Oppenheimer Principal Protected Trust Inactive
Filed: 27 Dec 05, 12:00am
Registration No. 333-102588
File No. 811-21281
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X]
Pre-Effective Amendment No. [ ]
Post-Effective Amendment No. 7 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 10
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OPPENHEIMER PRINCIPAL PROTECTED TRUST
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(Exact Name of Registrant as Specified in Charter)
6803 South Tucson Way, Centennial, Colorado 80112-3924
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(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (303) 768-3200
Robert G. Zack, Esq.
OppenheimerFunds, Inc.
Two World Financial Center, 225 Liberty Street, New York, New York 10281-1008
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(Name and Address of Agent for Service)
It is proposed that this filing will become effective (check appropriate box):
[ ] immediately upon filing pursuant to paragraph (b)
[X] on December 28, 2005 pursuant to paragraph (b)
[ ] 60 days after filing pursuant to paragraph (a)(1)
[ ] on _______________ pursuant to paragraph (a)(1)
[ ] 75 days after filing pursuant to paragraph (a)(2)
[ ] on _______________ pursuant to paragraph (a)(2) of Rule 485.
If appropriate, check the following box:
[ ] this post-effective amendment designates a new effective date for a previously
filed post-effective amendment.
OPPENHEIMER PRINCIPAL PROTECTED TRUST
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CONTENTS OF REGISTRATION STATEMENT
This amendment comprises the following:
o N-1A Facing Page
o Contents of Registration Statement page
o Part C of the Registration Statement (including signature page)
o Exhibits (as indicated below)
The Prospectus and Statement of Additional Information are incorporated by
reference to Post-Effective Amendment No. 6 to the Registrant's Form N-1A
Registration Statement (File No. 333-102588) (the "Registration Statement"),
filed on December 23, 2005 in accession number 0000728889-05-001322. There
have been no changes to the Prospectus or Statement of Additional Information.
This Post-Effective Amendment No. 7 to the Registration Statement is made
solely in order to file:
o Exhibit 23(j)(i) to this Registration Statement: Consent of Independent
Registered Public Accounting Firm of the Registrant and Oppenheimer Main
Street Fund(R);
o Exhibit 23(j)(ii) to this Registration Statement: Consent of
Independent Registered Public Accounting Firm of Merrill Lynch Bank USA;
and
o Exhibit 23(m)(iii)to this Registration Statement: Amended and Restated
Service Plan and Agreement for Class A shares of Oppenheimer Principal
Protected Main Street Fund(R).
Part C
OPPENHEIMER PRINCIPAL PROTECTED TRUST
FORM N-1A
PART C
OTHER INFORMATION
Item 23. - Exhibits
(a) Amended and Restated Declaration of Trust dated 5/23/03: Previously
filed with Registrant's Pre-Effective Amendment No. 3, 5/30/03, and
incorporated herein by reference.
(b) By-Laws: Previously filed with the Registrant's initial registration
statement, 1/17/03, and incorporated herein by reference.
(c) (i) Specimen Class A Share Certificate for Oppenheimer Principal
Protected Main Street Fund: Previously filed with Registrant's Pre-Effective
Amendment No. 1, 3/26/03, and incorporated herein by reference.
(ii) Specimen Class B Share Certificate: Previously filed with
Registrant's Post-Effective Amendment No. 3, 10/25/04, and incorporated
herein by reference.
(iii) Specimen Class C Share Certificate: Previously filed with
Registrant's Post-Effective Amendment No. 3, 10/25/04, and incorporated
herein by reference.
(iv) Specimen Class N Share Certificate: Previously filed with
Registrant's Post-Effective Amendment No. 3, 10/25/04, and incorporated
herein by reference.
(d) Amended and Restated Investment Advisory Agreement dated 1/1/05:
Previously filed with Registrant's Post-Effective Amendment No. 5, 10/24/05,
and incorporated herein by reference.
(e) (i) General Distributor's Agreement dated 3/14/03: Previously filed
with Registrant's Pre-Effective Amendment No. 1, 3/26/03, and incorporated
herein by reference.
(ii) Form of Dealer Agreement of OppenheimerFunds Distributor, Inc.:
Previously filed with Post-Effective Amendment No. 45 to the Registration
Statement of Oppenheimer High Yield Fund (Reg. No. 2-62076), 10/26/01, and
incorporated herein by reference.
(iii) Form of Broker Agreement of OppenheimerFunds Distributor, Inc.:
Previously filed with Post-Effective Amendment No. 45 to the Registration
Statement of Oppenheimer High Yield Fund (Reg. No. 2-62076), 10/26/01, and
incorporated herein by reference.
(iv) Form of Agency Agreement of OppenheimerFunds Distributor, Inc.:
Previously filed with Post-Effective Amendment No. 45 to the Registration
Statement of Oppenheimer High Yield Fund (Reg. No. 2-62076), 10/26/01, and
incorporated herein by reference.
(v) Form of Trust Company Fund/SERV Purchase Agreement of OppenheimerFunds
Distributor, Inc.: Previously filed with Post-Effective Amendment No. 45 to
the Registration Statement of Oppenheimer High Yield Fund (Reg. No. 2-62076),
10/26/01, and incorporated herein by reference.
(vi) Form of Trust Company Agency Agreement of OppenheimerFunds Distributor,
Inc.: Previously filed with Post-Effective Amendment No. 45 to the
Registration Statement of Oppenheimer High Yield Fund (Reg. No. 2-62076),
10/26/01, and incorporated herein by reference.
(f) Form of Deferred Compensation Plan for Disinterested
Trustees/Directors: Previously filed with Post-Effective Amendment No. 40 to
the Registration Statement of Oppenheimer High Yield Fund (Reg. No. 2-62076),
10/27/98, and incorporated herein by reference.
(g) (i) Global Custody Agreement dated August 16, 2002: Previously filed
with Post-Effective Amendment No. 41 to the Registration Statement of
Oppenheimer Variable Account Funds (Reg. No. 2-93177), 4/28/03, and
incorporated herein by reference.
(ii) Amendment dated October 2, 2003 to the Global Custody Agreement
dated August 16, 2002: Previously filed with Pre-Effective Amendment No. 1 to
the Registration Statement of Oppenheimer Principal Protected Trust II (Reg.
333-108093), 11/6/03, and incorporated herein by reference.
(h) (i) Financial Warranty Agreement among Merrill Lynch Bank USA,
OppenheimerFunds, Inc. and the Registrant dated 5/29/03: Previously filed
with the Registrant's Pre-Effective Amendment No. 3, 5/30/03, and
incorporated herein by reference.
(ii) Financial Warranty No. 1 issued by Merrill Lynch Bank USA to
Oppenheimer Principal Protected Trust on behalf of its series Oppenheimer
Principal Protected Main Street Fund dated August 5, 2003: Previously filed
with Registrant's Post-Effective Amendment No. 1, 8/11/03, and incorporated
herein by reference.
(iii) Service Agreement among OppenheimerFunds, Inc., the Registrant,
J.P. Morgan Chase Bank and Merrill Lynch Bank USA dated 5/29/03: Previously
filed with Registrant's Pre-Effective Amendment No. 3, 5/30/03, and
incorporated herein by reference.
(i) Opinion and Consent of Counsel dated 5/27/03: Previously filed with
Registrant's Pre-Effective Amendment No. 3, 5/30/03, and incorporated herein
by reference.
(j) (i) Consent of Deloitte & Touche LLP, independent registered public
accounting firm, with respect to Registrant's audited financial statements
and with respect to the audited financial statements of Oppenheimer Main
Street Fund incorporated in the Statement of Additional Information by
reference: Filed herewith.
(ii) Consent of Deloitte & Touche LLP, independent registered public
accounting firm, with respect to the audited financial statements of Merrill
Lynch Bank USA as of 12/31/04: Filed herewith.
(k) (i) Audited financial statements of Merrill Lynch Bank USA as of
12/31/04: Previously filed with Registrant's Post-Effective Amendment No. 6,
12/23/03, and incorporated herein by reference.
(ii) Unaudited quarterly financial statements of Merrill Lynch Bank USA
as of 4/1/05: Previously filed with Registrant's Post-Effective Amendment No.
6, 12/23/03, and incorporated herein by reference.
(iii) Unaudited quarterly financial statements of Merrill Lynch Bank
USA as of 7/1/05: Previously filed with Registrant's Post-Effective Amendment
No. 6, 12/23/03, and incorporated herein by reference.
(iv) Unaudited quarterly financial statements of Merrill Lynch Bank USA
as of 9/30/05: Previously filed with Registrant's Post-Effective Amendment
No. 6, 12/23/03, and incorporated herein by reference.
(l) Investment Letter from OppenheimerFunds, Inc. to Registrant dated
3/14/03: Previously filed with Registrant's Post-Effective Amendment No. 1,
3/26/03, and incorporated herein by reference.
(m) (i) Amended and Restated Service Plan and Agreement for Class A shares
for Oppenheimer Principal Protected Main Street Fund dated 4/26/04: Filed
herewith.
(ii) Distribution and Service Plan and Agreement for Class B shares for
Oppenheimer Principal Protected Main Street Fund dated 3/14/03: Previously
filed with Registrant's Pre-Effective Amendment No. 1, 3/26/03, and
incorporated herein by reference.
(iii) Amended and Restated Distribution and Service Plan and Agreement
for Class C shares for Oppenheimer Principal Protected Main Street Fund dated
2/23/04: Previously filed with Registrant's Post-Effective Amendment No. 5,
10/24/05, and incorporated herein by reference.
(iv) Distribution and Service Plan and Agreement for Class N shares for
Oppenheimer Principal Protected Main Street Fund dated 3/14/03: Previously
filed with Registrant's Pre-Effective Amendment No. 1, 3/26/03, and
incorporated herein by reference.
(n) Oppenheimer Funds Multiple Class Plan under Rule 18f-3 updated through
8/11/05: Previously filed with Post-Effective Amendment No. 5 to the
Registration Statement of Oppenheimer Main Street Opportunity Fund (Reg. No.
333-40186), 9/27/05, and incorporated herein by reference.
(o) Powers of Attorney dated December 13, 2004 for all Trustees/Directors
and Officers: Previously filed with Post-Effective Amendment No. 44 to the
Registration Statement of Oppenheimer Variable Account Funds, 2/25/05, and
incorporated herein by reference.
(p) Amended and Restated Code of Ethics of the Oppenheimer Funds dated
February 1, 2005 under Rule 17j-1 of the Investment Company Act of 1940:
Previously filed with the Initial Registration Statement of Oppenheimer
Dividend Growth Fund (Reg. No. 333-122902), 2/18/05, and incorporated herein
by reference.
Item 24. - Persons Controlled by or Under Common Control with the Fund
None.
Item 25. - Indemnification
Reference is made to the provisions of Article Seven of Registrant's Amended
and Restated Declaration of Trust filed as Exhibit 23(a) to this Registration
Statement, and incorporated herein by reference.
Insofar as indemnification for liabilities arising under the Securities Act
of 1933 may be permitted to trustees, officers and controlling persons of
Registrant pursuant to the foregoing provisions or otherwise, Registrant has
been advised that in the opinion of the Securities and Exchange Commission
such indemnification is against public policy as expressed in the Securities
Act of 1933 and is, therefore, unenforceable. In the event that a claim for
indemnification against such liabilities (other than the payment by
Registrant of expenses incurred or paid by a trustee, officer or controlling
person of Registrant in the successful defense of any action, suit or
proceeding) is asserted by such trustee, officer or controlling person,
Registrant will, unless in the opinion of its counsel the matter has been
settled by controlling precedent, submit to a court of appropriate
jurisdiction the question whether such indemnification by it is against
public policy as expressed in the Securities Act of 1933 and will be governed
by the final adjudication of such issue.
Item 26. - Business and Other Connections of the Investment Adviser
(a) OppenheimerFunds, Inc. is the investment adviser of the Registrant; it
and certain subsidiaries and affiliates act in the same capacity to other
investment companies, including without limitation those described in Parts A
and B hereof and listed in Item 26(b) below.
(b) There is set forth below information as to any other business,
profession, vocation or employment of a substantial nature in which each
officer and director of OppenheimerFunds, Inc. is, or at any time during the
past two fiscal years has been, engaged for his/her own account or in the
capacity of director, officer, employee, partner or trustee.
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Name and Current Position
with OppenheimerFunds, Inc. Other Business and Connections During the Past
Two Years
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Timothy L. Abbuhl, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
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Emeline S. Adwers, None
Vice President
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Robert Agan, Senior Vice President of Shareholder Financial
Senior Vice President Services, Inc. and Shareholders Services, Inc.;
Vice President of OppenheimerFunds Distributor,
Inc., Centennial Asset Management Corporation
and OFI Private Investments, Inc.
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Carl Algermissen, Formerly Associate Counsel & Legal Compliance
Vice President & Associate Officer at Great West-Life & Annuity Insurance
Counsel Co. (February 2004-October 2004).
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Michael Amato, None
Assistant Vice President
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Erik Anderson, None
Assistant Vice President
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Tracey Beck Apostolopoulos, None
Assistant Vice President
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Janette Aprilante, Secretary (since December 2001) of: Centennial
Vice President & Secretary Asset Management Corporation, OppenheimerFunds
Distributor, Inc., HarbourView Asset Management
Corporation (since June 2003), Oppenheimer
Partnership Holdings, Inc., Oppenheimer Real
Asset Management, Inc., Shareholder Financial
Services, Inc., Shareholder Services, Inc.,
Trinity Investment Management Corporation (since
January 2005), OppenheimerFunds Legacy Program,
OFI Private Investments, Inc. (since June 2003)
and OFI Institutional Asset Management, Inc.
(since June 2003). Assistant Secretary of OFI
Trust Company (since December 2001).
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Hany S. Ayad, None
Assistant Vice President
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Robert Baker, None
Vice President
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Michael Baldwin, President and Director of Shareholder Financial
Executive Vice President Services, Inc. and Shareholder Services, Inc.
Formerly Managing Director at Deutsche Bank
(March 2001 - March 2005)
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John Michael Banta, None
Assistant Vice President
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Joanne Bardell, None
Assistant Vice President
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Kevin Baum, None
Vice President
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Jeff Baumgartner, None
Assistant Vice President
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Marc Baylin, Formerly Portfolio Manager at J.P. Morgan (June
Vice President 2002-August 2005.
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Todd Becerra, None
Assistant Vice President
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Lalit K. Behal Assistant Secretary of HarbourView Asset
Assistant Vice President Management Corporation.
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Kathleen Beichert, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
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Gerald B. Bellamy, Assistant Vice President (Sales Manager of the
Assistant Vice President International Division) of OFI Institutional
Asset Management, Inc.
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Erik S. Berg, None
Assistant Vice President
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Robert Bertucci, None
Assistant Vice President:
Rochester Division
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Rajeev Bhaman, None
Vice President
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Craig Billings, None
Vice President
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Mark Binning, None
Assistant Vice President
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Robert J. Bishop, Treasurer (since October 2003) of
Vice President OppenheimerFunds Distributor, Inc. and
Centennial Asset Management Corporation.
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Beth Bleimehl, None
Assistant Vice President
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John R. Blomfield, None
Vice President
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Lisa I. Bloomberg, Formerly First Vice President & Associate
Vice President & Associate General Counsel of UBS Financial Services Inc.
Counsel (May 1999-May 2004).
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Veronika Boesch, Formerly (until February 2004) an independent
Assistant Vice President consultant/coach in organizational development.
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Chad Boll, None
Vice President
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Antulio N. Bomfim, None
Vice President
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John C. Bonnell, Vice President of Centennial Asset Management
Vice President Corporation. Formerly a Portfolio Manager at
Strong Financial Corporation (May 1999-May 2004).
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Michelle Borre Massick, None
Vice President
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Lori E. Bostrom, Formerly Vice President & Corporate Counsel at
Vice President & Senior Prudential Financial Inc. (October 2002 -
Counsel November 2004).
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Lisa Bourgeois, Assistant Vice President of Shareholder
Assistant Vice President Services, Inc.
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John Boydell, None
Vice President
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Michael Bromberg, None
Assistant Vice President
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Lowell Scott Brooks, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
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Joan Brunelle, None
Vice President
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Kristine Bryan-Levin, Formerly Senior Vice President at Brown Brothers
Vice President Harriman (November 2002 - May 2005)
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Stephanie Bullington, Formerly Fund Accounting Manager at Madison
Assistant Vice President Capital Management Company (July 2005 - October
2005 and Fund Accounting Officer at Butterfield
Fund Services (Bermuda) Limited (a wholly owned
subsidiary of the Bank of NT Butterfield & Sons)
(September 2003 - June 2005).
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Paul Burke, None
Assistant Vice President
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Mark Burns, None
Assistant Vice President
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Geoffrey Caan, None
Vice President
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Catherine Carroll, None
Assistant Vice President
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Debra Casey, None
Assistant Vice President
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Maria Castro, None
Assistant Vice President
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Lisa Chaffee, None
Assistant Vice President
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May Chen, Formerly Assistant Vice President of Enterprise
Assistant Vice President Services at MassMutual Financial Group (May 2002
- April 2005)
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Charles Chibnik, None
Assistant Vice President
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Patrick Sheng Chu, None
Assistant Vice President
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Brett Clark, None
Assistant Vice President
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H.C. Digby Clements, None
Vice President: Rochester
Division
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Peter V. Cocuzza, None
Vice President
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Gerald James Concepcion, Formerly (until November 2004) an RIA Marketing
Assistant Vice President Associate of OppenheimerFunds, Inc.
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Robert Corbett, None
Vice President
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Susan Cornwell, Senior Vice President of Shareholder Financial
Senior Vice President Services, Inc. and Shareholder Services, Inc.;
Vice President of OppenheimerFunds Distributor,
Inc., Centennial Asset Management Corporation
and OppenheimerFunds Legacy Program.
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Scott Cottier, None
Vice President: Rochester
Division
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Laura Coulston, None
Assistant Vice President
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Julie C. Cusker, None
Assistant Vice President:
Rochester Division
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George Curry, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
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John Damian, None
Vice President
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Richard Demarco, None
Assistant Vice President
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Craig P. Dinsell, None
Executive Vice President
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Randall C. Dishmon, None
Vice President
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Gavin Dobson, Formerly President at Britannic Asset Management
Vice President International (September 2001 - May 2005).
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Rebecca K. Dolan, None
Vice President
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Steven D. Dombrower, Senior Vice President of OFI Private
Vice President Investments, Inc.; Vice President of
OppenheimerFunds Distributor, Inc.
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Thomas Doyle, None
Assistant Vice President
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Bruce C. Dunbar, None
Senior Vice President
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Brian Dvorak, None
Vice President
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Richard Edmiston, None
Vice President
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Daniel R. Engstrom, None
Vice President
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James Robert Erven None
Assistant Vice President
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George R. Evans, None
Senior Vice President &
Director of International
Equities
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Edward N. Everett, None
Vice President
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Kathy Faber, None
Assistant Vice President
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David Falicia, Assistant Secretary (as of July 2004) of
Assistant Vice President HarbourView Asset Management Corporation.
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Kristie Feinberg, None
Assistant Vice President
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Emmanuel Ferreira, None
Vice President
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Ronald H. Fielding, Vice President of OppenheimerFunds Distributor,
Senior Vice President; Inc.; Director of ICI Mutual Insurance Company;
Chairman of the Rochester Governor of St. John's College; Chairman of the
Division Board of Directors of International Museum of
Photography at George Eastman House.
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Bradley G. Finkle, Vice President of OppenheimerFunds Distributor,
Vice President Inc. Formerly Head of Business
Management/Proprietary Distribution at Citigroup
Asset Management (August 1986-September 2004).
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Brian Finley, None
Assistant Vice President
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John E. Forrest, Senior Vice President of OppenheimerFunds
Senior Vice President Distributor, Inc.
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Jordan Hayes Foster, Vice President of OFI Institutional Asset
Vice President Management, Inc.
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David Foxhoven, Assistant Vice President of OppenheimerFunds
Vice President Legacy Program.
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Colleen M. Franca, None
Assistant Vice President
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Dominic Freud, None
Vice President
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Dan Gagliardo, None
Assistant Vice President
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Hazem Gamal, None
Vice President
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Seth Gelman, Formerly an Associate in the Asset Management
Vice President Legal Department at Goldman Sachs & Co.
(February 2003-August 2004).
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Timothy Gerlach, None
Assistant Vice President
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Subrata Ghose, None
Assistant Vice President
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Charles W. Gilbert, None
Assistant Vice President
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Phillip S. Gillespie, Formerly First Vice President of Merrill Lynch
Senior Vice President & Investment Management (2001 to September 2004).
Deputy General Counsel
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Alan C. Gilston, None
Vice President
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Jill E. Glazerman, None
Senior Vice President
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Benjamin J. Gord, Vice President of HarbourView Asset Management
Vice President Corporation and of OFI Institutional Asset
Management, Inc.
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Laura Granger, None
Vice President
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Leyla Greengard, None
Assistant Vice President
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Robert B. Grill, None
Senior Vice President
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Robert Haley, None
Assistant Vice President
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Marilyn Hall, None
Vice President
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Kelly Haney, None
Assistant Vice President
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Steve Hauenstein, None
Assistant Vice President
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Jacqueline Girvin-Harkins, None
Assistant Vice President
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Robert W. Hawkins, Formerly an Associate at Shearman and Sterling
Assistant Vice President & LLP (July 2004-August 2005) and Dechert LLP
Assistant Counsel (September 2000-June 2004).
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Thomas B. Hayes, None
Vice President
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Jennifer Heathwood, None
Vice President
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Annika Helgerson, None
Assistant Vice President
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Dennis Hess, None
Vice President
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Joseph Higgins, Vice President of OFI Institutional Asset
Vice President Management, Inc.
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Dorothy F. Hirshman, None
Vice President
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Daniel Hoelscher, None
Assistant Vice President
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Edward Hrybenko, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
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Scott T. Huebl, Assistant Vice President of OppenheimerFunds
Vice President Legacy Program.
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Margaret Hui, None
Vice President
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John Huttlin, Senior Vice President (Director of the
Vice President International Division) (since January 2004) of
OFI Institutional Asset Management, Inc.;
Director (since June 2003) of OppenheimerFunds
(Asia) Limited
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James G. Hyland, None
Assistant Vice President
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Stephen P. Ilnitzki, Vice President of OppenheimerFunds Distributor,
Senior Vice President Inc.; Senior Vice President of OFI Private
Investments, Inc.
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Kelly Bridget Ireland, Vice President (since January 2004) of
Vice President OppenheimerFunds Distributor Inc.
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Kathleen T. Ives, Vice President and Assistant Secretary of
Vice President, Senior OppenheimerFunds Distributor, Inc. and
Counsel & Assistant Secretary Shareholder Services, Inc.; Assistant Secretary
of Centennial Asset Management Corporation,
OppenheimerFunds Legacy Program and Shareholder
Financial Services, Inc.
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William Jaume, Senior Vice President of HarbourView Asset
Vice President Management Corporation and OFI Institutional
Asset Management, Inc.; Director of OFI Trust
Company.
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Frank V. Jennings, None
Vice President
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John Jennings, None
Vice President
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John Michael Johnson, None
Assistant Vice President
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Lisa Kadehjian, Formerly Vice President, Compensation Manager at
Assistant Vice President The Bank of New York (November 1996-November
2004).
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Charles Kandilis, None
Assistant Vice President
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Thomas W. Keffer, None
Senior Vice President
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Christina J. Keller, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
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Michael Keogh, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
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Martin S. Korn, Formerly a Senior Vice President at Bank of
Senior Vice President America (Wealth and Investment Management
Technology Group) (March 2002-August 2004).
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Dimitrios Kourkoulakos, None
Senior Vice President
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Brian Kramer, None
Vice President
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Paul Kunz, None
Assistant Vice President
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Lisa Lamentino, None
Vice President
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Tracey Lange, Vice President of OppenheimerFunds Distributor,
Vice President Inc. and OFI Private Investments, Inc.
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Jeffrey P. Lagarce, President & Chief Marketing Officer of OFI
Senior Vice President Institutional Asset Management, Inc. as of
January 2005. Formerly Executive Vice
President-Head of Fidelity Tax-Exempt Services
Business at Fidelity Investments (August
1996-January 2005).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John Latino, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kristina Lawrence, Formerly Assistant Vice President of
Vice President OppenheimerFunds, Inc. (November 2002-March
2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Gayle Leavitt, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Christopher M. Leavy, None
Senior Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Randy Legg, Formerly an associate with Dechert LLP
Vice President & Assistant (September 1998-January 2004).
Counsel
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Laura Leitzinger, Senior Vice President of Shareholder Services,
Senior Vice President Inc. and Shareholder Financial Services, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Justin Leverenz, Formerly, a research/technology analyst at
Vice President Goldman Sachs, Taiwan (May 2002-May 2004)
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Michael S. Levine, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Brian Levitt, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Gang Li, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Shanquan Li, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Julie A. Libby, Senior Vice President of OFI Private Investment,
Senior Vice President Inc. Formerly Executive Vice President & Chief
Operating Officer at Fred Alger Management, Inc.
(July 1996 - February 2005)
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Daniel Lifshey, Formerly a Marketing Manager at PIMCO Advisors
Assistant Vice President (January 2002-September 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Mitchell J. Lindauer, None
Vice President & Assistant
General Counsel
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Bill Linden, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Malissa B. Lischin, Assistant Vice President of OppenheimerFunds
Vice President Distributor, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David P. Lolli, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Daniel G. Loughran None
Vice President: Rochester
Division
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Patricia Lovett, Vice President of Shareholder Financial
Vice President Services, Inc. and Senior Vice President of
Shareholder Services, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Misha Lozovik, Formerly Senior Director at Clinical Development
Vice President Capital LLC/Care Capital LLC (August 2002 -
October 2005)
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Steven Lucaccini, Formerly Director and High Yield Analyst at UBS
Assistant Vice President Global Asset Management (November 2001 - April
2005)
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Dongyan Ma, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Steve Macchia, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Mark H. Madden, Formerly Senior Vice President & Senior
Vice President Portfolio Manager with Pioneer Investments, Inc.
(July 1990 - July 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kathleen Mandzij, Formerly Marketing Manager - Sales Force
Assistant Vice President Marketing (March 2003-June 2004) of
OppenheimerFunds, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jerry Mandzij, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Angelo G. Manioudakis Senior Vice President of HarbourView Asset
Senior Vice President Management Corporation and of OFI Institutional
Asset Management, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
LuAnn Mascia, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Susan Mattisinko, Assistant Secretary of Centennial Asset
Vice President & Associate Management Corporation, HarbourView Asset
Counsel Management Corporation, Trinity Investment
Management Corporation, OppenheimerFunds Legacy
Program, OFI Private Investments, Inc., OFI
Institutional Asset Management, Inc. and
Oppenheimer Real Asset Management, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Elizabeth McCormack, Vice President and Assistant Secretary of
Vice President HarbourView Asset Management Corporation.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Joseph McGovern, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Charles L. McKenzie, Chairman of the Board, Director, Chief Executive
Senior Vice President Officer and President of OFI Trust Company;
Chairman, Chief Executive Officer, Chief
Investment Officer and Director of OFI
Institutional Asset Management, Inc.; Chief
Executive Officer, President, Senior Managing
Director and Director of HarbourView Asset
Management Corporation; Chairman, President and
Director of Trinity Investment Management
Corporation
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Michael Medev, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Lucienne Mercogliano, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Andrew J. Mika, None
Senior Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jan Miller, Formerly a Supervisor at Janus (May 2004-October
Assistant Vice President 2004 and a Manager at Invesco (February
1994-February 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Nikolaos D. Monoyios, None
Senior Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Charles Moon, Vice President of HarbourView Asset Management
Vice President Corporation and of OFI Institutional Asset
Management, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John V. Murphy, President and Management Director of Oppenheimer
Chairman, President, Chief Acquisition Corp.; President and Director of
Executive Officer & Director Oppenheimer Partnership Holdings, Inc. and
Oppenheimer Real Asset Management, Inc.;
Chairman and Director of Shareholder Services,
Inc. and Shareholder Financial Services, Inc.;
Director of Centennial Asset Management
Corporation, OppenheimerFunds Distributor, Inc.,
OFI Institutional Asset Management, Inc.,
Trinity Investment Management Corporation,
Tremont Capital Management, Inc., HarbourView
Asset Management Corporation and OFI Private
Investments, Inc.; Executive Vice President of
Massachusetts Mutual Life Insurance Company;
Director of DLB Acquisition Corporation; a
member of the Investment Company Institute's
Board of Governors.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Meaghan Murphy, Formerly Marketing Professional, RFP Writer at
Assistant Vice President JP Morgan Fleming Asset Management (May 2002 -
October 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Suzanne Murphy, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Thomas J. Murray, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kenneth Nadler, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Christina Nasta, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Paul Newman, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Richard Nichols, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
William Norman, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
James B. O'Connell, Formerly a Senior Designer Manager of
Assistant Vice President OppenheimerFunds, Inc. (April 2002 - December
2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Matthew O'Donnell, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John O'Hare, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John J. Okray, Formerly Vice President, Head of Trust
Vice President Operations at Lehman Brothers (June 2004-October
2004) prior to which he was an Assistant Vice
President, Director of Trust Services at
Cambridge Trust Company (October 2002-June 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Lerae A. Palumbo, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Anthony Parish, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David P. Pellegrino, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Allison C. Pells, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Robert H. Pemble, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Lori L. Penna, Formerly an RFP Manager/Associate at JPMorgan
Vice President Chase & Co. (June 2001-September 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Brian Petersen, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Marmeline Petion-Midy, Formerly a Senior Financial Analyst with General
Assistant Vice President Motors, NY Treasurer's Office (July 2000-Augut
2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David Pfeffer, Senior Vice President of HarbourView Asset
Senior Vice President & Chief Management Corporation since February 2004.
Financial Officer Formerly, Director & Chief Financial Officer at
Citigroup Asset Management (February
2000-February 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
James F. Phillips, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Scott Phillips, Formerly Vice President at Merrill Lynch
Vice President Investment Management (June 2000-July 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Gary Pilc, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John Piper, Assistant Vice President of Shareholder
Assistant Vice President Services, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Nicolas Pisciotti, Formerly Assistant Vice President at ING (April
Assistant Vice President 2002 - May 2005)
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jason Pizzorusso, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David Poiesz, Formerly a Senior Portfolio Manager at Merrill
Senior Vice President, Head Lynch (October 2002-May 2004).
of Growth Equity Investments
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Sergei Polevikov, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Semyon Polyak, Formerly Vice President and Co-Portfolio Manager
Vice President at Pioneer Investments (June 1998 - August 2005)
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jeffrey Portnoy, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Raghaw Prasad, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David Preuss, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Ellen Puckett, Formerly Sennior Program Manager at Dendant
Assistant Vice President Telecommunications (May 2002-September 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jane C. Putnam, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Paul Quarles, Formerly a Principal at AIM Management Group,
Assistant Vice President Inc. (October 1997-October 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Michael E. Quinn, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Julie S. Radtke, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Norma J. Rapini, None
Assistant Vice President:
Rochester Division
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Corry E. Read, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Marc Reinganum, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jill Reiter, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Claire Ring, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David Robertson, Senior Vice President of OppenheimerFunds
Senior Vice President Distributor, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Robert Robis, Formerly a Proprietary Trader at J.P. Morgan
Assistant Vice President Chase & Co. (May 2004-May 2005).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Antoinette Rodriguez, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Stacey Roode, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jeffrey S. Rosen, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Stacy Roth, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
James H. Ruff, President & Director of OppenheimerFunds
Executive Vice President Distributor, Inc. and Centennial Asset
Management Corporation; Executive Vice President
of OFI Private Investments, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Adrienne Ruffle, Formerly an Associate with Sidley Austin Brown &
Assistant Vice President & Wood LLP (September 2002-February 2005).
Assistant Counsel
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kim Russomanno, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Timothy Ryan, Formerly a research analyst in the large
Vice President equities group at Credit Suisse Asset Management
(August 2001-June 2004)
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Rohit Sah, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Valerie Sanders, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Karen Sandler, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Rudi W. Schadt, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Ellen P. Schoenfeld, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Maria Schulte, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Scott A. Schwegel, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Allan P. Sedmak None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jennifer L. Sexton, Senior Vice President of OFI Private
Vice President Investments, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Nava Sharma, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Bonnie Sherman, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David C. Sitgreaves, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Edward James Sivigny None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Enrique H. Smith, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Louis Sortino, None
Assistant Vice President:
Rochester Division
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Keith J. Spencer, None
Senior Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Marco Antonio Spinar, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Richard A. Stein, None
Vice President: Rochester
Division
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Arthur P. Steinmetz, Senior Vice President of HarbourView Asset
Senior Vice President Management Corporation.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jennifer Stevens, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John P. Stoma, Senior Vice President of OppenheimerFunds
Senior Vice President Distributor, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Deborah A. Sullivan, Secretary of OFI Trust Company.
Vice President & Assistant
Counsel
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Michael Sussman, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Brian C. Szilagyi, Director of Financial Reporting and Compliance
Assistant Vice President at First Data Corporation (April 2003-June 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Matthew Tartaglia, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Martin Telles, Senior Vice President of OppenheimerFunds
Senior Vice President Distributor, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Paul Temple, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jeaneen Terrio, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Vincent Toner, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Leonid Tsvayg, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Keith Tucker, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Cameron Ullyat, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Angela Uttaro, None
Assistant Vice President:
Rochester Division
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Mark S. Vandehey, Vice President and Chief Compliance Officer of
Senior Vice President & Chief OppenheimerFunds Distributor, Inc., Centennial
Compliance Officer Asset Management Corporation and Shareholder
Services, Inc.; Chief Compliance Officer of
HarbourView Asset Management Corporation,
Oppenheimer Partnership Holdings, Inc., Real
Asset Management, Inc., Shareholder Financial
Services, Inc., Trinity Investment Management
Corporation, OppenheimerFunds Legacy Program,
OFI Private Investments Inc. and OFI Trust
Company and OFI Institutional Asset Management,
Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Maureen Van Norstrand, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Nancy Vann, Formerly Assistant General Counsel at Reserve
Vice President & Assistant Management Company, Inc. (April to December
Counsel 2004); attorney at Sidley Austin Brown & Wood
LLP (October 1997 - April 2004).
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Rene Vecka, None
Assistant Vice President:
Rochester Division
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Vincent Vermette, Assistant Vice President of OppenheimerFunds
Assistant Vice President Distributor, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Phillip F. Vottiero, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Lisa Walsh, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Teresa M. Ward, Vice President of OppenheimerFunds Distributor,
Vice President Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jerry A. Webman, Senior Vice President of HarbourView Asset
Senior Vice President Management Corporation.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Christopher D. Weiler, None
Vice President: Rochester
Division
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Adam Weiner, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Barry D. Weiss, Vice President of HarbourView Asset Management
Vice President Corporation and of Centennial Asset Management
Corporation.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Melissa Lynn Weiss, None
Vice President & Associate
Counsel
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Christine Wells, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Joseph J. Welsh, Vice President of HarbourView Asset Management
Vice President Corporation.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Diederick Werdmolder, Director of OppenheimerFunds International Ltd.
Senior Vice President and OppenheimerFunds plc and OppenheimerFunds
(Asia) Limited; Senior Vice President (Managing
Director of the International Division) of OFI
Institutional Asset Management, Inc..
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Catherine M. White, Assistant Vice President of OppenheimerFunds
Assistant Vice President Distributor, Inc.; member of the American
Society of Pension Actuaries (ASPA) since 1995.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Annabel Whiting, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
William L. Wilby, None
Senior Vice President &
Senior Investment Officer,
Director of Equities
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Troy Willis, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Donna M. Winn, President, Chief Executive Officer & Director of
Senior Vice President OFI Private Investments, Inc.; Director &
President of OppenheimerFunds Legacy Program;
Senior Vice President of OppenheimerFunds
Distributor, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Philip Witkower, Senior Vice President of OppenheimerFunds
Senior Vice President Distributor, Inc.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Brian W. Wixted, Treasurer of HarbourView Asset Management
Senior Vice President & Corporation; OppenheimerFunds International
Treasurer Ltd., Oppenheimer Partnership Holdings, Inc.,
Oppenheimer Real Asset Management, Inc.,
Shareholder Services, Inc., Shareholder
Financial Services, Inc., OFI Private
Investments, Inc., OFI Institutional Asset
Management, Inc., OppenheimerFunds plc and
OppenheimerFunds Legacy Program; Treasurer and
Chief Financial Officer of OFI Trust Company;
Assistant Treasurer of Oppenheimer Acquisition
Corp.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Carol E. Wolf, Senior Vice President of HarbourView Asset
Senior Vice President Management Corporation and of Centennial Asset
Management Corporation; serves on the Board of
the Colorado Ballet.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Meredith Wolff, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Oliver Wolff, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kurt Wolfgruber, Director of Tremont Capital Management, Inc.,
Executive Vice President, HarbourView Asset Management Corporation and OFI
Chief Investment Officer & Institutional Asset Management, Inc. (since June
Director 2003)
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Caleb C. Wong, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Edward C. Yoensky, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Lucy Zachman, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Robert G. Zack General Counsel of Centennial Asset Management
Executive Vice President & Corporation; General Counsel and Director of
General Counsel OppenheimerFunds Distributor, Inc.; Senior Vice
President and General Counsel of HarbourView
Asset Management Corporation and OFI
Institutional Asset Management, Inc.; Senior
Vice President, General Counsel and Director of
Shareholder Financial Services, Inc.,
Shareholder Services, Inc., OFI Private
Investments, Inc. and OFI Trust Company; Vice
President and Director of Oppenheimer
Partnership Holdings, Inc.; Director and
Assistant Secretary of OppenheimerFunds
International Ltd and OppenheimerFunds plc;
Secretary and General Counsel of Oppenheimer
Acquisition Corp.; Director of Oppenheimer Real
Asset Management, Inc. and OppenheimerFunds
(Asia) Limited); Vice President of
OppenheimerFunds Legacy Program.
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Neal A. Zamore, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Mark D. Zavanelli, None
Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Alex Zhou, None
Assistant Vice President
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Arthur J. Zimmer, Senior Vice President of HarbourView Asset
Senior Vice President Management Corporation.
- ---------------------------------------------------------------------------------
The Oppenheimer Funds include the following:
Centennial California Tax Exempt Trust
Centennial Government Trust
Centennial Money Market Trust
Centennial New York Tax Exempt Trust
Centennial Tax Exempt Trust
Limited Term New York Municipal Fund (a series of Rochester Portfolio Series)
OFI Tremont Core Strategies Hedge Fund
OFI Tremont Market Neutral Hedge Fund
Oppenheimer AMT-Free Municipals
Oppenheimer AMT-Free New York Municipals
Oppenheimer Balanced Fund
Oppenheimer California Municipal Fund
Oppenheimer Capital Appreciation Fund
Oppenheimer Capital Income Fund
Oppenheimer Cash Reserves
Oppenheimer Champion Income Fund
Oppenheimer Convertible Securities Fund (a series of Bond Fund Series)
Oppenheimer Core Bond Fund (a series of Oppenheimer Integrity Funds)
Oppenheimer Developing Markets Fund
Oppenheimer Discovery Fund
Oppenheimer Dividend Growth Fund
Oppenheimer Emerging Growth Fund
Oppenheimer Emerging Technologies Fund
Oppenheimer Enterprise Fund
Oppenheimer Equity Fund, Inc.
Oppenheimer Global Fund
Oppenheimer Global Opportunities Fund
Oppenheimer Gold & Special Minerals Fund
Oppenheimer Growth Fund
Oppenheimer High Yield Fund
Oppenheimer International Bond Fund
Oppenheimer International Diversified Fund
Oppenheimer International Growth Fund
Oppenheimer International Large-Cap Core Fund (a series of Oppenheimer
International Large-
Cap Core Trust)
Oppenheimer International Small Company Fund
Oppenheimer International Value Fund (a series of Oppenheimer International
Value Trust)
Oppenheimer Limited Term California Municipal Fund
Oppenheimer Limited-Term Government Fund
Oppenheimer Limited Term Municipal Fund (a series of Oppenheimer Municipal
Fund)
Oppenheimer Main Street Fund (a series of Oppenheimer Main Street Funds, Inc.)
Oppenheimer Main Street Opportunity Fund
Oppenheimer Main Street Small Cap Fund
Oppenheimer MidCap Fund
Oppenheimer Money Market Fund, Inc.
Oppenheimer Multi-State Municipal Trust (3 series):
Oppenheimer New Jersey Municipal Fund
Oppenheimer Pennsylvania Municipal Fund
Oppenheimer Rochester National Municipals
Oppenheimer Portfolio Series (4 series)
Active Allocation Fund
Aggressive Investor Fund
Conservative Investor Fund
Moderate Investor Fund
Oppenheimer Principal Protected Main Street Fund (a series of Oppenheimer
Principal
Protected Trust)
Oppenheimer Principal Protected Main Street Fund II (a series of Oppenheimer
Principal
Protected Trust II)
Oppenheimer Principal Protected Main Street Fund III (a series of Oppenheimer
Principal
Protected Trust III)
Oppenheimer Quest Capital Value Fund, Inc.
Oppenheimer Quest For Value Funds (3 series)
Oppenheimer Quest Balanced Fund
Oppenheimer Quest Opportunity Value Fund
Oppenheimer Small- & Mid- Cap Value Fund
Oppenheimer Quest International Value Fund, Inc.
Oppenheimer Quest Value Fund, Inc.
Oppenheimer Real Asset Fund
Oppenheimer Real Estate Fund
Oppenheimer Select Value Fund
Oppenheimer Senior Floating Rate Fund
Oppenheimer Series Fund, Inc. (2 series):
Oppenheimer Disciplined Allocation Fund
Oppenheimer Value Fund
Oppenheimer Strategic Income Fund
Oppenheimer Total Return Bond Fund
Oppenheimer Tremont Market Neutral Fund, LLC
Oppenheimer Tremont Opportunity Fund, LLC
Oppenheimer U.S. Government Trust
Oppenheimer Variable Account Funds (11 series):
Oppenheimer Aggressive Growth Fund/VA
Oppenheimer Balanced Fund/VA
Oppenheimer Capital Appreciation Fund/VA
Oppenheimer Core Bond Fund/VA
Oppenheimer Global Securities Fund/VA
Oppenheimer High Income Fund/VA
Oppenheimer Main Street Fund/VA
Oppenheimer Main Street Small Cap Fund/VA
Oppenheimer Money Fund/VA
Oppenheimer Strategic Bond Fund/VA
Oppenheimer Value Fund/VA
Panorama Series Fund, Inc. (4 series):
Government Securities Portfolio
Growth Portfolio
Oppenheimer International Growth Fund/VA
Total Return Portfolio
Rochester Fund Municipals
The address of the Oppenheimer funds listed above, Shareholder Financial
Services, Inc., Shareholder Services, Inc., OppenheimerFunds Services,
Centennial Asset Management Corporation, Centennial Capital Corp.,
Oppenheimer Real Asset Management, Inc. and OppenheimerFunds Legacy Program
is 6803 South Tucson Way, Centennial, Colorado 80112-3924.
The address of OppenheimerFunds, Inc., OppenheimerFunds Distributor, Inc.,
HarbourView Asset Management Corporation, Oppenheimer Partnership Holdings,
Inc., Oppenheimer Acquisition Corp., OFI Private Investments, Inc., OFI
Institutional Asset Management, Inc. and Oppenheimer Trust Company is Two
World Financial Center, 225 Liberty Street, 11th Floor, New York, New York
10281-1008.
The address of Tremont Advisers, Inc. is 555 Theodore Fremd Avenue, Suite
206-C, Rye, New York 10580.
The address of OppenheimerFunds International Ltd. is Bloc C, Irish Life
Center, Lower Abbey Street, Dublin 1, Ireland.
The address of Trinity Investment Management Corporation is 301 North Spring
Street, Bellefonte, Pennsylvania 16823.
Item 27. Principal Underwriter
(a) OppenheimerFunds Distributor, Inc. is the Distributor of the
Registrant's shares. It is also the Distributor of each of the other
registered open-end investment companies for which OppenheimerFunds, Inc. is
the investment adviser, as described in Part A and Part B of this
Registration Statement and listed in Item 26(b) above (except Panorama Series
Fund, Inc.) and for MassMutual Institutional Funds.
(b) The directors and officers of the Registrant's principal underwriter
are:
- ---------------------------------------------------------------------------------
Name & Principal Position & Office Position and Office
Business Address with Underwriter with Registrant
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Timothy Abbhul(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Robert Agan(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Janette Aprilante(2) Secretary None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
James Barker Vice President None
2901B N. Lakewood Avenue
Chicago, IL 60657
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kathleen Beichert(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Rocco Benedetto(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Robert J. Bishop(1) Treasurer None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Douglas S. Blankenship Vice President None
10407 Cromdale Manor Ct.
Springs, TX 77379
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Tracey Blinzler(1) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David A. Borrelli Vice President None
105 Black Calla Ct.
San Ramon, CA 94583
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jeffrey R. Botwinick(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Michelle Brennan(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
L. Scott Brooks(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kevin E. Brosmith Senior Vice President None
5 Deer Path
South Natlick, MA 01760
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jeffrey W. Bryan Vice President None
1048 Malaga Avenue
Coral Gables, FL 33134
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Patrick Campbell(1) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Andrew Chonofsky Vice President None
300 West Fifth Street, Apt. 118
Charlotte, NC 28202
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Melissa Clayton(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Rodney Constable(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Susan Cornwell(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Neev Crane Vice President None
1530 Beacon Street, Apt. #1403
Brookline, MA 02446
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Julian C. Curry Vice President None
5801 Nicholson Lane, Suite 420
North Bethesda, MD 20852
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jeffrey D. Damia(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John Davis(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Stephen J. Demetrovits(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Joseph A. DiMauro Vice President None
522 Lakeland Avenue
Grosse Pointe, MI 48230
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Steven Dombrower(2) Vice President None
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George P. Dougherty Vice President None
328 Regency Drive
North Wales, PA 19454
- ---------------------------------------------------------------------------------
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Ryan C. Drier Vice President None
3307 Park Ridge Lane NE
Grand Rapids, MI 49525
- ---------------------------------------------------------------------------------
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Cliff H. Dunteman Vice President None
N 53 W 27761 Bantry Road
Sussex, WI 53089-45533
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Hillary Eigen(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John Eiler(2) Vice President None
- ---------------------------------------------------------------------------------
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Kent M. Elwell Vice President None
35 Crown Terrace
Yardley, PA 19067
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Gregg A. Everett Vice President None
4328 Auston Way
Palm Harbor, FL 34685-4017
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
George R. Fahey(1) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Eric C. Fallon Vice President None
10 Worth Circle
Newton, MA 02458
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Deanna Farrugia(1) Vice President None
- ---------------------------------------------------------------------------------
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Joseph Fernandez Vice President None
1717 Richbourg Park Drive
Brentwood, TN 37027
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Mark J. Ferro(2) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Ronald H. Fielding(3) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Bradley Finkle(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Eric P. Fishel Vice President None
725 Boston Post Rd., #12
Sudbury, MA 01776
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Patrick W. Flynn (1) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John E. Forrest(2) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John ("J") Fortuna(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jayme Fowler(2) Vice President None
- ---------------------------------------------------------------------------------
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Lucio Giliberti(2) Vice President None
- ---------------------------------------------------------------------------------
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Michael Gottesman Vice President None
255 Westchester Way
Birmingham, MI 48009
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Raquel Granahan(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Ralph Grant Senior Vice President None
10 Boathouse Close
Mt. Pleasant, SC 29464
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kahle Greenfield(2) Vice President None
- ---------------------------------------------------------------------------------
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Eric Grossjung Vice President None
4002 N. 194th Street
Elkhorn, NE 68022
- ---------------------------------------------------------------------------------
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Michael D. Guman Vice President None
3913 Pleasant Avenue
Allentown, PA 18103
- ---------------------------------------------------------------------------------
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James E. Gunther Vice President None
603 Withers Circle
Wilmington, DE 19810
- ---------------------------------------------------------------------------------
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Kevin J. Healy(2) Vice President None
- ---------------------------------------------------------------------------------
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Kevin Hennessey Vice President None
8634 Forest Run Lane
Orlando, FL 32836
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Elyse R. Jurman Herman Vice President None
5486 NW 42 Avenue
Boca Raton, FL 33496
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Wendy G. Hetson(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
William E. Hortz(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Edward Hrybenko(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Brian F. Husch(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Stephen Ilnitzki(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kathleen T. Ives(1) Vice President & Assistant Secretary
Assistant Secretary
- ---------------------------------------------------------------------------------
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Shonda Rae Jaquez(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
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Nivan Jaleeli Vice President None
13622 E. Geronimo Rd.
Scottsdale, AZ 85259
- ---------------------------------------------------------------------------------
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Eric K. Johnson(1) Vice President None
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Mark D. Johnson Vice President None
15792 Scenic Green Court
Chesterfield, MO 63017
- ---------------------------------------------------------------------------------
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Christina J. Keller(2) Vice President None
- ---------------------------------------------------------------------------------
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Michael Keogh(2) Vice President None
- ---------------------------------------------------------------------------------
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Lisa Klassen(1) Assistant Vice President None
- ---------------------------------------------------------------------------------
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Richard Klein Senior Vice President None
4820 Fremont Avenue South
Minneapolis, MN 55419
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Richard Knott(1) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Brent A. Krantz Senior Vice President None
61500 Tam McArthur Loop
Bend, OR 97702
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David T. Kuzia(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Tracey Lange(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Paul R. LeMire(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
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Eric J. Liberman(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Malissa Lischin(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
James V. Loehle(2) Vice President None
- ---------------------------------------------------------------------------------
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Thomas Loncar(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Craig Lyman Vice President None
7425 Eggshell Drive
Las Vegas, NV 89084
- ---------------------------------------------------------------------------------
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John J. Lynch Vice President None
6325 Bryan Parkway
Dallas, TX 75214
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Michael Malik Vice President None
546 Idylberry Road
San Rafael, CA 94903
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Steven C. Manns Vice President None
1627 N. Hermitage Avenue
Chicago, IL 60622
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Todd A. Marion(2) Vice President None
- ---------------------------------------------------------------------------------
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LuAnn Mascia(2) Vice President None
- ---------------------------------------------------------------------------------
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Theresa-Marie Maynier Vice President None
2421 Charlotte Drive
Charlotte, NC 28203
- ---------------------------------------------------------------------------------
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John C. McDonough Vice President None
2 Leland Ct.
Chevy Chase, MD 20815
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Kent C. McGowan Vice President None
9510 190th Place SW
Edmonds, WA 98020
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Brian F. Medina(1) Vice President None
- ---------------------------------------------------------------------------------
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Daniel Melehan Vice President None
906 Bridgeport Court
San Marcos, CA 92069
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Mark Mezzanotte Vice President None
16 Cullen Way
Exeter, NH 03833
- ---------------------------------------------------------------------------------
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Clint Modler(1) Vice President None
- ---------------------------------------------------------------------------------
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Robert Moser(1) Vice President None
- ---------------------------------------------------------------------------------
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David W. Mountford Vice President None
7820 Banyan Terrace
Tamarac, FL 33321
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Gzim Muja Vice President None
269 S. Beverly Dr. #807
Beverly Hills, CA 90212
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John V. Murphy(2) Director President & Trustee
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Wendy Jean Murray(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John S. Napier Vice President None
17 Hillcrest Ave.
Darien, CT 06820
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Christina Nasta(2) Vice President None
- ---------------------------------------------------------------------------------
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Kevin P. Neznek(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Bradford Norford Vice President None
3914 Easton Sq. Pl.
Columbus, OH 43219
- ---------------------------------------------------------------------------------
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Alan Panzer Vice President None
6755 Ridge Mill Lane
Atlanta, GA 30328
- ---------------------------------------------------------------------------------
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Michael Park(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Brian C. Perkes Vice President None
6 Lawton Ct.
Frisco, TX 75034
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Charles K. Pettit(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Elaine M. Puleo-Carter(2) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Minnie Ra Vice President None
100 Dolores Street, #203
Carmel, CA 93923
- ---------------------------------------------------------------------------------
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Dusting Raring Vice President None
27 Blakemore Drive
Ladera Ranch, CA 92797
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Michael A. Raso(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Richard Rath Vice President None
46 Mt. Vernon Ave.
Alexandria, VA 22301
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
William J. Raynor(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Ruxandra Risko(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David R. Robertson(2) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Nicole Robbins(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Ian M. Roche Vice President None
7070 Bramshill Circle
Bainbridge, OH 44023
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kenneth A. Rosenson Vice President None
24753 Vantage Pt. Terrace
Malibu, CA 90265
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
James H. Ruff(2) President & Director None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Matthew Rutig Vice President None
199 North Street
Ridgefield, CT 06877
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
William R. Rylander Vice President None
85 Evergreen Road
Vernon, CT 06066
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Thomas Sabow Vice President None
6617 Southcrest Drive
Edina, MN 55435
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John Saunders Vice President None
911 North Orange Avenue #401
Orlando, FL 32801
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Jill Schmitt(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Thomas Schmitt(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
William Schories(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Charles F. Scully Vice President None
125 Cypress View Way
Apex, NC 27502
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Eric Sharp Vice President None
862 McNeill Circle
Woodland, CA 95695
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
William Sheluck(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Debbie A. Simon Vice President None
55 E. Erie St., #4404
Chicago, IL 60611
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Bryant Smith(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Douglas Bruce Smith Vice President None
8927 35th Street W.
University Place, WA 98466
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Christopher Spencer Vice President None
22641 SW 106th Ave.
Portland, Oregon 97062
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John Spensley Vice President None
2000 Rhettsbury Street
Carmel, IN 46032
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Alfred St. John(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Bryan Stein(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John Stoma(2) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Wayne Strauss(3) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Brian C. Summe Vice President None
2479 Legends Way
Crestview Hills, KY 41017
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Michael Sussman(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
George T. Sweeney Senior Vice President None
5 Smokehouse Lane
Hummelstown, PA 17036
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
James Taylor(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Martin Telles(2) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
David G. Thomas Vice President None
16628 Elk Run Court
Leesburg, VA 20176
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Barrie L. Tiedemann Vice President None
1774 Sheridan Drive
Ann Arbor, MI 48104
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Mark S. Vandehey(1) Vice President and Chief Vice President and
Compliance Officer Chief Compliance
Officer
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Vincent Vermete(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Elaine Villas(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Cynthia Walloga(2) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Kenneth Lediard Ward Vice President None
1400 Cottonwood Valley Circle
N.
Irving, TX 75038
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Teresa Ward(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Michael J. Weigner Vice President None
4905 W. San Nicholas Street
Tampa, FL 33629
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Donn Weise Vice President None
3249 Earlmar Drive
Los Angeles, CA 90064
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Chris Werner(1) Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Catherine White(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Donna Winn(2) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Philip Witkower(2) Senior Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Meredith Wolff(2) Assistant Vice President None
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Cary Patrick Wozniak Vice President None
18808 Bravata Court
San Diego, CA 92128
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
John Charles Young Vice President None
3914 Southwestern
Houston, TX 77005
- ---------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------
Robert G. Zack(2) General Counsel & Vice President &
Director Secretary
- ---------------------------------------------------------------------------------
(1)6803 South Tucson Way, Centennial, CO 80112-3924
(2)Two World Financial Center, 225 Liberty Street, 11th Floor, New York, NY
10281-1008
(3)350 Linden Oaks, Rochester, NY 14623
(c) Not applicable.
Item 28. Location of Accounts and Records
The accounts, books and other documents required to be maintained by
Registrant pursuant to Section 31(a) of the Investment Company Act of 1940
and rules promulgated thereunder are in the possession of OppenheimerFunds,
Inc. at its offices at 6803 South Tucson Way, Centennial, Colorado 80112-3924.
Item 29. Management Services
Not applicable
Item 30. Undertakings
During the Warranty Period, the Registrant hereby undertakes to mail notices
to current shareholders promptly after the happening of significant events
related to the Financial Warranty issued by Merrill Lynch Bank USA (or any
successors or substituted entities thereto) to the Fund under the Financial
Warranty Agreement. These significant events include (i) the termination of
the Financial Warranty Agreement; (ii) a default under the Financial Warranty
Agreement that has a material adverse effect on a shareholder's right to
receive his or her Warranted Amount on the Maturity Date; or (iii) the
insolvency of Merrill Lynch Bank USA (or any successors or substituted
entities thereto).
The Registrant hereby undertakes to update its registration statement on an
annual basis under the Investment Company Act of 1940, as amended (the "1940
Act") to include updated audited financial statements for Merrill Lynch Bank
USA (or any successors or substituted entities thereto), as applicable.
Merrill Lynch Bank USA has represented to Registrant that its audited
financial statements to be included in Registrant's Registration Statement,
as it may be amended from time to time, have been and will be prepared in
accordance with Regulation S-X and U.S. GAAP, as if Merrill Lynch Bank USA
was required to file Form 10-K under the Securities Exchange Act of 1934, as
amended (the "Exchange Act"). Further, the Registrant undertakes under such
circumstances to include as an exhibit to its registration statement as it
relates to the Fund, the consent of the independent auditors of Merrill Lynch
Bank USA (or such successors or substituted entities), as applicable,
regarding such financial statements.
In the event that a Warranty Provider to the Fund is an entity other than
Merrill Lynch Bank USA ("Substitute Warranty Provider"), and such Substitute
Warranty Provider files Forms 10-K under the Exchange Act then Registrant
hereby undertakes to incorporate by reference in its Statement of Additional
Information on an annual basis under the 1940 Act updated audited financial
statements for the Substitute Warranty Provider included in such Forms 10-K
under the Exchange Act. In the event that at any time during the Warranty
Period during which the Registrant is required to file amendments to its
Registration Statement under the 1940 Act the Substitute Warranty Provider
ceases to file a Form 10-K pursuant to the Exchange Act or if any other
Substitute Warranty Provider is not required to file a Form 10-K pursuant to
the Exchange Act, the Registrant undertakes to update its Registration
Statement on an annual basis under the 1940 Act to include updated audited
financial statements for the then-current Substitute Warranty Provider (or
any successors or substituted entities thereto) and will obtain a
representation from said Substitute Warranty Provider (or any successors or
substituted entities thereto) that its audited financial statements provided
to Registrant for inclusion in Registrant's Registration Statement, as it may
be amended from time to time, have been and will be prepared in accordance
with Regulation S-X and U.S. GAAP covering the periods that would be required
if the Substitute Warranty Provider was required to file Form 10-K under the
Exchange Act. Any Substitute Warranty Provider's audited financial
statements will also be incorporated by reference in Registrant's Statement
of Additional Information. Further, the Registrant undertakes under any
circumstances described in this paragraph to include as an exhibit to its
Registration Statement as it relates to the Fund, the consent of the
independent auditors of the Substitute Warranty Provider (or such successors
or substituted entities), as applicable, regarding such financial statements.
During the Warranty Period, the Registrant hereby undertakes to include in
the Registrant's annual and semiannual reports (with respect to the Fund) to
shareholders, an offer to supply the most recent annual and/or quarterly
report of Merrill Lynch Bank USA, or any Substitute Warranty Provider to the
Financial Warranty or Financial Warranty Agreement, free of charge, upon a
shareholder's request.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and/or the
Investment Company Act of 1940, the Registrant certifies that it meets all
the requirements for effectiveness of this Registration Statement pursuant to
Rule 485(b) under the Securities Act of 1933 and has duly caused this
Registration Statement to be signed on its behalf by the undersigned,
thereunto duly authorized, in the City of New York and State of New York on
the 27th day of December 2005.
OPPENHEIMER PRINCIPAL PROTECTED TRUST
By: /s/ John V. Murphy*
John V. Murphy, President,
Principal Executive Officer and Trustee
Pursuant to the requirements of the Securities Act of 1933, this Registration
Statement has been signed below by the following persons in the capacities on
the dates indicated:
Signatures Title Date
/s/ William L. Armstrong* Chairman of the December 27, 2005
William L. Armstrong Board of Trustees
/s/ John V. Murphy* President, Principal December 27, 2005
John V. Murphy Executive Officer and Trustee
/s/ Brian W. Wixted* Treasurer, Principal December 27, 2005
Brian W. Wixted Financial & Accounting Officer
/s/ Robert G. Avis* Trustee December 27, 2005
Robert G. Avis
/s/ George C. Bowen* Trustee December 27, 2005
George C. Bowen
/s/ Edward L. Cameron* Trustee December 27, 2005
Edward L. Cameron
/s/ Jon S. Fossel* Trustee December 27, 2005
Jon S. Fossel
/s/ Sam Freedman* Trustee December 27, 2005
Sam Freedman
/s/ Beverly L. Hamilton* Trustee December 27, 2005
Beverly L. Hamilton
/s/ Robert J. Malone* Trustee December 27, 2005
Robert J. Malone
/s/ F. William Marshall, Jr.* Trustee December 27, 2005
F. William Marshall, Jr.
*By: /s/ Mitchell J. Lindauer
Mitchell J. Lindauer, Attorney-in-Fact
OPPENHEIMER PRINCIPAL PROTECTED TRUST
Post-Effective Amendment No. 7
Registration Statement No. 333-102588
EXHIBIT INDEX
Exhibit No. Description
23(j) (i) Consent of Independent Registered Public Accounting Firm of
the Registrant and Oppenheimer Main Street Fund(R)
23(j) (ii) Consent of Independent Registered Public Accounting Firm of
Merrill Lynch Bank USA
23(m) (iii) Amended and Restated Service Plan and Agreement for Class A
shares for Oppenheimer Principal Protected Main Street Fund(R)