As a shareholder, you may receive one or more of the following tax forms:

Form 1099-R: available online/mailed by January 31, 2018
Reports withdrawals from retirement accounts. This form also reports recharacterizations, rollovers, conversions or excess contribution removals.

Form 1099-Q: available online/mailed by January 31, 2018
Reports withdrawals from education savings accounts (e.g. Coverdell accounts).

Form 1099-DIV: available online/mailed by February 15, 2018
Reports taxable ordinary income, qualified dividends and capital gains distributed to non-retirement accounts. You will not receive this form if you only have a retirement account (e.g. IRA) or your distributions per fund are less than $10.

Form 1099-B: available online/mailed by February 15, 2018
Reports redemptions or exchanges from non-retirement accounts.

Form 5498-ESA: available online/mailed by April 30, 2018
Reports contributions made to education savings accounts through the April 17, 2018 tax deadline.

Form 5498: available online/mailed by May 31, 2018
Reports contributions made to retirement accounts through the April 17, 2018 tax deadline.

To view your 2017 Ariel Investments tax forms when they are available:

1. Log into your account.
   
   
2. Once you have accessed your account, select View Tax Forms from the drop down menu, and click Go.
   
   
3. Select the tax form you wish to view.

Sign up for eDelivery to be notified:

To recieve an email notification as soon as these forms — as well as your fund reports and shareholder statements — are available online, sign up for eDelivery.

1. Log into your account.
   
   
2. From My Portfolio Page choose View/Edit eDelivery Settings from the drop-down menu
   
   
3. Click Go

If you have any questions or concerns, please contact one of our Shareholder Services Representatives at 800-292-7435.