Tax Forms and Documents

Important Forms


Form 1099-R: Distributions from pensions, profit sharing plans, IRAs. This form is used to report distributions from a number of retirement plans, including IRAs. In addition to the gross distributions, the portion taxable is indicated, as well as federal, state, and local tax withholding. A rollover may be reported here as a distribution and included in form 5498 as a rollover contribution. Copies will be furnished to the recipient no later than January 31.
IRS Instructions


Form 1099-Q: Payments from Qualified Education Programs. This form is used to report distributions from Educational Savings Accounts that took place during the calendar year. Copies will be furnished to the recipient no later than January 31.
IRS Instructions

 

Form 1099-DIV: This tax form is sent by mutual funds, banks and brokers to report dividends (income, capital gains and interest income) received and paid to investors for non-retirement accounts. This information is reported to the IRS for tax purposes. This tax form will not be generated for funds that have paid dividends below $10. Copies will be furnished to the recipient no later than January 31.
IRS Instructions

 

Form 1099-B: This tax form reports trading activity, in your non-retirement brokerage or mutual fund account. Any trading activity includes redemptions from mutual funds and/or exchanges processed from one fund to another during the year. This information is reported to the IRS to match against your schedule D on your 1040 tax return. Copies will be furnished to the recipient no later than February 15.
IRS Instructions

 

Form 1099-INT: This tax form is sent by mutual funds to report dividends received on tax-exempt funds. Although such dividends are reportable, they remain exempt from federal taxes. Copies will be furnished to the recipient no later than January 31.
IRS Instructions

 

Form 5498: This tax form reports, to the IRA owner as well as the IRS, contributions made during the tax year and the fair market value of the account at the end of the year.

Contributions made after the year-end that are applicable to the preceding year (made by April 15) are included in the contribution figure. For example, a 2014 contribution of $1,000 made on February 9, 2015 will be included on the Form 5498 issued in May 2015 for the year 2014.

Fair market value information must be furnished to the participant by January 31. Copies of the form will be furnished to the IRS and participant no later than May 31. SunAmerica Mutual Funds provides an account's fair market value on the consolidated year-end statement.
IRS Instructions

 

Form 5498-ESA: This tax form reports contributions to any Coverdell ESA. Copies of the form will be furnished to the IRS and participant no later than April 30.
IRS Instructions

 

Form 1042-S: This tax form reports the income received by foreign shareholders and the amounts of nonresident alien (NRA) taxes withheld from that income. Copies will be furnished to the recipient no later than March 15.
IRS Instructions

 

Form 8937: Report of Organizational Actions Affecting Basis of Securities

If a mutual fund participates in a corporate action that affects its shareholders’ bases in their shares, typically a fund merger or payment of return of capital, the mutual fund is required to provide this information to comply with the requirements of the form.  When electing to provide this information on the fund's primary public website, it must remain accessible there for a period of ten years.

SunAmerica Specialty Series - AIG Income Explorer Fund - Form 8937, January 1, 2016 - October 26, 2016

SunAmerica Income Funds - SunAmerica GNMA Fund - Form 8937, November 10, 2014

SunAmerica Series, Inc. Focused Small Cap Growth Portfolio Form 8937 July 22, 2013

SunAmerica Series, Inc. Focused Small Cap Value Portfolio Form 8937 July 22, 2013

SunAmerica Series, Inc. Focused Growth and Income Portfolio Form 8937 August 13, 2012

SunAmerica Series, Inc. Focused Growth Portfolio Form 8937 August 13, 2012

SunAmerica Series, Inc. Focused StarALPHA Portfolio Form 8937 August 13, 2012

SunAmerica Series, Inc. Focused Technology Portfolio Form 8937 August 13, 2012

SunAmerica Equity Funds  SunAmerica Value Fund Form 8937 October 28, 2013

SunAmerica Series, Inc. Focused Large Cap Growth Portfolio Form 8937 October 28, 2013

 

Average Cost Statement: This statement is sent to shareholders that have exchanged or redeemed from their non-retirement account, and reports gains or losses resulting from the redemption. The gains/losses are calculated using the average cost single category method. It will not be generated for accounts established prior to 1994.
Average Cost Statement Instructions

 

Beginning from 2012: Mutual fund companies are required to provide cost basis information to shareholders and to the Internal Revenue Service (IRS) on mutual fund shares acquired on, and subsequently redeemed after January 1, 2012.  For more information, please review the Cost Basis Reporting section of Tax Center.

 

Year End Statement: This is the statement sent to shareholders and their brokers that reflects the account history for the entire year. It shows all purchases, sales, dividends and capital gain distributions. The statement is mailed in early January.

 

For further information, you can call us at: 800-858-8850 x6010 or contact us via email. 

 

None of the information in this website should be considered legal and tax advice. You should consult your legal or tax advisers for information concerning your own specific tax situation. The forms and numbers shown in this website are for illustrative purposes only.