medium · Certified Financial Planner Psychology

The Nguyen family owns employer stock in a 401(k) plan and is considering a Net Unrealized Appreciation (NUA) distribution. The stock has a current fair market value of 200,000 and a cost basis of110,000.

Which statement regarding the tax consequences of this NUA distribution is accurate?

  1. No tax is due until the stock is sold if the distribution is made to a brokerage account.
  2. The $110,000 cost basis is taxed as ordinary income in the year of distribution.
  3. The entire $200,000 is taxed as a long-term capital gain in the year of distribution.
  4. The $90,000 of appreciation is taxed as ordinary income at the time of the distribution.

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