0000312555-12-000003.txt : 20120629 0000312555-12-000003.hdr.sgml : 20120629 20120629122803 ACCESSION NUMBER: 0000312555-12-000003 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20120430 FILED AS OF DATE: 20120629 DATE AS OF CHANGE: 20120629 EFFECTIVENESS DATE: 20120629 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER SERIES FUND INC CENTRAL INDEX KEY: 0000356865 IRS NUMBER: 061207374 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-03346 FILM NUMBER: 12934908 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: CONNECTICUT MUTUAL INVESTMENT ACCOUNTS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: CONNECTICUT MUTUAL LIQUID ACCOUNT INC DATE OF NAME CHANGE: 19851106 0000356865 S000007308 Oppenheimer Disciplined Allocation Fund C000020076 A C000020077 B C000020078 C C000020079 N 0000356865 S000007309 Oppenheimer Value Fund C000020080 A C000020081 B C000020082 C C000020083 N C000033091 Y C000110989 I NSAR-A 1 answer.fil OPPENHEIMER SERIES FUND, INC. 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B000002 13-3287114 020 C000002 134 020 A000003 BGC FINANCIAL, LP 020 C000003 127 020 A000004 LIQUIDNET, INC. 020 B000004 13-4095933 020 C000004 100 020 A000005 BNY CONVERGEX EXECUTION SOLUTIONS LLC 020 B000005 13-3989198 020 C000005 74 020 A000006 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 020 B000006 13-5674085 020 C000006 70 020 A000007 BARCLAYS CAPITAL, INC. 020 B000007 06-1031656 020 C000007 64 020 A000008 DEUTSCHE BANK SECURITIES INC. 020 B000008 13-2730828 020 C000008 55 020 A000009 CANTOR FITZGERALD & CO. 020 B000009 95-1786286 020 C000009 51 020 A000010 COWEN AND COMPANY, LLC 020 B000010 13-5616116 020 C000010 50 021 000000 1322 023 C000000 0 023 D000000 0 024 00AA00 Y 025 A00AA01 CIT Group 025 B00AA01 13-8988118 025 C00AA01 E 025 D00AA01 40734 025 A00AA02 CITIGROUP 025 B00AA02 11-2418191 025 C00AA02 E 025 D00AA02 40565 025 A00AA03 US BANCORP 025 B00AA03 98-0186363 PAGE 3 025 C00AA03 E 025 D00AA03 56287 025 A00AA04 Wells Fargo 025 B00AA04 22-1147033 025 C00AA04 E 025 D00AA04 101703 026 A000000 N 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 A010500 29884 028 A020500 0 028 A030500 0 028 A040500 51017 028 B010500 25461 028 B020500 31428 028 B030500 0 028 B040500 64630 028 C010500 23859 028 C020500 0 028 C030500 0 028 C040500 56699 028 D010500 21238 028 D020500 0 028 D030500 0 028 D040500 41850 028 E010500 27064 028 E020500 0 028 E030500 0 028 E040500 48380 028 F010500 30068 028 F020500 0 028 F030500 0 028 F040500 48043 028 G010500 157574 028 G020500 31428 028 G030500 0 028 G040500 310619 028 H000500 29267 029 000500 Y 030 A000500 265 030 B000500 5.75 030 C000500 0.00 031 A000500 85 031 B000500 0 PAGE 4 032 000500 180 033 000500 0 034 000500 Y 035 000500 35 036 A000500 N 036 B000500 0 037 000500 N 038 000500 0 039 000500 N 040 000500 Y 041 000500 Y 042 A000500 0 042 B000500 0 042 C000500 0 042 D000500 0 042 E000500 0 042 F000500 0 042 G000500 0 042 H000500 0 043 000500 1870 044 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0 072 F000500 5524 072 G000500 1 072 H000500 0 072 I000500 1941 072 J000500 5 072 K000500 0 072 L000500 0 072 M000500 28 072 N000500 7 072 O000500 0 072 P000500 0 072 Q000500 8 072 R000500 11 072 S000500 14 072 T000500 1866 072 U000500 0 072 V000500 0 072 W000500 162 072 X000500 9567 072 Y000500 44 072 Z000500 21653 072AA000500 31719 072BB000500 0 072CC010500 118310 072CC020500 0 072DD010500 8075 072DD020500 0 072EE000500 0 073 A010500 0.2500 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 2 074 B000500 0 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 2369736 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 50232 074 K000500 0 074 L000500 1017 074 M000500 169 074 N000500 2421156 074 O000500 45901 074 P000500 836 074 Q000500 0 074 R010500 0 PAGE 8 074 R020500 0 074 R030500 0 074 R040500 4270 074 S000500 0 074 T000500 2370149 074 U010500 30330 074 U020500 1402 074 V010500 22.28 074 V020500 21.85 074 W000500 0.0000 074 X000500 173036 074 Y000500 61587 075 A000500 0 075 B000500 2338658 076 000500 0.00 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 Y 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 C00AA00 0 081 B00AA00 0 082 B00AA00 0 083 B00AA00 0 084 B00AA00 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 PAGE 9 086 F020000 0 SIGNATURE BRIAN W. WIXTED TITLE TREASURER EX-99.77E LEGAL 2 form_ex77e-375.htm OPPENHEIMER SERIES FUND, INC. form_ex77e-375.htm
 
 
 

N-SAR EXHIBIT 77E

Pending Litigation.  Since 2009, a number of class action, derivative and individual lawsuits have been pending in federal and state courts against OppenheimerFunds, Inc., the Fund’s investment advisor (the “Manager”), OppenheimerFunds Distributor, Inc., the Fund’s principal underwriter and distributor (the “Distributor”), and certain funds (but not including the Fund) advised by the Manager and distributed by the Distributor (the “Defendant Funds”).  Several of these lawsuits also name as defendants certain officers and current and former trustees of the respective Defendant Funds.  The lawsuits raise claims under federal securities laws and various states’ securities, consumer protection and common law and allege, among other things, that the disclosure documents of the respective Defendant Funds contained misrepresentations and omissions and that the respective Defendant Funds’ investment policies were not followed.  The plaintiffs in these actions seek unspecified damages, equitable relief and awards of attorneys’ fees and litigation expenses.
 
On June 6, 2012, the SEC entered a settled order instituting administrative cease-and-desist proceedings against the Manager and the Distributor, resolving an investigation by the SEC Staff into the 2008 performance of Oppenheimer Champion Income Fund and Oppenheimer Core Bond Fund.  In entering into the settlement, the Manager and the Distributor neither admitted nor denied the allegations set forth in the Order.  As set forth in the Order, the SEC found that the disclosure documents for Oppenheimer Champion Income Fund did not adequately disclose certain of that fund's investment practices and that the Manager made misleading statements about the ability of Oppenheimer Champion Income Fund and Oppenheimer Core Bond Fund to recoup losses incurred as a result of unprecedented volatility in the credit markets.  On the basis of those findings, the Manager and the Distributor were censured and ordered to cease and desist from violations of applicable laws and regulations.  The Manager was also ordered to pay disgorgement, prejudgment interest and a civil money penalty.
 
Other class action and individual lawsuits have been filed since 2008 in various state and federal courts against the Manager and certain of its affiliates by investors seeking to recover investments they allegedly lost as a result of the “Ponzi” scheme run by Bernard L. Madoff and his firm, Bernard L. Madoff Investment Securities, LLC (“BLMIS”).  Plaintiffs in these suits allege that they suffered losses as a result of their investments in several funds managed by an affiliate of the Manager and assert a variety of claims, including breach of fiduciary duty, fraud, negligent misrepresentation, unjust enrichment, and violation of federal and state securities laws and regulations, among others.  They seek unspecified damages, equitable relief and awards of attorneys’ fees and litigation expenses.  Neither the Distributor, nor any of the Oppenheimer mutual funds, their independent trustees or directors are named as defendants in these lawsuits.  None of the Oppenheimer mutual funds invested in any funds or accounts managed by Madoff or BLMIS.  On February 28, 2011, a stipulation of partial settlement of three groups of consolidated putative class action lawsuits relating to these matters was filed in the U.S. District Court for the Southern District of New York.  On August 19, 2011, the court entered an order and final judgment approving the settlement as fair, reasonable and adequate.  In September 2011, certain parties filed notices of appeal from the court’s order approving the settlement.  On July 29, 2011, a stipulation of settlement between certain affiliates of the Manager and the Trustee appointed under the Securities Investor Protection Act to liquidate BLMIS was filed in the U.S. Bankruptcy Court for the Southern District of New York to resolve purported preference and fraudulent transfer claims by the Trustee.  On September 22, 2011, the court entered an order approving the settlement as fair, reasonable and adequate.  In October 2011, certain parties filed notices of appeal from the court’s order approving the settlement.  The aforementioned settlements do not resolve other outstanding lawsuits against the Manager and its affiliates relating to BLMIS.
 
On April 16, 2010, a lawsuit was filed in New York state court against the Manager, an affiliate of the Manager and AAArdvark IV Funding Limited (“AAArdvark IV”), an entity advised by the Manager’s affiliate, in connection with investments made by the plaintiffs in AAArdvark IV.  Plaintiffs allege breach of contract against the defendants and seek compensatory damages, costs and disbursements, including attorney fees.  On July 15, 2011, a lawsuit was filed in New York state court against the Manager, an affiliate of the Manager and AAArdvark Funding Limited (“AAArdvark I”), an entity advised by the Manager’s affiliate, in connection with investments made by the plaintiffs in AAArdvark I.  The complaint alleges breach of contract against the defendants and seeks compensatory damages, costs and disbursements, including attorney fees.  On November 9, 2011, a lawsuit was filed in New York state court against the Manager, an affiliate of the Manager and AAArdvark XS Funding Limited (“AAArdvark XS”), an entity advised by the Manager’s affiliate, in connection with investments made by the plaintiffs in AAArdvark XS.  The complaint alleges breach of contract against the defendants and seeks compensatory damages, costs and disbursements, including attorney fees.
 
The Manager believes the lawsuits and appeals described above are without legal merit and, with the exception of actions it has settled, is defending against them vigorously.  The Defendant Funds’ Boards of Trustees have also engaged counsel to represent the Funds and the present and former Independent Trustees named in those suits.  While it is premature to render any opinion as to the outcome in these lawsuits, or whether any costs that the Defendant Funds may bear in defending the suits might not be reimbursed by insurance, the Manager believes that these suits should not impair the ability of the Manager or the Distributor to perform their respective duties to the Fund, and that the outcome of all of the suits together should not have any material effect on the operations of any of the Oppenheimer mutual funds.
 



 
 
 

EX-99.77I NEW SECUR 3 form_ex77i-375.htm OPPENHEIMER SERIES FUND, INC. form_ex77i-375.htm
 
 
 

Oppenheimer Value Fund
NSAR Exhibit – Item 77I

Oppenheimer Value Fund, a series of Oppenheimer Series Fund, Inc. (the "Registrant"), which offers share classes A, B, C, N and Y, began offering Class I shares on February 28, 2012.  Post-Effective Amendment No. 54 to the Registrant's Registration Statement, Accession Number  0000728889-12-000385, which includes the terms of Class I shares, is hereby incorporated by reference as part of the response to Item 77I of the Registrant's Form N-SAR.

 

 
 
 

EX-99.77Q1 OTHR EXHB 4 form_ex77q1-375.htm OPPENHEIMER SERIES FUND, INC. form_ex77q1-375.htm
 
 
 

Oppenheimer Value Fund
NSAR Exhibit – Item 77Q1



OPPENHEIMER SERIES FUND, INC.

ARTICLES SUPPLEMENTARY


Oppenheimer Series Fund, Inc., a Maryland corporation (hereinafter called the "Corporation"), hereby certifies to the State Department of Assessments and Taxation of Maryland that:

FIRST:  The Corporation is registered as an open-end company under the Investment Company Act of 1940, as amended (the “1940 Act”).
 
SECOND:  The Board of Directors has duly classified 100,000,000 shares of undesignated common stock par value $.001 per share (the “Common Stock”) of the Corporation into a new class of Common Stock of the Corporation designated as “Class I shares” and has provided for the issuance of such class.
 
THIRD: The terms of the Class I shares (including the preferences, conversion or other rights, voting powers, restrictions, limitations as to dividends and other distributions, qualifications, or terms or conditions of redemption) as established by the Board of Directors are as set forth in Article IV of the charter of the Corporation (the “Charter”) for all other classes of Common Stock of the Corporation. Pursuant to the Charter, the Board of Directors may establish such fees and sales charges in accordance with the 1940 Act and the applicable rules and regulations of the Financial Industry Regulatory Authority.
 
FOURTH: As of immediately before the reclassification:
 
(a)  The total number of shares of stock of all classes which the Corporation has authority to issue is 3,000,000,000 (three billion) shares of Common Stock, of which 2,300,000,000 (two billion three hundred million) are not classified and 700,000,000 (seven hundred million) are classified as a series of Common Stock designated the “Oppenheimer Value Fund”, consisting of five classes of common stock designated as 300,000,000 (three hundred million) Class A shares, 100,000,000 (one hundred million) Class B shares, 50,000,000 (fifty million) Class C shares, 100,000,000 (one hundred million) Class N shares, and 150,000,000 (one hundred fifty million) Class Y shares.
 
(b)  The aggregate par value of all shares of stock of the Corporation having a par value is $3,000,000.
 
FIFTH:  As reclassified:
 
(a)  The total number of shares of stock of all classes which the Corporation has authority to issue is 3,000,000,000 (three billion) shares of Common Stock, of which 2,200,000,000 (two billion two hundred million) are not further classified and 800,000,000 (eight hundred million) are classified as a series of Common Stock designated the “Oppenheimer Value  Fund”, consisting of six classes of common stock designated as 300,000,000 (three hundred million) Class A shares, 100,000,000 (one hundred million) Class B shares, 50,000,000 (fifty million) Class C shares, 100,000,000 (one hundred million) Class N shares, 150,000,000 (one hundred fifty million) Class Y shares, and 100,000,000 (one hundred million) Class I shares.
 
(b)  The aggregate par value of all shares of stock of the Corporation having a par value is $3,000,000.
 
SIXTH:  The Class I shares have been classified by the Board of Directors under the authority contained in the Charter.  These Articles Supplementary do not increase the aggregate authorized capital stock of the Corporation.
 

IN WITNESS WHEREOF, Oppenheimer Series Fund, Inc. has caused these presents to be signed in its name and on its behalf by its Secretary and witnessed by its Vice President on February 21, 2012.

WITNESS:                                                                                  OPPENHEIMER SERIES FUND, INC.



By: /s/Taylor V. Edwards                                                                                  By: /s/ Christina Nasta
Taylor V. Edwards                                                                                  Christina Nasta, Vice President &
Assistant Secretary                                                                                  Chief Business Officer


THE UNDERSIGNED, Vice President of Oppenheimer Series Fund, Inc., who executed on behalf of the Corporation the foregoing Articles Supplementary of which this Certificate is made a part, hereby acknowledges in the name and on behalf of said Corporation the foregoing Articles Supplementary to be the corporate act of said Corporation and hereby certifies that the matters and facts set forth herein with respect to the authorization and approval thereof are true in all material respects under the penalties for perjury.



/s/ Christina Nasta
Christina Nasta, Vice President & Chief Business Officer