401k Plan data: OPPENHEIMER RETIREMENT AND 401(K) PLAN plan

OPPENHEIMER RETIREMENT AND 401(K) PLAN 401k Plan overview

Plan Name	OPPENHEIMER RETIREMENT AND 401(K) PLAN
Plan identification number	001

OPPENHEIMER RETIREMENT AND 401(K) 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.
Participant-directed brokerage accounts provided as an investment option under the plan.

401k Sponsoring company profile

OPPENHEIMER WOLFF & DONNELLY LLP has sponsored the creation of one or more 401k plans.

Company Name: OPPENHEIMER WOLFF & DONNELLY LLP

Employer identification number (EIN): 410677208

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OPPENHEIMER RETIREMENT AND 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 BRAD KEIL BRAD KEIL 2017-10-11
001 2015-01-01 CARRIE BERNDT
001 2014-01-01 CARRIE BERNDT
001 2013-01-01 2014-10-13
001 2012-01-01 CARRIE BERNDT JEANINE WARD 2013-08-05
001 2012-01-01 2013-09-24
001 2011-01-01 2012-10-05
001 2009-01-01 DARLENE DOWNS JEANINE WARD 2010-07-28
001 2009-01-01 LARRY SWALHEIM
001 2009-01-01 DARLENE DOWNS JEANINE WARD 2010-07-21
001 2009-01-01 DARLENE DOWNS JEANINE WARD 2010-07-28
001 2009-01-01 DARLENE DOWNS JEANINE WARD 2010-07-28

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01	BRAD KEIL		BRAD KEIL	2017-10-11
001	2015-01-01	CARRIE BERNDT
001	2014-01-01	CARRIE BERNDT
001	2013-01-01		2014-10-13
001	2012-01-01	CARRIE BERNDT		JEANINE WARD	2013-08-05
001	2012-01-01		2013-09-24
001	2011-01-01		2012-10-05
001	2009-01-01	DARLENE DOWNS		JEANINE WARD	2010-07-28
001	2009-01-01	LARRY SWALHEIM
001	2009-01-01	DARLENE DOWNS		JEANINE WARD	2010-07-21
001	2009-01-01	DARLENE DOWNS		JEANINE WARD	2010-07-28
001	2009-01-01	DARLENE DOWNS		JEANINE WARD	2010-07-28

Plan Statistics for OPPENHEIMER RETIREMENT AND 401(K) PLAN

401k plan membership statisitcs for OPPENHEIMER RETIREMENT AND 401(K) PLAN

Measure Date Value
2016: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 267
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 286
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 121
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 141
Total of all active and inactive participants 2015-01-01 262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 5
Total participants 2015-01-01 267
Number of participants with account balances 2015-01-01 267
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 305
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 120
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 159
Total of all active and inactive participants 2014-01-01 279
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 7
Total participants 2014-01-01 286
Number of participants with account balances 2014-01-01 286
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2012: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 359
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 139
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 193
Total of all active and inactive participants 2012-01-01 332
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 3
Total participants 2012-01-01 335
Number of participants with account balances 2012-01-01 335
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2009: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 398
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 162
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 237
Total of all active and inactive participants 2009-01-01 399
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 4
Total participants 2009-01-01 403
Number of participants with account balances 2009-01-01 395
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 9

Measure	Date	Value
2016: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	267
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	286
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	121
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	141
Total of all active and inactive participants	2015-01-01	262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	5
Total participants	2015-01-01	267
Number of participants with account balances	2015-01-01	267
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	305
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	120
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	159
Total of all active and inactive participants	2014-01-01	279
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	7
Total participants	2014-01-01	286
Number of participants with account balances	2014-01-01	286
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2012: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	359
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	139
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	193
Total of all active and inactive participants	2012-01-01	332
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	3
Total participants	2012-01-01	335
Number of participants with account balances	2012-01-01	335
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2009: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	398
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	162
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	237
Total of all active and inactive participants	2009-01-01	399
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	4
Total participants	2009-01-01	403
Number of participants with account balances	2009-01-01	395
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	9

Financial Data on OPPENHEIMER RETIREMENT AND 401(K) PLAN

Measure	Date	Value
2016 : OPPENHEIMER RETIREMENT AND 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,572,069
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$96,750,703
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$96,680,621
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$736,752
Value of total assets at end of year	2016-12-31	$0
Value of total assets at beginning of year	2016-12-31	$95,178,634
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$70,082
Total interest from all sources	2016-12-31	$4,970
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$368,765
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$605,421
Administrative expenses (other) incurred	2016-12-31	$70,082
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-95,178,634
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$95,178,634
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Interest on participant loans	2016-12-31	$4,970
Value of interest in master investment trust accounts at end of year	2016-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2016-12-31	$94,573,213
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$367,987
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$96,680,621
Did the plan have assets held for investment	2016-12-31	No
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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	SIMMA FLOTTEMESCH & ORENSTEIN LTD
Accountancy firm EIN	2016-12-31	391372509
2015 : OPPENHEIMER RETIREMENT AND 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$258,259
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$3,677,214
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$9,082,344
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$8,924,375
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,585,409
Value of total assets at end of year	2015-12-31	$95,178,634
Value of total assets at beginning of year	2015-12-31	$100,325,505
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$157,969
Total interest from all sources	2015-12-31	$19,977
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$996,574
Participant contributions at end of year	2015-12-31	$605,421
Participant contributions at beginning of year	2015-12-31	$628,361
Administrative expenses (other) incurred	2015-12-31	$157,969
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-5,405,130
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$95,178,634
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$100,325,505
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Interest on participant loans	2015-12-31	$19,977
Value of interest in master investment trust accounts at end of year	2015-12-31	$94,573,213
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$99,697,144
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$1,588,835
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$8,924,375
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	SIMMA FLOTTEMESCH & ORENSTEIN LTD
Accountancy firm EIN	2015-12-31	391372509
2014 : OPPENHEIMER RETIREMENT AND 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$8,239,666
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$9,919,015
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$9,789,941
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,702,528
Value of total assets at end of year	2014-12-31	$100,325,505
Value of total assets at beginning of year	2014-12-31	$102,004,854
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$129,074
Total interest from all sources	2014-12-31	$18,562
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,082,756
Participant contributions at end of year	2014-12-31	$628,361
Participant contributions at beginning of year	2014-12-31	$565,980
Administrative expenses (other) incurred	2014-12-31	$129,074
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-1,679,349
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$100,325,505
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$102,004,854
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Interest on participant loans	2014-12-31	$18,562
Value of interest in master investment trust accounts at end of year	2014-12-31	$99,697,144
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$101,438,874
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,619,772
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$9,789,941
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	SIMMA FLOTTEMESCH & ORENSTEIN LTD
Accountancy firm EIN	2014-12-31	391372509
2013 : OPPENHEIMER RETIREMENT AND 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$278,887
Total transfer of assets from this plan	2013-12-31	$761,160,027
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$19,352,288
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$8,244,545
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$8,233,616
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,779,348
Value of total assets at end of year	2013-12-31	$102,004,854
Value of total assets at beginning of year	2013-12-31	$90,618,224
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$10,929
Total interest from all sources	2013-12-31	$18,922
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,130,383
Participant contributions at end of year	2013-12-31	$565,980
Participant contributions at beginning of year	2013-12-31	$527,319
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$10,929
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$958,247
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$11,107,743
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$102,004,854
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$90,618,224
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$455,800,032
Interest on participant loans	2013-12-31	$18,922
Value of interest in master investment trust accounts at end of year	2013-12-31	$101,438,874
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$90,090,905
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$46,417,712
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$10,890,289
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$94,302,081
Net investment gain or loss from common/collective trusts	2013-12-31	$1,719,558
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$1,648,965
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$8,233,616
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$52,327,184
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$9,817,310
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	SIMMA FLOTTEMESCH & ORENSTEIN LTD
Accountancy firm EIN	2013-12-31	391372509
2012 : OPPENHEIMER RETIREMENT AND 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$19,622
Total transfer of assets from this plan	2012-12-31	$66,254,735
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$11,991,602
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$7,270,172
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$7,253,255
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,830,564
Value of total assets at end of year	2012-12-31	$90,618,224
Value of total assets at beginning of year	2012-12-31	$85,877,172
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$16,917
Total interest from all sources	2012-12-31	$15,296
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
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
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,148,234
Participant contributions at end of year	2012-12-31	$527,319
Participant contributions at beginning of year	2012-12-31	$382,220
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$16,917
Total non interest bearing cash at end of year	2012-12-31	$958,247
Total non interest bearing cash at beginning of year	2012-12-31	$623,464
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	$4,721,430
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$90,618,224
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$85,877,172
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	$455,800,032
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$402,305,288
Interest on participant loans	2012-12-31	$15,296
Value of interest in master investment trust accounts at end of year	2012-12-31	$90,090,905
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$85,494,952
Value of interest in common/collective trusts at end of year	2012-12-31	$46,417,712
Value of interest in common/collective trusts at beginning of year	2012-12-31	$51,065,300
Asset value of US Government securities at end of year	2012-12-31	$10,890,289
Asset value of US Government securities at beginning of year	2012-12-31	$12,672,369
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$54,348,356
Net investment gain or loss from common/collective trusts	2012-12-31	$7,355,816
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	$1,682,330
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$7,253,255
Asset. Corporate debt instrument preferred debt at end of year	2012-12-31	$52,327,184
Asset. Corporate debt instrument preferred debt at beginning of year	2012-12-31	$48,057,468
Asset. Corporate debt instrument debt (other) at end of year	2012-12-31	$9,817,310
Asset. Corporate debt instrument debt (other) at beginning of year	2012-12-31	$7,821,216
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	SIMMA FLOTTEMESCH & ORENSTEIN LTD
Accountancy firm EIN	2012-12-31	391372509
2011 : OPPENHEIMER RETIREMENT AND 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$95,374
Total transfer of assets from this plan	2011-12-31	$61,096,665
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$3,562,505
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$6,939,021
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$6,924,941
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$3,277,145
Value of total assets at end of year	2011-12-31	$85,877,172
Value of total assets at beginning of year	2011-12-31	$89,158,314
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$14,080
Total interest from all sources	2011-12-31	$13,461
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
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
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,146,955
Participant contributions at end of year	2011-12-31	$382,220
Participant contributions at beginning of year	2011-12-31	$348,029
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$22,618
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$0
Administrative expenses (other) incurred	2011-12-31	$14,080
Total non interest bearing cash at end of year	2011-12-31	$623,464
Total non interest bearing cash at beginning of year	2011-12-31	$514,824
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	$-3,376,516
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$85,877,172
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$89,158,314
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	$402,305,288
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$397,631,334
Interest on participant loans	2011-12-31	$13,461
Value of interest in master investment trust accounts at end of year	2011-12-31	$85,494,952
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$88,810,285
Value of interest in common/collective trusts at end of year	2011-12-31	$51,065,300
Value of interest in common/collective trusts at beginning of year	2011-12-31	$45,753,064
Asset value of US Government securities at end of year	2011-12-31	$12,672,369
Asset value of US Government securities at beginning of year	2011-12-31	$13,842,337
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-4,801,004
Net investment gain or loss from common/collective trusts	2011-12-31	$10,284,282
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	$2,107,572
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$6,924,941
Asset. Corporate debt instrument preferred debt at end of year	2011-12-31	$48,057,468
Asset. Corporate debt instrument preferred debt at beginning of year	2011-12-31	$42,807,793
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$7,821,216
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$7,834,379
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	2011-12-31	No
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	SIMMA FLOTTEMESCH & ORENSTEIN LTD
Accountancy firm EIN	2011-12-31	391372509
2010 : OPPENHEIMER RETIREMENT AND 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$370,198
Total transfer of assets from this plan	2010-12-31	$52,352,853
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$12,305,359
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$6,910,039
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$6,898,055
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$3,052,960
Value of total assets at end of year	2010-12-31	$89,158,314
Value of total assets at beginning of year	2010-12-31	$83,392,796
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$11,984
Total interest from all sources	2010-12-31	$16,022
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
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
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,198,783
Participant contributions at end of year	2010-12-31	$348,029
Participant contributions at beginning of year	2010-12-31	$431,393
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$189,512
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$0
Administrative expenses (other) incurred	2010-12-31	$11,984
Total non interest bearing cash at end of year	2010-12-31	$514,824
Total non interest bearing cash at beginning of year	2010-12-31	$818,877
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	$5,395,320
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$89,158,314
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$83,392,796
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	$397,631,334
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$344,483,682
Interest on participant loans	2010-12-31	$16,022
Value of interest in master investment trust accounts at end of year	2010-12-31	$88,810,285
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$82,961,403
Value of interest in common/collective trusts at end of year	2010-12-31	$45,753,064
Value of interest in common/collective trusts at beginning of year	2010-12-31	$103,548,966
Asset value of US Government securities at end of year	2010-12-31	$13,842,337
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$50,204,931
Net investment gain or loss from common/collective trusts	2010-12-31	$8,373,524
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	$1,664,665
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$6,898,055
Asset. Corporate debt instrument preferred debt at end of year	2010-12-31	$42,807,793
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$7,834,379
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	SIMMA FLOTTEMESCH & ORENSTEIN LTD
Accountancy firm EIN	2010-12-31	391372509

Form 5500 Responses for OPPENHEIMER RETIREMENT AND 401(K) PLAN

2016: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	DFE (Diect Filing Entity)
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2012: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: OPPENHEIMER RETIREMENT AND 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	DFE (Diect Filing Entity)
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2009: OPPENHEIMER RETIREMENT AND 401(K) 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	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	OPPENHEIMER WOLFF & DONNELLY LLP
Employer identification number (EIN):	410677208