IRA Distribution Instructions and Forms for Original Account Holders

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1 Retirement IRA Distribution Instructions and Forms for Original Account Holders Not FDIC Insured May Lose Value Not Bank Guaranteed

2 CONTENTS 1 Accessing Your Retirement Savings 2 Types of Distributions 4 Tax-Reporting Information Forms 5 IRA Distribution Request Form 9 Required Minimum Distribution Request Form

3 Accessing Your Retirement Savings This guide will assist you with understanding your various distribution options and provides the forms necessary for taking a distribution from an OppenheimerFunds Traditional, Roth, SIMPLE and SEP Individual Retirement Account (IRA). Your age and reason for distribution may impact the type of distribution you take as well as the potential tax implications. Before taking a distribution from your IRA, we encourage you to consult with a qualified tax advisor as well as your financial advisor to help you evaluate your options. This material is meant for informational purposes only and is not intended to be used for legal or tax advice. This booklet is not intended for beneficiaries. Beneficiaries inheriting an IRA should use the forms included in the Inherited IRA Instructions and Forms booklet available at oppenheimerfunds.com or by calling the IRA Resource Center at

4 OppenheimerFunds Types of Distributions Below is a description of the types of distributions you may request from your retirement account. If you are under age 70½, use the IRA Distribution Request Form on page 5, or age 70½ and above, use the Required Minimum Distribution Request Form on page 9. Normal Distribution (on or after age 59½) Investors who are age 59½ and above may request a normal distribution from their retirement account. Roth IRA distributions are tax free if the account has been held for at least five years. Premature Distribution (before age 59½) All IRA distributions taken prior to age 59½ may be subject to a 10% early withdrawal penalty. In a Roth IRA, converted amounts under five years and all earnings will be subject to a premature distribution penalty. Penalty Exempt Distributions The IRS has defined the following events to be eligible waivers of the early 10% withdrawal penalty and are discussed in greater detail in IRS Publication 590-B. Please use IRS Form 5329 along with your taxes to document your penalty exception. Disability is defined by the IRS as being unable to engage in any substantial and gainful activity. 1 Death Substantial Equal Periodic Distribution Payments (72(t)). Payment schedule may not be altered and must continue for the latter of five years or until age 59½. Certain Unreimbursed Medical Expenses First-Time Home Purchase Education Expenses Unemployed Health Insurance IRS Levy Direct Rollovers (see Rollovers) Active Reservist 2 1. OppenheimerFunds does not require proof of disability to identify the distribution on the tax form, however, if your distribution comes from a class of shares with a contingent deferred sales charge (CDSC), you may have the CDSC waived by supplying a letter of disability determination from the Social Security Administration (SSA), or if you already receive a stream of benefits from the SSA, a signed letter from your physician on his or her own letterhead.

5 The Right Way to Invest Rollovers Generally, a rollover is a tax-free distribution to you of cash or other assets from one retirement plan to another retirement plan or IRA. The contribution to the receiving account is called a rollover contribution. Your distribution can be made in the form of a direct rollover or an indirect rollover. Direct Rollover (Trustee to Trustee Transfer) If you elect this option, the balance of your account will be transferred directly into an IRA or an employer s qualified plan of your choosing without you taking physical receipt of the assets. This is a non-taxable transaction. Indirect Rollover (60-Day Rollover Rule) If you elect this option, it is your responsibility to redeposit the value of your account into an IRA or an employer s qualified plan within 60 days. Amounts not rolled over within the 60 calendar-day period do not qualify as a tax-fee rollover and as a result may be subject to taxes and penalties. If your distribution is from a SIMPLE IRA that has been funded for less than two years, the premature distribution penalty is 25% instead of 10% and cannot be rolled over to a Traditional IRA Effective 2015, you can make only one indirect rollover from an IRA to another (or same) IRA in any 12-month period regardless of the number of IRAs you own. 2 Required Minimum Distributions (RMDs) (at age 70½ and not applicable to Roth IRAs) You must begin taking RMDs in the year in which you attain age 70½. Though you may defer your first RMD until April 1 of the year following the year in which you attain age 70½, doing so will require you to take two RMDs in the year in which you attain age 71. The RMD is based on your life expectancy factor and the year-end account value of your IRA according to the following formula: RMD = (December 31 portfolio value) (Life expectancy factor) Under IRS rules, your life expectancy factor is taken from the Uniform Life Expectancy Table located in IRS Publication 590-B. The only exception is if your spouse is your sole beneficiary and more than 10 years younger. In this instance, you may use the actual joint life expectancy of you and your spouse to calculate your RMD. Please Note: Distributions from RMDs can be reinvested into a nonretirement OppenheimerFunds mutual fund account. Please talk to your financial advisor or call 800 CALL OPP ( ) for more details.. 2. This rule applies to Traditional, Roth, SEP and SIMPLE IRAs. It does not apply to distributions from a qualified employer s retirement plan. 3

6 OppenheimerFunds Tax-Reporting Information Any distribution from an IRA is reported to the IRS as a distribution taken in the year in which the shares are redeemed. The distribution is reported on IRS Form 1099-R. Tax-Withholding Information All distributions will be issued net of withholding unless you specify otherwise. Distributions from an IRA account are subject to federal income tax withholding unless you elect not to have taxes withheld. Share holder Services is required by the Internal Revenue Code to withhold 10% from all IRA distributions unless we are instructed otherwise by you at the time you request distributions. You will receive your copy of Form 1099-R by the end of January of the following year. If you do not want Shareholder Services to withhold taxes on your distributions, please be sure to complete the withholding section of the OppenheimerFunds IRA Distribution Request or Required Minimum Distribution Request Form. You must include your Taxpayer Identification Number (your Social Security number) on the notice and sign it for your election to be effective. You will then be responsible for paying estimated taxes to the IRS. You may incur penalties under the estimated tax rules if your estimated tax payment is insufficient. For periodic distributions, your decision to not have withholding apply will remain in effect until you cancel it. For non-periodic distributions, the with holding notice applies only to that specific distribution. For non-periodic distributions, we will automatically withhold federal taxes at a rate of 10% unless otherwise instructed. The election notice can be used to increase the amount of tax withheld. Where indicated, you must provide us with your certified Taxpayer Identification Number (your Social Security number) when you request a payment. If you fail to provide it, we are required by law to withhold even if you elect not to have tax withheld. We will pay the IRS the amount withheld on your behalf. We cannot refund any amount properly withheld, even if the amount was withheld because of your failure to file the necessary election notice. Withholding Is Your Responsibility It is your responsibility to determine whether withholding is appropriate and meets the requirements of the applicable tax laws. Neither we, the funds distributor, nor the funds themselves are responsible for determining whether withholding should apply, what amounts should be withheld, or whether your election satisfies your obligations under the tax laws. This includes withholding for state law purposes, which OppenheimerFunds does not perform. Payments Paid Outside the United States If you are a U.S. citizen or resident alien and your home address is outside the United States, you may not elect against withholding on payments paid outside the U.S. If you are not a U.S. citizen or are a nonresident alien, you may elect against U.S. withholding provided: 1. You supply Shareholder Services with an IRS Form W-8BEN or have done so within the last three years, and 2. You are not subject to Section 877 of the Internal Revenue Code concerning expatriation to avoid taxes. If you submit an IRS Form W-8BEN to Shareholder Services, we will withhold at the rate of 30% or at the rate specified by the treaty between the United States and your country of residence, if any. Processing Time Please allow 7 10 days to process and implement a distribution request. 4

7 IRA Distribution Request Form 1 Instructions This form is for distribution requests from your Traditional IRA, Roth IRA, SEP IRA, SARSEP IRA, SIMPLE IRA or Rollover IRA account. We will not process this request if this form is not signed by the account owner. For distributions of RMD, Please use the Required Minimum Distribution Request Form for original account holders. To request a distribution due to the death of a shareholder. Please use the forms included in the Inherited IRA Instructions and Forms Booklet (RE ). Do not use this form if seeking to transfer IRA assets to another service provider. Please complete and return pages 1 4 of this form to OppenheimerFunds Distributor Inc. Fax Regular mail Overnight mail P.O. Box E. Iliff Avenue Denver, CO Suite 300 Aurora, CO Questions: Call IRA Resource Center at See instruction booklet for information on distributions and penalties. *Asterisked fields are required. 1 Account registration *First name M.I. *Last name *Social Security no. *Date of birth *Contact (select one): Me My Advisor Either ( ) *Contact phone no. 2 Reason for distribution For details, please see the instruction booklet. Please select one option then continue to Section 3 for distribution instructions. Normal Distribution (on or after age 59½). Premature Distribution (under age 59½; 10% penalty applies). First-time Home Purchase, Education Expenses, Unemployed Health Insurance or Certain Unreimbursed Medical Expenses (coded as a premature distribution). IRS Levy (must attach copy of levy). Disability Substantially Equal Periodic Payments Under Code Section 72(t) (You must attach the OppenheimerFunds 72(t) Distribution Illustration provided by your advisor, signed by both of you. For more information, see page 2 of this instruction booklet.) Reservist Direct Rollover to a 403(b) or Qualified Plan at Another Financial Institution Note: Do not use this option if moving assets to an IRA, SEP IRA, SIMPLE IRA, Roth IRA or SARSEP IRA. RE Page 1 of 4

8 3 Type of distribution Select one. If the distribution is in excess of $100,000 per account, a signature guarantee is required. A. One-time Distribution Distribute 100% of the accounts listed below (lump sum). (The dollar fields in Section D do not need to be filled out if selecting this option. Only account numbers are required.) Distribute 100% of my accounts under the following plan type(s) (select all that apply). You do not need to complete Section D if you elect this option.): Traditional IRA Roth IRA SEP IRA SARSEP IRA SIMPLE IRA Rollover IRA Partial/One-time Distribution for the accounts listed below. (Please include dollar amount if choosing partial distribution.) B. Ongoing/Systematic Distributions Systematic Distributions from accounts listed below. Start date: / / (payout start date must be after the 6th of each month). Annually Semiannually Quarterly Monthly I would like a proportional split for the distribution of my accounts. If the start date for systematic distributions is not specified, we will default to the 20th of each month. C. Dividends and Capital Gains (If no accounts are identified in Section D, this option will be setup on all accounts) Distribute dividends only. Distribute capital gains only. Distribute both dividends and capital gains. D. Accounts to Redeem If you selected to redeem 100% of a specific plan type(s), please proceed to Section 4 for Federal withholding election. Note: If you require additional space for account numbers, please attach a list. If the requested amount leaves less than one share, the entire account will be redeemed. If you are taking RMDs and do not identify a specific account, we will default to a proportional distribution of the accounts. 4 Federal withholding election If you do not check one of these options, we must withhold 10% from your distribution. Even if you elect to have federal income tax withheld, you are liable for payment of federal income tax on the taxable portion of your distribution. You may also be subject to the tax penalties under the estimated tax payment rules if your payments of estimated tax and withholding, if any, are not adequate. Minimum election for withholding must be 10% or greater. We do not withhold state taxes. Federal withholding does not apply for Roth IRA accounts unless specifically requested. I want federal income tax withheld at the rate of % from each account. I do not want federal income tax withheld. RE Page 2 of 4

9 5 Method of payment* Select one (defaults to bank account or Address of Record if no existing bank account information on file). Will apply to all distributions requested on this form. Deposit directly to my bank account: (Please allow approximately 3 to 5 days to receive the amounts.) Checking Savings Do you already have bank account information on file with OppenheimerFunds? Yes No Bank Account No.: Include a copy of a voided, preprinted check or preprinted savings deposit slip. Note: Preprinted deposit slips may not have the proper routing number for your bank, please contact your bank for more information. Send payment to address listed on my account: (Please allow approximately 5 to 7 days to receive the amounts.) Regular mail Overnight (fee will be deducted from the account) OppenheimerFunds Account No.: Transfer to my existing OppenheimerFunds nonretirement account. Deposit the proceeds of this distribution into a nonretirement account in the same fund. Use the same registration as on account listed below. Deposit the proceeds of this distribution into a nonretirement account using the account: Name of Fund: Account No.: Transfer to a new OppenheimerFunds nonretirement account (per required attached New Account Application). Direct rollover to another financial institution. (do not use when moving proceeds to a Traditional IRA, SEP IRA, SIMPLE IRA, SARSEP IRA) Note: If this option is selected, the request must be Signature Guaranteed or accompanied by the receiving company s Letter of Acceptance (signed by company). Please select account type you are moving your assets to: 403(b) 401(k) Defined Benefit Profit-Sharing Plan Other Send check to address and/or payee other than address listed on my account. Please complete signature guarantee request. Make check payable and mail to charity listed below: Make check payable as instructed on attached Letter of Acceptance from receiving financial institution (for direct rollover). Make check payable to: First Name/Charity M.I. Last Name Address City State Zip Address provided above is my new address. Please update my account. Please give adequate notice (normally 15 days) to terminate payment to your bank either in writing (signed by bank account owners) or by telephone. RE Page 3 of 4

10 6 Signature I certify that I have read and completed the instructions on this form and that I have consulted with my tax advisor, or that I otherwise fully understand the tax and other legal consequences of this request or distribution(s) from the OppenheimerFunds-sponsored retirement account. I understand that I am responsible for knowing whether this distribution(s) complies with applicable tax laws; and that I am responsible for reporting and paying all applicable taxes on this distribution(s) and that if this distribution constitutes a premature distribution, I am aware of the applicable tax requirements and penalties. I also certify that if I have requested a transfer of shares of an OppenheimerFunds account to my name, I am of legal age and have the capacity to own such shares. I understand that neither OFI Global Trust Company nor Shareholder Services, Inc., OppenheimerFunds Distributor, Inc. and their respective officers, employees or agents have provided, or are responsible for providing tax or legal advice to me on request. I understand and agree that the trustee shall not be responsible for any tax due on account of this distribution(s) (including distributions based on life expectancy or required minimum distributions calculated using information I provided) or for any tax or other penalties I may pay or incur as a result of this request of any distribution(s) from my account(s). Print name of account owner X Signature of account owner Date X Signature of joint bank owner (if applicable) Date Signature Guarantee Stamp Signature guarantee is required for the following situations: Distribution(s) in excess of $100,000 per fund account. ALL distributions being sent to an address other than the one listed on your account. If address on your account has changed within the last 15 days. If registration on AccountLink is different. If you are signing as a fiduciary (attorney-in-fact, guardian or conservator). If you are an attorney-in-fact, you must also provide a photocopy of the Power-of-Attorney (POA) document and a 30-day affidavit stating the shareholder is alive and the POA is in full force and effect. Checklist Did you select a start date in Section 3B for a systematic distribution (if applicable)? Did you elect tax withholding in Section 4? Did you sign in Section 6? Did you obtain a Signature Guarantee (if applicable)? RE July 22, 2015 Page 4 of 4

11 Required Minimum Distribution Request Form Instructions Please print neatly in all CAPITAL LETTERS and use black ink to fill out this application. To receive your distribution in a timely manner, please complete all sections and sign this form. We will not process this request if this form is not signed by the account owner. Do not use this form to request a distribution due to the death of a shareholder. Please use the forms included in the Inherited IRA Instructions and Forms Booklet (RE ). Complete and return pages 1 4 of this form to: Fax Regular mail Overnight mail Shareholder Services, Inc. Shareholder Services, Inc. (if no Signature Guarantee is required) P.O. Box E. Iliff Avenue, Suite 300 Denver, CO Aurora, CO *Asterisked fields are required. 1 Account registration *First name M.I. *Last name *Social Security no. *Date of birth *Contact (select one): Me My Advisor Either ( ) *Contact Phone No. 2 Life expectancy options* Required Minimum Distribution (RMD) (after age 70½) (select one): Please select one option then continue to Section 3 for distribution instructions. j I have made calculations on my own. j I want OppenheimerFunds to calculate my RMD (please provide the following information): Is the spouse the sole beneficiary? j Yes j No If Yes: Spouse s Date of Birth: / / RB Page 1 of 4

12 3 Type of distribution Select one. If the distribution is in excess of $100,000 per account, a signature guarantee is required. A. One-time Distribution Distribute 100% of the accounts listed below (lump sum). (The dollar fields in Section C do not need to be filled out if selecting this option. Only account numbers are required.) Distribute 100% of my accounts under the following plan type(s) (select all that apply). You do not need to complete Section C if you elect this option.): Traditional IRA Roth IRA SEP IRA SARSEP IRA SIMPLE IRA Rollover IRA Partial/One-time Distribution for the accounts listed below. (Please include dollar amount if choosing partial distribution.) B. Ongoing/Systematic Distributions Systematic Distributions from accounts listed below. Start date: / / (payout start date must be after the 6th of each month). Annually Semiannually Quarterly Monthly I would like a proportional split for the distribution of my accounts. If the start date for systematic distributions is not specified, we will default to the 20th of each month. C. Accounts to Redeem If you selected to redeem 100% of a specific plan type(s), please proceed to Section 4 for Federal withholding election. Note: If you require additional space for account numbers, please attach a list. If the requested amount leaves less than one share, the entire account will be redeemed. If you are taking RMDs and do not identify a specific account, we will default to a proportional distribution of the accounts. 4 Federal withholding election If you do not check one of these options, we must withhold 10% from your distribution. Even if you elect to have federal income tax withheld, you are liable for payment of federal income tax on the taxable portion of your distribution. You may also be subject to the tax penalties under the estimated tax payment rules if your payments of estimated tax and withholding, if any, are not adequate. Minimum election for withholding must be 10% or greater. We do not withhold state taxes. Federal withholding does not apply for Roth IRA accounts unless specifically requested. I want federal income tax withheld at the rate of % from each account. I do not want federal income tax withheld. RB Page 2 of 4

13 5 Method of payment* (Defaults to bank account or Address of Record if no existing bank account information is on file.) j Deposit directly to my bank account: (If OppenheimerFunds does not have current bank information on file, please include a preprinted, voided check or savings deposit slip.) j Checking (Account No.: ) j Savings (Account No.: ) j Send payment to address listed on my account: j Regular mail j Overnight (fee will be deducted from the account) OppenheimerFunds Account No.: j Transfer to my existing OppenheimerFunds nonretirement account: j I want the proceeds of this distribution to go into a nonretirement account in the same fund. Use the same registration as on account listed below. j I want the proceeds of this distribution to go into a nonretirement account: Name of Fund: Account No.: j Transfer to a new OppenheimerFunds nonretirement account (per required attached New Account Application). j Send check to address and/or payee other than address listed on my account. (Signature Guarantee Required.) j Make check payable and mail to charity listed below: j Make check payable to: First Name/Charity M.I. Last Name Address City State Zip j Address provided above is my new address. Please update my account. Please give adequate notice (normally 15 days) to terminate payment to your bank either in writing (signed by bank account owners) or by telephone. We cannot send payments directly to your bank account (the default setting for systematic distributions) without pertinent information. Please include a preprinted, voided check/deposit slip in the envelope with this form. Please do not staple or tape the check/deposit slip to the application. RB Page 3 of 4

14 6 Signature I certify that I have read and completed the instructions on this form and that I have consulted with my tax advisor, or that I otherwise fully understand the tax and other legal consequences of this request or distribution(s) from the OppenheimerFunds-sponsored retirement account. I understand that I am responsible for knowing whether this distribution(s) complies with applicable tax laws; and that I am responsible for reporting and paying all applicable taxes on this distribution(s). I also certify that if I have requested a transfer of shares of an OppenheimerFunds account to my name, I am of legal age and have the capacity to own such shares. I understand that neither OFI Global Trust Company nor Shareholder Services, Inc., OppenheimerFunds Distributor, Inc. and their respective officers, employees or agents have provided, or are responsible for providing tax or legal advice to me on request. I understand and agree that the trustee shall not be responsible for any tax due on account of this distribution(s) (including distributions based on life expectancy or required minimum distributions calculated using information I provided) or for any tax or other penalties I may pay or incur as a result of this request of any distribution(s) from my account(s). Print name of account owner X Signature of account owner Date X Signature of joint bank owner (if applicable) Date Signature Guarantee Stamp Signature guarantee is required for the following situations: Distribution(s) in excess of $100,000 per fund account ALL distributions being sent to an address other than the one listed on your account If address on your account has changed within the last 15 days If registration on AccountLink is different If you are signing as a fiduciary (attorney-in-fact, guardian or conservator). If you are an attorney-in-fact, you must also provide a photocopy of the Power-of-Attorney (POA) document and a 30-day affidavit stating the shareholder is alive and the POA is in full force and effect. Checklist Did you select a start date in Section 3B for a systematic distribution (if applicable)? Did you elect tax withholding in Section 4? Did you sign in Section 6? Did you obtain a Signature Guarantee (if applicable)? RB July 22, 2015 Page 4 of 4

15

16 The various effects of taking an IRA distribution depend upon a number of factors. This bro chure discusses allowable distributions and includes the applicable OppenheimerFunds IRA Distribution Request Forms. Visit Us oppenheimerfunds.com Call IRA Resource Center Follow Us Shares of Oppenheimer funds are not deposits or obligations of any bank, are not guaranteed by any bank, are not insured by the FDIC or any other agency, and involve investment risks, including the possible loss of the principal amount invested. This material is provided for general and educational purposes only, and is not intended to provide legal, tax or investment advice, or for use to avoid penalties that may be imposed under U.S. federal tax laws. Contact your attorney or other advisor regarding your specific legal, investment or tax situation. Before investing in any of the Oppenheimer funds, investors should carefully consider a fund s investment objectives, risks, charges and expenses. Fund prospectuses and summary prospectuses contain this and other information about the funds, and may be obtained by asking your financial advisor, visiting oppenheimerfunds.com or calling CALL OPP ( ). Read prospectuses and summary prospectuses carefully before investing. Oppenheimer funds are distributed by OppenheimerFunds Distributor, Inc. 225 Liberty Street, New York, NY OppenheimerFunds Distributor, Inc. All rights reserved. RB August 21, 2015

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