Special tax benefits (NUA) for company stock in a 401(k) allow gains to be taxed at a 20% capital gains tax rate, but transferring them to an IRA will permanently forfeit this benefit.
Company stock held in a 401(k) plan enjoys a special tax benefit called "Net Unrealized Appreciation" (NUA), which allows employees, upon leaving or retiring, to have the appreciated portion of the stock taxed at the long-term capital gains tax rate of up to 20%, rather than the ordinary income tax rate of up to 37%. However, transferring these stocks into an Individual Retirement Account (IRA) will permanently forfeit this tax benefit.
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