SBA Form 468.4, Corporate Quarterly Financial Report

SBA Form 468.4, Corporate Quarterly Financial Report
SBA Form 468.4, Corporate Quarterly Financial Report

What Is SBA Form 468.4?

SBA Form 468.4, Corporate Quarterly Financial Report is a form used by Small Business Investment Companies (SBICs) for submitting their financial report for every quarter. The form is filed by all SBIC Corporations and needs to be submitted within 30 days of the close of each quarter.

The latest version of the form was released by the Small Business Administration (SBA) in March 2014 with all previous editions obsolete. An updated SBA Form 468.4 printable version is available for download and digital filing below.

The SBA Form 468.1 (Corporate Annual Financial Report) is a related form used for submitting annual corporate financial reports.

SBA Form 468.4 Instructions

All SBICs are required to submit an audited quarterly report on the SBA 468.4. SBICs with outstanding Leverage Commitments or Leverage and other SBA-required SBICs must also submit unaudited quarterly financial statements on the SBA Short Form 468 and submit them along with the main form.

A complete SBA 468 report consists of the following forms:

  • Report files generated by the electronic reporting software (with the supplementary Excel file);
  • Two printed sets of schedules created in the software (with signed management certifications and supplementary Excel file);
  • The Independent Auditor's Report;
  • The Notes to Financial Statements;
  • Two copies of the Operating Plan Update narrative (for Licensees with outstanding commitments or leverage).

The entire reporting package must be submitted to the SBA’s Office of Investment on a CD or by email to sbic@sba.gov. For email, the subject line must contain the name of the SBIC Licensee and the reporting period (either quarterly or annual).

All files submitted via email should have either a file extension of *.sba or be entirely in PDF. This rule does not apply to notes, schedules, and supplementary forms.

SBA Form 468.4 Related Publications

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