ATF Form 5300.9 Atf Form 4473 - Firearms Transaction Record

What Is the ATF Form 4473?

ATF Form 4473, Firearms Transaction Record - also known as the ATF E-Form 4473 or the ATF Form 5300.9 - is a form used to determine whether the person purchasing a firearm from a Federal Firearm Licence (FFL) holder is allowed to own a firearm. The most recent version of the ATF firearms transaction form was issued by the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) in October 2016.

Sellers fill out the form when transferring a firearm. Until the form is processed, the firearm cannot be transferred to the buyer. This form has an equivalent in Spanish (Registro de Transacción de Armas de Fuego) and a related ATF Form 3310.4 (Report of Multiple Sale or Other Disposition of Pistols and Revolvers) that firearms dealers must fill out if they have sold two or more handguns to a single buyer.

How to Order ATF Form 4473?

The form is provided free of charge via the ATF Distribution Center. Provide your name, phone number, email, your mailing address and choose the type of the desired document. Then choose the required form number and enter the desired quantity of documents. The forms should be ordered in advance for an estimated 6 months use. The ATF phone to re-order copies of the ATF Form 4473 is (703) 870-7526 or (703) 870-7528.

Alternatively, an ATF Form 4473 fillable version is available for download below.

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OMB No. 1140-0020
U.S. Department of Justice
Firearms Transaction Record
Bureau of Alcohol, Tobacco, Firearms and Explosives
WARNING: You may not receive a firearm if prohibited by Federal or State law. The information you provide will be used to
Transferor's/
determine whether you are prohibited from receiving a firearm. Certain violations of the Gun Control Act, 18 U.S.C. 921 et. seq.,
Seller's
are punishable by up to 10 years imprisonment and/or up to a $250,000 fine.
Transaction Serial
Number (If any)
Read the Notices, Instructions, and Definitions on this form. Prepare in original only at the licensed premises ("licensed premises"
includes business temporarily conducted from a qualifying gun show or event in the same State in which the licensed premises is
located) unless the transaction qualifies under 18 U.S.C. 922(c). All entries must be handwritten in ink. "PLEASE PRINT."
Section A - Must Be Completed Personally By Transferee/Buyer
1. Transferee's/Buyer's Full Name (If legal name contain an initial only, record "IO" after the initial. If no middle initial or name, record "NMN".)
Last Name (Including suffix (e.g., Jr, Sr, II, III))
First Name
Middle Name
2. Current State of Residence and Address (U.S. Postal abbreviations are acceptable. Cannot be a post office box.)
Number and Street Address
City
County
State ZIP Code
3. Place of Birth
4. Height
5. Weight
6. Sex
7. Birth Date
(LBs.)
-OR- Foreign Country
Male
U.S. City and State
Ft.
Month
Day
Year
In.
Female
8. Social Security Number (Optimal, but will help prevent misidentification)
9. Unique Personal Identification Number (UPIN) if applicable (See
Instructions for Question 9.)
10.a. Ethnicity
10.b. Race (In addition to ethnicity, select one or more race in 10.b. Both 10.a. and 10.b. must be answered.)
American Indian or Alaska Native
Hispanic or Latino
Black or African American
White
Asian
Not Hispanic or Latino
Native Hawaiian or Other Pacific Islander
11. Answer the following questions by checking or marking "yes" or "no" in the boxes to the right of the questions.
Yes No
a. Are you the actual transferee/buyer of the firearm(s) listed on this form? Warning: You are not the actual transferee/buyer if you are
acquiring the firearm(s) on behalf of another person. If you are not the actual transferee/buyer, the licensee cannot transfer the
firearm(s) to you. Exception: If you are picking up a repaired firearm(s) for another person, you are not required to answer 11.a. and may
proceed to question 11.b. (See Instructions for Question 11.b.)
b. 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 Instructions for Question 11.b.)
c. Have you ever been convicted in any court of 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 Instructions for Question 11.c.)
d. Are you a fugitive from justice? (See Instructions for Question 11.d.)
e. 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 recreational purposes in the state where you reside.
f. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental institution? (See Instructions for Question
11.f.)
g. Have you been discharged from the Armed Forces under dishonorable conditions?
h. 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 Instructions for Question 11.h.)
i. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See Instructions for Question 11.i.)
12.a. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.)
United States of America (U.S.A.)
Other Country/Countries (Specify)
Yes No
12.b. Have you ever renounced your United States citizenship?
12.c. Are you an alien illegally or unlawfully in the United States?
12.d.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa? (See Instructions for Question 12.d.)
12.d.2. If "yes", do you fall within any of the exceptions stated in the instructions?
N/A
13. If you are an alien, record your U.S.-Issued Alien or Admission number (AR#, USCIS#, or I94#):
Previous Editions Are Obsolete
Transferee/Buyer Continue to Next Page
STAPLE IF PAGES BECOME SEPARATED
Page 1 of 6
ATF E-Form 4473 (5300.9)
Revised October 2016
OMB No. 1140-0020
U.S. Department of Justice
Firearms Transaction Record
Bureau of Alcohol, Tobacco, Firearms and Explosives
WARNING: You may not receive a firearm if prohibited by Federal or State law. The information you provide will be used to
Transferor's/
determine whether you are prohibited from receiving a firearm. Certain violations of the Gun Control Act, 18 U.S.C. 921 et. seq.,
Seller's
are punishable by up to 10 years imprisonment and/or up to a $250,000 fine.
Transaction Serial
Number (If any)
Read the Notices, Instructions, and Definitions on this form. Prepare in original only at the licensed premises ("licensed premises"
includes business temporarily conducted from a qualifying gun show or event in the same State in which the licensed premises is
located) unless the transaction qualifies under 18 U.S.C. 922(c). All entries must be handwritten in ink. "PLEASE PRINT."
Section A - Must Be Completed Personally By Transferee/Buyer
1. Transferee's/Buyer's Full Name (If legal name contain an initial only, record "IO" after the initial. If no middle initial or name, record "NMN".)
Last Name (Including suffix (e.g., Jr, Sr, II, III))
First Name
Middle Name
2. Current State of Residence and Address (U.S. Postal abbreviations are acceptable. Cannot be a post office box.)
Number and Street Address
City
County
State ZIP Code
3. Place of Birth
4. Height
5. Weight
6. Sex
7. Birth Date
(LBs.)
-OR- Foreign Country
Male
U.S. City and State
Ft.
Month
Day
Year
In.
Female
8. Social Security Number (Optimal, but will help prevent misidentification)
9. Unique Personal Identification Number (UPIN) if applicable (See
Instructions for Question 9.)
10.a. Ethnicity
10.b. Race (In addition to ethnicity, select one or more race in 10.b. Both 10.a. and 10.b. must be answered.)
American Indian or Alaska Native
Hispanic or Latino
Black or African American
White
Asian
Not Hispanic or Latino
Native Hawaiian or Other Pacific Islander
11. Answer the following questions by checking or marking "yes" or "no" in the boxes to the right of the questions.
Yes No
a. Are you the actual transferee/buyer of the firearm(s) listed on this form? Warning: You are not the actual transferee/buyer if you are
acquiring the firearm(s) on behalf of another person. If you are not the actual transferee/buyer, the licensee cannot transfer the
firearm(s) to you. Exception: If you are picking up a repaired firearm(s) for another person, you are not required to answer 11.a. and may
proceed to question 11.b. (See Instructions for Question 11.b.)
b. 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 Instructions for Question 11.b.)
c. Have you ever been convicted in any court of 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 Instructions for Question 11.c.)
d. Are you a fugitive from justice? (See Instructions for Question 11.d.)
e. 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 recreational purposes in the state where you reside.
f. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental institution? (See Instructions for Question
11.f.)
g. Have you been discharged from the Armed Forces under dishonorable conditions?
h. 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 Instructions for Question 11.h.)
i. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See Instructions for Question 11.i.)
12.a. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.)
United States of America (U.S.A.)
Other Country/Countries (Specify)
Yes No
12.b. Have you ever renounced your United States citizenship?
12.c. Are you an alien illegally or unlawfully in the United States?
12.d.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa? (See Instructions for Question 12.d.)
12.d.2. If "yes", do you fall within any of the exceptions stated in the instructions?
N/A
13. If you are an alien, record your U.S.-Issued Alien or Admission number (AR#, USCIS#, or I94#):
Previous Editions Are Obsolete
Transferee/Buyer Continue to Next Page
STAPLE IF PAGES BECOME SEPARATED
Page 1 of 6
ATF E-Form 4473 (5300.9)
Revised October 2016
I certify that my answers in Section A are true, correct, and complete. I have read and understand the Notices, Instructions, and Definitions on ATF
Form 4473. I understand that answering "yes" to question 11.a. if I am not the actual transferee/buyer is a crime punishable as a felony under
Federal law, and may also violate State and/or local law. I understand that a person who answers "yes" to any of the questions 11.b. through 11.i
and/or 12.b. through 12.c. is prohibited from purchasing or receiving a firearm. I understand that a person who answers "yes" to question 12.d.1. is
prohibited from receiving or possessing a firearm, unless the person answers "yes" to question 12.d.2. and provides the documentation required in
18.c. I also understand that making any false oral or written statement, or exhibiting any false or misrepresented identification with respect to this
transaction, is a crime punishable as a felony under Federal law, and may also violate State and/or local law. I further understand that the repetitive
purchase of firearms for the purpose of resale for livelihood and profit without a Federal firearms license is a violation of Federal law. (See
Instructions for Question 14.)
14. Transferee's/Buyer's Signature
15. Certification Date
Section B - Must Be Completed By Transferor/Seller
16. Type of firearm(s) to be transferred (check or mark all that apply):
17. If transfer is at a qualifying gun show or event:
Long Gun
Other Firearm (frame, receiver, etc,
Name of Function:
Handgun
(rifles or
See Instructions for Question 16.)
City, State:
shotguns)
18.a. Identification (e.g., Virginia Driver's license (VA DL) or other valid government-issued photo identification.) (See Instructions for Question 18.a.)
Issuing Authority and Type of Identification
Number on Identification
Expiration Date of Identification (if any)
Year
Month
Day
18.b. Supplemental Government Issued Documentation (if identification document does not show current residence address) (See Instructions for Question
18.b.)
18.c. Exception to the Nonimmigrant Alien Prohibition: If the transferee/buyer answered "YES" to 12.d.2. the transferor/seller must record the type of
documentation showing the exception to the prohibition and attach a copy to this ATF Form 4473. (See Instructions for Question 18.c.)
Questions 19, 20, or 21 Must Be Completed Prior To The Transfer Of The Firearm(s) (See Instructions for Questions 19, 20 and 21.)
19.a. Date the transferee's/buyer's identifying information in Section A was
19.b. The NICS or State transaction number (if provided) was:
transmitted to NICS or the appropriate State agency:
Month
Day
Year
19.c. The response initially (first) provided by NICS or the appropriate State
19.d. The following response(s) was/were later received from NICS or the
agency was:
appropriate State agency:
Proceed
(date)
Proceed
Delayed
Overturned
Denied
(date)
Denied
[The firearm(s) may be transferred on
Cancelled
(date)
Cancelled
if State law permits (optional)]
No response was provided within 3 business days.
19.e. (Complete if applicable.) After the firearm was transferred, the following response was received from NICS or the appropriate State agency on:
(date).
Proceed
Denied
Cancelled
19.f. The name and Brady identification number of the NICS examiner. (Optional)
19.g. Name of FFL Employee Completing NICS check. (Optional)
(name)
(number)
20.
No NICS check was required because a background check was completed during the NFA approval process on the individual who will receive the
NFA firearm(s), as reflected on the approved NFA application. (See Instructions for Question 20.)
21.
No NICS check was required because the transferee/buyer has a valid permit from the Sate where the transfer is to take place, which qualifies as an
exemption to NICS. (See Instructions for Question 21.)
Issuing State and Permit Type
Date of Issuance (if any)
Expiration Date (if any)
Permit Number (if any)
Section C - Must Be Completed Personally By Transferee/Buyer
If the transfer of the firearm(s) takes place on a different day from the date that the transferee/buyer signed Section A, the transferee/buyer must complete
Section C immediately prior to the transfer of the firearm(s). (See Instructions for Question 22 and 23.)
I certify that my answers to the questions in Section A of this form are still true, correct, and complete.
22. Transferee's/Buyer's Signature
23. Recertification Date
Transferor/Seller Continue to Next Page
ATF E-Form 4473 (5300.9)
STAPLE IF PAGES BECOME SEPARATED
Page 2 of 6
Revised October 2016
Section D - Must Be Completed By Transferor/Seller Even If The Firearm(s) is Not Transferred
24.
25.
26.
27.
28.
Manufacturer and Importer (If any) (If the
Model
Serial Number
Type (See Instructions
Caliber or
manufacturer and importer are different,
(If Designated)
for Question 27.)
Gauge
the FFL must include both.)
1.
2.
3.
4.
REMINDER - By the Close of Business Complete ATF Form 3310.4 For Multiple Purchases of Handguns Within 5 Consecutive Business Days
29. Total Number of Firearms Transferred (Please handwrite by printing e.g., zero, one,
30. Check if any part of this transaction is a pawn redemption.
two, three, etc. Do not use numerals.)
Line Number(s) From Question 24 Above:
31. For Use by Licensee (See Instructions for Question 31.)
32. Check if this transaction is to facilitate a private part transfer.
(See Instructions for Question 32.)
33. Trade/corporate name and address of transferor/seller and Federal Firearm License Number ( Must contain at least first three and last five digits of FFL
Number X-XX-XXXXX.) (Hand stamp may be used.)
The Person Transferring The Firearm(s) Must Complete Questions 34-37.
For Denied/Cancelled Transactions, the Person Who Completed Section B Must Complete Questions 34-36.
I certify that: (1) I have read and understand the Notices, Instructions, and Definitions on this ATF Form 4473; (2) the information recorded in
Sections B and D is true, correct, and complete; and (3) this entire transaction record has been completed at my licensed business premises ("licensed
premises" includes business temporarily conducted from a qualifying gun show or event in the same State in which the licensed premises is located)
unless this transaction has met the requirements of 18 U.S.C. 922(c). Unless this transaction has been denied or cancelled, I further certify on the
basis of — (1) the transferee's/buyer's responses in Section A (and Section C, if applicable); (2) my verification of the identification recorded in
question 18 (and my re-verification at the time of transfer, if Section C was completed); and (3) State or local law applicable to the firearms business
— it is my belief that it is not unlawful for me to sell, deliver, transport, or otherwise dispose of the firearm(s) listed on this form to the person
identified in Section A.
34. Transferor's/Seller's Name (Please print)
35. Transferor's/Seller's Signature
36. Transferor's/Seller's Title
37. Date Transferred
NOTICES, INSTRUCTIONS, AND DEFINITIONS
FORMS 4473 FOR DENIED/CANCELLED TRANSFERS MUST BE RETAINED:
If the transfer of a firearm is denied/cancelled by NICS, or if for any other reason the
Purpose of the Form: The information and certification on this form are designed
transfer is not completed after a NICS check is initiated, the licensee must retain the
so that a person licensed under 18 U.S.C. 923 may determine if he/she may
ATF Form 4473 in his/her records for at least 5 years. Forms 4473 with respect to
lawfully sell or deliver a firearm to the person identified in Section A, and to alert
which a sale, delivery, or transfer did not take place shall be separately retained in
the transferee/buyer of certain restrictions on the receipt and possession of
alphabetical (by name of transferee) or chronological (by date of transferee's
firearms. The transferor/seller of a firearm must determine the lawfulness of the
certification) order.
transaction and maintain proper records of the transaction. Consequently, the
transferor/seller must be familiar with the provisions of 18 U.S.C. 921-931 and the
If the transferor/seller or the transferee/buyer discovers that an ATF Form 4473 is
regulations in 27 CFR Parts 478 and 479. In determining the lawfulness of the sale
incomplete or improperly completed after the firearm has been transferred, and the
or delivery of a rifle or shotgun to a resident of another State, the
transferor/seller or the transferee/buyer wishes to correct the omission(s) or
transferor/seller is presumed to know the applicable State laws and published
error(s), photocopy the inaccurate form and make any necessary additions or
ordinances in both the transferor's/seller's State and the transferee's/buyer's State.
revisions to the photocopy. The transferor/seller should only make changes to
(See ATF Publication 5300.5, State Laws and Published Ordinances.)
Sections B and D. The transferee/buyer should only make changes to Section A and
C. Whoever made the changes should initial and date the changes. The corrected
Generally, ATF Form 4473 must be completed at the licensed business premises
photocopy should be attached to the original Form 4473 and retained as part of the
when a firearm is transferred over-the-counter. Federal law, 18 U.S.C. 922(c),
transferor's/seller's permanent records.
allows a licensed importer, manufacturer, or dealer to sell a firearm to a
nonlicensee who does not appear in person at the licensee's business premises only
Exportation of Firearms: The State or Commerce Departments may require a
if the transferee/buyer meets certain requirements. These requirements are set
firearms exporter to obtain a license prior to export. Warning: Any person who
forth in section 922(c), 27 CFR 478.96(b), and ATF Procedure 2013-2.
exports a firearm without proper authorization may be fined not more than
$1,000,000 and/or imprisoned for not more than 20 years. See 22 U.S.C. 2778(c).
After the transferor/seller has completed the firearms transaction, he/she must
make the completed, original ATF Form 4473 (which includes the Notices,
Section A
General Instructions, and Definitions), and any supporting documents, part of his/
her permanent records. Such Forms 4473 must be retained for at least 20 years and
The transferee/buyer must personally complete Section A of this form and certify
after that period may be submitted to ATF. Filing may be chronological (by date
(sign) that the answers are true, correct, and complete. However, if the transferee/
of disposition), alphabetical (by name of purchaser), or numerical (by transaction
buyer is unable to read and/or write, the answers (other than the signature) may be
serial number), as long as all of the transferor's/seller's completed Forms 4473 are
completed by another person, excluding the transferor/seller. Two persons (other
filed in the same manner.
than the transferor/seller) must then sign as witnesses to the transferee's/buyer's
answers and signature/certification in question 14.
Page 3 of 6
ATF E-Form 4473 (5300.9)
Revised October 2016
When the transferee/buyer of a firearm is a corporation, company, association,
ACTUAL TRANSFEREE/BUYER of the firearm and must answer "NO" to
partnership, or other such business entity, an officer authorized to act on behalf
question 11.a. The licensee may not transfer the firearm to Mr. Jones. However, if
of the business must complete Section A of the form with his/her personal
Mr. Brown buys the firearm with his own money to give to Mr. Black as a gift (with
information, sign Section A, and attach a written statement, executed under
no service or tangible thing of value provided by Mr. Black), Mr. Brown is the actual
penalties of perjury, stating: (A) the firearm is being acquired for the use of and
transferee/buyer of the firearm and should answer "YES" to question 11.a. However,
will be the property of that business entity; and (B) the name and address of that
the transferor/seller may not transfer a firearm to any person he/she knows or has
business entity.
reasonable cause to believe is prohibited under 18 U.S.C. 922(g), (n) or (x).
EXCEPTION: If a person is picking up a repaired firearm(s) for another person,
Question 1. If the transferee's/buyer's name in question 1 is illegible, the
he/she is not required to answer 11.a. and may proceed to question 11.b.
transferor/seller must print the transferee's/buyer's name above the name written by
the transferee/buyer.
Question 11.b. - 12. Generally, 18 U.S.C. 922(g) prohibits the shipment,
Question 2. Current Residence Address: A rural route (RR) may be accepted
transportation, receipt, or possession in or affecting interstate commerce of a firearm
provided the transferee/buyer lives in a State or locality where it is considered a
by one who: has been convicted of a felony in any Federal, State or local court, or
legal residence address. County and Parish are one and the same.
any other crime, punishable by imprisonment for a term exceeding one year (this does
not include State misdemeanors punishable by imprisonment of two years or less);
If the transferee/buyer is a member of the Armed Forces on active duty, his/her
is a fugitive from justice; is an unlawful user of, or addicted to, marijuana or any
State of residence is the State in which his/her permanent duty station is located. If
depressant, stimulant, or narcotic drug, or any other controlled substance; has been
the service member is acquiring a firearm in a State where his/her permanent duty
adjudicated as a mental defective or has been committed to a mental institution; has
station is located, but resides in a different State, the transferee/buyer must list both
been discharged from the Armed Forces under dishonorable conditions; is subject to
his/her permanent duty station address and his/her residence address in response to
certain restraining orders; convicted of a misdemeanor crime of domestic violence
question 2. If the transferee/buyer has two States of residence, the transferee/
under Federal, State or Tribal law; has renounced his/her U.S. citizenship; is an alien
buyer should list his/her current residence address in response to
illegally in the United States or an alien admitted to the United States under a
question 2 (e.g., if the transferee/buyer is purchasing a firearm while staying at
nonimmigrant visa. Furthermore, section 922(n) prohibits the shipment,
his/her weekend home in State X, he/she should list the address in State X in
transportation, or receipt in or affecting interstate commerce of a firearm by one who
response to question 2).
is under indictment or information for a felony in any Federal, State or local court, or
any other crime, punishable by imprisonment for a term exceeding one year. An
Question 9. Unique Personal Identification Number (UPIN): For transferees/
information is a formal accusation of a crime verified by a prosecutor.
buyers approved to have information maintained about them in the FBI NICS
Voluntary Appeal File, NICS will provide them with a UPIN, which the transferee/
buyer should record in question 9. The licensee should provide the UPIN when
A member of the Armed Forces must answer "yes" to 11.b. or 11.c. if charged with an
conducting background checks through the NICS or the State POC.
offense that was either referred to a General Court Martial, or at which the member
was convicted. Discharged "under dishonorable conditions" means separation from
Question 10.a. and 10.b. Federal regulations (27 CFR 478.124(c)(1)) require
the Armed Forces resulting from a dishonorable discharge or dismissal adjudged by a
licensees to obtain the race of the transferee/buyer. This information helps the FBI
General Court-Martial. That term does not include any other discharge or separation
and/or State POC make or rule out potential matches during the background check
from the Armed Forces.
process and can assist with criminal investigations. Pursuant to Office of
Management and Budget (OMB), effective January 1, 2003, all Federal agencies
requiring collection of race and ethnicity information on administrative forms and
EXCEPTION: A person who has been convicted of a felony, or any other crime, for
records, were required to collect this information in a standard format. (See 62 FR
which the judge could have imprisoned the person for more than one year, or who has
58782) The standard OMB format consists of two categories for data on ethnicity:
been convicted of a misdemeanor crime of domestic violence, is not prohibited from
"Hispanic or Latino," and "Not Hispanic or Latino" and five categories for data on
purchasing, receiving, or possessing a firearm if: (1) under the law of the jurisdiction
race: American Indian or Alaska Native, Asian, Black or African American,
where the conviction occurred, the person has been pardoned, the conviction has been
Native Hawaiian or Other Pacific Islander, and White.
expunged or set aside, or the person has had their civil rights (the right to vote, sit on
a jury, and hold public office) taken away and later restored, AND (2) the person is
Ethnicity refers to a person's heritage. Persons of Cuban, Mexican, Puerto Rican,
not prohibited by the law of the jurisdiction where the conviction occurred from
South or Central American, or other Spanish culture or origin, regardless of race,
receiving or possessing firearms. Persons subject to this exception, or who receive
are considered Hispanic or Latino.
relief from disabilities under 18 U.S.C. 925(c), should answer "no" to the applicable
question.
Race - one or more of the following responses must be selected: (1) American
Indian or Alaska Native - A person having origins in any of the original peoples of
North and South America (including Central America), and who maintains a tribal
Question 11.d. Fugitive from Justice: Any person who has fled from any State to
affiliation or community attachment; (2) Asian - A person having origins in any of
avoid prosecution for a felony or a misdemeanor; or any person who leaves the State
the original peoples of the Far East, Southeast Asia, or the Indian subcontinent
to avoid giving testimony in any criminal proceeding. The term also includes any
including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan,
person who knows that misdemeanor or felony charges are pending against such
the Philippine Islands, Thailand, and Vietnam; (3) Black or African American - A
person and who leaves the State of prosecution.
person having origins in any of the Black racial groups of Africa; (4) Native
Hawaiian or Other Pacific Islander - A person having origins in any of the original
Question 11.f. Adjudicated as a Mental Defective: A determination by a court,
peoples of Hawaii, Guam, Samoa, or other Pacific Islands; and (5) White - A
board, commission, or other lawful authority that a person, as a result of marked
person having origins in any of the original peoples of Europe, the Middle East, or
subnormal intelligence, or mental illness, incompetency, condition, or disease: (1) is
North Africa. Any other race or ethnicity that does not fall within those indicated,
a danger to himself or to others; or (2) lacks the mental capacity to contract or
please select the closest representation.
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 or found not
Question 11.a. Actual Transferee/Buyer: For purposes of this form, a person is
guilty by reason of lack of mental responsibility.
the actual transferee/buyer if he/she is purchasing the firearm for him/herself or
otherwise acquiring the firearm for him/herself. (e.g., redeeming the firearm from
Committed to a Mental Institution: A formal commitment of a person to a mental
pawn, retrieving it from consignment, firearm raffle winner). A person is also the
institution by a court, board, commission, or other lawful authority. The term
actual transferee/buyer if he/she is legitimately purchasing the firearm as a bona
includes a commitment to a mental institution involuntarily. The term includes
fide gift for a third party. A gift is not bona fide if another person offered or gave
commitment for mental defectiveness or mental illness. It also includes commitments
the person completing this form money, service(s), or item(s) of value to acquire
for other reasons, such as for drug use. The term does not include a person in a
the firearm for him/her, or if the other person is prohibited by law from receiving
mental institution for observation or a voluntary admission to a mental institution.
or possessing the firearm.
EXCEPTION: Under the NICS Improvement Amendments Act of 2007, a person
Actual TRANSFEREE/buyer examples: Mr. Smith asks Mr. Jones to purchase
who has been adjudicated as a mental defective or committed to a mental institution
a firearm for Mr. Smith (who may or may not be prohibited). Mr. Smith gives Mr.
in a State proceeding is not prohibited by the adjudication or commitment if
Jones the money for the firearm. Mr. Jones is NOT THE
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ATF E-Form 4473 (5300.9)
Revised October 2016
the person has been granted relief by the adjudicating/committing State pursuant to
objective of livelihood and profit through the repetitive purchase and resale of
a qualifying mental health relief from disabilities program. Also, a person who has
firearms. A license is not required of a person who only makes occasional sales,
been adjudicated as a mental defective or committed to a mental institution by a
exchanges, or purchases of firearms for the enhancement of a personal
department or agency of Federal Government is not prohibited by the adjudication
collection or for a hobby, or who sells all or part of his/her personal collection
or commitment if either: (a) the person's adjudication or commitment was set-aside
of firearms.
or expunged by the adjudicating/committing agency; (b) the person has been fully
Section B
released or discharged from all mandatory treatment, supervision, or monitoring by
the agency; (c) the person was found by the agency to no longer suffer from the
Question 16. Type of Firearm(s): "Other" refers to frames, receivers and
mental health condition that served as the basis of the initial adjudication/
other firearms that are neither handguns nor long guns (rifles or shotguns), such
commitment; or (d) the adjudication or commitment, respectively, is based solely
as firearms having a pistol grip that expel a shotgun shell, or National Firearms
on a medical finding of disability, without an opportunity for a hearing by a court,
Act (NFA) firearms, including silencers.
board, commission, or other lawful authority, and the person has not been
adjudicated as a mental defective consistent with section 922(g)(4) of title 18,
If a frame or receiver can only be made into a long gun (rifle or shotgun), it is
United States Code; (e) the person was granted relief from the adjudicating/
still a frame or receiver not a handgun or long gun. However, frames and
committing agency pursuant to a qualified mental health relief from disabilities
receivers are still "firearms" by definition, and subject to the same GCA
program. Persons who fall within one of the above exceptions should answer
limitations as any other firearms. See Section 921(a)(3)(B). Section 922(b)(1)
"no" to question 11.f. This exception to an adjudication or commitment by a
makes it unlawful for a licensee to sell any firearm other than a shotgun or rifle
Federal department or agency does not apply to any person who was adjudicated
to any person under the age of 21. Since a frame or receiver for a firearm, to
to be not guilty by reason of insanity, or based on lack of mental responsibility, or
include one that can only be made into a long gun, is a "firearm other than a
found incompetent to stand trial, in any criminal case or under the Uniform Code
shotgun or rifle," it cannot be transferred to anyone under the age of 21, nor can
of Military Justice.
these firearms be transferred to anyone who is not a resident of the State where
the transfer is to take place. Also, note that multiple sales forms are not
required for frames or receivers of any firearms, or pistol grip shotguns, since
Question 11.h. Qualifying Restraining Orders: Under 18 U.S.C. 922, firearms
they are not "pistols or revolvers" under Section 923(g)(3)(A).
may not be sold to or received by persons subject to a court order that: (A) was
Question 17. Qualifying Gun Show or Event: As defined in 27 CFR
issued after a hearing which the person received actual notice of and had an
opportunity to participate in; (B) restrains such person from harassing, stalking, or
478.100, a gun show or event is a function sponsored by any national, State, or
threatening an intimate partner or child of such intimate partner or person, or
local organization, devoted to the collection, competitive use, or other sporting
engaging in other conduct that would place an intimate partner in reasonable fear
use of firearms, or an organization or association that sponsors functions
of bodily injury to the partner or child; and (C)(i) includes a finding that such
devoted to the collection, competitive use, or other sporting use of firearms in
person represents a credible threat to the physical safety of such intimate partner or
the community.
child; or (ii) by its terms explicitly prohibits the use, attempted use, or threatened
use of physical force against such intimate partner or child that would reasonably
Question 18.a. Identification: Before a licensee may sell or deliver a firearm
be expected to cause bodily injury. An "intimate partner" of a person is: the
to a nonlicensee, the licensee must establish the identity, place of residence, and
spouse or former spouse of the person, the parent of a child of the person, or an
age of the transferee/buyer. The transferee/buyer must provide a valid
individual who cohabitates or has cohabitated with the person.
government-issued photo identification document to the transferor/seller that
contains the transferee's/buyer's name, residence address, and date of birth. A
driver's license or an identification card issued by a State in place of a license is
Question 11.i. Misdemeanor Crime of Domestic Violence: A Federal, State,
acceptable. Social Security cards are not acceptable because no address, date of
local, or tribal offense that is a misdemeanor under Federal, State, or tribal law and
birth, or photograph is shown on the cards. A combination of government-
has, as an element, the use or attempted use of physical force, or the threatened use
issued documents may be provided. See instructions for question 18.b.
of a deadly weapon, committed by a current or former spouse, parent, or guardian
Supplemental Documentation.
of the victim, by a person with whom the victim shares a child in common, by a
If the transferee/buyer is a member of the Armed Forces on active duty
person who is cohabitating with, or has cohabited with the victim as a spouse,
acquiring a firearm in the State where his/her permanent duty station is located,
parent, or guardian, or by a person similarly situated to a spouse, parent, or
but he/she has a driver's license from another State, the transferor/seller should
guardian of the victim. The term includes all misdemeanors that have as an
list the transferee's/buyer's military identification card and official orders
element the use or attempted use of physical force or the threatened use of a deadly
showing where his/her permanent duty station is located in response to question
weapon (e.g., assault and battery), if the offense is committed by one of the
18.a. Licensees may accept electronic PCS orders to establish residency.
defined parties. (See Exception to 11.b. - 12.) A person who has been convicted of
a misdemeanor crime of domestic violence also is not prohibited unless: (1) the
Question 18.b. Supplemental Documentation: Licensees may accept a
person was represented by a lawyer or gave up the right to a lawyer; or (2) if the
combination of valid government-issued documents to satisfy the identification
person was entitled to a jury, was tried by a jury, or gave up the right to a jury trial.
document requirements of the law. The required valid government-issued photo
Persons subject to this exception should answer "no" to 11.i.
identification document bearing the name, photograph, and date of birth of
transferee/buyer may be supplemented by another valid, government-issued
Question 12.d. Immigration Status: An alien admitted to the United States
document showing the transferee's/buyer's residence address. This
under a nonimmigrant visa includes, among others, persons visiting the United
supplemental documentation should be recorded in question 18.b., with the
States temporarily for business or pleasure, persons studying in the United States
issuing authority and type of identification presented. For example, if the
who maintain a residence abroad, and certain temporary foreign workers. These
transferee/buyer has two States of residence and is trying to buy a handgun in
aliens must answer "yes" to this question and provide the additional documentation
State X, he may provide a driver's license (showing his name, date of birth, and
required under question 18.c. Permanent resident aliens and aliens legally
photograph) issued by State Y and another government-issued document (such
admitted to the United States pursuant to either the Visa Waiver Program or to
as a tax document) from State X showing his residence address. A valid
regulations otherwise exempting them from visa requirements may answer "no" to
electronic document from a government website may be used as supplemental
this question and are not required to submit the additional documentation under
documentation provided it contains the transferee's/buyer's name and current
question 18.c.
residence address.
Question 13. U.S.-issued Alien Number or Admission Number: U.S.-issued
Question 18.c. Exceptions to the Nonimmigrant Alien Prohibition and
alien and admission numbers may be found on the following U.S. Department of
Acceptable Documentation: An alien admitted to the United States under a
Homeland Security documents: Legal Resident Card or Employment
nonimmigrant visa is not prohibited from purchasing, receiving, or possessing a
Authorization Card (AR# or USCIS#); Arrival/Departure Record, Form I94, or
firearm if the alien: (1) is in possession of a hunting license or permit lawfully
Form 797A (I94#). Additional information can be obtained from www.cbp.gov. If
issued by the Federal Government, a State or local government, or an Indian
you are a U.S. citizen or U.S. national then this question should be left blank.
tribe federally recognized by the Bureau of Indian Affairs, which is valid and
unexpired; (2) was admitted to the United States for lawful hunting or sporting
Question 14. Under 18 U.S.C. 922(a)(1), it is unlawful for a person to engage in
purposes; (3) has received a waiver from the prohibition from the Attorney
the business of dealing in firearms without a license. A person is engaged in the
General of the United States; (4) is an official representative of a foreign
business of dealing in firearms if he/she devotes time, attention, and labor to
government who is accredited to the United States Government or the
dealing in firearms as a regular course of trade or business with the principal
Government's mission to an international organization having its
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ATF E-Form 4473 (5300.9)
Revised October 2016

Download ATF Form 5300.9 Atf Form 4473 - Firearms Transaction Record

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ATF Form 4473 Instructions

The information required on the form must be provided honestly and in full. The penalty for lying on the ATF Form 4473 is jail time for up to 5 years. The completed form is kept by the firearms dealer and should be provided to the ATF upon request.

Step-by-step instructions for completing the form can be found below.

How to Fill out ATF Form 4473?

  1. Section A. Filled by the transferee or buyer of the firearm.
    • Item 1, Transferee's/Buyer's Full Name. Self-explanatory;
    • Item 2, Current State of Residence and Address. Enter the address of your current place of residence. If you are a service member on active duty, enter the address of your permanent duty station. This item cannot contain a post office box address;
    • Item 3, Place of Birth. Enter the country where you were born. If you were born in the U.S., enter the state and the city;
    • Items 4 through 10b are self-explanatory;
    • Items 11 and 12. Answer questions by checking the applicable boxes;
    • Item 13. This item applies only to aliens. Enter your U.S.-Issued alien or admission number;
    • Items 14 and 15 are self-explanatory.
  2. Section B. Filled by a seller or transferor.
    • Item 16, Type of firearm(s) to be transferred. Check the applicable box;
    • Item 17. Enter the name of the function and the location it will take place at;
    • Item 18a, Identification. Enter the buyers' type of identification and its issuing agency, number and expiration date in applicable boxes;
    • Item 18b, Supplemental Government Issued Documentation. This item applies if the identification document provided by the buyer does not contain a current residence address. Enter the name of the provided supplemental document;
    • Item 18c, Exception to the Nonimmigrant Alien Prohibition. This item applies, if item 12.d.2 was answered positively. Provide the name of the documentation proving the exception from the prohibition and attach a copy to ATF Form 4473;
    • Item 19a, Date the transferee's/buyer's identifying information in Section A was transmitted to the NICS or the appropriate State agency. Enter the date when the information received from the buyer was provided to the National Instant Criminal Background Check (NICS);
    • Item 19b, The NICS or State transaction number. If NICS has provided a state transaction number, enter it here;
    • Item 19c, The response initially (first) provided by NICS or the appropriate State agency was. Check the applicable box;
    • Item 19d, The following response(s) was/were later received from the NICS or the appropriate State agency. If the NICS has responded within 3 business days, check the applicable box, specifying the received answer. If not, check the applicable box, indicating that the response was not received;
    • Item 19e, After the firearm was transferred, the following response was received from the NICS or the appropriate State agency. Enter the date of response and check the applicable box, specifying the response type;
    • Item 19f, Name and Brady identification number of the NICS examiner. Enter the name and number of the NICS examiner, if it is known;
    • Item 19g, Name of FFL Employee Completing NICS check. If known, provide the name of the FFL employee;
    • Items 20 and 21. Check the boxes in case they apply.
  3. Section C. Completed by the buyer.
  4. Section D. Completed by the firearms dealer, even if the firearms are not transferred.
    • Item 24 through 29. Describe the transferred firearms;
    • Item 29, Total Number of Firearms Transferred. Enter the total amount transferred to the buyer;
    • Item 30. Check the box, if it applies;
    • Item 31. Enter the name of the licensee;
    • Item 32. Check the box, if the transaction will facilitate a private party transfer;
    • Item 33, Trade/corporate name and address of transferor/seller and Federal Firearm License Number. Enter your trade or corporate name and address and the number of your FFL;
    • Item 34 through 37. Self-explanatory.

How Long Does the ATF Keep Form 4473?

The completed forms are kept by the dealer for 20 years if the sale was completed and for 5 years, if the sale was disapproved after a NICS check. After that period the forms are submitted to the ATF. The ATF can request a copy of the form from the dealer during a criminal investigation.

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