ATF Form 4473 "Firearms Transaction Record"

What Is ATF Form 4473?

This is a legal form that was released by the U.S. Department of Justice - Bureau of Alcohol, Tobacco, Firearms and Explosives on May 1, 2020 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.

Form Details:

  • Released on May 1, 2020;
  • The latest available edition released by the U.S. Department of Justice - Bureau of Alcohol, Tobacco, Firearms and Explosives;
  • Easy to use and ready to print;
  • Yours to fill out and keep for your records;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a fillable version of ATF Form 4473 by clicking the link below or browse more documents and templates provided by the U.S. Department of Justice - Bureau of Alcohol, Tobacco, Firearms and Explosives.

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Download ATF Form 4473 "Firearms Transaction Record"

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OMB No. 1140-0020
U.S. Department of Justice
Firearms Transaction Record
Bureau of Alcohol, Tobacco, Firearms and Explosives
WARNING: The information you provide will be used to determine whether you are prohibited by Federal or State law from receiving
Transferor’s/Seller’s
a firearm. Certain violations of the Gun Control Act, 18 U.S.C. 921 et. seq., are punishable by up to 10 years imprisonment and/or up to a
Transaction Serial
$250,000 fine. Any person who exports a firearm without a proper authorization from either the Department of Commerce or the
Number (if any)
Department of State, as applicable, is subject to a fine of not more than $1,000,000 and up to 20 years imprisonment.
Read the Notices, Instructions, and Definitions on this form. Prepare in original only at the licensed premises (including business
temporarily conducted from a qualifying gun show or event in the same State in which the premises is located) unless the transaction
qualifies under 18 U.S.C. 922(c). All entries must be handwritten in ink unless completed under ATF Rul. 2016-2. PLEASE PRINT.
Section A - Must Be Completed By Transferor/Seller Before Transferee/Buyer Completes Section B
1.
2.
3.
4.
5.
Manufacturer and Importer (if any)
Model
Serial Number
Type
Caliber or
(If the manufacturer and importer are
(if designated)
Gauge
different, include both.)
1.
2.
3.
6. Total Number of Firearms to be Transferred (Please spell total number e.g.,
7. Check if any part of this transaction is a pawn redemption.
one, two, etc. Do not use numerals.)
Record Line Number(s) From Question 1:
8. Check if this transaction is to facilitate a private party transfer.
Section B - Must Be Completed Personally By Transferee/Buyer
9. Transferee’s/Buyer’s Full Name (If legal name contains an initial only, record the initial followed by “IO” in quotes. If no middle initial or name, record “NMN”.)
Last Name (including suffix, e.g., Jr, Sr, II, III)
First Name
Middle Name
10. Current State of Residence and Address (U.S. postal abbreviations are acceptable. Cannot be a post office box.)
Number and Street Address
City
State
ZIP Code
County/Parish/Borough
11. Place of Birth
12. Height
13. Weight
14. Sex
15. Birth Date
Male
(lbs.)
U.S. City and State
-OR-
Foreign Country
Month
Day
Year
Ft.
Female
In.
Non-Binary
16. Social Security Number (optional, but will help prevent misidentification)
17. Unique Personal Identification Number (UPIN) or Appeals Management
Database Identification (AMD ID) (if applicable)
18.a. Ethnicity
18.b. Race (Select one or more race in 18.b. Both 18.a. and 18.b. must be answered.)
Hispanic or Latino
American Indian or Alaska Native
Black or African American
White
Not Hispanic or Latino
Asian
Native Hawaiian or Other Pacific Islander
19. 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):
20. If you are an alien, record your U.S.-issued alien or admission number (AR#, USCIS#, or I94#):
21. Answer the following questions by checking or marking either the “yes” or “no” box to the right of the questions:
Yes No
a. Are you the actual transferee/buyer of the firearm(s) listed on this form and any continuation sheet(s) (ATF Form 5300.9A)?
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 only picking up a repaired
firearm(s) for another person, you are not required to answer 21.a. and may proceed to question 21.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, or are you a current member of the military who has been charged with violation(s) of the Uniform Code of Military
Justice and whose charge(s) have been referred to a general court-martial?
c. Have you ever been convicted in any court, including a military 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?
d. Are you a fugitive from justice?
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.
Previous Editions Are Obsolete
ATF Form 4473 (5300.9)
STAPLE IF PAGES BECOME SEPARATED
Revised May 2020
Page 1 of 6
OMB No. 1140-0020
U.S. Department of Justice
Firearms Transaction Record
Bureau of Alcohol, Tobacco, Firearms and Explosives
WARNING: The information you provide will be used to determine whether you are prohibited by Federal or State law from receiving
Transferor’s/Seller’s
a firearm. Certain violations of the Gun Control Act, 18 U.S.C. 921 et. seq., are punishable by up to 10 years imprisonment and/or up to a
Transaction Serial
$250,000 fine. Any person who exports a firearm without a proper authorization from either the Department of Commerce or the
Number (if any)
Department of State, as applicable, is subject to a fine of not more than $1,000,000 and up to 20 years imprisonment.
Read the Notices, Instructions, and Definitions on this form. Prepare in original only at the licensed premises (including business
temporarily conducted from a qualifying gun show or event in the same State in which the premises is located) unless the transaction
qualifies under 18 U.S.C. 922(c). All entries must be handwritten in ink unless completed under ATF Rul. 2016-2. PLEASE PRINT.
Section A - Must Be Completed By Transferor/Seller Before Transferee/Buyer Completes Section B
1.
2.
3.
4.
5.
Manufacturer and Importer (if any)
Model
Serial Number
Type
Caliber or
(If the manufacturer and importer are
(if designated)
Gauge
different, include both.)
1.
2.
3.
6. Total Number of Firearms to be Transferred (Please spell total number e.g.,
7. Check if any part of this transaction is a pawn redemption.
one, two, etc. Do not use numerals.)
Record Line Number(s) From Question 1:
8. Check if this transaction is to facilitate a private party transfer.
Section B - Must Be Completed Personally By Transferee/Buyer
9. Transferee’s/Buyer’s Full Name (If legal name contains an initial only, record the initial followed by “IO” in quotes. If no middle initial or name, record “NMN”.)
Last Name (including suffix, e.g., Jr, Sr, II, III)
First Name
Middle Name
10. Current State of Residence and Address (U.S. postal abbreviations are acceptable. Cannot be a post office box.)
Number and Street Address
City
State
ZIP Code
County/Parish/Borough
11. Place of Birth
12. Height
13. Weight
14. Sex
15. Birth Date
Male
(lbs.)
U.S. City and State
-OR-
Foreign Country
Month
Day
Year
Ft.
Female
In.
Non-Binary
16. Social Security Number (optional, but will help prevent misidentification)
17. Unique Personal Identification Number (UPIN) or Appeals Management
Database Identification (AMD ID) (if applicable)
18.a. Ethnicity
18.b. Race (Select one or more race in 18.b. Both 18.a. and 18.b. must be answered.)
Hispanic or Latino
American Indian or Alaska Native
Black or African American
White
Not Hispanic or Latino
Asian
Native Hawaiian or Other Pacific Islander
19. 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):
20. If you are an alien, record your U.S.-issued alien or admission number (AR#, USCIS#, or I94#):
21. Answer the following questions by checking or marking either the “yes” or “no” box to the right of the questions:
Yes No
a. Are you the actual transferee/buyer of the firearm(s) listed on this form and any continuation sheet(s) (ATF Form 5300.9A)?
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 only picking up a repaired
firearm(s) for another person, you are not required to answer 21.a. and may proceed to question 21.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, or are you a current member of the military who has been charged with violation(s) of the Uniform Code of Military
Justice and whose charge(s) have been referred to a general court-martial?
c. Have you ever been convicted in any court, including a military 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?
d. Are you a fugitive from justice?
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.
Previous Editions Are Obsolete
ATF Form 4473 (5300.9)
STAPLE IF PAGES BECOME SEPARATED
Revised May 2020
Page 1 of 6
Yes No
f.
Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental institution?
g. Have you ever been discharged from the Armed Forces under dishonorable conditions?
h. Are you subject to a court order, including a Military Protection Order issued by a military judge or magistrate, restraining you from
harassing, stalking, or threatening your child or an intimate partner or child of such partner?
i.
Have you ever been convicted in any court of a misdemeanor crime of domestic violence, or are you or have you ever been a member of
the military and been convicted of a crime that included, as an element, the use of force against a person as identified in the instructions?
j.
Have you ever renounced your United States citizenship?
k. Are you an alien illegally or unlawfully in the United States?
21.l.1.
Are you an alien who has been admitted to the United States under a nonimmigrant visa?
21.l.2.
If you are such an alien do you fall within any of the exceptions stated in the instructions? (U.S. citizens/nationals leave 21.l.2. blank)
I certify that my answers in Section B 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 21.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 21.b. through 21.k. is prohibited from
receiving or possessing a firearm. I understand that a person who answers “yes” to question 21.l.1. is prohibited from receiving or possessing a firearm,
unless the person answers “yes” to question 21.l.2. and provides the documentation required in 26.d. 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.
22. Transferee’s/Buyer’s Signature
23. Certification Date
Month
Day
Year
Section C - Must Be Completed By Transferor/Seller Prior To The Transfer Of The Firearm(s)
24. Category of firearm(s) to be transferred (check or mark all that apply):
25. If sale or transfer is at a qualifying gun show or event:
Handgun
Long Gun
Other Firearm (frame, receiver, etc.)
Name of Function:
(rifle or
City, State:
shotgun)
26.a. Identification (e.g., Virginia driver’s license (VA DL) or other valid government-issued photo identification including military ID.)
Issuing Authority and Type of Identification
Number on Identification
Expiration Date of Identification (if any)
Month
Day
Year
26.b. Supplemental Government Issued Documentation (if identification document does not show current residence address or full legal name)
26.c. Official Military Orders Establishing Permanent Change of Station (PCS):
PCS Base/City and State:
PCS Effective Date:
PCS Order Number (if any):
26.d. Exception to the Nonimmigrant Alien Prohibition: If the transferee/buyer answered “yes” to 21.1.2. record the type of documentation showing the
exception to the prohibition and attach a copy to this ATF Form 4473:
27.a. Date the transferee’s/buyer’s identifying information in Section B was
27.b. The NICS or State transaction number (if provided) was:
transmitted to NICS or the appropriate State agency:
Month
Day
Year
27.c. The response initially provided by NICS or the appropriate State
27.d. Prior to transfer the following response(s) was/were later provided
agency was:
by NICS or the appropriate State agency:
Overturned
Proceed
Delayed
Proceed
(date)
[The firearm(s) may be transferred on
Denied
Denied
(date)
if State law permits (optional)]
Cancelled
Cancelled
(date)
No response was provided within 3 business days.
27.e. After the firearm was transferred, the following response was provided by NICS or the appropriate State agency (if applicable) on:
(date).
Proceed
Denied
Cancelled
27.f. Name and Brady identification number of the NICS examiner. (optional)
27.g. Name of FFL Employee Completing NICS check. (optional)
(name)
(number)
28.
No NICS check is 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.
ATF Form 4473 (5300.9)
Page 2 of 6
STAPLE IF PAGES BECOME SEPARATED
Revised May 2020
29.
No NICS check is required because the transferee/buyer has a valid permit from the State where the transfer is to take place, which qualifies
as an exemption to NICS.
Issuing State and Permit Type
Date of Issuance (if any)
Expiration Date (if any)
Permit Number (if any)
Section D - 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 B, the transferee/buyer must complete
Section D immediately prior to the transfer of the firearm(s).
I certify that all of my responses in Section B of this form are still true, correct, and complete.
30. Transferee’s/Buyer’s Signature
31. Recertification Date
Month
Day
Year
Section E - Must Be Completed By Transferor/Seller
32. For Use by Licensee
33. Trade/corporate name and address of transferor/seller and Federal
Firearm License Number (must contain at least first three and last
five digits X-XX-XXXXX; hand stamp may be used)
The Individual Transferring The Firearm(s) Must Complete Questions 34-36.
For Denied/Cancelled Transactions, The Individual Who Completed Section C Must Complete Questions 34-35.
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 A, C and E
is true, correct, and complete; and (3) this entire transaction record has been completed at the 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 by NICS or State agency, I further certify on the basis of — (1) the
transferee’s/buyer’s responses in Section B (and Section D, if applicable); (2) the verification of the identification recorded in question 26 (and the re-verification at
the time of transfer, if Section D 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 B.
34. Transferor’s/Seller’s Name (please print)
35. Transferor’s/Seller’s Signature
36. Date Transferred
Month
Day
Year
REMINDER - By the Close of Business Complete ATF Form 3310.4 for Multiple Sales of Handguns Within 5 Consecutive Business Days
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
Purpose of the Form: The information and certification on this form are designed
the transfer is not completed after a NICS check is initiated, the licensee must retain
so that a person licensed under 18 U.S.C. 923 may determine if he/she may law-
the ATF Form 4473 in his/her records for at least 5 years. Forms 4473 with respect
fully sell or deliver a firearm to the person identified in Section B, and to alert the
to which a sale, delivery, or transfer did not take place shall be separately retained
transferee/buyer of certain restrictions on the receipt and possession of firearms. The
in alphabetical (by name of transferee) or chronological (by date of transferee’s
transferor/seller of a firearm must determine the lawfulness of the transaction and
certification) order.
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 regulations in 27 CFR
If the transferor/seller or the transferee/buyer discovers that an ATF Form 4473 is
Parts 478 and 479. In determining the lawfulness of the sale or delivery of a rifle
incomplete or improperly completed after the firearm has been transferred, and the
or shotgun to a resident of another State, the transferor/seller is presumed to know
transferor/seller or the transferee/buyer wishes to correct the omission(s) or
the applicable State laws and published ordinances in both the transferor’s/seller’s
error(s), photocopy the inaccurate form and make any necessary additions or
State and the transferee’s/buyer’s State. (See State Laws and Published Ordinances
revisions to the photocopy. The transferor/seller should only make changes to
-Firearms (ATF Electronic Publication 5300.5) on https://www.atf.gov/.)
Sections A, C, and E. The transferee/buyer should only make changes to Sections B
and D. Whoever made the changes should initial and date the changes. The
Generally, ATF Form 4473 must be completed at the licensed business premises
corrected photocopy should be attached to the original Form 4473 and retained as
when a firearm is transferred over-the-counter. Federal law, 18 U.S.C. 922(c), allows
part of the transferor’s/seller’s permanent records.
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 if the transferee/
Section A
buyer meets certain requirements. These requirements are set forth in section 922(c),
27 CFR 478.96(b), and ATF Procedure 2013-2 (or subsequent update).
Questions 1-6. Firearm(s) Description: These blocks must be completed with the
firearm(s) information. All firearms manufactured after 1968 by Federal firearms
After the transferor/seller has completed the firearms transaction, he/she must
licensees should be marked with a serial number. Should you acquire a firearm that
make the completed, original ATF Form 4473 (which includes the Notices, General
is legally not marked with a serial number (i.e. pre-1968); you may answer
Instructions, and Definitions), and any supporting documents, part of his/her
question 3 with “NSN” (No Serial Number), “N/A” or “None.”
permanent records. Such Forms 4473 must be retained for at least 20 years and
after that period may be submitted to ATF. Filing may be chronological (by date of
If more than three firearms are involved in a transaction, please provide the
disposition), alphabetical (by name of purchaser), or numerical (by transaction serial
information required by Section A, Questions 1-5, on ATF Form 5300.9A, Firearms
number), as long as all of the transferor’s/seller’s completed Forms 4473 are filed in
Transaction Record Continuation Sheet. The completed Form 5300.9A must be
the same manner.
attached to this ATF Form 4473.
ATF Form 4473 (5300.9)
STAPLE IF PAGES BECOME SEPARATED
Page 3 of 6
Revised May 2020
Types of firearms include, but are not limited to: pistol, revolver, rifle, shotgun,
affiliation or community attachment; (2) Asian - A person having origins in any
receiver, frame, and firearms that are neither handguns nor long guns (rifles or
of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent
shotguns), such as firearms having a pistol grip that expel a shotgun shell (pistol
including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan,
grip firearm) or NFA firearms (machinegun, silencer, short-barreled shotgun, short-
the Philippine Islands, Thailand, and Vietnam; (3) Black or African American - A
barreled rifle, destructive device, or “any other weapon”).
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 peoples of
Additional firearms purchases by the same transferee/buyer may not be added to the
Hawaii, Guam, Samoa, or other Pacific Islands; and/or (5) White - A person having
form after the transferor/seller has signed and dated it. A transferee/buyer who wishes
origins in any of the original peoples of Europe, the Middle East, or North Africa.
to acquire additional firearms after the transferor/seller has signed and dated the form
Select the closest representation for any other race or ethnicity that does not fall
must complete a new ATF Form 4473 and undergo a new NICS check.
within those indicated.
Question 8. Private Party Transfer: Check this box if the licensee is facilitating
Question 20. U.S.-issued Alien Number or Admission Number: U.S.-issued
the sale or transfer of a firearm between private unlicensed individuals in accordance
alien and admission numbers may be found on the following U.S. Department of
with ATF Procedure 2017-1. This will assist the licensee by documenting which
Homeland Security documents: Legal Resident Card or Employment Authorization
transaction records correspond with private party transfers, and why there may be no
Card (AR# or USCIS#); Arrival/Departure Record, Form I94, or Form 797A (I94#).
corresponding A&D entries when the transfer did not proceed because it was denied,
Additional information can be obtained from www.cbp.gov. If you are a U.S. citizen
delayed, or cancelled.
or U.S. national, the response to this question should be left blank.
Section B
Question 21.a. Actual Transferee/Buyer: For purposes of this form, a person is
the actual transferee/buyer if he/she is purchasing the firearm for him/herself or
The transferee/buyer must personally complete Section B of this form and certify
otherwise acquiring the firearm for him/herself. (e.g., redeeming the firearm from
(sign and date) that the answers are true, correct, and complete. However, if the
pawn, retrieving it from consignment, firearm raffle winner). A person is also the
transferee/buyer is unable to read and/or write, the answers (other than the signature)
actual transferee/buyer if he/she is legitimately purchasing the firearm as a bona
may be completed by another person, excluding the transferor/seller. Two persons
fide gift for a third party. A gift is not bona fide if another person offered or gave
(other than the transferor/seller) must then sign as witnesses to the transferee’s/
the person completing this form money, service(s), or item(s) of value to acquire
buyer’s answers and signature/certification in question 22.
the firearm for him/her, or if the other person is prohibited by law from receiving or
possessing the firearm.
When the transferee/buyer of a firearm is a corporation, company, association,
partnership, or other such business entity, an officer authorized to act on behalf
EXAMPLES: Mr. Smith asks Mr. Jones to purchase a firearm for Mr. Smith (who
of the business must complete Section B of the form with his/her personal information, sign
may or may not be prohibited). Mr. Smith gives Mr. Jones the money for the firearm.
Section B, and attach a written statement, executed under penalties of perjury, stating:
Mr. Jones is NOT THE ACTUAL TRANSFEREE/BUYER of the firearm and must
(A) the firearm is being acquired for the use of and will be the property of that
answer “no” to question 21.a. The licensee may not transfer the firearm to Mr.
business entity; and (B) the name and address of that business entity.
Jones. However, if Mr. Brown buys the firearm with his own money to give to Mr.
Black as a gift (with no service or tangible thing of value provided by Mr. Black),
Question 9. Transferee’s/Buyers Full Name: If the transferee’s/buyer’s name is
Mr. Brown is the actual transferee/buyer of the firearm and should answer “yes” to
illegible, the transferor/seller must print the transferee’s/buyer’s name above the
question 21.a. However, the transferor/seller may not transfer a firearm to any
name written by the transferee/buyer.
person he/she knows or has reasonable cause to believe is prohibited under 18
U.S.C. 922(g), (h), (n), or (x).
Question 10. Current Residence Address: A rural route (RR) may be accepted
provided the transferee/buyer lives in a State or locality where it is considered a
Questions 21.b. - 21.l. Prohibited Persons: Generally, 18 U.S.C. 922(g) prohibits
legal residence address.
the shipment, transportation, receipt, or possession in or affecting interstate
commerce of a firearm by one who: has been convicted of a felony in any Federal,
If the transferee/buyer is a member of the Armed Forces on active duty, his/her State
including a general court-martial, State or local court, or any other crime, punishable
of residence is the State in which his/her permanent duty station is located. If the
by imprisonment for a term exceeding one year; is a fugitive from justice; is an
service member is acquiring a firearm in a State where his/her permanent duty
unlawful user of, or addicted to, marijuana or any depressant, stimulant, or narcotic
station is located, but resides in a different State, the transferee/buyer must list both
drug, or any other controlled substance; has been adjudicated as a mental defective
his/her permanent duty station address and residence address. If the
or has been committed to a mental institution; has been discharged from the Armed
transferee/buyer has two States of residence, the transferee/buyer should list his/her
Forces under dishonorable conditions; is subject to certain restraining orders;
current residence address (e.g., if the transferee/buyer is purchasing a firearm while
convicted of a misdemeanor crime of domestic violence under Federal, including a
staying at his/her weekend home in State X, list the address in State X).
general court-martial, State or Tribal law; has renounced his/her U.S. citizenship; is
an alien illegally in the United States or an alien admitted to the United States under
Question 14. Sex: Individuals with neither male nor female on their identification
a nonimmigrant visa. Furthermore, section 922(n) prohibits the shipment,
document(s) should check Non-Binary.
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, including a general
Question 17. Unique Personal Identification Number (UPIN) or Appeals
court-martial, State or local court, or any other crime, punishable by imprisonment
Management Database Identification (AMD ID): For transferees/buyers
for a term exceeding one year. An information is a formal accusation of a crime
approved to have information maintained about them in the FBI NICS Voluntary
verified by a prosecutor.
Appeal File, NICS will provide them with a UPIN, which the transferee/buyer
should record in question 17. The AMD ID is a number that will be provided to an
A member of the Armed Forces must answer “yes” to 21.b. if charged with an offense
appellant on certain types of overturned appeals and should also be recorded in
that is referred to a general court-martial. A current or former member of the Armed
question 17. The transferor/seller should provide the UPIN/AMD ID when
Forces must answer “yes” to 21.c. if convicted under a general court-martial.
conducting background checks through the NICS or the State POC.
Discharged “under dishonorable conditions” means separation from the Armed
Questions 18.a. and 18.b. Ethnicity and Race: Federal regulations (27 CFR
Forces resulting from a dishonorable discharge or dismissal adjudged by a general
478.124(c)(1)) require licensees to obtain the race of the transferee/buyer. This
court-martial. That term does not include any other discharge or separation.
information helps the FBI and/or State POC make or rule out potential matches
during the background check process and can assist with criminal investigations.
EXCEPTION: A person is not prohibited from receiving or possessing a firearm
if that person: (1) has been convicted of any Federal or State offense pertaining to
Ethnicity refers to a person’s heritage. Persons of Cuban, Mexican, Puerto Rican,
antitrust violations, unfair trade practices, restraints of trade, or other similar offenses
South or Central American, or other Spanish culture or origin, regardless of race, are
relating to the regulation of business practices; (2) has been convicted of a State mis-
considered Hispanic or Latino.
demeanor punishable by imprisonment of two years or less; or (3) following convic-
tion of a felony or other crime for which the judge could have imprisoned the person
Race - one or more of the following responses must be selected: (1) American
for more than one year, or a misdemeanor crime of domestic violence, has received a
Indian or Alaska Native - A person having origins in any of the original peoples of
pardon, an expungement or set aside of the conviction, or has lost and regained civil
North and South America (including Central America), and who maintains a tribal
ATF Form 4473 (5300.9)
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Revised May 2020
rights (the right to vote, sit on a jury, and hold public office) in the jurisdiction in
a spouse, parent, or guardian of the victim. The term includes all misdemeanors that
which the conviction occurred, AND the law of the convicting jurisdiction does not
have as an element the use or attempted use of physical force or the threatened use of
prohibit the person from receiving or possessing firearms. Person subject to any of
a deadly weapon (e.g., assault and battery), if the offense is committed by one of the
these exceptions, or who received relief from disabilities under 18 U.S.C. 925(c),
defined parties. (See Exception to 21.b. - 21.l.) A person who has been convicted of
should answer “no” to the applicable question.
a misdemeanor crime of domestic violence also is not prohibited unless: (1) the per-
son was represented by a lawyer or gave up the right to a lawyer; or (2) if the person
was entitled to a jury, was tried by a jury, or gave up the right to a jury trial. Persons
Question 21.d. Fugitive from Justice: Any person who has fled from any State
subject to this exception should answer “no” to 21.i.
to avoid prosecution for a felony or a misdemeanor; or any person who leaves the
State to avoid giving testimony in any criminal proceeding. The term also includes
any person who knows that misdemeanor or felony charges are pending against such
A current or former member of the military who has been convicted of a violation of
person and who leaves the State of prosecution.
the Uniform Code of Military Justice that included, as an element, the use of force
against a person as identified in the instructions under question 21.i. must answer
“yes” to this question. This may include a qualifying offense that was referred to a
Question 21.f. Adjudicated as a Mental Defective: A determination by a court,
special or general court-martial.
board, commission, or other lawful authority that a person, as a result of marked
subnormal intelligence, or mental illness, incompetency, condition, or disease: (1) is
a danger to himself or to others; or (2) lacks the mental capacity to contract or man-
Question 21.l. Immigration Status: An alien admitted to the United States under
age his own affairs. This term shall include: (1) a finding of insanity by a court in
a nonimmigrant visa includes, among others, persons visiting the United States tem-
a criminal case; and (2) those persons found incompetent to stand trial or found not
porarily for business or pleasure, persons studying in the United States who maintain a
guilty by reason of lack of mental responsibility.
residence abroad, and certain temporary foreign workers. These aliens must answer
“yes” to this question and provide the additional documentation as required under
question 26.d.to establish they are excepted from the nonimmigrant alien prohibition.
Committed to a Mental Institution: A formal commitment of a person to a mental
Permanent resident aliens and aliens legally admitted to the United States pursuant
institution by a court, board, commission, or other lawful authority. The term
to either the Visa Waiver Program or to regulations otherwise exempting them from
includes a commitment to a mental institution involuntarily. The term includes com-
visa requirements may answer “no” to this question, leave 21.l.2 blank and are not
mitment for mental defectiveness or mental illness. It also includes commitments for
required to submit the additional documentation under question 26.d.
other reasons, such as for drug use. The term does not include a person in a mental
institution for observation or a voluntary admission to a mental institution.
Question 22. Transferee/Buyer Certification: Under 18 U.S.C. 922(a)(1), it is un-
lawful for a person to engage in the business of dealing in firearms without a license.
EXCEPTION: Under the NICS Improvement Amendments Act of 2007, a person
A person is engaged in the business of dealing in firearms if he/she devotes time, at-
who has been adjudicated as a mental defective or committed to a mental institu-
tention, and labor to dealing in firearms as a regular course of trade or business with
tion in a State proceeding is not prohibited by the adjudication or commitment if
the principal objective of livelihood and profit through the repetitive purchase and
the person has been granted relief by the adjudicating/committing State pursuant
resale of firearms. A license is not required of a person who only makes occasional
to a qualifying mental health relief from disabilities program. Also, a person who
sales, exchanges, or purchases of firearms for the enhancement of a personal collec-
has been adjudicated as a mental defective or committed to a mental institution by
tion or for a hobby, or who sells all or part of his/her personal collection of firearms.
a department or agency of Federal Government is not prohibited by the adjudica-
tion or commitment if either: (a) the person’s adjudication or commitment was set
aside or expunged by the adjudicating/committing agency; (b) the person has been
Section C
fully released or discharged from all mandatory treatment, supervision, or monitor-
ing by the agency; (c) the person was found by the agency to no longer suffer from
Question 24. Category of Firearm(s): “Other” refers to frames, receivers, and
the mental health condition that served as the basis of the initial adjudication/com-
other firearms that are neither handguns nor long guns (rifles or shotguns), such as
mitment; (d) the adjudication or commitment, respectively, is based solely on a
firearms having a pistol grip that expel a shotgun shell, or National Firearms Act
medical finding of disability, without an opportunity for a hearing by a court, board,
(NFA) firearms, including silencers.
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, United States Code;
If a frame or receiver can only be made into a long gun (rifle or shotgun), it is still
or (e) the person was granted relief from the adjudicating/committing agency pursu-
a frame or receiver, not a handgun or long gun. All frames and receivers are “fire-
ant to a qualified mental health relief from disabilities program. This exception to
arms” by definition, and subject to the same GCA limitations. See Section 921(a)(3)
an adjudication or commitment by a Federal department or agency does not apply
(B). Section 922(b)(1) makes it unlawful for a licensee to sell any firearm other than
to any person who was adjudicated to be not guilty by reason of insanity, or based
a shotgun or rifle to any person under the age of 21. Since a frame or receiver for
on lack of mental responsibility, or found incompetent to stand trial, in any criminal
a firearm, to include one that can only be made into a long gun, is a “firearm other
case or under the Uniform Code of Military Justice. Persons who fall within one of
than a shotgun or rifle,” it cannot be transferred to anyone under the age of 21, nor
the above exceptions should answer “no” to question 21.f.
can 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
Question 21.h. Qualifying Restraining Orders: Under 18 U.S.C. 922, firearms
for frames or receivers of any firearms, or pistol grip shotguns, since they are not
may not be sold to or received by persons subject to a court order that: (A) was is-
“pistols or revolvers” under Section 923(g)(3)(A).
sued after a hearing which the person received actual notice of and had an opportuni-
ty to participate in; (B) restrains such person from harassing, stalking, or threatening
Question 25. Qualifying Gun Show or Event: As defined in 27 CFR 478.100, a
an intimate partner or child of such intimate partner or person, or engaging in other
gun show or event is a function sponsored by any national, State, or local organiza-
conduct that would place an intimate partner in reasonable fear of bodily injury
tion, devoted to the collection, competitive use, or other sporting use of firearms,
to the partner or child; and (C)(i) includes a finding that such person represents a
or an organization or association that sponsors functions devoted to the collection,
credible threat to the physical safety of such intimate partner or child; or (ii) by its
competitive use, or other sporting use of firearms in the community.
terms explicitly prohibits the use, attempted use, or threatened use of physical force
against such intimate partner or child that would reasonably be expected to cause
Question 26.a. Identification: Before a licensee may sell or deliver a firearm to a
bodily injury. An “intimate partner” of a person is: the spouse or former spouse of
nonlicensee, the licensee must establish the identity, place of residence, and age of
the person, the parent of a child of the person, or an individual who cohabitates or
the transferee/buyer. The transferee/buyer must provide a valid government-issued
has cohabitated with the person.
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
Question 21.i. Misdemeanor Crime of Domestic Violence: A Federal, including a
identification card issued by a State is acceptable. Social Security cards are not
general court-martial, State, local, or tribal offense that is a misdemeanor under
acceptable because no address, date of birth, or photograph is shown on the cards.
Federal, State, or tribal law and has, as an element, the use or attempted use of
physical force, or the threatened use of a deadly weapon, committed by a current or
Identification documents such as a driver’s license or identification card issued with
former spouse, parent, or guardian of the victim, by a person with whom the victim
binary, non-binary, or no sex designation may be used as an identification document.
shares a child in common, by a person who is cohabitating with, or has cohabited
A combination of government-issued documents may be provided. See instructions
with the victim as a spouse, parent, or guardian, or by a person similarly situated to
for question 26.b. Supplemental Documentation.
ATF Form 4473 (5300.9)
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Revised May 2020
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