Tax Forms & Statements

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2016 Tax Forms Schedule

Tax FormPurposeEstimated
Online
Posting1
Mailed By
(IRS Deadline)2
Form 1099-Q Reports payments from Qualified Education Programs under Internal Revenue Code (IRC) Section 529 for Qualified Tuition Programs (QTPs) and Under IRC Section 530 for Coverdell Education Savings Accounts (CESAs). Jan. 27 Jan. 31
Form 1099-R Reports gross distributions and any federal or state tax withheld from retirement accounts. Jan. 27 Jan. 31
Composite Form 1099

Combines Forms 1099-DIV and 1099-B reporting for non-retirement accounts into one form.

  • Form 1099-DIV: Reports total ordinary, qualified, and tax-exempt interest dividends, total capital gain distributions, unrecaptured Section 1250 gain, federal income tax withheld, foreign tax paid, foreign source income, return of capital (ROC), and any specified private activity bond interest.
  • Form 1099-B: Reports gross proceeds from the sale or exchange of fund shares, number of shares sold or exchanged, and federal income tax withheld. This form will also provide cost basis information for applicable accounts, on the sale or exchange of fund shares during the previous calendar year.
Feb. 13 Feb. 15
Form 1042-S Reports distributions of dividends and capital gains, and U.S. federal tax withheld under chapter 3 or chapter 4 (FATCA) as well as distributions from retirement accounts held by foreign persons. Mar. 13 Mar. 15
Form 5498-ESA Reports Coverdell ESA contributions and rollovers. Apr. 27 Apr. 30
Form 5498 Reports IRA, rollover and re-characterized contributions, Roth conversions, year-end market values and required minimum distribution (RMD) information. May 30 May 31

This page provides general information about our tax forms and statements. To learn when 2016 tax forms will be available, visit our Tax Calendar.

GENERAL TAX FORMS

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  • Form 1099-DIV is used to report total ordinary dividends, total tax-exempt interest dividends and total capital gain distributions a fund paid to you during the year. Form 1099-DIV is also used to report qualified dividends, unrecaptured Section 1250 gain, nondividend distributions (return of capital distributions), federal income tax withheld (backup withholding), foreign tax paid and foreign source income, if applicable to your account, and any specified private activity bond interest.

    If the dividends or other distributions earned in your account during the year were less than $10.00, you will not receive Form 1099-DIV for the year unless backup withholding was withheld or the fund has elected to pass through foreign tax paid. You may refer to your year-end Asset Summary Statement for dividends that are less than $10.00.

    View Frequently Asked Questions

  • Form 1099-B is used to report gross proceeds, less any contingent deferred sales charge (CDSC), received from sales or exchanges of fund shares during the year. Form 1099-B reports the date of sale or exchange, quantity (number) of shares sold, gross proceeds and federal income tax withheld (if any). The form also reports cost basis information, including date of acquisition, type of gain or loss, cost or other basis, wash sale loss disallowed, for eligible accounts, and whether basis information was reported to the IRS. A separate 1099-B form will be generated for each fund account with qualifying transactions.

    View Frequently Asked Questions

  • The Composite Form 1099 combines Forms 1099-DIV and 1099-B reporting for non-retirement accounts into one form.

    The 1099-B section of the form will also provide cost basis reporting information for eligible accounts.

    View Frequently Asked Questions

  • Form 1042-S reports gross distributions of ordinary income dividends (including short-term capital gain and interest-related dividends) and other distributions from long-term capital gains, gains from U.S. real property interest and return of capital that are paid during the year to beneficial owners or other payees who are either non-resident alien individuals or foreign entities. This would include distributions from retirement accounts.

    View Frequently Asked Questions

RETIREMENT & EDUCATION SAVINGS ACCOUNT TAX FORMS — IRA, ROTH, 403(b), 529, COVERDELL

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FORM 8937 — REPORT OF ORGANIZATIONAL ACTIONS AFFECTING BASIS OF SECURITIES

The Internal Revenue Service (IRS) requires regulated investment companies to report certain “organizational actions” to shareholders and the IRS, when the organizational action affects the tax basis of your shares. Form 8937, Report of Organizational Actions Affecting Basis of Securities, is posted below as required to meet these IRS reporting requirements.

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