-----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, A0Y3qvfDmOScy9oRKaGZfMj52C5XXggLMj4e1L9WLvyZm2NP70yddfDG9DMGKA8a p7qDSrSeVr1yW3xSYoSpXQ== 0000319767-05-000002.txt : 20051027 0000319767-05-000002.hdr.sgml : 20051027 20051027160726 ACCESSION NUMBER: 0000319767-05-000002 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20050831 FILED AS OF DATE: 20051027 DATE AS OF CHANGE: 20051027 EFFECTIVENESS DATE: 20051027 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-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-03105 FILM NUMBER: 051160202 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 DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: OPPENHEIMER TARGET FUND INC DATE OF NAME CHANGE: 19870616 NSAR-B 1 answer.fil OPPENHEIMER CAPITAL APPRECIATION PAGE 1 000 B000000 08/31/2005 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 Two World Financial Center 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10281 002 D020000 1008 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 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WIXTED TITLE TREASURER EX-99 2 ex99a-320.txt OPPENHEIMER CAPITAL APPRECIATION ROCSOP Net investment income (loss) and net realized gain (loss) may differ for financial statement and tax purposes. The character of dividends and distributions made during the fiscal year from net investment income or net realized gains may differ from their ultimate characterization for federal income tax purposes. Also, due to timing of dividends and distributions, the fiscal year in which amounts are distributed may differ from the fiscal year in which the income or net realized gain was recorded by the Fund. Accordingly, the following amounts have been reclassified for August 31, 2005. Net assets of the Fund were unaffected by the reclassifications. INCREASE TO REDUCTION TO ACCUMULATED ACCUMULATED NET REDUCTION TO NET INVESTMENT REALIZED LOSS PAID-IN CAPITAL INCOME ON INVESTMENTS ---------------------------------------------------- $5,072,075 $3,629,031 $1,443,044 EX-23 3 ex23-320.txt OPPENHEIMER CAPITAL APPRECIATION The Board of Trustees and Shareholders Oppenheimer Capital Appreciation Fund: In planning and performing our audit of the financial statements of Oppenheimer Capital Appreciation Fund (the Fund) for the year ended August 31, 2005, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Fund is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with accounting principles generally accepted in the United States of America. Those controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, error or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). A material weakness is a significant deficiency, or combination of significant deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected. However, we noted no matters involving internal control and its operation, including controls for safeguarding securities, which we consider to be material weaknesses as defined above as of August 31, 2005. This report is intended solely for the information and use of management, the board of trustees of Oppenheimer Capital Appreciation Fund, and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. KPMG LLP Denver, Colorado October 17, 2005 EX-99.77E LEGAL 4 ex99-320.txt OPPENHEIMER CAPITAL APPRECIATION LITIGATION A consolidated amended complaint has been filed as putative derivative and class actions against the Manager, OFS and the Distributor, as well as 51 of the Oppenheimer funds (as "Nominal Defendants") including the Fund, 30 present and former Directors or Trustees and 8 present and former officers of the funds. This complaint, initially filed in the U.S. District Court for the Southern District of New York on January 10, 2005 and amended on March 4, 2005, consolidates into a single action and amends six individual previously-filed putative derivative and class action complaints. Like those prior complaints, the complaint alleges that the Manager charged excessive fees for distribution and other costs, improperly used assets of the funds in the form of directed brokerage commissions and 12b-1 fees to pay brokers to promote sales of the funds, and failed to properly disclose the use of assets of the funds to make those payments in violation of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Also, like those prior complaints, the complaint further alleges that by permitting and/or participating in those actions, the Directors/Trustees and the Officers breached their fiduciary duties to shareholders of the funds under the Investment Company Act of 1940 and at common law. The complaint seeks unspecified compensatory and punitive damages, rescission of the funds' investment advisory agreements, an accounting of all fees paid, and an award of attorneys' fees and litigation expenses. The defendants believe that the allegations contained in the Complaints are without merit and that they have meritorious defenses against the claims asserted. The defendants intend to defend these lawsuits vigorously and to contest any claimed liability. The defendants believe that it is premature to render any opinion as to the likelihood of an outcome unfavorable to them and that no estimate can yet be made with any degree of certainty as to the amount or range of any potential loss. EX-22 5 ex22-320.txt OPPENHEIMER CAPITAL APPRECIATION REPORT OF SHAREHOLDER MEETING - -------------------------------------------------------------------------------- On August 17, 2005, a joint special meeting of shareholders was held at which the eleven Trustees identified below were elected (Proposal No. 1) and changes in, or the addition or elimination of, certain fundamental investment policies were approved (Proposal No. 2) as described in the Fund's proxy statement for that meeting. The following is a report of the votes cast:
- -------------------------------------------------------------------------------- PROPOSAL NO.1 NOMINEE FOR WITHHELD TOTAL - -------------------------------------------------------------------------------- TRUSTEES Matthew P. Fink 130,221,591.545 1,713,898.417 131,935,489.962 Robert G. Galli 130,141,578.604 1,793,911.358 131,935,489.962 Phillip A. Griffiths 130,205,650.404 1,729,839.558 131,935,489.962 Mary F. Miller 130,191,926.358 1,743,563.604 131,935,489.962 Joel W. Motley 130,240,275.132 1,695,214.830 131,935,489.962 John V. Murphy 130,196,273.786 1,739,216.176 131,935,489.962 Kenneth A. Randall 130,071,107.067 1,864,382.895 131,935,489.962 Russell S. Reynolds, Jr. 130,068,237.561 1,867,252.401 131,935,489.962 Joseph M. Wikler 130,227,983.383 1,707,506.579 131,935,489.962 Peter I. Wold 130,237,354.472 1,698,135.490 131,935,489.962 Clayton K. Yeutter 130,094,236.722 1,841,253.240 131,935,489.962
- -------------------------------------------------------------------------------- PROPOSAL NO. 2: TO APPROVE A MODIFICATION TO THE FUND'S FUNDAMENTAL INVESTMENT OBJECTIVE
BROKER FOR AGAINST ABSTAIN NON-VOTES TOTAL - -------------------------------------------------------------------------------- 2B: Concentration of Investments 90,009,507.627 2,185,617.093 2,154,459.242 37,585,906.000 131,935,489.962 2C: Diversification of Investments 90,245,360.157 2,026,442.954 2,077,780.851 37,585,906.000 131,935,489.962 2K: Real Estate and Commodities 90,025,889.218 2,275,323.582 2,048,371.162 37,585,906.000 131,935,489.962 2L: Senior Securities 90,150,320.740 1,978,268.808 2,220,994.414 37,585,906.000 131,935,489.962
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