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2021 Tax Forms

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

Form 1099-R: available online/mailed by January 31, 2022
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, 2022
Reports withdrawals from education savings accounts (e.g. Coverdell accounts).

Form 1099-DIV: available online/mailed by February 15, 2022
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, 2022
Reports redemptions or exchanges from non-retirement accounts.

Form 5498-ESA: available online/mailed by April 30, 2022
Reports contributions made to education savings accounts through the April 15, 2022 tax deadline.

Form 5498: available online/mailed by May 31, 2022
Reports contributions made to retirement accounts through the April 15, 2022 tax deadline.

To view your 2021 Ariel Investments tax forms when they are available:

  1. Log into your account.

  2. Once you have accessed your account, select Statements & History and then Statements & Tax Forms from the drop down menu.

  3. Select the Tax Forms tab.

  4. Select the tax form you wish to view.

Sign up for eDelivery to be notified:

To receive 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. Choose Account Profile from the top menu

  3. Under Delivery Preferences, choose eDelivery and Email Address

  4. In the Choose Delivery Methods section, choose Email for your Annual Tax Forms 1099 and 5498

  5. Check the box to agree to the Terms and Conditions of eDelivery

  6. Submit your changes

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


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An Ariel representative will be happy to assist you between 8am and 7pm central time, Monday through Friday.
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