0000728889-16-004413.txt : 20161229 0000728889-16-004413.hdr.sgml : 20161229 20161229105031 ACCESSION NUMBER: 0000728889-16-004413 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20161031 FILED AS OF DATE: 20161229 DATE AS OF CHANGE: 20161229 EFFECTIVENESS DATE: 20161229 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: 162073925 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. PAGE 1 000 B000000 10/31/2016 000 C000000 0000356865 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 SERIES FUND, INC. 001 B000000 811-3346 001 C000000 3037682965 002 A000000 6803 S. Tucson Way 002 B000000 Centennial 002 C000000 CO 002 D010000 80112 002 D020000 3924 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 1 007 C010500 5 007 C020500 Oppenheimer Value Fund 007 C030500 N 008 A00AA01 OFI Global Asset Management, Inc. 008 B00AA01 A 008 C00AA01 801-76771 008 D01AA01 New York 008 D02AA01 NY 008 D03AA01 10281 008 D04AA01 1008 008 A00AA02 OPPENHEIMERFUNDS, INC. 008 B00AA02 S 008 C00AA02 801-08253 008 D01AA02 NEW YORK 008 D02AA02 NY 008 D03AA02 10281 008 D04AA02 1008 011 A00AA01 OPPENHEIMERFUNDS DISTRIBUTOR, INC 011 B00AA01 8-22992 011 C01AA01 NEW YORK 011 C02AA01 NY 011 C03AA01 10281 011 C04AA01 1008 012 A00AA01 OFI Global Asset Management, Inc. 012 B00AA01 84-06477 012 C01AA01 Centennial 012 C02AA01 CO 012 C03AA01 80112 PAGE 2 012 C04AA01 3924 012 A00AA02 Shareholder Services, Inc. (Sub-TA) 012 B00AA02 84-00907 012 C01AA02 Centennial 012 C02AA02 CO 012 C03AA02 80112 012 C04AA02 3924 013 A00AA01 KPMG LLP 013 B01AA01 DENVER 013 B02AA01 CO 013 B03AA01 80202 015 A00AA01 BROWN BROTHERS HARRIMAN & CO. 015 B00AA01 C 015 C01AA01 BOSTON 015 C02AA01 MA 015 C03AA01 02109 015 C04AA01 3661 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 102 019 C00AA00 OPPENHEIMR 020 A000001 SANFORD C. BERNSTEIN & CO. LLC 020 B000001 13-2625874 020 C000001 190 020 A000002 J.P. MORGAN SECURITIES LLC 020 B000002 13-3224016 020 C000002 172 020 A000003 JEFFERIES LLC 020 B000003 95-2622900 020 C000003 157 020 A000004 FIDELITY BROKERAGE SERVICES LLC 020 B000004 04-2785576 020 C000004 29 020 A000005 LIQUIDNET, INC. 020 B000005 13-4095933 020 C000005 29 020 A000006 GOLDMAN, SACHS & CO. 020 B000006 13-5108880 020 C000006 20 020 A000007 CREDIT SUISSE SECURITIES (USA) LLC 020 B000007 13-8988118 020 C000007 16 020 A000008 INTERNATIONAL STRATEGY & INVESTMENT GROUP 020 B000008 13-3054122 020 C000008 15 020 A000009 BARCLAYS CAPITAL INC. 020 B000009 06-1031656 020 C000009 14 020 A000010 NOMURA SECURITIES INTERNATIONAL, INC. 020 B000010 13-2642206 PAGE 3 020 C000010 14 021 000000 777 022 A000001 CREDIT SUISSE SECURITIES (USA) LLC 022 B000001 13-8988118 022 C000001 8494 022 D000001 0 022 A000002 JP MORGAN SECURITIES LLC 022 B000002 13-3224016 022 C000002 5160 022 D000002 0 022 A000003 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000003 13-5674085 022 C000003 4143 022 D000003 0 022 A000004 GOLDMAN, SACHS & CO. 022 B000004 13-5108880 022 C000004 2025 022 D000004 0 022 A000005 BARCLAYS CAPITAL INC. 022 B000005 06-1031656 022 C000005 1590 022 D000005 0 022 A000006 WELLS FARGO SECURITIES, LLC 022 B000006 22-1147033 022 C000006 1590 022 D000006 0 022 A000007 CITIGROUP GLOBAL MARKETS INC. 022 B000007 11-2418191 022 C000007 1102 022 D000007 0 022 A000008 RAYMOND JAMES & ASSOCIATES, INC. 022 B000008 59-1237041 022 C000008 584 022 D000008 0 022 A000009 DEUTSCHE BANK SECURITIES INC. 022 B000009 13-2730828 022 C000009 573 022 D000009 0 022 A000010 MORGAN STANLEY & CO. LLC 022 B000010 13-2655998 022 C000010 573 022 D000010 0 023 C000000 31156 023 D000000 0 024 00AA00 Y 025 A00AA01 J.P. MORGAN SECURITIES LLC 025 B00AA01 13-3224016 025 C00AA01 E 025 D00AA01 83767 025 A00AA02 CITIGROUP GLOBAL MARKETS 025 B00AA02 11-2418191 PAGE 4 025 C00AA02 E 025 D00AA02 9588 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 10313 028 A020500 0 028 A030500 0 028 A040500 21573 028 B010500 13008 028 B020500 6261 028 B030500 0 028 B040500 28418 028 C010500 15141 028 C020500 0 028 C030500 0 028 C040500 38378 028 D010500 12406 028 D020500 0 028 D030500 0 028 D040500 32585 028 E010500 9959 028 E020500 7402 028 E030500 0 028 E040500 24870 028 F010500 11976 028 F020500 0 028 F030500 0 028 F040500 28168 028 G010500 72803 028 G020500 13663 028 G030500 0 028 G040500 173992 028 H000500 11341 029 000500 Y 030 A000500 402 030 B000500 5.75 030 C000500 0.00 031 A000500 128 031 B000500 0 032 000500 274 033 000500 0 034 000500 Y 035 000500 13 PAGE 5 036 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 2741 044 000500 6553 045 000500 Y 046 000500 N 047 000500 Y 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 PAGE 6 054 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 N 055 B000500 N 056 000500 Y 057 000500 N 058 A00AA00 N 059 00AA00 Y 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 PAGE 7 068 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 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 1258445 071 B000500 1421495 071 C000500 1958326 071 D000500 64 072 A000500 12 072 B000500 2 072 C000500 43002 072 D000500 0 072 E000500 0 072 F000500 9500 072 G000500 2 072 H000500 0 PAGE 8 072 I000500 2119 072 J000500 11 072 K000500 0 072 L000500 0 072 M000500 33 072 N000500 13 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 25 072 S000500 22 072 T000500 2727 072 U000500 0 072 V000500 0 072 W000500 102 072 X000500 14554 072 Y000500 33 072 Z000500 28483 072AA000500 29926 072BB000500 0 072CC010500 0 072CC020500 30586 072DD010500 6661 072DD020500 31 072EE000500 0 073 A010500 0.3891 073 A020500 0.1358 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 1968688 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 14946 074 K000500 0 074 L000500 2336 074 M000500 162 074 N000500 1987132 074 O000500 17869 074 P000500 423 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 1301 074 S000500 0 PAGE 9 074 T000500 1967539 074 U010500 16246 074 U020500 165 074 V010500 31.66 074 V020500 31.23 074 W000500 0.0000 074 X000500 58534 074 Y000500 19695 075 A000500 0 075 B000500 1982371 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 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 121 082 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 PAGE 10 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE BRIAN PETERSEN 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:
 
In planning and performing our audit of the financial statements of Oppenheimer Value Fund (the Fund), a series of Oppenheimer Series Fund, as of and for the year ended October 31, 2016, 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, 2016.
 
This report is intended solely for the information and use of management and the Board of Trustees of Oppenheimer Series 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, 2016
 

 


 
 
 

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

N-SAR EXHIBIT 77E
Oppenheimer Value Fund

Pending Litigation.  In 2009, several putative class action lawsuits were filed  and later consolidated before the U.S. District Court for the District of Colorado in connection with the investment performance of Oppenheimer Rochester California Municipal Fund (the “California Fund”) , a fund advised by OppenheimerFunds, Inc. (“OFI”) and distributed by OppenheimerFunds Distributor, Inc. (“OFDI”) .  The plaintiffs asserted claims against OFI, OFDI and certain present and former trustees and officers of the California Fund under the federal securities laws, alleging, among other things, that the disclosure documents of the California Fund contained misrepresentations and omissions and the investment policies of the California Fund were not followed.  An amended complaint and a motion to dismiss were filed, and in 2011, the court issued an order which granted in part and denied in part the defendants’ motion to dismiss.  In October 2015, following a successful appeal by defendants and a subsequent hearing, the court granted plaintiffs’ motion for class certification and appointed class representatives and class counsel.
 
OFI and OFDI believe the suit is without merit; that it is premature to render any opinion as to the likelihood of an outcome unfavorable to them in the suit; and that no estimate can yet be made as to the amount or range of any potential loss.  Furthermore, OFI believes that the suit should not impair the ability of OFI or OFDI to perform their respective duties to the Fund and that the outcome of the suit should not have any material effect on the operations of any of the Oppenheimer funds.
 




 
 
 

EX-99 4 form_ex99a-375.htm OPPENHEIMER SERIES FUND, INC. form_ex99a-375.htm
 
 
 


 
OPPENHEIMER SERIES FUND
 
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 are determined in accordance with federal income tax requirements, which may differ from the character of net investment income or net realized gains presented in those financial statements in accordance with U.S. GAAP. 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 the reporting period. Net assets of the Fund were unaffected by the reclassifications.
Increase to Accumulated Net Investment Income
Increase to Accumulated Net Realized Loss on Investments
$5,432,301
$5,432,301