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Need some help making sense of all the tax information we send you?
Keep in mind that the information provided here is neither tax nor legal advice. You should speak to your tax professional for specific information regarding your tax situation. Your financial advisor is also a good source for answers to your questions.

Forms & Documents
Click on the underlined document name under “Documents” for a more detailed explanation.

Non-Retirement Accounts for U.S. Shareholders
Documents Description How/When It’s Mailed
1099-DIV Reports taxable dividend and capital gains distributions, as well as foreign tax credit and withholding, if applicable. Reports all exempt-interest dividends from a mutual fund. Mailed by
February 15
1099-B Reports proceeds from the redemption or exchange of mutual fund shares and also reports cost basis information for shares. Mailed by
February 15
Year-End Tax Tables Supplemental tax tables used to help prepare your annual tax return. Available now



Educational Savings Accounts for U.S. Shareholders
Documents Description How/When It’s Mailed
5498-ESA Report contributions to Coverdell Education Saving Accounts (ESAs). Mailed by April 30
1099-Q Reports all distributions from Coverdell Education Savings Accounts and 529 College Savings Plans. Mailed by
January 31




Retirement Accounts for U.S. Shareholders
Documents Description How/When It’s Mailed
1099-R Reports direct rollovers or full or partial retirement plan distributions, including IRA recharacterizations. Mailed by
January 31
5498 Reports IRA contributions, rollovers and Roth conversions. Mailed by
May 31



Foreign Shareholders
Documents Description How/When It’s Mailed
1042-S Reports a non-U.S. citizen or resident’s U.S. Source Income. This includes income from all sources such as retirement accounts. Mailed by March 15
Year-End Tax Tables Supplemental tax tables used to help prepare your annual tax return. Available now




Also refer to www.irs.gov for detailed information on a wide range of tax issues.