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Form 5498 (includes 5498-ESA)

General Information

What is the purpose of a 5498 form?

When is the 5498 form mailed?

Who receives a 5498 form?

Is a 5498 form available online?

Frequently Asked Questions

If a 5498 was not received or was misplaced, can a copy be sent?

Why was a 5498 form not sent?

Will a 5498 form be received for an IRA-to-IRA direct transfer?

Will a 5498 form be received for a Roth conversion?

Will Aristotle Funds send a corrected 5498 if an excess withdrawal was taken?

If a purchase was coded incorrectly, can it be corrected?

How many IRA rollovers can I perform in a 12-month period?

Additional Information

Types of Transfers

  • Transfer: A transfer of a qualified plan type to the same qualified plan type (i.e., IRA to IRA, TSA to TSA).
  • Rollover: A transfer of a qualified plan type between different plan types (i.e., 401(k) to IRA, TSA to IRA).

Distribution codes

For specific information regarding distribution codes on your 5498, visit the IRS website.

Contribution Amounts

A contribution to a SEP or SIMPLE-IRA account is always coded with the current tax year, regardless of the instructions received with a payment. Pursuant to IRS reporting guidelines, employer contributions to SEP and SIMPLE-IRAs are reported in the calendar year in which the contribution is received, not the fiscal year to which it is attributable. This matter should be discussed with your tax advisor to review the options that are available to you.
Contact customer service at (844) 274-7885, to receive a copy of your 5498 via fax or mail.
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