Form SBA Form 2428 SBA Form 2428 Financing Eligibilty Statement for Usage Saving Debentur

OMB Control No. 3245-0379
Expiration Date: XX/XX/XXXX

Small Business Investment Company
Financing Eligibility Statement for Usage of Energy Saving Debenture
INSTRUCTIONS: Only Small Business Investment Companies (“SBICs”) requesting a pre-Financing determination of
eligibility for use of the Small Business Administration’s (“SBA’s”) Energy Saving Debenture per 13 CFR §107.610(f)(2)
and/or §107.610(f)(3) are required to complete this form. Answers to the following questions will be used to
determine your eligibility to utilize the Energy Saving Debenture. SBA may confer with the Department of Energy in
making this determination.
Please provide complete responses to each question. If you believe a question does not apply, identify it as not
applicable. When your answers require additional space or supplemental information, you may expand the blocks
provided as needed or you may use plain white paper, properly identifying the item number to which you are
responding.
The total number of pages submitted (including this form and any supplemental information provided as
attachments) may not exceed 25 pages. After the small business concern seeking financing has signed the
Certification in Section V, please email the signed form (in PDF format) and any attachments (in Microsoft Word,
Excel or PDF format) to [email protected] or as directed by the Office of SBIC Operations. In addition, please retain the
original form and attachments in your files for the duration of the financing.

SECTION I – GENERAL INFORMATION
a. SBIC Name:
b. License Number:
c. Date of Request
d. Reason pre-Financing determination of eligibility by SBA is requested (“X” all applicable):
1) “Primarily Engaged” Determination: The concern did not derive at least 50 percent of its
revenues during its most recently completed fiscal year from Energy Saving Activities and the
Small Business will not utilize 100% of the Financing proceeds received from the Licensee to
engage in Energy Saving Activities.
2) “Energy Saving Activity” Determination: Require determination that the activities in which the
concern is primarily engaged are Energy Saving Activities.

SECTION II – SMALL BUSINESS INFORMATION
a. Name of Small Business Concern
b. Employer ID Number
c. Anticipated Size of Financing
d. Street Address
City, State, Zip Code
e. Industry
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SBIC Financing Eligibility Statement for Usage of Energy Saving Debenture

OMB Control No. 3245-0379
Expiration Date: XX/XX/XXXX

f. Date Business Established
g. Provide a description of the small business concern’s products, services, and other activities. You may
attach a copy of the small business concern’s business plan presented to investors as part of a formal
solicitation if you feel this would be helpful in SBA’s determination.

h. Identify any intellectual property rights held by the small business concern related to energy saving,
including copyrights, trademarks, patents, industrial design rights and trade secrets.

i. Identify any grants or other awards received by the small business concern related to energy saving,
including federal, state, and educational.

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SBIC Financing Eligibility Statement for Usage of Energy Saving Debenture

OMB Control No. 3245-0379
Expiration Date: XX/XX/XXXX

SECTION III – INFORMATION FOR “PRIMARILY ENGAGED” DETERMINATION
This section is only required if you are seeking a “Primarily Engaged” Determination.
a. Describe why you believe the small business concern is “primarily engaged” in Energy Saving Activities.
As part of this statement, you may include (or attach) any information not provided elsewhere that
supports this financing eligibility determination request.

b. Identify revenues, expenditures (both expenses and capital expenditures), and assets (including
intellectual property value), for the small business over the past 3 years, separating energy saving related
revenues, expenditures, and assets from non-energy saving related.

c. Identify the total number of employees in the small business concern and the number of employees who
devote more than 50% of their time towards energy saving activities, along with a description of the
Energy Saving Activities in which such employees are engaged.

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SBIC Financing Eligibility Statement for Usage of Energy Saving Debenture

OMB Control No. 3245-0379
Expiration Date: XX/XX/XXXX

SECTION IV – INFORMATION FOR DETERMINATION OF “ENERGY SAVING ACTIVITY”
This section is only required if you are seeking an “Energy Saving Activity” Determination.
a. Describe how the small business concern’s activities use less energy to provide the same level of energy
service or reduce the consumption of non-renewable energy by providing renewable energy sources. As
part of this statement, you may include (or attach) any information not provided elsewhere that
supports this financing eligibility determination request.

b. Identify whether the small business concern’s product or service would have qualified for a Federal tax
credit cited in 13 CFR §107.50 under “Energy Saving Activity” in a previous year. If so, identify the
associated tax credit and the year it was eligible.

c. Describe any analyses performed that demonstrate energy efficiency or reduction of the consumption of
non-renewable energy and the results of these analyses. For research and development products or
services that are anticipated to reduce the consumption of non-renewable energy, describe the
feasibility, commercial potential, and projected energy savings of such products and services. Identify
whether such analyses were conducted by a qualified third party (such as a certified energy assessor,
energy auditor, energy engineer, or a professor specializing in energy sciences). You should attach a copy
of supporting analyses and their results.

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SBIC Financing Eligibility Statement for Usage of Energy Saving Debenture

OMB Control No. 3245-0379
Expiration Date: XX/XX/XXXX

SECTION V – SMALL BUSINESS CONCERN CERTIFICATION OF STATEMENT
WARNING: By signing below, you are certifying as to the accuracy of information you have provided on
or with this statement. You are further acknowledging that a small business investment company, which is
licensed by the U.S. Small Business Administration (SBA), and the SBA are relying on this information, and
that false statements can lead to criminal prosecution under 18 U.S.C. 1014, and other statutes, with
fines of up to $1,000,000 and imprisonment of up to 30 years, and civil fraud damages of three times the
Government’s loss.

I hereby certify that all information provided in Sections II through IV of this Financing Eligibility
Statement, and all information, exhibits, and supporting documentation that I have provided with this
statement, and any other submission to the SBIC, are true and correct to the best of my knowledge.

_________________________________________
Name of Business
_________________________________________
Typed Name and Title of Qualifying Person
_________________________________________
Signature of Qualifying Person

_______________________________
Date

PLEASE NOTE: The estimated burden for completing this form, including gathering and compiling the information,
is 10 hours per response. You are not required to respond to any collection of information unless it displays a
currently valid OMB approval number. Comments on the burden should be sent to the U.S. Small Business
rd
Administration, Chief, Records Management Division, 409 3 St., S.W., Washington, D.C. 20416 and/or Office of
Management and Budget, Desk Officer for the Small Business Administration, New Executive Office Building, Room
10202, Washington, D.C. 20503. OMB Approval (3245-0379). PLEASE DO NOT SEND FORMS TO OMB.

SBA Form 2428 (06-2015) PREVIOUS EDITIONS ARE OBSOLETE

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