Fund Information: Tax Center
At the end of each calendar year, you will receive tax forms which report redemptions, exchanges and distributions in your mutual fund account(s). If you have any questions about how to use this information on your tax return, please contact your tax consultant or a local office of the Internal Revenue Service.
Depending on the reporting requirements for your accounts, you may receive the following tax forms by the dates listed below:
| Form | Postmarked On or Before |
|---|---|
| 1099-DIV | January 31 |
| 1099-B | January 31 |
| 1099-R | January 31 |
| 1042S | March 15 |
| 5498* | May 31 |
*The fair market value as of 12-31 of each year for your retirement account(s) will be listed on your year-end statement mailed the first part of January each year.
| Tax Forms | Descriptions |
|---|---|
| 1040 | The long form instructions and schedules. |
| 1040A | The short form instructions and schedules. |
| 1042S | Reports gross dividends paid to non-resident aliens, whether paid in cash or reinvested in additional shares, and non-resident alien taxes withheld. |
| 1099-B | Reports all exchanges and redemptions from non-money market accounts, including Systematic Withdrawal Plan payments. Substitute Form 1099-B also reports federal income taxes withheld on these transactions. (Redemptions made through your brokerage firm are reported separately). |
| 1099-DIV | Reports all taxable dividend and capital gain distributions and any non-taxable return of capital. Form 1099-DIV also reports any federal income tax withheld on dividend and capital gain distributions. |
| 1099-INT | Reports federal tax-exempt dividend and alternative minimum tax (AMT) amounts in tax-exempt funds. |
| 1099-Q | Reports redemptions, trustee-to-trustee transfers, and rollovers out of Coverdell Education Savings Accounts (ESA). |
| 1099-R | Reports total redemptions from mutual fund retirement accounts and any federal income taxes withheld. |
| 1099-SA | Reports redemptions from Medical Savings Accounts (MSA). |
| 5498 | Reports contributions and/or fair market value at year-end for mutual fund retirement accounts. Contributions are for each calendar year and can be made through April 15, or the tax filing deadline not including extensions, for the previous year. |
| 5498-ESA | Reports contributions, trustee-to-trustee transfers, and rollovers into Coverdell Education Savings Accounts (ESA). This form also reports the fair market value at year-end. |
| 5498-SA | Reports contributions and rollovers into Medical Savings Accounts (MSA). This form also reports the fair market value at year-end. |
| 8606 | Nondeductible IRA contributions, IRA basis, and nontaxable IRA distributions. |
| Schedule 1 | Interest and dividend income for those filing 1040A. |
| Schedule B | Interest and dividend income if over $400. Also for answering foreign accounts or foreign trust questions. |
| Schedule D | Capital gains and losses. |
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.
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To obtain a prospectus, download 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.
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