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# Forms and guides

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## Content

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## SBIC licensing forms

Applying for an SBIC license is a three-part process: 
                  - Pre-screening review    (Short Form 2181) 
                  - Management Assessment Questionnaire (MAQ)  and  MAQ fee   (Long Form 2181 or Subsequent Fund Form 2181 and Form 2181 Exhibits)  
                  - Final  License Application  and  Licensing fee

### New SBIC Program Application - Effective August 17, 2023

#### Pre-screen Form: 2181 (Short)

The Pre-screen 2181 contains a subset of forms contained in the full MAQ. Specifically, the Short Form 2181 contains:
                  - The Overview
                  - Narrative
                  - Investment Track Record
                  - Principal Biographies 

#### Management Assessment Questionnaire (MAQ): Form 2181 (Long) or  Form 2181 (Subsequent Fund)

Once you have decided to move forward with the application process, the next step is to prepare and submit the MAQ, which consists of:
                  - Form 2181 (Long Form or Subsequent Fund Form)
                  - Form 2181 Exhibits A - D
                  - Attachments/Supplemental Materials
                  - Payment of Initial Licensing Fee / (“MAQ Fee”)

#### License Application: MAQ Form 2181 and Form 2181 Exhibits 

The License Application builds upon the previously submitted MAQ and includes additional forms and documentation.  The entire package includes the following:
                  - Form 2181  (updated to include any changes since the Green Light Letter)
                  - Form 2181 Exhibits A - D  (updated to include any changes since the Green Light Letter)
                  - Form 2181 Exhibits E - G
                  - Copies of all final legal documents + redlined copies detailing any and all changes to previously submitted legal documents
                  - Payment of all application and Final Licensing Fee and other fees which may at that time be due (e.g., the Resubmission Penalty Fee, if applicable and if not already paid)

### Legacy SBIC Program Application- Accepted through September 30th, 2023 

                  - Legacy Management Assessment Questionnaire (Form 2181 and Part I of Form 2182)
                  - Legacy License Application (Revised and updated Forms 2181, 2182, and 2183)

### Other SBIC licensing forms

                  - Model Limited Partnership Agreement (LPA) Version 3.0 for Standard and Impact SBICs  (submitted as part of Exhibit Q to Form 2183)
                  - Commitment Guaranty Template – See SOP chapter 6 for template

## Private capital forms

                  - SBA Form 2181 Exhibit F – Capital Certificate                      - Legacy Capital Certificate  Form – Accepted through September 30th, 2023 
                  - Request for Approval of Transfer Certificate

## SBIC financial reporting forms

**SBIC Licensee Financial Statements and Investment Performance**
                  - Form 468 Instructions - SBIC Financial Reports
                  - Annual Form 468 – SBIC Financial Report 
                  - Quarterly Form 468 – SBIC Financial Report
                  - Reinvestor SBIC Exhibit to Form 468 

## SBA leverage commitment forms

                  - Guidance for an SBIC to apply for or request SBA Leverage Commitment                     - Instructions for Commitment Requests  ( MAQ  submitted after August 17, 2023)
                    - Instructions for Commitment Application  ( MAQ  submitted before August 17, 2023) 
                  - Form 652  Assurance of Compliance for Nondiscrimination
                  - SBA Form 2181 Exhibit G  - Transferor’s Liability Contract                     - Legacy Form 2183 Exhibit L  - Transferor’s Liability Contract 
                  - SBA Form 2181 Exhibit F  - Capital Certificate                     - Legacy Form 2183 Exhibit K  -  Capital Certificate 
                  - Form 1065  Applicant Licensee’s Assurance of Compliance for the Public Interest
                  - Form 1846  Statement Regarding Lobbying for Loan Guarantees and Loan Issuance
                  - Form 34  Bank Identification
                  - Form 33  Instructions for the Authorization to Disburse Proceeds
                  - Debit Authorization
                  - Form 468 – SBIC Financial Report  (if requiring update)
                  - SBA Form 25 Resolution of the Board of Directors or General Partner (see Table 1)    Provides certain resolutions with Leverage Commitment. Licensees should select the SBA Form 25 based on their organizational structure:
                  - Form 27 Opinions of Counsel (see Table 2)

## SBA leverage draw forms

                  - Memorandum of Instructions for SBIC Draw Requests  Guidance for an SBIC to submit a Draw Request against SBA's Leverage Commitment in connection with the SBIC’s issuance of SBA-Guaranteed Debentures.
                  - Form 468 – SBIC Financial Report
                  - Form 27 (see Table 2)
                  - Leverage Security Instruments (see Table 3)

## SBIC leverage pre-payment forms

                  - Instructions for Prepayment of SBIC Pooled Debentures
                  - Prepayment Notice Template 

## SBIC financing forms

## SBIC examination forms

SBA will send the following forms to the SBIC prior to the examination:
                  - Disclosure statement                     - Form 856  Disclosure Statement for Leveraged Licensees
                    - Form 856A  Disclosure Statement for Non-Leveraged Licensees 
                  - Form 857  Request for Information Concerning Portfolio Financing by SBICs
                  - SBIC ownership confirmation                     - Form 1405  Stockholder’s Confirmation for Corporate SBICs
                    - Form 1405A  Ownership Confirmation for Partnership SBICs 

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