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Mellon Investments Corporation

PRI reporting framework 2018

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Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

% of assets under management (AUM) in ranges

% of assets under management (AUM) in ranges

Further options for investment managers (may be selected in addition to the above)

01.2. Please describe your hedge fund strategy and classification [OPTIONAL]

Options presented for hedge funds:

01.3. Additional information. [Optional]

Mellon Capital Management Corporation ("Mellon Capital" or the "Firm") is headquartered in San Francisco, and houses a fully integrated investment platform of portfolio management, research, trading, operations, client service and marketing. We take a disciplined and analytical approach to global investment strategies. Our clients include corporate plans, public and labor union retirement plans, endowments, foundations, and the sub-advisory marketplace.

Mellon Capital specializes in providing domestic and global asset allocation strategies, traditional and enhanced indexing, multi-factor equity and fixed income strategies, alternative investments, currency strategies, active commodities, and overlay strategies. As of December 31, 2017, assets under management were $381,264 million.

The Firm has distinguished itself as a client-focused investment manager, offering a range of investment strategies that can be customized to our clients’ unique criteria. A variety of exclusive and inclusive screens have been implemented in our long-standing index strategies, enhanced index strategies, and multi-factor equity and fixed income strategies. Some examples of our implementations include sustainability, socially responsible investing, nuclear decommissioning, and other criteria dictated by individual client investment policies.

See additional information in Disclosure Statements in section.

  

OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

United States

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

421 FTE

02.4. Additional information. [Optional]

Mellon Capital has offices in the following locations:

San Francisco - Headquarters

50 Fremont St. Suite 3900
San Francisco, CA 94105
Business development, relationship management, client service, compliance, information technology, legal, marketing, operations, portfolio management, research and trading

Pittsburgh

BNY Mellon Center
500 Grant Street
Pittsburgh, PA 15258
Accounting, business development, relationship management, client service, compliance, information technology, marketing, operations and portfolio management

Boston

BNY Mellon Center
201 Washington Street
Boston, MA 02108
Business development, relationship management, client service, information technology, marketing, portfolio management* and research*

Philadelphia

BNY Mellon Center
1735 Market Street
Philadelphia, PA 19103
Research*

 

Mellon Capital also has operations in the following locations. Employees at the following locations are employed through affiliated entities.

Pune

Pune India Operations Center - Tower XI
Magarpatta City, Hadapsar
Pune, India 411013
Information technology, marketing support, portfolio management support, compliance, operations, reporting and research

Hong Kong

3 Pacific Place
Hong Kong
Investment support, business development support, relationship management, client service and trading

London

The Bank of New York Mellon Centre

160 Queen Victoria St.

London, England EC4V 4LA

Investment support, business development support, relationship management, and client service


*Equity only

OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

03.3. Additional information. [Optional]

 Mellon Capital does not have any subsidiaries. However, our parent company, The Bank of New York Mellon ("BNY Mellon"), has multiple subsidiaries that are PRI signatories. As of 12/31/2017, the BNY Mellon Investment Management boutiques that are PRI signatories include: The Boston Company Asset Management, LLC, Standish Mellon Asset Management, Siguler Guff & Company, LP, Insight Investment, and Newton Investment Management.

OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/12/2017

04.2. Indicate your total AUM at the end of your reporting year, Exclude subsidiaries you have chosen not to report on and any advisory/execution only assets.

Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.5. Additional information. [Optional]

Disclosure Statements

Mellon Capital Management Corporation (“Mellon Capital”) is an investment adviser registered with the Securities and Exchange Commission (“SEC”) under the Investment Advisers Act of 1940. Mellon Capital is a wholly-owned subsidiary of The Bank of New York Mellon Corporation (“BNY Mellon”). The firm is defined as Mellon Capital and includes assets managed as dual officers of The Bank of New York Mellon and as dual employees of The Dreyfus Corporation. AUM, client and employee counts are as of December 31, 2017, unless noted otherwise. Mellon Capital's AUM includes assets managed in overlay strategies ($4.9 billion) as of December 31, 2017. BNY Mellon Investment Management is one of the world's leading investment management organizations and one of the top U.S. wealth managers, encompassing BNY Mellon's affiliated investment management firms, wealth management services and global distribution companies. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation and may also be used as a generic term to reference the Corporation as a whole or its various subsidiaries generally. Any collective investment funds presented are maintained by The Bank of New York Mellon. Employees of Mellon Capital manage the assets of any collective investment funds in their capacity as dual officers of The Bank of New York Mellon. Any collective investment funds presented are not deposits of, and are not insured or guaranteed by, any bank, the FDIC or any other government agency. Please refer to the Schedule A for the Fund (and for each other fund such Fund invests in) for important additional information.

Mellon Capital Management and its abbreviated form Mellon Capital are service marks of Mellon Capital Management Corporation.

This presentation does not constitute an offer or solicitation to any person in any jurisdiction in which such offer or solicitation is not authorized or to any person to whom it would be unlawful to make such offer or solicitation. This material (or any portion thereof) may not be copied or distributed without Mellon Capital's prior written approval. Statements are current as of the date of the material only.

Performance is expressed in U.S. dollars unless noted otherwise. Performance results for one year and less are not annualized. Many factors affect performance including changes in market conditions and interest rates and in response to other economic, political, or financial developments. The active risk targets and information ratio targets shown in this presentation are the long run ex-ante targets. The active risk levels and information ratios may be higher or lower at any time. There is no guarantee that the active risk targets and information ratio targets will be achieved.

The following provides a simplified example of the cumulative effect of management fees on investment performance: An annual management fee of 0.80% applied over a five-year period to a $100 million portfolio with an annualized gross return of 10% would reduce the value of the portfolio from $161,051,000 to $154,783,041. The actual management fee that applies to a client's portfolio will vary and performance fees may apply. The standard fee schedules for Mellon Capital's strategies are shown in Part 2A of Mellon Capital's Form ADV.

No investment strategy or risk management technique can guarantee returns or eliminate risk in any market environment. Past results are not indicative of future performance and are no guarantee that losses will not occur in the future. Future returns are not guaranteed and a loss of principal may occur.

The information provided in this presentation should not be considered a recommendation to purchase or sell a particular security. Any specific securities identified do not represent all of the securities purchased, sold or recommended for advisory clients, and may be only a small percentage of the entire portfolio and may not remain in the portfolio at the time you receive this report. Top Ten Holdings are determined by the market value weighting of securities held in the portfolio as of the date shown. You should not assume that investment decisions we make in the future will be profitable or will equal the investment performance of the past.

Charts and graphs herein are provided as illustrations only and are not meant to be guarantees of any return. The illustrations are based upon certain assumptions that may or may not turn out to be true.

Please note that this presentation does not comply with all of the disclosure requirements for an ERISA “section 404(c) plan,” nor does it contain all of the disclosure required by Rule 404a-5 as described in the Department of Labor regulations under section 404(c).  Plan sponsors intending to comply with those regulations will need to provide the plan participants with additional information.  The information provided in this presentation does not constitute individual investment advice for a participant or investor, is only informational in nature and should not be used by a participant or investor as a primary basis for making an investment decision.  

 

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OO 06. How would you like to disclose your asset class mix

New selection options have been added to this indicator. Please review your prefilled responses carefully.

06.1. Select how you would like to disclose your asset class mix.

Internally managed (%)
Externally managed (%)

 

Listed equity >50% 83.54 0 0
Fixed income 10-50% 12.02 0 0
Private equity 0 0 0 0
Property 0 0 0 0
Infrastructure 0 0 0 0
Commodities <10% 0.02 0 0
Hedge funds <10% 0.03 0 0
Forestry 0 0 0 0
Farmland 0 0 0 0
Inclusive finance 0 0 0 0
Cash <10% 0.06 0 0
Other (1), specify <10% 4.22 0 0
Other (2), specify <10% 0.1 0 0

'Other (1)' specified 

          Asset Allocation

'Other (2)' specified 

          Currency

06.2. Publish asset class mix as per attached image [Optional].

06.3. Provide contextual information on your AUM asset class split. [Optional]

OO 07. Fixed income AUM breakdown (Private)

OO 08. Segregated mandates or pooled funds (Not Applicable)

OO 09. Breakdown of AUM by market (Private)

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