OMB No. 1140-0020
U.S. Department of Justice
Bureau of Alcohol, Tobacco, Firearms and Explosives
Firearms Transaction Record
WARNING: The information you provide will be used to determine whether you are prohibited by Federal or State Law from receiving a firearm, or Transferor’s/Seller’s
whether Federal or State Law prohibits the sale or disposition of a firearm to you. Certain violations of the Gun Control Act, 18 U.S.C. § 921 et. seq., are Transaction
punishable by up to 15 years imprisonment and/or up to a $250,000 fine. Any person who exports a firearm without a proper authorization from either the Number (if any)
Department of Commerce or the 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 Denitions 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 qualies
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.
Manufacturer and Importer (if any), or Privately
Made Firearm (PMF) (If the Manufacturer
and Importer are dierent, include both.)
2.
Model
(if designated)
3.
Serial Number
4.
Type
5.
Caliber or
Gauge
1.
2.
3.
6. Total Number of Firearms to be Transferred (Please spell total number
e.g., one, two, etc. Do not use numerals.)
7. Check if any part of this transaction is a pawn redemption.
Record Line Number(s) From Question 1:
8. Check if any part of 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”.)
10. Current State of Residence and Address (U.S. postal abbreviations are acceptable. Cannot be a post oce box.)
Last Name (including sux, e.g., Jr, Sr, II, III)
First Name Middle Name
Number and Street Address City
Reside in City Limits?
Yes
No Unknown
State
ZIP Code County/Parish/Borough
11. Place of Birth
12. Height
U.S. City and State
-OR-
Foreign Country
Ft.
In.
13. Weight
14. Sex 15. Birth Date
(lbs.)
Male
Month Day
Year
Female
Non-Binary
16. Social Security Number (optional, but will help prevent misidentication)
17. Unique Personal Identication Number (UPIN) or Appeals Management
Database Identication (AMD ID) (if applicable)
18.a. Ethnicity
Hispanic or Latino
Not Hispanic or Latino
18.b. Race (Select one or more race in 18.b. Both 18.a. and 18.b. must be answered.)
American Indian or Alaska Native
Black or African American White
Asian
Native Hawaiian or Other Pacic 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 all of the rearm(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 any of the rearm(s) on behalf of another person. If you
are not the actual transferee/buyer, the licensee cannot transfer any of the rearm(s) to you. Exception: If you are only picking up
a repaired rearm(s) for another person, you are not required to answer 21.a. and may proceed to question 21.b.
b. Do you intend to sell or otherwise dispose of any rearm listed on this form and any continuation sheet(s) in furtherance of any felony or other
oense punishable by imprisonment for a term of more than one year, a Federal crime of terrorism, or a drug tracking oense?
c. 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?
d. 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?
e. Are you a fugitive from justice?
Previous Editions Are Obsolete
ATF Form 4473 (5300.9)
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Revised August 2023
Yes
No
f. 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.
g. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental institution?
h. Have you ever been discharged from the Armed Forces under dishonorable conditions?
i. 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?
j. 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 identied in the instructions?
k. Have you ever renounced your United States citizenship?
l. Are you an alien illegally or unlawfully in the United States?
m.1.
Are you an alien who has been admitted to the United States under a nonimmigrant visa?
m.2. If you answered “Yes” to question 21.m.1, do you fall within any of the exceptions stated in the instructions?
n. Do you intend to sell or dispose of any rearm(s) listed on this form or any continuation sheet(s) to any person described in questions 21(b)-(l) or
to a person described in question 21.m.1 who does not fall within a nonimmigrant alien exception?
I certify that my answers in Section B are true, correct, and complete. I have read and understand the Notices, Instructions, and Denitions 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.l. as well as 21.n.
is prohibited from receiving, possessing, or purchasing a rearm. I understand that a person who answers “yes” to question 21.m.1. is prohibited from
receiving or possessing a rearm, unless the person answers “yes” to question 21.m.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 identication 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 rearms for the
purpose of resale to predominantly earn a prot without a Federal rearms license is a violation of Federal law.
23. Certication Date22. Transferee’s/Buyer’s Signature
Month Day
Year
24. Category of rearm(s) to be transferred (check or mark all that apply):
Other Firearm
(e.g., frame,
receiver, etc.)
25. If sale or transfer is at a qualifying gun show or event:
Name of Function:
26.a. Identication (e.g., Virginia driver’s license (VA DL) or other valid government-issued photo identication including military ID.)
Issuing Authority and Type of Identication
Number on Identication Expiration Date of Identication (if any)
Month Day
Year
Handgun Long Gun
(i.e., rie or
shotgun)
City, State, ZIP Code:
Section C - Must Be Completed By Transferor/Seller Prior To The Transfer Of The Firearm(s)
Address:
County:
26.b. Supplemental Government Issued Documentation (if identication document does not show current residence address or legal name)
26.c. Ocial Military Orders Establishing Permanent Change of Station (PCS):
PCS Base, City and State: PCS Eective Date: PCS Order Number (if any):
26.d. Exception to the Nonimmigrant Alien Prohibition: If the transferee/buyer answered “yes” to 21.m.2. record the type of documentation showing the
exception to the prohibition and attach a copy to this ATF Form 4473:
Notice: If transferee/buyer is under 21, a waiting period of up to 10 days may apply where notication from NICS is received within 3 business days to
further investigate a possible disqualifying juvenile record. A NICS check is only valid for 30 calendar days from the date recorded in question 27.a.
27.a. Date the transferee’s/buyer’s identifying information in Section B was
transmitted to NICS or the appropriate State agency:
27.c. The response initially provided by NICS or the appropriate State agency was: Proceed
27.b. The NICS or State transaction number (if provided) was:
CancelledDenied
Month
Day Year
Delayed. The rearm(s) may be transferred on (date) if time period is not extended by NICS or the
appropriate State agency, and State law allows (optional).
ATF Form 4473 (5300.9)
Revised August 2023
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27.d. Prior to transfer the following response(s) was/were later provided by NICS or the appropriate State agency:
Proceed
(date)
Denied
(date)
Cancelled
(date)
Overturned
(date)
No response was provided within 3 business days.
Notice of additional delay of transferee under 21 years of age received on (date). Transfer of the rearm may occur on
(optional).
No response was provided within 10 business days after additional delay for transferee/buyer under 21 years of age.
27.e.
After the rearm was transferred, the following response was provided by NICS or the appropriate State agency (if applicable) on:
(date).
Proceed Denied Cancelled
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 rearm(s), as reected on the approved NFA application.
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 qualies
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 rearm(s) takes place on a dierent 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 rearm(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. Recertication 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 rst three and last
ve 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 Denitions 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 verication of the identication recorded in question 26 (and the re-verication at
the time of transfer, if Section D was completed); and (3) State or local law applicable to the rearms business — it is my belief that it is not unlawful for me to sell,
deliver, transport, or otherwise dispose of the rearm(s) listed on this form to the person identied in Section B. If this transaction required a NICS check, I
further certify that this rearm(s) transfer is within 30 days from the date of NICS contact.
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
Purpose of the Form: The information and certication on this form are designed
so that a person licensed under 18 U.S.C. § 923 may determine if he/she may
lawfully sell or deliver a rearm to the person identied in Section B, and to alert the
transferee/buyer of certain restrictions on the receipt and possession of rearms.
The transferor/seller of a rearm must determine the lawfulness of the 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 regulations in
27 CFR Parts 478 and 479. In determining the lawfulness of the sale or delivery of a
rie or shotgun to a resident of another State, the transferor/seller is presumed to
know the applicable State laws and published ordinances in both the transferor’s/
seller’s State and the transferee’s/buyer’s State. (See State Laws and Published
Ordinances -Firearms (ATF Electronic Publication 5300.5) on https://www.atf.gov/.)
Generally, ATF Form 4473 must be completed at the licensed business premises
when a rearm is transferred over-the-counter. Federal law, 18 U.S.C. § 922(c),
allows a licensed importer, manufacturer, or dealer to sell a rearm to a nonlicensee
who does not appear in person at the licensee’s business premises only if the
transferee/buyer meets certain requirements. These requirements are set forth in
18 U.S.C. § 922(c), 27 CFR 478.96(b), and ATF Procedure 2020-1 (or subsequent update).
After the transferor/seller has completed the rearms transaction, he/she must make
the completed, original ATF Form 4473 (which includes the Notices, General
Instructions, and Denitions), and any supporting documents, part of his/her
permanent records. Such Forms 4473 must be retained until discontinuance of
business or licensed activity. Paper forms over 20 years of age may be stored at a
separate warehouse, which is considered part of the business premises subject to
inspection. Filing may be chronological (by date of disposition), alphabetical (by
name of purchaser), or numerical (by transaction serial number), as long as all of the
transferor’s/seller’s completed Forms 4473 are led in the same manner.
ATF Form 4473 (5300.9)
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Revised August 2023
FORMS 4473 FOR DENIED/CANCELLED TRANSFERS MUST BE RETAINED:
If the transfer of a rearm is denied/cancelled by NICS, or if for any other reason
the transfer is not completed, the licensee must retain the ATF Form 4473 in his/her
records. Forms 4473 with respect to which a sale, delivery, or transfer did not take
place shall be separately retained in alphabetical (by name of transferee) or
chronological (by date of transferee’s certication) order.
If the transferor/seller or the transferee/buyer discovers that an ATF Form 4473 is
incomplete or improperly completed after the rearm has been transferred, and the
transferor/seller or the transferee/buyer wishes to correct the omission(s) or error(s),
photocopy the inaccurate form and make any necessary additions or revisions to the
photocopy.
The transferor/seller should only make changes to 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 corrected photocopy should be
attached to the original Form 4473 and retained as part of the transferor’s/seller’s
permanent records.
Section A
Questions 1-6. Firearm(s) Description: These blocks must be completed with the
rearm(s) information. All rearms manufactured or made after 1968 by Federal
rearms licensees should be marked with a licensee’s serial number. Should you
acquire a rearm that is legally not marked with a serial number (i.e., certain
pre-1968 rearms); you may answer question 3 with “NSN” (No Serial Number),
“N/A” or “None.” Unless already properly marked by another licensee, licensees
who take a privately made rearm (PMF) into inventory are required to mark the
PMF with an individual serial number that begins with the FFL’s abbreviated license
number, which is the rst three and last ve digits, as a prex to a unique
identication number, followed by a hyphen, e.g., 12345678-unique identication
number.
If more than three rearms are involved in a transaction, please provide the
information required by Section A, Questions 1-5, on ATF Form 5300.9A, Firearms
Transaction Record Continuation Sheet. The completed Form 5300.9A must be
attached to this ATF Form 4473.
Types of rearms include, but are not limited to: pistol, revolver, rie, shotgun,
receiver, frame, and rearms that are neither handguns nor long guns (ries or
shotguns), such as rearms having a pistol grip that expel a shotgun shell (pistol grip
rearm) or NFA rearms (machinegun, silencer, short-barreled shotgun,
short-barreled rie, destructive device, or “any other weapon”).
Additional rearms purchases by the same transferee/buyer may not be added to the
form after the transferor/seller has signed and dated it. A transferee/buyer who wishes
to acquire additional rearms after the transferor/seller has signed and dated the form
must complete a new ATF Form 4473 and undergo a new NICS check.
Question 8. Private Party Transfer: Check this box if the licensee is facilitating
the sale or transfer of a rearm between private unlicensed individuals in accordance
with ATF Procedure 2020-2, or subsequent update. This will assist the licensee by
documenting which transaction records correspond with private party transfers, and
why there may be no corresponding A&D entries when the transfer did not proceed
because it was denied, delayed, or cancelled. If the proposed transfer involves
a PMF, the PMF must rst be taken into inventory and properly marked with a
licensee’s serial number.
Section B
The transferee/buyer must personally complete Section B of this form and certify
(sign and date) that the answers are true, correct, and complete. However, if the
transferee/buyer is unable to read and/or write, the answers (other than the signature)
may be completed by another person, excluding the transferor/seller. Two persons
(other than the transferor/seller) must then sign as witnesses to the transferee’s/
buyer’s answers and signature/certication in question 22.
When the transferee/buyer of a rearm is a corporation, company, association,
partnership, or other such business entity, an ocer authorized to act on behalf of the
business must complete Section B of the form with his/her personal information, sign Sec-
tion B, and attach a written statement, executed under penalties of perjury, stating: (A)
the rearm is being acquired for the use of and will be the property of that
business entity; and (B) the name and address of that business entity.
Question 9. Transferee’s/Buyers Full Name: If the transferee’s/buyer’s name is
illegible, the transferor/seller must print the transferee’s/buyer’s name above the
Page 4 of 7
name written by the transferee/buyer.
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
legal residence address. If the transferee/buyer is a member of the Armed Forces on
active duty, his/her State of residence is the State in which his/her permanent duty
station is located. If the service member is acquiring a rearm in a State where his/
her permanent duty station is located, but resides in a dierent State, the transferee/
buyer must list both his/her permanent duty station address and residence address.
In these instances, the Armed Forces member must answer “Reside in city limits?”
only for their residence address.
If the transferee/buyer has two States of residence, the transferee/buyer should list
his/her current residence address (e.g., if the transferee/buyer is purchasing a rearm
while staying at his/her weekend home in State X, list the address in State X).
Question 14. Sex: Individuals with neither male nor female on their identication
document(s) should check Non-Binary.
Question 17. Unique Personal Identication Number (UPIN) or Appeals
Management Database Identication (AMD ID): For transferees/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 17. The AMD ID is a number that will be provided to an
appellant on certain types of overturned appeals and should also be recorded in
question 17. The transferor/seller should provide the UPIN/AMD ID when
conducting background checks through the NICS or the State POC.
Questions 18.a. and 18.b. Ethnicity and Race: Federal regulations (27 CFR
478.124(c)(1)) require licensees to obtain the race of the transferee/buyer. This
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.
Ethnicity refers to a person’s heritage. Persons of Cuban, Mexican, Puerto Rican,
South or Central American, or other Spanish culture or origin, regardless of race, are
considered Hispanic or Latino.
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 an
aliation or community attachment; (2) Asian - A person having origins in any
of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent
including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan,
the Philippine Islands, Thailand, and Vietnam; (3) Black or African American - A
person having origins in any of the Black racial groups of Africa; (4) Native Hawaiian
or Other Pacic Islander - A person having origins in any of the original peoples of
Hawaii, Guam, Samoa, or other Pacic Islands; and/or (5) White - A person having
origins in any of the original peoples of Europe, the Middle East, or North Africa.
Select the closest representation for any other race or ethnicity that does not fall
within those indicated.
Question 20. U.S.-issued Alien Number or Admission Number: U.S.-issued
alien and admission numbers may be found on the following U.S. Department of
Homeland Security documents: Legal Resident Card or Employment Authorization
Card (AR# or USCIS#); Arrival/Departure Record, Form I94, or Form 797A (I94#).
Additional information can be obtained from www.cbp.gov. If you are a U.S. citizen
or U.S. national, the response to this question should be left blank.
Question 21.a. Actual Transferee/Buyer: For purposes of this form, a person is
the actual transferee/buyer if he/she is purchasing the rearm for him/herself or
otherwise acquiring the rearm for him/herself. (e.g., redeeming the rearm from
pawn, retrieving it from consignment, rearm rae winner). A person is also the
actual transferee/buyer if he/she is legitimately purchasing the rearm as a
bona de gift for a third party. A gift is not bona de if another person oered
or gave the person completing this form money, service(s), or item(s) of value to
acquire the rearm for him/her, or if the other person is prohibited by law from
receiving or possessing the rearm.
EXAMPLES: Mr. Smith asks Mr. Jones to purchase a rearm for Mr. Smith (who
may or may not be prohibited). Mr. Smith gives Mr. Jones the money for the rearm.
Mr. Jones is NOT THE ACTUAL TRANSFEREE/BUYER of the rearm and must
answer “no” to question 21.a. The licensee may not transfer the rearm to Mr.
Jones. However, if Mr. Brown buys the rearm with his own money to give to Mr.
Black as a gift (with no service or tangible thing of value provided by Mr. Black),
ATF Form 4473 (5300.9)
Revised August 2023
Mr. Brown is the actual transferee/buyer of the rearm and should answer “yes” to
question 21.a. However, the transferor/seller may not transfer a rearm to any
person he/she knows or has reasonable cause to believe is prohibited under 18
U.S.C. § 922(g), (h), (n), or (x).
Questions 21.c. - 21.m. Prohibited Persons: Generally, 18 U.S.C. § 922(g)
prohibits the shipment, transportation, receipt, or possession in or aecting interstate
commerce of a rearm by one who: has been convicted of a felony in any Federal,
including a general court-martial, State or local court, or any other crime, punishable
by imprisonment for a term exceeding one year; is a fugitive from justice; is an
unlawful user of, or addicted to, marijuana or any depressant, stimulant, or narcotic
drug, or any other controlled substance; has been adjudicated as a mental defective
or has been committed to a mental institution; has been discharged from the Armed
Forces under dishonorable conditions; is subject to certain restraining orders;
convicted of a misdemeanor crime of domestic violence under Federal, including a
general court-martial, State or Tribal, or local law; has renounced his/her U.S. citi-
zenship; is an alien illegally in the United States or an alien admitted to the United
States under a nonimmigrant visa. Furthermore, 18 U.S.C. § 922(n) prohibits the
shipment, transportation, or receipt in or aecting interstate commerce of a rearm
by one who is under indictment or information for a felony in any Federal,
including a general court-martial, State or local court, or any other crime, punishable
by imprisonment for a term exceeding one year. An information is a formal
accusation of a crime veried by a prosecutor.
A member of the Armed Forces must answer “yes” to 21.c. if charged with an oense
that is referred to a general court-martial. A current or former member of the Armed
Forces must answer “yes” to 21.d. if convicted under a general court-martial.
Discharged “under dishonorable conditions” means separation from the Armed
Forces resulting from a dishonorable discharge or dismissal adjudged by a general
court-martial. That term does not include any other discharge or separation.
EXCEPTION: A person is not prohibited from receiving or possessing a rearm
if that person: (1) has been convicted of any Federal or State oense pertaining to
antitrust violations, unfair trade practices, restraints of trade, or other similar oenses
relating to the regulation of business practices; (2) has been convicted of a State
misdemeanor punishable by imprisonment of two years or less; or (3) following
conviction of a felony or other crime for which the judge could have imprisoned the
person for more than one year, or a misdemeanor crime of domestic violence, has
received a pardon, an expungement or set aside of the conviction, or has lost and
regained civil rights (the right to vote, sit on a jury, and hold public oce) in the
jurisdiction in which the conviction occurred, AND the law of the convicting
jurisdiction does not prohibit the person from receiving or possessing rearms.
Also, a person who has no more than one conviction of a misdemeanor crime of
domestic violence against an individual in a dating relationship, and is not otherwise
prohibited under this chapter, is not prohibited if 5 years have elapsed from
conviction or completion of the person’s custodial or supervisory sentence,
whichever occurs later, and the person has not subsequently been convicted of any
other misdemeanor crime of violence, or any other oense that would disqualify the
person under 18 U.S.C. § 922(g). A person subject to any of these exceptions, or
who received relief from disabilities under 18 U.S.C. § 925(c), should answer “no”
to the applicable question.
Question 21.e. Fugitive from Justice: Any person who has ed from any State
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
person and who leaves the State of prosecution.
Question 21.g. Adjudicated as a Mental Defective: A determination by a court,
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
manage his own aairs. This term shall include: (1) a nding of insanity by a court
in a criminal case; and (2) those persons found incompetent to stand trial or found
not guilty by reason of lack of mental responsibility.
Committed to a Mental Institution: A formal commitment of a person to a mental
institution by a court, board, commission, or other lawful authority. The term
includes a commitment to a mental institution involuntarily. The term includes
commitment for mental defectiveness or mental illness. It also includes
commitments for 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.
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EXCEPTION: Under the NICS Improvement Amendments Act of 2007, a person
who has been adjudicated as a mental defective or committed to a mental
institution in a State proceeding is not prohibited by the adjudication or commitment
if the person has been granted relief by the adjudicating/committing State pursuant
to a qualifying mental health relief from disabilities program. Also, a person who
has been adjudicated as a mental defective or committed to a mental institution by a
department or agency of Federal Government is not prohibited by the
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
has been fully released or discharged from all mandatory treatment, supervision, or
monitoring by the agency; (c) the person was found by the agency to no longer suer
from the mental health condition that served as the basis of the initial adjudication/
commitment; (d) the adjudication or commitment, respectively, is based solely on a
medical nding of disability, without an opportunity for a hearing by a court, board,
commission, or other lawful authority, and the person has not been adjudicated as a
mental defective consistent with 18 U.S.C. § 922(g)(4); or (e) the person was
granted relief from the adjudicating/committing agency pursuant to a qualied
mental health relief from disabilities program. This exception to an adjudication or
commitment by a Federal department or agency does not apply to any person who
was adjudicated to be not guilty by reason of insanity, or based on lack of mental
responsibility, or found incompetent to stand trial, in any criminal case or under the
Uniform Code of Military Justice. Persons who fall within one of the above
exceptions should answer “no” to question 21.g.
Question 21.i. Qualifying Restraining Orders: Under 18 U.S.C. § 922, rearms
may not be sold to 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 to participate in; (B) restrains such person from harassing, stalking,
or threatening an intimate partner or child of such intimate partner or person, or
engaging in other conduct that would place an intimate partner in reasonable fear of
bodily injury to the partner or child; and (C)(i) includes a nding 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, attempted use, or threatened use
of physical force against such intimate partner or child that would reasonably be
expected to cause bodily injury. An “intimate partner” of a person is: the spouse or
former spouse of the person, the parent of a child of the person, or an individual who
cohabitates or has cohabitated with the person.
Question 21.j. Misdemeanor Crime of Domestic Violence: A Federal, including a
general court-martial, State, local, or Tribal oense that is a misdemeanor under
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
former spouse, parent, or guardian of the victim, by a person with whom the victim
shares a child in common, by a person who is cohabitating with, or has cohabited
with the victim as a spouse, parent, or guardian, or by a person who has a current or
recent former dating relationship with the victim (as dened in 18 U.S.C. § 921(a)
(37)). The term includes all misdemeanors that have as an element the use or
attempted use of physical force or the threatened use of a deadly weapon (e.g.,
assault and battery), if the oense is committed by one of the dened parties. (See
EXCEPTION to 21.c. - 21.m.) A person who has been convicted of a misdemeanor
crime of domestic violence also is not prohibited unless: (1) the person was
represented by a lawyer or gave up the right to a lawyer; and (2) if the person was
entitled to a jury, was tried by a jury, or gave up the right to a jury trial. Persons
subject to this exception should answer “no” to 21.j.
A current or former member of the military who has been convicted of a violation of
the Uniform Code of Military Justice that included, as an element, the use of force
against a person as identied in the instructions under question 21.j. must answer
“yes” to this question. This may include a qualifying oense that was referred to a
special or general court-martial.
Question 21.m. Immigration Status: If you are a U.S. citizen/national, it is ap-
propriate to answer “No” to question 21.m.1. and to leave question 21.m.2. blank.
An alien admitted to the United States under a nonimmigrant visa includes, among
others, persons visiting the United States temporarily for business or pleasure, persons
studying in the United States who maintain a residence abroad, and certain temporary
foreign workers. These aliens must answer “yes” to this question and provide the ad-
ditional documentation as required under question 26.d.to establish they are excepted
from the nonimmigrant alien prohibition. Permanent resident aliens and aliens
legally admitted to the United States pursuant to either the Visa Waiver Program or
to regulations otherwise exempting them from visa requirements may answer “no”
to this question, leave 21.m.2 blank and are not required to submit the additional
documentation under question 26.d.
ATF Form 4473 (5300.9)
Revised August 2023
Question 22. Transferee/Buyer Certication: Under 18 U.S.C. § 922(a)(1), it is
unlawful for a person to engage in the business of dealing in rearms without a
license.
A person is engaged in the business of dealing in rearms if he/she devotes time,
attention, and labor to dealing in rearms as a regular course of trade or
business to predominately earn a prot through the repetitive purchase and resale
of rearms. A license is not required of a person who only makes occasional sales,
exchanges, or purchases of rearms for the enhancement of a personal collection or
for a hobby, or who sells all or part of his/her personal collection of rearms.
Section C
Question 24. Category of Firearm(s): “Other” refers to frames, receivers, and
other rearms that are neither handguns nor long guns (ries or shotguns), such as
rearms having a pistol grip that expel a shotgun shell, or National Firearms Act
(NFA) rearms, including silencers. If a frame or receiver can only be made into a
long gun (rie or shotgun), it is still a frame or receiver, not a handgun or long gun.
All frames and receivers are “rearms” by denition, and subject to the same GCA
limitations. See 18 U.S.C § 921(a)(3)(B). 18 U.S.C. § 922(b)(1) makes it unlawful
for a licensee to sell any rearm other than a shotgun or rie to any person under the
age of 21. Since a frame or receiver for a rearm, to include one that can only be
made into a long gun, is a “rearm other than a shotgun or rie,” it cannot be trans-
ferred to anyone under the age of 21, nor can these rearms 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 rearms, or pistol
grip shotguns, since they are not “pistols or revolvers” under 18 U.S.C.§ 923(g)(3)(A).
Question 25. Qualifying Gun Show or Event: As dened in 27 CFR 478.100, a
gun show or event is a function sponsored by any national, State, or local
organization, devoted to the collection, competitive use, or other sporting use of
rearms, or an organization or association that sponsors functions devoted to the
collection, competitive use, or other sporting use of rearms in the community.
Question 26.a. Identication: Before a licensee may sell or deliver a rearm to a
nonlicensee, the licensee must establish the identity, place of residence, and age of
the transferee/buyer. The transferee/buyer must provide a valid government-issued
photo identication 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
identication card issued by a State is acceptable. Social Security cards are not
acceptable because no address, date of birth, or photograph is shown on the cards.
Identication documents such as a driver’s license or identication card issued with
binary, non-binary, or no sex designation may be used as an identication document.
A combination of government-issued documents may be provided. See instructions
for question 26.b. Supplemental Documentation.
If the transferee/buyer is a member of the Armed Forces on active duty acquiring a
rearm in the State where his/her permanent duty station is located, but he/she has
a driver’s license from another State, the transferor/seller must list the transferee’s/
buyer’s military identication card in response to question 26.a., in addition to PCS
orders as indicated in 26.c.
Question 26.b. Supplemental Documentation: Licensees may accept a
combination of valid government-issued documents to satisfy the identication
document requirements of the law. The required valid government-issued photo
identication document bearing the name, photograph, and date of birth of
transferee/buyer may be supplemented by another valid, government-issued
document showing the transferee’s/buyer’s residence address. This supplemental
documentation must be recorded in question 26.b., with the issuing authority and
type of identication presented. For example, if the transferee/buyer has two States
of residence and is trying to buy a handgun in State X, he may provide a driver’s
license (showing his name, date of birth, and photograph) issued by State Y and
another government-issued document (such as a tax document) from State X
showing his residence address. A valid electronic document from a government
website may be used as supplemental documentation provided it contains the
transferee’s/buyer’s name and current residence address.
Question 26.c. Ocial Military Orders Establishing Permanent Change of Station
(PCS): Licensees may accept electronic PCS orders to establish residency.
Question 26.d. Exceptions to the Nonimmigrant Alien Prohibition: An alien
admitted to the United States under a nonimmigrant visa is not prohibited from
purchasing, receiving, or possessing a rearm if the alien: (1) is in possession of a
hunting license or permit lawfully issued by the Federal Government, a State or local
government, or an Indian tribe federally recognized by the Bureau of Indian Aairs,
which is valid and unexpired; (2) was admitted to the United States for lawful
hunting or sporting purposes; (3) has received a waiver from the prohibition from the
Attorney General of the United States; (4) is an ocial representative of a foreign
government who is accredited to the United States Government or the
Government’s mission to an international organization having its headquarters in
the United States; (5) is an ocial representative of a foreign government who is en
route to or from another country to which that alien is accredited; (6) is an ocial of
a foreign government or a distinguished foreign visitor who has been so designated
by the Department of State; or (7) is a foreign law enforcement ocer of a friendly
foreign government entering the United States on ocial law enforcement business.
Question 27. NICS Background Checks: 18 U.S.C. § 922(t) requires that prior to
transferring any rearm to an unlicensed person, a licensed importer, manufacturer,
or dealer must rst contact the National Instant Criminal Background Check System
(NICS). NICS will advise the licensee whether the system nds any information that
the transfer to, or receipt by, the transferee is prohibited by law. For purposes of this form,
contacts to NICS include State agencies designated as points-of-contact (or POCs) to
conduct NICS checks for the Federal Government.
The licensee should NOT contact NICS and must stop the transaction if there is
reasonable cause to believe that the sale or disposition of a rearm to the transferee/
buyer is prohibited or the transferee/buyer is prohibited from receiving or possessing
a rearm, including if: the transferee/buyer answered “no” to questions 21.a; the
transferee/buyer answered “yes” to questions 21.b. – 21.1 as well as 21.n.; the
transferee/buyer answered “yes” to question 21.m.1., and answered “no” to question
21.m.2. Warning: Any person who transfers a rearm to any person knowing or
having reasonable cause to believe the sale or disposition to such person is prohib-
ited violates the law, 18 U.S.C. § 922(d), even if the transferor/seller has complied
with the Federal background check requirements.
NICS Responses: If NICS provides a “proceed” response, the transaction may
proceed. If NICS provides a “denied” or “cancelled” (and does not immediately
provide a new transaction number) response, the transferor/seller is prohibited from
transferring the rearm to the transferee/buyer. If NICS provides a “delayed”
response, the transferor/seller is prohibited from transferring rearms to the
transferee/buyer unless 3 business days have elapsed and, before the transfer, NICS
or the State has not advised the transferor that the transfer to, or receipt or
possession by, the transferee/buyer would be in violation of law. (See 27 CFR
478.102(a) for an example of how to calculate 3 business days.). If within 3
business days NICS or the State noties the transferor/seller that it has cause to
further investigate a possibly disqualifying juvenile record of a transferee/buyer
under 21 years of age, the transfer may occur only after 10 business days since
the licensee initially contacted NICS, and NICS has not notied the licensee that
the transfer is prohibited. If NICS provides a “delayed” response, NICS also will
provide a Missing Disposition Information (MDI) date that calculates the 3 business
days and reects when the rearm(s) can be transferred under Federal law. States
may not provide an MDI date. Some States may not provide a transaction number
for denials. However, if a rearm is transferred within the three business day period,
a transaction number is required. State law may impose a waiting period or other
requirements on transferring rearms.
At the time that NICS is contacted, the licensee must record in question 27.a. – 27.c.:
the date of contact, the NICS (or State) transaction number, and the initial response
provided by NICS or the State. The licensee may record the date the rearms may
be transferred to the transferee/buyer (also known as the Missing Disposition
Information (MDI) date) in 27.c. that NICS provides for delayed transactions (States may
not provide this date). If the licensee receives any subsequent response(s) before
transferring the rearm, the licensee must record in question 27.d. any response later
provided by NICS or the State, or that no response was provided within 3 business
days. If, within 3 business days, the licensee receives notice of additional
delay (only if transferee/buyer under the age of 21), the licensee must indicate this
response in item 27.d. If no response is received after 10 days, the licensee may
transfer the rearm assuming State law allows. If the licensee receives a response
from NICS or the State after the rearm has been transferred, he/she must record this
information in question 27.e. If the transaction was denied and later overturned, in
addition to checking the “Proceed” in 27.d. and entering the date, the licensee must
also check “Overturned” and, if provided, attach the overturn certicate issued by
NICS or the State POC to this ATF Form 4473. If more than 30 days have elapsed
ATF Form 4473 (5300.9)
Page 6 of 7
Revised August 2023
and a new NICS check is required, record the new transaction number, date of
contact and the response provided by NICS or the State on this Form 4473 in
questions 27.a.-27.c. Note: States acting as points of contact for NICS checks may
use terms other than “proceed,” “delayed,” “cancelled,” or “denied.” In such cases,
the licensee should check the box that corresponds to the State’s response.
Questions 28 and 29. NICS Exceptions: A NICS check is not required if the
transfer qualies for any of the exceptions in 27 CFR 478.102(d). Generally these
include: (a) transfers of National Firearms Act rearms to an individual who has
undergone a background check during the NFA approval process; (b) transfers where
the transferee/buyer has presented the licensee with a permit or license that allows
the transferee/buyer to possess, acquire, or carry a rearm, and the permit has been
recognized by ATF as a valid alternative to the NICS check requirement; or
(c) transfers certied by ATF as exempt because compliance with the NICS check
requirements is impracticable. If the transfer qualies for one of these exceptions,
the licensee must obtain the documentation required by 27 CFR 478.131. A rearm
must not be transferred to any transferee/buyer who fails to provide such documentation.
A NICS check must be conducted if an NFA rearm has been approved for transfer
to a trust, or to a legal entity such as a corporation, and no background check
was conducted as part of the NFA approval process on the individual who will
receive the rearm. Individuals who have undergone a background check during the
NFA application process are listed on the approved NFA transfer form.
Section D
Questions 30 and 31. Transfer on a Dierent Day and Recertication: If the
transfer takes place on a dierent day from the date that the transferee/buyer signed
Section B, the licensee must again check the photo identication of the transferee/
buyer at the time of transfer.
Section E
Question 32. For Use by Licensee: This item is for the licensee’s use in recording
any information he/she nds necessary to conduct business or any additional
information received from NICS that is not recorded in Questions 27.a. – 27.e.
Privacy Act Information
Solicitation of this information is authorized under 18 U.S.C. § 923(g) and 922(b)(5). Disclosure of this information by the transferee/buyer is mandatory for the transfer of a
rearm. Disclosure of the individual’s Social Security number is voluntary. The number may be used to verify the transferee’s/buyer’s identity.
For information about the routine uses of this form see System of Records Notice Justice/ATF-008, Regulatory Enforcement Records System (82 FR 44659, September 25, 2017).
Paperwork Reduction Act Notice
The information required on this form is in accordance with the Paperwork Reduction Act of 1995. The purpose of the information is to determine the eligibility of the
transferee to receive and possess rearms under Federal law. The information is subject to inspection by ATF ocers and is required by 18 U.S.C. § 922 and 923.
The estimated average burden associated with this collection is 30 minutes per respondent or recordkeeper, depending on individual circumstances. Comments about the
accuracy of this burden estimate and suggestions for reducing it should be directed to Reports Management Ocer, Resource Management Sta, Contracts and Forms Oce,
Bureau of Alcohol, Tobacco, Firearms and Explosives, 99 New York Ave, N.E. 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 Oce of Management and
Budget control number. Condentiality is not assured.
ATF Form 4473 (5300.9)
Page 7 of 7
Revised August 2023
