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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.

Item Complete & Print
403(b)(7) Custodial Agreement
For use with your existing Principal Funds 403(b) account.

download PDF (PDF: 113 KB)
403(b)(7) Distribution Request
Request a distribution from a 403(b)(7) account.

download PDF (PDF: 77 KB)
72(t) Distribution
Establish 72(t) distributions for your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA.

download PDF (PDF: 576 KB)
Account Application
Establish a non-retirement account (Individual, Transfer on Death, Joint, UTMA, or Trust/Corporation/Partnership/Other Entity).

download PDF (PDF: 995 KB)
Automatic Exchange Election
Establish an automatic exchange of shares between funds in your account.

download PDF (PDF: 66 KB)
Automatic Investment Plan
Establish automatic investments into your Principal Funds account from your checking or savings account.

download PDF (PDF: 59 KB)
Beneficiary Designation
Add or change beneficiaries on your retirement account.

download PDF (PDF: 51 KB)
Change of Dealer or Investment Representative
Update your broker/dealer and/or Investment Representative information on your account.

download PDF (PDF: 32 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.

download PDF (PDF: 31 KB)
Cost Basis Election Form
Use this form to change the cost basis election on your existing Non Qualified account.

download PDF (PDF: 76 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.

download PDF (PDF: 35 KB)
Education Savings Account (ESA) Application
Establish a Coverdell Education Savings Account (ESA).

download PDF (PDF: 635 KB)
ESA Custodial Agreement (IRS Form 5305-EA)
Review this document before establishing a Coverdell ESA, and keep a copy for your records.

download PDF (PDF: 394 KB)
Education Savings Account (ESA) Distribution
Request a distribution from a Coverdell Education Savings Account (ESA).

download PDF (PDF: 282 KB)
Education Savings Account (ESA) Transfer Request
Transfer a Coverdell Education Savings Account (ESA) from another institution to Principal Funds.

download PDF (PDF: 428 KB)
Electronic Funds Transfer
Establish banking information on your account to facilitate electronic purchases and redemptions.

download PDF (PDF: 176 KB)
IRA Application
Establish a Traditional or Roth IRA account.

download PDF (PDF: 690 KB)
IRA Distribution
Request a non-mandatory distribution from your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA account.

download PDF (PDF: 327 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.

download PDF (PDF: 2.73 MB)
IRA Rollover Statement
Use this form if you have received a distribution made payable to you from an IRA, or as an eligible rollover distribution from a qualified plan, and would like to roll over the funds into a Principal Funds IRA.

download PDF (PDF: 288 KB)
IRA Transfer/Direct Rollover Request
Use this form for a Trustee-to-Trustee Transfer/Rollover of a Traditional IRA, Roth IRA, or Rollover IRA from another institution to Principal Funds.

download PDF (PDF: 756 KB)
Legal Name Change
Request a legal name change for your account.

download PDF (PDF: 223 KB)
Non-IRA Transfer 
Transfer a non-retirement Certificate of Deposit (CD), mutual fund, or other investment to Principal Funds.

download PDF (PDF: 51 KB)
Non-Qualified Redemption Request
Request a one-time distribution from your non-retirement account.

download PDF (PDF: 237 KB)
Power Of Attorney Affidavit
Establish a POA (Power of Attorney) or recertify an existing POA annually.

download PDF (PDF: 613 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).

download PDF (PDF: 54 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).

download PDF (PDF: 31 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.

download PDF (PDF: 881 KB)
Required Minimum Distribution (RMD) Request
Request a Required Minimum Distribution from your Traditional IRA, SIMPLE IRA, SEP IRA, or 403(b)(7) account.

download PDF (PDF: 269 KB)
Retirement Plan Beneficiary 
Open a Beneficiary IRA or take distributions from an existing Beneficiary IRA.

download PDF (PDF: 903 KB)
Retirement Plan Primary/Secondary Administrator Form
Add or update the Primary/Secondary Administrators on your Sponsor Service Center plan.

download PDF (PDF: 159 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). 

download PDF (PDF: 66 KB)
Roth IRA Conversion/Deconversion Application
Convert your Traditional IRA into a Roth IRA, or deconvert a Roth IRA into a Traditional IRA.

download PDF (PDF: 67 KB)
SEP IRA Adoption Agreement 
Establish a SEP IRA plan (for use by employers).

download PDF (PDF: 325 KB)
SEP IRA Application
Establish a SEP IRA account (for use by plan participants).

download PDF (PDF: 604 KB)
SEP IRA Employer Contribution
Submit initial employer contributions for participants in a SEP IRA (for use by employers).

download PDF (PDF: 74 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.

download PDF (PDF 381 KB)
SIMPLE IRA Adoption Agreement (IRS Form 5304-SIMPLE)
Establish a SIMPLE IRA plan (for use by employers).

download PDF (PDF: 777 KB)
SIMPLE IRA Application
Establish a SIMPLE IRA account (for use by plan participants).

download PDF (PDF: 566 KB)
SIMPLE IRA Custodial Agreement (IRS Form 5305-SA)
Establish or amend salary deferral contributions to your SIMPLE IRA account.

download PDF (PDF: 330 KB)
SIMPLE IRA Salary Deferral Agreement
Establish or amend salary deferral contributions to your SIMPLE IRA account.

download PDF (PDF: 34 KB)
SIMPLE IRA Salary Deferral Contribution 
Submit initial employer contributions for participants in a SIMPLE IRA plan (for use by employers).

download PDF (PDF: 41 KB)
SIMPLE IRA Transfer Request
Transfer a SIMPLE IRA from another institution to a SIMPLE IRA with Principal Funds.

download PDF (PDF: 280 KB)
Systematic Withdrawal Plan (SWP) Request
Establish systematic withdrawals from your Principal Funds non-retirement account to your checking or savings account.

download PDF (PDF: 88 KB)
Transfer On Death Affadavit
Use this form to transfer ownership on an existing account registered as a Transfer on Death.

download PDF (PDF: 726 KB)
Transfer On Death Registration Form
Establish a Transfer On Death (TOD) registration on a new or existing account.

download PDF (PDF: 60 KB)
Trust or Business Authorized Trader Form
Grant online account authorization on a trust or corporate account.

download PDF (PDF: 62 KB)
Trustee Certification and Indemnification
Use this form to certify trustees on a trust account.

download PDF (PDF: 19 KB)

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To obtain a prospectus, download online or call Sales Support at 1.800.787.1621

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 Sales Support at 1.800.787.1621.

Investing involves risk, including possible loss of principal.

Principal Funds are distributed by Principal Funds Distributor, Inc.

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