ATF Form 5320.4 (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 in November 2018. 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. The 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 5320.4 (4) "Application for Tax Paid Transfer and Registration of Firearm"

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OMB No. 1140-0014 (06/30/2019)
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 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
the application, we will affix and cancel the required
2b. County
National Firearms Act stamp. (See instructions 2b, 2i and 3)
INDIVIDUAL
TRUST or LEGAL ENTITY
3c. Transferor’s Telephone (Area Code and Number)
3a. Transferor’s Name and Address (Include trade name, if any)
3b. e-mail address (optional)
(Executors: see instruction 2k)
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 2m)
a.
Name and Address of Maker Manufacturer and/or
b.
Type of Firearm (see definitions)
c.
Caliber or
Importer of Firearm
Gauge
e.
Of Barrel Length:
f.
Overall Length:
g.
Serial Number
h.
Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)
5.
Transferee’s Federal Firearms License (If any)
6. Transferee’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class
(Give complete 15-digit number) (See instruction 2c)
First 6 digits
2 digits
2 digits
5 digits
8. Transferor’s Special (Occupational) Tax Status (If any)
7.
Transferor’s Federal Firearms License (If any)
a. Employer Identification Number
b. Class
First 6 digits
2 digits
2 digits
5 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 E-Form 4 (5320.4)
ATF Copy
Revised November 2018
OMB No. 1140-0014 (06/30/2019)
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 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
the application, we will affix and cancel the required
2b. County
National Firearms Act stamp. (See instructions 2b, 2i and 3)
INDIVIDUAL
TRUST or LEGAL ENTITY
3c. Transferor’s Telephone (Area Code and Number)
3a. Transferor’s Name and Address (Include trade name, if any)
3b. e-mail address (optional)
(Executors: see instruction 2k)
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 2m)
a.
Name and Address of Maker Manufacturer and/or
b.
Type of Firearm (see definitions)
c.
Caliber or
Importer of Firearm
Gauge
e.
Of Barrel Length:
f.
Overall Length:
g.
Serial Number
h.
Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)
5.
Transferee’s Federal Firearms License (If any)
6. Transferee’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class
(Give complete 15-digit number) (See instruction 2c)
First 6 digits
2 digits
2 digits
5 digits
8. Transferor’s Special (Occupational) Tax Status (If any)
7.
Transferor’s Federal Firearms License (If any)
a. Employer Identification Number
b. Class
First 6 digits
2 digits
2 digits
5 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 E-Form 4 (5320.4)
ATF Copy
Revised November 2018
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 16.b. or 16.c. 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 and 17, 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)
15. Photograph
c. Are you a fugitive from justice? (See definition 1s)
Affix a 2” x 2” Photograph here.
No Stapling. Tape Sides of Photo to the
d. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any
Application.
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
1. Photo must have been taken within the
recreational purposes in the state where you reside.
last year.
e. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental
institution? (See definitions1n and 1o)
2. Photo must have been taken in full face
view without a hat or head covering that
f. Have you been discharged from the Armed Forces under dishonorable conditions?
obscures the hair or hairline.
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)
3. On back of photograph print full name,
last 4 of SSN, and business address.
h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See definition 1q)
16a. 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):
Yes
No
b.
Have you ever renounced your United States citizenship?
c.
Are you an alien illegally or unlawfully in the United States?
d.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa?
d.2. If “yes”, do you fall within any of the exceptions stated in the instructions? Attach the documentation to the application
N/A
17. If you are an alien, record your U.S.-Issued Alien or Admission number (AR#, USCIS#, or 194#):
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
ATF E-Form 4 (5320.4)
ATF Copy
Revised November 2018
18. Number of Responsible Persons (see definitions) associated with the transferee trust or legal entity
19. 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
20. Method of Payment (Check one) (See instruction 2i) (if paying by credit/debit card, complete the section below)
Cashier’s Check or
American
Check (Enclosed)
Diners Club
Visa
Mastercard
Discover
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 identify 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 E-Form 4 (5320.4)
ATF Copy
Revised November 2018
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
1.
Definitions
j. Transfer. Selling, assigning, pledging, leasing, loaning, giving away, or
otherwise disposing of a firearm.
a. National Firearms Act (NFA). Title 26, United States Code, Chapter 53. The
implementing regulations are found in Title 27, Code of Federal Regulations,
k. Transferor. The person selling or otherwise disposing of a firearm;
Part 479.
including applying to transfer a firearm.
b. Gun Control Act (GCA). Title 18, United States Code, Chapter 44.
l. Transferee. The person acquiring the firearm.
The implementing regulations are found in Title 27, Code of Federal
Regulations, Part 478.
m. Prohibited Person. Generally, 18 U.S.C. § 922(g) prohibits the shipment,
transportation, receipt, or possession in or affecting interstate commerce
c. Firearm. The term “firearm” means: (1) a shotgun having a barrel or barrels of less
of a firearm by one who: has been convicted of a misdemeanor crime of
than 18 inches in length; (2) a weapon made from a shotgun if such weapon as modi
domestic violence; has been convicted of a felony, or any other crime,
fied has an overall length of less than 26 inches or a barrel or barrels of less than 18
punishable by imprisonment for a term exceeding one year (this does not
inches in length; (3) a rifle having a barrel or barrels of less than 16 inches in length;
include State misdemeanors punishable by imprisonment of two years or
(4) a weapon made from a rifle if such weapon as modified has an overall length of
less); is a fugitive from justice; is an unlawful user of, or addicted to,
less than 26 inches or a barrel or barrels of less than 16 inches in length; (5) any other
mari juana or any depressant, stimulant, or narcotic drug, or any other
weapon as defined in 26 U.S.C. § 5845(e); (6) a machinegun; (7) a muffler or silencer
controlled substance; has been adjudicated as a mental defective or has
for any firearm whether or not such firearm is included within this definition; and (8) a
been committed to a mental institution; has been discharged from the Armed
destructive device.
Forces under dishonorable conditions; has renounced his or her U.S.
citizenship; is an alien illegally in the United States or an alien admitted
d. Person. A partnership, company, association, trust, corporation, including
to the United States under a nonimmigrant visa; or is subject to certain
each responsible person associated with such an entity; an estate; or an
restraining orders. Furthermore, Section 922(n) prohibits the shipment,
individual.
transportation, or receipt in or affecting interstate commerce of a firearm
by one who is under indictment or information for a felony in any Federal,
e. Responsible Person. In the case of an unlicensed entity, including any trust,
State or local court, or any other crime punishable by imprisonment for a
partnership, association, company (including any Limited Liability
term exceeding one year. An information is a formal accusation of a crime
Company (LLC)), or corporation, any individual who possesses, directly or
verified by a prosecutor.
indirectly, the power or authority to direct the management and policies of
the trust or entity to receive, possess, ship, transport, deliver, transfer or
EXCEPTION: A person who has been convicted of a felony, or any other
otherwise dispose of a firearm for, or on behalf of, the trust or legal entity.
crime, for which the judge could have imprisoned the person for more than
In the case of a trust, those persons with the power or authority to direct
one year, or who has been convicted of a misdemeanor crime of domestic
the management and policies of the trust includes any person who has the
violence, is not prohibited from purchasing, receiving, or possessing a firearm
capability to exercise such power and possesses, directly or indirectly, the
if: (1) under the law of the jurisdication where the conviction occurred, the
power or authority under any trust instrument, or under State law, to receive,
person has been pardoned, the conviction has been expunged or set aside, or the
possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm
person has had their civil rights (the right to vote, sit on a jury, and hold public office) taken
for, or on behalf of the trust. Examples of who may be considered a
away and later restored AND (2) the person is not prohibited by the law of the jurisdiction
responsible person include settlors/grantors, trustees, partners, members,
where the conviction occurred from receiving or possessing firearms. Persons subject to
officers, directors, board members, or owners. An example of who may
this exception should mark “no” in the applicable box.
be excluded from this definition of responsible person is the beneficiary
of a trust, if the beneficiary does not have the capability to exercise the
n. Adjudicated as a Mental Defective. A determination by a court, board,
enumerated powers or authorities.
commission, or other lawful authority that a person, as a result of marked
subnormal intelligence, or mental illness, incompetency, condition, or disease:
f. Employer Identification Number (EIN). Required of taxpayer filing
(1) is a danger to himself or to others; or (2) lacks the mental capacity to contract
special (occupational) tax returns under 27 CFR § 479.35.
or manage his own affairs. This term shall include: (1) a finding of insanity by
a court in a criminal case; and (2) those persons found incompetent to stand trial
g. Special (Occupational) Tax. Required by the NFA to be paid by a
or found not guilty by reason of lack of mental responsibility.
Federal firearms licensee engaged in the business of manufacturing (Class
2), importing (Class 1), or dealing (Class 3) in NFA firearms.
o. Committed to a Mental Institution. A formal commitment of a person to
a mental institution by a court, board, commission, or other lawful authority.
h. Federal Firearms License. A license issued under the provisions of the
The term includes a commitment to a mental institution involuntarily. The
GCA to manufacture, import or deal in firearms.
term includes commitment for mental defectiveness or mental illness. It
also includes commitments for other reasons, such as for drug use. The term
i. ATF Officer. An officer or employee of the Bureau of Alcohol, Tobacco,
does not include a person in a mental institution for observation or a
Firearms and Explosives (ATF) authorized to perform any function
voluntary admission to a mental institution.
ATF E-Form 4 (5320.4)
relating to the administration of the NFA.
Revised November 2018
EXCEPTION NICS Improvement Amendments Act of 2007: A person who
having its headquarters in the United States; (4) is an official representative of
has been adjudicated as a mental defective or committed to a mental institution
a foreign government who is enroute to or from another country to which that
in a state proceeding is not prohibited by the adjudication or commitment if the
alien is accredited; (5) is an official of a foreign government or a distinguished
person has been granted relief by the adjudicating/committing state pursuant to a
foreign visitor who has been so designated by the Department of State; (6) is a
qualifying mental health relief from disabilities program. Also, a person who has
foreign law enforcement officer of a friendly foreign government entering the
been adjudicated as a mental defective or committed to a mental institution by a
United States on official law enforcement business; (7) has received a waiver
department or agency of the Federal Government is not prohibited by the
from the prohibition from the Attorney General of the United States.
adjudication or commitment if either: (a) the person’s adjudication or commitment
was set-aside or expunged by the adjudicating/committing agency; (b) the person
s. Fugitives from Justice. Any person who has fled from any State to avoid
has been fully released or discharged from all mandatory treatment, supervision, or
prosecution for a felony or a misdemeanor, or any person who leaves the State
monitoring by the agency; (c) the person was found by the agency to no longer
to avoid giving testimony in any criminal proceeding. The term also includes
suffer from the mental health condition that served as the basis of the initial
any person who knows that misdemeanor or felony charges are pending against
adjudication/commitment; or (d) the adjudication or commitment respectively,
such person and who leaves the State of prosecution.
is based solely on a medical finding of disability, without an opportunity for a hear
ing by a court, board, commission, or other lawful authority, and the person has
2.
Preparation of Application
not been adjudication as a mental defective consistent with 922(g)(4) of title 18,
a. Authority. As provided by 26 U.S.C. §§ 5811 and 5812, any person seeking to
United States code; or (e) the person was granted relief from the adjudicating/
committing agency pursuant to a qualified mental health relief from disabilities
transfer a firearm must submit, in duplicate, a separate application on this form for each
program. Persons who fall within one of the above exceptions should mark “no” in
firearm. The transferor must furnish all the information called for, except as noted by
the applicable box. This exception to an adjudication or commitment by a Federal
instructions within, on this application form. Please note that the form now contain
department or agency does not apply to any person who was adjudicated to be not
a 3rd (CLEO) copy of the form for use in compliance with instruction 2f and item 12
guilty by reason of insanity, or based on a lack of mental responsibility, or found
of the form.
incompetent to stand trial, in any criminal case or under the Uniform Code of
Military Justice.
b. Transfer Tax Rates. The transfer tax is $200.00 except when the firearm
is an ‘any other weapon’ where the tax rate is $5.00.
p. Restraining Order. Under 18 U.S.C. § 922, firearms may not be sold to
c. Federal Firearms Licensees. If the transferor or transferee is a Federal Firearms
or received by persons subject to a court order that: (A) was issued after
a hearing which the person received actual notice of and had an opportunity
licensee (FFL) under the GCA, the licensee’s complete name, trade name (if any),
to participate in; (B) restrains such person from harassing, stalking, or
and address shall be entered in items 2a or 3a of this form, respectively. The complete
threatening an intimate partner or child of such intimate partner or person,
license number for each shall be entered in items 5 and 7 of the form and if the licensee
or engaging in other conduct that would place an intimate partner in
is a special (occupational) taxpayer under the NFA, the licensee’s employer
reasonable fear of bodily injury to the partner or child; and (C)(i) includes a
identification number (EIN) shall be entered in item 6 and 8 of the form, along
with the class of special tax paid. IMPORTANT NOTE: The business structure
finding that such person represents a credible threat to the physical safety of
such intimate partner or child; or (ii) by its terms explicitly prohibits the use,
of the licensee shall be described consistently. For example, if the transferor is a sole
attempted use, or threatened use of physical force against such intimate
proprietor, item 3a shall reflect the FFL information for the sole proprietor business
partner or child that would reasonably be expected to cause bodily injury.
and item 7 shall reflect the FFL number for that sole proprietor business. Item 8
An “intimate partner” of a person is: the spouse or former spouse of the
will reflect the EIN for the sole proprietor business. If the special tax is paid as a
person, the parent of a child of the person, or an individual who cohabitates
corporation, then it is not valid for the transaction. Similarly, a corporation name
or has cohabitated with the person.
shown in item 3a with the FFL number and EIN of a sole proprietor will not be valid
for the transaction.
q. Misdemeanor Crime of Domestic Violence: A Federal, State, local,
tribal offense that is a misdemeanor under the Federal, State, or tribal law
d. Completion of Form (NOTE: if the transferee is a Federal firearms
and has, as an element, the use or attempted use of physical force, or the
licensee except for a Type 03 licensee, items 12, 13, 14, 15, 16, 17, 18 nor
threatened use of a deadly weapon, committed by a current or former
19 are required to be completed) .
spouse, parent, or guardian of the victim, by a person with whom the victim
shares a child in common, by a person cohabitating with, or has cohabited
(1) The transferor shall provide the transferee’s complete name and physical ad
with the victim as a spouse, parent, or guardian, or by a person similarly
dress (no Post Office boxes) in item 2a. If the transferee is a trust or legal entity,
situated to a spouse, parent, or guardian of the victim. The term includes
show only the complete name of the trust or legal entity and do not include
all misdemeanors that have as an element the use or attempted use of
any individual names (such as names of trustees or corporate officials). The ad
physical force or the threatened use of a deadly weapon (e.g., assault and
dress shall be the location within the particular state where the firearm will be
battery), if the offense is committed by one of the defined parties. (See
maintained for a trust or legal entity. In the case of two or more locations for
Exception in the definition of “Prohibited Person”). A person who has
a legal entity, the address shown shall be the principal place of business within
been convicted of a misdemeanor crime of domestic violence also is not
the particular state (or principal office, in the case of a corporation).
prohibited unless: (1) the person was represented by a lawyer or gave up the
(2) If the transferee is an individual, the entire Form 4 shall be completed except for
right to a lawyer; or (2) if the person was entitled to a jury, was tried by a
items 18 and 19. In addition, the transferee must include his or her fingerprints on
jury, or gave up the right to a jury trial. Persons subject to this exception
FBI Form FD-258 and his or her photos (see instruction 2g).
should mark “no” in the applicable box.
(3) If the transferee is other than an individual, e.g., a trust or legal entity such as a
corporation, the transferee shall not complete items 14, 15,16, and 17. All other
r. Alien Admitted to the United States Under a Nonimmigrant Visa. An
items must be completed including the signing of the Transferee Certification
alien admitted to the United States under a nonimmigrant visa includes,
statement by the transferee.
among others, persons visiting the United States temporarily for business or
(4) Documentation of entity existence:
pleasure, persons studying in the United States who maintain a residence abroad,
(a)
If the transferee is other than an individual, the transferee must attach
and certain temporary foreign workers. These aliens must answer “yes” to
documentation evidencing the existence and validity of the entity, which
question 16.d.1 and provide the additional documentation required under
includes complete and unredacted copies of partnership agreements,
question 16.d.2. Permanent resident aliens and aliens legally admitted to the
articles of incorporation, corporate registration, declarations of trust with
United States pursuant either the Visa Waiver Program or to regulations
any trust schedules, attachments, exhibits, and enclosures.
otherwise exempting them from visa requirements may answer “no” to this
(b)
If the transferee entity has had an application approved as a maker or
question and are not required to submit the additional documentation under
transferee within the preceding 24 months of the date of filing this applica
16.d.2. An alien admitted to the United States under a nonimmigrant visa
tion, and there has been no change to the documentation evidencing the
is not prohibited from purchasing, receiving, or possessing a firearm if the
existence and validity of the entity previously provided, the entity may
alien: (1) is in possession of a hunting license or permit lawfully issued by the
provide a certification that the information has not been changed since the
Federal Government, a State, or local government, or an Indian tribe federally
prior approval and shall identify the application for which the documenta
recognized by the Bureau of Indian Affairs, which is valid and unexpired; (2)
tion had been submitted by form number, serial number, and date
was admitted to the United States for lawful hunting or sporting purposes; (3) is
approved.
an official representative of a foreign government who is accredited to the United
(5) If the transferee is other than an individual, each responsible person of the trust or
States Government or the Government’s mission to an international organization
ATF E-Form 4 (5320.4)
Revised November 2018