SBA Form 468.1, Corporate Annual Financial Report

SBA Form 468.1, Corporate Annual Financial Report
SBA Form 468.1, Corporate Annual Financial Report

What Is SBA Form 468.1?

SBA Form 468.1, Corporate Annual Financial Report is a document that is required to be filed by all Small Business Investment Companies (SBICs) to submit their corporate financial reports for a single year. The form is required for all SBIC Corporations and needs to be submitted yearly and within 3 months after the end of each fiscal year.

The Small Business Administration (SBA) released the latest edition of the form in March 2014 with all previous editions obsolete. The newest SBA Form 468.1 printable version can be downloaded through the link below.

The SBA Form 468.4 (Corporate Quarterly Financial Report) is a related form used by SBIC Corporations for submitting their quarterly financial reports.

SBA Form 468.1 Corporate Annual Financial Report

Size: 7 MB
21 pages

This form is used by Small Business Investment Companies (SBICs) to submit their corporate annual reports.

SBA Form 468.1 Instructions

Every SBIC Corporation is required to submit an audited annual report on the SBA 468.1. The report must feature footnotes and an Independent Public Accountant’s Opinion. The SBA requires some SBICs - including those with outstanding Leverage Commitments or Leverage - to also submit unaudited quarterly financial statements within 30 days of the close of each quarter using the SBA Short Form 468.

The reports must be handed in electronically and using a secured and private application. A complete report must consist of the data files created by the electronic reporting software (including a supplementary Excel spreadsheet), two software-generated schedules (with signed management certifications and a supplementary Excel file), two copies of an Operating Plan Update narrative, the Independent Auditor's Report, and the notes to the financial statements.

The files can be submitted either:

  • By email to the SBA Office of Investment at The subject line must contain the name of the SBIC Licensee and the timeframe of the report.
  • On a CD or diskette by mail to the SBA Office of Investment at 409 3rd Street SW, Suite 6300, Washington, DC 20416.

All submitted SBA 468 forms should have a file extension of *.sba or *.pdf in order to be accepted.

SBA Form 468.1 Related Publications


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