0000881773-16-000065.txt : 20160301 0000881773-16-000065.hdr.sgml : 20160301 20160301150009 ACCESSION NUMBER: 0000881773-16-000065 CONFORMED SUBMISSION TYPE: POS EX PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20160301 DATE AS OF CHANGE: 20160301 EFFECTIVENESS DATE: 20160301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DREYFUS PREMIER INVESTMENT FUNDS INC CENTRAL INDEX KEY: 0000881773 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: POS EX SEC ACT: 1933 Act SEC FILE NUMBER: 033-44254 FILM NUMBER: 161472843 BUSINESS ADDRESS: STREET 1: 200 PARK AVE 8TH FLOOR STREET 2: THE DREYFUS CORPORATION CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2129226726 MAIL ADDRESS: STREET 1: 200 PARK AVENUE STREET 2: THE DREYFUS CORPORATION CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS PREMIER INTERNATIONAL FUNDS INC DATE OF NAME CHANGE: 20020517 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS PREMIER INTERNATIONAL GROWTH FUND INC DATE OF NAME CHANGE: 19970812 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS PREMIER GLOBAL INVESTING INC DATE OF NAME CHANGE: 19970307 POS EX 1 lp1092.htm POST-EFFECTIVE AMENDMENT NO. 093 lp1092.htm - Generated by SEC Publisher for SEC Filing

File No. 33-44254

811-6490

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. 93  [X]

and/or

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

 Amendment No. 93  [X]

(Check appropriate box or boxes.)

Dreyfus Premier Investment 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) 922-6000

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. Exhibits (n)(1) to Item 28 to the Registration Statement.

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

Part A of the Registration Statement was filed on September 25, 2015 with respect to Dreyfus Large Cap Equity Fund and Dreyfus Large Cap Growth Fund, pursuant to Rule 485(b) under the Securities Act of 1933 and is incorporated by reference herein; and

 

Part B of the Registration Statement was filed on March 1, 2016 pursuant to Rule 497(e) under the Securities Act of 1933 and is incorporated by reference herein.

 


DREYFUS PREMIER INVESTMENT FUNDS, INC.

PART C. OTHER INFORMATION

_________________________

Item 28. Exhibits

(a)(1) Registrant's Articles of Incorporation and Articles of Amendment are incorporated by reference to Exhibit (1)(a) of Post-Effective Amendment No. 6 to the Registration Statement on Form N-1A, filed December 28, 1994 ("Post-Effective Amendment No. 6").

(a)(2) Registrant's Articles of Amendment are incorporated by reference to Exhibit (a)(2) of Post-Effective Amendment No. 46 to the Registration Statement on Form N-1A, filed on March 27, 2008. ("Post-Effective Amendment No. 46")

(a)(3) Registrant's Articles Supplementary are incorporated by reference to Exhibit (a)(3) of Post-Effective Amendment No. 46.

(a)(4) Registrant's Articles Supplementary are incorporated by reference to Exhibit (a)(4) of Post-Effective Amendment No. 53 to the Registration Statement on Form N-1A, filed July 14, 2009 ("Post-Effective Amendment No. 53").

(a)(5) Registrant's Articles Supplementary are incorporated by reference to Exhibit (a)(5) of Post-Effective Amendment No. 60 to the Registration Statement on Form N-1A, filed February 11, 2011 ("Post-Effective Amendment No. 60").

(a)(6) Form of Registrant's Articles Supplementary is incorporated by reference to Exhibit (a) (6) of Post-Effective Amendment No. 75 to the Registration Statement on Form N-1A, filed June 26, 2013 (“Post-Effective Amendment No. 75).

(a)(7) Registrant's Articles Supplementary are incorporated by reference to Exhibit (a)(7) of Post-Effective Amendment No. 82 to the Registration Statement on Form N-1A, filed November 25, 2014 ("Post-Effective Amendment No. 82").

(b) Registrant's Amended and Restated By-Laws are incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 67 to the Registration Statement on Form N-1A, filed February 28, 2012 ("Post-Effective Amendment No. 67").

(d)(1) Management Agreement, as revised, is incorporated by reference to Exhibit (d)(1) of Post-Effective Amendment No. 82.

(d)(2) Sub-Investment Advisory Agreement between The Dreyfus Corporation and CenterSquare Management, Inc., with respect to Dreyfus Global Infrastructure Fund and Dreyfus Global Real Estate Securities Fund, as revised, is incorporated by reference to Exhibit (d)(2) of Post-Effective Amendment No. 82.

(e)(1) Distribution Agreement is incorporated by reference to Exhibit (e)(1) of Post-Effective Amendment No. 64 to the Registration Statement on Form N-1A, filed on April 26, 2011. ("Post-Effective Amendment No. 64").

(e)(2) Forms of Broker-Dealer Selling Agreement and Bank Selling Agreement are incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 88 to the Registration Statement on Form N-1A, filed on September 25, 2015 ("Post-Effective Amendment No. 88").

(e)(3) Form of Supplement to Service Agreements is incorporated by reference to Exhibit (e)(3) of Post-Effective Amendment No. 35.

 

(g)(1) Custody Agreement, is incorporated by reference to Exhibit (g)(1) of Post-Effective Amendment No. 64.

(g)(2) Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(2) of Post-Effective Amendment No. 77 to the Registration Statement on Form N-1A, filed on February 28, 2014.

(h)(1) Shareholder Services Plan, as revised, is incorporated by reference to Exhibit (h)(1) of Post-Effective Amendment No. 82.

(h)(2) Transfer Agency Agreement is incorporated by reference to Exhibit (h)(2) of Post-Effective Amendment No. 71.

(i) Opinion and consent of Registrant's counsel is incorporated by reference to Exhibit (i) of Post-Effective Amendment No. 6.

(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 92 to the Registration Statement on Form N-1A, filed on February 26, 2016.

(m) Rule 12b-1 Plan, as revised, is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 82.

(n)(1) Rule 18f-3 Plan, amended as of March 1, 2016.*

(p)(1) Code of Ethics, adopted by Registrant, as revised is incorporated by reference to Exhibit (p)(1) of Post-Effective Amendment No. 86 to the Registration Statement on Form N-1A, filed on April 28, 2015. ("Post-Effective Amendment No. 86").

(p)(2) Codes of Ethics adopted by the Sub-Investment Advisers to the Registrant is incorporated by reference to Exhibit (p)(2) of Post-Effective Amendment No. 28 to the Registration Statement of Form N-1A, filed on February 27, 2001.

(p)(3) Code of Ethics for the Nonmanagement Board Members of The Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(3) of Post-Effective Amendment No. 82.

 Other Exhibits

(a) Power of Attorney is incorporated by reference to Other Exhibit (a) of Post-Effective Amendment No. 86.

(b) Certificate of Secretary is incorporated by reference to Other Exhibit (b) of Post-Effective Amendment No. 55.

__________________________

*Filed herewith.

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

  Not Applicable

Item 30  Indemnification

The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including

 

attorneys' fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, as amended, that no board member or officer of the 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 VII of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of Registrant's Amended and Restated By-Laws, Section 2-418 of the Maryland General Corporation Law, and Section 1.9 of the Distribution Agreement.

Item 31. Business and Other Connections of Investment Adviser.

The Dreyfus Corporation ("Dreyfus") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, 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.

Item 31(b). Business and Other Connections of Sub-Investment Advisers.

With respect to the Dreyfus Global Real Estate Securities Fund, the Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of CenterSquare Investment Management, Inc. (CenterSquare), the sub-investment adviser of the Registrant, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by CenterSquare, 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 CenterSquare (SEC File No. 801-51733).

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

       

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       

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

       
 

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

       

Kim Mustin
Executive Vice President – North American Distribution

MBSC Securities Corporation++

Chief Executive Officer

3/15 - Present

 

MBSC Securities Corporation++

Director

10/14 - Present

       
 

MBSC Securities Corporation++

Executive Vice President

10/14 - 3/15

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

BNY Mellon Investments CTA, LLC*

Manager

3/15 - Present

       
 

BNY Mellon Investments CTA, LLC*

President

3/15 - Present

       

Charles Doumar
Vice President – Tax

Alcentra NY LLC ++

Assistant Treasurer - Tax

9-14 - Present

 

Alcentra US. Inc. ††††

Assistant Treasurer - Tax

9-14 - Present

       
 

Alternative Holdings I, LLC ***

Assistant Treasurer - Tax

1/14 - Present

       
 

Alternative Holdings II, LLC ***

Assistant Treasurer - Tax

1/14 - Present

       
 

Asset Recovery II, LLC ***

Assistant Treasurer

9/13 – Present

       
 

Asset Recovery III, LLC ***

Assistant Treasurer

9/13 – 3/15

       
 

Asset Recovery IV, LLC ***

Assistant Treasurer

9/13 – Present

       
 

Asset Recovery V, LLC ***

Assistant Treasurer

9/13 – Present

       
 

Asset Recovery VII, LLC ***

Assistant Treasurer

9/13 – 3/15

       
 

Asset Recovery IX, LLC ***

Assistant Treasurer

3/14 – 3/15

       
 

Asset Recovery X, LLC ***

Assistant Treasurer

3/14 – 3/15

       
 

Asset Recovery XIII, LLC ***

Assistant Treasurer

3/13 – 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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

BNY Mellon Clearing Holding Company, LLC ***

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Mellon Fixed Income Securities, LLC ***

Assistant Treasurer – Tax

8/13 – Present

       
 

BNY Mellon Trust Company of Illinois *****

Assistant Treasurer – Tax

3/13 – Present

       
 

BNY Mezzanine Funding LLC ******

Assistant Treasurer – Tax

5/13 – Present

       
 

BNY Mezzanine Holdings LLC ******

Assistant Treasurer – Tax

5/13 – Present

       
 

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

Assistant Treasurer – Tax

5/13 – Present

       
 

BNY Mezzanine NY Funding LLC ******

Assistant Treasurer – Tax

5/13 – Present

       
 

BNY Partnership Funding LLC ***

Assistant Treasurer – Tax

7/13 – Present

       
 

BNY Partnership Funding LLC ***

Manager

11/14 – 6/15

       
 

BNY Rail Maintenance LLC ***

Assistant Treasurer – Tax

7/13 – 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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

BNYM GIS Funding I LLC ***

Assistant Treasurer – Tax

6/13 – Present

       
 

BNYM GIS Funding III LLC ***

Assistant Treasurer – Tax

6/13 – Present

       
 

Amherst Capital Management, LLC ***

Assistant Treasurer – Tax

11/14 – Present

       
 

BNYM RECAP Holdings, LLC ***

Assistant Treasurer – Tax

11/14 – Present

       
 

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

Assistant Treasurer – Tax

4/13 – Present

       
 

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

Assistant Treasurer – Tax

4/13 – Present

       
 

Boston Safe Deposit Finance Company, Inc. *

Assistant Treasurer – Tax

7/13 – Present

       
 

CenterSquare Investment Management Holdings, Inc. +++

Assistant Treasurer – Tax

12/13 – Present

       
 

CenterSquare Investment Management, Inc. +++

Assistant Treasurer – Tax

12/13 – Present

       
 

Coates Holding LLC#

Assistant Treasurer – Tax

3/15 - 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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

Stanwich Insurance Agency, Inc. ***

Treasurer

12/13 – Present

       
 

TBC Securities Co., Inc.*

Assistant Treasurer – Tax

6/13 – Present

       
 

TBCAM, LLC *

Assistant Treasurer – Tax

10/13 – Present

       
 

Technology Services Group, Inc. ^^^^^

Assistant Treasurer – Tax

9/13 – Present

       
 

Tennessee Processing Center LLC ^^^^^

Assistant Treasurer – Tax

9/13 – Present

       
 

The Bank of New York Consumer Leasing Corporation***

Assistant Treasurer – Tax

7/13 – Present

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

Albridge Solutions, Inc.

Managing Director

7/11 - Present

       
 

BNY Mellon Distributors Holdings, Inc. #

Vice President -
Real Estate

7/11 - Present

       
 

BNY Mellon Investment Management Services LLC #

Vice President -
Real Estate

10/11 - Present

       
 

BNY Mellon Investment
Servicing (US) Inc. +

Vice President -
Real Estate

7/11 - Present

       
 

BNY Mellon Performance & Risk Analytics, LLC +

Vice President -
Real Estate

7/11 - Present

       
 

BNY Mellon Trust Company of Illinois *****

Vice President -
Real Estate

7/11 - Present

       
 

BNY Mellon Trust of Delaware#

Vice President -
Real Estate

7/11 - Present

       
 

CenterSquare Investment Management Holdings, Inc. +++

Vice President -
Real Estate

10/12 – Present

       
 

Eagle Investment Systems LLC ^^^^

Vice President -
Real Estate

7/11 – Present

       
 

Ivy Asset Management LLC +

Vice President -
Real Estate

7/11 – Present

       
 

MBSC Securities Corporation ++

Vice President -
Real Estate

7/11 – Present

       
 

Mellon Capital Management Corporation**

Vice President -
Real Estate

7/11 – Present

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

BNY Mellon Investment Servicing (US) Inc. #

Assistant Treasurer –Tax

3/11 – Present

       
 

BNY Mellon Investment Servicing Trust Company #

Assistant Treasurer –Tax

3/11 – Present

       
 

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

Assistant Treasurer –Tax

10/11 – Present

       
 

BNY Mellon Performance & Risk Analytics, LLC +

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Mellon Transition Management Advisors, LLC **

Assistant Treasurer –Tax

5/13 – Present

       
 

BNY Mellon Trust Company of
Illinois *****

Assistant Treasurer –Tax

3/11 – Present

       
 

BNY Mezzanine Funding LLC ******

Assistant Treasurer –Tax

6/11 – Present

       
 

BNY Mezzanine Holdings LLC ******

Assistant Treasurer –Tax

5/11 – Present

       
 

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

Assistant Treasurer –Tax

6/11 – Present

       
 

BNY Mezzanine NY Funding

LLC ******

Assistant Treasurer –Tax

6/11 – Present

       
 

BNY Partnership Funding LLC ***

Assistant Treasurer –Tax

7/11 – Present

       
 

BNY Rail Maintenance LLC ***

Assistant Treasurer –Tax

7/11 – 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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

BNYM GIS Funding I LLC ***

Assistant Treasurer –Tax

6/12 – Present

       
 

BNYM GIS Funding III LLC ***

Assistant Treasurer –Tax

6/12 – Present

       
 

Amherst Capital Management LLC ***

Assistant Treasurer –Tax

11/14 – Present

       
 

BNYM RECAP Holdings, LLC ***

Assistant Treasurer –Tax

11/14 – Present

       
 

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

Assistant Treasurer –Tax

4/11 – Present

       
 

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

Assistant Treasurer –Tax

4/11 – Present

       
 

Boston Safe Deposit Finance Company, Inc. *

Assistant Treasurer –Tax

7/11 – Present

       
 

CenterSquare Investment Management Holdings, Inc. +++

Assistant Treasurer –Tax

2/13 – Present

       
 

CenterSquare Investment Management, Inc. +++

Assistant Treasurer –Tax

2/13 – Present

       
 

Coates Holding LLC#

Assistant Treasurer – Tax

3/15 - Present

       
 

Colson Services Corp. ^

Assistant Treasurer –Tax

2/11 – Present

       
 

Cutwater Asset Management Corp. +++++

Assistant Treasurer – Tax

1/15 - Present

       
 

Cutwater Holdings LLC +++++

Assistant Treasurer – Tax

1//15 - Present

       
 

Cutwater Investor Services Corp. +++++

Assistant Treasurer - Tax  

1/15 - Present

       
 

EACM Advisors LLC ^^

Assistant Treasurer –Tax

4/14 – Present

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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

       
 

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

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

       
 

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

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Pershing Group LLC ###

Assistant Treasurer –Tax

4/11 – Present

       
 

Pershing Investments LLC ***

Assistant Treasurer –Tax

2/11 – Present

       
 

Pershing LLC ###

Assistant Treasurer –Tax

4/11 – Present

       
 

PFS Holdings, LLC ***

Assistant Treasurer –Tax

1/12 – Present

       
 

Standish Mellon Asset Management Company LLC

Assistant Treasurer –Tax

11/14 - Present

       
 

Stanwich Insurance Agency, Inc. ***

Assistant Treasurer –Tax

12/11 – Present

       
 

TBC Securities Co., Inc. *

Assistant Treasurer –Tax

7/11 – Present

       
 

TBCAM, LLC *

Assistant Treasurer –Tax

10/13 – Present

       
 

Technology Services Group,
Inc. ^^^^^

Assistant Treasurer –Tax

5/11 – Present

       
 

Tennessee Processing Center

LLC ^^^^^

Assistant Treasurer –Tax

9/11 – Present

       
 

The Bank of New York Consumer Leasing Corporation ***

Assistant Treasurer –Tax

5/11 – Present

       
 

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

Assistant Treasurer

10/13 - Present

       
 

The Boston Company Asset Management, LLC *

Assistant Treasurer –Tax

6/11 – Present

       
 

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

       

 

       

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 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 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. 

Dreyfus Short Duration Bond Fund

46. 

The Dreyfus Socially Responsible Growth Fund, Inc.

47. 

Dreyfus Stock Index Fund, Inc.

48. 

Dreyfus Tax Exempt Cash Management Funds

49. 

The Dreyfus Third Century Fund, Inc.

50. 

Dreyfus Treasury & Agency Cash Management

51. 

Dreyfus Treasury Prime Cash Management

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

Kimberly M. Mustin†††

Chief Executive Officer and Director

None

Paul D. Nobile†††

Executive Vice President

None

Christopher D. O'Connor†††

Executive Vice President

None

Irene Papadoulis**

Executive Vice President

None

Matthew Perrone*****

Executive Vice President

None

Cheryl M. Pipia†††

Executive Vice President

None

Bradley J. Skapyak*

Executive Vice President

President

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

 

     

(b)

   

Name and principal
Business address

Positions and offices with the Distributor

Positions and Offices with Registrant

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

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 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 1st day of March 2016.

Dreyfus Premier Investment 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)

 

3/01/2016

Bradley J. Skapyak

       

/s/ James Windels*

 

Treasurer (Principal Financial
and Accounting Officer)

 

3/01/2016

James Windels

       

/s/ Joseph S. DiMartino*

 

Chairman of the Board

 

3/01/2016

Joseph S. DiMartino

       

/s/ Peggy C. Davis*

 

Board Member

 

3/01/2016

Peggy C. Davis

       

/s/ David P. Feldman*

 

Board Member

 

3/01/2016

David P. Feldman

       

/s/ Ehud Houminer*

 

Board Member

 

3/01/2016

Ehud Houminer

       

/s/ Lynn Martin*

 

Board Member

 

3/01/2016

Lynn Martin

       

/s/ Robin A. Melvin*

 

Board Member

 

3/01/2016

Robin A. Melvin

       

/s/ Martin Peretz*

 

Board Member

 

3/01/2016

Martin Peretz

       

 

   

*BY:

/s/ Janette Farragher

 

Janette Farragher
Attorney-in-Fact

 

INDEX OF EXHIBITS

Exhibits

 

   

(n)(1)

Rule 18f-3 Plan, as amended.

 

EX-99.N 18F-3 PLAN 2 rule18f3plan092.htm RULE 18F-3 PLAN rule18f3plan092.htm - Generated by SEC Publisher for SEC Filing

THE DREYFUS FAMILY OF FUNDS

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

Rule 18f-3 Plan

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

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

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

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

3.         Differences in Distribution Arrangements:  Class A shares shall be offered with a front-end sales charge, as such term is defined under the Conduct Rules of the Financial Industry Regulatory Authority (the "FINRA Conduct Rules"), and a deferred sales charge (a "CDSC"), as such term is defined under the FINRA Conduct Rules, may be assessed on certain redemptions of Class A shares, including Class A shares purchased without an initial sales charge as part of an investment of $1 million or more.  The amount of the sales charge and the amount of and provisions relating to the CDSC pertaining to the Class A shares are set forth on Schedule B attached hereto.


 

Class C shares shall not be subject to a front-end sales charge, but shall be subject to a CDSC and shall be charged an annual distribution fee under a Distribution Plan adopted pursuant to Rule 12b-1 under the 1940 Act.  The amount of and provisions relating to the CDSC, and the amount of the fees under the Distribution Plan pertaining to the Class C shares, are set forth on Schedule C attached hereto.

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

-2-


 

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

Class A and Class C shares shall be subject to an annual service fee at the rate of .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.

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

-3-


 

Class Z shares shall be offered at net asset value only to certain shareholders as set forth on Schedule A hereto.  Class Z shares shall be subject to an annual service fee at the rate of up to .25% of the value of the average daily net assets of such Class pursuant to a Shareholder Services Plan.

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

5.         Conversion Features:  No Class shall be subject to any automatic conversion feature.  Shares of one Class of a Fund may be converted into shares of another Class of the Fund, provided the shareholder requesting the conversion meets the eligibility requirements for the purchase of the new Class of shares of the Fund.  Shares subject to a CDSC or a redemption fee at the time of the requested conversion shall not be eligible for conversion.

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

Amended as of:  March 1, 2016

-4-


 

SCHEDULE A

Name of Fund

Date Plan Adopted

 

 

Advantage Funds, Inc.

February 25, 1999                       

 

(Revised as of January 22, 2016)

--Dreyfus Strategic Value Fund*†††

 

--Dreyfus Structured Midcap Fund*†††

 

--Dreyfus Technology Growth Fund

 

--Dynamic Total Return Fund*†††

 

--Dreyfus Opportunistic Midcap Value Fund*†††

 

--Dreyfus Global Real Return Fund*†††

 

--Dreyfus Global Dynamic Bond Fund*†††

 

--Dreyfus Total Emerging Markets Fund*†††

 

--Dreyfus Opportunistic U.S. Stock Fund*†††

 

 

 

BNY Mellon Absolute Insight Funds, Inc.

November 3, 2015

 

 

--BNY Mellon Absolute Insight Multi-Strategy Fund*†††

 

 

 

Dreyfus BNY Mellon Funds, Inc.

December 17, 2013

 

(Revised as of June 30, 2015)

--Dreyfus Alternative Diversifier Strategies Fund*

 

--Dreyfus Emerging Markets Debt U.S. Dollar Fund*†††

 

--Dreyfus Global Emerging Markets Fund*†††

 

--Dreyfus Select Managers Long/Short Fund*†††

 

--Dreyfus Yield Enhancement Strategy Fund*

 

 

 

Dreyfus International Funds, Inc.

September 9, 2002

 

(Revised as of August 22, 2014)

--Dreyfus Emerging Markets Fund*†††###

 

 

 

Dreyfus Investment Funds

December 3, 2008

 

(Revised as of February 21, 2014)

--Dreyfus/Newton International Equity Fund*†††

 

--Dreyfus Diversified Emerging Markets Fund*

 

--Dreyfus/The Boston Company Small Cap Growth Fund****†††

 

--Dreyfus/The Boston Company Small/Mid Cap Growth Fund*†††

 

--Dreyfus/The Boston Company Small Cap Value Fund***††

 

--Dreyfus Tax Sensitive Total Return Bond Fund*†††

 

--Dreyfus/Standish Global Fixed Income Fund*†††

 

 

 

Dreyfus Investment Grade Funds, Inc.

October 18, 2007

 

(Revised as of July 1, 2013)

--Dreyfus Intermediate Term Income Fund*†††

 

 

 

Dreyfus Manager Funds I

November 17, 2003

 

(Revised as of July 1, 2013)

--Dreyfus Research Long/Short Equity Fund*†††

 

 

 

 

 

A-1


 

SCHEDULE A (continued)

Name of Fund

Date Plan Adopted

 

 

Dreyfus Manager Funds II

October 14, 2003

 

(Revised as of March 13, 2012)

--Dreyfus Balanced Opportunity Fund**††#

 

 

 

Dreyfus Opportunity Funds

April 17, 2000

 

(Revised as of July 23, 2015)

--Dreyfus Natural Resources Fund*†††

 

--Dreyfus Strategic Beta Emerging Markets Equity Fund*†††

 

--Dreyfus Strategic Beta Global Equity Fund*†††

 

--Dreyfus Strategic Beta U.S. Equity Fund*†††

 

 

 

Dreyfus Premier Investment Funds, Inc.

April 24, 1995

 

(Revised as of September 18, 2015)

--Dreyfus Diversified International Fund*

 

--Dreyfus Global Real Estate Securities Fund*†††

 

--Dreyfus Large Cap Equity Fund*†††

 

--Dreyfus Large Cap Growth Fund*†††

 

--Dreyfus Global Infrastructure Fund*†††

 

 

 

Dreyfus Premier Worldwide Growth Fund, Inc.

April 12, 1995

 

(Revised as of July 1, 2013)

--Dreyfus Worldwide Growth Fund*†††###

 

 

 

Dreyfus Stock Funds

January 27, 2003

 

(Revised as of May 4, 2015)

--Dreyfus International Equity Fund*†††

 

--Dreyfus Small Cap Equity Fund††

 

--Dreyfus International Small Cap Fund*†††

 

 

 

Dreyfus Research Growth Fund, Inc.*†††##

July 15, 2008

 

(Revised as of July 1, 2013)

 

 

The Dreyfus/Laurel Funds, Inc.

April 20, 2006

 

(Revised as of June 30, 2015)

--Dreyfus Opportunistic Fixed Income Fund*†††

 

--Dreyfus Floating Rate Income Fund*†††

 

 

 

The Dreyfus/Laurel Funds Trust

December 20, 2005

 

(Revised as of July 1, 2013)

--Dreyfus Emerging Markets Debt Local Currency Fund*†††

 

--Dreyfus Equity Income Fund*†††

 

--Dreyfus Global Equity Income Fund*†††

 

--Dreyfus International Bond Fund*†††

 

 

A-2


 

SCHEDULE A (continued)

Name of Fund

Date Plan Adopted

 

 

Strategic Funds, Inc.

September 17, 2002

 

(Revised as of July 27, 2015)

--Dreyfus Active MidCap Fund*†††###

 

--Global Stock Fund*†††

 

--International Stock Fund*†††

 

--Dreyfus U.S. Equity Fund*†††

 

--Dreyfus Select Managers Small Cap Value Fund*†††

 

--Dreyfus Select Managers Small Cap Growth Fund*†††

 

--Dreyfus MLP Fund*†††

 

________________________

 

*

The Fund also offers Class Y shares.

**

The Fund also offers Class J shares only to shareholders who received Class J shares in exchange for shares of its predecessor fund as a result of the reorganization of such fund.

***

The Fund offers Class A and Class I shares only.

****

The Fund offers Class I and Class Y shares only.

The Fund offers Class I shares to certain funds in the Dreyfus Family of Funds and unaffiliated investment companies approved by the Fund's Distributor.

††

The Fund offers Class I shares to unaffiliated investment companies approved by the Fund's Distributor.

†††

The Fund offers Class Y shares to certain funds in the Dreyfus Family of Funds and series of BNY Mellon Funds Trust and offers Class I shares to unaffiliated investment companies approved by the Fund's Distributor.

#

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

##

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

###

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

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

 

A-3


 

SCHEDULE B

Front-End Sales Charge—Class A Shares—Effective December 1, 1996, the public offering price for Class A shares, except as otherwise set forth herein, shall be the net asset value per share of Class A plus a sales load as shown below:

 

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

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

5.75

 

6.10

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

4.50

 

4.70

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

3.50

 

3.60

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

2.50

 

2.60

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

2.00

 

2.00

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

-0-

 

-0-

 

 

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

 

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

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

4.50

 

4.70

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

4.00

 

4.20

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

3.00

 

3.10

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

2.50

 

2.60

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

2.00

 

2.00

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

-0-

 

-0-

 

B-1


 

SCHEDULE B (continued)

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

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

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

2.50

 

2.60

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

2.00

 

2.10

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

1.50

 

1.52

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

1.00

 

1.01

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

-0-

 

-0-

 

 

Front-End Sales Charge—Class A Shares—Shareholders Beneficially Owning Class A Shares on November 30, 1996—For shareholders who beneficially owned Class A shares of a Fund on November 30, 1996, the public offering price for Class A shares of such Fund purchased directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, except as otherwise set forth herein, shall be the net asset value per share of Class A plus a sales load as shown below:

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

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

4.50

 

4.70

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

4.00

 

4.20

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

3.00

 

3.10

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

2.50

 

2.60

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

2.00

 

2.00

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

-0-

 

-0-

 

B-2


 

SCHEDULE B (continued)

Front-End Sales Charge—Class A Shares of Dreyfus Active MidCap Fund Only—For shareholders who beneficially owned Class A shares of Dreyfus Premier Aggressive Growth Fund on December 31, 1995* and who received Class A shares of Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund) as a result of the merger of such fund into Dreyfus Active MidCap Fund on March 28, 2003, the public offering price for Class A shares of Dreyfus Active MidCap Fund purchased directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, shall be the net asset value per share of Class A plus a sales load as shown below:

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

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

3.00

 

3.10

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

2.75

 

2.80

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

2.25

 

2.30

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

2.00

 

2.00

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

-0-

 

-0-

 

Front-End Sales Charge—Class A Shares—Shareholders Who Received Class A Shares of a Fund in Exchange for Class T Shares of the Fund on February 4, 2009—For shareholders who received Class A shares of a Fund in exchange for Class T shares of the Fund on February 4, 2009, the public offering price for Class A shares of such Fund purchased directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, except as otherwise set forth herein, shall be the net asset value per share of Class A plus a sales load as shown below:

 

Total Sales Load

 

Amount of Transaction

As a % of offering price per share

 

As a % of

net asset value per share

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

4.50

 

4.70

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

4.00

 

4.20

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

3.00

 

3.10

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

2.00

 

2.00

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

1.50

 

1.50

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

-0-

 

-0-

__________________

*       At a meeting held on March 7, 2003, shareholders of Dreyfus Premier Aggressive Growth Fund voted to merge such fund into Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund).  In addition, at a meeting held on December 16, 1996, shareholders of Dreyfus Premier Strategic Growth Fund voted to merge such fund into Dreyfus Premier Aggressive Growth Fund.  Shareholders of Dreyfus Premier Aggressive Growth Fund who received Class A shares of Dreyfus Active MidCap Fund and shareholders of Dreyfus Premier Strategic Growth Fund who received Class A shares of Dreyfus Premier Aggressive Growth Fund in the respective merger are deemed to have beneficially owned such shares as of the date they beneficially owned Class A shares of the merging fund for purposes of the front-end sales charge applicable to purchases of Class A shares of Dreyfus Active MidCap Fund by such former shareholders of Dreyfus Premier Aggressive Growth Fund.

B-3


 

SCHEDULE B (continued)

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

Class A Shares of Dreyfus Technology Growth Fund, Dreyfus Strategic Value Fund, Dreyfus Emerging Markets Fund, Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund), Dreyfus Intermediate Term Income Fund and Dreyfus Opportunistic Midcap Value Fund Only—Shareholders beneficially owning Class A shares of Dreyfus Technology Growth Fund on April 15, 1999, Dreyfus Strategic Value Fund on May 31, 2001, Dreyfus Emerging Markets Fund on November 11, 2002, Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund) on November 25, 2002, Dreyfus Intermediate Term Income Fund on May 13, 2008 and Dreyfus Opportunistic Midcap Value Fund on May 29, 2008, may purchase Class A shares of such Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of the Fund without imposition of a CDSC. 

Shareholders of Dreyfus Aggressive Growth Fund who received Class A shares of Dreyfus Active MidCap Fund (formerly, Dreyfus New Leaders Fund) as a result of the merger of such fund into Dreyfus Active MidCap Fund on March 28, 2003 may purchase Class A shares of Dreyfus Active MidCap Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Active MidCap Fund without imposition of a CDSC for as long as the shareholder's account is open. 

Shareholders of Dreyfus Large Company Value Fund who received Class A shares of Dreyfus Strategic Value Fund as a result of the merger of such fund into Dreyfus Strategic Value Fund on April 18, 2005 may purchase Class A shares of Dreyfus Strategic Value Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Strategic Value Fund without imposition of a CDSC for as long as the shareholder's account is open. 

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

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

B-4


 

SCHEDULE B (continued)

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

Shareholders of Dreyfus Global Growth Fund who received Class A shares of Dreyfus Worldwide Growth Fund as a result of the merger of such fund into Dreyfus Worldwide Growth Fund on August 28, 2002 may purchase Class A shares of Dreyfus Worldwide Growth Fund directly through the Fund's Distributor, for Fund accounts maintained with the Distributor, at net asset value without a front-end sales charge and redeem such Class A shares of Dreyfus Worldwide Growth Fund without imposition of a CDSC for as long as the shareholder's account is open.

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

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

•     Full-time or part-time employees, and their family members, of The Dreyfus Corporation or any of its affiliates.

•     Board members of The Dreyfus Corporation and Board members of the Dreyfus Family of Funds.

•     Full-time employees, and their family members, of financial institutions that have entered into selling agreements with the Fund's Distributor.

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

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

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

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

B-5


 

SCHEDULE B (continued)

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

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

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

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

 

 

 

 

B-6


 

SCHEDULE C

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

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

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

Waiver of CDSC—The CDSC shall be waived in connection with (a) redemptions made within one year after the death or disability, as defined in Section 72(m)(7) of the Code, of the shareholder, (b) redemptions by Retirement Plans, provided that the shares being redeemed were purchased through a financial intermediary that performs recordkeeping or other administrative services for the Retirement Plan and has entered into an agreement with the Fund's Distributor relating to such services, or were purchased directly through the Fund's Distributor, (c) redemptions as a result of a combination of any investment company with the Fund by merger, acquisition of assets or otherwise, (d) redemptions due to receiving applicable required minimum distributions from IRA accounts (other than Roth IRAs or Coverdell Education Savings Accounts) upon attaining age 70-1/2, and (e) redemptions pursuant to any systematic withdrawal plan as described in the Fund's prospectus.  The CDSC also shall be waived in connection with redemptions by Retirement Plans of Fund shares purchased on or before January 31, 2016.  If a CDSC waiver is discontinued, Fund shares subject to a CDSC which were purchased prior to the termination of such waiver shall have the CDSC waived as provided in the Fund's prospectus at the time of the purchase of such shares.

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

 

C-1