SHAREHOLDER INFORMATION AGREEMENT
(UNDER RULE 22c-2(a)(2) OF THE INVESTMENT COMPANY ACT OF 1940)
This Agreement is effective as of the 31st day of January,
2012, by and between OppenheimerFunds Services ("OFS"), a division of
OppenheimerFunds, Inc., OppenheimerFunds Distributor, Inc. ("Distributor") and
referred together with OFS as "Xxxxxxxxxxx", Cuna Mutual Insurance Society and
all future affiliates as parties to the Intermediary Agreement
(the "Agreement").
SHAREHOLDER INFORMATION
1. AGREEMENT TO PROVIDE INFORMATION. Intermediary agrees to provide the Fund,
upon written request, the taxpayer identification number ("TIN"), if known, of
any or all Shareholder(s) of the account and the amount, date, name or other
identifier of any investment professional(s) associated with the Shareholder(s)
or account (if known), and transaction type (purchase, redemption, transfer, or
exchange) of every purchase, redemption, transfer, or exchange of Shares held
through an account maintained by the Intermediary during the period covered by
the request.
1.1 PERIOD COVERED BY REQUEST. Requests must set forth a
specific period, not to exceed 90 days from the date of the
request, for which transaction information is sought. The Fund
may request transaction information older than 90 days from the
date of the request as it deems necessary to investigate
compliance with policies established by the Fund for the purpose
of eliminating or reducing any dilution of the value of the
outstanding shares issued by the Fund.
1.2 FORM AND TIMING OF RESPONSE. Intermediary agrees to transmit
the requested information that is on its books and records to the
Fund or its designee promptly, but in any event not later than 5
business days, after receipt of a request. If the requested
information is not on the Intermediary's books and records,
Intermediary agrees to: (i) provide or arrange to provide to the
fund the requested information from shareholders who hold an
account with an indirect intermediary; or (ii) if directed by the
Fund, block further purchases of Fund Shares from such indirect
intermediary. In such instance, Intermediary agrees to inform the
Fund whether it plans to perform (i) or (ii). Responses required
by this paragraph must be communicated in writing and in a format
mutually agreed upon by the parties. To the extent practicable,
the format for any transaction information provided to the Fund
should be consistent with the NSCC Standardized Data Reporting
Format. For purposes of this provision, an "indirect
intermediary" has the same meaning as in SEC Rule 22c-2 under the
Investment Company Act.
1.3 LIMITATIONS ON USE OF INFORMATION. The Fund agrees not to
use the information received for marketing or any other similar
purpose without the prior written consent of the Intermediary.
2. AGREEMENT TO RESTRICT TRADING. Intermediary agrees to execute written
instructions from the Fund to restrict or prohibit further purchases or
exchanges of Shares by a
Shareholder that has been identified by the Fund as having engaged in
transactions of the Fund's Shares (directly or indirectly through the
Intermediary's account) that violate policies established by the Fund for the
purpose of eliminating or reducing any dilution of the value of the outstanding
Shares issued by the Fund.
2.1 FORM OF INSTRUCTIONS. Instructions must include the TIN,
if known, and the specific restriction(s) to be executed. If the
TIN is not known, the instructions must include an equivalent
identifying number of the Shareholder(s) or account(s) or other
agreed upon information to which the instruction relates.
2.2 TIMING OF RESPONSE. Intermediary agrees to execute
instructions as soon as reasonably practicable, but not later
than five business days after receipt of the instructions by the
Intermediary.
2.3 CONFIRMATION BY INTERMEDIARY. Intermediary must provide
written confirmation to the Fund that instructions have been
executed. Intermediary agrees to provide confirmation as soon as
reasonably practicable, but not later than ten business days after
the instructions have been executed.
3. DEFINITIONS. For purposes of this paragraph:
3.1 The term "Fund" includes the fund's principal underwriter
and transfer agent. The term not does include any "excepted
funds" as defined in SEC Rule 22c-2(b) under the Investment
Company Act of 1940. *
3.2 The term "Shares" means the interests of Shareholders
corresponding to the redeemable securities of record issued by
the Fund under the Investment Company Act of 1940 that are held
by the Intermediary.
3.3 The term "Shareholder" means the holder of interests in
a variable annuity or variable life insurance contract issued by
the Intermediary.
3.4 The term "written" includes electronic writings and
facsimile transmissions.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be
executed in their names and on their behalf by and through their duly authorized
officers, as of the day and year first above written.
CUNA MUTUAL INSURANCE SOCIETY
By: /s/ Xxxxx X. Xxxx
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Name: Xxxxx X. Xxxx
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Title: SVP
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Date: 1-24-12
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OPPENHEIMERFUNDS, INC.
(on its own behalf and on behalf of its division OppenheimerFunds Services)
By: /s/ Xxxxx Xxxxx
----------------
Name: Xxxxx Xxxxx
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Title: SVP
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Date: 1-17-12
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OPPENHEIMERFUNDS DISTRIBUTOR, INC.
By: /s/ Xxxx Xxxxxxx
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Name: Xxxx Xxxxxxx
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Title: SVP, Distribution Operations
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Date: 1-13-12
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* As defined in SEC Rule 22c-2(b), the term "excepted fund" means any: (1)
money market fund; (2) fund that issues securities that are listed on a national
exchange; and (3) fund that affirmatively permits short-term trading of its
securities, if its prospectus clearly and prominently discloses that the fund
permits short-term trading of its securities and that such trading may result in
additional costs for the fund.
