EX-99.77O RULE 10F-3 4 rule10f3430.htm ITEM 77O

rule10f3430.htm - Generated by SEC Publisher for SEC Filing

 

Sub-Item 77O

Rule 10f-3 Transactions

DREYFUS HIGH YIELD STRATEGIES FUND

On September 22, 2016, Dreyfus High Yield Strategies Fund (the "Fund"), purchased 185 Alcoa Nederland Holding B.V. 7.00% Senior Notes due September 30, 2026 (CUSIP No. 013822AB7) (the "Notes") at a purchase price of $100.00 per Note, with underwriter compensation of 1.75%. The Notes were purchased from Morgan Stanley & Co., LLC, a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund's investment adviser, was also a member. BNY Mellon Capital Markets, LLC received no benefit in connection with the transaction. The following is a list of the syndicate's members:

ABN AMRO Securities (USA) LLC

Anz Securities, Inc.

Banco Bredesco BBI S.A.

BBVA Securities Inc.

BNP Paribas Securities Corp.

BNY Mellon Capital Markets, LLC

Citigroup Global Markets Inc.

Credit Suisse Securities (USA) LLC

Deutsche Bank Securities Inc.

Goldman, Sachs & Co.

J.P. Morgan Securities LLC

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Morgan Stanley & Co. LLC

MUFG Securities Americas Inc.

PNC Capital Markets LLC

RBC Capital Markets, LLC

Scotia Capital (USA) Inc.

SMBC Nikko Securities America, Inc.

SunTrust Robinson Humphrey, Inc.

The Williams Capital Group, L.P.

Accompanying this statement are materials provided to the Board of Trustees for the Fund, which ratified the purchase as being in compliance with the Fund's Rule 10f-3 Procedures at a Board meeting held on October 26-27, 2016.  These materials include additional information about the terms of the transaction.

 

Sub-Item 77O

Rule 10f-3 Transactions

DREYFUS HIGH YIELD STRATEGIES FUND

On September 22, 2016, Dreyfus High Yield Strategies Fund (the "Fund"), purchased 245 Alcoa Nederland Holding B.V. 6.75% Senior Notes due September 30, 2024 (CUSIP No. 013822AA9) (the "Notes") at a purchase price of $100.00 per Note, with underwriter compensation of 1.75%. The Notes were purchased from Morgan Stanley & Co., LLC, a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund's investment adviser, was also a member. BNY Mellon Capital Markets, LLC received no benefit in connection with the transaction. The following is a list of the syndicate's members:

ABN AMRO Securities (USA) LLC

Anz Securities, Inc.

Banco Bredesco BBI S.A.

BBVA Securities Inc.

BNP Paribas Securities Corp.

BNY Mellon Capital Markets, LLC

Citigroup Global Markets Inc.

Credit Suisse Securities (USA) LLC

Deutsche Bank Securities Inc.

Goldman, Sachs & Co.

J.P. Morgan Securities LLC

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Morgan Stanley & Co. LLC

MUFG Securities Americas Inc.

PNC Capital Markets LLC

RBC Capital Markets, LLC

Scotia Capital (USA) Inc.

SMBC Nikko Securities America, Inc.

SunTrust Robinson Humphrey, Inc.

The Williams Capital Group, L.P.

Accompanying this statement are materials provided to the Board of Trustees for the Fund, which ratified the purchase as being in compliance with the Fund's Rule 10f-3 Procedures at a Board meeting held on October 26-27, 2016.  These materials include additional information about the terms of the transaction.

 

Sub-Item 77O

Rule 10f-3 Transactions

DREYFUS HIGH YIELD STRATEGIES FUND

On October 7, 2016, Dreyfus High Yield Strategies Fund (the "Fund"), purchased 970 CBS Radio Inc. 7.25% Senior Notes due November 1, 2024 (CUSIP No. 124847AC8) (the "Notes") at a purchase price of $100.00 per Note, with underwriter compensation of 1.50%. The Notes were purchased from Deutsche Bank Securities, Inc., a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund's investment adviser, was also a member. BNY Mellon Capital Markets, LLC received no benefit in connection with the transaction. The following is a list of the syndicate's members:

BNP PARIBAS

BNY Mellon Capital Markets, LLC

BofA Merril Lynch

Citigroup Global Markets Inc.

Credit Suisse

Deutsche Bank Securities Inc.

Drexel Hamilton

Goldman, Sachs & Co.

J.P. Morgan Securities LLC

Lebenthal Capital Markets

Loop Captial Markets

Mizuho Securities

MUFG

Ramirez & Co., Inc.

RBC Capital Markets

SMBC Nikko

SOCIETE GENERALE

TD Securities

The Williams Capital Group, L.P.

US Bancorp

Wells Fargo Securities

Accompanying this statement are materials provided to the Board of Trustees for the Fund, which ratified the purchase as being in compliance with the Fund's Rule 10f-3 Procedures at a Board meeting held on February 22-23, 2017.  These materials include additional information about the terms of the transaction.