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Tax Forms

The table below identifies the tax forms you may receive from Hartford Funds. The actual forms you will receive depend upon the types of funds you own and the activity on your accounts during the tax year.

Allow 1–2 weeks from the mailing date for your tax forms to arrive in your mailbox. Also note that some forms are mailed with inserts that provide important information to help you complete your tax return. Sample inserts are provided in the table below for your convenience.

How to obtain additional copies of your forms?
You may view or print your tax forms online. You may also contact us to obtain a duplicate copy in the mail.

Need further assistance?
Contact your personal tax advisor for assistance in filling out your individual tax returns with the information on your mutual fund tax forms. If you have questions about the information on your tax forms, you may contact us.

Tax Form You Will Receive This Form If You: Mailing
Insert
Mailing
Date
1099-DIV Own a non-retirement mutual fund or exchange traded fund account and received:
  • Ordinary dividends or capital gains of $10 or more, whether paid in cash or reinvested in additional shares, and/or
  • Tax exempt dividends of $10 or more on a Hartford tax-free fund, whether paid in cash or reinvested in additional shares.
  • Qualified Dividend Income, Foreign Tax Credit, AMT, Tax-exempt, State Income and US Treasury
2020 1099-DIV January 31
1099-B Own a non-retirement mutual fund account and sold or exchanged any shares in 2018. Note: 1099-B will also report information concerning your cost basis. 2020 1099-B January 31
1099-R Took a distribution of $10 or more from your IRA or other retirement account, including return of excess contributions, early distributions and direct rollovers. An exception is trustee-to-trustee transfers which are not reportable on Form 1099-R. N/A January 31
January 31 Took a distribution from a Coverdell Education Savings Account (ESA), including transfers and rollover distributions. (Form 1099-Q may also be issued for 529 college savings plans.) 2020 1099-Q January 31
1042-S Are a non-resident alien or foreign corporation and received gross dividends on a Hartford Funds account, whether paid in cash or reinvested in additional shares. 1042-S March 15
5498 Contributed to or had any other reportable event (rollover, recharacterization, Roth conversion) on a Traditional, Roth, SEP or SIMPLE IRA. 5498 May 31
5498-ESA Contributed to a Coverdell ESA for the 2020 tax year, including transfer and rollover purchases. N/A May 1

 

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The material on this site is for informational and educational purposes only. The material should not be considered tax or legal advice and is not to be relied on as a forecast. The material is also not a recommendation or advice regarding any particular security, strategy or product. Hartford Funds does not represent that any products or strategies discussed are appropriate for any particular investor so investors should seek their own professional advice before investing. Hartford Funds does not serve as a fiduciary. Content is current as of the publication date or date indicated, and may be superseded by subsequent market and economic conditions.

Investing involves risk, including the possible loss of principal. Investors should carefully consider a fund's investment objectives, risks, charges and expenses. This and other important information is contained in the mutual fund, ETF or closed-end interval fund prospectus or summary prospectus, which can be obtained from a financial professional and should be read carefully before investing.

Mutual funds and the closed-end interval fund are distributed by Hartford Funds Distributors, LLC (HFD), Member FINRA/SIPC. Exchange-traded products are distributed by ALPS Distributors, Inc. (ALPS). Advisory services may be provided by Hartford Funds Management Company, LLC (HFMC) or its wholly owned subsidiary, Lattice Strategies LLC (Lattice). Certain funds are sub-advised by Wellington Management Company LLP and/or Schroder Investment Management North America Inc. Schroder Investment Management North America Ltd. serves as a secondary sub-adviser to certain funds. Hartford Funds refers to Hartford Funds Management Group, Inc. and its subsidiaries, including HFD, HFMC, and Lattice, which are not affiliated with any sub-adviser or ALPS. The funds and other products referred to on this Site may be offered and sold only to persons in the United States and its territories.

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