").

A(23) Articles Supplementary dated January 31, 2002 are incorporated by reference to Post- Effective Amendment No. 83.

A(24) Articles Supplementary dated May 12, 2004 are incorporated by reference to Post- Effective Amendment No. 89 to Registrant's Registration Statement on Form N-1A filed  on May  13, 2004.

A(25) Articles Supplementary dated June 30, 2006 are incorporated by reference to Post- Effective Amendment No. 99 to Registrant's Registration Statement on Form N-1A filed  on June  29, 2006.

A(26) Articles Supplementary dated June 25, 2007 are incorporated by reference to Post- Effective Amendment No. 106 to Registrant's Registration Statement on Form N-1A filed  on December 26, 2007.

 

A(27)  Articles of Amendment dated July 5, 2007 (relating to Dreyfus Premier Balanced Fund,  Dreyfus Premier Core Equity Fund, Dreyfus Premier Large Company Stock Fund, Dreyfus Premier Limited Term Income Fund, Dreyfus Premier Midcap Stock Fund, Dreyfus Premier Small Cap Value Fund, Dreyfus Premier Tax Managed Growth Fund and Dreyfus Premier Strategic Income Fund) in connection with redesignation of Class R shares as Class I shares are incorporated by reference to Post-Effective Amendment No. 107 to Registrant's Registration Statement on Form N-1A, filed on December 27, 2007.

A(28) Articles of Amendment redesignating Dreyfus Municipal Reserves as Dreyfus AMT-Free Municipal Reserves are incorporated by reference to Post-Effective Amendment No. 110 to Registrant's Registration Statement on Form N-1A, filed on December 24, 2008 ("Post-Effective Amendment No. 110").

A(29) Articles Supplementary dated October 14, 2008 are incorporated by reference to Post-Effective Amendment No. 110.

A(30) Articles Supplementary dated December 3, 2008 are incorporated by reference to Post-Effective Amendment No.110.

A(31) Articles Supplementary dated April 20, 2009 are incorporated by reference to Post-Effective Amendment No. 114 to Registrant's Registration Statement on Form N-1A, filed on December 22, 2009.

A(32) Articles of Amendment redesignating Dreyfus Small Cap Value Fund as Dreyfus Small Cap Fund are incorporated by reference to Post-Effective Amendment No. 117 to Registrant's Registration Statement on Form N-1A, filed on February 26, 2010.

A(33) Articles of Amendment redesignating Dreyfus Strategic Income Fund as Dreyfus Opportunistic Fixed Income Fund are incorporated by reference to Post-Effective Amendment No. 119 to Registrant's Registration Statement on Form N-1A filed on December 23, 2010.

A(34)  Articles Supplementary dated March 28, 2013 are incorporated by reference to Post-Effective Amendment No. 133 to Registrant's Registration Statement on Form N-1A, filed on June 12, 2013 ("Post-Effective Amendment No. 133").

A(35) Articles Supplementary dated June 20, 2013 (relating to Class Y of Dreyfus Opportunistic Fixed Income Fund) are incorporated by reference to Post-Effective Amendment No. 134 to Registrant's Registration Statement on Form N-1A, filed on June 26, 2013 ("Post-Effective Amendment No. 134").

A(36) Articles Supplementary dated September 17, 2013 (relating to Dreyfus Floating Rate Income Fund) are incorporated by reference to Post-Effective Amendment No. 139 to Registrant's registration statement on Form N-1A, filed on September 5, 2013 ("Post-Effective Amendment No. 139").

A(37) Articles of Amendment dated August 17, 2014, are incorporated by reference to Post-Effective Amendment 151 to the Registrant’s Registration Statement on Form N-1A, filed on November 3, 2015 (“Post-Effective Amendment No. 151”).

 

A(38) Articles Supplementary dated December 15, 2015, are incorporated by reference to Post-Effective Amendment No. 153 to the Registrant’s Registration Statement on Form N-1A, filed on December 30, 2015 (“Post-Effective Amendment No. 153”).

A(39) Articles Supplementary dated March 31, 2016, is incorporated by reference to Post-Effective Amendment No. 160 to the Registrant's Registration Statement on Form N-1A, filed on April 11, 2016.

B Amended and Restated By-Laws dated July 1, 2011 are incorporated by reference to Post-Effective Amendment No. 124 to Registrant's Registration Statement on Form N-1A, filed on August 12, 2011.

D(1) Investment Management Agreement between Mellon Bank, N.A. and the Registrant, dated October 17, 1994 is incorporated by reference to Post-Effective Amendment No. 41 to the Registrant's Registration Statement on Form N-1A, filed on December 29, 1995.

D(2) Assignment and Assumption Agreement among Mellon Bank, N.A., The Dreyfus Corporation and the Registrant, dated November 1, 1995 (relating to Investment Management Agreement) is incorporated by reference to Post-Effective Amendment No. 31.

D(3) Amended Exhibit A to Investment Management Agreement between Mellon Bank, N.A. and the Registrant, dated April 4, 2000 is incorporated by reference to Post-Effective Amendment No. 67.

D(4) Management Agreement between the Registrant (on behalf of Dreyfus Premier Strategic Income Fund) and The Dreyfus Corporation, dated April 20, 2006 is incorporated by reference to Post-Effective Amendment No. 99 to the Registration Statement on Form N-1A, filed on June 29, 2006.

D(5) Management Agreement between the Registrant (on behalf of Dreyfus Opportunistic Fixed Income Fund and Dreyfus Opportunistic Emerging Markets Debt Fund) and The Dreyfus Corporation, dated April 20, 2006, As Amended, April 25, 2013, is incorporated by reference to Post-Effective Amendment No. 133.

D(6) Management Agreement between the Registrant (on behalf of Dreyfus Floating Rate Income Fund) and The Dreyfus Corporation, dated April 20, 2006, As Amended, April 25, 2013, Revised as of September 17, 2013, is incorporated by reference to Post-Effective Amendment No. 139.

D(7) Management Agreement between the Registrant (on behalf of Dreyfus Opportunistic Fixed Income Fund) and The Dreyfus Corporation, dated April 20, 2006, As Amended, April 25, 2013, Revised as of March 20, 2014, is incorporated by reference to Post-Effective Amendment No. 146.

D(8) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Fayez Sarofim & Co. with respect to Dreyfus Core Equity Fund (formerly, Dreyfus Premier Core Equity Fund), dated July 30, 1998 and as amended, August 3, 2009, is incorporated by reference to Post-Effective Amendment No. 112 to Registrant's Registration Statement on Form N-1A, filed on July 24, 2009.

D(9) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Fayez Sarofim & Co. with respect to Dreyfus Tax Managed Growth Fund (formerly, Dreyfus Premier Tax Managed Growth Fund), dated October 23, 1997 and as amended, August 3, 2009, is

 

incorporated by reference to Post-Effective Amendment No. 112 to Registrant's Registration Statement on Form N-1A, filed on July 24, 2009.

D(10)  Sub-Investment Advisory Agreement between The Dreyfus Corporation and Standish Mellon Asset Management Company LLC, with respect to Dreyfus Opportunistic Emerging Markets Debt Fund, dated April 25, 2013, is incorporated by reference to Post-Effective Amendment No. 133.

D(11)  Sub-Investment Advisory Agreement between The Dreyfus Corporation and Alcentra NY, LLC, with respect to Dreyfus Floating Rate Income Fund, dated September 17, 2013, is incorporated by reference to Post-Effective Amendment No. 139.

E(1) Distribution Agreement with MBSC Securities Corporation, revised as of September 17, 2013 (relating to Dreyfus Floating Rate Income Fund) is incorporated by reference to Post-Effective Amendment No. 139.

E(2) Forms of Broker-Dealer Selling Agreement and Bank Selling Agreement are incorporated by reference to Post-Effective Amendment No. 152 to Registrants Registration Statement on Form N-1A, filed on December 28, 2015 (“Post-Effective Amendment No. 152”).

E(3) Forms of Supplemental to Service Agreements are incorporated by reference to Post-Effective Amendment No. 103 to Registrant's Registration Statement on Form N-1A, filed on February 28, 2007.

F Not Applicable.

G(1) Form of Custody Agreement between the Registrant and The Bank of New York Mellon, dated January 1, 2011, is incorporated by reference to Post-Effective Amendment No. 119 to Registrant's Registration Statement on Form N-1A, filed on December 23, 2010.

G(2) Amendment to Custody Agreement between the Registrant and The Bank of New York Mellon, dated October 1, 2013, is incorporated by reference to Post-Effective Amendment No. 142 to the Registrant's Registration Statement on Form N-1A, filed on December 24, 2013 ("Post-Effective Amendment No. 142").

H Transfer Agency Agreement between the Registrant and Dreyfus Transfer, Inc., dated May 29, 2012 is incorporated by reference to Post-Effective Amendment No. 128 to the Registrant's Registration Statement on Form N-1A, filed on December 27, 2012 ("Post-Effective Amendment No. 128").

I(1) Consent and opinion of Registrant's counsel (relating to Dreyfus Core Equity Fund and Dreyfus Floating Rate Income Fund) is incorporated by reference to Post-Effective Amendment No. 152.

I (2) Consent and opinion of Registrant's counsel (relating to Dreyfus Bond Market Index Fund, Dreyfus Disciplined Stock Fund, General AMT-Free Municipal Money Market Fund, Dreyfus Tax Managed Growth Fund, Dreyfus BASIC S&P 500 Stock Index Fund, General Treasury and Agency Money Market Fund (Class A and R Shares), and Dreyfus Opportunistic Fixed Income Fund) incorporated by reference to Post-Effective Amendment No. 157 to the Registrant's Registration Statement on Form N-1A, filed on February 26, 2016 ("Post-Effective Amendment No. 158").

 

I(3)  Consent and opinion of Registrant's counsel (relating to General Treasury and Agency Money Market Fund) incorporated by reference to Post-Effective Amendment No. 153 to the Registrant's Registration Statement on Form N-1A, filed on December 30, 2015.

J(1) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Post-Effective Amendment No. 144 to the Registration Statement on Form N-1A, filed on February 28, 2014.

J(2) Consent of Independent Registered Public Accounting Firm (relating to Dreyfus Global Emerging Markets Fund, a series of Dreyfus BNY Mellon Funds, Inc.) is incorporated by reference to Post-Effective Amendment No. 144 to the Registration Statement on Form N-1A, filed on February 28, 2014.

J(3) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Post-Effective Amendment No. 158.

K Letter of Investment Intent is incorporated by reference to the Registration Statement.

M(1) Amended and Restated Distribution Plan effective as of March 22, 2000, (relating to Investor Class Shares and Class A Shares) for Dreyfus Bond Market Index Fund, Dreyfus Money Market Reserves, General AMT-Free Municipal Money Market Fund, General Treasury and Agency Money Market Fund, Dreyfus Premier Balanced Fund, Dreyfus Premier Limited Term Income Fund, Dreyfus Premier Small Cap Value Fund, Dreyfus Premier Tax Managed Growth Fund, Dreyfus Premier Midcap Stock Fund and Dreyfus Premier Large Company Stock Fund is incorporated by reference to Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004.

M(2) Amended and Restated Distribution Plan for Dreyfus Disciplined Stock Fund is incorporated by reference to Post-Effective Amendment No. 61 to the Registrant's Registration Statement on Form N-1A, filed on February 26, 1998.

M(3) Amended and Restated Distribution Plan, effective as of March 22, 2000 and as revised April 15, 2002, (relating to Class A shares) for Dreyfus Premier Core Equity Fund is incorporated by reference to Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004.

M(4) Distribution Plan, as revised April 15, 2002, (relating to Class B and Class C shares) for Dreyfus Premier Balanced Fund, Dreyfus Premier Limited Term Income Fund, Dreyfus Premier Small Cap Value Fund, Dreyfus Premier Tax Managed Growth Fund, Dreyfus Premier Midcap Stock Fund, Dreyfus Premier Large Company Stock Fund and Dreyfus Premier Core Equity Fund is incorporated by reference to Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004.

M(5) Revised Distribution Plan dated April 15, 2002 (relating to Class T shares) for Dreyfus Premier Tax Managed Growth Fund, Dreyfus Premier Large Company Stock Fund, Dreyfus Premier Midcap Stock Fund, Dreyfus Premier Balanced Fund, Dreyfus Premier Small Cap Value Fund and Dreyfus Premier Core Equity Fund is incorporated by reference to Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004.

 

M(6)  Distribution Plan dated April 20, 2006 (relating to Class C) for Dreyfus Premier Strategic Income Fund is incorporated by reference to Post-Effective Amendment No. 99 to Registrant's Registration Statement on Form N-1A, filed on June 29, 2006.

M(7) Distribution Plan, as revised April 26, 2007, (relating to Class B shares) for General AMT-Free Municipal Money Market Fund is incorporated by reference to Post-Effective Amendment No. 104 to Registrant's Registration Statement on Form N-1A, filed on May 1, 2007.

M(8) Distribution Plan dated April 20, 2006, as revised April 25, 2013, (relating to Dreyfus Opportunistic Fixed Income Fund and Dreyfus Opportunistic Emerging Markets Debt Fund) is incorporated by reference to Post-Effective Amendment No. 133 to Registrant's Registration Statement on Form N-1A, filed on June 12, 2013.

M(9) Distribution Plan, as revised September 17, 2013 (relating to Class C Shares) for Dreyfus Floating Rate Income Fund is incorporated by reference to Post-Effective Amendment No. 139.

M(10) Distribution Plan, dated October 28, 2015, (relating to Class B Shares) for General Treasury and Agency Money Market Fund is incorporated by reference to Post-Effective Amendment 151.

M(11) Amended and Restated Service Plan, effective as of March 22, 2000, (relating to Class B, Class C and Class T shares) for Dreyfus Premier Large Company Stock Fund, Dreyfus Premier Midcap Stock Fund, Dreyfus Premier Balanced Fund, Dreyfus Premier Tax Managed Growth Fund, Dreyfus Premier Small Cap Value Fund, Dreyfus Premier Core Equity Fund and (relating to Class B and Class C shares) Dreyfus Premier Limited Term Income Fund is incorporated by reference to Post-Effective Amendment No. 81 to the Registrant's Registration Statement on Form N-1A, filed on February 12, 2002.

M(12) Amended and Restated Shareholder Servicing Plan, effective as of March 22, 2000, for Dreyfus Institutional Government Money Market Fund, Dreyfus Institutional Prime Money Market Fund and Dreyfus U.S. Treasury Money Market Fund is incorporated by reference to Post-Effective Amendment No. 77 to the Registrant's Registration Statement on Form N-1A, filed on December 13, 2000.

M(13) Shareholder Services Plan dated April 20, 2006 for Dreyfus Premier Strategic Income Fund is incorporated by reference to Post-Effective Amendment No. 99 to Registrant's Registration Statement on Form N-1A, filed on June 29, 2006.

M(14)  Shareholder Services Plan, dated April 26, 2007, as revised October 28, 2015, (relating to Class B shares) for General AMT-Free Municipal Money Market Fund and General Treasury and Agency Money Market Fund is incorporated by reference to Post-Effective Amendment No. 151.

M(15) Shareholder Services Plan, dated April 20, 2006, as revised April 25, 2013, (relating to Dreyfus Opportunistic Fixed Income Fund and Dreyfus Opportunistic Emerging Markets Debt Fund) is incorporated by reference to Post-Effective Amendment No. 133.

M(16) Shareholder Services Plan, as revised September 17, 2013 (relating to Class A and Class C shares) for Dreyfus Floating Rate Income Fund is incorporated by reference to Post-Effective Amendment No. 139.

 

N(1) Amended Rule 18f-3 Plan for Dreyfus Bond Market Index Fund, dated December 31, 1999 is incorporated by reference to Post-Effective Amendment No.76.

N(2) Rule 18f-3 Plan, dated April 26, 2007, as revised April 15, 2016, for General AMT-Free Municipal Money Market Fund, is filed herewith.

N(3) Rule 18f-3 Plan, as amended November 13, 2015, for Dreyfus Tax Managed Growth Fund and Dreyfus Core Equity Fund, is incorporated by reference to Post-Effective Amendment No. 156 to the Registrant's Registration Statement on Form N-1A, filed on January 26, 2016 (“Post-Effective Amendment No. 156”).

N(4) Rule 18f-3 Plan, as amended November 13, 2015, for Dreyfus Floating Rate Income Fund and Dreyfus Opportunistic Fixed Income Fund, is incorporated by reference to Post-Effective Amendment No. 156.

N(5) Rule 18f-3 Plan, dated August 1, 2015, as revised April 15, 2016 for General Treasury and Agency Money Market Fund is filed herewith.

N(6) Rule 18f-3 Plan, as amended February 1, 2016, for Dreyfus Tax Managed Growth Fund and Dreyfus Core Equity Fund, is incorporated by reference to Post-Effective Amendment No. 156.

N(7) Rule 18f-3 Plan, as amended February 1, 2016, for Dreyfus Floating Rate Income Fund and Dreyfus Opportunistic Fixed Income Fund, is incorporated by reference to Post-Effective Amendment No. 156.

N(8) Rule18f-3 Plan, as amended March 1, 2016, for Dreyfus Floating Rate Income Fund and Dreyfus Opportunistic Fixed Income Fund, is incorporated by reference to Post-Effective Amendment No. 158.

P(1) Revised Code of Ethics adopted by the Registrant, The Dreyfus Corporation, Standish Mellon Asset Management Company LLC, Alcentra NY, LLC and MBSC Securities Corporation, dated May 29, 2012 is incorporated by reference to Post-Effective Amendment No. 128 to the Registrant's Registration Statement on Form N-1A, filed on December 27, 2012.

P(2) Revised Code of Ethics adopted by the Sub-Investment Adviser effective as of May 6, 2013, for Dreyfus Core Equity Fund and Dreyfus Tax Managed Growth Fund is incorporated by reference to Post-Effective Amendment No. 142.

P(3) Code of Ethics for the Nonmanagement Board Members of the Dreyfus Family of Funds and BNY Mellon Funds Trust is incorporated by reference to Post-Effective Amendment No. 133.

P(4) Revised Code of Ethics adopted by the Registrant, The Dreyfus Corporation, Standish Mellon Asset Management Company LLC, Alcentra NY, LLC and MBSC Securities Corporation, dated November 3, 2014 is incorporated by reference to Post-Effective Amendment No. 149.

Other Exhibits

(1) Power of Attorney of Bradley J. Skapyak, James Windels and Trustees, dated February 25, 2015, effective April 1, 2015, is incorporated by reference to Post-Effective Amendment No. 152.

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 Tenth of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of Registrant's Amended and Restated Bylaws, Section 2-418 of the Maryland General Corporation Law and Section 1.10 of the Distribution Agreement.

Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act of 1933 and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act of 1933 and will be governed by the final adjudication of such issue.

Item 31. Business and Other Connections of Investment Adviser

(a) 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, 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. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Dreyfus and of other investment companies for which Dreyfus acts as investment adviser, sub-investment adviser or administrator.

(b) The Registrant (on behalf of Dreyfus Core Equity Fund and Dreyfus Tax Managed Growth Fund (the "Funds")) is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Fayez Sarofim & Co., the sub-investment adviser of the Funds, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Fayez Sarofim & Co., 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 Fayez Sarofim & Co. (SEC File No. 801-1725).

 

(c) The Registrant (on behalf of Dreyfus Opportunistic Emerging Markets Debt Fund (the "Fund")) is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Standish Mellon Asset Management Company LLC, the sub-investment adviser of the Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Standish Mellon Asset Management Company LLC, 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 Standish Mellon Asset Management Company LLC (SEC File No. 801-60527).

(d) The Registrant (on behalf of Dreyfus Floating Rate Income Fund) 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 Dreyfus Floating Rate Income Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Alcentra NY, LLC, 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 Advisers Act 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 Dreyfus

Other Businesses

Position Held

Dates

Mark Santero
Chief Executive Officer and Director

Alcentra US, Inc.††††

Director

9/14 – Present

 

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

Director

5/15 - Present

       
 

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 - Present

       
 

Mellon Global Investing Corp.+

Director

5/15 - Present

       
 

USPLP, Inc.*******

Director

12/15 - 5/16

       
 

Alcentra NY, LLC++

Manager

9/14 - Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Alternative Holdings I, LLC

Manager

4/16 - Present

       
 

BNY Investment Strategy and Solutions Group, LLC*

Manager

6/15 - Present

       
 

EACM Advisors LLC^^

Manager

12/15 - Present

       
 

Standish Mellon Asset Management Company LLC*

Manager

9/14 - 5/16

       
 

The Boston Company Asset Management, LLC*

Manager

9/14 - Present

       
 

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

       

J. Charles Cardona
President and Director

MBSC Securities Corporation++

Director
Executive Vice President

6/07 – Present
6/07 – 3/15

       
   

Chairman

2/13 - Present

       
 

BNY Mellon Liquidity Funds plc+

Director

4/06 - Present

       

Diane P. Durnin
Vice Chair and Director

MBSC Securities Corporation++

Executive Vice President

3/15 - Present

       

Bradley J. Skapyak
Chief Operating Officer and Director

MBSC Securities Corporation++

Executive Vice President

6/07 - Present

 

The Bank of New York Mellon***

Senior Vice President

4/07 - Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

The Dreyfus Family of Funds++

President

1/10 - Present

       
 

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

6/07 – Present

       

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

       

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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 – Present

       
 

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 – Present

       
 

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 – Present

       
 

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

Assistant Treasurer - Tax

3/13 - Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

BNY Capital Funding LLC ***

Assistant Treasurer – Tax

9/13 - Present

       
 

BNY Investment Strategy and Solutions Group, LLC *

Assistant Treasurer – Tax

6/15 - Present

       
 

BNY Mellon Community Development Corporation ^^^^^

Assistant Treasurer – Tax

10/13 - Present

       
 

BNY Mellon Distributors Holdings Inc. #

Assistant Treasurer – Tax

6/14 – Present

       
 

BNY Mellon Investments CTA, LLC *

Assistant Treasurer

9/13 – Present

       
 

BNY Mellon Investment Servicing (US) Inc. +

Assistant Treasurer

3/14 – Present

       
 

BNY Mellon Investment Servicing Trust Company #

Assistant Treasurer

3/14 – Present

       
 

BNY Mellon Trust of Delaware#

Assistant Treasurer

11/13 – Present

       
 

IVY Asset Management LLC +

Assistant Treasurer

9/13 – Present

       
 

Mellon Hedge Advisors, LLC *

Assistant Treasurer

10/13 – Present

       
 

MUNB Loan Holdings, LLC***

Assistant Treasurer

10/13 – Present

       
 

484Wall Capital Management LLC ***

Assistant Treasurer – Tax

10/13 – Present

       
 

Airlease Incorporated †††

Assistant Treasurer – Tax

7/13 – Present

       
 

Albridge Solutions, Inc. ††††

Assistant Treasurer – Tax

7/13 – Present

       
 

Allomon Corporation

Assistant Treasurer – Tax

5/13 – Present

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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 – 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

       
 

BNY Cargo Holdings LLC***

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Catair LLC †††

Assistant Treasurer – Tax

7/13 – 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 Gator LLC ***

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Hitchcock Holdings LLC ***

Assistant Treasurer – Tax

7/13 – Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

BNY Housing I Corp. †††

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Housing II LLC ***

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY ITC Leasing, LLC ***

Assistant Treasurer – Tax

7/13 – Present

       
 

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

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Lease Holdings LLC ***

Assistant Treasurer – Tax

7/13 – Present

       
 

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 – Present

       
 

BNY Mellon Capital Markets, LLC ^^^^^

Assistant Treasurer – Tax

7/13 – 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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 – Present

       
 

BNY Recap I, LLC #

Assistant Treasurer – Tax

9/13 – Present

       
 

BNY Salvage Inc. ***

Assistant Treasurer – Tax

3/13 – Present

       
 

BNY Waterworks, Inc. †††

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Wings, Inc. †††

Assistant Treasurer – Tax

7/13 – 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

       
 

Boston Safe Deposit Finance Company, Inc. *

Assistant Treasurer – Tax

7/13 – Present

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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 - Present

       
 

Colson Services Corp. ^

Assistant Treasurer – Tax

3/14 - Present

       
 

Cutwater Asset Management Corp. +++++

Assistant Treasurer – Tax

1/15 - Present

       
 

Cutwater Holdings LLC +++++

Assistant Treasurer – Tax

1//15 - Present

       
 

Cutwater Investor Services Corp. +++++

Assistant Treasurer - Tax  

1/15 - Present

       
 

Dreyfus Service Organization, Inc. ++

Assistant Treasurer – Tax

3/14 - Present

       
 

EACM Advisors LLC ^^

Assistant Treasurer – Tax

1/14 - Present

       
 

Eagle Access LLC ^^^

Assistant Treasurer – Tax

1/14 - Present

       
 

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 – Present

       
 

HedgeMark International, LLC ##

Assistant Treasurer – Tax

5/14 – Present

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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 – Present

       
 

IRE-BC, Inc. †††

Assistant Treasurer – Tax

7/13 – Present

       
 

IRE-SB, Inc. †††

Assistant Treasurer – Tax

7/13 – Present

       
 

Island Waterworks, Inc. †††

Assistant Treasurer – Tax

7/13 – Present

       
 

ITCMED, Inc. ***

Assistant Treasurer – Tax

6/13 – 5/15

       
 

JRHC 1998A LLC ####

Assistant Treasurer – Tax

12/13 – Present

       
 

Lockwood Advisors, Inc. ######

Assistant Treasurer – Tax

3/14 - Present

       
 

Lockwood Insurance, Inc. ######

Assistant Treasurer – Tax

8/14 - Present

       
 

Lockwood Solutions, Inc. ######

Assistant Treasurer – Tax

8/14 - 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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

MELDEL Leasing Corporation Number 2, Inc. #

Assistant Treasurer – Tax

9/13 – Present

       
 

Mellon Financial Services Corporation #1+

Assistant Treasurer – Tax

7/13 – Present

       
 

Mellon Financial Services Corporation #4 +

Assistant Treasurer – Tax

9/13 – Present

       
 

Mellon Funding Corporation +

Assistant Treasurer – Tax

3/14 - Present

       
 

Mellon Global Investing Corp. +

Assistant Treasurer – Tax

5/14 - Present

       
 

Mellon International Leasing Company #

Assistant Treasurer – Tax

8/14 - 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 - Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

National Residential Assets Corp.***

Assistant Treasurer – Tax

4/13 – Present

       
 

New GSM Holding Corporation ^^^^

Assistant Treasurer – Tax

7/13 – Present

       
 

Newton Capital Management LLC.***

Assistant Treasurer – Tax

8/14 - Present

       
 

Northern Waterworks, Inc. †††

Assistant Treasurer – Tax

7/13 – 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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Technology Services Group, Inc. ^^^^^

Assistant Treasurer – Tax

9/13 – Present

       
 

Tennessee Processing Center LLC ^^^^^

Assistant Treasurer – Tax

9/13 – Present

       
 

The Bank of New York Consumer Leasing Corporation***

Assistant Treasurer – Tax

7/13 – Present

       
 

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

Assistant Treasurer

10/13 - Present

       
 

The Boston Company Asset Management, LLC *

Assistant Treasurer – Tax

8/13 – Present

       
 

USPLP, Inc. *******

Assistant Treasurer – Tax

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

Jill Gill
Vice President –
Human Resources

MBSC Securities Corporation++

Vice President

6/07 – Present

 

The Bank of New York Mellon ***

Vice President

7/08 – Present

       
 

BNY Mellon, National Association +

Vice President

7/08 - Present

       

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

       
       

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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

       
 

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 – Present

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Asset Recovery XVI, LLC ***

Assistant Treasurer

3/11 – Present

       
 

Asset Recovery XVII, LLC ***

Assistant Treasurer

3/11 – 3/15

       
 

Asset Recovery XVIII, LLC ***

Assistant Treasurer

7/11 – 3/15

       
 

Asset Recovery XX, LLC ***

Assistant Treasurer

7/11 – Present

       
 

Asset Recovery XXI, LLC ***

Assistant Treasurer

7/11 – 3/15

       
 

Asset Recovery XXII, LLC ***

Assistant Treasurer

7/11 – Present

       
 

Asset Recovery XXIII, LLC ***

Assistant Treasurer

7/11 – Present

       
 

BNY Mellon Investments CTA, LLC *

Assistant Treasurer

9/13 – Present

       
 

BNY Mellon Trust of Delaware #

Assistant Treasurer

11/11 – Present

       
 

Mellon Hedge Advisors, LLC *

Assistant Treasurer

10/11 – Present

       
 

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 – Present

       
 

Airlease Incorporated †††

Assistant Treasurer -Tax

7/11 – Present

       
 

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 – Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

BNY Capital Resources
Corporation #######

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Cargo Holdings LLC ***

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Catair LLC †††

Assistant Treasurer –Tax

7/11 – Present

       
 

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 – Present

       
 

BNY Hitchcock Holdings LLC ***

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Housing I Corp. †††

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Housing II LLC ***

Assistant Treasurer –Tax

7/11 – Present

       
 

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 – Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 – Present

       
 

BNY Real Estate Holdings LLC ***

Assistant Treasurer –Tax

4/11 – Present

       
 

BNY Recap I, LLC #

Assistant Treasurer –Tax

11/11 – Present

       
 

BNY Salvage Inc. ***

Assistant Treasurer –Tax

3/11 – Present

       
 

BNY Waterworks, Inc. †††

Assistant Treasurer –Tax

7/11 – Present

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

Colson Services Corp. ^

Assistant Treasurer –Tax

2/11 – Present

       
 

Cutwater Asset Management Corp. +++++

Assistant Treasurer – Tax

1/15 - Present

       
 

Cutwater Holdings LLC +++++

Assistant Treasurer – Tax

1//15 - Present

       
 

Cutwater Investor Services Corp. +++++

Assistant Treasurer - Tax  

1/15 - Present

       
 

EACM Advisors LLC ^^

Assistant Treasurer –Tax

4/14 – Present

       
 

Eagle Access LLC ^^^

Assistant Treasurer –Tax

1/12 – Present

       
 

Eagle Investment Systems LLC ^^^^

Assistant Treasurer –Tax

1/12 – Present

       
 

ECM DE, LLC ***

Assistant Treasurer –Tax

3/11 – Present

       
 

GIS Holdings (International) Inc. #

Assistant Treasurer –Tax

4/12 – 12/14

       
 

Hamilton Floating Rate Fund Holdings, LLC ***

Assistant Treasurer –Tax

5/11 – Present

       
 

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 – Present

       
 

IRE-BC, Inc. †††

Assistant Treasurer –Tax

7/11 – Present

       
 

IRE-SB, Inc. †††

Assistant Treasurer –Tax

7/11 – Present

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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

       
 

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 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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

Mellon Residential Funding Corporation ****

Assistant Treasurer –Tax

4/14 – Present

       
 

National Residential Assets Corp. ***

Assistant Treasurer –Tax

4/12 – Present

       
 

New GSM Holding Corporation ^^^^

Assistant Treasurer –Tax

7/11 – Present

       
 

Newton Capital Management LLC ***

Assistant Treasurer –Tax

10/11 – Present

       
 

Northern Waterworks, Inc. †††

Assistant Treasurer –Tax

7/11 – Present

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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

       
 

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

       
 

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

6/07 - Present

       
 

Dreyfus Service Organization, Inc.++

Secretary

8/05 - Present

   

*

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

**

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

***

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

+

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

++

The address of the business so indicated is 200 Park Avenue, New York, New York 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 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 Appreciation Fund, Inc.

6. 

Dreyfus BASIC Money Market Fund, Inc.

7. 

Dreyfus BNY Mellon Funds, Inc.

8. 

Dreyfus Bond Funds, Inc.

 

   

9. 

Dreyfus Cash Management

10. 

Dreyfus Funds, Inc.

11. 

The Dreyfus Fund Incorporated

12. 

Dreyfus Government Cash Management Funds

13. 

Dreyfus Growth and Income Fund, Inc.

14. 

Dreyfus Index Funds, Inc.

15. 

Dreyfus Institutional Cash Advantage Funds

16. 

Dreyfus Institutional Preferred Money Market Funds

17. 

Dreyfus Institutional Reserves Funds

18. 

Dreyfus Intermediate Municipal Bond Fund, Inc.

19. 

Dreyfus International Funds, Inc.

20. 

Dreyfus Investment Funds

21. 

Dreyfus Investment Grade Funds, Inc.

22. 

Dreyfus Investment Portfolios

23. 

The Dreyfus/Laurel Funds, Inc.

24. 

The Dreyfus/Laurel Funds Trust

25. 

Dreyfus Liquid Assets, Inc.

26. 

Dreyfus Manager Funds I

27. 

Dreyfus Manager Funds II

28. 

Dreyfus Midcap Index Fund, Inc.

29. 

Dreyfus Municipal Bond Opportunity Fund

30. 

Dreyfus Municipal Cash Management Plus

31. 

Dreyfus Municipal Funds, Inc.

32. 

Dreyfus New Jersey Municipal Bond Fund, Inc.

33. 

Dreyfus New York AMT-Free Municipal Bond Fund

34. 

Dreyfus New York Municipal Cash Management

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. 

The Dreyfus Socially Responsible Growth Fund, Inc.

46. 

Dreyfus Stock Index Fund, Inc.

47. 

Dreyfus Tax Exempt Cash Management Funds

48. 

The Dreyfus Third Century Fund, Inc.

49. 

Dreyfus Treasury & Agency Cash Management

50. 

Dreyfus Treasury Securities Cash Management

51. 

Dreyfus Ultra Short Income Fund

52. 

Dreyfus U.S. Treasury Intermediate Term Fund

53. 

Dreyfus U.S. Treasury Long Term Fund

54. 

Dreyfus Variable Investment Fund

55. 

General California Municipal Money Market Fund

56. 

General Government Securities Money Market Funds, Inc.

57. 

General Money Market Fund, Inc.

58. 

General Municipal Money Market Funds, Inc.

59. 

General New Jersey Municipal Money Market Fund, Inc.

60. 

General New York AMT-Free Municipal Money Market Fund

61. 

Strategic Funds, Inc.

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Kenneth Bradle**

President and Director

None

J. Charles Cardona*

Chairman of the Board and Co-Head

Executive Vice President (Money Market Funds Only)

Sue Ann Cormack

Executive Vice President

None

Diane P. Durnin†††

Executive Vice President

None

Tracy Hopkins*

Executive Vice President

None

William H. Maresca**

Executive Vice President and Director

None

Christopher D. O'Connor†††

Executive Vice President

None

Irene Papadoulis**

Executive Vice President

None

Matthew Perrone*****

Executive Vice President

None

Bradley J. Skapyak*

Executive Vice President

President

 

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Bill E. Sappington*

Executive Vice President and Director

None

Brie A. Steingarten*

Chief Legal Officer and Secretary

None

Eric P. Cola*

Senior Vice President

None

Mercedes Katz**

Senior Vice President

None

Joseph W. Connolly*

Chief Compliance Officer (Investment Advisory Business)

Chief Compliance Officer

Jaynthi Gandhi†††

Chief Compliance Officer (Broker-Dealer Business)

None

Katherine M. Scott*

Chief Risk Officer

None

Anthony Mayo*

Chief Technology Officer

None

Maria Georgopoulos*

Vice President – Facilities Management

None

Stewart Rosen*

Vice President – Facilities Management

None

Karin L. Waldmann**

Privacy Officer

None

Charles Doumar†††

Vice President – Tax

None

Timothy I. Barrett**

Vice President

None

Jill Gill*

Vice President

None

Kathleen Geis††

Vice President

None

Joseph R. Kane***

Vice President – Tax

None

Donna M. Impagliazzo**

Vice President – Compliance

None

Carla R. Wanzer**

Vice President

None

Claudine Orloski***

Vice President – Tax

None

John Shea†††

Vice President – Finance

None

Christopher A. Stallone**

Vice President

None

Susan Verbil****

Vice President – Finance

None

William Verity****

Vice President – Finance

None

James Windels*****

Vice President

Treasurer

Ronny Santos*

Assistant Vice President

None

James Bitetto*

Assistant Secretary

Vice President and
Assistant Secretary

Audrey Edwards***

Assistant Secretary

None

Susan K. Maroni***

Assistant Secretary

None

Cristina Rice***

Assistant Secretary

None

 

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

Victor R. Siclari***

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 10286.

*****

Principal business address is 2 Hanson Place, Brooklyn, New York 11217

Principal business address is 201 Columbine Street, Suite 200, 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

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, MA 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 certifies that it meets all of the requirements for 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 7th of July 2016.

The Dreyfus/Laurel Funds, 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)

 

07/7/2016

Bradley J. Skapyak

       

/s/ James Windels*

 

Treasurer (Principal Financial
and Accounting Officer)

 

07/7/2016

James Windels

       

/s/ Joseph S. DiMartino*

 

Chairman of the Board

 

07/7/2016

Joseph S. DiMartino

       

/s/ Kenneth A. Himmel*

 

Board Member

 

07/7/2016

Kenneth A. Himmel

       

/s/ Stephen J. Lockwood*

 

Board Member

 

07/7/2016

Stephen J. Lockwood

       

/s/ Roslyn M. Watson*

 

Board Member

 

07/7/2016

Roslyn M. Watson

       

/s/ Benaree Pratt Wiley*

 

Board Member

 

07/7/2016

Benaree Pratt Wiley

       

/s/ Francine J. Bovich*

 

Board Member

 

07/7/2016

Francine J. Bovich

       

*BY:

/s/ James Bitetto

 

James Bitetto
Attorney-in-Fact

 

INDEX OF EXHIBITS

Exhibits

N(2) Rule 18f-3 Plan, dated April 26, 2007, as revised April 15, 2016, for General AMT-Free Municipal Money Market Fund, is filed herewith.

N(5) Rule 18f-3 Plan, dated August 1, 2015, as revised April 15, 2016 for General Treasury and Agency Money Market Fund is filed herewith.

 

EX-99 2 plan18ff3.htm 18F-3 PLANS plan18ff3.htm - Generated by SEC Publisher for SEC Filing

THE DREYFUS FAMILY OF FUNDS
(Funds Included in 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 of shares pursuant to said Rule adopt a plan setting forth the differences among the classes with respect to shareholder services, distribution arrangements, expense allocations 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 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 into Class A shares, Class B shares and Dreyfus Class shares.

2.                  Differences in Availability:  Class A shares and Class B shares of a Fund are designed primarily for people who are investing through a third party such as a bank, broker-dealer or financial adviser.

Dreyfus Class shares of a Fund shall be offered to any investor.

3.                  Differences in Services:  The services offered to shareholders of each Class, as described in the Fund's prospectuses or statement of additional information, unless otherwise noted on Schedule A, shall be similar, except for certain services provided to each Class pursuant to separate plans adopted by the Fund's Board.

 

 


 

4.                  Differences in Distribution Arrangements:  Class A shares shall be subject to a Distribution Plan adopted pursuant to Rule 12b-1 under the 1940 Act.  The Distribution Plan for Class A shares allows the Fund to spend annually up to 0.25% of the value of the Fund’s average daily net assets attributable to Class A shares to compensate the Fund’s Distributor for shareholder servicing activities and for activities or expenses primarily intended to result in the sale of Class A shares.

Class B shares shall be subject to a Distribution Plan and a Shareholder Services Plan, each adopted pursuant to Rule 12b-1 under the 1940 Act.  The Distribution Plan for Class B shares allows the Fund to pay the Fund’s Distributor for distributing such Fund’s Class B shares a fee at the annual rate of 0.25% of the value of the Fund’s average daily net assets attributable to Class B shares.  The Shareholder Services Plan for Class B shares allows the Fund to pay the Fund’s Distributor for the provision of certain services to the holders of the Fund’s Class B shares a fee at the annual rate of 0.25% of the value of the Fund’s average daily net assets attributable to Class B shares.

Dreyfus Class shares shall not be subject to a Distribution Plan or Shareholder Services Plan.

5.                  Expense Allocation:  The following expenses shall be allocated, to the extent practicable, on a Class-by-Class basis:  (a) fees under the Distribution Plan and Shareholder Services Plan; (b) printing and postage expenses payable by the Fund related to preparing and distributing materials, such as proxies, to current shareholders of a specific Class; and (c) litigation or other legal expenses relating solely to a specific Class.

6.                  Conversion Features:  No Class shall be subject to any automatic conversion feature.  Shares of one Class of the 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.

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7.                  Exchange Privileges:  Shares of a Class of the Fund shall be exchangeable only for shares of certain other investment companies managed or administered by The Dreyfus Corporation or its affiliates as specified from time to time.

 

Dated:  April 26, 1995

Revised as of:  April 15, 2016

 

3

 


 
SCHEDULE A

The Dreyfus/Laurel Funds, Inc.

- General AMT-Free Municipal Money Market Fund (formerly, Dreyfus AMT-Free Municipal Reserves)

 

4

 


 

THE DREYFUS FAMILY OF FUNDS
(Funds Included in 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 of shares pursuant to said Rule adopt a plan setting forth the differences among the classes with respect to shareholder services, distribution arrangements, expense allocations 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 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 into Class A shares, Class B shares and Dreyfus Class shares.

2.                  Differences in Availability:  Class A shares and Class B shares of a Fund are designed primarily for people who are investing through a third party such as a bank, broker-dealer or financial adviser.

Dreyfus Class shares of a Fund shall be offered to any investor.

3.                  Differences in Services:  The services offered to shareholders of each Class, as described in the Fund's prospectuses or statement of additional information, unless otherwise noted on Schedule A, shall be similar, except for certain services provided to each Class pursuant to separate plans adopted by the Fund's Board.

 


 

4.                  Differences in Distribution Arrangements:  Class A shares shall be subject to a Distribution Plan adopted pursuant to Rule 12b-1 under the 1940 Act.  The Distribution Plan for Class A shares allows the Fund to spend annually up to 0.25% of the value of the Fund's average daily net assets attributable to Class A shares to compensate the Fund's Distributor for shareholder servicing activities and for activities or expenses primarily intended to result in the sale of Class A shares.

Class B shares shall be subject to a Distribution Plan and a Shareholder Services Plan, each adopted pursuant to Rule 12b-1 under the 1940 Act.  The Distribution Plan for Class B shares allows the Fund to pay the Fund's Distributor for distributing such Fund's Class B shares at the annual rate of up to 0.20% of the value of the Fund's average daily net assets attributable to Class B shares.  The Shareholder Services Plan for Class B shares allows the Fund to pay the Fund's Distributor for the provision of certain services to the holders of the Fund's Class B shares a fee at the annual rate of 0.25% of the value of the Fund's average daily net assets attributable to Class B shares.

Dreyfus Class shares shall not be subject to a Distribution Plan or Shareholder Services Plan.

5.                  Expense Allocation:  The following expenses shall be allocated, to the extent practicable, on a Class-by-Class basis:  (a) fees under the Distribution Plan and Shareholder Services Plan; (b) printing and postage expenses payable by the Fund related to preparing and distributing materials, such as proxies, to current shareholders of a specific Class; and (c) litigation or other legal expenses relating solely to a specific Class.

6.                  Conversion Features:  No Class shall be subject to any automatic conversion feature.  Shares of one Class of the 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.

2


 

7.                  Exchange Privileges:  Shares of a Class of the Fund shall be exchangeable only for shares of certain other investment companies managed or administered by The Dreyfus Corporation or its affiliates as specified from time to time.

Dated as of:  August 1, 2015

As revised:  April 15, 2016

 

3

 


 
SCHEDULE A

The Dreyfus/Laurel Funds, Inc.
- General Treasury and Agency Money Market Fund (formerly, Dreyfus U.S. Treasury Reserves)

 

4