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:

Beneficiary Designation
Add or change beneficiaries on your retirement account.  Download

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:

Additional forms:

Option 2 – You purchased your own individual disability coverage.

Simply download and complete the form(s) you need:

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.

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 file a hospital indemnity claim, complete and submit the claim online.

To file a health screening/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 complete 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

For an annuity contract purchased through a financial professional, download:

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.

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

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

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

Are you an employer?

Have questions?

Send us an email, or give us a call.

  • Retirement plan participants: 800-547-7754
  • Life and disability insurance customers: 800-247-9988
  • Mutual fund clients: 800-222-5852
  • Annuity clients:
    • Deferred annuities: 800-852-4450
    • Income annuities: 866-321-9648 
  • Everyone else: 800-986-3343

Need help with insurance claims?

Find your most common questions answered online. Visit help with insurance.

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