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BNY Mellon Appreciation Fund

Filed: 13 Aug 17, 8:00pm

File No.33-58282

811-07512

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. 68  [X]

and/or

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

 Amendment No. 68  [X]

(Check appropriate box or boxes.)

Dreyfus Appreciation 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 Amendment is being filed solely to replace Exhibit (n) to Item 28 to the Registration Statement on Form N-1A that was filed on April 27, 2017.

Part A of Post-Effective Amendment No. 66 to the Registration Statement on Form N-1A was filed on April 27, 2017, pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated

 

by reference herein; and the Statement of Additional Information was filed on June 30, 2017, pursuant to Rule 497e, under the Securities Act of 1933, as amended; and is incorporated by reference herein.

 


DREYFUS APPRECIATION FUND, 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) of Post-Effective Amendment No. 26 to the Registration Statement on Form N-1A, filed on February 28, 1995 ("Post-Effective Amendment No. 26").

(a)(2) Articles of Amendment are incorporated by reference to Exhibit (a)(2) of Post-Effective Amendment No. 34 to the Registration Statement on Form N-1A, filed on April 27, 2000 ("Post-Effective Amendment No. 34 ").

(a)(3) Form of Articles Supplementary and Articles Amendment are incorporated by reference to Exhibit (a)(3) of Post-Effective Amendment No. 52 to the Registration Statement on Form N-1A, filed on June 20, 2013 ("Post-Effective Amendment No. 52").

(a)(4) Articles Supplementary are incorporated by reference to Exhibit (a)(4) of Post-Effective Amendment No. 64 to the Registration Statement on Form N-1A, filed on August 26, 2016 ("Post-Effective Amendment No. 64").

(b) Registrant's Amended and Restated By-Laws are incorporated by reference to Exhibit 77Q1 of the Registrant's N-SAR, filed on February 29, 2012.

(d)(1) Investment Advisory Agreement is incorporated by reference to Exhibit (d)(1) of Post-Effective Amendment No. 58 to the Registration Statement on Form N-1A, filed on October 2, 2015.

(d)(2) Sub-Investment Advisory Agreement is incorporated by reference to Exhibit (d)(2) of Post-Effective Amendment No. 45 to the Registration Statement on Form N-1A, filed on April 28, 2010 ("Post-Effective Amendment No. 45").

(e)(1) Amended and Restated Distribution Agreement is incorporated by reference to Exhibit (e)(1) of Post-Effective Amendment No. 46 to the Registration Statement on Form N-1A, filed on April 27, 2011 ("Post-Effective Amendment No. 46").

(e)(2) Forms of Service Agreement are incorporated by reference to Exhibit (e) of Post-Effective Amendment No. 34.

 

(e)(3) Supplemental Sales Agreement is incorporated by reference to Exhibit (e)(1) of Post-Effective Amendment No. 41 to the Registration Statement on Form N-1A, filed on April 30, 2007.

(e)(4) Form of Service Agreement is incorporated by reference to Exhibit (e)(4) of Post-Effective Amendment No. 61 to the Registration Statement on Form N-1A, filed on April 28, 2016.

(e)(5) Forms of Broker/Dealer Selling Agreement and Bank Selling Agreement is incorporated by reference to Exhibit (e)(5) of Post-Effective Amendment No. 66 to the Registration Statement on Form N-1A, filed on April 27, 2017 ("Post-Effective Amendment No. 66").

(g)(1) Custody Agreement is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 46.

(g)(2) Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(2) of Post-Effective Amendment No. 54 to the Registration Statement on Form N-1A, filed on April 29, 2014.

(g)(3) Second Amendment to Custody Agreement is incorporated by reference to Exhibit (g)(3) of Post-Effective Amendment No. 66.

(h)(1) Shareholder Services Plan is incorporated by reference to Exhibit (h)(1) of Post-Effective Amendment No. 66.

(h)(2) Form of Amended and Restated Transfer Agency Agreement is incorporated by reference to Exhibit (h)(2) of Post-Effective Amendment No. 50 to the Registration Statement on Form N-1A, filed on April 29, 2013 ("Post-Effective Amendment No. 50").

(i) Opinion and consent of Registrant's counsel is incorporated by reference to Exhibit (10) of Post-Effective Amendment No. 26.

(j) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 66.

(n) Rule 18f-3 Plan.*

(p)(1) Code of Ethics adopted by the Registrant, Registrant’s Adviser and Registrant’s Distributor is incorporated by reference to Exhibit (p)(1) of Post-Effective Amendment No. 56 to the Registration Statement on Form N-1A, filed on April 28, 2015 ("Post-Effective Amendment No. 56").

 

(p)(2) Code of Ethics adopted by the Sub-Investment Adviser to the Registrant is incorporated by reference to Exhibit (p)(2) of Post-Effective Amendment No. 46.

(p)(3) Code of Ethics of the Non-management Board Members of the Dreyfus Family of Funds is incorporated by reference to Exhibit (p)(3) of Post-Effective Amendment No. 45.

  

Other Exhibits

(a) Power of Attorney is incorporated by reference to Other Exhibits (a) of Post-Effective Amendment No. 66.

______________

*Filed herewith.

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

None.

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, that no board member or officer of the Registrant 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 Seventh of the Registrant's Articles of Incorporation and any amendments thereto, Article VIII of the Registrant's By-Laws and Section 2-418 of the Maryland General Corporation Law.

Item 31. Business and Other Connections of Investment Adviser

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 an investment adviser, sub-investment adviser or administrator.

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

    
 

EACM Advisors LLC^^

Manager

12/15 – 7/16

    
 

Standish Mellon Asset Management Company LLC*

Manager

9/14 - 7/16

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

 

MBSC Securities Corporation++

Chief Compliance Officer

1/06 - 1/16

    

Christopher O'Connor
Chief Administrative Officer

MBSC Securities Corporation++

Director

3/12 – 3/15

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
  

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

    
 

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

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

Asset Recovery XXIII, LLC***

Assistant Treasurer

7/13 – 6/16

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

Airlease Incorporated†††

Assistant Treasurer – Tax

7/13 – 12/15

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

BNY Foreign Holdings, Inc.***

Assistant Treasurer – Tax

10/13 – Present

    
 

BNY Gator LLC***

Assistant Treasurer – Tax

7/13 – 10/15

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

BNY Mellon Trust Company of Illinois *****

Assistant Treasurer – Tax

3/13 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

BNYM RECAP Holdings, LLC***

Assistant Treasurer – Tax

11/14 – Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

ECM DE. LLC***

Assistant Treasurer – Tax

1/14 - Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

Madison Pershing LLC###

Assistant Treasurer – Tax

6/13 – Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

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

Assistant Treasurer – Tax

8/16 – Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

Pershing Advisor Solutions LLC###

Assistant Treasurer – Tax

6/13 – Present

    
 

Pershing Group LLC###

Assistant Treasurer – Tax

6/13 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

MBNA PW PA Services LLC+

Treasurer

7/13 – Present

    
 

Stanwich Insurance Agency, Inc. ***

Treasurer

12/13 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

BNY Mellon Investment Management Services LLC #

Vice President -
Real Estate

10/11 - Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

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

Vice President -
Real Estate

8/16 - Present

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

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

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

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

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

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

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

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

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

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

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

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

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

Mellon Financial Services Corporation #1+

Assistant Treasurer –Tax

7/11 – Present

    
 

Mellon Financial Services Corporation #4+

Assistant Treasurer –Tax

12/11 – Present

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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

    
 

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

    

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

 

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

    
 

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

 

    

Name and Position
With Dreyfus

Other Businesses

Position Held

Dates

    
 

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 AMT-Free Municipal Cash Management Plus

6. 

Dreyfus AMT-Free New York Municipal Cash Management

7. 

Dreyfus Appreciation Fund, Inc.

8. 

Dreyfus BASIC Money Market Fund, Inc.

9. 

Dreyfus BNY Mellon Funds, Inc.

10. 

Dreyfus Bond Funds, Inc.

11. 

Dreyfus Cash Management

12. 

Dreyfus Funds, Inc.

13. 

The Dreyfus Fund Incorporated

14. 

Dreyfus Government Cash Management Funds

15. 

Dreyfus Growth and Income Fund, Inc.

16. 

Dreyfus Index Funds, Inc.

17. 

Dreyfus Institutional Preferred Money Market Funds

18. 

Dreyfus Institutional Reserves Funds

19. 

Dreyfus Intermediate Municipal Bond Fund, Inc.

20. 

Dreyfus International Funds, Inc.

21. 

Dreyfus Investment Funds

22. 

Dreyfus Investment Grade Funds, Inc.

23. 

Dreyfus Investment Portfolios

24. 

The Dreyfus/Laurel Funds, Inc.

25. 

The Dreyfus/Laurel Funds Trust

 

  

26. 

Dreyfus Liquid Assets, Inc.

27. 

Dreyfus Manager Funds II

28. 

Dreyfus Midcap Index Fund, Inc.

29. 

Dreyfus Municipal Bond Opportunity Fund

30. 

Dreyfus Municipal Funds, Inc.

31. 

Dreyfus New Jersey Municipal Bond Fund, Inc.

32. 

Dreyfus New York AMT-Free Municipal Bond Fund

33. 

Dreyfus New York Tax Exempt Bond Fund, Inc.

34. 

Dreyfus Opportunity Funds

35. 

Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc.

36. 

Dreyfus Premier GNMA Fund, Inc.

37. 

Dreyfus Premier Investment Funds, Inc.

38. 

Dreyfus Premier Short-Intermediate Municipal Bond Fund

39. 

Dreyfus Premier Worldwide Growth Fund, Inc.

40. 

Dreyfus Research Growth Fund, Inc.

41. 

Dreyfus State Municipal Bond Funds

42. 

Dreyfus Stock Funds

43. 

Dreyfus Stock Index Fund, Inc.

44. 

Dreyfus Sustainable U.S. Equity Fund, Inc.

45. 

Dreyfus Sustainable U.S. Equity Portfolio, Inc.

46. 

Dreyfus Tax Exempt Cash Management Funds

47. 

Dreyfus Treasury & Agency Cash Management

48. 

Dreyfus Treasury Securities Cash Management

49. 

Dreyfus Ultra Short Income Fund

50. 

Dreyfus U.S. Treasury Intermediate Term Fund

51. 

Dreyfus U.S. Treasury Long Term 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****

Chief Financial Officer and Treasurer

None

Brie A. Steingarten*

Chief Legal Officer and Secretary

None

Timothy I. Barrett**

Senior Vice President

None

Eric P. Cola*

Senior Vice President

None

Mercedes Katz**

Senior Vice President

None

Christopher A. Stallone**

Senior Vice President

None

John Squillace*

Chief Compliance Officer (Investment Advisory Business)

None

Katherine M. Scott*

Chief Risk Officer

None

Anthony Mayo*

Chief Technology Officer

None

Karin L. Waldmann**

Privacy Officer

None

Paul Mazziotti**

Anti-Money Laundering Officer

None

Carol A. Britton****

Vice President – Real Estate

None

Caridad M. Carosella**

Vice President – Compliance/Anti-money Laundering Officer

Anti-Money Laundering Officer

John Cimino*

Vice President

None

Charles Doumar†††

Vice President – Tax

None

 

   

(b)

  

Name and principal
Business address

Positions and offices with the Distributor

Positions and Officeswith Registrant

Kathleen Geis††

Vice President

None

Donna M. Impagliazzo**

Vice President – Compliance

None

Thaddeus S. Logan****

Vice President – Real Estate

None

Carla R. Wanzer**

Vice President

None

Claudine Orloski***

Vice President – Tax

None

John Shea†††

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

  

*

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

 

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, Dreyfus Appreciation Fund, Inc., certifies that it meets all of the requirements for effectiveness of this Amendment to the Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933 and has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, and State of New York on the 14th day of August 2017.

Dreyfus Appreciation 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)

 

08/14/17

Bradley J. Skapyak

    

/s/ James Windels*

 

Treasurer (Principal Financial
and Accounting Officer)

 

08/14/17

James Windels

    

/s/ Joseph S. DiMartino*

 

Chairman of the Board

 

08/14/17

Joseph S. DiMartino

    

/s/ Francine J. Bovich*

 

Board Member

 

08/14/17

Francine J. Bovich

    

/s/ Peggy C. Davis*

 

Board Member

 

08/14/17

Peggy C. Davis

    

/s/ Diane Dunst*

 

Board Member

 

08/14/17

Diane Dunst

    

/s/ Nathan Leventhal*

 

Board Member

 

08/14/17

Nathan Leventhal

    

/s/ Robin A. Melvin*

 

Board Member

 

08/14/17

Robin A. Melvin

    
  

*BY:

/s/ Natalya Zelensky

Natalya Zelensky
Attorney-in-Fact

 

 

INDEX OF EXHIBITS

Exhibits

 

  

(n)

Rule 18f-3 Plan.