Forms & Literature: Forms & Applications
Choose a category from the Quick Links at left to narrow your selection of forms.
Selecting a form from the "Complete & Print" list will open it on screen, where you or your financial professional can type the appropriate information into it before printing it, signing it, and sending it in to Principal Funds.
Alert! Principal Funds, Inc. Class B share mutual funds will be closed to new investors and new assets effective March 1, 2010.
| Item | Complete & Print |
| 403(b)(7) Custodial Agreement For use with your existing Principal Funds 403(b) account. |
 (PDF: 126 KB) |
| 403(b)(7) Distribution Request Request a distribution from a 403(b)(7) account. |
(PDF: 126 KB) |
| 72(t) Distribution Establish 72(t) distributions for your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA. |
(PDF: 115 KB) |
| Account Application Establish a non-retirement account (Individual, Transfer on Death, Joint, UTMA, or Trust/Corporation/Partnership/Other Entity). |
(PDF: 582 KB) |
| Automatic Exchange Election Establish an automatic exchange of shares between funds in your account. |
(PDF: 73 KB) |
| Automatic Investment Plan Establish automatic investments into your Principal Funds account from your checking or savings account. |
(PDF: 90 KB) |
| Beneficiary Designation Add or change beneficiaries on your retirement account. |
(PDF: 85 KB) |
| Change of Dealer or Investment Representative Update your broker/dealer and/or Investment Representative information on your account. |
(PDF: 51 KB) |
| Check Writing Privileges for Money Market Fund Establish check writing privileges on a new or existing money market fund in your non-retirement account. |
(PDF: 238 KB) |
| 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. |
(PDF: 110 KB) |
| Education Savings Account (ESA) Application Establish a Coverdell Education Savings Account (ESA). |
(PDF: 874 KB) |
| Education Savings Account (ESA) Distribution Request a distribution from a Coverdell Education Savings Account (ESA). |
(PDF: 111 KB) |
| Education Savings Account (ESA) Transfer Request Transfer a Coverdell Education Savings Account (ESA) from another institution to Principal Funds. |
(PDF: 162 KB) |
| Electronic Funds Transfer Establish banking information on your account to facilitate electronic purchases and redemptions. |
(PDF: 55 KB) |
| IRA Application Establish a Traditional or Roth IRA account. |
(PDF: 364 KB) |
| IRA Distribution Request a non-mandatory distribution from your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA account. |
(PDF: 151 KB) |
| 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. |
(PDF: 88 KB) |
| IRA Transfer/Direct Rollover Request Transfer a Traditional IRA, Roth IRA, or Rollover IRA (or roll over a qualified plan) from another institution to Principal Funds. |
(PDF: 58 KB) |
| Legal Name and/or Address Change Request a legal name or address change for your account. |
(PDF: 181 KB) |
| Non-IRA Transfer Transfer a non-retirement Certificate of Deposit (CD), mutual fund, or other investment to Principal Funds. |
(PDF: 99 KB) |
| Non-Qualified Redemption Request Request a one-time distribution from your non-retirement account. |
(PDF: 34 KB) |
| 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). |
(PDF: 70 KB) |
| Qualified Plan Enrollment Enroll in your employer's investment-only retirement plan, such as a 401(k), Profit-Sharing or Money Purchase Pension plan (for use by plan participants). |
(PDF: 40 KB) |
| 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. |
(PDF: 212 KB) |
| Required Minimum Distribution (RMD) Request Request a Required Minimum Distribution from your Traditional IRA, SIMPLE IRA, SEP IRA, or 403(b)(7) account. Alert! New Legislation Waives 2009 RMD |
(PDF: 90 KB) |
| Retirement Plan Beneficiary Open a Beneficiary IRA or take distributions from an existing Beneficiary IRA. Alert! New Legislation Waives 2009 RMD |
(PDF: 225 KB) |
| Retirement Plan Primary/Secondary Administrator Form Add or update the Primary/Secondary Administrators on your Sponsor Service Center plan. |
(PDF: 137 KB) |
| Roth IRA Conversion/Deconversion Application Convert your Traditional IRA into a Roth IRA, or deconvert a Roth IRA into a Traditional IRA. |
(PDF: 225 KB) |
| 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). |
(PDF: 67 KB) |
| SEP IRA Adoption Agreement Establish a SEP IRA plan (for use by employers). |
(PDF: 75 KB) |
| SEP IRA Application Establish a SEP IRA account (for use by plan participants). |
(PDF: 223 KB) |
| SEP IRA Employer Contribution Submit initial employer contributions for participants in a SEP IRA (for use by employers). |
(PDF: 217 KB) |
| 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. |
(PDF 173 KB) |
| SIMPLE IRA Adoption Agreement (IRS Form 5304-SIMPLE) Establish a SIMPLE IRA plan (for use by employers). |
(PDF: 105 KB) |
| SIMPLE IRA Application Establish a SIMPLE IRA account (for use by plan participants). |
(PDF: 405 KB) |
| SIMPLE IRA Salary Deferral Agreement Establish or amend salary deferral contributions to your SIMPLE IRA account. |
(PDF: 75 KB) |
| SIMPLE IRA Salary Deferral Contribution Submit initial employer contributions for participants in a SIMPLE IRA plan (for use by employers). |
(PDF: 42 KB) |
| SIMPLE IRA Transfer Request Transfer a SIMPLE IRA from another institution to a SIMPLE IRA with Principal Funds. |
(PDF: 130 KB) |
| Systematic Withdrawal Plan (SWP) Request Establish systematic withdrawals from your Principal Funds non-retirement account to your checking or savings account. |
(PDF: 84 KB) |
| Transfer On Death Registration Form Establish a Transfer On Death (TOD) registration on a new or existing account. |
(PDF: 151 KB) |
| Trust or Business Authorized Trader Form Grant online account authorization on a trust or corporate account. |
(PDF: 223 KB) |
To obtain a prospectus, order online or call Customer Service at 1.800.222.5852
While this communication may be used to promote or market a transaction or an idea that is discussed in the publication, it is intended to provide general information about the subject matter covered and is provided with the understanding that The Principal® is not rendering legal, accounting, or tax advice. It is not a marketed opinion and may not be used to avoid penalties under the Internal Revenue Code. You should consult with appropriate counsel or other advisors on all matters pertaining to legal, tax, or accounting obligations and requirements. For more information about our funds, including their full names, please see the Principal Funds, Inc. prospectus or call Customer Service at 1.800.222.5852.
A mutual fund's share price and investment return will vary with market conditions, and the principal value of an investment when you sell your shares may be more or less than the original cost.
This Web site was created and is maintained by Principal Funds Distributor, Inc. exclusively, and not by the Directors of the funds.
Principal Funds, Inc. is distributed by Principal Funds Distributor, Inc., member of the Principal Financial Group®. Principal Funds Distributor, Principal Shareholder Services, Principal Management Corporation and its affiliates, and Principal Funds, Inc. are collectively referred to as Principal Funds.
Not FDIC or NCUA/NCUSIF insured - May lose value - No bank guarantee - Not a deposit - Not insured by any federal government agency
