0000728889-15-001208.txt : 20150827 0000728889-15-001208.hdr.sgml : 20150827 20150827120656 ACCESSION NUMBER: 0000728889-15-001208 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150827 DATE AS OF CHANGE: 20150827 EFFECTIVENESS DATE: 20150827 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER ROCHESTER FUND MUNICIPALS CENTRAL INDEX KEY: 0000093621 IRS NUMBER: 160473255 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-03614 FILM NUMBER: 151077865 BUSINESS ADDRESS: STREET 1: 350 LINDEN OAKS CITY: ROCHESTER STATE: NY ZIP: 14625-2807 BUSINESS PHONE: 7163838700 MAIL ADDRESS: STREET 1: 350 LINDEN OAKS CITY: ROCHESTER STATE: NY ZIP: 14625-2807 FORMER COMPANY: FORMER CONFORMED NAME: ROCHESTER FUND MUNICIPALS DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ROCHESTER FUND MUNICIPALS INC DATE OF NAME CHANGE: 19920521 FORMER COMPANY: FORMER CONFORMED NAME: MARTEK INVESTORS INC/NY DATE OF NAME CHANGE: 19860302 0000093621 S000008503 OPPENHEIMER ROCHESTER FUND MUNICIPALS C000023347 A C000023348 B C000023349 C C000023350 Y NSAR-A 1 answer.fil OPPENHEIMER ROCHESTER FUND MUNICIPALS PAGE 1 000 A000000 06/30/2015 000 C000000 0000093621 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 ROCHESTER FUND MUNICIPALS 001 B000000 811-3614 001 C000000 3037683468 002 A000000 6803 South 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 N 007 B000000 0 007 C010100 1 008 A000001 OFI Global Asset Management, Inc. 008 B000001 A 008 C000001 801-76771 008 D010001 New York 008 D020001 NY 008 D030001 10281 008 D040001 1008 008 A000002 OPPENHEIMERFUNDS, INC. 008 B000002 S 008 C000002 801-08253 008 D010002 NEW YORK 008 D020002 NY 008 D030002 10281 008 D040002 1008 011 A000001 OPPENHEIMERFUNDS DISTRIBUTOR, INC. 011 B000001 8-22992 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10281 011 C040001 1008 012 A000001 OFI Global Asset Management, Inc. 012 B000001 84-06477 012 C010001 Centennial 012 C020001 CO 012 C030001 80112 012 C040001 3924 012 A000002 Shareholder Services, Inc. (Sub-TA) PAGE 2 012 B000002 84-00907 012 C010002 Centennial 012 C020002 CO 012 C030002 80112 012 C040002 3924 013 A000001 KPMG LLP 013 B010001 DENVER 013 B020001 CO 013 B030001 80202 015 A000001 CITIBANK N.A. 015 B000001 C 015 C010001 NEW YORK 015 C020001 NY 015 C030001 10005 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 91 019 C000000 OPPENHEIMR 021 000000 0 022 A000001 J.P. MORGAN SECURITIES LLC 022 B000001 13-3224016 022 C000001 200619 022 D000001 406099 022 A000002 DEUTSCHE BANK SECURITIES INC. 022 B000002 13-2730828 022 C000002 297699 022 D000002 224080 022 A000003 CITIGROUP GLOBAL MARKETS INC. 022 B000003 11-2418191 022 C000003 139018 022 D000003 20215 022 A000004 BARCLAYS CAPITAL INC. 022 B000004 06-1031656 022 C000004 64683 022 D000004 21216 022 A000005 GOLDMAN, SACHS & CO. 022 B000005 13-5108880 022 C000005 38396 022 D000005 42406 022 A000006 MORGAN STANLEY & CO. LLC 022 B000006 13-2655998 022 C000006 38780 022 D000006 25902 022 A000007 SAMUEL A. RAMIREZ & COMPANY, INC. 022 B000007 13-2695511 022 C000007 26880 022 D000007 8241 022 A000008 STIFEL, NICOLAUS & COMPANY, INCORPORATED 022 B000008 43-0538770 022 C000008 13591 PAGE 3 022 D000008 11438 022 A000009 JEFFERIES LLC 022 B000009 95-2622900 022 C000009 3928 022 D000009 21007 022 A000010 SIEBERT, BRANDFORD, SHANK & CO., L.L.C. 022 B000010 13-3932653 022 C000010 22897 022 D000010 0 023 C000000 946408 023 D000000 791838 024 000000 N 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 A010000 80276 028 A020000 26150 028 A030000 0 028 A040000 64681 028 B010000 56957 028 B020000 26298 028 B030000 0 028 B040000 68449 028 C010000 66162 028 C020000 26381 028 C030000 0 028 C040000 91364 028 D010000 60103 028 D020000 26449 028 D030000 0 028 D040000 75570 028 E010000 51409 028 E020000 26393 028 E030000 0 028 E040000 96695 028 F010000 45907 028 F020000 33493 028 F030000 0 028 F040000 193166 028 G010000 360814 028 G020000 165164 028 G030000 0 028 G040000 589925 028 H000000 210011 PAGE 4 029 000000 Y 030 A000000 2981 030 B000000 4.75 030 C000000 0.00 031 A000000 403 031 B000000 0 032 000000 2578 033 000000 0 034 000000 Y 035 000000 97 036 A000000 N 036 B000000 0 037 000000 N 038 000000 0 039 000000 N 040 000000 Y 041 000000 Y 042 A000000 0 042 B000000 0 042 C000000 100 042 D000000 0 042 E000000 0 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 8408 044 000000 75919 045 000000 Y 046 000000 N 047 000000 Y 048 000000 0.000 048 A010000 100000 048 A020000 0.540 048 B010000 150000 048 B020000 0.520 048 C010000 1750000 048 C020000 0.470 048 D010000 3000000 048 D020000 0.460 048 E010000 3000000 048 E020000 0.450 048 F010000 6000000 048 F020000 0.440 048 G010000 0 048 G020000 0.000 048 H010000 0 048 H020000 0.000 048 I010000 0 048 I020000 0.000 048 J010000 0 048 J020000 0.000 PAGE 5 048 K010000 14000000 048 K020000 0.420 049 000000 N 050 000000 N 051 000000 N 052 000000 N 053 A000000 N 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 Y 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 Y 054 M000000 Y 054 N000000 N 054 O000000 Y 055 A000000 N 055 B000000 Y 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 1000 062 A000000 Y 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 109.2 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.1 063 A000000 0 063 B000000 4.7 PAGE 6 064 A000000 Y 064 B000000 Y 065 000000 N 066 A000000 N 066 B000000 N 066 C000000 N 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 N 067 000000 N 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 N 070 B010000 N 070 B020000 N 070 C010000 Y 070 C020000 N 070 D010000 N 070 D020000 N 070 E010000 Y 070 E020000 N 070 F010000 N 070 F020000 N 070 G010000 Y 070 G020000 N 070 H010000 N 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 Y 070 J020000 Y 070 K010000 Y 070 K020000 N 070 L010000 N 070 L020000 N 070 M010000 N 070 M020000 N 070 N010000 N 070 N020000 N 070 O010000 Y 070 O020000 Y 070 P010000 Y 070 P020000 Y 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 676772 PAGE 7 071 B000000 785581 071 C000000 6626762 071 D000000 10 072 A000000 6 072 B000000 223690 072 C000000 0 072 D000000 0 072 E000000 0 072 F000000 14278 072 G000000 1 072 H000000 0 072 I000000 3080 072 J000000 18 072 K000000 0 072 L000000 0 072 M000000 64 072 N000000 58 072 O000000 0 072 P000000 2152 072 Q000000 0 072 R000000 28 072 S000000 108 072 T000000 8370 072 U000000 0 072 V000000 0 072 W000000 1596 072 X000000 29753 072 Y000000 0 072 Z000000 193937 072AA000000 0 072BB000000 49133 072CC010000 0 072CC020000 217092 072DD010000 164366 072DD020000 810 072EE000000 0 073 A010000 0.4860 073 A020000 0.4230 073 B000000 0.0000 073 C000000 0.0000 074 A000000 1606 074 B000000 0 074 C000000 0 074 D000000 6369242 074 E000000 0 074 F000000 3992 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 5591 074 K000000 0 PAGE 8 074 L000000 116976 074 M000000 1589 074 N000000 6498996 074 O000000 19616 074 P000000 2203 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 644661 074 S000000 0 074 T000000 5832516 074 U010000 320892 074 U020000 1669 074 V010000 14.68 074 V020000 14.66 074 W000000 0.0000 074 X000000 89678 074 Y000000 1125248 075 A000000 0 075 B000000 6208254 076 000000 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 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 C000000 0 081 B000000 0 082 B000000 0 083 B000000 0 084 B000000 0 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 PAGE 9 086 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-99.77E LEGAL 2 form_ex77e-365.htm OPPENHEIMER ROCHESTER FUND MUNICIPALS form_ex77e-365.htm
 
 
 

N-SAR EXHIBIT 77E

Pending Litigation.  In 2009, several lawsuits were filed as putative class actions 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 Suit”), a fund advised by OppenheimerFunds, Inc. (“OFI”), and distributed by its subsidiary OppenheimerFunds Distributor, Inc. ( “OFDI”).  The plaintiffs asserted claims against OFI, OFDI and certain present and former trustees and officers of the Fund under the federal securities laws, alleging, among other things, that the disclosure documents of the Fund contained misrepresentations and omissions and the investment policies of the Fund were not followed.   Plaintiffs in the California Fund Suit filed an amended complaint and defendants filed a motion to dismiss.  In 2011, the court issued an order which granted in part and denied in part the defendants’ motion to dismiss.  In 2012, plaintiffs filed a motion, which defendants opposed, to certify a class and appoint class representatives and class counsel.  In March 2015, the court granted plaintiffs’ motion for class certification.  In May 2015, the U.S. Court of Appeals for the Tenth Circuit vacated the class certification order and remanded the matter to the district court for further proceedings.  In July 2015, the district court held an evidentiary hearing on plaintiffs’ motion for class certification.  OFI and OFDI believe the California Fund Suit is without merit; that it is premature to render any opinion as to the likelihood of an outcome unfavorable to them in the California Fund Suit; and that no estimate can yet be made as to the amount or range of any potential loss.