ATF Form 4473 - Firearms Transaction Record Walk-Through Guide

How to guide and walk-through guide for the ATF Form 4473 (5300.9) - Firearms Transaction Record - Walk-Through Guide

Transferor’s/Seller’s Transaction Number (if any).  This is used by the Transferor. This can be any transaction number or schema the Transferor uses to serial ATF 4473 paperwork internally, for example, this could be the date transferred.

Section A - Must Be Completed By Transferor/Seller Before Transferee/Buyer Completes Section B  

Boxes 1 through 5 are completed by the Transferor/Seller with the information of the firearm or firearms being transferred and are self explanatory.  There are three lines that can be used to transfer 3 firearms at one time.  It is worth noting that Southern Border states and multiple firearms sales may require additional forms to be completed - ATF Form 3310.4 or ATF Form 3310.12. 

1. Manufacturer and Importer (if any), or Privately Made Firearm (PMF) (If the Manufacturer and Importer are different, include both.).
2. Model (if designated).
3. Serial Number.
4. Type.
5. Caliber or Gauge.

6. Total Number of Firearms to be Transferred (Please spell total number e.g., one, two, etc. Do not use numerals.).  This is the total amount of firearms being transferred.  You will need to write out the amount of firearms being transferred, e.g. One, Two, or Three.

7. Check if any part of this transaction is a pawn redemption. Record Line Number(s) From Question 1.

8. Check if any part of this transaction is to facilitate a private party transfer.  If you are facilitating the transfer from two private parties, you would nee d to check this box.

Section B - Must Be Completed Personally By Transferee/Buyer

9. Transferee’s/Buyer’s Full Name (If legal name contains an initial only, record the initial followed by “IO” in quotes. If no middle initial or name, record “NMN”.)
Last Name (including suffix, e.g., Jr, Sr, II, III).  This is the Transferee's/Buyer's last name.
First Name. This is the Transferee's/Buyer's first name.
Middle Name.  This is the Transferee's/Buyer's middle name.  If they do not have a middle name, "NMN" would go in this box and stands for "No Middle Name".

10. Current State of Residence and Address (U.S. postal abbreviations are acceptable. Cannot be a post office box.).  This is the Transferee's/Buyers current state and residence and divided into 6 boxes: Number and Street Address, City, Reside in City Limits?, State, Zip Code and County/Parish/Borough.

11. Place of Birth. This is the birth city and state or if born outside of the United States, the country of birth of the Transferee/Buyer.

12. Height.  This is the Transferee's/Buyer's height.

13. Weight (lbs.).  This is the Transferee's/Buyer's weight in pounds (lbs.).

14. Sex. This is the Transferee's/Buyer's sex.

15. Birth Date. This is the Transferee's/Buyer's birth month, day and year.

16. Social Security Number (optional, but will help prevent misidentification).  This is the Transferee's/Buyer's social security number and is optional.  However, including this information can help accurately identify the Transferee/Buyer when the NICS background check is submitted.

17. Unique Personal Identification Number (UPIN) or Appeals Management Database Identification (AMD ID) (if applicable).  This is the Transferee's/Buyer's UPIN or AMD ID if the Transferee/Buyer has one.  If this not applicable, this box can be left blank.  If the Transferee/Buyer needs to obtain an UPIN, you can view our UPIN walk-through guide here.

18.a. Ethnicity.  This is the Transferee's/Buyer's ethnicity. 

18.b. Race (Select one or more race in 18.b. Both 18.a. and 18.b. must be answered.).  This is Transferee's/Buyer's race. One race can be selected, but multiple races can be selected if applicable.  

19. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.).  This is the Transferee's/Buyer's country of citizenship.  US born citizens can simply select U.S.A.  If the Transferee/Buyer is a citizen of multiple countries or not born in the US, the country or countries can be listed.

20. If you are an alien, record your U.S.-issued alien or admission number (AR#, USCIS#, or I94#):.  This the Transferee's/Buyer's AR number, USCIS number or I94 number if applicable.  If the Transferee/Buyer doesn't have an AR number, USCIS number or I94 number, then this box can be left blank.

21a - 21n. Transferee/Buyer Questions.  These answers will very and require a yes or no response and answered by the Transferee/Buyer. 

22. Transferee's/Buyer's Signature.  This is the Transferee's/Buyer's signature.  The Transferee/Buyer, is signing to certify the transfer and to certify their information within the application. 

I certify that my answers in Section B are true, correct, and complete. I have read and understand the Notices, Instructions, and Definitions on ATF Form 4473. I understand that answering “yes” to question 21.a. if I am not the actual transferee/buyer is a crime punishable as a felony under Federal law, and may also violate State and/or local law. I understand that a person who answers “yes” to any of the questions 21.b. through 21.l. as well as 21.n. is prohibited from receiving, possessing, or purchasing a firearm. I understand that a person who answers “yes” to question 21.m.1. is prohibited from receiving or possessing a firearm, unless the person answers “yes” to question 21.m.2. and provides the documentation required in 26.d. I also understand that making any false oral or written statement, or exhibiting any false or misrepresented identification with respect to this transaction, is a crime punishable as a felony under Federal law, and may also violate State and/or local law. I further understand that the repetitive purchase of firearms for the purpose of resale to predominantly earn a profit without a Federal firearms license is a violation of Federal law.

23. Certification Date. This is the month, day and year that the firearm(s) are being transferred to the Transferee/Buyer and is completed by the Transferee/Buyer. If the firearm is being transferred on a different date than the certification day due to a NICS delay or the like, then Box 30 and Box 31 are used to recertify the Transferee/Buyer. 

Section C - Must Be Completed By Transferor/Seller Prior To The Transfer Of The Firearm(s) - THIS SECTION IS COMPLETED BY THE FFL

24. Category of firearm(s) to be transferred (check or mark all that apply). Select the type of firearms being transferred.  If different category firearms are being trasnferred at the same time, you will need to select all of the categories that apply. 

25. If sale or transfer is at a qualifying gun show or event.  If the sale of the firearm(s) were at a qualifying gun show or event, that information would be listed here.  Include the name of the function, county, address, city, state and zip code.  This will be left blank if the firearm(s) were transferred at the FFL premises. 

26.a. Identification (e.g., Virginia driver’s license (VA DL) or other valid government-issued photo identification including military ID.).  Issuing Authority and Type of Identification - this will be the Tranferee's/Buyer's type of ID presented by the buyer.  Number on Identification - this is the ID number located on the form of ID.  Expiration Date of Identification (if any) - this is the expiration date of the ID presented.  If there is no expiration date, the month, day and year boxes can be left blank.  

26.b. Supplemental Government Issued Documentation (if identification document does not show current residence address or legal name).  This box is used if the ID provided by the Transferee's/Buyer's ID does not include an address.  For example, Transferee's/Buyer's ID is a U.S. Passport (which doesn't have an address indicated on the ID), then this box would be used to fulfill the address requirement.  Common supplemental government issued documentation can include: a tax bill, vehicle registration, and voter identification card.  Documents issued by private companies or individuals (rental documents, leases, cable bills, phone bills, credit card bills, bank documents, etc.) may not be used as supplemental identification documents for the purchase or acquisition of a firearm.  More information can be found here.

Notice: If transferee/buyer is under 21, a waiting period of up to 10 days may apply where notification from NICS is received within 3 business days to
further investigate a possible disqualifying juvenile record. A NICS check is only valid for 30 calendar days from the date recorded in question 27.a.

27.a. Date the transferee’s/buyer’s identifying information in Section B was transmitted to NICS or the appropriate State agency.  This is the date that the Transferee's/Buyer's information was submitted to NICS.  

27.b. The NICS or State transaction number (if provided) was.  This is the NTN number that was provided by NICS for the Transferee's/Buyer's background check. 

27.c. The response initially provided by NICS or the appropriate State agency was.  This is the response from the NICS background check.  If the Transferee/Buyer receives a delayed response from NICS, you would need to complete the delayed section.  The date portion of the delayed box can be optional if time period is not extended by NICS or the appropriate State agency, and State law allows.

If the background check from NICS comes back denied, you will need to select the denied radio box and write in the may be transferred on date (if applicable). 

27.d. Prior to transfer the following response(s) was/were later provided by NICS or the appropriate State agency.  Before transferring the firearm to the Transferee/Buyer the response and date from NICS was received, not received, denied, canceled, etc depending on the situation.  That information would be indicated here and is a carry over from Box 27.c.

27.e. After the firearm was transferred, the following response was provided by NICS or the appropriate State agency (if applicable) on.  If the firearm was transferred to the Transferee/Buyer and the NICS background check comes back with a different response, this typically happens if a delayed response was received, that information would be indicated here.  

28. No NICS check is required because a background check was completed during the NFA approval process on the individual who will receive the NFA firearm(s), as reflected on the approved NFA application.  If the transaction was an NFA transaction and their background was already checked when using the ATF Form 4, then you would select this box.  This means that boxes 27.a. through 27.e. would be left blank. 

29. No NICS check is required because the transferee/buyer has a valid permit from the State where the transfer is to take place, which qualifies as an exemption to NICS.  This box is typically used if the Transferee/Buyer has a concealed carry license/permit and the state allows for that valid license/permit in lieu of a NICS background check. The information from that license/permit would be noted here. 

Section D - Must Be Completed Personally By Transferee/Buyer

If the transfer of the firearm(s) takes place on a different day from the date that the transferee/buyer signed Section B (Box 22 and Box 23), the transferee/buyer must complete Section D immediately prior to the transfer of the firearm(s).

Box 30 Transferee’s/Buyer’s Signature and Box 31 Recertification Date are only completed if the firearm was transferred to the Transferee/Buyer after the date that the Transferee/Buyer signed and dated Box 22 and Box 23.

Section E - Must Be Completed By Transferor/Seller 

32. For Use by Licensee.  This box is used for the licensee’s use in recording any information he/she finds necessary to conduct business or any additional information received from NICS that is not recorded in Questions 27.a. – 27.e.

33. Trade/corporate name and address of transferor/seller and Federal Firearm License Number (must contain at least first three and last five digits X-XX-XXXXX; hand stamp may be used).  This is the FFL's first three and last five digits of the FFL License.  A handstamp indicating the FFL's name and FFL License number can be also be used instead of hand writing in the information. 

34. Transferor’s/Seller’s Name (please print).  This is the Transferor's/Seller's name. 

35. Transferor’s/Seller’s Signature.  This is the Transferor's/Seller's signature. 

36. Date Transferred. This is the date that the firearm was transferred to the Transferee/Buyer.