ATF Form 4 (5320.4) "Application for Tax Paid Transfer and Registration of Firearm"

What Is ATF Form 4?

ATF Form 4, Application for Tax Paid Transfer and Registration of Firearm - also known as the ATF E-Form 4 or the ATF Form 5320.4 - is a document used to request approval of a tax-paid transfer of a serviceable firearm from one owner to another. The form is mandatory. The Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) uses the provided information to identify the transferred firearm, both parties of transfer, and to ensure the transfer complies with Federal, State, and local laws.

The form was last revised by the ATF on September 1, 2019. Download the latest fillable ATF Form 4 through the link below.

ATF Form 3 Vs. Form 4

The ATF recognizes ATF Form 3 and ATF Form 4 as the main firearm transfer forms. ATF Form 3 is used to transfer firearms from one Special Occupational Taxpayer (SOT) to another. The transfer documented via this form does not require paying a transfer tax. ATF Form 4 is used when any party of the transfer process is an individual even if the other one is a SOT and requires paying a transfer tax. You can also complete this form to document a person-to-person transfer.

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ATF Form 4 Instructions

  • If the transferee is an individual, complete the whole form except for Items 18 and 19;
  • If the transferee is a trust or legal entity, skip Items 14 through 17;
  • If the transferee is an individual not licensed under the Gun Control Act as an importer, dealer, or manufacturer, attach 15 a 2-inch x 2-inch frontal view photo of the transferee taken within a year before the application date to Item 15. Do not attach your photo to the CLEO copy;
  • If the transferee is an individual, submit two FBI FD-258 forms with the application. The fingerprints must be taken by someone who has the proper equipment for an accurate identification;
  • If the transferee is an entity, attach documentation to prove the existence and validity of the entity, e.g., corporate registration, articles of incorporation, declarations of trust, or partnership agreements;
  • If the transferee is a trust or legal entity, include a completed ATF Form 5320.23, National Firearms Act (NFA) Responsible Person Questionnaire for each responsible person;
  • Before the acquisition of a firearm, the transferee must obtain a state or local permit or license. Attach a copy of this license when submitting your application;
  • The ATF will send the approved ATF copy 2 to the transferor. The transferor is prohibited to transfer the firearm before the approval goes through. At the same time, the transferor is obliged to transfer the firearm and the approved application to the transferee immediately upon receipt.

How to Fill out Application for Tax Paid Transfer and Registration of Firearm?

Complete the ATF Form 4 as follows:

  1. Item 1. Type of Transfer. The tax for a firearm transfer is $200. If "any other weapon" is transferred, the transfer tax will be $5. Find the explanation of the terms in the attached instructions;
  2. Item 2A. Transferee's Name and Address. Provide the complete name and physical address of the transferee. P.O. Box numbers will not be accepted. If the transferee is a trust or legal entity, enter only the name of the trust or legal entity without including any individual names;
  3. Item 2B. County. Self-explanatory;
  4. Items 3A - 3C. Transferor's Name and Address/E-mail Address/Transferor's Telephone. Self-explanatory;
  5. Item 3D. Decedent's Name, Address, and Date of Death. Fill it out only if you have inherited the firearm and are transferring it to your gun trust;
  6. Item 3E. Number, Street, City, State and Zip Code of Residence. Complete only if different from the address indicated in the Item 3A;
  7. Items 4A - 4H. Description of Firearm. Use the fields provided for an accurate description of the firearm you are going to transfer. Do not use any slang terms in your description. Attach additional sheets if needed;
  8. Item 5. Transferee's Federal Firearms License. If the transferee is a Federal Firearms Licensee, provide a 15-digit license number in this item;
  9. Item 6. Transferee's Special (Occupational) Tax Status. Fill out this item if the transferee is a SOT;
  10. Items 7 - 8. Transferor's Federal Firearms License/ Transferor's Special (Occupational) Tax Status. Use the same instructions as applicable for Items 5 - 6;
  11. Items 9 - 11. Signature of Transferor/ Name and Title of Authorized Official/Date. Self-explanatory;
  12. Item 12. Law Enforcement Notification. Provide here the name of the agency, name, and title of the official, and address where CLEO notification was sent to;
  13. Item 13. Transferee Necessity Statement. Fill out this item if the firearm to be transferred is a short-barreled rifle or shotgun, machinegun, or destructive device;
  14. Item 14. Answer the questions provided only if the transferee is an individual. Provide additional details for any "Yes" answer on a separate sheet;
  15. Item 15. Photograph. Self-explanatory;
  16. Items 16A - 16D, and 17. Self-explanatory;
  17. Item 18. The Number of Responsible Persons. It is applicable if a transferee is a trust or legal entity;
  18. Item 19. If the space provided in this item is not enough, continue listing on a separate sheet;
  19. Item 20. Method of Payment. Check the method used to pay the transfer tax. If paying by check or money order, submit it with the form.

Where to Mail ATF Form 4?

Complete the application for tax paid transfer and registration of firearms in three copies. Submit the ATF Copy and the ATF Copy 2 to the NFA Division. The ATF Form 4 mailing address is provided on the front of the form. Provide the third chief law enforcement officer (CLEO) copy to the officer that has jurisdiction over the area that includes transferee's address indicated in Item 2A. The CLEO can be the sheriff, state or local district attorney, prosecutor, chief of police, or head of the state police.

How Do I Check the Status of My ATF Form 4?

The current wait time is around 4 to 8 months. To stay updated, check your ATF Form 4 status by calling the NFA Division at (304) 616-4500. You can also inquire about the form status via email. The email address for all inquiries is provided on the document.

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Download ATF Form 4 (5320.4) "Application for Tax Paid Transfer and Registration of Firearm"

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OMB No. 1140-0014 (08/31/2022)
U.S. Department of Justice
Application for Tax Paid Transfer and
Bureau of Alcohol, Tobacco, Firearms and Explosives
Registration of Firearm
ATF Control Number
National Firearms Act Division
SUBMIT in DUPLICATE to:
Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 5015, Portland, OR 97208-5015
1. Type of Transfer (Check one)
2a. Transferee’s Full Legal Name and Address (Include trade name, if any) (See instruction 2d)
$5
$200
Submit the appropriate tax payment with the application.
The tax may be paid by credit or debit card, check, or money
order. Please complete item 20. Upon approval of
Corporation
Other Legal Entity
the application, we will affix and cancel the required
2b. County/Parish
National Firearms Act stamp. (See instructions 2b, 2j and 3)
Trust
Individual
3c. Transferor’s Telephone (Area Code and Number)
3a. Transferor’s Full Legal Name and Address (Include trade name, if any)
3b. E-mail address
(Executors: see instruction 2l)
3d. If Applicable: Decedent’s Name, Address, and Date of Death
3e. Number, Street, City, State and Zip Code of Residence (or Firearms Business Premises)
If Different from Item 3a.
The above-named and undersigned transferor hereby makes application as required by Section 5812 of the National Firearms Act to transfer and register the firearm described
below to the transferee.
d.
Model
4.
Description of Firearm (Complete items a through h) (See instruction 2n)
a.
Name and Address of Maker Manufacturer and/or
b.
Type of Firearm (see definitions 1c)
c.
Caliber or
Importer of Firearm
Gauge
e.
Barrel Length:
f.
Overall Length:
g.
Serial Number
h.
Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)
6. Transferee’s Special (Occupational) Tax Status (If any)
5.
Transferee’s Federal Firearms License (if any) or Explosives License or Permit Number
a. Employer Identification Number
b. Class
(Give complete 15-digit number) (See instruction 2c)
2 digits
First 6 digits
2 digits
5 digits
8. Transferor’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class
7.
Transferor’s Federal Firearms License (If any)
2 digits
First 6 digits
5 digits
2 digits
Under Penalties of Perjury, I Declare that I have examined this application, and to the best of my knowledge and belief it is true, correct and complete, and that the transfer
of the described firearm to the transferee and receipt and possession of it by the transferee are not prohibited by the provisions of Title 18, United States Code; Chap 44;
Title 26, United States Code; Chap 53; or any provisions of State or local law.
10. Name and Title of Authorized Official (Print or type) 11. Date
9.
Signature of Transferor (Or authorized official)
The Space Below is for the use of the Bureau of Alcohol, Tobacco, Firearms and Explosives
Stamp Denomination
By Authority of The Director, This Application Has Been Examined, and the Transfer and Registration of the Firearm
Described Herein and the Interstate Movement of that Firearm, When Applicable, to the Transferee are:
Approved (With the following conditions, if any)
Disapproved (For the following reasons)
Signature of Authorized ATF Official
Date
Previous Editions Are Obsolete
ATF Form 4 (5320.4)
ATF Copy
Revised September 2019
OMB No. 1140-0014 (08/31/2022)
U.S. Department of Justice
Application for Tax Paid Transfer and
Bureau of Alcohol, Tobacco, Firearms and Explosives
Registration of Firearm
ATF Control Number
National Firearms Act Division
SUBMIT in DUPLICATE to:
Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 5015, Portland, OR 97208-5015
1. Type of Transfer (Check one)
2a. Transferee’s Full Legal Name and Address (Include trade name, if any) (See instruction 2d)
$5
$200
Submit the appropriate tax payment with the application.
The tax may be paid by credit or debit card, check, or money
order. Please complete item 20. Upon approval of
Corporation
Other Legal Entity
the application, we will affix and cancel the required
2b. County/Parish
National Firearms Act stamp. (See instructions 2b, 2j and 3)
Trust
Individual
3c. Transferor’s Telephone (Area Code and Number)
3a. Transferor’s Full Legal Name and Address (Include trade name, if any)
3b. E-mail address
(Executors: see instruction 2l)
3d. If Applicable: Decedent’s Name, Address, and Date of Death
3e. Number, Street, City, State and Zip Code of Residence (or Firearms Business Premises)
If Different from Item 3a.
The above-named and undersigned transferor hereby makes application as required by Section 5812 of the National Firearms Act to transfer and register the firearm described
below to the transferee.
d.
Model
4.
Description of Firearm (Complete items a through h) (See instruction 2n)
a.
Name and Address of Maker Manufacturer and/or
b.
Type of Firearm (see definitions 1c)
c.
Caliber or
Importer of Firearm
Gauge
e.
Barrel Length:
f.
Overall Length:
g.
Serial Number
h.
Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)
6. Transferee’s Special (Occupational) Tax Status (If any)
5.
Transferee’s Federal Firearms License (if any) or Explosives License or Permit Number
a. Employer Identification Number
b. Class
(Give complete 15-digit number) (See instruction 2c)
2 digits
First 6 digits
2 digits
5 digits
8. Transferor’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class
7.
Transferor’s Federal Firearms License (If any)
2 digits
First 6 digits
5 digits
2 digits
Under Penalties of Perjury, I Declare that I have examined this application, and to the best of my knowledge and belief it is true, correct and complete, and that the transfer
of the described firearm to the transferee and receipt and possession of it by the transferee are not prohibited by the provisions of Title 18, United States Code; Chap 44;
Title 26, United States Code; Chap 53; or any provisions of State or local law.
10. Name and Title of Authorized Official (Print or type) 11. Date
9.
Signature of Transferor (Or authorized official)
The Space Below is for the use of the Bureau of Alcohol, Tobacco, Firearms and Explosives
Stamp Denomination
By Authority of The Director, This Application Has Been Examined, and the Transfer and Registration of the Firearm
Described Herein and the Interstate Movement of that Firearm, When Applicable, to the Transferee are:
Approved (With the following conditions, if any)
Disapproved (For the following reasons)
Signature of Authorized ATF Official
Date
Previous Editions Are Obsolete
ATF Form 4 (5320.4)
ATF Copy
Revised September 2019
Transferee Certification
12. Law Enforcement Notification (See instruction 2f)
The transferee is to provide notification of the proposed acquisition and possession of the firearm described on this Form 4 by providing a copy of the completed form to the
chief law enforcement officer in the agency identified below:
Agency or Department Name
Name and Title of Official
Address (Street address or P.O. Box, City, State and Zip Code) to which sent (mailed or delivered)
Information for the Chief Law Enforcement Officer
This form provides notification of the transferee’s intent to acquire and possess a National Firearms Act (NFA) firearm. No action on your part is required. However, should
you have information that may disqualify this person from acquiring or possessing a firearm, please contact the NFA Division at (304) 616-4500 or NFA@atf.gov. A “Yes”
answer to items 14.a. through 14.h. or 18.d. or 18.e. could disqualify a person from acquiring or possessing a firearm. Also, ATF will not approve an application if the
transfer or possession of the firearm is in violation of State or local law.
13. Transferee Necessity Statement (See instruction 2e)
I,
, have a reasonable necessity to possess the machinegun, short-barreled rifle,
(Name and Title of Transferee)
short-barreled shotgun, or destructive device described on this application for the following reason(s)
and my possession of the device or weapon would be consistent with public safety (18 U.S.C. § 922(b) (4) and 27 CFR § 478.98).
Transferee Questions (Complete Only When Transferee is An Individual)
14. Answer questions 14.a. through 14.h. Answer questions 16, 17, 18, 19 and 20, if applicable. For any “Yes” answer the transferee shall provide details on a separate
sheet. (See instruction 7b and definitions)
Yes
No
a. Are you under indictment or information in any court for a felony, or any other crime, for which the judge
could imprison you for more than one year? (See definition 1m)
b. Have you ever been convicted in any court for a felony, or any other crime, for which the judge could have
imprisoned you for more than one year, even if you received a shorter sentence including probation? (See definition 1m)
c. Are you a fugitive from justice? (See definition 1s)
15. Photograph
d. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any
other controlled substance? Warning: The use or possession of marijuana remains unlawful
under Federal law regardless of whether it has been legalized or decriminalized for medicinal or
Affix a 2” x 2” Photograph here.
recreational purposes in the state where you reside.
No Stapling. Tape Sides of Photo to the
e. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental
Application.
institution? (See definitions1n and 1o)
1. Photo must have been taken within the
f. Have you been discharged from the Armed Forces under dishonorable conditions?
last year.
g. Are you subject to a court order restraining you from harassing, stalking, or threatening your child or an
intimate partner or child of such partner? (See definition 1p)
2. Photo must have been taken in full face
view without a hat or head covering that
h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See definition 1q)
obscures the hair or hairline.
16. Social Security Number: (See instruction 2h)
Date of Birth:
3. On back of photograph print full name,
last 4 of SSN.
17a. Ethnicity
17b. Race
Hispanic or Latino
American Indian or Alaska Native
Black or African American
White
Not Hispanic or Latino
Asian
Native Hawaiian or Other Pacific Islander
18a. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.) (See definition 1r)
United States of America
Other Country/Countries (specify):
18b. State of Birth
18c.Country of Birth
Yes
No
d.
Have you ever renounced your United States citizenship?
e.
Are you an alien illegally or unlawfully in the United States?
f.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa?
f.2. If “yes”, do you fall within any of the exceptions stated in the instructions? Attach the documentation to the application
N/A
19. If you are an alien, record your U.S.-Issued Alien or Admission number (AR#, USCIS#, or 194#):
Yes
No
20. Have you been issued a Unique Personal Identification Number (UPIN)? (See instruction 2h)
If yes please list
ATF Form 4 (5320.4)
ATF Copy
Revised September 2019
CERTIFICATION: Under penalties imposed by 18 U.S.C. § 924 and 26 U.S.C. § 5861, I certify that, upon submission of this form to ATF, a completed copy of this form will be directed
to the chief law enforcement officer (CLEO) shown in item 12, that the statements, as applicable, contained in this certification, and any attached documents in support thereof, are true
and correct to the best of my knowledge and belief. NOTE: See instructions 2.d(2) and 2.d(3) for the items to be completed depending on the type of transferee.
Date
Signature of Transferee
21. Number of Responsible Persons (see definitions) associated with the transferee trust or legal entity
22. Provide the full name (printed or typed) below for each Responsible Person associated with the applicant trust or legal entity (if there are more Responsible Persons than
can be listed on the form, attach a separate sheet listing the additional Responsible Person(s)). Please note that a completed Form 5320.23, National Firearms Act (NFA)
Responsible Person Questionnaire, must be submitted with the Form 4 application for each Responsible Person.
Full Name
Full Name
23. Method of Payment (Check one) (See instruction 2j) (if paying by credit/debit card, complete the section below)
Cashier’s Check or
American
Check (Enclosed)
Visa
Mastercard
Discover
Diners Club
Money Order (Enclosed)
Express
Credit/Debit Card Number (No dashes)
Name as Printed on the Credit/Debit Card
Expiration Date (Month & year)
Address:
Credit/Debit Card
Billing Address:
City:
State:
Zip Code:
Tax Amount:
$
I Authorize ATF to Charge my Credit/Debit Card the Tax Amount.
Signature of Cardholder
Date
Your credit/debit card will be charged the above stated amount upon receipt of the application. The charge will be reflected on your credit/debit card statement.
In the event your application is NOT approved, the above amount will be credited to the credit/debit card noted above.
Important Information for Currently Registered Firearms
If you are the current registrant of the firearm described on this form, please note the following information.
Estate Procedures: For procedures regarding the transfer of firearms in an estate resulting from the death of the registrant identified in item 2a, the executor should contact the NFA
Division, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405.
Change of Address: Unless currently licensed under the Gun Control Act, the registrant shall notify the NFA Division, Bureau of Alcohol, Tobacco, Firearms and
Explosives, 244 Needy Road, Martinsburg, WV 25405, in writing, of any change to the address in item 2a.
Change of Description: The registrant shall notify the NFA Division, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405, in writing, of
any change to the description of the firearm(s) in item 4.
Interstate Movement: If the firearm identified in item 4 is a machinegun, short-barreled rifle, short-barreled shotgun, or destructive device, the registrant may be required by 18
U.S.C. § 922(a)(4) to obtain permission from ATF prior to any transportation in interstate or foreign commerce. ATF Form 5320. 20 can be used to request this permission.
Restrictions on Possession: Any restriction (see approval block on face of form) on the possession of the firearm identified in item 4 continues with the further transfer of the firearm.
Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a firearm, please contact the NFA Division for procedures on how to dispose of
the firearm.
Proof of Registration: A person possessing a firearm registered as required by the NFA shall retain proof of registration which shall be made available to any ATF officer upon request.
Paperwork Reduction Act Notice
This form meets the clearance requirements of the Paperwork Reduction Act of 1995. The information you provide is used in applying to transfer serviceable firearms taxpaid. Data is used to iden-
tify transferor, transferee, and firearm, and to ensure legality for transfer under Federal, State and local laws. The furnishing of this information is mandatory (26 U.S.C. § 5812).
The estimated average burden associated with this collection of information is 3.78 hours per respondent or recordkeeper, depending on individual circumstances. Comments concerning the accuracy
of this burden estimate and suggestion for reducing this burden should be addressed to Reports Management Officer, Information Technology Coordination Staff, Bureau of Alcohol, Tobacco,
Firearms and Explosives, Washington, DC 20226.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
ATF Form 4 (5320.4)
ATF Copy
Revised September2019
Privacy Act Information
The following information is provided pursuant to Section 3 of the Privacy Act of 1974 (5 U.S.C. § 552(e)(3)):
1. Authority. Solicitation of this information is made pursuant to the National Firearms Act (26 U.S.C. § 5812). Disclosure of this information by the applicant is
mandatory for transfer of an NFA firearm, unless the transfer is otherwise exempt from tax.
2. Purpose. To insure payment of the tax imposed by 26 U.S.C. § 5811; to insure that the transfer would not be in violation of law; and to effect registration of the
firearm.
3. Routine Uses. The information will be used by ATF to make the determinations set forth in paragraph 2. In addition, to effect registration of the firearm, information
as to the identification of the firearm, date of registration, and the identification and address of person entitled to possess the firearm will be entered into the National
Firearms Registration and Transfer Record. No information obtained from an application, registration, or records required to be submitted by an individual in order
to comply with any provision of the National Firearms Act or regulation issued thereunder, shall, except in connection with prosecution or other action for furnishing
information, be used, directly or indirectly, as evidence against that person in any criminal proceeding with respect to a violation of law occurring prior to or concurrently
with the filing of the application. The information from this application may only be disclosed to Federal authorities for purposes of prosecution for violation of the
National Firearms Act.
4. Effects of not Supplying Information Requested. Failure to supply complete information will delay processing and may cause denial of the application.
Definitions/Instructions
Definitions
1.
i. ATF Officer. An officer or employee of the Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF) authorized to perform any function
a. National Firearms Act (NFA). Title 26, United States Code, Chapter 53. The
relating to the administration of the NFA.
implementing regulations are found in Title 27, Code of Federal Regulations,
Part 479.
j. Transfer. Selling, assigning, pledging, leasing, loaning, giving away, or
otherwise disposing of a firearm.
b. Gun Control Act (GCA). Title 18, United States Code, Chapter 44.
The implementing regulations are found in Title 27, Code of Federal
k. Transferor. The person selling or otherwise disposing of a firearm;
Regulations, Part 478.
including applying to transfer a firearm.
c. Firearm. The term “firearm” means: (1) a shotgun having a barrel or
l. Transferee. The person acquiring the firearm.
barrels of less than 18 inches in length; (2) a weapon made from a shotgun
if such weapon as modified has an overall length of less than 26 inches or
m. Prohibited Person. Generally, 18 U.S.C. § 922(g) prohibits the shipment,
a barrel or barrels of less than 18 inches in length; (3) a rifle having a barrel
transportation, receipt, or possession in or affecting interstate commerce
or barrels of less than 16 inches in length; (4) a weapon made from a rifle
of a firearm by one who: has been convicted of a misdemeanor crime of
if such weapon as modified has an overall length of less than 26 inches or
domestic violence; has been convicted of a felony, or any other crime,
a barrel or barrels of less than 16 inches in length; (5) any other
punishable by imprisonment for a term exceeding one year (this does not
weapon as defined in 26 U.S.C. § 5845(e); (6) a machinegun; (7) a muffler
include State misdemeanors punishable by imprisonment of two years or
or silencer for any firearm whether or not such firearm is included
less); is a fugitive from justice; is an unlawful user of, or addicted to,
within this definition; and (8) a destructive device.
mari juana or any depressant, stimulant, or narcotic drug, or any other
controlled substance; has been adjudicated as a mental defective or has
d. Person. A partnership, company, association, trust, corporation, including
been committed to a mental institution; has been discharged from the Armed
each responsible person associated with such an entity; an estate; or an
Forces under dishonorable conditions; has renounced his or her U.S.
individual.
citizenship; is an alien illegally in the United States or an alien admitted
Section A.
to the United States under a nonimmigrant visa; or is subject to certain
e. Responsible Person. In the case of an unlicensed entity, including any
restraining orders. Furthermore, Section 922(n) prohibits the shipment,
trust, partnership, association, company (including any Limited Liability
transportation, or receipt in or affecting interstate commerce of a firearm
Company (LLC)), or corporation, any individual who possesses, directly or
by one who is under indictment or information for a felony in any Federal,
indirectly, the power or authority to direct the management and policies of
State or local court, or any other crime punishable by imprisonment for a
the trust or entity to receive, possess, ship, transport, deliver, transfer or
term exceeding one year. An information is a formal accusation of a crime
otherwise dispose of a firearm for, or on behalf of, the trust or legal entity.
verified by a prosecutor.
Section B.
EXCEPTION: A person who has been convicted of a felony, or any other
Trust: Those persons with the power or authority to direct the management
crime, for which the judge could have imprisoned the person for more than
and policies of the trust includes any person who has the capability to
one year, or who has been convicted of a misdemeanor crime of domestic
exercise such power and possesses, directly or indirectly, the power or
violence, is not prohibited from purchasing, receiving, or possessing a firearm
authority under any trust instrument, or under State law, to receive,
if: (1) under the law of the jurisdication where the conviction occurred, the
possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm
person has been pardoned, the conviction has been expunged or set aside, or
for, or on behalf of the trust. Examples of who may be considered a
the person has had their civil rights (the right to vote, sit on a jury, and hold
responsible person include settlors/grantors, trustees, partners, members,
public office) taken away and later restored AND (2) the person is not prohibited
officers, directors, board members, or owners. An example of who may
by the law of the jurisdiction where the conviction occurred from receiving or
be excluded from this definition of responsible person is the beneficiary
possessing firearms. Persons subject to this exception should mark “no” in the
of a trust, if the beneficiary does not have the capability to exercise the
applicable box.
enumerated powers or authorities.
n. Adjudicated as a Mental Defective. A determination by a court, board,
f. Employer Identification Number (EIN). Required of taxpayer filing
commission, or other lawful authority that a person, as a result of marked
special (occupational) tax returns under 27 CFR § 479.35.
subnormal intelligence, or mental illness, incompetency, condition, or
disease: (1) is a danger to himself or to others; or (2) lacks the mental
g. Special (Occupational) Tax. Required by the NFA to be paid by a
capacity to contract or manage his own affairs. This term shall include: (1) a
Federal firearms licensee engaged in the business of manufacturing (Class
finding of insanity by a court in a criminal case; and (2) those persons found
2), importing (Class 1), or dealing (Class 3) in NFA firearms.
incompetent to stand trial or found not guilty by reason of lack of mental
responsibility.
h. Federal Firearms License. A license issued under the provisions of the
GCA to manufacture, import or deal in firearms.
ATF Form 4 (5320.4)
Revised September 2019
o. Committed to a Mental Institution. A formal commitment of a person to
requirements may answer “no” to this question and are not required to
a mental institution by a court, board, commission, or other lawful authority.
submit the additional documentation under 16.d.2. An alien admitted to the
The term includes a commitment to a mental institution involuntarily. The
United States under a nonimmigrant visa is not prohibited from purchasing,
term includes commitment for mental defectiveness or mental illness. It
receiving, or possessing a firearm if the alien: (1) is in possession of a
also includes commitments for other reasons, such as for drug use. The
hunting license or permit lawfully issued by the Federal Government,
term does not include a person in a mental institution for observation or a
a State, or local government, or an Indian tribe federally recognized by the
voluntary admission to a mental institution.
Bureau of Indian Affairs, which is valid and unexpired; (2) was
admitted to the United States for lawful hunting or sporting purposes; (3)
EXCEPTION NICS Improvement Amendments Act of 2007: A person who
is an official representative of a foreign government who is accredited to
has been adjudicated as a mental defective or committed to a mental institution
the United States Government or the Government’s mission to an
in a state proceeding is not prohibited by the adjudication or commitment if the
international organization having its headquarters in the United States; (4)
person has been granted relief by the adjudicating/committing state pursuant to
is an official representative of a foreign government who is enroute to or from
a qualifying mental health relief from disabilities program. Also, a person who
another country to which that alien is accredited; (5) is an official of a foreign
has been adjudicated as a mental defective or committed to a mental institution
government or a distinguished foreign visitor who has been so designated by the
by a department or agency of the Federal Government is not prohibited by the
Department of State; (6) is a foreign law enforcement officer of a friendly foreign
adjudication or commitment if either: (a) the person’s adjudication or
government entering the United States on official law enforcement business; (7)
commitment was set-aside or expunged by the adjudicating/committing agency;
has received a waiver from the prohibition from the Attorney General of the
(b) the person has been fully released or discharged from all mandatory
United States.
treatment, supervision, or monitoring by the agency; (c) the person was found
by the agency to no longer suffer from the mental health condition that served
s. Fugitives from Justice. Any person who has fled from any State to avoid
as the basis of the initial adjudication/commitment; or (d) the adjudication or
prosecution for a felony or a misdemeanor, or any person who leaves the State
commitment respectively, is based solely on a medical finding of disability,
to avoid giving testimony in any criminal proceeding. The term also includes
without an opportunity for a hearing by a court, board, commission, or other
any person who knows that misdemeanor or felony charges are pending against
lawful authority, and the person has not been adjudication as a mental defective
such person and who leaves the State of prosecution.
consistent with 922(g)(4) of title 18, United States code; or (e) the person was
granted relief from the adjudicating/committing agency pursuant to a qualified
2.
Preparation of Application
mental health relief from disabilities program. Persons who fall within one
of the above exceptions should mark “no” in the applicable box. This exception
a. Authority. As provided by 26 U.S.C. §§ 5811 and 5812, any person seeking to
to an adjudication or commitment by a Federal department or agency does
transfer a firearm must submit, in duplicate, a separate application on this form for each
not apply to any person who was adjudicated to be not guilty by reason of
firearm. The transferor must furnish all the information called for, except as noted by
insanity, or based on a lack of mental responsibility, or found incompetent to
instructions within, on this application form. Please note that the form now contains
stand trial, in any criminal case or under the Uniform Code of Military
a 3rd (CLEO) copy of the form for use in compliance with instruction 2f and item 12
Justice.
of the form.
p. Restraining Order. Under 18 U.S.C. § 922, firearms may not be sold to
b. Transfer Tax Rates. The transfer tax is $200.00 except when the firearm
or received by persons subject to a court order that: (A) was issued after
is an ‘any other weapon’ where the tax rate is $5.00.
a hearing which the person received actual notice of and had an opportunity
c. Federal Firearms Licensees. If the transferor or transferee is a Federal Firearms
to participate in; (B) restrains such person from harassing, stalking, or
threatening an intimate partner or child of such intimate partner or person,
licensee (FFL) under the GCA, the licensee’s complete name, trade name (if any),
or engaging in other conduct that would place an intimate partner in
and address shall be entered in items 2a or 3a of this form, respectively. The complete
reasonable fear of bodily injury to the partner or child; and (C)(i) includes a
license number for each shall be entered in items 5 and 7 of the form and if the licensee
finding that such person represents a credible threat to the physical safety of
is a special (occupational) taxpayer under the NFA, the licensee’s employer
such intimate partner or child; or (ii) by its terms explicitly prohibits the use,
identification number (EIN) shall be entered in item 6 and 8 of the form, along
attempted use, or threatened use of physical force against such intimate
with the class of special tax paid. IMPORTANT NOTE: The business structure
partner or child that would reasonably be expected to cause bodily injury.
of the licensee shall be described consistently. For example, if the transferor is a sole
An “intimate partner” of a person is: the spouse or former spouse of the
proprietor, item 3a shall reflect the FFL information for the sole proprietor business
person, the parent of a child of the person, or an individual who cohabitates
and item 7 shall reflect the FFL number for that sole proprietor business. Item 8
or has cohabitated with the person.
will reflect the EIN for the sole proprietor business. If the special tax is paid as a
corporation, then it is not valid for the transaction. Similarly, a corporation name
q. Misdemeanor Crime of Domestic Violence: A Federal, State, local,
shown in item 3a with the FFL number and EIN of a sole proprietor will not be valid
tribal offense that is a misdemeanor under the Federal, State, or tribal law
for the transaction.
and has, as an element, the use or attempted use of physical force, or the
d. Completion of Form (NOTE: if the transferee is a Federal firearms
threatened use of a deadly weapon, committed by a current or former
spouse, parent, or guardian of the victim, by a person with whom the victim
licensee except for a Type 03 licensee, items 12, 13, 14, 15, 16, 17, 18,
shares a child in common, by a person cohabitating with, or has cohabited
19, 20, 21 are required to be completed) .
with the victim as a spouse, parent, or guardian, or by a person similarly
situated to a spouse, parent, or guardian of the victim. The term includes
(1) The transferor shall provide the transferee’s full legal name to include middle and
all misdemeanors that have as an element the use or attempted use of
physical address (no Post Office boxes) in item 2a. If the transferee is a trust or
physical force or the threatened use of a deadly weapon (e.g., assault and
legal entity, show only the complete name of the trust or legal entity and do not
battery), if the offense is committed by one of the defined parties. (See
include any individual names (such as names of trustees or corporate officials).
Exception in the definition of “Prohibited Person”). A person who has
The address shall be the location within the particular state where the firearm
been convicted of a misdemeanor crime of domestic violence also is not
will be maintained for a trust or legal entity. In the case of two or more locations
prohibited unless: (1) the person was represented by a lawyer or gave up the
for a legal entity, the address shown shall be the principal place of business
right to a lawyer; or (2) if the person was entitled to a jury, was tried by a
within the particular state (or principal office, in the case of a corporation).
jury, or gave up the right to a jury trial. Persons subject to this exception
should mark “no” in the applicable box.
(2) If the transferee is an individual, the entire Form 4 shall be completed except for
items 21 and 22. In addition, the transferee must include his or her fingerprints on
r. Alien Admitted to the United States Under a Nonimmigrant Visa. An
FBI Form FD-258 and his or her photos (see instruction 2g).
alien admitted to the United States under a nonimmigrant visa includes,
among others, persons visiting the United States temporarily for
(3) If the transferee is other than an individual, e.g., a trust or legal entity such as a
business or pleasure, persons studying in the United States who maintain
corporation, the transferee shall not complete items 14, 15, 16, 17, 18, 19 and
a residence abroad, and certain temporary foreign workers. These aliens
20. All other items must be completed including the signing of the Transferee
must answer “yes” to question 16.d.1 and provide the additional
Certification statement by the transferee. See 2.d.5. for Responsible Person
documentation required under question 16.d.2. Permanent resident aliens
Requirements
and aliens legally admitted to the United States pursuant either the Visa
Waiver Program or to regulations otherwise exempting them from visa
ATF Form 4 (5320.4)
Revised September 2019

Browse ATF Form 4 (5320.4) by Year

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