Form ATF F 4473(5300.9) ATF F 4473(5300.9) Firearms Transaction Record Part II Intrastate Non-Over-

OMB No. 1140-0021 (06/30/2008)

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

Firearms Transaction Record Part II Intrastate Non-Over-The-Counter

Warning: You may not receive a firearm if prohibited by Federal or State law. The information
Transferor's Transaction Serial Number
you provide will be used to determine whether you are prohibited under law from receiving a firearm.
Prepare in duplicate. All entries must be in ink. Read the Important Notices, Instructions and Definitions on
this form.
Section A - Must be Completed Personally by Transferee (Buyer)
1. Transferee's Full Name

(Last)

2. Residence Address (No., Street, City, County, State, ZIP Code; cannot
be a post office box)
(First)

3. Place of Birth (City, State or
Foreign Country)

(Middle)
5.

4.

6. Birth Date

Height

Male

Weight

Female Month

Day

Year

7. 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

8. What is your State of residence (if any)?
(See Definition 4. If you are not a citizen of the United States, you have
a State of residence only if you have resided in a State continuously for at least 90 days immediately prior to the date of this sale.)
9. Are you a citizen of the United States?

Yes

No

Certification of Transferee (Buyer)
10. Answer questions 10a through 10l 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 2.)
c. Have you 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 5, 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 having been adjudicated incompetent to manage your own affairs)
or have you ever been committed to a mental institution?

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 6.)
i. Have you been convicted in any court of a misdemeanor crime of domestic violence? (See Important Notice 5, Exception 1 and
Definition 3.)
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 5.)
11. Nonimmigrant Aliens Only: Do you fall within any of the exceptions set forth in Important Notice 5, Exception 2?
(If “ yyes,
es,
ting documentation and the licensee m
ust complete question 18b.)
es,”” the bbuu yyer
must
proo vide a cop
copyy of suppor
supporting
must
er m
ust pr
Yes
No
Subject to penalties provided by law, I swear that, in the case of any firearm other than a shotgun or a rifle, I am 21 years or more of age, or that, in the
case of a shotgun or rifle, I am 18 years or more of age; that I am not prohibited by the provisions of Chapter 44 of Title 18, United States Code, from
receiving a firearm in interstate or foreign commerce; and that my receipt of this firearm(s) will not be in violation of any statute of the State and
published ordinance applicable to the locality in which I reside. Further, the true title, name, and address of the principal law enforcement officer of the
locality to which the firearm will be delivered are:
13. Name
12. Title
14. Address

I certify that the above answers are true and correct. I understand that answering “yes” to question 10a when 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 10b through 10k is prohibited from purchasing or receiving a
firearm. I understand that a person who answers “yes” to question 10l is prohibited from purchasing or receiving a firearm, unless the person also answers
“yes” to question 11. 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 7.)
16. Date
15. Transferee's Signature
ATF Form 4473Part II (5300.9)
Revised June 2005

Section B - Must be Completed by Transferor (Seller)
17. Type of firearm(s) to be transferred (check one or more boxes):

Long Gun

Handgun

Silencer

Destructive Device

18a. Aliens only: Type and dates of documentation showing State residency (e.g., utility bills or lease agreements. See Instruction to Transferor 3.)

18b. Nonimmigrant aliens only: Type of documentation showing an exception to the nonimmigrant alien prohibition (e.g., hunting license/permit;
waiver. See Instruction to Transferor 4.)

Notice:

Non-Over-the-Counter transfers can only take place if a NICS check is not required (See Instruction to Transferor 1):

19.

No NICS check was required because the transfer involved only NFA firearm(s).

20.

No NICS check was required because the buyer has a valid permit which qualifies as an exception to NICS. (Either attach a copy of the
permit or provide the information asked for in this question.)
State Permit Type:

Date of Issuance:

Expiration Date (if any):

Permit Number:

21.
Manufacturer
and/or Importer

22.
Model

23.
Serial Number

24.
Type (pistol, revolver,
rifle, shotgun, etc.)

25.
Caliber or
Gauge

Complete ATF F 3310.4 for Multiple Purchases of Handguns (See Instruction to Transferor 8.)
26. Trade/Corporate Name and Address of Transferor (Hand stamp may be used.) 27. Federal Firearms License Number (Hand stamp may be used.)

On the basis of (1) the statements in Section A; (2) my notification to the chief law enforcement officer designated above; and (3) the information in the
current State Laws and Published Ordinances (ATF P 5300.5), 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 Actually Transferring the Firearm(s) must Complete Questions 28-31.
28. Transferor’s Name (Please print.)

29. Transferor’s Signature

30. Transferor’s Title

31. Date Transfer is
Completed

ATF Form 4473 Part II (5300.9)
Revised June 2005

Important Notices
1. 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). You are also the
actual buyer if you are acquiring the firearm as a legitimate 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 10a. 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 10a. Question
10a is not applicable to a person receiving a firearm he/she brought in for repair.
Such persons should answer question 10a as “N/A.”
2. Under 18 U.S.C. § 922, firearms may not be sold to or received by certain persons.
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.
3. Warning: Any seller who knowingly transfers a firearm to any person prohibited
from receiving or possessing a firearm violates the law.
4. The seller of a firearm is responsible for determining the lawfulness of the
transaction and for keeping proper records of the transaction. Consequently, the
seller should be familiar with the provisions of 18 U.S.C. §§ 921-931 and the
regulations appearing in 27 CFR Part 478.
5. The buyer of a firearm should be familiar with 18 U.S.C. § 922. Generally, § 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.
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 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 where the conviction occurred from receiving or possessing
firearms. Persons subject to this exception should answer “no” to 10c or 10i, as
applicable. A person who has been convicted of a misdemeanor crime of domestic
violence also is not covered by the prohibition 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 10i.
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; (2) is an official representative of a
foreign government who is accredited to the United States Government or their
Government’s mission to an international organization having its headquarters in
the United States; or (3) 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 10l and 11 and provide the documentation requested by question 18b.
6. 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. For purposes
of this prohibition, an “intimate partner” of a person is: the spouse of the person, a
former spouse of the person, an individual who is a parent of a child of the person,
or an individual who cohabitates or has cohabited with the person.

7. 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.
8. Persons acquiring firearms for exportation should be aware that the State or
Commerce Departments may require a license be obtained prior to exportation.
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 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.
Instructions to Transferor (Seller)
1.

This non-over-the-counter sale can only be made if a National Instant Criminal
Background Check System (NICS) check is not required. A NICS check is not
required if the transfer qualifies for any of the alternatives 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 section 478.102(d) for a
detailed explanation. If the transfer qualifies for one of these exceptions, the
licensee must obtain the supporting documentation required by 27 CFR
§ 478.131. A firearm must not be transferred to any buyer who fails to provide
such documentation.

2.

The transferor (seller) of a firearm in an intrastate non-over-the-counter transaction must forward by registered or certified mail (return receipt requested) a
copy of this form to the chief law enforcement officer (CLEO) listed in question
13. The transferor must delay shipment or delivery of the firearm for at
least 7 days following receipt of the post office notification of the acceptance or
rejection of the form by the CLEO. The transferor must retain as a part of the
records required to be kept by 18 U.S.C. 921-931 the original form and evidence
of the receipt or rejection of the notification forwarded to the CLEO.

3.

Sale of Firearms to Legal Aliens (Part 1): A buyer who is not a citizen
of the United States must provide documentation 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 4. 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 the ATF F 4473 Part II, rather than record the type of documentation in
question 18a.)

4.

Sale of Firearms to Legal Aliens (Part 2): Even if a nonimmigrant
alien can establish State residency, 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 5, Exception 2. If a nonimmigrant alien claims
to fall within one of these exceptions by answering “yes” to question 11, he or
she must provide the licensee with documentation of the exception (e.g., hunting
license/permit; waiver). The licensee must record the type of documentation in
question 18b and attach a copy of the document to the ATF F 4473 Part II. 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.

5.

If the buyer’s name is illegible, the seller must print the buyer’s name above the
name written by the buyer in question 1.
ATF Form 4473 Part II (5300.9)
Revised June 2005

6.

If more than 3 firearms are involved in the transaction, the information required
by Section B, questions 21-25 must be provided for these firearms on a separate piece of paper, which must be attached to the ATF F 4473 Part II covering
the transaction.

7.

Prior to transferring the firearm(s), the seller must complete Section B. The seller
must print his or her name in question 28 and provide his or her signature in question
29.

8.

In addition to completing this form, the seller must report any multiple sale or
other disposition of pistols or revolvers on ATF F 3310.4. See 27 CFR § 478.126a.

9.

After the seller has completed the firearms transaction, he or she must make the
completed, original ATF F 4473 Part II (which includes the Important Notices,
Instructions, and Definitions), and any supporting documents, part of his or her
permanent records. ATF F 4473 Part II 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 ATF F 4473
Part IIs are filed in the same manner.

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 and to ensure a dealer is keeping
legally proper records of his or her disposition of firearms. 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 20 minutes per
respondent or recordkeeper, depending on individual circumstances. Comments
concerning the accuracy of this burden estimate and suggestions for reducing this
burden should be directed to Reports Management Officer, Document Services,
Bureau of Alcohol, Tobacco, Firearms and Explosives, Washington, DC 20226.
Confidentiality is not assured.
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.

10. You may include any other information on this form that is relevant to the transaction.
Definitions
1. Intrastate Non-Over-the-Counter Transaction: Sale or other disposition of a
firearm by the transferor (seller) to a transferee (buyer) who does not appear in
person at the transferor’s premises. The transferee must be a resident of the
State in which the transferor’s premises is located.
2. Under Indictment or Information or Convicted in any Court: An indictment,
information, or conviction in any Federal, State, local, or foreign court.
3. Misdemeanor Crime of Domestic Violence: A Federal, State, or local offense
that is a misdemeanor under Federal or State 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.
4. 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 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. These
examples illustrate this definition:
Example 1. A maintains a home in State X. A travels to State Y on a hunting
trip. A does not become a resident of State Y by reason of such trip.
Example 2. A is a U.S. citizen and maintains a home in State X and a home
in State Y. A resides in State X on weekdays, and in State Y on weekends.
During the time A actually resides in State X, A is a resident of State X. During
the time A actually resides in State Y, A is a resident of State Y.
5. 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.

Notice to Law Enforcement Officials
This copy of ATF F 4473 Part II is to advise you of a firearms transaction involving a
resident in your jurisdiction. The firearm(s) described in Section B will not be shipped
or delivered to the transferee (buyer) identified in Section A for at least 7 days
following receipt of the notification of your acceptance or refusal of delivery, by
registered or certified mail, of this form.

Privacy Act Information
Solicitation of this information is authorized under 18 U.S.C. § 923(g).

ATF Form 4473 Part II (5300.9)
Revised June 2005