0001163166-11-000007.txt : 20110629 0001163166-11-000007.hdr.sgml : 20110629 20110629144522 ACCESSION NUMBER: 0001163166-11-000007 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20110429 FILED AS OF DATE: 20110629 DATE AS OF CHANGE: 20110629 EFFECTIVENESS DATE: 20110629 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER EQUITY INCOME FUND INC CENTRAL INDEX KEY: 0000799029 IRS NUMBER: 132527171 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04797 FILM NUMBER: 11938525 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 QUEST CAPITAL VALUE FUND INC DATE OF NAME CHANGE: 19970303 FORMER COMPANY: FORMER CONFORMED NAME: QUEST FOR VALUE DUAL PURPOSE FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: QFV DUAL PURPOSE FUND INC DATE OF NAME CHANGE: 19870111 0000799029 S000008498 OPPENHEIMER EQUITY INCOME FUND, INC. 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WIXTED TITLE TREASURER EX-99.77E LEGAL 2 form_ex77e-835.htm OPPENHEIMER EQUITY INCOME FUND, INC. form_ex77e-835.htm
 
 
 

N-SAR EXHIBIT 77E


Pending Litigation.  Since 2009, a number of lawsuits have been pending in federal 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 in the Oppenheimer family of funds (the "Defendant Funds") advised by the Manager and distributed by the Distributor (but not including the Fund).  The lawsuits naming the Defendant Funds also name as defendants certain officers and current and former trustees of the respective Defendant Funds.  The plaintiffs seek class action status on behalf of purchasers of shares of the respective Defendant Fund during a particular time period.  The lawsuits raise claims under federal securities laws alleging that, among other things, the disclosure documents of the respective Defendant Fund contained misrepresentations and omissions, that such Defendant Fund's investment policies were not followed, and that such Defendant Fund and the other defendants violated federal securities laws and regulations.  The plaintiffs seek unspecified damages, equitable relief and an award of attorneys' fees and litigation expenses.  On June 1, 2011, the U.S. District Court for the District of Colorado gave preliminary approval to Stipulations and Agreements of Settlement in cases involving two funds, Oppenheimer Champion Income Fund and Oppenheimer Core Bond Fund. Those settlements are subject to the final approval of the Court and the determination by the settling defendants that class members representing a sufficient proportion of the losses allegedly suffered by class members had elected to participate in the settlement. Those settlements do not settle any of the other outstanding lawsuits pending in other courts relating to these matters. Additionally, in 2009, what are claimed to be derivative lawsuits were filed in state court against the Manager, the Distributor and another subsidiary of the Manager (but not against the Fund), on behalf of the New Mexico Education Plan Trust. These lawsuits allege breach of contract, breach of fiduciary duty, negligence and violation of state securities laws, and seek compensatory damages, equitable relief and an award of attorneys' fees and litigation expenses.

Other lawsuits have been filed since 2008 in various state and federal courts, against the Manager and certain of its affiliates. Those lawsuits were filed by investors who made investments through an affiliate of the Manager, and relate to the alleged investment fraud perpetrated by Bernard Madoff and his firm (“Madoff”). Those suits allege 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 an award of attorneys' fees and litigation expenses.  None of the suits have named the Distributor, any of the Oppenheimer mutual funds or any of their independent Trustees or Directors as defendants.  None of the Oppenheimer funds invested in any funds or accounts managed by Madoff. On February 28, 2011, a Stipulation of Partial Settlement of certain of those lawsuits was filed in the U.S. District Court for the Southern District of New York. That proposed settlement is subject to the approval of the Court and the determination by the settling defendants that class members representing a sufficient portion of the losses allegedly suffered by class members had elected to participate in the settlement. The proposed settlement does not settle any of the other outstanding lawsuits pending in other courts relating to these matters.

The Manager believes that the lawsuits described above are without legal merit and 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 funds.




 
 
 

EX-99.77I NEW SECUR 3 form_ex77i-835.htm OPPENHEIMER EQUITY INCOME FUND, INC. form_ex77i-835.htm
 
 
 

Oppenheimer Equity Income Fund, Inc.
NSAR Exhibit – Item 77I

Oppenheimer Equity Income Fund, Inc. (the "Registrant"), which offers shares classes A, B, C and N, began offering Class Y shares on February 28, 2011.  Post−Effective Amendment No. 22 to the Registrant's Registration Statement (Accession Number 0000728889-11-000343, as filed with the SEC on February 25, 2011), which describes Class Y 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_ex77q-835.htm OPPENHEIMER EQUITY INCOME FUND, INC. form_ex77q-835.htm
 
 
 

Oppenheimer Equity Income Fund, Inc.
NSAR Exhibit – Item 77Q1(a) and (d)

OPPENHEIMER EQUITY INCOME FUND, INC.
 
ARTICLES SUPPLEMENTARY
 
OPPENHEIMER EQUITY INCOME FUND, INC., a Maryland corporation, having its principal office in Baltimore City, Maryland (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 $.0001 per share) of the Corporation into a new class of Common Stock of the Corporation known as “Class Y shares” and has provided for the issuance of such class.
 
THIRD:  The terms of the newly authorized and classified Class Y 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 V of the Articles of Incorporation of the Corporation for all other classes of Common Stock of the Corporation. Pursuant to the Articles of Incorporation, the Board of Directors may establish such fees and sales charges in accordance with the 1940 Act and the applicable rule 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 1,000,000,000 (one billion) shares of common stock (par value $.0001 per share), of which 400,000,000 (four hundred million) are not classified and 600,000,000 (six hundred million) are classified as a series of Common Stock designated the “Oppenheimer Equity Income Fund” , consisting of four classes of common stock designated as 300,000,000 (three hundred million) Class A shares (par value $.0001 per share), 100,000,000 (one hundred million) Class B shares (par value $.0001 per share), 100,000,000 (one hundred million) Class C shares (par value $.0001 per share), and 100,000,000 (one hundred million) Class N shares (par value $.0001 per share).
 
(b)  The aggregate par value of all shares of stock of the Corporation having a par value is $100,000.
 
FIFTH:  As reclassified:
 
(a)  The total number of shares of stock of all classes which the Corporation has authority to issue is 1,000,000,000 (one billion) shares of common stock (par value $.0001 per share), of which 300,000,000 (three hundred million) are not further classified and 700,000,000 (seven hundred million) are classified as a series of Common Stock designated the “Oppenheimer Equity Income Fund”, consisting of five classes of common stock designated as 300,000,000 (three hundred million) Class A shares (par value $.0001 per share), 100,000,000 (one hundred million) Class B shares (par value $.0001 per share), 100,000,000 (one hundred million) Class C shares (par value $.0001 per share), 100,000,000 (one hundred million) Class N shares (par value $.0001 per share), 100,000,000 (one hundred million) Class Y shares (par value $.0001 per share).
 
(b)  The aggregate par value of all shares of stock of the Corporation having a par value is $100,000.
 
SIXTH:  These Articles Supplementary do not increase the aggregate authorized capital stock of the Corporation.
 

 
 
 

IN WITNESS WHEREOF, OPPENHEIMER EQUITY INCOME FUND, INC. has caused these presents to be signed in its name and on its behalf by i