Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (n-q)
26 Marzo 2014 - 1:24PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number
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811-6474
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Dreyfus Growth and Income Fund, Inc.
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(Exact name of Registrant as specified in charter)
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c/o The Dreyfus Corporation
200 Park Avenue
New York, New York 10166
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(Address of principal executive offices) (Zip code)
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John Pak, Esq.
200 Park Avenue
New York, New York 10166
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(Name and address of agent for service)
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Registrant's telephone number, including area code:
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(212) 922-6000
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Date of fiscal year end:
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10/31
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Date of reporting period:
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1/31/2014
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FORM N-Q
Item 1. Schedule of Investments.
STATEMENT OF INVESTMENTS
Dreyfus Growth and Income Fund, Inc.
January 31, 2014 (Unaudited)
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Common Stocks--99.1%
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Shares
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Value ($)
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Automobiles & Components--1.7%
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Delphi Automotive
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84,190
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5,126,329
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General Motors
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127,700
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4,607,416
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Johnson Controls
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79,510
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3,667,001
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13,400,746
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Banks--3.4%
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Comerica
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78,580
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3,598,964
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Fifth Third Bancorp
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253,550
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5,329,620
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PNC Financial Services Group
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62,030
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4,954,956
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U.S. Bancorp
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187,770
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7,460,102
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Wells Fargo & Co.
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136,390
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6,183,923
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27,527,565
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Capital Goods--7.3%
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Cummins
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102,640
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13,033,227
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Danaher
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72,400
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5,385,836
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Eaton
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135,680
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9,916,851
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Fluor
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74,130
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5,630,915
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General Electric
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398,970
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10,026,116
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Honeywell International
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66,670
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6,082,304
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Precision Castparts
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33,910
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8,638,573
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58,713,822
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Commercial & Professional Services--.7%
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Tyco International
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134,310
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5,438,212
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Consumer Durables & Apparel--2.8%
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Michael Kors Holdings
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59,450
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a
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4,751,839
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Newell Rubbermaid
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56,890
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1,757,901
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NIKE, Cl. B
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72,970
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5,315,865
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PVH
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32,110
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3,881,136
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Under Armour, Cl. A
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65,100
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a
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7,037,961
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22,744,702
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Consumer Services--2.0%
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Carnival
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118,920
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4,660,475
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Las Vegas Sands
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73,500
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5,624,220
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Starbucks
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80,390
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5,717,337
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16,002,032
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Diversified Financials--11.9%
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American Express
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69,570
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5,914,841
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Ameriprise Financial
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114,000
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12,042,960
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Bank of America
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553,510
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9,271,293
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Berkshire Hathaway, Cl. B
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42,500
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a
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4,743,000
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BlackRock
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13,240
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3,978,223
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Capital One Financial
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66,500
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4,695,565
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Citigroup
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98,170
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4,656,202
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Discover Financial Services
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57,710
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3,096,142
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Goldman Sachs Group
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38,193
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6,268,235
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ING US
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84,980
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2,869,775
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IntercontinentalExchange Group
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22,980
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4,797,994
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Invesco
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126,950
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4,221,088
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JPMorgan Chase & Co.
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328,195
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18,168,875
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Morgan Stanley
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138,280
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4,080,643
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Santander Consumer USA Holdings
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102,540
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2,628,100
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TD Ameritrade Holding
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149,330
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4,666,563
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96,099,499
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Energy--8.2%
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EOG Resources
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35,690
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5,897,416
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Exxon Mobil
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162,730
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14,997,197
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National Oilwell Varco
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46,190
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3,464,712
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Occidental Petroleum
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190,700
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16,699,599
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Phillips 66
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116,880
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8,542,759
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Schlumberger
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127,758
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11,187,768
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Valero Energy
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106,650
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5,449,815
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66,239,266
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Food & Staples Retailing--2.7%
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Costco Wholesale
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49,910
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5,607,888
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CVS Caremark
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161,870
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10,961,836
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Whole Foods Market
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102,950
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5,380,167
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21,949,891
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Food, Beverage & Tobacco--6.6%
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Archer-Daniels-Midland
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132,180
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5,218,466
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Coca-Cola Enterprises
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287,670
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12,453,234
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Mondelez International, Cl. A
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135,030
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4,422,233
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PepsiCo
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190,468
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15,306,008
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Philip Morris International
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205,830
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16,083,556
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53,483,497
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Health Care Equipment & Services--3.1%
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Baxter International
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29,370
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2,005,971
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Cardinal Health
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137,830
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9,375,196
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McKesson
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66,890
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11,666,285
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UnitedHealth Group
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27,180
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1,964,570
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25,012,022
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Insurance--2.2%
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Allstate
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54,410
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2,785,792
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American International Group
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79,120
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3,794,595
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Hartford Financial Services Group
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96,620
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3,212,615
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MetLife
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157,960
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7,747,938
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17,540,940
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Materials--3.7%
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Dow Chemical
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108,320
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4,929,643
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Eastman Chemical
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57,360
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4,471,786
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Martin Marietta Materials
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97,000
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10,573,970
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Praxair
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59,210
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7,384,671
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Vulcan Materials
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41,840
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2,582,783
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29,942,853
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Media--5.6%
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Comcast, Cl. A
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171,790
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9,353,966
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Omnicom Group
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44,700
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3,244,326
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Regal Entertainment Group, Cl. A
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103,030
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b
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2,009,085
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Time Warner
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58,349
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3,666,067
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Twenty-First Century Fox, Cl. A
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217,370
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6,916,713
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Viacom, Cl. B
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123,860
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10,168,906
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Walt Disney
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133,730
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9,710,135
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45,069,198
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Pharmaceuticals, Biotech & Life Sciences--9.8%
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AbbVie
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99,270
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4,887,062
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Alexion Pharmaceuticals
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40,210
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a
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6,382,533
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Amgen
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88,180
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10,489,011
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Biogen Idec
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22,940
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a
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7,171,962
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Bristol-Myers Squibb
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140,360
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7,013,789
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Forest Laboratories
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38,620
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a
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2,560,506
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Gilead Sciences
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137,510
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a
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11,090,182
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Illumina
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40,500
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a
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6,156,000
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Merck & Co.
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128,260
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6,793,932
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Perrigo Company
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24,540
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3,819,896
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Pfizer
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229,180
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6,967,072
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Regeneron Pharmaceuticals
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13,520
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a
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3,901,737
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Vertex Pharmaceuticals
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28,490
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a
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2,251,850
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79,485,532
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Retailing--3.8%
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Amazon.com
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27,420
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a
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9,835,280
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Dollar General
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41,740
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a
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2,350,797
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Home Depot
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94,130
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7,233,891
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Kohl's
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59,050
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2,989,702
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priceline.com
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4,960
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a
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5,678,654
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Urban Outfitters
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77,040
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a
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2,759,573
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30,847,897
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Semiconductors & Semiconductor Equipment--3.7%
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Applied Materials
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222,520
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3,742,786
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Texas Instruments
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379,020
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16,070,448
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Xilinx
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211,300
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9,808,546
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29,621,780
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Software & Services--13.3%
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Accenture, Cl. A
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154,680
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12,355,838
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Adobe Systems
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80,070
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a
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4,739,343
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Cognizant Technology Solutions,
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Cl. A
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61,520
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a
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5,962,518
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Facebook, Cl. A
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147,440
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a
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9,225,321
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Google, Cl. A
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15,720
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a
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18,564,848
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Intuit
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80,170
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5,872,453
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LinkedIn, Cl. A
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19,940
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a
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4,291,287
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MasterCard, Cl. A
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116,000
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8,778,880
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Microsoft
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506,870
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19,185,030
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salesforce.com
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110,860
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a,b
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6,710,356
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ServiceNow
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52,070
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a
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3,302,800
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Twitter
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45,694
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b
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2,947,263
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Visa, Cl. A
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27,400
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5,902,782
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107,838,719
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Technology Hardware & Equipment--3.7%
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Cisco Systems
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431,750
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9,459,643
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EMC
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395,990
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9,598,798
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Juniper Networks
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225,070
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a
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5,989,113
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QUALCOMM
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27,410
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2,034,370
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Western Digital
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35,090
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3,023,705
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30,105,629
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Telecommunication Services--.6%
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Windstream Holdings
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654,119
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b
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4,892,810
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Transportation--1.3%
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Delta Air Lines
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117,570
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3,598,818
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FedEx
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53,900
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7,185,948
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10,784,766
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Utilities--1.0%
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NextEra Energy
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23,050
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2,118,987
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NRG Energy
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95,840
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b
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2,669,144
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NRG Yield, Cl. A
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80,245
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3,124,740
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7,912,871
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Total Common Stocks
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(cost $613,712,945)
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800,654,249
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Other Investment--.2%
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Registered Investment Company;
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Dreyfus Institutional Preferred
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Plus Money Market Fund
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(cost $1,643,738)
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1,643,738
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c
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1,643,738
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Investment of Cash Collateral for
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Securities Loaned--1.1%
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Registered Investment Company;
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Dreyfus Institutional Cash
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Advantage Fund
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(cost $8,910,732)
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8,910,732
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c
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8,910,732
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Total Investments
(cost $624,267,415)
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100.4
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%
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811,208,719
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Liabilities, Less Cash and Receivables
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(.4
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%)
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(3,175,719
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)
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Net Assets
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100.0
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%
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808,033,000
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a Non-income producing security.
b Security, or portion thereof, on loan. At January 31, 2014, the value of the fund's securities on loan was $17,430,815 and
the value of the collateral held by the fund was $17,849,937, consisting of cash collateral of $8,910,732 and U.S. Government
& Agency securities valued at $8,939,205.
c Investment in affiliated money market mutual fund.
At January 31, 2014, net unrealized appreciation on investments was $186,941,304 of which $193,719,143 related to appreciated investment securities and $6,777,839 related to depreciated investment securities. At January 31, 201
4
, the cost of investments for federal income tax purposes was substantially the same as the cost for financial reporting purposes.
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Portfolio Summary (Unaudited) †
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Value (%)
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Software & Services
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13.3
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Diversified Financials
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11.9
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Pharmaceuticals, Biotech & Life Sciences
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9.8
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Energy
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8.2
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Capital Goods
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7.3
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Food, Beverage & Tobacco
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6.6
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Media
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5.6
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Retailing
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3.8
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Materials
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3.7
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Semiconductors & Semiconductor Equipment
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3.7
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Technology Hardware & Equipment
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3.7
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Banks
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3.4
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Health Care Equipment & Services
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3.1
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Consumer Durables & Apparel
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2.8
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Food & Staples Retailing
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2.7
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Insurance
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2.2
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Consumer Services
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2.0
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Automobiles & Components
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1.7
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Money Market Investments
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1.3
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Transportation
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1.3
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Utilities
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1.0
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Commercial & Professional Services
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.7
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Telecommunication Services
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.6
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100.4
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† Based on net assets.
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The following is a summary of the inputs used as of January 31, 2014 in valuing the fund's investments:
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Level 3 -
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Level 1 -
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Level 2 - Other
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Significant
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Unadjusted Quoted
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Significant
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Unobservable
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Assets ($)
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Prices
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Observable Inputs
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Inputs
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Total
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Investments in Securities:
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Equity Securities - Domestic Common Stocks+
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795,902,410
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-
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-
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795,902,410
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Equity Securities - Foreign Common Stocks+
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4,751,839
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-
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-
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4,751,839
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Mutual Funds
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10,554,470
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-
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-
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10,554,470
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+ See Statement of Investments for additional detailed categorizations.
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The Financial Accounting Standards Board (“FASB”) Accounting Standards Codification (“ASC”) is the exclusive reference of authoritative U.S. generally accepted accounting principles (“GAAP”)
recognized by the FASB to be applied by nongovernmental entities. Rules and interpretive releases of the Securities and Exchange
Commission (“SEC”) under authority of federal laws are also sources
of authoritative GAAP for SEC registrants. The fund's financial statements are prepared in accordance with GAAP, which may require the use of management estimates and assumptions. Actual results could differ from those estimates.
The fair value of a financial instrument is the amount that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date (i.e. the exit price). GAAP establishes a fair value hierarchy that prioritizes the inputs of valuation techniques used to measure fair value. This hierarchy gives the highest priority to unadjusted quoted prices in active markets for identical assets or liabilities (Level 1 measurements) and the lowest priority to unobservable inputs (Level 3 measurements).
Additionally, GAAP provides guidance on determining whether the volume and activity in a market has decreased significantly and whether such a decrease in activity results in transactions that are not orderly. GAAP requires enhanced disclosures around valuation inputs and techniques used during annual and interim periods.
Various inputs are used in determining the value of the fund’s investments
relating to fair value measurements. These inputs are summarized in the three broad levels listed below:
Level 1—unadjusted quoted prices in active markets for
identical investments.
Level 2—other significant observable inputs (including quoted
prices for similar investments, interest rates, prepayment speeds, credit risk, etc.).
Level 3—significant unobservable inputs (including the fund’s own
assumptions in determining the fair value of investments).
The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities. Changes in valuation techniques may result in transfers in or out of an assigned level within the disclosure hierarchy. Valuation techniques
used to value the fund’s investments are as follows:
Investments in securities are valued at the last sales price on the securities exchange or national securities market on which such securities are primarily traded. Securities listed on the National Market System for which market quotations are available are valued at the official closing price or, if there is no official closing price that day, at the last sales price. Securities not listed on an exchange or the national securities market, or securities for which there were no transactions, are valued at the average of the most recent bid and asked prices, except for open short positions, where the asked price is used for valuation purposes. Bid price is used when no asked price is available. Registered investment companies that are not traded on an exchange are valued at their net asset value. All preceding securities are categorized as Level 1 of the fair value hierarchy.
Fair valuing of securities may be determined with the assistance of a
pricing service using calculations based on indices of domestic securities and other appropriate indicators, such as prices of relevant ADRs and futures contracts. Utilizing these techniques may result in transfers between Level 1 and Level 2 of the fair value hierarchy.
When market quotations or official closing prices are not readily available, or are determined not to reflect accurately fair value, such as when the value of a security has been significantly affected by events after the close of the exchange or market on which the security is principally traded (for example, a foreign exchange or market), but before the fund calculates its net asset value, the fund may value these investments at fair value as determined in accordance with the procedures approved by the Board of Trustees. Certain factors may be considered when fair valuing investments such as: fundamental analytical data, the nature and duration of restrictions on disposition, an evaluation of the forces that influence the market in which the securities are purchased and sold, and public trading in similar securities of the issuer or comparable issuers. These securities are either categorized within Level 2 or 3 depending on the relevant inputs used.
For restricted securities where observable inputs are limited, assumptions about market activity and risk are used and are categorized as Level 3 of the fair value hierarchy.
Pursuant to a securities lending agreement with The Bank of New York Mellon, the fund may lend securities to qualified institutions. It
is the fund’s policy that, at origination, all loans are secured by collateral
of at least 102% of the value of U.S. securities loaned and 105% of the value of foreign securities loaned. Collateral equivalent to at least 100% of the market value of securities on loan is maintained at all times. Collateral is either in the form of cash, which can be invested in certain money market mutual funds managed by the Manager or U.S. Government and Agency securities. The fund is entitled to receive all dividends, interest and distributions on securities loaned, in addition to income earned as a result of the lending transaction. Should a borrower fail to return the securities in a timely manner, The Bank of New York Mellon is required to replace the securities for the benefit of the fund and credit the fund with the market value of the unreturned
securities and is subrogated to the fund’s rights against the borrower
and the collateral.
Additional investment related disclosures are hereby incorporated by reference to the annual and semi-annual reports previously filed with the Securities and Exchange Commission on Form N-CSR.
Item 2. Controls and Procedures.
(a) The Registrant's principal executive and principal financial officers have concluded, based on their evaluation of the Registrant's disclosure controls and procedures as of a date within 90 days of the filing date of this report, that the Registrant's disclosure controls and procedures are reasonably designed to ensure that information required to be disclosed by the Registrant on Form N-Q is recorded, processed, summarized and reported within the required time periods and that information required to be disclosed by the Registrant in the reports that it files or submits on Form N-Q is accumulated and communicated to the Registrant's management, including its principal executive and principal financial officers, as appropriate to allow timely decisions regarding required disclosure.
(b) There were no changes to the Registrant's internal control over financial reporting that occurred during the Registrant's most recently ended fiscal quarter that have materially affected, or are reasonably likely to materially affect, the Registrant's internal control over financial reporting.
Item 3. Exhibits.
(a) Certifications of principal executive and principal financial officers as required by Rule 30a-2(a) under the Investment Company Act of 1940.
FORM N-Q
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.
Dreyfus Growth and Income Fund, Inc.
By:
/s/ Bradley J. Skapyak
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Bradley J. Skapyak
President
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Date:
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March 25, 2014
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Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this Report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
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By:
/s/ Bradley J. Skapyak
|
Bradley J. Skapyak
President
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Date:
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March 25, 2014
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By:
/s/ James Windels
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James Windels
Treasurer
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Date:
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March 25, 2014
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EXHIBIT INDEX
(a) Certifications of principal executive and principal financial officers as required by Rule 30a-2(a) under the Investment Company Act of 1940. (EX-99.CERT)
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