Form ATF Form 5320.4 ATF Form 5320.4 Application for Tax Paid Transfer and Registration of Fi

Application for Tax Paid Transfer and Registration of Firearm

F 5320. 4 (June 16-2016)

Application for Tax Paid Transfer and Registration of Firearm

OMB: 1140-0014

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OMB No. 1140-0014 (xx/xx/xxxx)

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

Application for Tax Paid Transfer and
Registration of Firearm

ATF Control Number
National Firearms Act Branch
SUBMIT in DUPLICATE to: Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 530298, Atlanta, GA 30353-0298
1. Type of Transfer (Check one)
$5

2a. Transferee’s Name and Address (Include trade name, if any) (See instruction 2d)

$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, 2i and 3)

INDIVIDUAL

2b. County

TRUST or LEGAL ENTITY

3a. Transferor’s Name and Address (Include trade name, if any) (Executors: see instruction 2k)

3b. e-mail address (optional)
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 Different 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 firearm described
below to the transferee.
d. Model
4. Description of Firearm (Complete items a through h) (See instruction 2m)
a. Name and Address of Maker, Manufacturer and/or

Importer of Firearm

b. Type of Firearm c. Caliber

or
(See definitions)
Gauge

Length
(Inches)

e. Of Barrel:

f. Overall:

g. Serial Number
h. Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)

5. Transferee’s Federal Firearms License (If any)
(Give complete 15-digit number) (See instruction 2c)
2 digits
First 6 digits
2 digits
7. Transferor’s Federal Firearms License (If any)
First 6 digits
2 digits
2 digits

6. Transferee’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class
5 digits

5 digits

8. Transferor’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class

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 firearm 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 official)
10. Name and Title of Authorized Official (Print or type) 11. Date
The Space Below is for the use of the Bureau of Alcohol, Tobacco, Firearms and Explosives
Stamp Denomination
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:
Approved (With the following conditions, if any)

Disapproved (For the following reasons)

Signature of Authorized ATF Official
Previous Editions Are Obsolete

Date

ATF Copy

ATF Form 4 (5320.4)
Revised May 2016

Transferee Certification
12. Law Enforcement Notification (See instruction 2f)

The transferee is to provide notification of the proposed acquisition and possession of the firearm described on this Form 4 by providing a copy of the completed form to the
chief law enforcement officer in the agency identified below:

Name and Title of Official

Agency or Department Name

Address (Street address or P.O. Box, City, State and Zip Code) to which sent (mailed or delivered))

Information for the Chief Law Enforcement Officer
This form provides notification of the transferee’s intent to acquire and possess a National Firearms Act (NFA) firearm. No action on your part is required. However, should
you have information that may disqualify this person from acquiring or possessing a firearm, please contact the NFA Branch at (304) 616-4500 or [email protected]. A “Yes”
answer to items 14.a through 14.h or 16.a or 16.b could disqualify a person from acquiring or possessing a firearm. Also, ATF will not approve an application if the transfer
or possession of the firearm is in violation of State or local law.
13. Transferee Necessity Statement (See instruction 2e)
I,
, have a reasonable necessity to possess the machinegun, short-barreled rifle,
(Name and Title of Transferee)
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).
Transferee Questions (Complete Only When Transferee is An Individual)
14. Answer questions 14.a. through 14.h. Answer questions 16 through 17 if applicable. For any “Yes” answer the transferee shall provide details on a
separate sheet. (See instruction 7b and definitions)
Yes
No 15. Photograph

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 definition 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 definition 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 definitions1n and 1o)

Affix
Recent Photograph Here
(Approximately 2” x 2”)
(See instruction 2g)

f. Have you been discharged from the Armed Forces under dishonorable conditions?
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 definition 1p)
h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See definition 1q)
16a. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.) (See definition 1r)
United States of America

Other Country/Countries (specify):
Yes

Have you ever renounced your United States citizenship?

Are you an alien illegally or unlawfully in the United States?

d.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa?
d.2. If “yes”, do you fall within any of the exceptions stated in the instructions? Attach the documentation to the application

N/A

17. If you are an alien, record your U.S.-Issued Alien or Admission number (AR#, USCIS#, or 194#):
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 officer (CLEO) shown in item 12, that the statements, as applicable, contained in this certification, 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.
Date

Signature of Transferee
ATF Copy

ATF Form 4 (5320.4)
Revised May 2016

18. Number of Responsible Persons (see definitions) associated with the transferee trust or legal entity
19. 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

20. Method of Payment (Check one) (See instruction 2i) (if paying by credit/debit card, complete the section below)
Check (Enclosed)

Cashier’s Check or
Money Order (Enclosed)

Visa

Mastercard

American
Express

Discover

Name as Printed on the Credit/Debit Card

Credit/Debit Card Number (No dashes)

Diners Club

Expiration Date (Month & year)

Address:
Credit/Debit Card
Billing Address:

City:

State:

Zip Code:
Tax Amount:
$

I Authorize ATF to Charge my Credit/Debit Card the Tax Amount.

Date

Signature of Cardholder

Your credit/debit card will be charged the above stated amount upon receipt of the application. The charge will be reflected 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.
Important Information for Currently Registered Firearms
If you are the current registrant of the firearm described on this form, please note the following information.
Estate Procedures: For procedures regarding the transfer of firearms in an estate resulting from the death of the registrant identified in item 2a, the executor should contact
the NFA Branch, 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 Branch, 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 Branch, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405, in
writing, of any change to the description of the firearm(s) in item 4.
Interstate Movement: If the firearm identified in item 4 is a machinegun, short-barreled rifle, 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 firearm identified in item 4 continues with the further transfer of
the firearm.
Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a firearm, please contact the NFA Branch for procedures on how to
dispose of the firearm.
Proof of Registration: A person possessing a firearm registered as required by the NFA shall retain proof of registration which shall be made available to any ATF officer
upon request.
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 firearms
taxpaid. Data is used to identify transferor, transferee, and firearm, 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 Officer, Information Technology
Coordination Staff, 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.

ATF Copy

ATF Form 4 (5320.4)
Revised May 2016

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 firearm, 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 effect registration of the
firearm.
3.

Routine Uses. The information will be used by ATF to make the determinations set forth in paragraph 2. In addition, to effect registration of the firearm, information
as to the identification of the firearm, date of registration, and the identification and address of person entitled to possess the firearm 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 filing 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. Effects of not Supplying Information Requested. Failure to supply complete information will delay processing and may cause denial of the application.
Definitions/Instructions
1. Definitions
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 “firearm” 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
fied has an overall length of less than 26 inches or a barrel or barrels of less than 18
inches in length; (3) a rifle having a barrel or barrels of less than 16 inches in length;
(4) a weapon made from a rifle if such weapon as modified 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 defined in 26 U.S.C. § 5845(e); (6) a machinegun; (7) a muffler or silencer
for any firearm whether or not such firearm is included within this definition; 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.
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 firearm for, or on behalf of, the trust or legal entity.
In the case of a 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 firearm
for, or on behalf of the trust. Examples of who may be considered a
responsible person include settlors/grantors, trustees, partners, members,
officers, directors, board members, or owners. An example of who may
be excluded from this definition of responsible person is the beneficiary
of a trust, if the beneficiary does not have the capability to exercise the
enumerated powers or authorities.
f.
Employer Identification Number (EIN). Required of taxpayer filing
special (occupational) tax returns under 27 CFR § 479.35.
g.
Special (Occupational) Tax. Required by the NFA to be paid by a
Federal firearms licensee engaged in the business of manufacturing (Class
2), importing (Class 1), or dealing (Class 3) in NFA firearms.
h.
Federal Firearms License. A license issued under the provisions of the
GCA to manufacture, import or deal in firearms.
i.
ATF Officer. An officer 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 firearm.
k.
Transferor. The person selling or otherwise disposing of a firearm;
including applying to transfer a firearm.
l.
Transferee. The person acquiring the firearm.
m.
Prohibited Person. Generally, 18 U.S.C. § 922(g) 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,
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 affecting interstate commerce of a firearm
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
verified 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 firearm

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 office) 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 firearms. 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 affairs. 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.
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.

ATF Form 4 (5320.4)
Revised May 2016

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
suffer 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 finding of disability, without an opportunity for a hear
ing 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 qualified 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, 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 cohabitated with the person.

q.
Misdemeanor Crime of Domestic Violence: A Federal, State, local,
tribal offense 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 offense is committed by one of the defined parties. (See

Exception in the definition 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 firearm 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 Affairs, which is valid and unexpired; (2)
was admitted to the United States for lawful hunting or sporting purposes; (3) is
an official 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 official representative of
a foreign government who is enroute to or from another country to which that
alien is accredited; (5) is an official 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 officer of a friendly foreign government entering the
United States on official law enforcement business; (7) has received a waiver
from the prohibition from the Attorney General of the United States.

Fugitives from Justice. Any person who has fled 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 firearm must submit, in duplicate, a separate application on this form for each
firearm. 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 contain
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 firearm
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
identification 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 reflect the FFL information for the sole proprietor business
and item 7 shall reflect the FFL number for that sole proprietor business. Item 8
will reflect 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.
(1) The transferor shall provide the transferee’s complete name and physical ad

dress (no Post Office 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 officials). The ad

dress shall be the location within the particular state where the firearm 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 office, in the case of a corporation).
(2) If the transferee is an individual, the entire Form 4 shall be completed except for

items 18 and 19. In addition, the transferee must include his or her fingerprints 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, and 17. All other

items must be completed including the signing of the Transferee Certification

statement by the transferee.
(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 filing this applica

tion, and there has been no change to the documentation evidencing the

existence and validity of the entity previously provided, the entity may

provide a certification that the information has not been changed since the

prior approval and shall identify the application for which the documenta

tion 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 definition 1e) must include a completed ATF Form 5320.23,

National Firearms Act (NFA) Responsible Person Questionnaire, with the sub

mitted Form 4.
ATF Form 4 (5320.4)
Revised May 2016

(6)

Item 17 (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 fields do not require completion
on these copies.

e.
Transferee Necessity Statement. Item 13 must be completed by the transferee
if:
(1)

(2)

(3)

the firearm to be transferred is a machinegun, short-barreled rifle,
short-barreled shotgun, or destructive device;
the transferor is licensed under the GCA to deal in such device or fire
arm; and
the transferee is not licensed under the GCA to deal in such device or
firearm.

f.
Law Enforcement Notification. The transferee must provide a copy of the
Form 4 to the chief law enforcement officer (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 officer. The chief law enforcement
officer is considered to be the Chief of Police; the Sheriff; 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, 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 fingerprints
must be clear for accurate classification and taken by someone properly
equipped to take them.
h.
Signatures. All signatures required on ATF Form 4 must be original in
ink on both copies.

(1) if the applicant is an individual, the applicant shall sign the form;
(2) if the applicant is the estate of a decedent where the firearm is being

transferred to other than a beneficiary, the executor or administrator of

the estate shall sign the form;
(3) if the applicant is a trust or legal entity, a responsible person of the trust

or legal entity shall sign the form; or
(4) if the applicant is a Federal firearms licensee, a responsible person of

the Federal firearms licensee shall sign the form.
i.
Remittance. The applicant shall complete item 20. 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.
j.
Photocopies, Computer Generated Versions, or Downloaded
Version from ATF Website. After downloading or copying and printing
this form, ensure that the front and back are on the same sheet of paper. The
NFA Branch will not approve the application if the front and back are on
separate sheets of paper.
k.
Estates, Trusts, and Other Transfers by Operation of Law. When a
firearm 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
beneficiary or other authorized recipient, ATF Form 5 is used to effect the
transfer otherwise, Form 4 is used. See ATF Form 5 for additional
information.
l.
Submission. The transferor shall submit 2 forms (ATF Copy 1 and Copy
2 (Registrant)) to the NFA Branch 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 enforce
ment officer as provided in instruction 2f and item 12.
m.
Description of Firearm and Markings. (1) Item 4a. please provide
the name and address of the maker, manufacturer or importer of the
firearm. 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 firearm are listed in instruction 1c. (3) Item 4c. specify
one caliber or gauge. If there are additional calibers associated with the
description of the firearm, 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 firearm, include this information in item 4h. or
on a separate sheet of paper. (6) Item 4g. enter the serial number of
the firearm as it appears on the firearm. (7) If there are differences
between the description of the firearm on the form in comparison to the
physical description of the firearm or in the markings on the firearm,
including the serial number, contact the NFA Branch in regard to these
differences.
n.
State or Local Permit. If a State or local permit or license is required
for the transferee prior to acquisition of the firearm, 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 Branch will
return the approved copy to the transferor for delivery with the firearm to the
transferee. Since the approval of the application effectuates registration of the
firearm to the transferee, the physical transfer of the firearm must be
completed immediately; however, the transferor must not transfer the firearm
until the application has been approved and received. If the physical transfer
of the firearm cannot be completed immediately, the transferor must contact
the NFA Branch with the specifics.

Withdrawal of Application. The transferor may withdraw an application prior
to approval subsequent to a written request to the Chief, NFA Branch, 244
Needy Road, Martinsburg, WV. 25405. The NFA Branch will arrange for a
refund of the tax paid.

Cancellation of Approved Application. The transferor may cancel an
approved application only if the physical transfer of the firearm has not been
completed. The transferor must return the approved application with the
original tax stamp affixed with a written request for cancellation, citing the need
and that the physical transfer of the firearm did not take place. The request shall
be directed to the Chief, NFA Branch, 244 Needy Road, Martinsburg, WV.
25405. The NFA Branch will arrange for a refund of the tax paid.

6. Disapproval of Application. If the application is disapproved, the NFA

Branch 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 firearm would place the

transferee in violation of law.
a.
Violation of Law. Applications shall be denied if the receipt or possession
of the firearm would place the person receiving or possessing the firearm in
violation of law.

Persons Prohibited from Receiving a Firearm. The application will be
disapproved if the transferee is a person prohibited from receiving a
firearm. For information regarding persons prohibited from receiving a
firearm, refer to definitions 1m through 1r.

Status Inquiries and Questions. Information relating to the NFA and other
firearms 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 firearm or
about procedures in general should be directed to the NFA Branch at (304)
616-4500. Please be aware that any dissemination by ATF of information
relating to the application to register an NFA firearm 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 fined not more than

$10,000 or be imprisoned for not more than 10 years, or both. Any firearm

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 May 2016

OMB No. 1140-0014 (xx/xx/xxxx)

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

Application for Tax Paid Transfer and
Registration of Firearm

ATF Control Number
National Firearms Act Branch
SUBMIT in DUPLICATE to: Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 530298, Atlanta, GA 30353-0298
1. Type of Transfer (Check one)
$5

2a. Transferee’s Name and Address (Include trade name, if any) (See instruction 2d)

$200

INDIVIDUAL

2b. County

TRUST or LEGAL ENTITY

3a. Transferor’s Name and Address (Include trade name, if any) (Executors: see instruction 2k)

3b. e-mail address (optional)
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 Different from Item 3a.

Importer of Firearm

b. Type of Firearm c. Caliber

or
(See definitions)
Gauge

Length
(Inches)

e. Of Barrel:

f. Overall:

g. Serial Number
h. Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)

6. Transferee’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class
5 digits

5 digits

8. Transferor’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class

Disapproved (For the following reasons)

Signature of Authorized ATF Official
Previous Editions Are Obsolete

Date

ATF Copy 2 - To Be Returned to Registrant

ATF Form 4 (5320.4)
Revised May 2016

Transferee Certification
12. Law Enforcement Notification (See instruction 2f)

Name and Title of Official

Agency or Department Name

Address (Street address or P.O. Box, City, State and Zip Code) to which sent (mailed or delivered))

Affix
Recent Photograph Here
(Approximately 2” x 2”)
(See instruction 2g)

Other Country/Countries (specify):
Yes

Have you ever renounced your United States citizenship?

Are you an alien illegally or unlawfully in the United States?

N/A

Date
ATF Copy 2 - To Be Returned To Registrant

ATF Form 4 (5320.4)
Revised May 2016

Full Name

Important Information for Currently Registered Firearms
If you are the current registrant of the firearm described on this form, please note the following information.
Estate Procedures: For procedures regarding the transfer of firearms in an estate resulting from the death of the registrant identified in item 2a, the executor should contact
the NFA Branch, 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 Branch, 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 Branch, Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405, in
writing, of any change to the description of the firearm(s) in item 4.
Interstate Movement: If the firearm identified in item 4 is a machinegun, short-barreled rifle, 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 firearm identified in item 4 continues with the further transfer of
the firearm.
Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a firearm, please contact the NFA Branch for procedures on how to
dispose of the firearm.
Proof of Registration: A person possessing a firearm registered as required by the NFA shall retain proof of registration which shall be made available to any ATF officer
upon request.
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 firearms
taxpaid. Data is used to identify transferor, transferee, and firearm, 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 Officer, Information Technology
Coordination Staff, 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.

ATF Copy 2 - To Be Returned To Registrant

ATF Form 4 (5320.4)
Revised May 2016

OMB No. 1140-0014 (xx/xx/xxxx)

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

Application for Tax Paid Transfer and
Registration of Firearm

ATF Control Number
National Firearms Act Branch
SUBMIT in DUPLICATE to: Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 530298, Atlanta, GA 30353-0298
1. Type of Transfer (Check one)
$5

2a. Transferee’s Name and Address (Include trade name, if any) (See instruction 2d)

$200

INDIVIDUAL

2b. County

TRUST or LEGAL ENTITY

3a. Transferor’s Name and Address (Include trade name, if any) (Executors: see instruction 2k)

3b. e-mail address (optional)
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 Different from Item 3a.

Importer of Firearm

b. Type of Firearm c. Caliber

or
(See definitions)
Gauge

Length
(Inches)

e. Of Barrel:

f. Overall:

h. Additional Description or Data Appearing on Firearm (Attach additional sheet if necessary)

6. Transferee’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class
5 digits

5 digits

8. Transferor’s Special (Occupational) Tax Status (If any)
a. Employer Identification Number
b. Class

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:
Approved (With the following conditions, if any)

Disapproved (For the following reasons)

Signature of Authorized ATF Official
Previous Editions Are Obsolete

Date

CLEO Copy

ATF Form 4 (5320.4)
Revised May 2016

Transferee Certification
12. Law Enforcement Notification (See instruction 2f)

Name and Title of Official

Agency or Department Name

Address (Street address or P.O. Box, City, State and Zip Code) to which sent (mailed or delivered))

Affix
Recent Photograph Here
(Approximately 2” x 2”)
(See instruction 2g)

Other Country/Countries (specify):
Yes

Have you ever renounced your United States citizenship?

Are you an alien illegally or unlawfully in the United States?

N/A

Signature of Transferee
CLEO Copy

ATF Form 4 (5320.4)
Revised May 2016

Full Name

CLEO Copy

ATF Form 4 (5320.4)
Revised May 2016

File Type	application/pdf
File Modified	2016-06-16
File Created	2016-06-16