Tax Forms & Information

We will send you tax forms based on the type of account you own and the activity that occurred in your account throughout the year.

Tax forms

Mailing date by January 31
Form NameDescription
1099-DIVReports all taxable dividend, exempt-interest dividend, capital gain distributions, and non-taxable return of capital (of more than $10) from non-retirement/non-education accounts, including any federal income tax withheld on those distributions.
1099-BReports all exchanges and redemptions from non-retirement/non-education accounts (other than the Principal Funds Money Market Fund), including Systematic Withdrawal Plan payments.
1099-RReports total redemptions from traditional, Roth, SEP, and SIMPLE IRAs including any state and/or federal income taxes withheld.
1099-QReports all distributions from Coverdell Education Savings Accounts (ESA) - This form also reports the fair market value as of December 31.
1099-SAReports redemptions from Medical Savings Accounts (MSA).
592-BReports withholding information for California residents who had state backup withholding.
Mailing date by March 15
Form NameDescription
1042SReports gross dividends paid to non-resident aliens, whether paid in cash or reinvested in additional shares, and non-resident alien taxes withheld.
Mailing date by April 30
Form NameDescription
5498-ESAReports contributions and transfers, into Coverdell Education Savings Accounts (ESA).
Mailing date by May 31
Form NameDescription
5498Reports contributions applied to traditional, Roth, SEP and SIMPLE IRAs. This form also includes the fair market value as of December 31. Traditional and Roth IRA contributions can be made through April 15 (or the tax-filing deadline), not including extensions, for the previous year.
5498-SAReports contributions and rollovers into Medical Savings Accounts (MSA). This form also reports the fair market value as of December 31.