Small Business Investment Company Program Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SBA Form 1405A OWNERSHIP CONFIRMATION FOR PARTNERSHIP	Form and Instruction	Modified	Available
Form SBA Form 1405 Stockholders Confirmation (Corporation) Ownership Confirmation (Partnership)	Form and Instruction	Modified	Available
3245-0172 Supporting Statement 7.27.26 FINAL (1).docx	Supporting Statement A	Uploaded 2026-08-11	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35704	Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)	Form and Instruction	Modified	OWNERSHIP CONFIRMATION FOR PARTNERSHIP
35704	Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)	Form and Instruction	Modified	Stockholders Confirmation (Corporation) Ownership Confirmation (Partnership)

ICR Details

OMB Control No: 3245-0172	ICR Reference No: 202608-3245-004
Status: Received in OIRA	Previous ICR Reference No: 202301-3245-003
Agency/Subagency: SBA	Agency Tracking No:
Title: Small Business Investment Company Program Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)
Type of Information Collection: Reinstatement without change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 08/11/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	736	0
Time Burden (Hours)	736	0
Cost Burden (Dollars)	57,217	0

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Abstract: The Office of Investment and Innovation (OII) of the SBA is required to examine Small Business Investment Companies (SBICs) pursuant to Section 310 of the Small Business Investment Act of 1958, as amended, 15 U.S.C. Section 687b, and the implementing regulations at 13 CFR 107.690 to 107.692. The purpose of the examination, as provided by statute, is to determine, in part, whether or not the SBIC has engaged “solely in lawful activities and those [activities] contemplated” by title III of the Small Business Investment Act. As part of its effort to meet this statutory requirement, SBA’s Office of SBIC Examinations uses SBA Form 1405, Stockholder’s Confirmation (Corporation), and SBA Form 1405A, Ownership Confirmation (Partnership), as a means of gathering information relevant to each SBIC examination. The examinations are required by statute to occur at least biennially (15 U.S.C. Section 687b(c)).

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 12480	03/13/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 51517	08/10/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)	SBA Form 1405 , SBA Form 1405A	Stockholders Confirmation (Corporation) Ownership Confirmation (Partnership) ,   OWNERSHIP CONFIRMATION FOR PARTNERSHIP

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ICR Summary of Burden

table that charts list of burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	736	0	0	0	132	604
Annual Time Burden (Hours)	736	0	0	0	132	604
Annual Cost Burden (Dollars)	57,217	0	0	0	18,984	38,233

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $24,420

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 08/11/2026

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