0000728889-14-001591.txt : 20141229 0000728889-14-001591.hdr.sgml : 20141225 20141229151928 ACCESSION NUMBER: 0000728889-14-001591 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20141031 FILED AS OF DATE: 20141229 DATE AS OF CHANGE: 20141229 EFFECTIVENESS DATE: 20141229 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER SERIES FUND CENTRAL INDEX KEY: 0000356865 IRS NUMBER: 061207374 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-03346 FILM NUMBER: 141312469 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 SERIES FUND INC DATE OF NAME CHANGE: 19960909 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 S000007309 Oppenheimer Value Fund C000020080 A C000020081 B C000020082 C C000020083 R C000033091 Y C000110989 I NSAR-B 1 answer.fil OPPENHEIMER SERIES FUND, INC. 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G020500 15237 028 G030500 0 028 G040500 289902 028 H000500 26998 029 000500 Y 030 A000500 483 030 B000500 5.75 030 C000500 0.00 031 A000500 163 031 B000500 0 032 000500 320 033 000500 0 034 000500 Y 035 000500 24 036 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 100 042 D000500 0 042 E000500 0 042 F000500 0 042 G000500 0 042 H000500 0 043 000500 3846 044 000500 6469 045 000500 Y 046 000500 N 047 000500 Y PAGE 5 048 000500 0.000 048 A010500 300000 048 A020500 0.625 048 B010500 100000 048 B020500 0.500 048 C010500 4600000 048 C020500 0.450 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 5000000 048 K020500 0.430 049 000500 N 050 000500 N 051 000500 N 052 000500 N 053 A000500 Y 053 B000500 Y 053 C000500 N 054 A00AA00 Y 054 B00AA00 Y 054 C00AA00 Y 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 Y 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 Y 055 A000500 Y 055 B000500 N 056 000500 Y 057 000500 N 058 A00AA00 N 059 00AA00 Y PAGE 6 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 1000 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 063 A000500 0 063 B000500 0.0 066 A000500 Y 066 B000500 N 066 C000500 Y 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 N 067 000500 N 068 A000500 N 068 B000500 N 069 000500 N 070 A010500 Y 070 A020500 N 070 B010500 Y 070 B020500 N 070 C010500 Y 070 C020500 N 070 D010500 Y 070 D020500 N 070 E010500 Y 070 E020500 N 070 F010500 Y 070 F020500 N 070 G010500 Y 070 G020500 N 070 H010500 Y 070 H020500 N 070 I010500 Y PAGE 7 070 I020500 N 070 J010500 Y 070 J020500 N 070 K010500 Y 070 K020500 Y 070 L010500 Y 070 L020500 Y 070 M010500 Y 070 M020500 N 070 N010500 N 070 N020500 N 070 O010500 Y 070 O020500 N 070 P010500 Y 070 P020500 Y 070 Q010500 N 070 Q020500 N 070 R010500 N 070 R020500 N 071 A000500 1057779 071 B000500 1349069 071 C000500 2294671 071 D000500 46 072 A000500 12 072 B000500 0 072 C000500 52516 072 D000500 0 072 E000500 0 072 F000500 11009 072 G000500 2 072 H000500 0 072 I000500 2747 072 J000500 13 072 K000500 0 072 L000500 0 072 M000500 40 072 N000500 13 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 23 072 S000500 18 072 T000500 3475 072 U000500 0 072 V000500 0 072 W000500 243 072 X000500 17583 072 Y000500 17 072 Z000500 34950 072AA000500 132354 072BB000500 0 PAGE 8 072CC010500 106927 072CC020500 0 072DD010500 14601 072DD020500 183 072EE000500 0 073 A010500 0.6753 073 A020500 0.2621 073 B000500 0.0000 073 C000500 0.0000 074 A000500 1000 074 B000500 0 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 2215408 074 G000500 0 074 H000500 0 074 I000500 13929 074 J000500 7598 074 K000500 0 074 L000500 2078 074 M000500 194 074 N000500 2240207 074 O000500 9640 074 P000500 544 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 1573 074 S000500 0 074 T000500 2228450 074 U010500 20546 074 U020500 524 074 V010500 31.50 074 V020500 31.03 074 W000500 0.0000 074 X000500 72509 074 Y000500 11409 075 A000500 0 075 B000500 2306090 076 000500 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N PAGE 9 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 A00AA00 ICI Mutual Insurance Co. 080 C00AA00 135000 081 A00AA00 Y 081 B00AA00 116 082 A00AA00 N 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 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-23 2 form_ex23-375.htm OPPENHEIMER SERIES FUND, INC. form_ex23-375.htm
 
 
 


 
Report of Independent Registered Public Accounting Firm
 
The Board of Trustees and Shareholders
 
Oppenheimer Series Fund, Inc.:
 
In planning and performing our audit of the financial statements of Oppenheimer Value Fund (a portfolio of Oppenheimer Series Fund, Inc.) (the Fund) as of and for the year ended October 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Fund’s internal control over financial reporting. Accordingly, we express no such opinion.
 
Management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company’s assets that could have a material effect on the financial statements.
 
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.
 
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund’s annual or interim financial statements will not be prevented or detected on a timely basis.
 
Our consideration of the Fund’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of October 31, 2014.
 
This report is intended solely for the information and use of management and the Board of Trustees of Oppenheimer Value 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
 
December 22, 2014

 
 
 

EX-99.77E LEGAL 3 form_ex77e-375.htm OPPENHEIMER SERIES FUND, INC. form_ex77e-375.htm
 
 
 

N-SAR EXHIBIT 77E


Pending Litigation.  In 2009, seven class action lawsuits were filed in the U.S. District Court for the District of Colorado against OppenheimerFunds, Inc. (“OFI”), OppenheimerFunds Distributor, Inc., the Fund’s principal underwriter and distributor (the “Distributor”), and certain funds (but not including the Fund) advised by OFI Global Asset Management, Inc. and distributed by the Distributor (the “Defendant Funds”).  The lawsuits also named as defendants certain officers and current and former trustees of the respective Defendant Funds.  The lawsuits raised claims under federal securities laws and alleged, 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 sought unspecified damages, equitable relief and awards of attorneys’ fees and litigation expenses.  The Defendant Funds’ Boards of Trustees also engaged counsel to represent the Funds and the present and former Independent Trustees named in those suits.  In March 2014, the parties in six of these lawsuits executed stipulations and agreements of settlement resolving those actions.  In July 2014, the court entered an order and final judgment approving the settlements as fair, reasonable and adequate. The settlements do not resolve a seventh outstanding lawsuit relating to Oppenheimer Rochester California Municipal Fund (the “California Fund Suit”). OFI believes the California Fund Suit is without legal merit and is defending the suit vigorously.  While it is premature to render any opinion as to the outcome in the California Fund Suit, or whether any costs that OFI may bear in defending the California Fund Suit might not be reimbursed by insurance, OFI believes the California Fund Suit should not impair the ability of OFI or the Distributor to perform their respective duties to the Fund, and that the outcome of the California Fund Suit should not have any material effect on the operations of any of the Oppenheimer Funds.