0000728889-16-003545.txt : 20160829 0000728889-16-003545.hdr.sgml : 20160829 20160829141536 ACCESSION NUMBER: 0000728889-16-003545 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160829 DATE AS OF CHANGE: 20160829 EFFECTIVENESS DATE: 20160829 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: 161857288 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 OPP ROCHESTER FUND MUNICIPALS PAGE 1 000 A000000 06/30/2016 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 3037682965 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 100 019 C000000 OPPENHEIMR 021 000000 0 022 A000001 CITIGROUP GLOBAL MARKETS INC. 022 B000001 11-2418191 022 C000001 269160 022 D000001 169196 022 A000002 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000002 13-5674085 022 C000002 85536 022 D000002 146582 022 A000003 MORGAN STANLEY & CO. LLC 022 B000003 13-2655998 022 C000003 43725 022 D000003 77321 022 A000004 GATES CAPITAL CORP 022 B000004 13-3636543 022 C000004 70100 022 D000004 0 022 A000005 DEUTSCHE BANK SECURITIES INC. 022 B000005 13-2730828 022 C000005 30175 022 D000005 30175 022 A000006 FMSBONDS, INC. 022 B000006 59-1842344 022 C000006 0 022 D000006 53980 022 A000007 J.P. MORGAN SECURITIES LLC 022 B000007 13-3224016 022 C000007 35750 022 D000007 15703 022 A000008 SAMUEL A. RAMIREZ & COMPANY, INC. 022 B000008 13-2695511 022 C000008 14584 PAGE 3 022 D000008 22333 022 A000009 SIEBERT, BRANDFORD, SHANK & CO., L.L.C. 022 B000009 13-3932653 022 C000009 22090 022 D000009 0 022 A000010 WELLS FARGO SECURITIES, LLC 022 B000010 22-1147033 022 C000010 18466 022 D000010 1656 023 C000000 648549 023 D000000 529766 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 47502 028 A020000 24147 028 A030000 0 028 A040000 57204 028 B010000 56188 028 B020000 23587 028 B030000 0 028 B040000 52366 028 C010000 52090 028 C020000 23688 028 C030000 0 028 C040000 69373 028 D010000 54259 028 D020000 23594 028 D030000 0 028 D040000 88085 028 E010000 50839 028 E020000 23657 028 E030000 0 028 E040000 104568 028 F010000 68544 028 F020000 22667 028 F030000 0 028 F040000 86196 028 G010000 329422 028 G020000 141340 028 G030000 0 028 G040000 457792 028 H000000 176301 PAGE 4 029 000000 Y 030 A000000 2612 030 B000000 4.75 030 C000000 0.00 031 A000000 339 031 B000000 0 032 000000 2273 033 000000 0 034 000000 Y 035 000000 68 036 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 7619 044 000000 78815 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 103.2 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.1 063 A000000 0 063 B000000 3.9 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 N 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 806529 PAGE 7 071 B000000 885819 071 C000000 5941937 071 D000000 14 072 A000000 6 072 B000000 184302 072 C000000 0 072 D000000 0 072 E000000 0 072 F000000 12935 072 G000000 1 072 H000000 0 072 I000000 2781 072 J000000 15 072 K000000 0 072 L000000 0 072 M000000 52 072 N000000 46 072 O000000 0 072 P000000 2345 072 Q000000 0 072 R000000 28 072 S000000 878 072 T000000 7605 072 U000000 0 072 V000000 0 072 W000000 1662 072 X000000 28348 072 Y000000 0 072 Z000000 155954 072AA000000 0 072BB000000 24592 072CC010000 308186 072CC020000 0 072DD010000 146265 072DD020000 455 072EE000000 0 073 A010000 0.4610 073 A020000 0.4015 073 B000000 0.0000 073 C000000 0.0000 074 A000000 22600 074 B000000 0 074 C000000 0 074 D000000 5997081 074 E000000 0 074 F000000 3923 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 178694 074 K000000 0 PAGE 8 074 L000000 101526 074 M000000 1771 074 N000000 6305595 074 O000000 52446 074 P000000 1966 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 440519 074 S000000 0 074 T000000 5810664 074 U010000 303011 074 U020000 916 074 V010000 15.37 074 V020000 15.35 074 W000000 0.0000 074 X000000 79398 074 Y000000 1019579 075 A000000 0 075 B000000 5594671 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 PETERSEN TITLE TREASURER EX-99.77E LEGAL 2 form_ex77e-365.htm OPP ROCHESTER FUND MUNICIPALS form_ex77e-365.htm
 
 
 

N-SAR EXHIBIT 77E


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 against OppenheimerFunds, Inc. (“OFI”), OppenheimerFunds Distributor, Inc. (“OFDI”), and Oppenheimer Rochester California Municipal Fund, a fund advised by OFI Global Asset Management, Inc. and distributed by the Distributor (the “California Fund”), in connection with the California Fund’s investment performance.  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.  Plaintiffs in the 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 October 2015, the district court reaffirmed its order and determined that the suit will proceed as a class action.  In December 2015, the Tenth Circuit denied defendants’ petition to appeal the district court’s reaffirmed class certification order.
 
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.