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Level 3
posted Mar 2, 2023 10:04:14 PM

Why am I getting a penalty for a 401K AfterTax Rollover in Schedule 1?

Context: My employer allows AfterTax contribution in my 401K which I can immediately roll-over to an In-Plan Roth 401K bucket.

I received a 1099-R form the 401K Admin and in Box 1, shows $33,000 in gross distribution and  in Box 2a, the taxable amount is only $83.00 because I'm rolling over after tax dollars and only $83.00 was the gain during the time of rolling over the funds.    This year, TurboTax calculated a penalty of $1,600 in schedule 1, line 18.   I did this last year and no penalty was assessed.  I can't locate the worksheet how this penalty was calculated and why was there a penalty to begin with. Can anyone in the community help?  Thank you.

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1 Best answer
Expert Alumni
Mar 3, 2023 5:00:08 AM

This entry isn’t related to your rollover. Schedule 1 line 18 is an adjustment to income (lowers your taxable income) and is generated when you enter an early withdrawal penalty that you paid from Form 1099-INT box 2 or Form 1099-OID box 3.

 

 

 Please make sure that you enter your Form 1099-R for the rollover in the retirement section:

  1. Click on "Search" on the top right and type “1099-R” 
  2. Click on “Jump to 1099-R”
  3. Enter your Form 1099-R information and answer all follow-up questions carefully.

 

2 Replies
Expert Alumni
Mar 3, 2023 5:00:08 AM

This entry isn’t related to your rollover. Schedule 1 line 18 is an adjustment to income (lowers your taxable income) and is generated when you enter an early withdrawal penalty that you paid from Form 1099-INT box 2 or Form 1099-OID box 3.

 

 

 Please make sure that you enter your Form 1099-R for the rollover in the retirement section:

  1. Click on "Search" on the top right and type “1099-R” 
  2. Click on “Jump to 1099-R”
  3. Enter your Form 1099-R information and answer all follow-up questions carefully.

 

Level 3
Mar 3, 2023 8:22:28 AM

Thank you so much Dana.   I totally forgot about early withdraw of a few CDs.   I read it as early withdraw of savings so immediately my mind went to retirement savings and not investments savings.   Now I realize the $1,600 became an adjustment of income on my 1040.  Appreciate the quick answers.