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Year-end Distributions

Estimated year-end income and capital gains distributions as of October 31st are now available(opens in a new tab)

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Tax Center

  • Tax Guides
  • Understanding Forms
  • Cost Basis
  • FAQs
  • TurboTax® info

Tax forms at a glance

Form

Mailed to

When

Purpose and use

Year-end statement

All investors

Early January

Reports distributions, activity and year-end balances in each Fund account for the year

Form 1099-B

Investors who sold shares

Late January

Reports proceeds from sales (redemptions or exchanges) of shares

Form 1099-DIV

All taxable accounts 

Late January

Reports taxable distributions for the year

Form 1099-R

IRA investors who withdrew money

Late January

Reports withdrawals from IRAs

Form 1042-S

Foreign investors

Mid-March

Reports taxable dividends and income tax withheld on accounts

Form 5498

IRA investors with contributions or rollovers

Late May

Reports previous year’s regular and rollover IRA contributions to traditional and Roth IRAs and SEP IRAs

Form

Year-end statement

Mailed to

All investors

When

Early January

Purpose and use

Reports distributions, activity and year-end balances in each Fund account for the year

Form

Form 1099-B

Mailed to

Investors who sold shares

When

Late January

Purpose and use

Reports proceeds from sales (redemptions or exchanges) of shares

Form

Form 1099-DIV

Mailed to

All taxable accounts 

When

Late January

Purpose and use

Reports taxable distributions for the year

Form

Form 1099-R

Mailed to

IRA investors who withdrew money

When

Late January

Purpose and use

Reports withdrawals from IRAs

Form

Form 1042-S

Mailed to

Foreign investors

When

Mid-March

Purpose and use

Reports taxable dividends and income tax withheld on accounts

Form

Form 5498

Mailed to

IRA investors with contributions or rollovers

When

Late May

Purpose and use

Reports previous year’s regular and rollover IRA contributions to traditional and Roth IRAs and SEP IRAs


Cost basis

Generally, cost basis is the original amount you paid for shares in your Fund account, including the value of reinvested dividends and capital gains. Upon a sale or exchange of Fund shares within a taxable account, you’ll realize a capital gain or loss, which is determined by comparing the sales price to the cost basis. The Internal Revenue Service (IRS) requires mutual fund companies to report the cost basis of shares that are acquired after January 1, 2012.

Cost basis methods available for covered shares

Average Cost (ACST)

You direct us to sell shares at an average acquisition price.

First-In, First-Out (FIFO)

You direct us to sell the oldest shares in your account first.

Last-In, First-Out (LIFO)

You direct us to sell the newest shares in your account first.

High-Cost, First-Out (HIFO)

You direct us to sell the highest cost shares in your account first.

Low-Cost, First-Out (LOFO)

You direct us to sell the lowest cost shares in your account first.

Loss/Gain Utilization (LGUT)

You direct us to evaluate gains and losses within the share lots in your account, and to sell lots with the largest losses first in a prescribed procession.

Specific Lot Identification (SLID)

You inform us upon each sale of which specific shares to redeem, along with a secondary method to be used as necessary.

You have several ways to elect a cost basis method for covered shares in an account.

• Complete an online form. Log in to your account(opens in a new tab) then navigate to "Change Cost Basis Method".  

• Complete and mail a Cost Basis Election Form(opens in a new tab).                                                                               

 • Speak with a Client Services representative by calling 1-800-621-3979 between 8:00 a.m. and 7:30 p.m., Eastern Time.                            


FAQs

Regular taxable accounts

Yes. Dividends and capital gain distributions are taxable to you and must be reported on your tax return. You can find this information on Form 1099-DIV, which reports the total taxable distributions you received during the year. This information is reported to the IRS.

Traditional IRAs (including SEP IRAs) and Roth IRAs accounts

No. Income dividends and capital gain distributions aren’t taxable as long as those assets remain in your IRA.

Cost basis reporting

Covered shares are Fund shares acquired after January 1, 2012. If you sell or exchange covered shares within a taxable Fund account, Dodge & Cox Funds will report to you the cost basis and holding period of the shares sold on Form 1099-B. This information will also be reported to the IRS. You’ll be required by the IRS to use the cost basis information reported on Form 1099-B when completing your annual tax returns.

Non-covered shares are Fund shares acquired prior to January 1, 2012, or shares transferred into your account without corresponding cost basis information. If you sell or exchange non-covered shares within a taxable Fund account, and the Dodge & Cox Funds have Average Cost basis information for your shares, the cost basis and holding period information will be reported to you on your Form 1099-B. This information won’t be reported to the IRS. If you’ve chosen a method other than the Average Cost method for your non-covered shares, you’re responsible for keeping those cost basis records.

Transfers and multiple accounts

No. You may elect a different cost basis method for each of your regular taxable Fund accounts.


TurboTax® information

If you use TurboTax® tax preparation software, you’ll be able to import your Dodge & Cox Funds tax form information, including Forms 1099-Div, 1099-B, and 1099-R, generally after January 31.

To import the information into the TurboTax® software, navigate to the Form 1099 import section within the Federal Taxes section of the program. Select "Dodge & Cox Funds" from the list of available financial institutions, and you’ll be prompted to enter your User ID and Password used for Dodge & Cox Funds Account Access.


Reference

You can obtain forms and publications from the IRS by calling 800-TAX-FORM, or by visiting the IRS website(opens in a new tab). You may wish to request the following publications: 
• For regular accounts: IRS Publication 550, "Investment Income and Expenses(opens in a new tab)", and IRS Publication 551, "Basis of Assets(opens in a new tab)"

• For IRAs: IRS Publication 590-A, "Contributions to Individual Retirement Arrangements (IRAs)(opens in a new tab)" and IRS Publication 590-B, "Distributions from Individual Retirement Arrangements (IRAs(opens in a new tab))"

If you require specific information concerning your individual tax situation, please consult with a tax advisor or refer to IRS and state instructions for preparing income tax returns. Dodge & Cox Funds aren’t in the business of providing tax or legal advice. These materials and any tax-related statements are not intended or written to be used, and can’t be used or relied upon, by any taxpayer for the purpose of avoiding tax penalties. Tax-related statements, if any, may have been written in connection with the "promotion or marketing" of the transaction(s) or matter(s) addressed by these materials, to the extent allowed by applicable law. Any taxpayer should seek advice based on the taxpayer's particular circumstances from an independent tax advisor.

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Client resources are available Monday through Friday, 8 a.m. to 7:30 p.m., Eastern Time

 

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Regular Mail  

Dodge & Cox Funds
P.O. Box 219502
Kansas City, MO 64121-9502 

 

Express Mail

Dodge & Cox Funds 
801 Pennsylvania Ave
Suite 219502
Kansas City, MO 64105-1307

Online

Don’t wait for mail delivery. Log into your account(opens in a new tab) to upload respective forms securely to Dodge & Cox. 

 

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