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For instructions on opening a new Oakmark account, please view our step-by-step guide in Open an Account. After opening your Oakmark account, you can make subsequent purchases via a variety of methods. Please see our Transactions page for information on how to perform transactions within your Oakmark account.
Please see Receiving Redemption proceeds to learn about the various ways redemption proceeds can be sent to you. Shares purchased by check or Automated Clearing House (ACH) electronic transfer will not be available for up to 10 days from the date of purchase.
Please note that the Oakmark International Small Cap Fund imposes a 2% redemption fee on shares redeemed within 90 days of purchase. For more information on redeeming shares, please visit the Transactions section.
Please visit the Transactions section for instructions on how to exchange shares of one Oakmark Fund to another.
An exchange transaction is a redemption of shares in one Fund and a simultaneous purchase of shares in a different Fund that, for federal income tax purposes, may result in a capital gain or loss. For the Oakmark International Small Cap Fund, an exchange may result in a 2% redemption fee imposed on shares redeemed within 90 days of purchase.
If you wish to exchange shares to another share class of the same Fund and your investment meets the minimum requirement, please contact 1-800-OAKMARK (625-6275). For more information on Fund minimums, please visit the Transactions section.
Each Fund’s annual operating expenses (expenses that you pay each year as a percentage of the value of your investment) can be found on the individual Fund pages.
The Oakmark International Small Cap Fund imposes a 2% short-term trading fee on shares redeemed within 90 days of purchase. The fee is deducted from the redemption proceeds and paid to the Fund. The "first-in, first-out" (FIFO) method is used to determine the holding period. The fee offsets portfolio transaction and market impact costs associated with excessive redemption activity and administrative costs associated with processing redemptions.
IRA accounts have the following fees:
Coverdell Education Savings Accounts have the following fees:
All Oakmark Funds are open to direct shareholders provided you meet the minimum initial investment requirement. For more information on Fund minimums, please visit the Transactions section
To add or change beneficiaries on an IRA or Coverdell Education Savings Account (ESA), please complete the IRA/ESA Beneficiary Designation Form.
For new individual or joint accounts, please submit the Transfer on Death (TOD) Form along with the New Account Registration Form.
For existing individual or joint accounts, please complete the Transfer on Death (TOD) Form.
Beneficiaries cannot be added to a trust account. Your trust documentation should designate successor trustees.
Please complete the Change of Registration Form to transfer from an Individual, Joint Tenant or TOD account.
To distribute IRA assets, each beneficiary must complete and submit the IRA Distribution Form.
We do not require a certified copy of the death certificate; however, we do require a Medallion Signature Guarantee stamp certifying that the signature is genuine and has legally binding authority.
Complete the IRA Application & Adoption Agreement and the IRA Transfer/Direct Rollover of Assets Form to transfer IRA assets from another IRA custodian or rollover retirement plan assets to a new Oakmark IRA.
Submit only the IRA Transfer/Direct Rollover of Assets Form if you are transferring IRA assets from another IRA custodian or rolling over retirement plan assets to an existing Oakmark IRA.
Oakmark will initiate the transfer directly with your current custodian or plan administrator by sending the transfer form and our Letter of Acceptance to act as the new custodian of your IRA assets.
To transfer IRA assets from Oakmark to another IRA custodian, please contact the new custodian to determine what paperwork they require. Transfer paperwork submitted to Oakmark does not need a Medallion Signature Guarantee; however, it should contain acceptance language or be accompanied by a letter of acceptance.
To change your account ownership (for example, from an individual account to a joint account), you must complete the Change of Registration Form. A Medallion Signature Guarantee is required.
To change your name on your account, please send us the Shareholder Services Form.
To add bank information to your account online, select Bank Information under the Account Profile tab on the main navigation ribbon. You may also complete and mail the Shareholder Services Form. Please note that we require a Medallion Signature Guarantee if you are adding or changing bank information and the Oakmark and bank account owners’ names do not match exactly or there is no name in common.
First-time users can create a User ID and Password.
If you've forgotten your User ID or need to reset your Password, visit our Account Access page.
If you are unable to retrieve your User ID or reset your Password, please call 1-800-OAKMARK (625-6275) to speak with an Investor Service Representative.
To avoid your account being escheated, you must register your address change with us. We will mail a confirmation to your old and new address. Please note that a Medallion Signature Guarantee is required if you wish to redeem shares to your address of record within 30 days of an address change.
There are three different ways for you to change your address:
Each Oakmark Fund distributes annually to its shareholders substantially all net investment income as dividends and any net capital gains realized from sales of the Fund's portfolio.
Unless you request payment via check, all dividends and capital gains will be reinvested in additional Fund shares. Outstanding checks greater than six months or checks returned as undeliverable will be reinvested in additional Fund shares.
You may change your distribution option by selecting Dividends & Capital Gains Election under the Account Profile tab on the main navigation ribbon. You may also complete and mail the Shareholder Services Form. To learn more about distributions and taxation, please visit our Tax Information page.
A Medallion Signature Guarantee is a way to protect shareholders against fraud. The Medallion Signature Guarantee stamp certifies the signature is genuine and has legally binding authority. You can obtain a Medallion Signature Guarantee stamp from most commercial banks, trust companies, savings associations, credit unions and member firms of domestic stock exchanges. A notary public cannot provide a Medallion Signature Guarantee.
A Medallion Signature Guarantee (MSG) stamp is required if:
We at Oakmark are excited to introduce two new share classes—the Advisor share class and the Institutional share class. With the addition of the Advisor and Institutional classes, the Oakmark Funds now offer four share classes to meet the unique needs of the mutual fund marketplace.
Advisor and Institutional classes are available to purchase directly and through certain financial intermediaries. To qualify, you must meet—and maintain—a minimum investment of $100,000 for advisor shares and $1,000,000 for institutional shares. Oakmark will periodically examine shareholder Fund accounts held directly to determine eligibility for conversion. If you are eligible and want to exchange today, please call us at 1-800-OAKMARK.
The Funds’ Class I shares have been re-named Investor shares and the Class II shares have been re-named Service shares. Class I/Investor shares are offered to members of the general public, whereas Class II/Service shares are offered to certain retirement plans, such as 401(k) and profit sharing plans. Such plans must have an agreement with the Funds in order to purchase Class II/Service shares. If you are a holder of Service Class Shares, your 401(k) or other retirement plan will provide shareholder services to you as required in accordance with your plan agreement. You should contact your plan sponsor or service provider for information about the services available to you under the terms of your plan.
As a shareholder, you will receive a confirmation statement reflecting newly initiated purchases and redemption of shares in the Funds, changes in account services, as well as periodic statements detailing distributions made by the Funds. Shares purchased by reinvestment of dividends and systematic transactions will be confirmed to you quarterly. You will receive periodic shareholder reports and an annual summary prospectus.
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CUSIP identifiers have been provided by CUSIP Global Services, managed on behalf of the American Bankers Association by Standards and Poor’s Financial Services, LLC, and are not for use or dissemination in a manner that would serve as a substitute for any CUSIP service. The CUSIP Database, © 2011 American Bankers Association. “CUSIP” is a registered trademark of the American Bankers Association.
Investing in value stocks presents the risk that value stocks may fall out of favor with investors and underperform growth stocks during given periods.
Before investing in any Oakmark Fund, you should carefully consider the Fund's investment objectives, risks, management fees and other expenses. This and other important information is contained in a Fund's prospectus and summary prospectus. Please read the prospectus and summary prospectus carefully before investing. For more information, please call 1-800-OAKMARK (625-6275).
OAKMARK, OAKMARK FUNDS, OAKMARK INTERNATIONAL, and OAKMARK and tree design are trademarks owned or registered by Harris Associates L.P. in the U.S. and/or other countries.
Copyright 2017, Harris Associates Securities L.P., Distributor, Member FINRA.
Date of first use: January 24, 2013.