401k Plan data: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN plan

OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 401k Plan overview

Plan Name	OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN
Plan identification number	001

OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

OFI GLOBAL ASSET MANAGEMENT, INC. has sponsored the creation of one or more 401k plans.

Company Name: OFI GLOBAL ASSET MANAGEMENT, INC.

Employer identification number (EIN): 132527171

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 TINA TIMM ANDREW DOYLE 2013-07-31
001 2011-01-01 TINA TIMM ANDREW DOYLE 2012-07-30
001 2009-01-01 TINA TIMM ANDREW DOYLE 2010-08-02
001 2009-01-01 TINA TIMM ANDREW DOYLE 2010-08-02

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	TINA TIMM	ANDREW DOYLE	2013-07-31
001	2011-01-01	TINA TIMM	ANDREW DOYLE	2012-07-30
001	2009-01-01	TINA TIMM	ANDREW DOYLE	2010-08-02
001	2009-01-01	TINA TIMM	ANDREW DOYLE	2010-08-02

Plan Statistics for OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN

401k plan membership statisitcs for OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN

Measure Date Value
2012: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 3,039
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2,033
Number of retired or separated participants receiving benefits 2012-01-01 3
Number of other retired or separated participants entitled to future benefits 2012-01-01 965
Total of all active and inactive participants 2012-01-01 3,001
Total participants 2012-01-01 3,001
Number of participants with account balances 2012-01-01 2,945
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 81
2011: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 3,077
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2,001
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 1,038
Total of all active and inactive participants 2011-01-01 3,039
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 3,039
Number of participants with account balances 2011-01-01 3,010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 106
2009: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 3,416
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2,330
Number of other retired or separated participants entitled to future benefits 2009-01-01 847
Total of all active and inactive participants 2009-01-01 3,177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 3,177
Number of participants with account balances 2009-01-01 3,145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 237

Measure	Date	Value
2012: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	3,039
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2,033
Number of retired or separated participants receiving benefits	2012-01-01	3
Number of other retired or separated participants entitled to future benefits	2012-01-01	965
Total of all active and inactive participants	2012-01-01	3,001
Total participants	2012-01-01	3,001
Number of participants with account balances	2012-01-01	2,945
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	81
2011: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	3,077
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2,001
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	1,038
Total of all active and inactive participants	2011-01-01	3,039
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	3,039
Number of participants with account balances	2011-01-01	3,010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	106
2009: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	3,416
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2,330
Number of other retired or separated participants entitled to future benefits	2009-01-01	847
Total of all active and inactive participants	2009-01-01	3,177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	3,177
Number of participants with account balances	2009-01-01	3,145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	237

Financial Data on OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN

Measure	Date	Value
2012 : OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$87,025,728
Total of all expenses incurred	2012-12-31	$30,683,114
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$30,585,798
Expenses. Certain deemed distributions of participant loans	2012-12-31	$-1,037
Value of total corrective distributions	2012-12-31	$67,483
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$38,610,191
Value of total assets at end of year	2012-12-31	$450,335,847
Value of total assets at beginning of year	2012-12-31	$393,993,233
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$30,870
Total interest from all sources	2012-12-31	$458,477
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$7,517,678
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$7,517,678
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$15,843,781
Participant contributions at end of year	2012-12-31	$9,977,057
Participant contributions at beginning of year	2012-12-31	$9,621,277
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$2,234,025
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$56,342,614
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$450,335,847
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$393,993,233
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$440,358,790
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$384,371,956
Interest on participant loans	2012-12-31	$458,477
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$40,439,382
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$20,532,385
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$30,585,798
Contract administrator fees	2012-12-31	$30,870
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	KPMG
Accountancy firm EIN	2012-12-31	135565207
2011 : OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$10,158,102
Total of all expenses incurred	2011-12-31	$33,128,261
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$32,990,394
Expenses. Certain deemed distributions of participant loans	2011-12-31	$58,262
Value of total corrective distributions	2011-12-31	$48,333
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$36,989,835
Value of total assets at end of year	2011-12-31	$393,993,233
Value of total assets at beginning of year	2011-12-31	$416,963,392
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$31,272
Total interest from all sources	2011-12-31	$476,657
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$9,224,062
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$9,224,062
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$15,415,244
Participant contributions at end of year	2011-12-31	$9,621,277
Participant contributions at beginning of year	2011-12-31	$9,303,149
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,833,863
Administrative expenses (other) incurred	2011-12-31	$100
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-22,970,159
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$393,993,233
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$416,963,392
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$384,371,956
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$407,660,243
Interest on participant loans	2011-12-31	$476,657
Interest earned on other investments	2011-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-36,532,452
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$19,740,728
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$32,990,394
Contract administrator fees	2011-12-31	$31,172
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	KPMG
Accountancy firm EIN	2011-12-31	135565207
2010 : OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2010 401k financial data
Total income from all sources (including contributions)	2010-12-31	$94,403,867
Total of all expenses incurred	2010-12-31	$24,575,380
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$24,462,253
Expenses. Certain deemed distributions of participant loans	2010-12-31	$77,730
Value of total corrective distributions	2010-12-31	$2,877
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$34,201,308
Value of total assets at end of year	2010-12-31	$416,963,392
Value of total assets at beginning of year	2010-12-31	$347,134,905
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$32,520
Total interest from all sources	2010-12-31	$551,264
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$9,561,189
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$9,561,189
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$15,718,415
Participant contributions at end of year	2010-12-31	$9,303,149
Participant contributions at beginning of year	2010-12-31	$9,661,131
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,733,489
Administrative expenses (other) incurred	2010-12-31	$100
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$69,828,487
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$416,963,392
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$347,134,905
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$407,660,243
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$337,473,774
Interest on participant loans	2010-12-31	$536,558
Interest earned on other investments	2010-12-31	$14,706
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$50,090,106
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$16,749,404
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$24,462,253
Contract administrator fees	2010-12-31	$32,420
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	KPMG
Accountancy firm EIN	2010-12-31	135565207

Form 5500 Responses for OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN

2012: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: OPPENHEIMERFUNDS, INC. CAPITAL ACCUMULATION PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	OFI GLOBAL ASSET MANAGEMENT, INC.
Employer identification number (EIN):	132527171
NAIC Classification:	523900