Fillable Form 3: Application for Tax Paid Transfer and (Bureau of Alcohol, Tobacco, Firearms, and Explosives)

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Form 3: Application for Tax Paid Transfer and (Bureau of Alcohol, Tobacco, Firearms, and Explosives)

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  • 133 check-boxes
  • 175 other fields

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U.S.A. forms for Bureau of Alcohol, Tobacco, Firearms, and Explosives

BROWSE BUREAU OF ALCOHOL, TOBACCO, FIREARMS, AND EXPLOSIVES (DC) FORMS

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2a. Transferee’s Full Legal Name and Address (Include trade name, if any) (See instruction 2d)
SUBMIT in DUPLICATE to:
2b. County/Parish
ATF Control Number
U.S. Department of Justice
Bureau of Alcohol, Tobacco, Firearms and Explosives
Application for Tax Paid Transfer and
Registration of Firearm
OMB No. 1140-0014 (08/31/2022)
1. Type of Transfer (Check one)
3a. Transferor’s Full Legal Name and Address (Include trade name, if any)
(Executors: see instruction 2l)
3d. If Applicable: Decedent’s Name, Address, and Date of Death
3
c. Transferor’s Telephone (Area Code and Number)
3e. Number, Street, City, State and Zip Code of Residence (or Firearms Business Premises)
If Dierent from Item 3a.
The above-named and undersigned transferor hereby makes application as required by Section 5812 of the National Firearms Act to transfer and register the rearm described
below to the transferee.
4. Description of Firearm (Complete items a through h) (See instruction 2n)
d. Model
g. Serial Number
h. Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)
Under Penalties of Perjury, I Declare that I have examined this application, and to the best of my knowledge and belief it is true, correct and complete, and that the transfer
of the described rearm to the transferee and receipt and possession of it by the transferee are not prohibited by the provisions of Title 18, United States Code; Chap 44;
Title 26, United States Code; Chap 53; or any provisions of State or local law.
9. Signature of Transferor (Or authorized ocial) 10. Name and Title of Authorized Ocial (Print or type)
11. Date
ATF Form 4 (5320.4)
Revised September 2019
The Space Below is for the use of the Bureau of Alcohol, Tobacco, Firearms and Explosives
Approved (With the following conditions, if any)
By Authority of The Director, This Application Has Been Examined, and the Transfer and Registration of the Firearm
Described Herein and the Interstate Movement of that Firearm, When Applicable, to the Transferee are:
Disapproved (For the following reasons)
Signature of Authorized ATF Ocial
Date
$5 $200
Submit the appropriate tax payment with the application.
The tax may be paid by credit or debit card, check, or money
order. Please complete item 20. Upon approval of
the application, we will affix and cancel the required
National Firearms Act stamp. (See instructions 2b, 2j and 3)
Stamp Denomination
3b. E-mail address
Individual
Trust
Previous Editions Are Obsolete
ATF Copy
e. Barrel Length:
f. Overall Length:
b. Type of Firearm (see denitions 1c)
a. Name and Address of Maker Manufacturer and/or
Importer of Firearm
c. Caliber or
Gauge
Other Legal Entity
Corporation
5. Transferee’s Federal Firearms License (if any) or Explosives License or Permit Number
(Give complete 15-digit number) (See instruction 2c)
2 digits
2 digits
First 6 digits
5 digits
First 6 digits
2 digits
2 digits
5 digits
7. Transferor’s Federal Firearms License (If any)
6. Transferee’s Special (Occupational) Tax Status (If any)
a. Employer Identication Number
8. Transferor’s Special (Occupational) Tax Status (If any)
b. Class
b. Classa. Employer Identication Number
National Firearms Act Division
Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 5015, Portland, OR 97208-5015
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14. Answer questions 14.a. through 14.h. Answer questions 16, 17, 18, 19 and 20, if applicable. For any “Yes” answer the transferee shall provide details on a separate
sheet. (See instruction 7b and denitions)
Yes No
a. Are you under indictment or information in any court for a felony, or any other crime, for which the judge
could imprison you for more than one year? (See denition 1m)
b. Have you ever been convicted in any court for a felony, or any other crime, for which the judge could have
imprisoned you for more than one year, even if you received a shorter sentence including probation? (See definition 1m)
c. Are you a fugitive from justice? (See denition 1s)
d. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any
other controlled substance? Warning: The use or possession of marijuana remains unlawful
under Federal law regardless of whether it has been legalized or decriminalized for medicinal or
recreational purposes in the state where you reside.
e. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental
institution? (See denitions1n and 1o)
f. Have you been discharged from the Armed Forces under dishonorable conditions?
h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See denition 1q)
g. Are you subject to a court order restraining you from harassing, stalking, or threatening your child or an
intimate partner or child of such partner? (See denition 1p)
Transferee Certication
I, , have a reasonable necessity to possess the machinegun, short-barreled rie,
short-barreled shotgun, or destructive device described on this application for the following reason(s)
and my possession of the device or weapon would be consistent with public safety (18 U.S.C. § 922(b) (4) and 27 CFR § 478.98).
(Name and Title of Transferee)
ATF Form 4 (5320.4)
Revised September 2019
The transferee is to provide notication of the proposed acquisition and possession of the rearm described on this Form 4 by providing a copy of the completed form to the
chief law enforcement ocer in the agency identied below:
Transferee Questions (Complete Only When Transferee is An Individual)
Information for the Chief Law Enforcement Ocer
This form provides notication of the transferee’s intent to acquire and possess a National Firearms Act (NFA) rearm. No action on your part is required. However, should
you have information that may disqualify this person from acquiring or possessing a rearm, please contact the NFA Division at (304) 616-4500 or NFA@atf.gov. A “Yes”
answer to items 14.a. through 14.h. or 18.d. or 18.e. could disqualify a person from acquiring or possessing a rearm. Also, ATF will not approve an application if the
transfer or possession of the rearm is in violation of State or local law.
13. Transferee Necessity Statement (See instruction 2e)
Yes No
e. Are you an alien illegally or unlawfully in the United States?
N/A
19. If you are an alien, record your U.S.-Issued Alien or Admission number (AR#, USCIS#, or 194#):
f.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa?
f.2. If “yes”, do you fall within any of the exceptions stated in the instructions? Attach the documentation to the application
d. Have you ever renounced your United States citizenship?
Ax a 2” x 2” Photograph here.
No Stapling. Tape Sides of Photo to the
Application.
1. Photo must have been taken within the
last year.
2. Photo must have been taken in full face
view without a hat or head covering that
obscures the hair or hairline.
3. On back of photograph print full name,
last 4 of SSN.
15. Photograph
Agency or Department Name Name and Title of Ocial
Address (Street address or P.O. Box, City, State and Zip Code) to which sent (mailed or delivered)
12. Law Enforcement Notication (See instruction 2f)
16. Social Security Number: (See instruction 2h)
Date of Birth:
20. Have you been issued a Unique Personal Identication Number (UPIN)? (See instruction 2h) If yes please list
Yes No
ATF Copy
American Indian or Alaska Native
Black or African American White
Asian
Native Hawaiian or Other Pacic Islander
17b. Race
United States of America
Other Country/Countries (specify):
18b. State of Birth
18c.Country of Birth
18a. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.) (See denition 1r)
17a. Ethnicity
Hispanic or Latino
Not Hispanic or Latino
Important Information for Currently Registered Firearms
If you are the current registrant of the rearm described on this form, please note the following information.
Estate Procedures: For procedures regarding the transfer of rearms in an estate resulting from the death of the registrant identied in item 2a, the executor should contact the NFA
Division, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405.
Change of Address: Unless currently licensed under the Gun Control Act, the registrant shall notify the NFA Division, Bureau of Alcohol, Tobacco, Firearms and
Explosives, 244 Needy Road, Martinsburg, WV 25405, in writing, of any change to the address in item 2a.
Change of Description: The registrant shall notify the NFA Division, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405, in writing, of
any change to the description of the rearm(s) in item 4.
Interstate Movement: If the rearm identied in item 4 is a machinegun, short-barreled rie, short-barreled shotgun, or destructive device, the registrant may be required by 18
U.S.C. § 922(a)(4) to obtain permission from ATF prior to any transportation in interstate or foreign commerce. ATF Form 5320. 20 can be used to request this permission.
Restrictions on Possession: Any restriction (see approval block on face of form) on the possession of the rearm identied in item 4 continues with the further transfer of the rearm.
Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a rearm, please contact the NFA Division for procedures on how to dispose of
the rearm.
Proof of Registration: A person possessing a rearm registered as required by the NFA shall retain proof of registration which shall be made available to any ATF ocer upon request.
ATF Form 4 (5320.4)
Revised September2019
Paperwork Reduction Act Notice
This form meets the clearance requirements of the Paperwork Reduction Act of 1995. The information you provide is used in applying to transfer serviceable rearms taxpaid. Data is used to iden-
tify transferor, transferee, and rearm, and to ensure legality for transfer under Federal, State and local laws. The furnishing of this information is mandatory (26 U.S.C. § 5812).
The estimated average burden associated with this collection of information is 3.78 hours per respondent or recordkeeper, depending on individual circumstances. Comments concerning the accuracy
of this burden estimate and suggestion for reducing this burden should be addressed to Reports Management Ocer, Information Technology Coordination Sta, Bureau of Alcohol, Tobacco,
Firearms and Explosives, Washington, DC 20226.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
23. Method of Payment (Check one) (See instruction 2j) (if paying by credit/debit card, complete the section below)
Name as Printed on the Credit/Debit Card
Credit/Debit Card Number (No dashes)
Credit/Debit Card
Billing Address:
Visa Mastercard
American
Express
Discover
Diners Club
Address:
City:
State: Zip Code:
Check (Enclosed)
Cashier’s Check or
Money Order (Enclosed)
Expiration Date (Month & year)
Tax Amount:
Signature of Cardholder
I Authorize ATF to Charge my Credit/Debit Card the Tax Amount.
Date
$
Your credit/debit card will be charged the above stated amount upon receipt of the application. The charge will be reected on your credit/debit card statement.
In the event your application is NOT approved, the above amount will be credited to the credit/debit card noted above.
21. Number of Responsible Persons (see denitions) associated with the transferee trust or legal entity
22. Provide the full name (printed or typed) below for each Responsible Person associated with the applicant trust or legal entity (if there are more Responsible Persons than
can be listed on the form, attach a separate sheet listing the additional Responsible Person(s)). Please note that a completed Form 5320.23, National Firearms Act (NFA)
Responsible Person Questionnaire, must be submitted with the Form 4 application for each Responsible Person.
Full Name Full Name
ATF Copy
CERTIFICATION: Under penalties imposed by 18 U.S.C. § 924 and 26 U.S.C. § 5861, I certify that, upon submission of this form to ATF, a completed copy of this form will be directed
to the chief law enforcement ocer (CLEO) shown in item 12, that the statements, as applicable, contained in this certication, and any attached documents in support thereof, are true
and correct to the best of my knowledge and belief. NOTE: See instructions 2.d(2) and 2.d(3) for the items to be completed depending on the type of transferee.
Signature of Transferee
Date
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Denitions/Instructions
1. Denitions
a. National Firearms Act (NFA). Title 26, United States Code, Chapter 53. The
implementing regulations are found in Title 27, Code of Federal Regulations,
Part 479.
b. Gun Control Act (GCA). Title 18, United States Code, Chapter 44.
The implementing regulations are found in Title 27, Code of Federal
Regulations, Part 478.
c. Firearm. The term “rearm” means: (1) a shotgun having a barrel or
barrels of less than 18 inches in length; (2) a weapon made from a shotgun
if such weapon as modied has an overall length of less than 26 inches or
a barrel or barrels of less than 18 inches in length; (3) a rie having a barrel
or barrels of less than 16 inches in length; (4) a weapon made from a rie
if such weapon as modied has an overall length of less than 26 inches or
a barrel or barrels of less than 16 inches in length; (5) any other
weapon as dened in 26 U.S.C. § 5845(e); (6) a machinegun; (7) a muer
or silencer for any rearm whether or not such rearm is included
within this denition; and (8) a destructive device.
d. Person. A partnership, company, association, trust, corporation, including
each responsible person associated with such an entity; an estate; or an
individual.
Section A.
e. Responsible Person. In the case of an unlicensed entity, including any
trust, partnership, association, company (including any Limited Liability
Company (LLC)), or corporation, any individual who possesses, directly or
indirectly, the power or authority to direct the management and policies of
the trust or entity to receive, possess, ship, transport, deliver, transfer or
otherwise dispose of a rearm for, or on behalf of, the trust or legal entity.
Section B.
Trust: Those persons with the power or authority to direct the management
and policies of the trust includes any person who has the capability to
exercise such power and possesses, directly or indirectly, the power or
authority under any trust instrument, or under State law, to receive,
possess, ship, transport, deliver, transfer, or otherwise dispose of a rearm
for, or on behalf of the trust. Examples of who may be considered a
responsible person include settlors/grantors, trustees, partners, members,
ocers, directors, board members, or owners. An example of who may
be excluded from this denition of responsible person is the beneciary
of a trust, if the beneciary does not have the capability to exercise the
enumerated powers or authorities.
f. Employer Identication Number (EIN). Required of taxpayer ling
special (occupational) tax returns under 27 CFR § 479.35.
g. Special (Occupational) Tax. Required by the NFA to be paid by a
Federal rearms licensee engaged in the business of manufacturing (Class
2), importing (Class 1), or dealing (Class 3) in NFA rearms.
h. Federal Firearms License. A license issued under the provisions of the
GCA to manufacture, import or deal in rearms.
i. ATF Ocer. An ocer or employee of the Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF) authorized to perform any function
relating to the administration of the NFA.
j. Transfer. Selling, assigning, pledging, leasing, loaning, giving away, or
otherwise disposing of a rearm.
k. Transferor. The person selling or otherwise disposing of a rearm;
including applying to transfer a rearm.
l. Transferee. The person acquiring the rearm.
m. Prohibited Person. Generally, 18 U.S.C. § 922(g) prohibits the shipment,
transportation, receipt, or possession in or aecting interstate commerce
of a rearm by one who: has been convicted of a misdemeanor crime of
domestic violence; has been convicted of a felony, or 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); is a fugitive from justice; is an unlawful user of, or addicted to,
mari juana 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; has renounced his or her U.S.
citizenship; is an alien illegally in the United States or an alien admitted
to the United States under a nonimmigrant visa; or is subject to certain
restraining orders. Furthermore, Section 922(n) prohibits the shipment,
transportation, or receipt in or aecting interstate commerce of a rearm
by one who 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 information is a formal accusation of a crime
veried by a prosecutor.
EXCEPTION: A person who has been convicted of a felony, or any other
crime, for which the judge could have imprisoned the person for more than
one year, or who has been convicted of a misdemeanor crime of domestic
violence, is not prohibited from purchasing, receiving, or possessing a rearm
if: (1) under the law of the jurisdication where the conviction occurred, the
person has been pardoned, the conviction has been expunged or set aside, or
the person has had their civil rights (the right to vote, sit on a jury, and hold
public oce) taken away and later restored AND (2) the person is not prohibited
by the law of the jurisdiction where the conviction occurred from receiving or
possessing rearms. Persons subject to this exception should mark “no” in the
applicable box.
n. 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 aairs. 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.
ATF Form 4 (5320.4)
Revised September 2019
Privacy Act Information
The following information is provided pursuant to Section 3 of the Privacy Act of 1974 (5 U.S.C. § 552(e)(3)):
1. Authority. Solicitation of this information is made pursuant to the National Firearms Act (26 U.S.C. § 5812). Disclosure of this information by the applicant is
mandatory for transfer of an NFA rearm, unless the transfer is otherwise exempt from tax.
2. Purpose. To insure payment of the tax imposed by 26 U.S.C. § 5811; to insure that the transfer would not be in violation of law; and to eect registration of the
rearm.
3. Routine Uses. The information will be used by ATF to make the determinations set forth in paragraph 2. In addition, to eect registration of the rearm, information
as to the identication of the rearm, date of registration, and the identication and address of person entitled to possess the rearm will be entered into the National
Firearms Registration and Transfer Record. No information obtained from an application, registration, or records required to be submitted by an individual in order
to comply with any provision of the National Firearms Act or regulation issued thereunder, shall, except in connection with prosecution or other action for furnishing
information, be used, directly or indirectly, as evidence against that person in any criminal proceeding with respect to a violation of law occurring prior to or concurrently
with the ling of the application. The information from this application may only be disclosed to Federal authorities for purposes of prosecution for violation of the
National Firearms Act.
4. Eects of not Supplying Information Requested. Failure to supply complete information will delay processing and may cause denial of the application.
o. Committed to a Mental Institution. A formal commitment of a person to
a mental institution by a court, board, commission, or other lawful authority.
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.
EXCEPTION 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 the 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 suer from the mental health condition that served
as the basis of the initial adjudication/commitment; or (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 adjudication as a mental defective
consistent with 922(g)(4) of title 18, United States code; or (e) the person was
granted relief from the adjudicating/committing agency pursuant to a qualied
mental health relief from disabilities program. Persons who fall within one
of the above exceptions should mark “no” in the applicable box. 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 a lack of mental responsibility, or found incompetent to
stand trial, in any criminal case or under the Uniform Code of Military
Justice.
p. Restraining Order. 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.
q. Misdemeanor Crime of Domestic Violence: A Federal, State, local,
tribal oense that is a misdemeanor under the 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 cohabitating with, or has cohabited
with the victim as a spouse, parent, or guardian, or by a person similarly
situated to a spouse, parent, or guardian of the victim. The term includes
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 oense is committed by one of the dened parties. (See
Exception in the denition of “Prohibited Person”). 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; 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 subject to this exception
should mark “no” in the applicable box.
r. Alien Admitted to the United States Under a Nonimmigrant Visa. 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 question 16.d.1 and provide the additional
documentation required under question 16.d.2. Permanent resident aliens
and aliens legally admitted to the United States pursuant either the Visa
Waiver Program or to regulations otherwise exempting them from visa
requirements may answer “no” to this question and are not required to
submit the additional documentation under 16.d.2. 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 Aairs, which is valid and unexpired; (2) was
admitted to the United States for lawful hunting or sporting purposes; (3)
is an ocial 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; (4)
is an ocial representative of a foreign government who is enroute to or from
another country to which that alien is accredited; (5) is an ocial of a foreign
government or a distinguished foreign visitor who has been so designated by the
Department of State; (6) is a foreign law enforcement ocer of a friendly foreign
government entering the United States on ocial law enforcement business; (7)
has received a waiver from the prohibition from the Attorney General of the
United States.
s. Fugitives 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.
2. Preparation of Application
a. Authority. As provided by 26 U.S.C. §§ 5811 and 5812, any person seeking to
transfer a rearm must submit, in duplicate, a separate application on this form for each
rearm. The transferor must furnish all the information called for, except as noted by
instructions within, on this application form. Please note that the form now contains
a 3rd (CLEO) copy of the form for use in compliance with instruction 2f and item 12
of the form.
b. Transfer Tax Rates. The transfer tax is $200.00 except when the rearm
is an ‘any other weapon’ where the tax rate is $5.00.
c. Federal Firearms Licensees. If the transferor or transferee is a Federal Firearms
licensee (FFL) under the GCA, the licensee’s complete name, trade name (if any),
and address shall be entered in items 2a or 3a of this form, respectively. The complete
license number for each shall be entered in items 5 and 7 of the form and if the licensee
is a special (occupational) taxpayer under the NFA, the licensee’s employer
identication number (EIN) shall be entered in item 6 and 8 of the form, along
with the class of special tax paid. IMPORTANT NOTE: The business structure
of the licensee shall be described consistently. For example, if the transferor is a sole
proprietor, item 3a shall reect the FFL information for the sole proprietor business
and item 7 shall reect the FFL number for that sole proprietor business. Item 8
will reect the EIN for the sole proprietor business. If the special tax is paid as a
corporation, then it is not valid for the transaction. Similarly, a corporation name
shown in item 3a with the FFL number and EIN of a sole proprietor will not be valid
for the transaction.
d. Completion of Form (NOTE: if the transferee is a Federal rearms
licensee except for a Type 03 licensee, items 12, 13, 14, 15, 16, 17, 18,
19, 20, 21 are required to be completed) .
(1) The transferor shall provide the transferee’s full legal name to include middle and
physical address (no Post Oce boxes) in item 2a. If the transferee is a trust or
legal entity, show only the complete name of the trust or legal entity and do not
include any individual names (such as names of trustees or corporate ocials).
The address shall be the location within the particular state where the rearm
will be maintained for a trust or legal entity. In the case of two or more locations
for a legal entity, the address shown shall be the principal place of business
within the particular state (or principal oce, in the case of a corporation).
(2) If the transferee is an individual, the entire Form 4 shall be completed except for
items 21 and 22. In addition, the transferee must include his or her ngerprints on
FBI Form FD-258 and his or her photos (see instruction 2g).
(3) If the transferee is other than an individual, e.g., a trust or legal entity such as a
corporation, the transferee shall not complete items 14, 15, 16, 17, 18, 19 and
20. All other items must be completed including the signing of the Transferee
Certication statement by the transferee. See 2.d.5. for Responsible Person
Requirements
ATF Form 4 (5320.4)
Revised September 2019
(4) Documentation of entity existence:
(a) If the transferee is other than an individual, the transferee must
attach documentation evidencing the existence and validity of
the entity, which includes complete and unredacted copies of
partnership agreements, articles of incorporation, corporate
registration, declarations of trust with any trust schedules,
attachments, exhibits, and enclosures.
(b) If the transferee entity has had an application approved as a
maker or transferee within the preceding 24 months of the date
of ling this application, and there has been no change to the
documentation evidencing the existence and validity of the entity
previously provided, the entity may provide a certication that
the information has not been changed since the prior approval and
shall identify the application for which the documentation had
been submitted by form number, serial number, and date
approved.
(5) If the transferee is other than an individual, each responsible person of
the trust or legal entity (see denition 1e) must include a completed
ATF Form 5320.23, National Firearms Act (NFA) Responsible Person
Questionnaire, with the submitted Form 4.
(6) Item 22 (Method of Payment) is obscured on the ATF Copy 2
(Registrant) and the CLEO copy. In addition, item 4g (serial number)
is obscured on the CLEO copy. These elds do not require completion
on these copies.
e. Transferee Necessity Statement. Item 13 must be completed by the transferee if:
(1) the rearm to be transferred is a machinegun, short-barreled rie,
short-barreled shotgun, or destructive device;
(2) the transferor is licensed under the GCA to deal in such device or re
arm; and
(3) the transferee is not licensed under the GCA to deal in such device or
rearm.
f. Law Enforcement Notication. The transferee must provide a copy of the
Form 4 to the chief law enforcement ocer (CLEO) who has jurisdiction
over the area of the transferee’s address shown in item 2a of the Form 4. In
addition, if the transferee is other than an individual, a copy of the Form
5320.23, National Firearms Act (NFA) Responsible Person Question
naire, completed by each responsible person must be provided to their
respective chief law enforcement ocer. The chief law enforcement
ocer is considered to be the Chief of Police; the Sheri; the Head of the
State Police, or a State or local district attorney or prosecutor.
g. Photographs and Fingerprints. An individual transferee, except if
licensed as a manufacturer, importer, or dealer under the GCA, must (1)
attach to item 15 of the ATF Form 4, except for the CLEO copy a
2 inch x 2 inch photograph of the frontal view of the transferee taken within
1 year prior to the date of the application and (2) submit two properly
completed FBI Forms FD-258 (Fingerprint Card with blue lines) with the
application. The ngerprints must be clear for accurate classication and
taken by someone properly equipped to take them.
h. Social Security and UPIN. The Social Security number and UPIN are
not required. However, this information assists with the ecient
completion of the NICS background check. Please be aware that refusal
to provide this informatin may result in a delay in the NICS backgrund
check process.
i. Signatures. All signatures required on ATF Form 4 must be original in
ink on both copies. Exceptions: In the case of eforms or where a variance
has been granted a Digital/Electronic signature may be used.
(1) if the transferee is an individual, the applicant shall sign the form;
(2) if the transferee is the estate of a decedent where the rearm is being
transferred to other than a beneciary, the executor or administrator of
the estate shall sign the form;
(3) if the transferee is a trust or legal entity, a responsible person of the trust
or legal entity shall sign the form; or
ATF Form 4 (5320.4)
Revised September 2019
(4) if the transferee is a Federal rearms licensee, a responsible person of
the Federal rearms licensee or such other employee of the Federal
rearms licensee as authorized by a responsible person shall sign the
form.
j. Remittance. The applicant shall complete item 22. Please note that you
may pay by credit/debit card, check, or money order. The check or
money order is to be made payable to ATF. Do not send cash.
k. Photocopies, Computer Generated Versions, or Downloaded
Version. The form may be copied or downloaded (for example, from the
ATF website (www.atf.gov)). The form does not have to be printed front
to back.
l. Estates, Trusts, and Other Transfers by Operation of Law. When a
rearm is being transferred tax exempt from an estate by bequest or intestate
succession (See 27 CFR § 479.90a), or by other operation of law to a
beneciary or other authorized recipient, ATF Form 5 is used to eect the
transfer otherwise, Form 4 is used. See ATF Form 5 for additional
information.
m. Submission. The transferor shall submit 2 forms (ATF Copy 1 and Copy
2 (Registrant)) to the NFA Division at the address on the face of the form.
All items on the form are to be completed except as noted in the instructions
and any attachment included with the submission. The applicant shall direct
the 3rd copy (CLEO) complete copy of the form to the chief law
enforcement ocer as provided in instruction 2f and item 12.
n. Description of Firearm and Markings. (1) Item 4a. please provide
the name and address of the maker, manufacturer or importer of the
rearm. If there are additional makers, manufacturers, or importers, include
this information in item 4h or on a separate sheet of paper. (2) Item 4b.
the types of NFA rearm are listed in instruction 1c. (3) Item 4c. specify
one caliber or gauge. If there are additional calibers associated with the
description of the rearm, include this information in item 4h or on a
separate piece of paper. (4) Item 4d. show the model designation (if
any)(5) Item 4e. and 4f. specify the barrel and overall lengths as
applicable. If there are additional barrel and overall lengths associated
with the description of the rearm, include this information in item 4h. or
on a separate sheet of paper. (6) Item 4g. enter the serial number of
the rearm as it appears on the rearm. (7) If there are dierences
between the description of the rearm on the form in comparison to the
physical description of the rearm or in the markings on the rearm,
including the serial number, contact the NFA Division in regard to these
dierences.
o. State or Local Permit. If a State or local permit or license is required
for the transferee prior to acquisition of the rearm, a copy of the permit
must be included with the application. If the transferee is a trust or legal
entity, when the State of residence for any responsible person requires a
State or local permit or license, a copy of the permit or license must be
submitted with Form 5320.23, National Firearms Act (NFA) Responsible
Person Questionnaire.
3. Approval of Application. Upon approval of an application, the NFA Division
will return the approved copy to the transferor for delivery with the rearm to the
transferee. Since the approval of the application eectuates registration of the
rearm to the transferee, the physical transfer of the rearm must be
completed immediately; however, the transferor must not transfer the rearm
until the application has been approved and received. If the physical transfer
of the rearm cannot be completed immediately, the transferor must contact
the NFA Division with the specics.
4. Withdrawal of Application. The application may be withdrawn prior to approval by the
submission of a signed, written request to the Chief, NFA Division either by mail to 244
Needy Road, Martinsburg, WV 25405 or by emailing a signed copy to nfafax@atf.gov.
5. Cancellation of Approved Application. The transferor may cancel an approved
application only if the physical transfer of the rearm has not been completed. The
transferor must return the approved application with the original tax stamp axed
with a written request for cancellation, citing the need and that the physical transfer
of the rearm did not take place. The request shall be directed to the Chief, NFA
Division, 244 Needy Road, Martinsburg, WV. 25405. The NFA Division will
arrange for a refund of the tax paid.
6. Disapproval of Application. If the application is disapproved, the NFA Division
will note the reason for disapproval on the application and return one copy of the ATF
Form 4 to the transferor.
7. Reasons for Disapproval. 26 U.S.C. § 5812 provides that applications shall be
denied if the transfer, receipt, or possession of the rearm would place the transferee
in violation of law.
a. Violation of Law. Applications shall be denied if the receipt or possession
of the rearm would place the person receiving or possessing the rearm in
violation of law.
b. Persons Prohibited from Receiving a Firearm. The application will be
disapproved if the transferee is a person prohibited from receiving a rearm.
For information regarding persons prohibited from receiving a rearm, refer
to denitions 1m through 1r.
8. Status Inquiries and Questions. Information relating to the NFA and other rearms
laws is available at the ATF Internet website at www.atf.gov. Any inquiry relating to
the status of an application to transfer an NFA rearm or about procedures in general
should be directed to the NFA Division at (304) 616-4500 or emailed to
nfa@atf.gov. Please be aware that any dissemination by ATF of information relating
to the application to register an NFA rearm must conform with the restrictions in
26 U.S.C. § 6103.
9. Penalties. Any person who violates or fails to comply with any of the
requirements of the NFA shall, upon conviction, be ned not more than $10,000
or be imprisoned for not more than 10 years, or both. Any rearm involved in
a violation of the NFA shall be subject to seizure and forfeiture. It is unlawful
for any person to make or cause the making of a false entry on any application
or record required by the NFA knowing such entry to be false.
10. Compliance with the Gun Control Act. Persons must also comply with all
relevant portions of the GCA.
ATF Form 4 (5320.4)
Revised September 2019
ATF Copy 2 - To Be Returned to Registrant
2a. Transferee’s Full Legal Name and Address (Include trade name, if any) (See instruction 2d)
SUBMIT in DUPLICATE to:
2b. County/Parish
ATF Control Number
U.S. Department of Justice
Bureau of Alcohol, Tobacco, Firearms and Explosives
Application for Tax Paid Transfer and
Registration of Firearm
OMB No. 1140-0014 (08/31/2022)
1. Type of Transfer (Check one)
3a. Transferor’s Full Legal Name and Address (Include trade name, if any)
(Executors: see instruction 2l)
3d. If Applicable: Decedent’s Name, Address, and Date of Death
3c. Transferor’s Telephone (Area Code and Nu mber)
3e. Number, Street, City, State and Zip Code of Residence (or Firearms Business Premises)
If Dierent from Item 3a.
The above-named and undersigned transferor hereby makes application as required by Section 5812 of the National Firearms Act to transfer and register the rearm described
below to the transferee.
4. Description of Firearm (Complete items a through h) (See instruction 2n)
d. Model
g. Serial Number
h. Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)
Under Penalties of Perjury, I Declare that I have examined this application, and to the best of my knowledge and belief it is true, correct and complete, and that the transfer
of the described rearm to the transferee and receipt and possession of it by the transferee are not prohibited by the provisions of Title 18, United States Code; Chap 44;
Title 26, United States Code; Chap 53; or any provisions of State or local law.
9. Signature of Transferor (Or authorized ocial) 10. Name and Title of Authorized Ocial (Print or type)
11. Date
ATF Form 4 (5320.4)
Revised September 2019
The Space Below is for the use of the Bureau of Alcohol, Tobacco, Firearms and Explosives
Approved (With the following conditions, if any)
By Authority of The Director, This Application Has Been Examined, and the Transfer and Registration of the Firearm
Described Herein and the Interstate Movement of that Firearm, When Applicable, to the Transferee are:
Disapproved (For the following reasons)
Signature of Authorized ATF Ocial
Date
$5 $200
Submit the appropriate tax payment with the application.
The tax may be paid by credit or debit card, check, or money
order. Please complete item 20. Upon approval of
the application, we will affix and cancel the required
National Firearms Act stamp. (See instructions 2b, 2j and 3)
Stamp Denomination
3b. E-mail address
Individual
Trust
Previous Editions Are Obsolete
e. Barrel Length:
f. Overall Length:
b. Type of Firearm (see denitions 1c)
a. Name and Address of Maker Manufacturer and/or
Importer of Firearm
c. Caliber or
Gauge
Other Legal Entity
Corporation
5. Transferee’s Federal Firearms License (if any) or Explosives License or Permit Number
(Give complete 15-digit number) (See instruction 2c)
2 digits
2 digits
First 6 digits
5 digits
First 6 digits
2 digits
2 digits
5 digits
7. Transferor’s Federal Firearms License (If any)
6. Transferee’s Special (Occupational) Tax Status (If any)
a. Employer Identication Number
8. Transferor’s Special (Occupational) Tax Status (If any)
b. Class
b. Classa. Employer Identication Number
National Firearms Act Division
Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 5015, Portland, OR 97208-5015
click to sign
signature
click to edit
ATF Copy 2 - To Be Returned to Registrant
14. Answer questions 14.a. through 14.h. Answer questions 16, 17, 18, 19 and 20, if applicable. For any “Yes” answer the transferee shall provide details on a separate
sheet. (See instruction 7b and denitions)
Yes No
a. Are you under indictment or information in any court for a felony, or any other crime, for which the judge
could imprison you for more than one year? (See denition 1m)
b. Have you ever been convicted in any court for a felony, or any other crime, for which the judge could have
imprisoned you for more than one year, even if you received a shorter sentence including probation? (See definition 1m)
c. Are you a fugitive from justice? (See denition 1s)
d. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any
other controlled substance? Warning: The use or possession of marijuana remains unlawful
under Federal law regardless of whether it has been legalized or decriminalized for medicinal or
recreational purposes in the state where you reside.
e. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental
institution? (See denitions1n and 1o)
f. Have you been discharged from the Armed Forces under dishonorable conditions?
h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See denition 1q)
g. Are you subject to a court order restraining you from harassing, stalking, or threatening your child or an
intimate partner or child of such partner? (See denition 1p)
Transferee Certication
I, , have a reasonable necessity to possess the machinegun, short-barreled rie,
short-barreled shotgun, or destructive device described on this application for the following reason(s)
and my possession of the device or weapon would be consistent with public safety (18 U.S.C. § 922(b) (4) and 27 CFR § 478.98).
(Name and Title of Transferee)
ATF Form 4 (5320.4)
Revised September 2019
The transferee is to provide notication of the proposed acquisition and possession of the rearm described on this Form 4 by providing a copy of the completed form to the
chief law enforcement ocer in the agency identied below:
Transferee Questions (Complete Only When Transferee is An Individual)
Information for the Chief Law Enforcement Ocer
This form provides notication of the transferee’s intent to acquire and possess a National Firearms Act (NFA) rearm. No action on your part is required. However, should
you have information that may disqualify this person from acquiring or possessing a rearm, please contact the NFA Division at (304) 616-4500 or NFA@atf.gov. A “Yes”
answer to items 14.a. through 14.h. or 18.d. or 18.e. could disqualify a person from acquiring or possessing a rearm. Also, ATF will not approve an application if the
transfer or possession of the rearm is in violation of State or local law.
13. Transferee Necessity Statement (See instruction 2e)
Yes No
e. Are you an alien illegally or unlawfully in the United States?
N/A
19. If you are an alien, record your U.S.-Issued Alien or Admission number (AR#, USCIS#, or 194#):
f.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa?
f.2. If “yes”, do you fall within any of the exceptions stated in the instructions? Attach the documentation to the application
d. Have you ever renounced your United States citizenship?
Ax a 2” x 2” Photograph here.
No Stapling. Tape Sides of Photo to the
Application.
1. Photo must have been taken within the
last year.
2. Photo must have been taken in full face
view without a hat or head covering that
obscures the hair or hairline.
3. On back of photograph print full name,
last 4 of SSN.
15. Photograph
Agency or Department Name
Name and Title of Ocial
Address (Street address or P.O. Box, City, State and Zip Code) to which sent (mailed or delivered)
12. Law Enforcement Notication (See instruction 2f)
Date of Birth:
American Indian or Alaska Native
Black or African American White
Asian
Native Hawaiian or Other Pacic Islander
17b. Race
United States of America
Other Country/Countries (specify):
18b. State of Birth
18c.Country of Birth
18a. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.) (See denition 1r)
17a. Ethnicity
Hispanic or Latino
Not Hispanic or Latino
20. Have you been issued a Unique Personal Identication Number (UPIN)? (See instruction 2h) If yes please list
Yes No
ATF Copy 2 - To Be Returned To Registrant
Important Information for Currently Registered Firearms
If you are the current registrant of the rearm described on this form, please note the following information.
Estate Procedures: For procedures regarding the transfer of rearms in an estate resulting from the death of the registrant identied in item 2a, the executor should contact the NFA
Division, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405.
Change of Address: Unless currently licensed under the Gun Control Act, the registrant shall notify the NFA Division, Bureau of Alcohol, Tobacco, Firearms and
Explosives, 244 Needy Road, Martinsburg, WV 25405, in writing, of any change to the address in item 2a.
Change of Description: The registrant shall notify the NFA Division, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405, in writing, of
any change to the description of the rearm(s) in item 4.
Interstate Movement: If the rearm identied in item 4 is a machinegun, short-barreled rie, short-barreled shotgun, or destructive device, the registrant may be required by 18
U.S.C. § 922(a)(4) to obtain permission from ATF prior to any transportation in interstate or foreign commerce. ATF Form 5320. 20 can be used to request this permission.
Restrictions on Possession: Any restriction (see approval block on face of form) on the possession of the rearm identied in item 4 continues with the further transfer of the rearm.
Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a rearm, please contact the NFA Division for procedures on how to dispose of
the rearm.
Proof of Registration: A person possessing a rearm registered as required by the NFA shall retain proof of registration which shall be made available to any ATF ocer upon request.
ATF Form 4 (5320.4)
Revised September 2019
Paperwork Reduction Act Notice
This form meets the clearance requirements of the Paperwork Reduction Act of 1995. The information you provide is used in applying to transfer serviceable rearms taxpaid. Data is used to iden-
tify transferor, transferee, and rearm, and to ensure legality for transfer under Federal, State and local laws. The furnishing of this information is mandatory (26 U.S.C. § 5812).
The estimated average burden associated with this collection of information is 3.78 hours per respondent or recordkeeper, depending on individual circumstances. Comments concerning the accuracy
of this burden estimate and suggestion for reducing this burden should be addressed to Reports Management Ocer, Information Technology Coordination Sta, Bureau of Alcohol, Tobacco,
Firearms and Explosives, Washington, DC 20226.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
21. Number of Responsible Persons (see denitions) associated with the transferee trust or legal entity
22. Provide the full name (printed or typed) below for each Responsible Person associated with the applicant trust or legal entity (if there are more Responsible Persons than
can be listed on the form, attach a separate sheet listing the additional Responsible Person(s)). Please note that a completed Form 5320.23, National Firearms Act (NFA)
Responsible Person Questionnaire, must be submitted with the Form 4 application for each Responsible Person.
Full Name Full Name
CERTIFICATION: Under penalties imposed by 18 U.S.C. § 924 and 26 U.S.C. § 5861, I certify that, upon submission of this form to ATF, a completed copy of this form will be directed
to the chief law enforcement ocer (CLEO) shown in item 12, that the statements, as applicable, contained in this certication, and any attached documents in support thereof, are true
and correct to the best of my knowledge and belief. NOTE: See instructions 2.d(2) and 2.d(3) for the items to be completed depending on the type of transferee.
Signature of Transferee
Date
CLEO Copy
ATF Form 4 (5320.4)
Revised September 2019
Previous Editions Are Obsolete
2a. Transferee’s Full Legal Name and Address (Include trade name, if any) (See instruction 2d)
SUBMIT in DUPLICATE to:
2b. County/Parish
ATF Control Number
U.S. Department of Justice
Bureau of Alcohol, Tobacco, Firearms and Explosives
Application for Tax Paid Transfer and
Registration of Firearm
OMB No. 1140-0014 (08/31/2022)
1. Type of Transfer (Check one)
3a. Transferor’s Full Legal Name and Address (Include trade name, if any)
(Executors: see instruction 2l)
3d. If Applicable: Decedent’s Name, Address, and Date of Death
3c. Transferor’s Telephone (Area Code and Nu mber)
3e. Number, Street, City, State and Zip Code of Residence (or Firearms Business Premises)
If Dierent from Item 3a.
The above-named and undersigned transferor hereby makes application as required by Section 5812 of the National Firearms Act to transfer and register the rearm described
below to the transferee.
4. Description of Firearm (Complete items a through h) (See instruction 2n)
d. Model
h. Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)
Under Penalties of Perjury, I Declare that I have examined this application, and to the best of my knowledge and belief it is true, correct and complete, and that the transfer
of the described rearm to the transferee and receipt and possession of it by the transferee are not prohibited by the provisions of Title 18, United States Code; Chap 44;
Title 26, United States Code; Chap 53; or any provisions of State or local law.
9. Signature of Transferor (Or authorized ocial) 10. Name and Title of Authorized Ocial (Print or type)
11. Date
$5 $200
Submit the appropriate tax payment with the application.
The tax may be paid by credit or debit card, check, or money
order. Please complete item 20. Upon approval of
the application, we will affix and cancel the required
National Firearms Act stamp. (See instructions 2b, 2j and 3)
3b. E-mail address
Individual
Trust
e. Barrel Length:
f. Overall Length:
b. Type of Firearm (see denitions 1c)
a. Name and Address of Maker Manufacturer and/or
Importer of Firearm
c. Caliber or
Gauge
Other Legal Entity
Corporation
5. Transferee’s Federal Firearms License (if any) or Explosives License or Permit Number
(Give complete 15-digit number) (See instruction 2c)
2 digits
2 digits
First 6 digits
5 digits
First 6 digits
2 digits
2 digits
5 digits
7. Transferor’s Federal Firearms License (If any)
6. Transferee’s Special (Occupational) Tax Status (If any)
a. Employer Identication Number
8. Transferor’s Special (Occupational) Tax Status (If any)
b. Class
b. Classa. Employer Identication Number
National Firearms Act Division
Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 5015, Portland, OR 97208-5015
CLEO Copy
14. Answer questions 14.a. through 14.h. Answer questions 16, 17, 18, 19 and 20, if applicable. For any “Yes” answer the transferee shall provide details on a separate
sheet. (See instruction 7b and denitions)
Yes No
a. Are you under indictment or information in any court for a felony, or any other crime, for which the judge
could imprison you for more than one year? (See denition 1m)
b. Have you ever been convicted in any court for a felony, or any other crime, for which the judge could have
imprisoned you for more than one year, even if you received a shorter sentence including probation? (See definition 1m)
c. Are you a fugitive from justice? (See denition 1s)
d. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any
other controlled substance? Warning: The use or possession of marijuana remains unlawful
under Federal law regardless of whether it has been legalized or decriminalized for medicinal or
recreational purposes in the state where you reside.
e. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental
institution? (See denitions1n and 1o)
f. Have you been discharged from the Armed Forces under dishonorable conditions?
h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See denition 1q)
g. Are you subject to a court order restraining you from harassing, stalking, or threatening your child or an
intimate partner or child of such partner? (See denition 1p)
Transferee Certication
I, , have a reasonable necessity to possess the machinegun, short-barreled rie,
short-barreled shotgun, or destructive device described on this application for the following reason(s)
and my possession of the device or weapon would be consistent with public safety (18 U.S.C. § 922(b) (4) and 27 CFR § 478.98).
(Name and Title of Transferee)
ATF Form 4 (5320.4)
Revised September 2019
The transferee is to provide notication of the proposed acquisition and possession of the rearm described on this Form 4 by providing a copy of the completed form to the
chief law enforcement ocer in the agency identied below:
Transferee Questions (Complete Only When Transferee is An Individual)
Information for the Chief Law Enforcement Ocer
This form provides notication of the transferee’s intent to acquire and possess a National Firearms Act (NFA) rearm. No action on your part is required. However, should
you have information that may disqualify this person from acquiring or possessing a rearm, please contact the NFA Division at (304) 616-4500 or NFA@atf.gov. A “Yes”
answer to items 14.a. through 14.h. or 18.d. or 18.e. could disqualify a person from acquiring or possessing a rearm. Also, ATF will not approve an application if the
transfer or possession of the rearm is in violation of State or local law.
13. Transferee Necessity Statement (See instruction 2e)
Yes No
e. Are you an alien illegally or unlawfully in the United States?
N/A
19. If you are an alien, record your U.S.-Issued Alien or Admission number (AR#, USCIS#, or 194#):
f.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa?
f.2. If “yes”, do you fall within any of the exceptions stated in the instructions? Attach the documentation to the application
d. Have you ever renounced your United States citizenship?
Agency or Department Name
Name and Title of Ocial
Address (Street address or P.O. Box, City, State and Zip Code) to which sent (mailed or delivered)
12. Law Enforcement Notication (See instruction 2f)
Date of Birth:
American Indian or Alaska Native
Black or African American White
Asian
Native Hawaiian or Other Pacic Islander
17b. Race
United States of America
Other Country/Countries (specify):
18b. State of Birth
18c.Country of Birth
18a. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.) (See denition 1r)
17a. Ethnicity
Hispanic or Latino
Not Hispanic or Latino
20. Have you been issued a Unique Personal Identication Number (UPIN)? (See instruction 2h) If yes please list
Yes No
Important Information for Currently Registered Firearms
If you are the current registrant of the rearm described on this form, please note the following information.
Estate Procedures: For procedures regarding the transfer of rearms in an estate resulting from the death of the registrant identied in item 2a, the executor should contact the NFA
Division, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405.
Change of Address: Unless currently licensed under the Gun Control Act, the registrant shall notify the NFA Division, Bureau of Alcohol, Tobacco, Firearms and
Explosives, 244 Needy Road, Martinsburg, WV 25405, in writing, of any change to the address in item 2a.
Change of Description: The registrant shall notify the NFA Division, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405, in writing, of
any change to the description of the rearm(s) in item 4.
Interstate Movement: If the rearm identied in item 4 is a machinegun, short-barreled rie, short-barreled shotgun, or destructive device, the registrant may be required by 18
U.S.C. § 922(a)(4) to obtain permission from ATF prior to any transportation in interstate or foreign commerce. ATF Form 5320. 20 can be used to request this permission.
Restrictions on Possession: Any restriction (see approval block on face of form) on the possession of the rearm identied in item 4 continues with the further transfer of the rearm.
Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a rearm, please contact the NFA Division for procedures on how to dispose of
the rearm.
Proof of Registration: A person possessing a rearm registered as required by the NFA shall retain proof of registration which shall be made available to any ATF ocer upon request.
ATF Form 4 (5320.4)
Revised September 2019
Paperwork Reduction Act Notice
This form meets the clearance requirements of the Paperwork Reduction Act of 1995. The information you provide is used in applying to transfer serviceable rearms taxpaid. Data is used to iden-
tify transferor, transferee, and rearm, and to ensure legality for transfer under Federal, State and local laws. The furnishing of this information is mandatory (26 U.S.C. § 5812).
The estimated average burden associated with this collection of information is 3.78 hours per respondent or recordkeeper, depending on individual circumstances. Comments concerning the accuracy
of this burden estimate and suggestion for reducing this burden should be addressed to Reports Management Ocer, Information Technology Coordination Sta, Bureau of Alcohol, Tobacco,
Firearms and Explosives, Washington, DC 20226.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
21. Number of Responsible Persons (see denitions) associated with the transferee trust or legal entity
22. Provide the full name (printed or typed) below for each Responsible Person associated with the applicant trust or legal entity (if there are more Responsible Persons than
can be listed on the form, attach a separate sheet listing the additional Responsible Person(s)). Please note that a completed Form 5320.23, National Firearms Act (NFA)
Responsible Person Questionnaire, must be submitted with the Form 4 application for each Responsible Person.
Full Name Full Name
CERTIFICATION: Under penalties imposed by 18 U.S.C. § 924 and 26 U.S.C. § 5861, I certify that, upon submission of this form to ATF, a completed copy of this form will be directed
to the chief law enforcement ocer (CLEO) shown in item 12, that the statements, as applicable, contained in this certication, and any attached documents in support thereof, are true
and correct to the best of my knowledge and belief. NOTE: See instructions 2.d(2) and 2.d(3) for the items to be completed depending on the type of transferee.
Signature of Transferee
Date
CLEO Copy
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Form 3: Application for Tax Paid Transfer and (Bureau of Alcohol, Tobacco, Firearms, and Explosives)

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Completed 19 July 2020

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