-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, A4778szjDOi79qA3mCFB8zbBEaOU+1UkOge15ATPVjfFRevgfTVqMpxkWSwRPMsC p/31z8s5IM6USpkwM3w6AA== 0000319767-03-000002.txt : 20030428 0000319767-03-000002.hdr.sgml : 20030428 20030425180430 ACCESSION NUMBER: 0000319767-03-000002 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20030228 FILED AS OF DATE: 20030428 EFFECTIVENESS DATE: 20030428 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER CAPITAL APPRECIATION FUND CENTRAL INDEX KEY: 0000319767 IRS NUMBER: 133054122 STATE OF INCORPORATION: MA FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-03105 FILM NUMBER: 03665492 BUSINESS ADDRESS: STREET 1: 6803 SOUTH TUCSON WAY STREET 2: N/A CITY: CENTENNIAL STATE: CO ZIP: 80112-3924 BUSINESS PHONE: 303-768-3200 MAIL ADDRESS: STREET 1: 6803 SOUTH TUCSON WAY STREET 2: N/A CITY: CENTENNIAL STATE: CO ZIP: 80112-3924 FORMER COMPANY: FORMER CONFORMED NAME: OPPENHEIMER TARGET FUND INC DATE OF NAME CHANGE: 19870616 FORMER COMPANY: FORMER CONFORMED NAME: OPPENHEIMER TARGET FUND DATE OF NAME CHANGE: 19920703 NSAR-A 1 answer.fil CAPITAL APPRECIATION NSAR/A PAGE 1 000 A000000 02/28/2003 000 C000000 0000319767 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 OPPENHEIMER CAPITAL APPRECIATION FUND 001 B000000 811-3105 001 C000000 8002255677 002 A000000 498 SEVENTH AVENUE 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10018 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 008 A000001 OPPENHEIMERFUNDS, INC. 008 B000001 A 008 C000001 801-8253 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10018 011 A000001 OPPENHEIMERFUNDS DISTRIBUTOR, INC. 011 B000001 8-22992 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10018 012 A000001 OPPENHEIMERFUNDS SERVICES 012 B000001 84-1562 012 C010001 ENGLEWOOD 012 C020001 CO 012 C030001 80112 012 C040001 3924 013 A000001 KPMG LLP 013 B010001 DENVER 013 B020001 CO 013 B030001 80202 015 A000001 JP MORGAN CHASE BANK 015 B000001 C 015 C010001 BROOKLYN 015 C020001 NY 015 C030001 11245 018 000000 Y 019 A000000 Y PAGE 2 019 B000000 61 019 C000000 OPPENHEIMR 020 A000001 MERRILL LYNCH 020 B000001 13-5674085 020 C000001 532 020 A000002 PRUDENTIAL 020 B000002 22-2347336 020 C000002 242 020 A000003 LEHMAN BROTHERS 020 B000003 13-2518466 020 C000003 236 020 A000004 JEFFRIES & CO 020 B000004 95-2622900 020 C000004 234 020 A000005 UBS WARBURG 020 B000005 13-1939216 020 C000005 191 020 A000006 CS FIRST BOSTON 020 B000006 13-5659485 020 C000006 160 020 A000007 JP MORGAN SECURITIES 020 B000007 13-2633612 020 C000007 144 020 A000008 MORGAN STANLEY 020 B000008 13-2655998 020 C000008 138 020 A000009 BEAR STEARNS 020 B000009 13-3299429 020 C000009 122 020 A000010 SALMN SMTH BARNEY/CITIGRP 020 B000010 13-2771536 020 C000010 118 021 000000 3451 022 A000001 DEUTSCHE BANK-FOREIGN 022 C000001 11790721 022 D000001 0 022 A000002 UBS WARBURG 022 B000002 13-1939216 022 C000002 6924129 022 D000002 0 022 A000003 ZION NATIONAL BANK 022 B000003 87-0189025 022 C000003 5030249 022 D000003 0 022 A000004 BNP PARIBAS - FOREIGN 022 B000004 0000000 022 C000004 4849446 022 D000004 0 022 A000005 DEUTSCHE BANK/ALEX BROWN 022 C000005 1052474 022 D000005 0 PAGE 3 022 A000006 MERRILL LYNCH 022 B000006 13-5674085 022 C000006 0 022 D000006 1487 023 C000000 29647019 023 D000000 1487 024 000000 N 026 A000000 Y 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 028 A010000 354618 028 A020000 0 028 A030000 0 028 A040000 120951 028 B010000 230331 028 B020000 0 028 B030000 0 028 B040000 155736 028 C010000 183010 028 C020000 0 028 C030000 0 028 C040000 87098 028 D010000 111608 028 D020000 0 028 D030000 0 028 D040000 127883 028 E010000 157000 028 E020000 0 028 E030000 0 028 E040000 160067 028 F010000 126670 028 F020000 0 028 F030000 0 028 F040000 134750 028 G010000 1163237 028 G020000 0 028 G030000 0 028 G040000 786485 028 H000000 739087 029 000000 Y 030 A000000 3478 030 B000000 5.75 030 C000000 0.00 031 A000000 599 PAGE 4 031 B000000 0 032 000000 2879 033 000000 0 034 000000 Y 035 000000 1997 036 A000000 N 036 B000000 0 037 000000 N 038 000000 0 039 000000 N 040 000000 Y 041 000000 Y 042 A000000 0 042 B000000 0 042 C000000 0 042 D000000 100 042 E000000 0 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 11335 044 000000 0 045 000000 Y 046 000000 N 047 000000 Y 048 000000 0.000 048 A010000 200000 048 A020000 0.750 048 B010000 200000 048 B020000 0.720 048 C010000 200000 048 C020000 0.690 048 D010000 200000 048 D020000 0.660 048 E010000 200000 048 E020000 0.600 048 F010000 700000 048 F020000 0.600 048 G010000 1000000 048 G020000 0.580 048 H010000 2000000 048 H020000 0.560 048 I010000 4000000 048 I020000 0.540 048 J010000 8500000 048 J020000 0.520 048 K010000 0 048 K020000 0.000 053 A000000 Y 053 B000000 Y 053 C000000 N PAGE 5 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 Y 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 Y 054 M000000 Y 054 N000000 N 054 O000000 Y 055 A000000 N 055 B000000 N 056 000000 N 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 50 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 063 A000000 0 063 B000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 Y 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 N PAGE 6 067 000000 N 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 Y 070 B010000 Y 070 B020000 N 070 C010000 Y 070 C020000 N 070 D010000 Y 070 D020000 N 070 E010000 Y 070 E020000 N 070 F010000 Y 070 F020000 N 070 G010000 Y 070 G020000 N 070 H010000 Y 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 Y 070 J020000 Y 070 K010000 Y 070 K020000 Y 070 L010000 Y 070 L020000 Y 070 M010000 Y 070 M020000 Y 070 N010000 Y 070 N020000 N 070 O010000 Y 070 O020000 N 070 P010000 Y 070 P020000 Y 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 1376866 071 B000000 810232 071 C000000 5200998 071 D000000 16 072 A000000 6 072 B000000 4525 072 C000000 27534 072 D000000 0 072 E000000 0 072 F000000 16853 072 G000000 0 PAGE 7 072 H000000 0 072 I000000 8665 072 J000000 25 072 K000000 180 072 L000000 1021 072 M000000 191 072 N000000 0 072 O000000 0 072 P000000 0 072 Q000000 0 072 R000000 0 072 S000000 0 072 T000000 11335 072 U000000 0 072 V000000 0 072 W000000 88 072 X000000 38358 072 Y000000 855 072 Z000000 -5443 072AA000000 50354 072BB000000 500020 072CC010000 49699 072CC020000 0 072DD010000 0 072DD020000 0 072EE000000 0 073 A010000 0.0000 073 A020000 0.0000 073 B000000 0.0000 073 C000000 0.0000 074 A000000 0 074 B000000 219428 074 C000000 220747 074 D000000 25210 074 E000000 0 074 F000000 5149734 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 46330 074 K000000 0 074 L000000 15349 074 M000000 66 074 N000000 5676864 074 O000000 51347 074 P000000 4406 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 12150 PAGE 8 074 S000000 0 074 T000000 5608961 074 U010000 117078 074 U020000 34076 074 V010000 28.68 074 V020000 26.92 074 W000000 0.0000 074 X000000 473411 074 Y000000 0 075 A000000 0 075 B000000 5822970 076 000000 0.00 077 A000000 Y 077 C000000 Y 077 Q010000 Y 077 Q030000 Y 078 000000 N 080 C000000 0 081 B000000 0 082 B000000 0 083 B000000 0 084 B000000 0 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE BRIAN W. WIXTED TITLE TREASURER EX-22 3 ex22-320.txt CAPITAL APPRECIATION SHAREHOLDER VOTE SHAREHOLDER MEETING On November 22,2002,the initial shareholder meeting was held at which shareholders elected all of the nominated Trustees and approved proposals 2(a) - - 2(d), 2(f), 2(i) and 2(j), 3(a) - 3(d) and 4 as described in the Fund's proxy statement for the meeting. The initial meeting was adjourned until December 18, 2002 with respect to proposals 2(e), 2(g) and 2(h) in order to solicit additional votes. On December 18,2002, shareholders approved proposals 2(e), 2(g) and 2(h) as described in the Trust's proxy statement for that meeting. The following is a report of the votes cast at the meetings: - -------------------------------------------------------------------------------- (PROPOSAL NO.1) 1. The twelve* persons named below to serve as Trustee of the Fund until their successors are elected and shall qualify:
NOMINEE FOR WITHHELD TOTAL Leon Levy* 94,011,274.662 3,463,642.662 97,474,917.324 Donald W. Spiro 94,202,655.174 3,272,262.150 97,474,917.324 John V. Murphy 94,039,849.423 3,435,067.901 97,474,917.324 Robert G. Galli 94,304,895.405 3,170,021.919 97,474,917.324 Phillip A. Griffiths 94,465,790.326 3,009,126.998 97,474,917.324 Benjamin Lipstein 94,128,273.556 3,346,643.768 97,474,917.324 Joel W. Motley 94,343,602.930 3,131,314.394 97,474,917.324 Elizabeth B. Moynihan 94,248,413.333 3,226,503.991 97,474,917.324 Kenneth A. Randall 94,317,230.179 3,157,687.145 97,474,917.324 Edward V. Regan 94,331,204.164 3,143,713.160 97,474,917.324 Russell S. Reynolds, Jr. 94,362,502.585 3,112,414.739 97,474,917.324 Clayton K. Yeutter 94,256,885.508 3,218,031.816 97,474,917.324
* Mr.Levy resigned from the Board of Trustees effective January 1, 2003.
BROKER FOR AGAINST ABSTAIN NON-VOTES TOTAL - ------------------------------------------------------------------------------------------ (PROPOSAL NO.2A-J) 2(A). Eliminate the Fund's fundamental investment policy with respect to purchasing securities on margin: 83,805,624.192 7,985,628.141 3,537,719.991 2,145,945.000 97,474,917.324 2(B). Amend the Fund's fundamental investment policy with respect to investing in real estate: 69,735,567.196 22,555,819.265 3,037,585.863 2,145,945.000 97,474,917.324 2(C). Eliminate the Fund's fundamental investment policy with respect to purchasing securities of issuers in which officers or trustees have interest: 81,373,425.919 10,293,106.872 3,662,439.533 2,145,945.000 97,474,917.324 2(D). Eliminate the Fund's fundamental investment policy with respect to investing in oil, gas or other mineral exploration or development programs: 68,071,702.221 23,679,735.814 3,577,534.289 2,145,945.000 97,474,917.324 2(E). Eliminate the Fund's fundamental investment policy with respect to investing in a company for the purpose of acquiring control: 69,011,000.925 25,027,274.195 3,762,695.884 983,116.000 98,784,087.004 2(F). Replacement of the fundamental investment policy with respect to investing in other investment companies with a non-fundamental investment policy: 85,647,032.724 6,061,944.189 3,619,995.411 2,145,945.000 97,474,917.324 2(G). Amend the Fund's fundamental investment policy with respect to borrowing: 67,603,572.411 26,626,207.596 3,571,190.997 983,116.000 98,784,087.004 2(H). Eliminate the Fund's fundamental investment policy with respect to pledging or mortgaging assets: 67,573,287.758 26,633,567.545 3,594,115.701 983,116.000 98,784,087.004 2(I). Amend the Fund's fundamental investment policy with respect to lending: 66,781,867.602 24,937,951.207 3,609,153.515 2,145,945.000 97,474,917.324 2(J). Amend the Fund's fundamental investment policy with respect to inveting in commodities: 66,809,144.418 24,964,978.386 3,554,849.520 2,145,945.000 97,474,917.324 - ------------------------------------------------------------------------------------------ (PROPOSAL NO.3A-D) 3. Approval authorizing the Fund's Trustees to adopt an Amended and Restated Declaration of Trust): (A) Future amendments of the Declaration of Trust: 67,157,257.198 23,541,858.835 4,629,856.291 2,145,945.000 97,474,917.324 (B) Reorganization of the Fund or its series or class: 85,567,665.971 5,104,564.424 4,656,741.929 2,145,945.000 97,474,917.324 (C) Involuntary redemptions: 84,268,992.778 6,112,107.112 4,947,872.434 2,145,945.000 97,474,917.324 (D) Other changes under the new Declaration of Trust: 66,923,919.972 23,612,418.953 4,792,633.399 2,145,945.000 97,474,917.324 - ------------------------------------------------------------------------------------------ (PROPOSAL NO.4) 4. Approval of an Amended and Restated Class C 12b-1 Distribution and Service Plan and Agreement (Class C shareholders only): 5,766,111.980 366,912.404 483,534.895 1,492,358.000 8,108,917.279
EX-99.77Q3 CERT 4 ex99-320.txt CAPITAL APPRECIATION CERTIFICATION Exhibit to Sub-Item 77Q3 of Form N-SAR (i) Based on their evaluation of registrant's disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act of 1940 (17 CFR 270.30a-2(c)) as of April 24, 2003, registrant's principal executive officer and principal financial officer found registrant's disclosure controls and procedures to be appropriately designed to ensure that information required to be disclosed by registrant in the reports that it files under the Securities Exchange Act of 1934 (a) is accumulated and communicated to registrant's management, including its principal executive officer and principal financial officer, to allow timely decisions regarding required disclosure, and (b) is recorded, processed, summarized and reported, within the time periods specified in the rules and forms adopted by the U.S. Securities and Exchange Commission. (ii) There have been no significant changes in registrant's internal controls or in other factors that could significantly affect registrant's internal controls subsequent to the date of the most recent evaluation as indicated, including no significant deficiencies or material weaknesses that required corrective action. (iii) See certification below. CERTIFICATIONS I, John V. Murphy, certify that: 1. I have reviewed this report on Form N-SAR of Oppenheimer Capital Appreciation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. Date: 4/24/03 -------- /s/John V. Murphy ----------------------- John V. Murphy President I, Brian W. Wixted, certify that: 1. I have reviewed this report on Form N-SAR of Oppenheimer Capital Appreciation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. Date: 4/24/03 -------- /s/Brian W. Wixted --------------------- Brian W. Wixted Treasurer -----END PRIVACY-ENHANCED MESSAGE-----