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Question

I've been unemployed for several months due to my financial situation I need to break open my 401K. I just converted it to Standard (not Roth) IRA with same broker (Vanguard). I need advice on how I can minimize tax penalty and fin. loss when withdrawing money from my 401k/IRA- by claiming financial hardship etc. I'm prepared to take some fin. loss on it, but would much rather reduce it to minimum,i.e. I'm looking to at least avoid taking 10% penalty on early withdrawal and possibly reduce tax to be applied. I need answer that is more than what my broker documentation tells me about withdrawing money from one's IRA / 401K. If you are only going to give superficial general advice, don't respond, as I have done some extensive research myself and would not accept such answer. Here are some additional facts that may help you: I am 30 (not nearly 59 1/2). I have 2 immediate dependents (my wife & son, if that matter can be used to put me into lower tax bracket). I rent,(never owned prprty).

Submitted: 34 days and 6 hours ago.
Category: Tax
Value: $15
Status: CLOSED
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Optional Information

Country/State/Province of question: California USA

Already Tried:
- I converted my 401K into IRA. All funds in it are in mutual funds, everything has vested with no outstanding deposits from my former employer.

Accepted Answer

The distribution due to financial hardship is available only from 401k accounts - not to IRA accounts. However the financial hardship will not provide any exemptions from neither income tax nor from 10% early distribution penalty.

In additional - the distribution will be subject of California income tax and 2.5% California early distribution penalty.

As you rolled over the money into an IRA account - you have full access to your money and may take a distribution as you wish without claiming the financial hardship.

 

First of all - you need to determine your estimated tax liability before taking any distribution - so you would now your situation.

As you are married - you will likely file a joint tax return with your spouse (you generally may not claim you wife a s a dependent) and you will have one dependent - your son.

If you provide information about your income - I will help you to estimate your tax liability.

 

First of all - please avoid taking large distribution in a single year - that might push you into higher tax bracket - instead try to spread the distribution over several years.

 

For distributions from IRA accounts - there are several exceptions to the age 59½ rule. Even if you receive a distribution before you are age 59½, you may not have to pay the 10% additional tax if you are in one of the following situations.

  • You have unreimbursed medical expenses that are more than 7.5% of your adjusted gross income.
  • The distributions are not more than the cost of your medical insurance.
  • You are disabled.
  • You are the beneficiary of a deceased IRA owner.
  • You are receiving distributions in the form of an annuity.
  • The distributions are not more than your qualified higher education expenses.
  • You use the distributions to buy, build, or rebuild a first home.
  • The distribution is due to an IRS levy of the qualified plan.
  • The distribution is a qualified reservist distribution.

Please verify if any may be used in your situation and we will look for details.

 

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Expert: LEV
Pos. Feedback: 99.3 %
Accepts: 
Answered: 10/20/2009

Tax Preparer

Taxes, Immigration, Labor Relations

33 days and 15 hours ago.

Reply

Thank you for your answer. Looks good, I am going to accept it as soon as I finish this reply. 1. We indeed file jointly, (I used to include my wife as my dependent on W-8 form back when I was employed). 2. To estimate my tax liability, my current income is 0. I am not employed and applying for unemployment is not possible due to my immigration situation. 3. Out of the options you have listed I can think of three possible ways that would apply to my situation: i) unreimbursed medical expenses that are more than 7.5% of your adjusted gross income - I have a few thousand outstanding balance for our orthodontist expenses, but so far we are meeting our minimal payments. ii) distributions are not more than the cost of your medical insurance - I currently don't have one but do I have to buy and carry one to use that option? iii) receiving distributions in the form of an annuity - where can I do that? What's the best way to talk to you about this matter further?

30 days and 16 hours ago.

Reply

Were you able to review my question?

Posted by LEV 30 days and 15 hours ago.

Answer

Thank for reminder and sorry that I overlooked your follow up question.

Please see my comments below

 

1. We indeed file jointly, (I used to include my wife as my dependent on W-8 form back when I was employed).

Assume that you meant form W4 to direct your payroll person about withholding. If so - on that form you listed your allowances - that is not claiming a dependent. One allowance is equivalents to $3650 deductions (for 2009).

You claim dependents on your tax return not on the form W4.

 

2. To estimate my tax liability, my current income is 0. I am not employed and applying for unemployment is not possible due to my immigration situation.

To estimate your tax liability - we need to consider your annual income - not your current income.

To be eligible for unemployment - you should be available to work. But because of your immigration status - you are allowed to work only for employer who supports your visa - you are considered as not available to work and thus not eligible for unemployment benefits.

 

3. Out of the options you have listed I can think of three possible ways that would apply to my situation:

i) unreimbursed medical expenses that are more than 7.5% of your adjusted gross income - I have a few thousand outstanding balance for our orthodontist expenses, but so far we are meeting our minimal payments.

Again - we need consider your annual income for that determination including your spouse's income - because you are filing jointly. If your gross wages - for instance - in 2009 would be $40,000 - the limit $40,000 *7.5%=$3000 - means all medical expenses above that about may be used for 10% early distribution penalty.

 

ii) distributions are not more than the cost of your medical insurance - I currently don't have one but do I have to buy and carry one to use that option?

To use that exemption - yes - you need to pay for your medical insurance.

 

iii) receiving distributions in the form of an annuity - where can I do that?

You can receive distributions from your traditional IRA that are part of a series of substantially equal payments over your life (or your life expectancy), or over the lives (or the joint life expectancies) of you and your beneficiary, without having to pay the 10% additional tax, even if you receive such distributions before you are age 59½. You must use an IRS-approved distribution method and you must take at least one distribution annually for this exception to apply. The "required minimum distribution method," when used for this purpose, results in the exact amount required to be distributed, not the minimum amount.

 

There are two other IRS-approved distribution methods that you can use. They are generally referred to as the "fixed amortization method" and the "fixed annuitization method." These two methods are more complex and generally require professional assistance. For information see Revenue Ruling 2002-62, page 710 at - www.irs.gov/pub/irs-irbs/irb02-42.pdf.

 

What's the best way to talk to you about this matter further?

The only way - is to post questions on Just Answer forum.

Sorry if I delay my response as I am not always available.

 

 

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