Direct rollover form 2026

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The document is a Direct Rollover Form for transferring assets from one qualified retirement plan or IRA to another without tax withholding. It includes sections for participant information, tax details, certification of eligibility, and investment selection. Participants are guided to complete the form accurately and provide necessary documentation to facilitate the rollover process.

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Click ‘Get Form’ to open the direct rollover form in the editor.
In Section A, enter your personal information including your name, address, telephone number, and email. Ensure all fields are filled out completely and legibly.
Proceed to Section B to provide tax information. Specify the name of your prior plan and financial institution, and indicate the total amount of rollover along with any pre-tax or after-tax contributions.
In Section C, certify that the funds being rolled over are eligible by signing and dating the form. Attach any required documentation as specified.
If applicable, have your prior plan administrator complete Section D for certification. They must sign and provide their contact information.
Finally, in Section E, select your investment options for the rollover contributions. Ensure that the total percentages equal 100%.

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We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

Do you receive a 1099-R for a rollover?

A direct rollover its not taxable, but its still reportable. They issue you a 1099-R, filled out for you. You then file it on your income tax return.

What is the difference between a rollover and a direct rollover?

A direct rollover is used to move funds from an employer plan to another account type like an IRA, without having to pay taxes. An indirect rollover entails taking a short-term distribution to move funds from one account type to another.

What is a 5329 form used for?

Use Form 5329 to report additional taxes on IRAs, other qualified retirement plans, modified endowment contracts, Coverdell ESAs, QTPs, Archer MSAs, or HSAs.

What form do I get for a rollover?

For direct IRA rollovers: The 401(k) plan administrator will send you IRS Form 1099-R.

Do I need a 1099-R for a direct rollover?

You should not report an IRA Rollover without a Form 1099-R. There is information reported on the form, that you may not have in order to properly report your distribution and rollover. If you have not received your 1099-R, it is still early.

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Do you receive a 5498 for a rollover?

An IRS Form 5498 will be generated for an incoming rollover. An IRS Form 1099-R will be generated for the distribution.

What is the difference between a 1099 and a 5498?

Form 1099 is used to report distributions and associated tax withholdings, while Form 5498 reports contributions, rollovers, FMVs, and RMDs. Both serve different purposes but are essential for accurate tax reporting. If you take a distribution and make contributions in the same year, you will likely receive both forms.

What is a direct rollover form?

A direct rollover allows you to transfer funds from one qualified account (such as a 401(k) plan) directly into another (such as an IRA). The original fund custodian will draft a check or wire transfer made out to the new account custodian, and not to you.