Form ATF F 4473(5300.9) ATF F 4473(5300.9) Firearms Transaction Record, Part 1, Over-the-Counter

OMB No. 1140-0020

U.S. Department of Justice
Bureau of Alcohol, Tobacco, Firearms and Explosives

Firearms Transaction Record Part I Over-the-Counter

WARNING: You may not receive a firearm if prohibited by Federal or State Law. The information you provide will Transferor's Transaction
be used to determine whether you are prohibited under law from receiving a firearm. Certain violations of the Gun
Serial Number
Control Act are punishable by up to 10 years imprisonment and/or up to a $250,000 fine.
Prepare in original only. All entries must be in ink. Read the Important Notices, Instructions and Definitions on this form.
“Please Print.”
Section A - Must Be Completed Personally By Transferee (Buyer)
1. Transferee’s Full Name
Last Name

First Name

Middle Name (If no middle name state “NMN”)

2. Current Residence Address (Cannot be a post office box.)
Number and Street Address

City

County

3. Place of Birth
U.S. City/State

4. Height
Foreign Country

5. Weight

6. Gender

Ft.

Male

In.

Female

8. Social Security Number (Optional, but will help prevent misidentification.)

State

Zip Code

7. Birth Date
Month

Day

Year

9. Unique Personal Identification Number (UPIN) if applicable (See
Instruction to Transferor 6.)

10. Race (Ethnicity) (Check one or more boxes.)
American Indian or Alaska Native

Black or African American

Native Hawaiian or Other Pacific Islander

Hispanic or Latino

Asian

White

11. Answer questions 11.a. through 12 by writing “yes” or “no” in the boxes to the right of the questions.
a. Are you the actual buyer of the firearm(s) listed on this form? Warning: You are not the actual buyer if you are acquiring
the firearm(s) on behalf of another person. If you are not the actual buyer, the dealer cannot transfer the firearm(s) to
you. (See Important Notice 1 for actual buyer definition and examples.)
b. Are you under indictment or information in any court for a felony, or any other crime, for which the judge could imprison you
for more than one year? (An information is a formal accusation of a crime by a prosecutor. See Definition 3.)
c. Have you ever been convicted in any court of a felony, or any other crime, for which the judge could have imprisoned you for
more than one year, even if you received a shorter sentence including probation? (See Important Notice 4, Exception 1.)
d. Are you a fugitive from justice?
e. Are you an unlawful user of, or addicted to, marijuana, or any depressant, stimulant, or narcotic drug, or any other controlled
substance?
f. Have you ever been adjudicated mentally defective (which includes a determination by a court, board, commission, or other
lawful authority that you are a danger to yourself or to others or are incompetent to manage your own affairs) OR have you
ever been committed to a mental institution? (See Important Notice #4 and Definitions #5 and #6)
g. Have you been discharged from the Armed Forces under dishonorable conditions?
h. Are you subject to a court order restraining you from harassing, stalking, or threatening your child or an intimate partner or
child of such partner? (See Important Notice 5.)
i. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See Important Notice 4, Exception 1
and Definition 4.)
j. Have you ever renounced your United States citizenship?
k. Are you an alien illegally in the United States?
l.

Are you a nonimmigrant alien? (See Definition 8.) If you answered “no” to this question, you are not required to respond
to question 12.
12. If you answered “yes” to question 11.l., do you fall within any of the exceptions set forth in Important Notice 4, Exception 2?
(e.g., valid State hunting license.) (If “yes,” the licensee must complete question 20c.)
13. What is your State of residence (if any)?
(See Definition 7. If you are not a citizen of the United States, you only
have a State of residence if you have resided in a State for at least 90 continuous days immediately prior to the date of this sale.)
14. What is your country of citizenship? (List/check more than one, if applicable.)
United States of America

Other (Specify)

15. If you are not a citizen of the United States, what is your U.S.-issued alien number or admission number?
Note: Previous Editions Are Obsolete

ATF Form 4473 (5300.9) Part I
Revised (
)

I certify that the answers to Section A are true and correct. I am aware that ATF Form 4473 contains Important Notices, Instructions, and
Definitions. I understand that answering “yes” to question 11.a. if I am not the actual buyer of the firearm is a crime punishable as a felony.
I understand that a person who answers “yes” to any of the questions 11.b. through 11.k. is prohibited from purchasing or receiving a
firearm. I understand that a person who answers “yes” to question 11.l. is prohibited from purchasing or receiving a firearm, unless the
person also answers “yes” to question 12. I also understand that making any false oral or written statement, or exhibiting any false or
misrepresented identification with respect to this transaction, is a crime punishable as a felony. I further understand that the repetitive
purchase of firearms for the purpose of resale for livelihood and profit without a Federal firearms license is a violation of law. (See Important
Notice 6.)
16. Transferee’s/Buyer’s Signature
17. Certification Date
Section B - Must Be Completed By Transferor (Seller)
19. Location of sale if at a gun show or other qualifying event. (See
Instruction to Transferor 15.)
Handgun
Long Gun
Both
(City, State)
20a. Identification (e.g., driver’s license or other valid government-issued photo identification.) (See Instruction to Transferor 1.)

18. Type of firearm(s) to be transferred:

Type of Identification

Number on Identification

Expiration Date of Identification (if any)
Year
Month
Day

20b. Aliens only: Type and dates of additional required identification (e.g., utility bills or lease agreements.) (See Instruction to Transferor 2.)
Date(s)
Type of Identification
20c. Nonimmigrant aliens only: Type of documentation showing an exception to the nonimmigrant alien prohibition (e.g., hunting license/permit;
waiver.) (See Instruction to Transferor 3.)
Question 21, 22, or 23 Must Be Completed Prior To The Transfer Of The Firearm(s) (See Instructions to Transferor 5-8.)
21a. The transferee’s identifying information in Section A was transmitted to 21b. The NICS or State transaction number (if provided) was:
NICS or the appropriate State agency on:
.
(Date)
21d. If initial NICS or State response was “Delayed,” the following
21c. The response initially provided by NICS or the appropriate State
response was received from NICS or the appropriate State agency:
agency was:
Proceed
(date)
Delayed
Proceed
[The
firearm(s)
may
be
transferred
on
Denied
Denied
(date)
(MDI date provided by NICS)
Cancelled
Cancelled
(date)
if State law permits (optional)]
No resolution was provided within 3 business days.
21e. (Complete if applicable.) After the firearm was transferred, the following response was received from NICS or the appropriate State agency on:
(date).
Cancelled
Denied
Proceed
21f. The name and Brady identification number of the NICS examiner
(optional)
/
(name)
(number)

22.

No NICS check was required because the transfer involved
only NFA firearm(s). (See Instruction to Transferor 8.)

23.

No NICS check was required because the buyer has a valid permit from the State where the transfer is to take place which qualifies as an
exemption to NICS (See Instruction to Transferor 8.)
Permit Number (if any)
Date of Issuance (if any)
Expiration Date (if any)
State Permit Type

Section C
If the transfer of the firearm(s) takes place on a different day from the date that the transferee (buyer) signed Section A, the transferee must complete
Section C immediately prior to the transfer of the firearm(s). (See Instruction to Transferee 3 & Instruction to Transferor 9.)
I certify that the answers I provided to the questions in Section A of this form are still true and correct.
24. Transferee’s/Buyer’s Signature
25. Recertification Date

26.
Manufacturer and/or Importer

Section D (See Instructions to Transferor 10-11.)
27.
28.
Model
Serial Number

29.
Type (pistol, revolver,
rifle, shotgun, etc.)

30.
Caliber or
Gauge

ATF Form 4473 (5300.9) Part I
Revised (
)

Complete ATF Form 3310.4 For Multiple Purchases Of Handguns (See Instruction to Transferor 13.)
32. Federal Firearms License Number (Complete 15 digit FFL
31. Trade/corporate name and address of transferor (seller) (Hand stamp may be
Number.) (Hand stamp may be used.)
used.)

On the basis of (1) the statements in Section A (and Section C if the transfer does not occur on the day Section A was completed); (2) my
verification of the identification noted in question 20a (and my reverification at the time of transfer if the transfer does not occur on the day
Section A was completed); and (3) the information in the current State Laws and Published Ordinances, it is my belief that it is not unlawful
for me to sell, deliver, transport, or otherwise dispose of the firearm(s) listed on this form to the person identified in Section A.
The Person Transferring The Firearm(s) Must Complete Questions 33-36. For Denied/Cancelled Transactions,
The Person Who Completed Section B Must Complete Questions 33-35.
33. Transferor’s/Seller’s Name (Please print.) 34. Transferor’s/Seller’s Signature

Important Notices
1. Actual Buyer: For purposes of this form, you are the actual buyer if you are
purchasing the firearm for yourself or otherwise acquiring the firearm for
yourself (for example, redeeming the firearm from pawn/retrieving it from
consignment, firearm raffle winner). You are also the actual buyer if you are
legitimately acquiring the firearm as a gift for a third party. ACTUAL
BUYER EXAMPLES: Mr. Smith asks Mr. Jones to purchase a firearm for
Mr. Smith. Mr. Smith gives Mr. Jones the money for the firearm. Mr. Jones is
NOT the actual buyer of the firearm and must answer “no “ to question 11.a.
The licensee may not transfer the firearm to Mr. Jones. However, if
Mr. Brown goes to buy a firearm with his own money to give to Mr. Black as a
present, Mr. Brown is the actual buyer of the firearm and should answer “yes”
to question 11.a. Please note, if you are picking up a repaired firearm for
another person, you should answer “n/a” to question 11.a.
2. Purpose of the Form: The information and certification on this form are
designed so that a person licensed under 18 U.S.C. § 923 may determine if he
or she lawfully may sell or deliver a firearm to the person identified in Section
A, and to alert the buyer of certain restrictions on the receipt and possession
of firearms. This form only should be used for sales or transfers where the
seller is licensed under 18 U.S.C. § 923. The seller of a firearm must
determine the lawfulness of the transaction and keep proper records of the
transaction. Consequently, the seller must be familiar with the provisions of
18 U.S.C. §§ 921-931 and the regulations in 27 CFR Part 478. In determining
the lawfulness of the sale or delivery of a long gun to a resident of another
State, the seller is presumed to know applicable State laws and published
ordinances in both the seller’s State and the buyer’s State.

35. Transferor’s/Seller’s Title

36. Date Transfer
is Completed

3. Background Checks: The Brady law, 18 U.S.C. § 922(t), requires that prior
to transferring any firearm to an unlicensed person, a licensed importer, manufacturer or dealer must first contact the National Instant Criminal Background
Check System (NICS). NICS will advise the licensee whether the system finds
any information that the purchaser is prohibited by law from possessing or
receiving a firearm. For purposes of this form, contacts to NICS include
contacts to State agencies designated to conduct NICS checks for the Federal
Government. WARNING: Any seller who transfers a firearm to any person
they know or have reasonable cause to believe is prohibited from receiving or
possessing a firearm violates the law even if the seller has complied with the
background check requirements of the Brady law.
4. Prohibited Persons: Generally, 18 U.S.C. § 922 prohibits the shipment, transportation, receipt, or possession in or affecting interstate commerce of a
firearm 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, marijuana or any depressant, stimulant, or narcotic drug, or any other controlled substance; has been
adjudicated mentally 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 a nonimmigrant alien; or is subject to certain restraining orders.
Furthermore, section 922 prohibits the shipment, transportation, or receipt in or
affecting interstate commerce of a firearm by one who is under indictment or
information for a felony, or any other crime, punishable by imprisonment for
a term exceeding one year.
ATF Form 4473 (5300.9) Part I
Revised (
)

EXCEPTION 1: 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
firearm if: (1) under the law of the jurisdiction where the conviction occurred,
the person has been pardoned, the conviction has been expunged or set aside, or
the person has had civil rights (the right to vote, sit on a jury, and hold public
office) restored AND (2) the person is not prohibited by the law of the
jursidiction where the conviction occurred from receiving or possessing
firearms. Persons subject to this exception should answer “no” to 11.c. or 11.i.,
as applicable. 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 11.i.

4. If the buyer is a member of the Armed Forces on active duty acquiring a
firearm in the State where his or her permanent duty station is located, but
does not reside at his or her permanent duty station, the buyer must list both
his or her permanent duty station address and his or her residence address in
response to question 2.
5. If you are a U.S. citizen with two states of residence, you should list your
current residence address in response to question 2 (e.g., if you are buying a
firearm while staying at your weekend home in State X, you should list
your address in State X in response to question 2).
Instructions To Transferor/Seller
1.

Know Your Customer: Before a licensee may sell or deliver a firearm to a
nonlicensee, the licensee must establish the identity, place of residence, and
age of the buyer. The buyer must provide a valid government-issued photo
identification to the seller that contains the buyer’s name, residence address,
and date of birth. The licensee must record the type, identification number,
and expiration date (if any) of the identification in question 20a. A driver’s
license or an identification card issued by a State in place of a license is
acceptable. Social security cards are not acceptable because no address, date of
birth, or photograph is shown on the cards. A combination of governmentissued documents may be provided. For example, if a U.S. citizen 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. If the buyer is a
member of the Armed Forces on active duty acquiring a firearm in the State
where his or her permanent duty station is located, but he or she has a
driver’s license from another State, you should list the buyer’s military
identification card and official orders showing where his or her permanent duty
station is located in response to question 20a.

2.

Sale of Firearms to Legal Aliens (Part 1): A buyer who is not a citizen of
the United States must provide additional documentation (beyond a valid
government-issued photo identification that contains the buyer’s name,
residence address, and date of birth) to establish that he or she has resided in
a State continuously for at least 90 days immediately prior to the date of the
sale. See Definition 7. Examples of appropriate documents to establish State
residency are utility bills from each of the last 3 months immediately prior to
the sale or a lease agreement which demonstrates 90 days of residency
immediately prior to the sale. A licensee may attach a copy of the
documentation to ATF Form 4473, rather than record the type of documentation in question 20b.

3.

Sale of Firearms to Legal Aliens (Part 2): Even if a nonimmigrant alien
can establish that he or she has a U.S.-issued alien number or admission
number and has resided in a State for at least 90 continuous days
immediately prior to the date of sale, he or she is prohibited from receiving
a firearm unless he or she falls within an exception to the nonimmigrant alien
prohibition. (See Important Notice 4, Exception 2.) If a nonimmigrant alien
claims to fall within one of these exceptions by answering “yes” to question
12, he or she must provide the licensee with documentation of the exception
(e.g., hunting license/permit; waiver). If the documentation is a hunting
license/permit, the licensee must make sure it has not expired. An expired
hunting license/permit does not qualify for the exception. A licensee may
attach a copy of the documentation to ATF Form 4473, rather than record the
type of documentation in question 20c.

4.

If the buyer’s name in question 1 is illegible, the seller must print the buyer’s
name above the name written by the buyer.

5.

NICS Check: After the buyer has completed Section A of the form and the
licensee has completed questions 18-20, and before transferring the firearm,
the licensee must contact NICS (see Instruction 8 below for NICS check
exceptions.) However, the licensee should NOT contact NICS and should stop
the transaction if: the buyer answers “no” to question 11.a.; the buyer answers
“yes” to any question in 11.b.-11.l., unless the buyer only has answered “yes”
to question 11.l. and also answers “yes” to question 12; or the buyer is
unable to provide the documentation required by question 20a, b, or c.

EXCEPTION 2: A nonimmigrant alien is not prohibited from purchasing,
receiving, or possessing a firearm if the alien: (1) is in possession of a hunting
license or permit lawfully issued in the United States; or (2) has received a
waiver from the prohibition from the Attorney General of the United States.
(See 18 U.S.C. § 922(y)(2) for additional exceptions.) Persons subject to one
of these exceptions should answer “yes” to questions 11.l. and 12 and provide
the documentation requested by question 20c.
5. Restraining Orders: Under 18 U.S.C. § 922, firearms 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 finding that such person
represents a credible threat to the physical safety of such intimate partner or
child; or (ii) by its terms explicitly prohibits the use, 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 cohabited with the person.
6. Engaged in the Business: Under 18 U.S.C. §§ 922 and 923, it is unlawful for
a person to engage in the business of dealing in firearms without a license. A
person is engaged in the business of dealing in firearms if he or she devotes
time, attention, and labor to dealing in firearms as a regular course of trade or
business with the principal objective of livelihood and profit through the
repetitive purchase and resale of firearms. A license is not required of a
person who only makes occasional sales, exchanges, or purchases of firearms
for the enhancement of a personal collection or for a hobby, or who sells all or
part of his or her personal collection of firearms.
7. Exportation of Firearms: The State or Commerce Departments may require
you to obtain a license prior to export.
Instructions To Transferee/Buyer
1. The buyer must personally complete Section A of this form and certify (sign)
that the answers are true and correct. However, if the buyer is unable to read
and/or write, the answers (other than the signature) may be written by another
person, excluding the seller. Two persons (other than the seller) must then sign
as witnesses to the buyer’s answers and signature.
2. When the buyer of a firearm is a corporation, company, association, partnership or other such business entity, an officer authorized to act on behalf of the
business must complete Section A of the form with his or her personal information, sign Section A, and attach a written statement, executed under
penalties of perjury, stating: (A) the firearm 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.
3. If the transfer of the firearm takes place on a different day from the date that
the buyer signed Section A, the seller must again check the photo identification of the buyer at the time of the transfer, and the buyer must complete the
recertification in Section C at the time of transfer.

ATF Form 4473 (5300.9) Part I
Revised (
)

At the time that NICS is contacted, the licensee must record in question 21ac: 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
Missing Disposition Information (MDI) date in 21c which NICS provides for
delayed transactions (States do not provide this number). If the licensee
receives a “delayed” response, before transferring the firearm, the licensee
must record in question 21d any response later provided by NICS or the State
or that no resolution was provided within 3 business days. If the licensee
receives a response from NICS or the State after the firearm has been
transferred, he or she must record this information in question 21e. 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. Some States
may not provide a transaction number for denials. However, if a firearm is
transferred within the three business day period, a transaction number is
required.
6.

7.

8.

9.

Unique Personal Identification Number (UPIN): For purchasers approved
to have information maintained about them in the FBI NICS Voluntary
Appeal File (VAF), NICS will provide them with a Unique Personal
Identification Number (UPIN), which the buyer should record in question 9.
The licensee may be asked to provide the UPIN to NICS or the State.
NICS Responses: If NICS provides a “proceed” response, the transaction
may proceed. If NICS provides a “cancelled” response, the seller is prohibited from transferring the firearm to the buyer. If NICS provides a
“denied” response, the seller is prohibited from transferring the firearm to the
buyer. If NICS provides a “delayed” response, the seller is prohibited from
transferring the firearm unless 3 business days have elapsed and, before the
transfer, NICS or the State has not advised the seller that the buyer’s receipt or
possession of the firearm would be in violation of law. See 27 CFR § 478.102(a)
for an example of how to calculate 3 business days. If NICS provides a
“delayed” response, NICS also will provide a Missing Disposition Information (MDI) date which calculates the 3 business days and reflects when the
firearm(s) can be transferred under Federal law. States may not provide an
MDI date. Please note State law may impose a waiting period on transferring firearms.
EXCEPTIONS TO NICS CHECK: A NICS check is not required if the
transfer qualifies for any of the exceptions in 27 CFR § 478.102(d). Generally
these include: (a) transfers where the buyer has presented the licensee with a
permit or license that allows the buyer to possess, acquire, or carry a firearm,
and the permit has been recognized by ATF as a valid alternative to the NICS
check requirement; (b) transfers of National Firearms Act weapons approved
by ATF; or (c) transfers certified by ATF as exempt because compliance with
the NICS check requirements is impracticable. See 27 CFR § 478.102(d) for a
detailed explanation. If the transfer qualifies for one of these exceptions, the
licensee must obtain the documentation required by 27 CFR § 478.131. A
firearm must not be transferred to any buyer who fails to provide such
documentation.
If the transfer takes place on a different day from the date that the buyer
signed Section A, the licensee must again check the photo identification of the
buyer at the time of transfer, and the buyer must complete the recertification
in Section C at the time of transfer.

10. For “denied” and “cancelled” NICS transactions, the person who completed
Section B must complete Section D, questions 33-35.
11. Immediately prior to transferring the firearm, the seller must complete all of
the questions in Section D.
12. Additional firearms purchases by the same buyer may not be added to the
form after the seller has signed and dated it. A buyer who wishes to purchase
additional firearms after the seller has signed and dated the form must
complete a new ATF Form 4473. The seller must conduct a new NICS check.
13. In addition to completing this form, the seller must report any multiple sale
or other disposition of pistols or revolvers on ATF Form 3310.4. (See 27 CFR
§ 478.126a).
14. If more than three firearms are involved in a transaction, the information
required by Section D, questions 26-30, must be provided for the additional
firearms on a separate sheet of paper, which must be attached to the ATF Form
4473 covering the transaction.

15. If the transfer occurs at a gun show or other qualifying event sponsored by any
national, State, or local organization as authorized by 27 CFR § 478.100, the
seller must record the location of the sale in question 19.
16. After the seller has completed the firearms transaction, he or she must make the
completed, original ATF Form 4473 (which includes the Important Notices,
Instructions, and Definitions), and any supporting documents, part of his or her
permanent records. Such Forms 4473 must be retained for at least 20 years.
Filing may be chronological (by date), alphabetical (by name), or numerical
(by transaction serial number), as long as all of the seller’s completed Forms
4473 are filed in the same manner. FORMS 4473 FOR DENIED/CANCELLED TRANSFERS MUST BE RETAINED: If the transfer of a firearm
is denied/cancelled by NICS, or if for any other reason the transfer does not
go through after a NICS check is initiated, the licensee must retain the ATF
Form 4473 in his or her records for at least 5 years. Forms 4473 with respect
to which a sale, delivery or transfer did not take place shall be separately
retained in alphabetical (by name) or chronological (by date of transferee’s
certification) order.
17. You may include any other information on this form that is relevant to the
transaction.
18. If you or the buyer discover an ATF Form 4473 is incomplete or improperly
completed after the firearm has been transferred, and you or the buyer wish
to make a record of your discovery, photocopy the inaccurate form. Make
any necessary additions or revisions to the photocopy. You only should make
changes to Sections B and D. The buyer only should make changes to
Sections A and C. 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 your permanent records.
Definitions
1. Over-the-counter Transaction: The sale or other disposition of a firearm by
a seller to a buyer, at the seller’s licensed premises. This includes the sale or
other disposition of a rifle or shotgun to a nonresident buyer on such premises.
2. State Laws and Published Ordinances: The publication (ATF P 5300.5) of
State firearms laws and local ordinances ATF distributes to licensees.
3. Under Indictment or Information or Convicted in any Court: An indictment, information, or conviction in any Federal, State, or local court.
4. Misdemeanor Crime of Domestic Violence: A Federal, State, local, or tribal
offense 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 cohabiting 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 offense is committed
by one of the defined parties.
5. Adjudicated as a Mental Defective: (a) 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 affairs. (b) This term shall include - (1) A finding
of insanity by a court in a criminal case; and (2) Those persons found
incompetent to stand trial or found not guilty by reason of lack of mental
responsibility pursuant to articles 50a and 72b of the Uniform Code of
Military Justice, 10 U.S.C. 850a, 876b.
6. 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.

ATF Form 4473 (5300.9) Part I
Revised (
)

7. State of Residence: The State in which an individual resides. An individual
resides in a State if he or she is present in a State with the intention of making
a home in that State. If an individual is a member of the Armed Forces on
active duty, his or her State of residence also is the State in which his or her
permanent duty station is located. An alien who is legally in the United States
is a resident of a State only if the alien is residing in the State and has resided in
the State continuously for at least 90 days immediately prior to the date of
sale or delivery of a firearm.
8. Nonimmigrant Alien: An alien in the United States in a nonimmigrant classification. The definition includes, in large part, persons traveling temporarily in
the United States for business or pleasure, persons studying in the United States
who maintain a residence abroad, and certain foreign workers. The definition
does NOT include permanent resident aliens.
Privacy Act Information

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 firearms under Federal law. The information is subject to inspection by ATF officers and is required by 18 U.S.C. §§ 922
and 923.
The estimated average burden associated with this collection is 25 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 Officer, Document Services Branch, 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.

Solicitation of this information is authorized under 18 U.S.C. § 923(g). Disclosure of the individual’s social security number is voluntary. The number may be
used to verify the individual’s identity.

ATF Form 4473 (5300.9) Part I
Revised (
)