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 |
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Form Name | Description |
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1099-DIV | Reports 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-B | Reports all exchanges and redemptions from non-retirement/non-education accounts (other than the Principal Funds Money Market Fund), including Systematic Withdrawal Plan payments. |
1099-R | Reports total redemptions from traditional, Roth, SEP, and SIMPLE IRAs including any state and/or federal income taxes withheld. |
1099-Q | Reports all distributions from Coverdell Education Savings Accounts (ESA) - This form also reports the fair market value as of December 31. |
1099-SA | Reports redemptions from Medical Savings Accounts (MSA). |
592-B | Reports withholding information for California residents who had state backup withholding. |
Mailing date by March 15 |
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Form Name | Description |
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1042S | Reports 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 |
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Form Name | Description |
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5498-ESA | Reports contributions and transfers, into Coverdell Education Savings Accounts (ESA). |
Mailing date by May 31 |
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Form Name | Description |
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5498 | Reports 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-SA | Reports contributions and rollovers into Medical Savings Accounts (MSA). This form also reports the fair market value as of December 31. |