Nominees

If you are a broker, bank, or other nominee that purchased or acquired shares of one or more of the eligible Oppenheimer or Rochester Mutual Funds as defined in the Notice (collectively, the “Funds”) during the respective Class Periods, for the beneficial interest of a person or entity other than yourself, the Court has ordered that you must, within seven (7) days of your receipt of the Notice, either:

  1. Provide the Claims Administrator with a list of the names and last known addresses of beneficial owners of the Funds; or
  2. Forward copies of the Notice and Proof of Claim to beneficial owners of the Funds.

If you are providing a list of names and addresses to the Claims Administrator:

  1. Compile a list of names and last known addresses of beneficial owners that purchased or acquired shares of the Funds during the respective Class Periods.
    1. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
    2. Then you must either:
      1. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:

        Oppenheimer Rochester Funds Securities Litigation
        Claims Administrator
        P.O. Box 3518
        Portland, OR 97208-3518
      2. Email the spreadsheet to info@OppenheimerSettlement.com; or
      3. Upload the spreadsheet here.

If you are mailing the Notice and Proof of Claim to beneficial owners:

Request the needed number of copies of the Notice and Proof of Claim via email to info@oppenheimersettlement.com. You must mail the Notice and Proof of Claim to the beneficial owners within seven (7) calendar days of your receipt of the packets.

If you have any questions, contact the Claims Administrator at info@oppenheimersettlement.com or by calling 877-273-9532.

If you are filing electronic claims:

A nominee may also submit a Proof of Claim on behalf of multiple clients who are beneficial owners by following the instructions below.

Click here to download the Proof of Claim.

Click here to download a properly formatted spreadsheet for submitting your transactions.

You may upload your master Proof of Claim and completed spreadsheet online here.


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