Forms for individuals
Your one-stop forms shop
Find common forms you need for insurance claims, online account setup, beneficiary changes and more, ready to download and print for your convenience.
Remember, you can log in to your Principal® account online to:
- Change beneficiaries for 401(k) and other retirement plans
- View your retirement savings account balance or change your contributions
- Check your insurance claim status or review existing claim activity
- Request electronic delivery of certain account documents
- View annuity contract details and potential additional forms
Need help creating or managing your online account? Download printable instructions (PDF).
What do you need to do?
Download a beneficiary form:
- For group life insurance through your employer/former employer (PDF)
- For individual life insurance purchased through a financial professional (including ported coverage) (PDF); Online beneficiary changes are available on some life insurance policies—just log in to your account.
- For annuity contracts (PDF)
Add or change beneficiaries on your retirement account.
Where your coverage comes from makes a difference when it comes to the forms you fill out. Choose the option below that best describes your situation.
Option 1 – You have short- or long-term disability coverage through work.
For group disability insurance policies, claims can be submitted via:
- Online disability insurance claim form
- Disability claim form instructions, employer and employee statements (PDF).
- Mail: Principal Life Insurance Company
Attn: Group Life & Disability Claims Department
711 High St.
Des Moines, IA 50392-0002 - Email: SBDClaims@principal.com
- Fax: 800-255-6609
- Mail: Principal Life Insurance Company
Additional forms:
- Pregnancy disability claim form, employer and employee statements (PDF)
- Attending physician's statement (PDF)
Option 2 – You purchased your own individual disability coverage.
Simply download and complete the form(s) you need:
- Complete the online submission of your disability claim or if you prefer to send via fax, mail or email, complete the PDF form:
- If your claim is psychiatric and/or substance abuse related, we’ll need these forms:
- Send your form(s) to:
- Mail: Principal Life Insurance Company
Attn: Individual Disability Claims Department
711 High St.
Des Moines, IA 50392 - Email: IndividualDisabilityClaims@exchange.principal.com
- Fax: 866-317-4526
- Phone: 800-422-3788
- Mail: Principal Life Insurance Company
Where your coverage comes from makes a difference when it comes to the forms you fill out. Choose the option below that best describes your situation.
Option 1 – You have group life insurance through work.
- You can complete and submit the group life claim form (PDF):
- Mail: Principal Life Insurance Company
Attn: Group Life & Disability Claims Department
711 High St.
Des Moines, IA 50392-0002 - Email: SBDClaims@principal.com
- Fax: 800-255-6609
- Mail: Principal Life Insurance Company
Additional forms:
Option 2 - The individual life insurance policy was purchased through a financial professional.
To get started with your claim, access the documents you’ll need using our claims requirement tool or by downloading this claims packet (PDF).
Once you have the appropriate paperwork completed, you'll need to give us a call at 800-331-2213 to initiate the claim process. At this point, you'll be able to mail or fax us your form(s). Standard processing time once all claim requirements are received is 7-10 business days.
To file a claim, access your state's specific critical illness claim form (PDF) (select the state where your employer is located). Then complete and submit as shown below.
To file a wellness claim, complete and submit a claim online after logging in to principal.com.
Or, access your state's specific health screening/wellness claim form (PDF). Then compete and submit as shown below.
- Mail: Principal Life Insurance Company
Attn: Group Life & Disability Claims Department
711 High St.
Des Moines, IA 50392-0002 - Email: SBDClaims@principal.com
- Fax: 800-255-6609
*Specified disease in New York
To file a claim, complete and submit the accident claim form (PDF).
- Mail: Principal Life Insurance Company
Attn: Group Life & Disability Claims Department
711 High St.
Des Moines, IA 50392-0002 - Email: SBDClaims@principal.com
- Fax: 800-255-6609
To file a wellness claim, access your state's specific health screening/wellness claim form (PDF). Then compete and submit as shown below.
- Mail: Principal Life Insurance Company
Attn: Group Life & Disability Claims Department
711 High St.
Des Moines, IA 50392-0002 - Email: SBDClaims@principal.com
- Fax: 800-255-6609
To start a PFML claim, complete and submit the claim online.
Or, complete and submit the appropriate PFML claim form:
For individual coverage purchased through a financial professional, download:
- Life Insurance Customer Service Request Form (PDF) for name changes, premium or frequency changes, and changes of address
- Life Insurance Ownership Change Form (PDF)
- Life Insurance Pre-Authorized Monthly Premium Withdrawal (PDF)
- Authorization for Release of Information (PDF)
- Assignment of Life Insurance Policy as Collateral on a Loan (PDF)
- Release of an Assignment (PDF)
- Add a Secondary Addressee (PDF)
- Add a Secondary Addressee for New Jersey (PDF)
For your Individual Disability Insurance coverage, download:
- Set up or Change your Automated Payment Information (EFT) (PDF)
- Customer Service Request (PDF) for name changes, premium frequency changes, and changes of address
- Ownership Change Form (PDF)
- Authorization for Release of Information (PDF)
- Assignment of Benefit (PDF)
- Release of Assignment of Benefit (PDF)
- Add a Secondary Address (PDF)
For an annuity contract purchased through a financial professional, download:
- Annuity Service Request Form (PDF) for name changes, address change or lost contract
- Change of Ownership - Annuity (PDF) available on nonqualified contracts only
- Authorization Agreement for Direct Deposit (PDF) voided check attached to form required
- Request Wire Transfers (PDF)
- Request a Brokerage IRA Distribution (PDF); for Brokerage IRA only (if you have a Principal Bank IRA, please call 800-672-3343 for appropriate form)
- Non-retirement authorization (PDF)
- Retirement authorization (PDF)
To download a prospectus, or to request a prospectus be mailed to you, visit principalfunds.com.
- Your Rollover Options (PDF) (402f); Have questions about Rollover IRA rules? Get the basics about how to rollover, how much you can rollover, how rollovers can affect your taxes, and more.
- Know Your Options (PDF); Typically there are four options when you are eligible to take money out of a former employer’s retirement plan, find out what the advantages and drawbacks are for each option.
- Washington Non-Disclosure Directive Form (PDF) For individuals in the state of Washington only.
- Rhode Island Confidential Communications Request (PDF) For individuals in the state of Rhode Island only.
- Confidential Communications Form (PDF) For individuals in all states other than Rhode Island and Washington.
Consolidate your IRAs, mutual funds, and other investments from different institutions into new or existing Principal Funds accounts with a direct rollover or transfer.
Submit completed documents to your financial professional or directly to Principal Funds.
Mail completed forms to:Principal Funds PO Box 219971 Kansas City, MO 64121-9971
For overnight delivery:Principal Funds 430 W 7th St, Ste 219971 Kansas City, MO 64105-1407
- Education Savings Account (ESA) Transfer Request (PDF) Transfer a Coverdell Education Savings Account (ESA) from another institution to Principal Funds.
- IRA Rollover Statement (PDF) If you would like to rollover funds from a qualified plan or IRA (including those made payable to you) into a Principal Funds IRA.
- IRA Transfer/Direct Rollover Request (PDF) For a Trustee-to-Trustee Transfer/Rollover of a Traditional IRA, Roth IRA, or Rollover IRA from another institution to Principal Funds.
- Non-IRA Transfer (PDF) Transfer a non-retirement Certificate of Deposit (CD), mutual fund, or other investment to Principal Funds.
- SEP IRA Transfer/Direct Rollover Request (PDF) Transfer a SEP IRA (or rollover a qualified plan) from another institution to Principal Funds.
- SIMPLE IRA Transfer Request (PDF) Transfer a SIMPLE IRA from another institution to a SIMPLE IRA with Principal Funds.
Use the forms below to request a distribution or redemption from your Principal Traditional IRA, Roth IRA, SIMPLE IRA, SEP IRA, or 403(b)(7) account.
Submit completed forms to your financial professional or directly to Principal Funds.
Mail completed forms to:Principal Funds P.O. Box 219971 Kansas City, MO 64121-9971
For overnight delivery:Principal Funds 430 W 7th St, Ste 219971 Kansas City, MO 64105-1407
- 403(b)(7) Distribution Request (PDF) Request a distribution from your 403(b)(7) account.
- Education Savings Account (ESA) Distribution (PDF) Request a distribution from a Coverdell Education Savings Account (ESA).
- IRA 72(t) Distribution (PDF) Establish 72(t) distributions from your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA.
- IRA Distribution (PDF) Request a non-mandatory distribution from your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA account.
- Non-Qualified Redemption Request (PDF) Request a one-time distribution from your non-retirement account.
- Required Minimum Distribution (RMD) Request (PDF) Request a Required Minimum Distribution from your Traditional IRA, SIMPLE IRA, SEP IRA, or 403(b)(7) account.
- Retirement Plan Beneficiary (PDF) Open a Beneficiary IRA or take distributions from an existing Beneficiary IRA.
| Form Name | |
|---|---|
| 403(b)(7) Custodial Agreement For use with your existing Principal Funds 403(b)(7) account. | Download |
| 403(b)(7) Distribution Request Request a distribution from a 403(b)(7) account. | Download |
| Account Application Establish a non-retirement account (Individual, Transfer on Death, Joint, UTMA, or Trust/Corporation/Partnership/Other Entity). | Download |
| Automatic Exchange Election Establish an automatic exchange of shares between funds in your account. | Download |
| Automatic Investment Plan Establish automatic investments into your Principal Funds account from your checking or savings account. | Download |
| Beneficiary Designation Add or change beneficiaries on your retirement account. | Download |
| Beneficial Owner Certification Form Designate the Beneficial Owners and the Control Person on a legal entity account. | Download |
| Change of Dealer or Investment Representative Update your broker/dealer and/or financial professional information on your account. | Download |
| Check Writing Privileges for Money Market Fund Establish check-writing privileges on a new or existing money market fund in your non-retirement account. | Download |
| Cost Basis Election Form Change the cost basis election on your existing non-qualified account. | Download |
| Direct Deposit Authorization Form Establish a Direct Deposit plan to automatically deposit all or part of your paycheck, Social Security, or government agency payments, directly to your Principal Funds account. | Download |
| Education Savings Account (ESA) Application Establish a Coverdell Education Savings Account. | Download |
| ESA Custodial Agreement (IRS Form 5305-EA) Review this document before establishing a Coverdell Education Savings Account, and keep a copy for your records. | Download |
| Education Savings Account (ESA) Distribution Request a distribution from a Coverdell Education Savings Account. | Download |
| Electronic Funds Transfer Add banking information to your account to facilitate electronic purchases and redemptions. | Download |
| IRA 72(t) Distribution Establish 72(t) distributions from your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA. | Download |
| IRA Application Establish a Traditional or Roth IRA account. | Download |
| IRA Distribution Request a non-mandatory distribution from your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA account. | Download |
| IRA Plan Document, Custody Agreement, & Account Disclosure Statement Review this document before establishing a Traditional IRA, Roth IRA, or SEP IRA, and keep it for your records. | Download |
| IRA Rollover Statement If you would like to roll over funds from a qualified plan or IRA (including those made payable to you) into a Principal Funds IRA, use this form. | Download |
| IRA Transfer/Direct Rollover Request For a Trustee-to-Trustee Transfer/Rollover of a Traditional IRA, Roth IRA, or Rollover IRA from another institution to Principal Funds. | Download |
| Legal Name Change Request a legal name change for your account. | Download |
| Non-Qualified Redemption Request Request a one-time distribution from your non-retirement account. | Download |
| Power Of Attorney Affidavit Establish a POA (Power of Attorney) or recertify an existing POA annually. | Download |
| Principal Diversified Select Real Asset Fund Account Application Establish a non-retirement account (Individual, Transfer on Death, Joint, UTMA or Trust/Corporation/Partnership/Other Entity) in the Principal Diversified Select Real Asset Fund. | Download |
| Principal Funds Employer Plan - Primary and Secondary Administrator Assignment Add or update the Primary/Secondary Administrators on your Sponsor Service Center plan. | Download |
| Qualified Plan Application Establish an investment-only employer-sponsored retirement plan, such as a 401(k), Profit-Sharing, or Money Purchase Pension plan (for use by plan trustees). | Download |
| Qualified Plan Enrollment Enroll in your employer's investment-only, such as a 401(k), Profit-Sharing, or Money Purchase Pension plan (for use by plan participants). | Download |
| Registration Change Change the registration of your non-retirement account or transfer shares from your account to another non-retirement account with a different registration. | Download |
| Required Minimum Distribution (RMD) Request Request a Required Minimum Distribution from your Traditional IRA, SIMPLE IRA, SEP IRA, or 403(b)(7) account. | Download |
| Retirement Plan Beneficiary Open a Beneficiary IRA or take distributions from an existing Beneficiary IRA. | Download |
| Rights of Accumulation (ROA)/Statement of Intent (SOI) Notify us of accounts eligible for linking under Rights of Accumulation (ROA), or establish a Statement of Intent (SOI). | Download |
| Roth IRA Conversion Application Convert your Traditional IRA into a Roth IRA. | Download |
| SEP IRA Adoption Agreement Establish a SEP IRA plan (for use by employers). | Download |
| SEP IRA Application Establish a SEP IRA account (for use by plan participants). | Download |
| SEP IRA Employer Contribution Submit initial employer contributions for participants in a SEP IRA (for use by employers). | Download |
| SEP IRA Transfer/Direct Rollover Request Transfer a SEP IRA (or roll over a qualified plan) from another institution to a SEP IRA with Principal Funds. | Download |
| SIMPLE IRA Adoption Agreement (IRS Form 5304-SIMPLE) Establish a SIMPLE IRA plan (for use by employers). | Download |
| SIMPLE IRA Application Establish a SIMPLE IRA account (for use by plan participants). | Download |
| SIMPLE IRA Custodial Agreement (IRS Form 5305-SA) Establish a SIMPLE IRA Plan agreement between employer and employee. | Download |
| SIMPLE IRA Salary Deferral Agreement Establish or amend salary deferral contributions to your SIMPLE IRA account. | Download |
| SIMPLE IRA Salary Deferral Contribution Submit initial employer contributions for participants in a SIMPLE IRA plan (for use by employers). | Download |
| SIMPLE IRA Transfer Request Transfer a SIMPLE IRA from another institution to Principal Funds. | Download |
| Systematic Withdrawal Plan (SWP) Request Establish systematic withdrawals from your Principal Funds non-retirement account to your checking or savings account. | Download |
| Third Party Authorization Form (Authorization for release of records or information) Form to authorize an individual to be listed as an Authorized Caller on a Principal Funds, Inc. account. | Download |
| Transfer On Death Affidavit Use this form to transfer ownership of an existing account registered as a Transfer upon a Death. | Download |
| Transfer On Death Registration Form Establish a Transfer On Death (TOD) registration on a new or existing account. | Download |
| Trust or Business Authorized Trader Form Grant online account authorization on a trust or corporate account. | Download |
| Trustee Certification and Indemnification Use this form to certify trustees on a trust account. | Download |
Insurance products issued by Principal National Life Insurance Co. (except in NY), Principal Life Insurance Company®, and the companies available through the Preferred Product Network, Inc. Plan administrative services offered by Principal Life. Referenced companies are members of the Principal Financial Group®, Des Moines, IA 50392.
2032575-022022