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Dreyfus Sustainable U.S. Equity Fund

Filed: 13 Dec 17, 7:00pm

File No.2-40341

811-02192

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. 88  [X]

and/or

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

 Amendment No. 88  [X]

(Check appropriate box or boxes.)

The Dreyfus Sustainable U.S. Equity Fund, Inc.

(Exact Name of Registrant as Specified in Charter)

c/o The Dreyfus Corporation

200 Park Avenue, New York, New York 10166

(Address of Principal Executive Offices) (Zip Code)

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

Bennett A. MacDougall, Esq.

200 Park Avenue

New York, New York 10166

(Name and Address of Agent for Service)

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

 

Explanatory Note

This Post-Effective Amendment consists of the following:

1. Facing Sheet of the Registration Statement.

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

3. Exhibit (n) to item 28 to the Registration Statement.

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

Part A of Post-Effective Amendment No. 86 to the Registration Statement on Form N-1A was filed on September 27, 2017 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein

 

The Statement of Additional Information for the Registrant was filed on November 30, 2017 pursuant to Rule 497(e) under the Securities Act of 1933, as amended, and is incorporated by reference herein.

 

 


THE DREYFUS SUSTAINABLE U.S. EQUITY FUND, INC.

PART C. OTHER INFORMATION

Item 28. Exhibits

(a)(1) Registrant's Articles of Incorporation in the State of Maryland are incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 21 to the Registration Statement on Form N-1A, filed on July 30, 1982.

(a)(2) Articles of Amendment and Restatement are incorporated by reference to Exhibit (a)(2) of Post-Effective Amendment No. 48 to the Registration Statement on Form N-1A, filed on September 25, 2000.

(a)(3) Articles Supplementary are incorporated by reference to Exhibit (a)(3) of Post-Effective Amendment No. 76 to the Registration Statement on Form N-1A, filed on September 28, 2016.

(a)(4) Articles Supplementary are incorporated by reference to Exhibit (a)(4) of Post-Effective Amendment No. 79 to the Registration Statement on Form N-1A, filed on March 23, 2017 (“Post-Effective Amendment No. 79”).

(a)(5) Articles of Amendment are incorporated by reference to Exhibit (a)(5) of Post-Effective Amendment No. 83 to the Registration Statement on Form N-1A, filed on April 28, 2017 ("Post-Effective Amendment No. 83").

(b) Amended and Restated By-Laws are incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 63 to the Registration Statement on Form N-1A, filed on September 28, 2011 (“Post-Effective Amendment No. 63”).

(d)(1) Management Agreement is incorporated by reference to Exhibit (d)(1) of Post-Effective Amendment No. 83.

(d)(2) Sub-Investment Advisory Agreement is incorporated by reference to Exhibit (d)(2) of Post-Effective Amendment No. 83.

(e)(1) Amended and Restated Distribution Agreement is incorporated by reference to Exhibit (e)(1) of Post-Effective Amendment No. 86 to the Registration Statement on Form N-1A, filed on September 27, 2017 (“Post-Effective Amendment No. 86”).

(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. 86.

(e)(3) Form of Supplemental Service Agreement is incorporated by reference to Exhibit (e)(3) of Post-Effective Amendment No. 57 to the Registration Statement on Form N-1A, filed on September 26, 2007.

 

(e)(4) Form of Service Agreement is incorporated by reference to Exhibit (e)(4) of Post-Effective Amendment No. 79.

(f) The documents making up model plans in the establishment of retirement plans in conjunction with which Registrant offers its securities is incorporated by reference to Exhibit (14) of Post-Effective Amendment No. 16 to the Registration Statement on Form N-1A, filed on August 24, 1979.

(g)(1) Custody Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 63.

(g)(2) Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(2) of Post-Effective Amendment No. 70 to the Registration Statement on Form N-1A, filed on September 24, 2014.

(g)(3) Second Amendment to Custody Agreement is incorporated by reference to Exhibit (a)(4) of Post-Effective Amendment No. 79.

(h)(1) Shareholder Services Plan is incorporated by reference to Exhibit (h)(1) of Post-Effective Amendment No. 86.

(h)(2) Transfer Agency Agreement is incorporated by reference to Exhibit (h)(2) of Post-Effective Amendment No. 66 to the Registration Statement on Form N-1A, filed on September 26, 2012.

(i) Opinion and consent of Registrant's counsel is incorporated by reference to Exhibit (3) of Post-Effective Amendment No. 1 to the Registration Statement on Form S-5, filed on March 29, 1972.

(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 86.

(m)(1) Rule 12b-1 Distribution Plan is incorporated by reference to Exhibit (m) of Post-Effective Amendment No. 86.

(m)(2) Rule 12b-1 Service Plan is incorporated by reference to Exhibit (m)(2) of Post-Effective Amendment No. 86.

(n) Rule 18f-3 Plan, amended as of December 15, 2017.*

(p)(1) Code of Ethics adopted by Registrant, dated November 3, 2014 is incorporated by reference to Exhibit (p)(1) of Post-Effective Amendment No. 72 to the Registration Statement on Form N-1A, filed on September 25, 2015.

(p)(2) Code of Ethics for the Non-management Board Members of The Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(2) of Post-Effective Amendment No. 61 to the Registration Statement on Form N-1A, filed on September 24, 2010.

 

  Other Exhibits

(a) Powers of Attorney of certain officers and directors of Registrant, dated March 1, 2017 and March 16, 2017 are incorporated by reference to Exhibit (a) of Post-Effective Amendment No. 79.

  

______________

* Filed herewith.

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

  Not Applicable

Item 30. Indemnification

The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including attorneys' fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, as amended, that no board member or officer of a fund may be protected against liability for willful misfeasance, bad faith, gross negligence or reckless disregard for the duties of his or her office. Reference is hereby made to the following: Article VII of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of Registrant's Amended and Restated Bylaws, Section 2-418 of the Maryland General Corporation Law and Section 1.10 of the Amended and Restated Distribution Agreement.

Item 31(a). 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 other investment companies sponsored by Dreyfus and other investment companies for which Dreyfus acts as an investment adviser, sub-investment adviser or administrator.

 

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

The Registrant is fulfilling the requirement of this Item 31(b) to provide a list of the officers and directors of Newton Investment Management (North America) Limited (Newton), 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 Newton, 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 Newton (SEC File No. 801-42114).

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

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

Mark Santero
Chief Executive Officer, President and Director

Alcentra US, Inc.††††

Director

9/14 – 7/16

 

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

Director

5/15 – 7/16

    
 

BNY Mellon Asset Management Canada Limited++++++

Director

5/16 - Present

    
 

Mellon Canada Holding Company++++++

Director

5/16- Present

    
 

Mellon Capital Management Corporation**

Director

4/15 – 7/16

    
 

Mellon Global Investing Corp.+

Director

5/15 - Present

    
 

USPLP, Inc.*******

Director

12/15 - 5/16

    
 

Alcentra NY, LLC++

Manager

9/14 – 7/16

    
 

Alternative Holdings I, LLC

Manager

4/16 – 7/16

    
 

BNY Investment Strategy and Solutions Group, LLC*

Manager

6/15 – 7/16

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

EACM Advisors LLC^^

Manager

12/15 – 7/16

    
 

Standish Mellon Asset Management Company LLC*

Manager

9/14 - 7/16

    
 

The Boston Company Asset Management, LLC*

Manager

9/14 – 7/16

    
 

The Boston Company Asset Management, LLC*

Manager

6/14 – 7/14

    
 

MAM (MA) Holding Trust*

Trustee

12/15 - Present

    
 

BNY Mellon, National Association++++

Executive Vice President

5/14 - Present

    
 

The Bank of New York Mellon*******

Executive Vice President

5/14 - Present

    

Diane P. Durnin
Vice Chair and Director

MBSC Securities Corporation++

Executive Vice President

3/15 - Present

 

Sumday Holdings LLC

Manager

2/16 - Present

    

Bradley J. Skapyak
Chief Operating Officer and Director

MBSC Securities Corporation++

Chief Executive Officer

Director

8/16 – Present

8/16 - Present

 

MBSC Securities Corporation++

Executive Vice President

6/07 – 8/16

 

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

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

MBSC Securities Corporation++

Chief Compliance Officer

1/06 - 1/16

    

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

    

Alban J. Miranda

Chief Financial Officer

Resources Global Professionals

7 Times Square, Suite 2600

New York, NY 10036

Senior Program Manager/Consultant

10/15 - 5/16

 

P.K. Gupta Certified Public Accountants

425 Broadhollow Road

Melville, NY 11747

Senior Partner

6/13 - 9/15

    

Katherine Scott
Chief Risk Officer

MBSC Securities Corporation++

Chief Risk Officer

2/14-Present

    

Peter Arcabascio

Vice President – Distribution

BNY Mellon Investment Management*

Senior Vice President

7/06-Present

 

BNY Investment Strategy and Solutions Group, LLC*

Manager

6/15- Present

    

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

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 – 3/16

    
 

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 – 6/16

    
 

Asset Recovery XVII, LLC***

Assistant Treasurer

3/13 – 3/15

    
 

Asset Recovery XVIII, LLC***

Assistant Treasurer

7/13 – 3/15

    
 

Asset Recovery XX, LLC***

Assistant Treasurer

7/13 – Present

    
 

Asset Recovery XXI, LLC***

Assistant Treasurer

7/13 – 3/15

    
 

Asset Recovery XXII, LLC***

Assistant Treasurer

7/13 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

Asset Recovery XXIII, LLC***

Assistant Treasurer

7/13 – 6/16

    
 

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

    
 

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 – 5/16

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

Airlease Incorporated†††

Assistant Treasurer – Tax

7/13 – 12/15

    
 

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 – 12/15

    
 

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 – 12/15

    
 

BNY Catair LLC†††

Assistant Treasurer – Tax

7/13 – 10/15

    
 

BNYM CSIM Funding LLC +++

Assistant Treasurer – Tax

7/14 – Present

    
 

BNY Falcon Three Holding Corp. ***

Assistant Treasurer – Tax

7/13 – Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

BNY Foreign Holdings, Inc.***

Assistant Treasurer – Tax

10/13 – Present

    
 

BNY Gator LLC***

Assistant Treasurer – Tax

7/13 – 10/15

    
 

BNY Hitchcock Holdings LLC***

Assistant Treasurer – Tax

7/13 – 12/15

    
 

BNY Housing I Corp.†††

Assistant Treasurer – Tax

7/13 – 12/15

    
 

BNY Housing II LLC***

Assistant Treasurer – Tax

7/13 – 12/15

    
 

BNY ITC Leasing, LLC***

Assistant Treasurer – Tax

7/13 – 12/15

    
 

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

Assistant Treasurer – Tax

7/13 – Present

    
 

BNY Lease Holdings LLC***

Assistant Treasurer – Tax

7/13 – 12/15

    
 

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 – 5/16

    
 

BNY Mellon Capital Markets, LLC^^^^^

Assistant Treasurer – Tax

7/13 – Present

    
 

BNY Mellon Clearing, LLC***

Assistant Treasurer – Tax

3/16 – Present

    
 

BNY Mellon Clearing Holding Company, LLC***

Assistant Treasurer – Tax

7/13 – Present

    
 

BNY Mellon Fixed Income Securities, LLC***

Assistant Treasurer – Tax

8/13 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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 – 10/15

    
 

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 – 12/15

    
 

BNY Wings, Inc.†††

Assistant Treasurer – Tax

7/13 – 12/15

    
 

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

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 – 6/16

    
 

Colson Services Corp.^

Assistant Treasurer – Tax

3/14 - Present

    
 

Cutwater Asset Management Corp. +++++

Assistant Treasurer – Tax

1/15 - Present

    
 

Cutwater Holdings LLC +++++

Assistant Treasurer – Tax

1//15 - Present

    
 

Cutwater Investor Services Corp. +++++

Assistant Treasurer - Tax  

1/15 - Present

    
 

Dreyfus Service Organization, Inc.++

Assistant Treasurer – Tax

3/14 - Present

    
 

EACM Advisors LLC^^

Assistant Treasurer – Tax

1/14 - Present

    
 

Eagle Access LLC^^^

Assistant Treasurer – Tax

1/14 - Present

    
 

Eagle Investment Systems LLC^^^^

Assistant Treasurer – Tax

1/14 - Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 – 3/16

    
 

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 – 12/15

    
 

IRE-BC, Inc.†††

Assistant Treasurer – Tax

7/13 – 12/15

    
 

IRE-SB, Inc.†††

Assistant Treasurer – Tax

7/13 – 12/15

    
 

Island Waterworks, Inc.†††

Assistant Treasurer – Tax

7/13 – Present

    
 

ITCMED, Inc.***

Assistant Treasurer – Tax

6/13 – 5/15

    
 

JRHC 1998A LLC####

Assistant Treasurer – Tax

12/13 – Present

    
 

Lockwood Advisors, Inc. ######

Assistant Treasurer – Tax

3/14 - Present

    
 

Lockwood Insurance, Inc. ######

Assistant Treasurer – Tax

8/14 - Present

    
 

Lockwood Solutions, Inc. ######

Assistant Treasurer – Tax

3/14 - Present

    
 

Lease Equities (Texas) Corporation#####

Assistant Treasurer – Tax

7/13 – Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

Mellon EFT Services†††††

Assistant Treasurer - Tax

10/15 - Present

    
 

MELDEL Leasing Corporation Number 2, Inc. #

Assistant Treasurer – Tax

9/13 – Present

    
 

Mellon Financial Services Corporation #1+

Assistant Treasurer – Tax

7/13 – Present

    
 

Mellon Financial Services Corporation #4+

Assistant Treasurer – Tax

9/13 – Present

    
 

Mellon Funding Corporation+

Assistant Treasurer – Tax

3/14 - Present

    
 

Mellon Global Investing Corp.+

Assistant Treasurer – Tax

5/14 - Present

    
 

Mellon International Leasing Company#

Assistant Treasurer – Tax

8/14 – 12/15

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Mellon Investor Services Holdings LLC
+++++++

Assistant Treasurer – Tax

8/16 – Present

    
 

Mellon Leasing Corporation+

Assistant Treasurer – Tax

7/13 – Present

    
 

Mellon Life Insurance Company+

Assistant Treasurer – Tax

10/13 – Present

    
 

Mellon Overseas Investment Corporation***

Assistant Treasurer – Tax

12/13 - Present

    
 

Mellon Properties Company****

Assistant Treasurer – Tax

8/13 – Present

    
 

Mellon Residential Funding Corporation++++

Assistant Treasurer - Tax

4/14 – 3/16

    
 

National Residential Assets Corp.***

Assistant Treasurer – Tax

4/13 – Present

    
 

New GSM Holding Corporation^^^^

Assistant Treasurer – Tax

7/13 – 12/15

    
 

Newton Capital Management LLC.***

Assistant Treasurer – Tax

8/14 - Present

    
 

Northern Waterworks, Inc.†††

Assistant Treasurer – Tax

7/13 – 12/15

    
 

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

    
 

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

    
 

Tiber Capital Management LLC++

Assistant Treasurer – Tax

8/15 – 7/16

    
 

USPLP, Inc. *******

Assistant Treasurer – Tax

10/13 – 5/16

    
 

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

    
    

Tracy A. Hopkins

Vice President - Cash Strategies

MBSC Securities Corporation++

Executive Vice President
Senior Vice President

2/14 – Present
2/08 – 2/14

    

Anthony Mayo
Vice President – Information Systems

MBSC Securities Corporation++

Chief Technology Officer

4/14 – Present

    
    

Kathleen Geis
Vice President

BNY Mellon International Operations (India) Private Limited

Director

5/05 - Present

    
 

BNY Mellon, National Association+

Managing Director

7/09 – 10/14

    
 

Albridge Solutions, Inc.

Managing Director

7/11 - Present

    
 

BNY Mellon Distributors Holdings, Inc. #

Vice President -
Real Estate

7/11 - Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

Mellon Financial Services

Corporation #1+

Vice President -
Real Estate

7/11 – Present

    
 

Mellon Holdings LLC++

Vice President -
Real Estate

7/11 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

Mellon Investor Services Holdings LLC+++++++

Vice President -
Real Estate

8/16 - 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

    
 

MBSC Securities Corporation++

Vice President – Tax

2/12 - Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 – 3/16

    
 

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 – 6/16

    
 

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 – 6/16

    
 

BNY Mellon Investments CTA, LLC*

Assistant Treasurer

9/13 – Present

    
 

BNY Mellon Trust of Delaware#

Assistant Treasurer

11/11 – Present

    
 

Mellon Hedge Advisors, LLC*

Assistant Treasurer

10/11 – Present

    
 

Mellon Holdings LLC++

Assistant Treasurer

12/11 – Present

    
 

MUNB Loan Holdings, LLC***

Assistant Treasurer

10/11 – Present

    
 

484 Wall Capital Management LLC

Assistant Treasurer -Tax

10/13 – 5/16

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Airlease Incorporated†††

Assistant Treasurer -Tax

7/11 – 12/15

    
 

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 – 12/15

    
 

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 – 12/15

    
 

BNY Catair LLC†††

Assistant Treasurer –Tax

7/11 – 10/15

    
 

BNY Falcon Three Holding Corp.***

Assistant Treasurer –Tax

7/11 – Present

    
 

BNY Foreign Holdings, Inc.***

Assistant Treasurer –Tax

9/11 – Present

    
 

BNY Gator LLC***

Assistant Treasurer –Tax

7/11 – 10/15

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

BNY Hitchcock Holdings LLC***

Assistant Treasurer –Tax

7/11 – 12/15

    
 

BNY Housing I Corp.†††

Assistant Treasurer –Tax

7/11 – 12/15

    
 

BNY Housing II LLC***

Assistant Treasurer –Tax

7/11 – 10/15

    
 

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 – 12/15

    
 

BNY Lease Partners LLC***

Assistant Treasurer –Tax

9/11 – Present

    
 

BNY Leasing Edge Corporation***

Assistant Treasurer –Tax

7/11 – Present

    
 

BNY Mellon Alternative Investments Holdings LLC***

Assistant Treasurer –Tax

10/13 – Present

    
 

BNY Mellon Capital Markets,
LLC^^^^^

Assistant Treasurer –Tax

7/11 – Present

    
 

BNY Mellon Clearing Holding Company, LLC***

Assistant Treasurer –Tax

7/11 – Present

    
 

BNY Mellon Clearing, LLC***

Assistant Treasurer –Tax

6/11 – Present

    
 

BNY Mellon Community Development Corporation^^^^^

Assistant Treasurer –Tax

10/11 – Present

    
 

BNY Mellon Distributors Holdings
Inc.#

Assistant Treasurer –Tax

7/12 – Present

    
 

BNY Mellon Fixed Income Securities, LLC***

Assistant Treasurer –Tax

8/12 – Present

    
 

BNY Mellon Investment Servicing (US) Inc.#

Assistant Treasurer –Tax

3/11 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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 – 10/15

    
 

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 – 12/15

    
 

BNY Wings, Inc.†††

Assistant Treasurer –Tax

7/11 – Present

    
 

BNY XYZ Holdings LLC***

Assistant Treasurer –Tax

5/11 – Present

    
 

BNYM CSIM Funding LLC+++

Assistant Treasurer –Tax

7/14 – Present

    
 

BNYM GIS Funding I LLC***

Assistant Treasurer –Tax

6/12 – Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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 – 3/16

    
 

HedgeMark International, LLC##

Assistant Treasurer –Tax

5/14 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

iNautix (USA) LLC###

Assistant Treasurer –Tax

7/12 – Present

    
 

IRE-1, Inc.†††

Assistant Treasurer –Tax

7/11 – Present

    
 

IRE-AC, Inc.†††

Assistant Treasurer –Tax

7/11 – 12/15

    
 

IRE-BC, Inc.†††

Assistant Treasurer –Tax

7/11 – 12/15

    
 

IRE-SB, Inc.†††

Assistant Treasurer –Tax

7/11 – 12/15

    
 

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 Insurance Inc. ######

Assistant Treasurer –Tax

8/14 – 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 Investor Services Holdings LLC

Assistant Treasurer –Tax

8/16 – 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 – 3/16

    
 

National Residential Assets Corp.***

Assistant Treasurer –Tax

4/12 – Present

    
 

New GSM Holding Corporation^^^^

Assistant Treasurer –Tax

7/11 – 12/15

    
 

Newton Capital Management LLC***

Assistant Treasurer –Tax

10/11 – Present

    
 

Northern Waterworks, Inc.†††

Assistant Treasurer –Tax

7/11 – 12/15

    
 

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

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

Pershing Advisor Solutions LLC###

Assistant Treasurer –Tax

6/11 – Present

    
 

Pershing Group LLC###

Assistant Treasurer –Tax

4/11 – Present

    
 

Pershing Investments LLC***

Assistant Treasurer –Tax

2/11 – Present

    
 

Pershing LLC###

Assistant Treasurer –Tax

4/11 – Present

    
 

PFS Holdings, LLC***

Assistant Treasurer –Tax

1/12 – Present

    
 

Standish Mellon Asset Management Company LLC*

Assistant Treasurer –Tax

11/14 - Present

    
 

Stanwich Insurance Agency, Inc.***

Assistant Treasurer –Tax

12/11 – Present

    
 

TBC Securities Co., Inc.*

Assistant Treasurer –Tax

7/11 – Present

    
 

TBCAM, LLC*

Assistant Treasurer –Tax

10/13 – Present

    
 

Technology Services Group,
Inc.^^^^^

Assistant Treasurer –Tax

5/11 – Present

    
 

Tennessee Processing Center

LLC^^^^^

Assistant Treasurer –Tax

9/11 – Present

    
 

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

    
 

Tiber Capital Management LLC++

Assistant Treasurer –Tax

8/15 – 7/16

    
 

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

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

BNY Community Development Enterprises Corporation***

Vice President –Tax

4/12 – 4/14

    
 

MBSC Securities Corporation++

Vice President –Tax

2/12 – Present

    

James Bitetto
Secretary

The Dreyfus Family of Funds++

Vice President and Assistant Secretary

8/05 - Present

    
 

MBSC Securities Corporation++

Assistant Secretary

1/06 - Present

    
 

Dreyfus Service Organization, Inc.++

Secretary

8/05 - Present

  

*

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

**

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

***

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

****

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

*****

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

******

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

*******

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

+

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

++

The address of the business so indicated is 200 Park Avenue, New York, NY 10166.

+++

The address of the business so indicated is 630 West Germantown Pike, Suite 300, Plymouth Meeting, PA, 19462

++++

The address of the business so indicated is 500 Grant Street, Pittsburgh, PA 15258

+++++

The address of the business so indicated is 113 King Street, Armonk, NY 10504

++++++

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

+++++++

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

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 Alcentra Global Credit Income 2024 Target Term Fund, Inc.

6. 

Dreyfus AMT-Free Municipal Cash Management Plus

7. 

Dreyfus AMT-Free New York Municipal Cash Management

8. 

Dreyfus Appreciation Fund, Inc.

9. 

Dreyfus BASIC Money Market Fund, Inc.

10. 

Dreyfus BNY Mellon Funds, Inc.

11. 

Dreyfus Bond Funds, Inc.

12. 

Dreyfus Cash Management

13. 

Dreyfus Funds, Inc.

14. 

The Dreyfus Fund Incorporated

15. 

Dreyfus Government Cash Management Funds

16. 

Dreyfus Growth and Income Fund, Inc.

17. 

Dreyfus Index Funds, Inc.

18. 

Dreyfus Institutional Liquidity Funds

19. 

Dreyfus Institutional Preferred Money Market Funds

 

  

20. 

Dreyfus Institutional Reserves Funds

21. 

Dreyfus Intermediate Municipal Bond Fund, Inc.

22. 

Dreyfus International Funds, Inc.

23. 

Dreyfus Investment Funds

24. 

Dreyfus Investment Grade Funds, Inc.

25. 

Dreyfus Investment Portfolios

26. 

The Dreyfus/Laurel Funds, Inc.

27. 

The Dreyfus/Laurel Funds Trust

28. 

Dreyfus Liquid Assets, Inc.

29. 

Dreyfus Manager Funds II

30. 

Dreyfus Midcap Index Fund, Inc.

31. 

Dreyfus Municipal Bond Opportunity Fund

32. 

Dreyfus Municipal Funds, Inc.

33. 

Dreyfus New Jersey Municipal Bond Fund, Inc.

34. 

Dreyfus New York AMT-Free Municipal Bond Fund

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 Stock Index Fund, Inc.

46. 

Dreyfus Sustainable U.S. Equity Fund, Inc.

47. 

Dreyfus Sustainable U.S. Equity Portfolio, Inc.

48. 

Dreyfus Tax Exempt Cash Management Funds

49. 

Dreyfus Treasury & Agency Cash Management

50. 

Dreyfus Treasury Securities Cash Management

51. 

Dreyfus Ultra Short Income Fund

52. 

Dreyfus Variable Investment Fund

53. 

General California Municipal Money Market Fund

 

  

54. 

General Government Securities Money Market Funds, Inc.

55. 

General Money Market Fund, Inc.

56. 

General Municipal Money Market Funds, Inc.

57. 

General New Jersey Municipal Money Market Fund, Inc.

58. 

General New York AMT-Free Municipal Money Market Fund

59. 

Strategic Funds, Inc.

   

(b)

  

Name and principal
Business address

Positions and offices with the Distributor

Positions and Officeswith Registrant

Bradley J. Skapyak*

Chief Executive Officer and Director

President

Kenneth Bradle**

President and Director

None

Sue Ann Cormack

Executive Vice President

None

Diane P. Durnin†††

Executive Vice President

None

Joseph P. Gennaco††††

Executive Vice President

None

Tracy Hopkins*

Executive Vice President

None

William H. Maresca**

Executive Vice President and Director

None

Joseph Moran†††

Executive Vice President

None

Christopher D. O'Connor†††

Executive Vice President

None

Irene Papadoulis**

Executive Vice President

None

Matthew Perrone*****

Executive Vice President

None

Bill E. Sappington*

Executive Vice President and Director

None

Susan Verbil Goldgraben****

Executive Vice President

None

Alban J. Miranda†††

Chief Financial Officer and Treasurer

None

Brie A. Steingarten*

Chief Legal Officer and Secretary

None

John Squillace*

Chief Compliance officer (Investment Advisory Business)

None

Katherine M. Scott*

Chief Risk Officer

None

Anthony Mayo*

Chief Technology Officer

None

Timothy I. Barrett**

Senior Vice President

None

Eric P. Cola*

Senior Vice President

None

Mercedes Katz**

Senior Vice President

None

John Ragusa*

Senior Vice President

None

Christopher A. Stallone**

Senior Vice President

None

 

   

(b)

  

Name and principal
Business address

Positions and offices with the Distributor

Positions and Officeswith Registrant

John Cimino*

Vice President

None

Christopher Donoghue**

Vice President

None

Jill Gill*

Vice President

None

Tina Rizzol**

Vice President

None

Carla R. Wanzer**

Vice President and Privacy Officer

None

James Windels*****

Vice President

Treasurer

Caridad M. Carosella**

Vice President – Compliance/Anti-Money Laundering Officer

Anti-Money Laundering Officer

Donna M. Impagliazzo**

Vice President – Compliance

None

John Shea†††

Vice President – Finance

None

Sandra Hatter***

Vice President – Human Resources

None

Marianne Thomas+

Vice President – Human Resources

None

Carol A. Britton****

Vice President – Real Estate

None

Kathleen Geis††

Vice President – Real Estate

None

Thaddeus S. Logan****

Vice President – Real Estate

None

Charles Doumar†††

Vice President – Tax

None

Claudine Orloski***

Vice President – Tax

None

Ronny Santos*

Assistant Vice President

None

Paul Mazziotti**

Anti-Money Laundering Officer

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

  

*

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, NY 10286.

*****

Principal business address is 2 Hanson Place, Brooklyn, NY 11217

Principal business address is 100 Saint Paul Street 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

††††

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

+

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

 

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, Massachusetts 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 14th of December, 2017.

The Dreyfus Sustainable U.S. Equity Fund, 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)

 

12/14/17

Bradley J. Skapyak

    

/s/ James Windels*

 

Treasurer (Principal Financial Officer and Accounting Officer)

 

12/14/17

James Windels

    

/s/ Joseph S. DiMartino*

 

Chairman of the Board

 

12/14/17

Joseph S. DiMartino

    

/s/ Francine J. Bovich*

 

Board Member

 

12/14/17

Francine J. Bovich

    

/s/ J. Charles Cardona*

 

Board Member

 

12/14/17

J. Charles Cardona

    

/s/ Gordon J. Davis*

 

Board Member

 

12/14/17

Gordon J. Davis

    

/s/ Isabel P. Dunst*

 

Board Member

 

12/14/17

Isabel P. Dunst

    

/s/ Robin A. Melvin*

 

Board Member

 

12/14/17

Robin A. Melvin

    

/s/ Nathan Leventhal*

 

Board Member

 

12/14/17

Nathan Leventhal

    

/s/ Roslyn M. Watson*

 

Board Member

 

12/14/17

Roslyn M. Watson

/s/ Benaree Pratt Wiley*

Board Member

12/14/17

Benaree Pratt Wiley

  

*BY:

/s/ Maureen E. Kane

 

Maureen E. Kane
Attorney-in-Fact

 

INDEX OF EXHIBITS

Exhibits

(n) Rule 18f-3 Plan, as revised December 15, 2017.