firearms laws for the trust & estate practitioner · 7/13/2016 · and the district of new...

He Died With Guns in His Closet Firearms and Estates 2016-9243 For Presentation Only

Firearms Laws for the Trust & Estate Practitioner

Jonathan S. Goldstein, Esq. McNelly and Goldstein, LLC Hatfield Bradford A. Richman, Esq. Montgomery County District Attorney’s Office Bala Cynwyd © 2016 Jonathan Goldstein, Esq. – All Rights Reserved

Biographies

COURSE PLANNER

Jonathan S. Goldstein, Esq. Mr. Goldstein brings nearly 20 years of experience as an entrepreneur and business owner to his law practice, which focuses on firearms law and election law as well as entrepreneurial and small business advising. He received his undergraduate degree from the University of Pennsylvania in 1993. Mr. Goldstein returned to the University of Pennsylvania for law school, earning his J.D. in 2005. He is admitted to practice in Pennsylvania, New Jersey, the Eastern District of Pennsylvania and the District of New Jersey. Mr. Goldstein is a National Rifle Association certified pistol instructor and is a volunteer attorney for several firearms organizations, including the NRA. He actively lectures on firearms law and firearms safety across Pennsylvania and is a frequent lecturer for continuing legal education providers such as CAPE and the Pennsylvania Bar Institute. In May 2011, Mr. Goldstein was awarded the Defender of Justice Award by the National Rifle Association’s Institute of Legislative Action for his “tireless service to the Constitution and with particular emphasis on the protection and furtherance of the Second Amendment.”

FACULTY

Bradford A. Richman, Esq.

Mr. Richman currently serves as an Assistant District Attorney in Montgomery County, where he is Captain of the DUI Prosecutions Unit. A former Assistant District Attorney and Deputy City Solicitor in Philadelphia, he also served as Special Assistant to former Philadelphia Police Commissioner John F. Timoney. While with the Philadelphia Police Department, Mr. Richman developed and implemented an aggressive protocol for addressing gun permitting issues that are unique to Philadelphia. He currently is a consultant on gun licensing issues for the Philadelphia Police Department. Mr. Richman graduated from Temple University, cum laude, in 1976 with a B.A. in Sociology and earned his J.D. from Widener University School of Law in 1980.

Firearms Laws for the Trust & Estate Practitioner

Presented by

Jonathan S. Goldstein, Esq.

Bradford A. Richman, Esq.

www.mcnellygoldstein.com

© 2016 Jonathan Goldstein, Esq. – All Rights Reserved. Do Not Duplicate.

Before We Begin

Test Case Life of the Righteous

vs.

Obscure Life of the Unsure


Topics for Discussion

Definitions and What the Law Requires

Obtaining a Firearm

Transferring a Firearm

Possession and Transportation of a Firearm

Prohibited Persons & Rehabilitation

NFA Firearms and Gun Trusts

What Else Makes the Phone Ring

Obtaining Additional Information


Who Comes Into Contact with Firearms in an Estate Context?

• Testator

• Attorneys

• Executor

• Beneficiary

• Assorted Other Professionals

The Scary News18 U.S.C. 922 (d) It shall be unlawful for any person to sell or otherwise dispose of any firearm or ammunition to any

person knowing or having reasonable cause to believe that such person—

(1) is under indictment for, or has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year;

(2) is a fugitive from justice;

(3) is an unlawful user of or addicted to any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802));

(4) has been adjudicated as a mental defective or has been committed to any mental institution;

(5) who, being an alien— (A) is illegally or unlawfully in the United States; or (B) except as provided in subsection (y)(2), has been admitted to the United States under a nonimmigrant visa (as that term is defined in section 101(a)(26) of the Immigration and Nationality Act (8 U.S.C. 1101 (a)(26)));

(6) who [2] has been discharged from the Armed Forces under dishonorable conditions;

(7) who, having been a citizen of the United States, has renounced his citizenship;

(8) [is subject to a domestic violence restraining order]

(9) has been convicted in any court of a misdemeanor crime of domestic violence.

Violations punishable by up to 10 years in federal prison.


What’s a Firearm?

Broadly speaking, there are

three categories of firearms:

Handguns

Long Guns

NFA Arms – defined in NFA of 1934



Handguns and Long Guns What is a handgun under federal law? 18 U.S. Code § 921(29) The term “handgun” means—

(A) a firearm which has a short stock and is designed to be held and fired by the use of a single hand; and

(B) any combination of parts from which a firearm described in subparagraph (A) can be assembled.

What’s a “handgun” in Pennsylvania? "Firearm." Any pistol or revolver with a barrel length less than 15

inches, any shotgun with a barrel length less than 18 inches or any rifle with a barrel length less than 16 inches, or any pistol, revolver, rifle or shotgun with an overall length of less than 26 inches. The barrel length of a firearm shall be determined by measuring from the muzzle of the barrel to the face of the closed action, bolt or cylinder, whichever is applicable.

What’s a long gun? Basically anything that shoots that isn’t an NFA firearm or a

handgun.


Obtaining a Firearm: Federal Laws

Gun Control Act of 1968

BATFE Form 4473

Brady Law

Lautenberg Amendment to GCA of 1968 –domestic violence misdemeanors

National Firearms Act of 1934


Obtaining a Handgun: Pennsylvania’s Handgun

Laws Generally

Permit to purchase Prohibitions of particular classes of firearms Magazine capacity restrictions Roster of state-approved firearms Waiting period Background check – will discuss later Registration of firearms Fees


Transferring a Handgun:Taking Possession of a

Handgun in Pennsylvania What’s a “handgun” in Pennsylvania? "Firearm." Any pistol or revolver with a barrel length less than 15

inches, any shotgun with a barrel length less than 18 inches or any rifle with a barrel length less than 16 inches, or any pistol, revolver, rifle or shotgun with an overall length of less than 26 inches. The barrel length of a firearm shall be determined by measuring from the muzzle of the barrel to the face of the closed action, bolt or cylinder, whichever is applicable.

When purchasing a handgun from a dealer, everyone (other than licensed collectors of curios or relics, that is firearms more than 50 years old, or a LEO purchasing a duty weapon) must undergo a background check, including police officers and individuals with a License to Carry Firearms.

Handgun transfers between private individuals require a background check unless the exchange is between family members such as parent and child, grandparent and grandchild, or spouses.


Transferring a Handgun: Various Scenarios

Transferring title to another individual as a gift under PA law – parent/spouse/child/grandparent vs. sibling

Receiving a firearm through an estate and bequeathing through a will

Interstate bequests Receiving in PA Receiving in Another State

Selling a handgun to: An individual A federally licensed dealer

Lending a handgun to another person – let’s discuss in detail…


Transferring a Handgun: Lending Firearms Is Prohibited

Except a person: Who receives the handgun and has a license to carry

or, who; Is engaged in a Pennsylvania Game Commission or

NRA hunter safety, firearm training, or competition program or, who;

Is engaged in hunting or trapping* or, who; Will remain within the transferor’s dwelling or place of

business or, who; Receives a transfer to carry out a bequest or intestate

succession or, who; Is under 18 but is under the direct supervision of a

responsible person at least 21 years old.


Handgun Possession: Age Restrictions on Purchasing

and Handling Firearms Federal law – The Gun Control Act – 18 USC 922(b) provides that

federally licensed dealers may not sell or transfer a long gun to an individual under the age of 18. In addition, a handgun shall not be transferred by a dealer to an individual under the age of 21.

Question: Can a person under 21 own a firearm? If so, how?

Pennsylvania law - It is unlawful for a person under 18 to possess a handgun. This does not apply to a minor who is under the supervision of a parent, grandparent, legal guardian or adult acting with the consent of the minor’s custodial parent or legal guardian, when the minor is engaged in lawful activity including training, target shooting or competition, or the firearm is unloaded and the minor is transporting it for lawful purpose or a person under the age of 18 who is lawfully hunting or trapping in accordance with the Pennsylvania Game Code.


Handgun Possession and Transportation Generally

Home Curtilage Place of Business Temporary Housing Airports LTCF – A Household Affair

Concealed Carry – Statewide Philadelphia vs. Pennsylvania – Open Carry Traffic Stops – Show license per 18 Pa.C.S.A. § 6122

Vehicles – let’s talk in a minute Let’s look at some exceptions…


Vehicles What’s a vehicle? Firearms laws are silent, where do we look? First Choice:

18 Pa.C.S. 501: "Vehicle." A conveyance of any kind, whether or not motorized, that is designed to transport people or property.

Second Choice: PA Vehicle Code - 75 Pa. Cons. Stat. § 102 "Vehicle." Every device in, upon or by which any person or property is

or may be transported or drawn upon a highway, except devices used exclusively upon rails or tracks. The term does not include a self-propelled wheelchair or an electrical mobility device operated by and designed for the exclusive use of a person with a mobility-related disability.

"Highway." The entire width between the boundary lines of every way publicly maintained when any part thereof is open to the use of the public for purposes of vehicular travel. The term includes a roadway open to the use of the public for vehicular travel on grounds of a college or university or public or private school or public or historical park.

Interstate transportation in a vehicle Stops along the way – Revel v. Port Authority – 3rd Cir. (2010)


Handgun Possession: Problematic Locations

Federal property – Amtrak, post offices, federal buildings, etc. Pennsylvania court houses Schools - OK to carry a gun on school property “for other lawful

purpose[s].” (18 P.S. 912) Regulation by Agencies:

Child day care centers (55 Pa. Code § 3270.79) Group child day care homes located in buildings that are not residences (55 Pa.

Code § 3280.79(a)) Child residential and day treatment facilities (55 Pa. Code § 3800.101) Community homes for individuals with mental retardation (55 Pa. Code §

6400.86) Firearms are also generally prohibited in facilities licensed by the Gaming Control

Board. (58 Pa. Code § 465.14)

Ostensibly solved by 18 Pa. C.S. 6109(m.3)(2) “Nothing in this section shall be construed to…(2) Authorize any Commonwealth agency to regulate the possession of firearms in any manner inconsistent with the provisions of this title.”


Who Can’t Possess a Firearm in Pennsylvania?

Pennsylvania Law1. An individual who has been convicted of any one of 38 enumerated offenses, or2. is a fugitive from justice; or3. has been convicted of an offense under the Controlled Substance, Drug, Device and

Cosmetic Act (PL 233, No. 64) punishable by imprisonment exceeding two years; or4. has been convicted of driving under the influence of alcohol or controlled substance (75 Pa.

C.S. § 3731) on three or more separate occasions within a five-year period (prohibition on new purchases only); or

5. has been adjudicated as an incompetent or who has been involuntarily committed to a mental institution for treatment under § 302, 303, or 304 under the Mental Health Procedures Act (PL 817, No. 143); or

6. is an alien, is illegally or unlawfully in the United States; or 7. is the subject of an active protection from abuse order issued pursuant to 23 Pa. C. S. §

6108, relating to relief; or8. was adjudicated delinquent (with conditions specified in the UFA). With the exception of

crimes committed under sections 2502, 2503, 2702, 2704, 2901, 3121, 3123, 3301, 3502, 3701, and 3923, this prohibition may terminate 15 years after the last applicable delinquent adjudication, or upon the person reaching the age of 30, whichever is earlier.

Federal Law Under indictment for, or conviction of a misdemeanor offense for which the maximum prison

term may exceed two years, or a felony, if the maximum prison term exceeds one year. Federal law, under the Lautenberg Amendment, applies prohibitions of misdemeanor convictions, if the offense involves domestic violence.


Who Can’t Possess: Domestic Violence

A “misdemeanor crime of domestic violence” means an offense that:

is a misdemeanor under Federal or State law;

has, as an element, the use or attempted use of physical force, or the threatened use of a deadly weapon; and

was 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.

However, a person is not considered to have been convicted of a misdemeanor crime of domestic violence unless:

the person was represented by counsel in the case, or knowingly and intelligently waived the right of counsel in the case; and

in the case of a prosecution for which a person was entitled to a jury trial in the jurisdiction in which the case was tried, either —

the case was tried by a jury, or

the person knowingly and intelligently waived the right to have the case tried by a jury, by guilty plea or otherwise.

“Can’t I Get This Expunged?”Usually, no.

Expungement is a civil proceeding after a criminal action

Found at found at 18 Pa.C.S. § 9122 and available under limited circumstances:No disposition of a criminal action for 18 months, and;

A court orders the expungement.

Separately, also available to persons who are now adults for certain alcohol offenses committed while a juvenile.

Separately, for people over 70 who are not incarcerated and have been offense free for more than 10 years.

Separately, certain dead people.

Most sex offenses can’t be expunged

Permanent PFAs can’t be expunged

Mental health expungement for 302,303 and 304 commitments are treated separately as of 12/25/2013 – In re Keyes, 83 A. 3d 1016 (Pa. Super. 2013).


What If Rights Were Restored?

“I have a Common Pleas court order restoring my firearms rights [without limitation/for hunting/for work/on Mars/at the library/on Tuesdays]. Can I possess?”

Almost always NO. Why?

PA Disability vs. Federal Disability – BATFE is not holding relief from disability hearings

The governing case is called Pennsylvania State Police v. Paulshock, 836 A.2d 110 (2003). Let’s take a look…



Relief from Disability - I The Supreme Court of Pennsylvania reversed the

Commonwealth Court’s grant of relief to both Reed and Paulshock holding that: “Section 6105(d)(3)(i) did not grant the common pleas court the power

to relieve a federal firearms disability. Therefore, we find that the only relief that could be granted pursuant to Section 6105(d) is from the state firearms disability imposed under Section 6105(a), and that a common pleas court order could not effectuate removal of a firearms disability imposed pursuant to the Federal Act.”

Both Reed and Paulshock were held to still be disabled under federal law because their Pennsylvania disabilities were not relieved in a manner that triggered federal relief.

Almost more important, however, is Justice Newman’s concurrence and dissent…


Relief from Disability - II836 A.2d 110, 120 (2003):

“Federal court decisions have concluded that, for federal law to recognize state restoration of rights, the state restoration must include: (1) the right to vote; (2) the right to seek and hold public office; and (3) the right to serve on a jury. See, e.g., Hampton v. United States,191 F.3d 695 (6th Cir.1999). If the state restoration of rights includes the three aforementioned rights, federal law contains an additional clause that looks to state law to determine whether the state imposes any further restriction on the right of the convicted felon to possess a weapon.3 If state law provides some added restriction, this federal clause is triggered to make the possession of firearms unlawful pursuant to federal law, notwithstanding the restoration of civil rights by the state.”


Relief from Disability - IIIWhat’s are the two problems Paulshock faces?

First Problem: 42 Pa.C.S. § 4502 prohibits persons convicted of crimes punishable for more than one year from sitting on a jury. The General Assembly has provided no statutory mechanism for relief from this abrogation of a civil right.

Second Problem: Article II, Section 7 of the Pennsylvania Constitution provides: "No person hereafter convicted of embezzlement of public moneys, bribery, perjury or other infamous crime, shall be eligible to the General Assembly, or capable of holding any office of trust or profit in this Commonwealth.“ In Commonwealth ex rel Baldwin v. Richard, 561 Pa. 489, 751 A.2d 647 (2000), the Pennsylvania Supreme Court held that the term “infamous crimes” includes felonies.

Therefore, if Newman is right, until Paushock is 70 and free of imprisonment for 10 years (and therefore eligible for expungement under 18 Pa. C.S.A. § 9122), he can never receive sufficient relief from a Pennsylvania court pursuant to 18 Pa. C.S. § 6105 to be eligible for relief under federal law.

So What’s a Good Estate Lawyer To Do with Non-NFA Arms?

Client is Alive

Beneficiary is spouse – handguns or long guns

Beneficiary is a lineal descendant – handguns or long guns

Beneficiary bears any other relationship to client

Handguns - background check required

Long guns – no background check required in PA

Watch out for siblings!

Out of state recipient – must use a Federal Firearms Licensee (FFL)

Client is Deceased

Any beneficiary can receive handgun or long gun with no background check

Any beneficiary can receive handgun or long gun with a background check by a dealer or a sheriff

A third option


NFA Firearms - I What’s an NFA Firearm?

The most heavily regulated consumer product in the US!

Machine guns — this includes any firearm which can fire more than 1 cartridge per trigger pull in any manner or any firearm that can be “readily converted” to do the same. The firearm receiver is what is regulated.

Short-barreled rifles (SBRs) — this category includes any firearm with a buttstock and either a rifled barrel under 16" long or an overall length under 26“, including folding stocks.

Short barreled shotguns (SBSs) — shotguns with barrels under 18" or with a total length under 26“ and a smooth bore.

Suppressors —any portable or removable device which can disguise or muffle the report of a firearm.

(continued on next slide…)


NFA Firearms - II What’s an NFA Firearm (continued)

Destructive Devices (DDs)—there are two broad classes of destructive devices:

Devices such as grenades, bombs, explosive missiles, poison gas weapons, etc.

Any firearm with a bore over 0.50 inch except for shotguns or shotgun shells which have been found to be generally recognized as particularly suitable for sporting purposes. (Many firearms with bores over 0.50" inch, such as 12-gauge shotguns, are exempted from the law because they have been determined to have a "legitimate sporting use.”)

Any Other Weapon (AOWs) – "any weapon or device capable of being concealed on the person from which a shot can be discharged through the energy of an explosive," other than a handgun with a rifled barrel.


NFA Firearms - III Antique firearms are excluded from NFA regulation if

they are "not likely to be used as a weapon”

Antique firearms must have been manufactured before 1898 and may not use conventional ammunition:

NFA firearms are recorded on a registry with BATFE

NFA records are tax records! A Power of Attorney is required to obtain information about NFA arms from BATFE.

No new machine guns can be registered - this includes war trophies

Don’t assume that your NFA firearm is unregistered… and don’t assume it is.


Gun Trusts – The Former State of Affairs

Why Did Anyone Care About Gun Trusts?

Under prior regulations, individuals were required to submit to an extensive background checking regime which include lots of paperwork, fingerprints and CLEO sign off

None of this was required for corporations or trusts

Sharing of NFA arms was very difficult (e.g. taking a friend to the range)

Estate planning

Transferring NFA arms was a pain

Possession by executors was in a legal grey area


Gun Trusts – As of July 13, 2016 New regulations go into effect on July 13, 2016:

Now, all “responsible persons” of a trust must submit photographs and fingerprints with each NFA transfer application

CLEO sign off no longer required. Only notification.

Personal representatives, administrators and executors are allowed to possess the items during probate administration. Codifies prior informal BATFE practice.

Items passed to beneficiaries named in will, or via intestate succession are not subject to the $200 tax stamp for NFA item transfers

When the trust is being set up, any person with current right to possessthe NFA items owned by the trust – background check including photographs and fingerprints

When the trust is being set up, any person with a contingent or remote right to possess, no background check until right becomes current

Adding additional people at this time does not appear to require background checks of firearms as long as original responsible person stays


Gun Trusts – What Hasn’t Changed? NFA arms are the most highly regulated consumer products in the United

States and working with them always gets a heightened level of scrutiny

Conservatism, caution and humility are the key with trusts and NFA arms!

Transfers of handguns into trusts should be done with background checks

Transfers of long guns may not need background checks

You can have out of state trustees on gun trusts – possession is in state only without paperwork

Travel with NFA arms is a pain

Individuals, business entities, or trusts other than class 3 dealers or licensees must obtain permission from ATF prior to temporarily or permanently moving a machine-gun, short-barreled shotgun, short-barreled rifle, or destructive device interstate. Use BATFE Form 5320.20.

Not so with suppressors and “any other weapons” but any of these items must still be legal in the destination state.


What Else Makes the Phone Ring?

Antique firearms – not problematic federally, prohibited in PA -18 Pa.C.S. § 6118.

LEOs subject to a PFA

Lawyers touching firearms outside estate context – LTCF required!

Ownership/Possession/Transfer Distinction

Are the Firearms Registered?

Interstate Transportation and Transfer

“We have all these guns and we’re not sure what they are/if they’re loaded/if they are NFA weapons/if we can move them/who owns them/if they’re real/etc.”



Obtaining Additional Legal Information

Jonathan S. Goldstein, Esq. [email protected]

Bradford A. Richman, Esq. [email protected]

www.mcnellygoldstein.com

o: +1-610-727-4191

Exhibit A: U.S. Department of Justice, Bureau of Alcohol, Tobacco, Firearms and Explosives Forms

Firearms Transaction Record Part I – Over-the-Counter ............................................................... 20 Application to Make and Register a Firearm .................................................................................. 26 Application for Tax Paid Transfer and Registration of Firearm ...................................................... 32 Application for Tax Exempt Transfer and Registration of Firearm ................................................. 38 Application for Tax Paid Transfer and Registration of Firearm ...................................................... 44

11

c.

Yes

Yes0

U.S. Department of JusticeBureau of Alcohol, Tobacco, Firearms and Explosives

OMB No. 1140-0020

Firearms Transaction Record Part I -Over-the-Counter

8.

WARNING: You may not receive a firearm if prohibited by Federal or State law. The information you provide will Transferor's Transactionbe used to determine whether you are prohibited under law from receiving a firearm. Certain violations of the Gun Serial Number Warty)Control Act, 18 U.S.C, §§921 et. seq., are punishable by up to 10 years imprisonment and/or up to a $250,000 fine.

Prepare in original only. All entries must be handwritten in ink. Read the Notices, Instructions, and Definitions onthis form. "PLEASE PRINT."

Section A - Must Be Completed Personally By Transferee1. Transferee's Full NameLast Name First Name Middle Name (Ifno middle name, state "NAN")

2. Current Residence Address (U.S. Postal abbreviations are acceptable. Cannot be a post office box.)Number and Street Address I City I County I State I ZIP Code

3. Place of Birth 4. Height 5. Weight 6. Gender 7. Birth DateU.S. City and State -OR- I Foreign Country Ft. (Lbs.) Ill male Month Day Year

F I In. —

n Female

Social Security Number (Optional, but will help prevent miside»tification) 9. Unique Personal Identification Number (UP1N) if applicable (SeeInstructions for Question 9.)

10.a. Ethnicity 10.b. Race (Check one or more boxes.)

n Hispanic or Latino 0 American Indian or Alaska Native ri Black or African American o White

n Not Hispanic or Latino n Asian El Native Hawaiian or Other Pacific Islander

Answer questions 11.a. (see t .i-tptions.) through 11.1. and 12 (ifapplicable) by checking or marking c ies"or "no" in the boxes to the right of the que Are you the actual transferee/buyer of the firearm(s) listed on this fonn? Warning: You are not the actual buyer if you areacquiring the firearm(s) on behalf of another person. If you are not the actual buyer, the dealer cannot transfer the ffrearm(s:to you. (See Instructions for Question 11.ct.) Exception: If you are plc/ring up a repaired fircarnt(s) for another person, you are notrequired to answer 11.a. and may proceed to questio» Jib. Are you under indictment or information in any court for a felony, or any other crime, for which the judge could imprison you formore than one year? (See Instructions for Question all) Have you ever been convicted in any court of a felony, or any other crime, for which the judge could have imprisoned you for morethan one year. even if you received a shorter sentence includin g Probation? (See Instructions Thr Question 11.c.)

d. Are you a fugitive from justice?

e. Art you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any other controlled substance? Yes_I

f. Have you ever been adjudicated mentally defective Mach includes a determination by a court, board, commission, or other lawfulauthority that you are a danger to yourself or to others or are incompetent to manage yaw' own allhirs) OR have you ever beencommitted to a mental institution? (See Instructions for Question 11.0

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 intitnate partner or child ofsuch partner? (See Instructions for Question 11.1r)

i. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See Instructions for Question 11.i)

j. Have you ever renounced your United States citizenship?

k. Are you an alien illegally in the United States?

I. Are you an alien admitted to the United States under a nonimmigrant visa? (See Instructions for Question 11.1.) lf you answered"no" to this question, do NOT respond to question 12 and proceed to question 13.

Yes No0

Yes No• •Yes No00Yes No• •Yes No• ElYes No0Yes No0 0

12. If you are an alien admitted to the United States under a nonimmigrant visa, do you fall within any of the exceptions set forth in the Yes Noinstructions? (If "yes," the licensee must complete question 20c.) (See Instructions for Question 12) If question 1.1. is answered Ewith a "no" response, then do NOT respond to question 12 and proceed to question 13.

13. What is your State of residence 14. What is your country of citizenship? (ListIchecA- more than 15. if you are not a citizen of the United States,Of any)? (See Instructions for one, if applicable. Ifyou air a citizen of the United States, what is your U.S.-issued alien number orQuestion 13.) proceed to question 16.) I—ILi United States of America admission number?

El Other (Specify) Note: Previous Editions Are Obsolete Transferee (Buyer) Continue to Next Page ATF Form 4473 (5300.9) Par-ti

Page I of 6 STAPLE IF PAGES BECOME SEPARATED Revised April 2012

I certify that my answers to Section A are true, correct, and complete. I have read and understand the Notices, Instructions, and Definitionson ATF Form 4473. 1 understand that answering "yes" to question 11.a. if 1 am not the actual buyer is a crime punishable as a felony underFederal law, and may also violate State and/or local law. I understand that a person who answers "yes" to any of the questions 11.b. through11.k. is prohibited from purchasing or receiving a firearm, I understand that a person who answers "yes" to question 11.1. Is prohibited frompurchasing or receiving a firearm, unless the person also answers "Yes" to question 12. I also understand that making any false oral orwritten statement, or exhibiting any false or misrepresented identification with respect to this transaction, is a crime punishable as a felonyunder Federal law, and may also violate State and/or local law. I further understand that the repetitive purchase of firearms for the purposeof resale for livelihood and profit without a Federal firearms license is a violation of law (Seehistructions ,for Question 16).

lb, Transferee's/Buyer's Signature 117. Certification Date

Section B - Must Be Com p leted By Transferor (Seller

18. Type of firearm(s) to be transferred ('check or owl( all that apply): 19. If sale at a gun show or other qualifying event.

Handgun Long Gun — Other Firearm (Frame, Receiver, etc. Name of Event(rifles or — See Thstructions _fin- Question 18.)shotguns) City, State

20a.Identification (e.g., Virginia Driver's license (VA DL) or other valid government-issued photo ident(fianion) (See fustructimas for Question 20.a.)Issuing Authority and Type of Identification Number on Identification 'Expiration Date of identification (if any)

I Month I Day I Year

20b.Alternate Documentation (if driver's license or other identification document does not show current residence address) (See Instructions fin:Question 20.b.)

20c.Aliens Admitted to the United States Under a Nonimmigrant Visa Must Provide: Type of documentation showing an exception to the nonimmi-grant visa prohibition. (See Instructions for Question 20.c.)

nestions 21, 22, or 23 Must Be Completed Prior To The Transfer Of The Firearm(s) (See Instructions for Questions 21, 22 and 23

121a. Date the transferee's identifying information in Section A was transmit- 21b. The N1CS or State transaction number (i f provided) was:led to NICS or the appropriate State agency: (Month/Day/Year)

Month I Day I Year

21c. The response initially provided by NICS or the appropriate Stateagency was:

Proceed I DelayedDenied [The firearm(s) may be transferred on

(Missing DispositionCancelledInformation date provided by NICS) if Stale lawpermits (optional)]

21d. if initial NICS or State response was "Delayed," the followingresponse was received from NICS or the appropriate State agency:

LI Proceed (date)

n Denied (date)

Lii Cancelled (date)

No resolution was provided within 3 business do:21e. (Complete if applicable.) After the firearm was transferred, the following response was received from NICS or the appropriate State agency on:

(date). Proceed El Denied Cancelled

21f. The name mid Brady identification number of the NICS examiner (Optional)

(name) (number)

22. No NICS check was required because the transfer involved only National Firearms Act firearm(s). (See Instructions for Question 22,)

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 anexemption to NICS (See Instructions for Question 23.)

Issuing State and Permit Type I Date of Issuance (if an.v) I Expiration Date (if any) I Permit Number Of an))

Section C - 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 A, the transferee must completeSection C immediately prior to the transfer of the firearm(s). (See leistructions for Question 24 and 25.)

I certify that my answers to the questions in Section A of this form are still true, correct and complete.

24, Transferee's/Buyer's Signature 125. Recertification Date

Transferor (Seller) Continue to Next PageSTAPLE IF PAGES BECOME SEPARATED

ATF Form 4473 (5300.9) Part I

Page 2 of 6 Revised April 2012

28.Serial Number

26. 27,Manufacturer and/or Importer (lithe Model

manufacturer and importer am different,the EEL should include both.)

Type (pistotiviviver,ril/e, Caliber orshotgun, receiver. frame. Gaugeelc) (See instructions forquestion 29)

efc. Do noi use numerals.)30a. Total Number of Firearms (Please handwrite by printing e.g., one, two,

30e. For Use by FFL (See Instructions for Question 30e)

30b. Is any part of this transaction aPawn Redemption? 1 Yes El No

Section D - Must Be Completed By Transferor (Seller)

Complete ATE Form 3310.4 For Multiple Purchases of Handguns Within 5 Consecutive Business Days31. Trade/corporate name and address of transferor (seller) (Hand stamp may be 32. Federal Firearms License Number Mist contain at least first

used.) three and last five digits of FFL Number X-XX-XXXXX)(Hand stamp may be used.)

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.

I certify that my answers in Sections B and D are true, correct, and complete. I have read mid understand the Notices, Instructions, and Definitionson ATE Form 4473. 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 com-pleted); (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 theday Section A I VaS completed); and (3) the information in the current State Laws and Published Ordinances, it is my belief that it is not unlawful forme to sell, deliver, transport, or otherwise dispose of the firearm(s) listed on this form to the person identified in Section A.33, Transferor's/Seller's Name (Please prim904. Transferor's/Seller's Signature 135. Transferor's/Seller's Title 136. Date Transferred

NOTICES, INSTRUCTIONS AND DEFINITIONS

Purpose of the Form: The information and certification on this form aredesigned so that a person licensed under 18 U.S.C. § 923 may determine jibeor she may lawfully sell or deliver a firearm to the person identified inSection A, and to alert the buyer of certain restrictions on the receipt andpossession of firearms. This form should only be used for sales or transferswhere the seller is licensed under 18 U.S.C. § 923. The seller of a firearmmust determine the lawfulness of the transaction and maintain proper recordsof' the transaction, Consequently, the seller must be familiar with theprovisions 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 (rifle or

shotgun) to a resident of another Slate, the seller is presumed to know theapplicable State laws and published ordinances in both the seller's State andthe buyer's Stale.

After the seller has completed Ilie firearms transaction, he or she insist makethe completed, original ATF Form 4473 (which includes the Notices, GeneralInsoielians, and Definitions), and any supporting documents, part of his orher permanent records. Such Forms 4473 must be retained for at least 20years. Filing may be chronological (by dale), alphabetical (by name), ornumerical (by transaction serial n mber), as long as all of the seller'scompleted Forms 4473 are filed in the same manner. FORMS 4473 FORDENIED/CANCELLED TRANSFERS MUST BE RETAINED: If the transferof a firearm is denied/cancelled by NICS, or if for ally other reason thetransfer is not complete after a N1CS check is initiated, the licensee mustretain the ATE Form 4473 in his or her records for at least 5 years. Forms4473 with respect to which a sale, deliveiy, or transfer did not take place shallbe separately retained in alphabetical (h,v name) or chronological (by dale of(ranVeree's certification) order.

If you or the buyer discover that an ATF Form 4473 is incomplete or improperlycompleted after the firearm has been transferred, and you or the buyer wish tomake a record of your discovery, then photocopy the inaccurate form and makeany necessary additions or revisions to Ille photocopy. You only should makechanges to Sections B and D. The buyer should only make changes to Sections Aand C. Whoever made the changes should initial and date the changes. Thecorrected photocopy should be attached to the original Form 4473 and retained aspart of your permanent records.

Over-the-Couriter Transaction: The sale or other disposition of a firearm by aseller to a buyer, at the seller's licensed premises. This includes the sale or otherdisposition of a rifle or shotgun to a nonresident buyer on such premises.

State Laws and Published Ordinances: The publication (ATF P 5300.5) ofState firearms laws and local ordinances ATF distributes to licensees.

Exportation of Firearms: The State or Commerce Departments may require youto obtain a license prior to export.

Section A

Question 1. Transferee's Full Name: The buyer inust personally completeSection A of this for in and certify (sign) diat the answers are true, correct, andcomplete. However, if the buyer is unable to read and/or write, the answers(allies' than the signature) may be completed by another person, excluding theseller. Two persons (other than She seller) must then sign as witnesses to thebuyer's answers and signature.

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

ATF Form 4473 (5300.9) PartPage 3 of 6 Revised April 2012

of 6ATF Form 4473 (53(t0.9) Part I

Revised April 2012

business must complete Section A of the form with his or her personalinformation, sign Section A. and attach a written statement, executed underpenalties of perjury, stating: (A) the firearm is being acquired for the use ofand will be the property of that business entity and (B) the name and addressof that business entity. If the buyer's name in question 1. is illegible, theseller must print the buyer's name above the name written by the buyer.

Question 2. Current Residence Address: U.S. Postal abbreviations areacceptable. (e.g., Si., Rd.. Dr:, PA, NC etc.). Address cannot be a post officebox. County and Parish are one and the same.

If the buyer is a member of the Armed Forces on active duty acquiring afirearm in the State where his or her permanent duty station is located, butdoes not reside at his or her permanent duty station, the buyer must list bothhis other permanent duty station address and his or her residence address inresponse to question 2. 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.,irryou 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).

Question 9. Unique Personal Identification Number (UPIN): Forpurchasers approved to have information maintained about them in the FBINICS Voluntary Appeal File, N1CS will provide them with a Unique Personalidentification Number, which the buyer should record in question 9. Thelicensee may be asked to provide the UP1N to NEWS or the Stale.

Question 11,a. Actual Transferee/Buyer: For purposes of this form, you arethe actual transferee/buyer if you are purchasing the firearm for yourself orotherwise acquiring the firearm for yourself (e.g., redeeming the firecum flourpawn/retrieving it fluor consignment, fiream ruffle winner). You are also theactual transferee/buyer if you are legitimately purchasing the firearm as a giftfor a third party. ACTUAL TRANSFEREE/BUYER EXAMPLES: Mr.Smith asks Mr. Jones to purchase a firearm for Mr. Smith, Mr. Smith gives McJones the money for the firearm. 114c Jones is NErf THE ACTUAL TRANS-FEREE/BUYER of the firearm and must answer "NO" to question 11.a. Thelicensee may not transfer the firearm to Mr. Jones. However, if Mr. Browngoes to buy a firearm with his own money to give to Mr. Black as a present,Mr. Brown is the actual transferee/buyer of the firearm and should answer"YES" to question 11.a. However, you may not transfer a firearm to anyperson you know or have reasonable cause to believe is prohibited under 18U.S.C. § 922(g), (n), or (x). Please note: EXCEPTION: If you are pickingup a repaired firearm(s) for another person, you are not required to answer11.a. and may proceed to question I I .b.

Question 1 Lb. - 11.1. Definition of Prohibited Person: Generally, 18U.S.C. § 922 prohibits the shipment, transportation, receipt, or possession inor affecting interstate commerce of a firearm by one who: has been convictedof 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 imprisonmenttiro years or les.$); is a fugitive from justice; is an unlawful user of, oraddicted to, marijuana or any depressant, stimulant, or narcotic drug, or anyother contmlied substance; has been adjudicated mentally defective or hasbeen committed to a mental institution; has been discharged from the ArmedForces under dishonorable conditions; has renounced his or her U.S.citizenship; is an alien illegally in the United States or an alien admitted to theUnited States under a nonimmigrant visa; or is subject to certain restrainingorders. Furthermore. section 922 prohibits the shipment. transportation, orreceipt in or affecting interstate commerce of a firearm by one who is underindictment or information for a felony, or any other crime, punishable byimprisonment for a term exceeding one year.

Question 11.b. Under Indictment or Information or Convicted in anyCourt: An indictment, information, or conviction in any Federal, State, orlocal court. An information is a formal accusation of a crime verified by aprosecutor.

EXCEPTION to 11.c. and 11.i.: A person who has been convicted of afelony, or any other crime, for which the judge could have imprisoned theperson for more than one year, or who has been convicted of a misdemeanorcrime of domestic violence, is not prohibited from purchasing, receiving, orpossessing a firearm if; U) under the law of

the jurisdiction where the conviction occurred, the person has been pardoned, theconviction has been expunged or set aside, or the person has had their civil rights(the right to vote, sit on a fury, and hold public office) taken away and laterrestored AND (2) the person is not prohibited by the law of the jurisdiction wherethe conviction occurred lion: receiving or possessing firearms. Persons subject tothis exception should answer "no" to or 11.i., as applicable.

Question 11.f, Adjudicated Mentally Defective; A determination by a court,board, commission, or other lawful authority that a person, as a result of markedsubnormal intelligence, or mental illness, iilcoinpetency, condition, or disease:(I) is a danger to himself or to others; or (2) lacks the mental capacity to contractor manage his own affairs. This lerm shall include: (I) a finding of insanity by acourt in a criminal case: mid (2) Those persons found incompetent to stand trial orfound not guilty by reason of lack of mental responsibility.

Committed to a Mental Institution: A formal commitment of a person to amental institution by a court, board, commission, or other lawful authority. Theterm includes a commitment to a mental institution involuntarily. The termincludes commitment for mental defectiveness or mental illness, It also includescommitments for other reasons, such as for drug use. The term does not include aperson in a mental institution for observation or a voluntary admission to a mentalinstitution. Please also refer to Question 11.c. for the definition of a prohibitedperson.

EXCEPTION to 11,1 NICS Improvement AmMillients Ad 012007: A personwho has been adjudicated as a mental defective or committed to a mentalinstitution is not prohibited if: (1) the person was adjudicated or committed by adepartment or agency of the Federal Government, such as the United StatesDepartment of Veteran's Affairs ("VA") (as opposed to a State court, Slate board,or other lawful State authority); and (2) either: (a) the person's adjudication orcommitment for mental incompetency was set-aside or expunged by theadjudicating/committing agency; (b) the person has been fully released ordischarged from all mandatory treatment, supervision, or monitoring by theagency; or (e) the person was found by the agency to no longer suffer from themental health condition that served as the basis of' the initial adjudication.Persons who IR this exception should answer "no" to Item 11.f. Thisexception does not apply to any person who was adjudicated to be not guilty byreason of insanity, or based oil lack of mental responsibility, or found incoinpe-tent to stand trial, in any criminal case or under the Uniform Code of MilitaryJustice.

Question 11,11, Definition of 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 hadan opportunity to participate in; (B) restrains such person from harassing, stalking,or threatening an intimate partner or child of such intimate partner or person, orengaging in other conduct that would place an intimate partner in reasonablefear of bodily injury to the partner or child; and (C)(i) includes a finding thatsuch person represents a credible threat to the physical safety of such intimatepartner 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 thatwould reasonably be expected to cause bodily injury. An 'Intimate partner" ofa person is: the spouse or former spouse of the person, the parent of a child ofthe person, or an individual who coliabitates or cohabitating with the person.

Question 11.1. Definition of Misdemeanor Crime of Domestic Violence: AFederal, 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, orthe 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 achild in common, by a person who is coliabitating with, or has cohabited withthe victim as a spouse, parent, or guardian, or by a person similarly situated toa spouse, parent, or guardian of the victim. The term includes all misdemeanorsthat have as an element the use or attempted use of physical force or thethreatened use of a deadly weapon (e.g., assault and battery), if the offense iscommitted by one of the defined parties. (See Exception to I I.e. and I .1.) Aperson who has been convicted of a misdemeanor crime of domestic violence alsois not prohibited unless: (1) the person was represented by a lawyer or gave upthe 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 shouldanswer "no" to 11.i.

Question 111 An alien admitted to the United Slates under a nonimmigrantvisa includes, among others, persons visiting the United States temporarily forbusiness or pleasure, persons studying in the United States who maintain aresidence abroad, and certain temporary foreign workers. The definition doesNOT include permanent resident aliens nor does it apply to nonimmigrantaliens admitted to the United States pursuant to either the Visa WaiverProgram or to regulations otherwise exempting them from visa requirements.

An alien admitted to the United States under a nonimmigrant visa whoresponds "yes" to question 11.1. must provide a response to question 12indicating whether he/she qualifies under an exception.

Question 12. Exceptions to the Nonimmigrant Alien Response; An alienadmitted to the United States under a nonimmigrant visa is not prohibitedfrom purchasing, receiving, or possessing a firearm if the alien: (1) is inpossession of a hunting license or permit lawfully issued by the FederalGovernment, a State, or local government, or an Indian tribe federallyrecognized 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)has received a waiver from the prohibition front the Attorney General of theUnited States: (4) is an official representative of a foreign government who isaccredited to the United States Government or the Government's mission to aninternational organization having its headquarters in he United States; (5) isen route to or from another country to which that alien is accredited; (6) is anofficial of a foreign government or a distinguished foreign visitor who hasbeen so designated by the Department of State; or (7) is a foreign lawenforcement officer of a friendly foreign government entering the UnitedStates on official law enforcement business.

Persons subject to one of these exceptions should answer "yes" to questions11.1. and 12 and provide documentation such as a copy of the hunting licenseor letter granting the waiver, which must be recorded in 20.c. if the transferee(bnyet) answered "yes" to this question, the licensee imist complete 20.c.

The seller should verify supporting documentation provided by the purchaserand must attach a copy of the provided documentation to this ATF Form 4473,Firearms Transaction Record.

Question 13. State of Residence: The Slate in which an individual resides.An individual resides in a State if he or she is present in a State with theintention of making a home in that State. Ilan individual is a member of theArmed Forces on active duty, his or her State of residence also is the State inwhich his or her permanent duty station is located.

If you are a U.S. citizen with two Slates of residence, you should list yourcurrent residence address in response to question 2 (e.g., if you are buying afirearm idrile staying at your weekend home in State X, you should list youraddress in Slate X in response to question 2.)

Question 16. Certification Definition of Engaged in the Business: Under18 U.S.C. § 922 (a)( I ), it is unlawful for a person to engage in the business ofdealing in firearms without a license. A person is engaged in the business ofdealing in firearms if lie or she devotes time, attention, and labor to dealing infirearms as a regular course of trade or business with the principal objective oflivelihood and profit through the repetitive purchase and resale of firearms. Alicense is not required of a person who only makes occasional sales,exchanges, or purchases of firearms for the enhancement of a personalcollection or for a hobby, or %vim sells all or part of his or her personalcollection of firearms.

Section B

Question 18. Type of Fireartn(s): Check all boxes that apply, "Other"refers to frames, receivers and other firearms that are not either handguns orlong guns (rifles or shotguns), such as firearms having a pistol grip that expela shotgun shell, or National Firearms Act (NFA) firearms.

If a frame or receiver can only be made into a long gun (rifle or shotgun), it isstill a frame or receiver not a handgun or long gun. However, they still are"firearms" by definition, and subject to the same

GCA limitations as any other firearms. See Section 921(a)(3)(b). 18 U.S.C.Section 922(b)(1) makes it unlawful for a licensee to sell any firearm other than ashotgun or rifle to any person under the age of 21. Since a frame or receiver for afirearrn, to include one that can only be made into a long gun, is a "firearm otherthan a shotgun or rifle," it cannot be transferred to anyone under the age of 21.Also, note that multiple sales forms are not required for frames or receivers of anyfirearms, or pistol grip shotguns, since they are not "pistols or revolvers" underSection 923(g)(3 )a).

Question 19. Gun Shows: if sale at gun show or other qualifying eventsponsored by any national, State, or local organization, as authorized by 27 CFR§ 478.100, the seller must record the name of event and the location (city andSlate) of the sale in question 19.

Question 20a. Identification: List issuing authority (e.g., State, County orMunicipality) and type of identification presented (e.g., Virginia driver's license(VA DL), or other valid government-issued identification).

Know Your Customer: Before a licensee may sell or deliver a firearm to anonlicensee, the licensee must establish the identity, place of residence, andage of the buyer The buyer must provide a valid government-issued photoidentification 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 wiy) of the identification in question 20.a. A driver'slicense or an identification card issued by a State in place of a license isacceptable. Social Security cards are not acceptable because no address, date ofbirth, or photograph is shown on the cards. A coinbination of government-issued documents may be provided. For example, if a U.S. citizen has two Statesof residence and is trying to buy a handgun in State X, he may provide a driver'slicense (showing his name, date of birth, and photograph) issued by State Y andanother government-issued document (such as a tax doctwtertl) from State Xshowing his residence address. If the buyer is a member of the Armed Forces onactive duty acquiring a firearm in the State where his or her permanent dutystation is located, but lie or she has a driver's license front another State, youshould list the buyer's military identification card and official orders showingwhere his or her pemianent duty station is located in response to question 20.a.

Question 20.h. Alternate Documentation: Licensees may accept a combinationof valid government-issued documents to satisfy the identification documentrequirements of the law. The required valid government-issued photo identifica-tion document bearing the name, photograph, and date of birth of transferee maybe supplemented by another valid, government-issued document showing thetransferee's residence address. This alternate documentation should be recordedin question 20,b., with issuing authority and type of identification presented. Acombination of government-issued documents may be provided. For example, ifa U.S. citizen has two States of residence and is trying to buy a handgun in StateX, he may provide a driver's license (showing his flame, dale of birth, andphotograph) issued by State Y and another government-issued document (such as

tax document) from State X showing his residence address.

Question 20c, Documentation for Aliens Admitted to the United States Undera Nonimmigrant Visa: See instructions for Question 11.1, 'Types of acceptabledocuments would include a valid hunting license lawfully issued in the UnitedStates or a letter from the U.S. Attorney General granting a waiver.

Question(s) 21, 22, 23, N1CS BACKGROUND CHECKS; 18 U.S.C. § 922(0requires that prior to transferring any firearm to an unlicensed person, a licensedimporter, manufacturer, or dealer must first contact the National Instant CriminalBackground Check System (NICS). NECS will advise the licensee whether thesystem finds any information that the purchaser is prohibited by law frompossessing or receiving a firearm. For purposes of this form, contacts to NICSinclude contacts to State agencies designated to conduct NiCS checks for theFederal Government. WARNING: Ally seller who transfers a firearm to anyperson they know or have reasonable cause to believe is prohibited from receivingor possessing a firearm violates the law, even if the setter has complied with thebackground check requirements of the Brady law.

After the buyer has completed Section A of the form and the licensee hascompleted questions 18-20, and before transferring the firearm, the licensee mustcontact NICS (read below _kw 1//CS check exceptions.) However, the licenseeshould NOT contact NiCS and should stop the transaction if: the

ATF Form 4473 (5300.9) Part 1Page 5 of 6 Revised April 2012

buyer answers "no" to question 11 A.; the buyer answers "yes" to any questionin 1.1., unless the buyer only has answered "yes" to question ILl. andalso answers "yes" to question 12; or the buyer is unable to provide thedocumentation required by question 20.a, b, or c.

At the time that NICS is contacted, the licensee must record in question 21.a-c: the date of contact, the NICS (or State) transaction number, and the initialresponse provided by NICS or the State, The licensee may record the MissingDisposition Information (MDI) date in 21.c. that NICS provides for delayedtransactions (Stales do not pm ride this numbed. If the licensee receives a"delayed" response, before transferring the firearm, the licensee must recordin question 21.d. any response later provided by NICS or the State or that noresolution was provided within 3 business days. If the licensee receives aresponse from NICS or the State after the firearm has been transferred, he orshe trust record this information in question 21.e. Note: States acting aspoints of contact for NICS checks may use terms other than "proceed,""delayed," "cancelled," or "denied." In such cases, the licensee should checkthe box that corresponds to the State's response. Some Stales may 1101 providea transaction number for denials. However, if a firearm is transferred withinthe three business day period, a transaction number is required.

NICS Responses: If NICS provides a "proceed' response, the transactionmay proceed. If NICS provides a "cancelled" response, the seller isprohibited from transferring the firearm to the buyer. If NICS provides a"denied" response, the seller is prohibited from transferring the firearm to thebuyer. If NICS provides a "dektred" response, the seller is prohibited fromtransferring the tirearn) unless 3 business days have elapsed and, before thetransfer, N1CS or the Shire has not advised the seller that the buyer's receipt orpossession 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 Informa-lion (MDI) date that calculates the 3 business days and reflects when thefirearm(s) can be transferred under Federal law. States may not provide anMD1 date. Please note Stale law may impose a waiting period on transferringfirearms,

EXCEPTIONS TO NiCS CHECK; A NICS check is not required ilthetransfer qualifies for any of the exceptions in 27 CFR § 478.102(d). Generallythese include: (a) transfers where the buyer has presented the licensee with apermit 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 NICScheck requirement; (b) transfers of National Firearms Act weapons approvedby ATE: or (c) transfers certified by ATF as exempt because compliance withthe NICS check requirements is impracticable. See 27 CFR § 478.102(d) for adetailed explanation. If the transfer qualifies for one of these exceptions, thelicensee must obtain the documentation required by 27 CFR § 478.131. Afirearm must not be transferred to any buyer who fails to provide suchdocumentation.

Section C

Question 24 and 25. Transfer 4)11 a Different Day and Recertification: Ifthe transfer takes place on a different day from the date that the buyer signedSection A, the licensee mum again check the photo identification of the buyerat the time of transfer, and the buyer mum complete the recertification illSection C at the time of transfer.

Section D

I mmediately prior to transfening the firearm, the seller must complete all ofthe questions in Section D. In addition to completing this form, the sellermust report any multiple sale or other disposition of pistols or revolver onATF Form 3310.4 (see 27 CFR § 478. I26a).

Question(s) 26, 27, 28, 29 and 30, Firearsu(s) Description: These blocksshould be completed with the firearm(s) information. Firearms manufacturedalter 1968 should all be marked with a serial number. Should you acquire afirearm that is not marked with a serial number; you may answer question 28with "NSN" (No Serial Number), "N/A" or "None."

If more than five firearms are involved in a transaction, the information requiredby Section D, questions 26-30, must be provided for the additional firearms on aseparate sheet of paper, which must be attached to the ATF Form 4473 coveringthe transaction.

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Types of firearms include: pistol, revolver, rifle, shotgun, receiver, frame andother firearms that are not either handguns or long guns (rifles or shotguns), suchas firearms having a pistol grip that expel a shotgun shell or National FirearmsAct (NFA) firearms.

Additional firearms purchases by the same buyer may not be added to the formafter the seller has signed and dated it. A buyer who wishes to purchase additionalFirearms after the seller has signed and dated the form must complete a new ATFForm 4473. The seller must conduct a new NICS check.

Question 30c. This box is for the EEL's use in recording any information he orshe finds necessary to conduct business.

Question 32 Federal Firearms License Number: Must contain at least the firstthree and last five digits of the FFL number, for instance X-XX-XXXXX.

Question 33-35 Transferor/Sellers Information: For "denied" and "cancelled"NICS transactions, the person who completed Section B must complete SectionD, questions 33-35.

Privacy At Information

Solicitation of this information is authorized under 18 U.S.C. § 923(g). Disclo-sure of the individual's Social Security number Is voluntary. The number may beused to verify tile buyer's identity.

Paperwork Reduction Act Notice

The information required on this form is in accordance with the PaperworkReduction Act of 1995. The purpose of the information is to determine theeligibility of the transferee to receive firearms under federal law. The informa-tion is subject to inspection by ATF officers and is required by 18 1.3.S.C. §§ 922and 923.

The estimated average burden associated with this collection is 30 minutes perrespondent or recordkeeper, depending on individual circumstances. Commentsabout the accuracy of this burden estimate and suggestions for reducing it shouldbe directed to Reports Manageincnt Officer', Document Services Section, Bureauof Alcohol, Tobacco, Firearms and Explosives, Washington, DC 20226.

All agency may not conduct or sponsor, and a person is not required to respondto, a collection of information unless it displays a currently valid OMB controlnumber. Confidentiality is not assured.

ATP Form 4473 (5300.9) Pail 1Revised April 2012

7. Signature of Applicant 8. Name and Title of Authorized Official 9. Date

Authorized ATF Official Date

ATF Form 1(5320,!)

Revised Time 2014

OMB No. 1140-0011 (06130/2016)U.S. Department of JusticeBureau of Alcohol, Tobacco, Firearms and Explosives Application to Make and Register a Firearm

ATF Control NumberTo National Firearms Act Branch, Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 530298, Atlanta, GA 30353-0298

(Submit in duplicate. See Instructions attached)

As required by Sections 5821(b), 5822, and 5841 of the National Firearms Act, Title 26 U.S.C., Chapter 53, the undersignedhereby submits application to make and register the firearm described below.

2. Application is made by: 3a. Trade Name qf any)

Individual Corporation or Other 111 GovernmentLeval Entity Entity

3b. Applicant's Name and Mailing Address (Type or print below and between the dots) (See Instruction 2d)

•

3c. If P.O. Box is Shown Above, Street Address Must Be Given Here

3e. Telephone Area Code and Number

1. Type of Application (check one)

a. Tax Paid. Submit your tor payment of $200with the application. The tax may be paidby credit or debit card, check, or money order.Please complete item 17, Upon approval ofthe application, we will affix and cancel therequired National Firearms Act Stamp.(See instructions 2c and 3)

nb. Tax Exempt because firearm is being made onbehalf of the United States, or any department,independent establishment, or agency thereof.

c. Tax Exempt because firearm is being made by or on behalf of any State or possession oldie

United States, or any political subdivisonthereof, or any official police organization ofsuch a government entity engaged in criminalinvestigations.

•

3d. County

4. Description of Firearm (complete items a through (' Pee instruction 2j)

a. Name and Location of Original Maimfa.chaer of Fireann b. Type of Fireann to be made c. Caliber or d. Model(Receiver) (Ifpnnotype, fiirnish plans and spec(cations) (See instruction Ic) Gauge

(Specify Length e. Of Barrel: f. Overall:" e) _ (Inches)

g. Serial Number

h. Additional Description (Include all numbers and other ideniifring data to i. State Why You Intend To Make Firearm (Use additional sheet ifnecessaly)

include maker's name, city and state which will appear on the firearm)(use additional sheet if necessary)

j. Is this firearm being reactivated? Yes LI No (See Definition Ik)

5. Applicant's Federal Firearms License (If any)

(Give complete I5-digit Number)

6. Special (Occupational) Tax Status (If applicable) (Sec definition Ifi

a. Employer Identification Number lb. Class

Important: All individual applicants (including Federally Licensed Collectors) must complete the reverse side of this form and submit, in duplicate, FBI Form FD-258,Fingerprint Card.

Under Penalties of Perjury, I Declare that I have examined this application, including accompanying documents, and to the best of my knowledge and belief it istrue, accurate and complete and the making and possession of the firearm described above would not constitute a violation of Chapter 44, Title 18, U.S.C., Chapter 53,Title 26, U.S.C., or any provisions of State or local law.

The space below is for the use of the Bureau of Alcohol, Tobacco, Firearms and Explosives

By authority of the Director, Bureau of Alcohol, Tobacco, Firearms and Explosives, this application has been examined and the applicant's making and registration ofthe firearm described above is;

Approved (With the following conditions, if any) ri Disapproved (For the following reasons)

(Signature) (Printed name) mile and agency name)

10. Law Enforcement Certification (See Instruction 2g)

I certify that I am the chief law enforcement officer of the organization named below having jurisdiction in the area of residence of(Name of maker)

I have no information that the maker will use the firearm or device described on this application for other than lawful purposes. I have no information that Possession

of the firearm described in Item 4 on the front of this form would place the maker in Violation of State or Local Law.

(Signature of Chief Law Enforcement Officer) (Printed name) (Thin and agency name)

(Street address, city. State and zip code)

(Telephone Minlber)

By (if delegated authority to sign for the chief law enforcement official):

(Date)

(Street address, city. State and rip code)

(Telephone Number) (Dale)

Maker's Certification

A maker who is an individual must complete this Section,

11. Answer questions !La. through 11,j, Answer questions 13 through 16 if applicable. For any YES answer (other than for 11.i.), the applicant shall provide details

on a separate sheet. (See Instructions 7c and definitions)12. Photograph

a. Are you under indictment or information in any court for a felony, or any other crime, for which the judgecould imprison you for more than one year?

b. Have you ever been convicted in any court for a felony, or any other crime, for which the judge couldimprison you for than one year, even if you received a shorter sentence including probation?

AffixRecent Photograph Here(Appmimately 2" x 2")

(See instruction 2e)

e. Are you a fugitive from justice?

d. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or anyother controlled substance?

e. Have you ever been adjudicated mentally defective (which includes a determination by a court, board,commission, or other lamfid authority that you are a danger to yourself or others or are incompetent tomanage your own affairs) OR have you ever been committed to a mental institution?

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 anintimate partner or child of such partner?

h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence?

i. Are you a United States citizen?

j. Have you ever renounced your United States citizenship?

If you answered "NO" to question 111, please answer questions 13, 14, 15 and 16.

13. Answer questions 13.a. through 13.b., and 14 by checking or marking "Yes or "No" or "NA" in the boxes to the right of the questions.No

a. Are you an alien Illegally in the United States?

b. Are you an alien admitted to the United States under a nonimmigrant visa? * If the answer is "NO", do not respond to question 14 and proceed toquestions 15 and 16.

14. If you are an alien admitted to the United States under a nonimmigrant visa, do you fall within any of the exceptions set forth in the instructions (see definition2. u.)? If the answer is "YES", a copy of the Documentation must be attached to the Application. Yes No WA

15. What is your country of Citizenship if other than the United States? (Specify Country)

16. If you are not a Citizen of the United States, what is your U.S.-issued alien number or admission number?

CERTIFICATION: Under penalties imposed by 26 U.S.C. no, I certify that the statements contained in this Certification, and any attached documents in

support thereof, are true and correct to the best of my knowledge and belief.

Signature of Maker DateATF Form 1(5320.1)Revised June 2014

['Discover J Diners Club

Expiration Date (Month & year)

17. Method of Payment (Check one) (See instruction 2h)

El Cashier's Check orMoney Order (Enclosed)

Credit/Debit Card Number (No dashes)

Address:Credit/Debit CardBilling Address: City:

L Visa El Mastercard El AmericanExpress

1Name as Printed on the Credit/Debit Card

State:

Li Check (Enclosed)

Zip Code:

Please Comp lete to Ensure Payment is Credited to the CorrectI am Paying the making Tax for the Applicant: 1Total Amount:

I Authorize ATE to Charge my Credit/Debit Card the Above Amount.

Signature of Cardholder

Your credit/debit card will be charged the above stated amount upon receipt of your 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 this registration document evidences the current registration of the firearm described on it, 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 3, the executor shouldcontact the NFA Branch, Bureau of ATF, 244 Needy Road, Martinsburg, WV 25405.

Interstate Movement: If the firearm identified in item 4 is a machinegun, short-barreled rifle, short-barreled shotgun, or destructive device, the registrant may berequired by 18 U.S.C. § 922(0(4) to obtain permission from ATF prior to any transportation in interstate or foreign commerce.

Change of Description or Address: 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 firearms in item 4, or any change to the address of the registrant.

Restrictions on Possession: Any restriction (see approval block on face ofform) on the possession of the firearm identified in item 4 continues with the furthertransfer 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 howto 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 an ATFofficer upon request.

Paperwork Reduction Act NoticeThis form is in accordance with the Paperwork Reduction Act of 1995. The information you provide is used to establish that a transferee's receipt and possession of thefirearm would be in conformance with Federal, State, and local law. The data is used as proof of lawful registration of a firearm to the manufacturer. The furnishing ofthis information is mandatory (26 U.S. C. § 5822).

The estimated average burden associated with this collection of information 1.69 hours per respondent or recordkeeper, depending on individual circumstances.Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be addressed to Reports Management Officer, InformationTechnology 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 cuirently valid OMB control number.

Privacy Act Information

1. Authority. Solicitation of this information is made pursuant to the National Firearms Act (26 U.S.C. §§ 5821 and 5822). Disclosure of this information by theapplicant is mandatory for any person (other than a manufacturer qualified under the National Firearms Act) making a firearm as defined in the National FirearmsAct.

2. Purpose. To verify payment of the tax imposed by 26 U.S.C. § 5821; to determine that the making would not be in violation of law; anti to effect registration of thefirearm.

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 enteredinto the National Firearms Registration and Transfer Record. No information obtained from a application, registration, or records required to be submitted by anatural person in order to comply with any provision of the National Firearms Act or regulations issued thereunder, shall, except in connection with prosecution orother action for furnishing false information, be used, directly or indirectly, as evidence against that person in any criminal pro ceedng with respect to a violation oflaw occurring prior to or concurrently with the filing of the application. The information from this application may only be disclosed to Federal authorities forpurpose 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.

ATF Form 1(5320.1)

Revised June 2014

Date

(Detach Mis sheet before completing form)Instructions

1. Definitions.

a. National Firearms Act (NFA). Title 26, United States Code, Chapter 53The implementing regulations are found in Title 27, Code of FederalRegulations, Part 479.

b. Gun Control Act (GCA). Title 18, United States Code, Chapter 44.The implementing regulations are found in Title 27, Code of FederalRegulations, Part 478.

c. Firearm. The term "firearm" means: (1) a shotgun having a barrel orbarrels of less than 18 inches in length; (2) a weapon made from ashotgun if such weapon as modified has an overall length of less than 26inches or a barrel or barrels of less than 18 inches in length; (3) a riflehaving a barrel or barrels of less than 16 inches in length; (4) a weaponmade from a rifle if such weapon as modified has an overall length of lessthan 26 inches or a barrel or barrels of less than 16 inches in length; (5)any other weapon, as defined in 18 U.S.C. 5845(e); (6) a inachinegun; (7)a muffler or a silencer for any firearm whether or not such firearm isincluded within this definition; and (8) a destructive device.

d. Person. A partnership, company, association, trust, corporation, anestate, or an individual.

e. Employer Identification Number (FIN). Required of taxpayer filingspecial (occupational) tax returns under 27 CFR § 479.35.

f. Special (Occupational) Tax. Required by the NFA to be paid by aFederal firearms licensee engaged in the business of manufacturing(Class 2), importing (Class 1), or dealing (Class 3) in NFA firearms.

g. Federal Firearms License. A license issued under the provisions ofthe GCA to manufacture, import or deal in firearms.

h. ATF Officer. An officer or employee of the Bureau of Alcohol,Tobacco, Firearms and Explosives (ATF) authorized to perform anyfunction relating to the administration of the NFA.

i. Make. The term "make", and the various derivatives of such word, shallinclude manufacturing (other than by one qualified to engage in suchbusiness under the NFA), putting together, altering, any combination ofthese, or otherwise producing a firearm.

j. Misdemeanor Crime of Domestic Violence. A crime that is a misde-meanor under Federal or State law and has, as an element, the use orattempted use of physical force, or the threatened use of a deadly weapon,committed by a current or former spouse, parent, or guardian of thevictim, by a person with whom the victim shares a child in common, by aperson who is cohabiting with or has cohabited with the victim as aspouse, parent, or guardian. The term includes all misdemeanors thatinvolve the use or attempted use of physical force (e.g., simple assault,assault and battety),if the offense is committed by one of the definedparties. The person is NOT considered Co have been convicted of suchcrime unless the person was represented by a lawyer or gave up the rightto a lawyer, and, if the person was entitled to a jury trial, was tried by ajury or gave up the right to a jury trial.

k. Reactivation. The restoration of a registered unserviceable NFA firearmto a functional condition. This action incurs the making tax liability.

I. Unserviceable Firearm. One which is incapable of discharging a shotby means of an explosive and incapable of being readily restored to firingcondition. An acceptable method of rendering most firearms unservice-able is to fusion weld the chamber closed and fusion weld the barrelsolidly to the frame.

tn. Maker. A person appyling to make an NFA firearm.

n. Prohibited Person. Generally, 18 U.S.C. § 922 prohibits the shipment,transportation, receipt, or possession in or affecting interstate commerceof a firearm by one who: has been convicted of a misdemeanor crime ofdomestic violence; has been convicted of a felony, or any other crime,punishable by imprisonment for a term exceeding one year (this does notinclude 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 othercontrolled substance; has been adjudicated mentally defective or hasbeen committed to a mental institution; has been discharged from theArmed Forces under dishonorable conditions; has renounced his or herU.S. citizenship; is an alien illegally in the United States or an alienadmitted to the United States under a nonimmigrant visa; or is subject tocertain restraining orders. Furthermore, Section 922 prohibits the ship-ment, transportation, or receipt in or affecting interstate commerce of afirearm by one who is under indictment or information for a felony, orany other crime, punishable by imprisonment for a term exceeding oneyear.

p. Under Indictment or Information or Conviction in any Court. Anindictment, information, or conviction in any Federal, State, or localcourt. An information is a formal accusation of a crime verified by aprosecutor.

EXCEPTION: A person who has been convicted of a felony, or any othercrime, for which the judge could have imprisoned the person for morethan one year, or who has been convicted of a misdemeanor crime ofdomestic violence, is not prohibited from purchasing, receiving, or possess.ing a firearm if: (1) under the law of the jurisdiction where the convictionoccurred, the person has been pardoned, the conviction has been expungedor set aside, or the person has had their civil rights (the right to vote, sit on ajury, and hold public office) taken away and later restored AND (2)the person is not prohibited by the law of the jurisdiction where the convic-tion occurred from receiving or possessing firearms. Persons subject tothis exception should mark "no" in the applicable box.

q. Adjudicated Mentally Defective. A determination by a court, board,commission, or other lawful authority that a person, as a result of markedsubnormal intelligence, or mental illness, incompetency, condition, ordisease: (1) is a danger to himself or to others; or (2) lacks the mentalcapacity 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) thosepersons found incompetent to stand trial or found not guilty by reason oflack of mental responsibility.

r. Committed to a Mental Institution, A formal commitment of a personto a mental institution by a court, board, commission, or other lawfulauthority. The term includes a commitment to a mental institutioninvoluntarily. The term includes commitment for mental defectiveness ormental illness. It also includes commitments for other reasons, such asfor drug use. The term does not include a person in a mental institutionfor observation or a voluntary admission to a mental institution.

EXCEPTION: A person who has been adjudicated as a mental defective orcommitted to a mental institution is not prohibited if: (1) the personwas adjudicated or committed by a Department or agency of the FederalGovernment and (2) either; (a) the person's adjudication or commitmentfor mental incompetency was set-aside or expunged by the adjudicating/committing agency; (b) the person has been fully released or dischargedfrom all mandatory treatment, supervision, or monitoring by the agency; or(c) the person was found by the agency to no longer suffer from themental health condition that served as the basis of the initial adjudication.Persons who fit this exception should mark "no" in the applicable box. Thisexception does not apply to any person who was adjudicated to be notguilty by reason of insanity, or based on lack of mental responsibility, orfound incompetent to stand trial, in any criminal case or under the UniformCode of Military Justice.

s. Restraining Order. Under 18 U.S.C. § 922, firearms may not be sold toor received by persons subject to a court order that: (A) was issued aftera hearing which the person received actual notice of and had anopportunity to participate in; (B) restrains such person from harassing,stalking, or threatening an intimate or child of such intimate partner orperson, or engaging in other conduct that would place an intimate partnerin 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

ATF Form 1(5320.1)

Revised June 2014

Instructions (Continued)

physical safety of such intimate partner or child; or (ii) by its termsexplicitly prohibits the use, attempted use, or threatened use of physicalforce against such intimate partner or child that would reasonably beexpected to cause bodily injury. An "intimate partner" of a person is: thespouse or former spouse of the person, the parent of a child of the person,or an individual who cohabitates or is cohabitating with the person.

Misdemeanor Crime of Domestic Violence. A Federal, State, local,tribal offense that is a misdemeanor under Federal, State, or tribal lawand has, as an element, the use or attempted use of physical force, or thethreatened use of a deadly weapon, committed by a current or formerspouse, parent, or guardian of the victim, by a person with whom thevictim shares a child in common, by a person coliabitating with, or hascohabited with the victim as a spouse, parent, or guardian, or by a personsimilarly situated to a spouse, parent, or guardian of the victim. The termincludes all misdemeanors that have as an element the use or attempteduse 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 definedparties. (See Exception in the definition of "Under Indictment or hifor-motion or Can viction in any Court'). A person who has been convictedof a misdemeanor crime of domestic violence also is not prohibitedunless: (1) the person was represented by a lawyer or gave up the right toa lawyer; or (2) if the person was entitled to a jury, was tried by a jury, orgave up the right to a jury trial. Persons subject to this exception shouldmark "no" in the applicable box,

u. Alien Admitted to the United States Under a Nonimmigrant Visa. Analien admitted to the United States under a nonimmigrant visa includes,among others, persons visiting the United States temporarily for businessor pleasure, persons studying in the United States who maintain aresidence abroad, and certain temporary foreign workers. The definitiondoes not include permanent resident aliens nor does it apply to nonimmi-grant aliens admitted to the United States pursuant to either the VisaWaiver Program or to regulations otherwise exempting them from visarequirements. An alien admitted to the United States under a nonimmi-grant visa is not prohibited from purchasing, receiving, or possessing afirearm if the alien: (1) is in possession of a hunting license or permitlawfully 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 forlawful hunting or sporting purposes; (3) is an official representative of aforeign government who is accredited to the United States Government orthe Government's mission to an international organization having itsheadquarters in the United States; (4) is en route to or from anothercountry to which that alien is accredited; (5) is an official of a foreigngovernment or a distinguished foreign visitor who has been so desig-nated by the Department of State; (6) is a foreign law enforcementofficer of a friendly foreign government entering the United States onofficial law enforcement business; (7) has received a waiver from theprohibition from the Attorney General of the United States.

2. Preparation of Application and Payment of Tax.

a. Authority. As provided by 26 U.S.C. § 5822, any person (other than aqualified nianufiicturer of fireams (see paragraph b)) seeking to make afirearm must complete, in duplicate, a separate application on this formfor each firearm. The applicant maker must furnish all the informationcalled for on this application form,

b. Registration by Qualified Manufacturer. A person who has a Federalfirearms license to manufacture firearms (Type 07 or 10) and who haspaid special (occupational) tax to manufacture NFA firearms is exemptfrom the making tax and filing of the ATF Form 1 application. Suchqualified manufacturer must report and register each I NIFA firearmmanufactured by filing ATP Form 2, Notice of Firearms Manufactured orImported, as required by 27 CFR § 479,102,

c. Payment of /Exemption from Payment of Tax. As provided in 26U.S.C. § 5821, there is a V00.00 tax on each firearm made, except asprovided in 26 U.S.C. §§ 5852 and 5853, when an NFA firearm may bemade without payment of the tax when made by, or on behalf of theUnited States or any State or political subdivision thereof. Documenta-tion that the firearm is being made for a government entity, such as aUnited States government contract or a State or local government agency

purchase order, must accompany the application. The reactivation of aregistered unserviceable firearm is subject to the makingtax.

Maker.(1) If the maker is an individual, the entire form shall be completed.(2) If the maker is other than an individual:

(a) Item 3b: The address is the exact location of the principal placeof business (or principal office, in the case of a corpora(ion) or,in the case of a trust, the principal address at which the fireamis to be located.

(b) Item 3b must show the name of the entity (i.e., the name of theLLC or trust). Do not include names of corporate officials ortrustees.

Photographs and Fingerprints. An individual maker (including anyFederally licensed collector who is an individual but not any other typeof Federal firearms licensee) must (1) attach to each copy in item 12 ofthe ATE Form I, a 2 inch x 2 inch photograph of his/her frontal viewtaken one year prior to the date of the application and (2) submit twoproperly completed FBI Forms FD-258 (Fingerprint Card with bluelines) with the application. The fingerprints must be clear for accurateclassification and taken by someone properly equipped to take them.

f. Signatures. All signatures required on ATE Form 1 must be original inink on both copies,

g. Law Enforcement Certification. The chief law enforcement officer isconsidered to be the Chief of' Police for the maker's city or town ofresidence, the Sheriff for the maker's county of residence; the Head ofthe State Police for the maker's State of residence; a State or localdistrict attorney or prosecutor having jurisdiction in the maker's area ofresidence; or another person whose certifeation is acceptable to theDirector, Bureau of Alcohol, Tobacco and Firearms and Explosives. Ifsomeone has specific delegated authority to sign on behalf of the Chiefof Police, Sheriff, etc., this fact must be noted by printing the Chief's,Sheriff's, or other authorized official's name and title, followed by theword "by" and the full signature and title of the delegated person. Item10 must be completed for an individual maker. The certification must bedated no more than one year prior to the date of receipt of the applica-tion,

h. Remittance. If the application is subject to the making tax, which is$200.00, please complete item 17 of the ATF Form 1. Please note thatyou can pay the tax by credit/debit card, check, or money order. Thecheck or money order is to be made payable to ATE. Do not send cash.

i. Photocopies or Computer Generated Versions. After downloading orcopying and printing this form from the ATF website, ensure that thefront and back are on the same sheet of paper. The NFA Branch will notapprove the application if the front and back are on separate sheets ofpaper.

Description of Firearm and Markings. (1) Item 4a. If you aremodifying an existing firearm, enter the name and location of theoriginal manufacturer. If you are creating the firearm, enter your name,city and state. (2) Item 4b. The types of NEAfirearms are listedinstructionlc. (3) Item 4c. Specify one caliber or gauge. If there isanother designation, indicate the designation in item 4h. (4) Item 4d.Show the model designation (if known). (5) Items 4e and 4f. Specifyone barrel length and overall length in items 4e and 41' as applicable.Note: if the firearm has a folding or collapsible stock, the overallmeasurement is to be made with the stock extended. (6) Item 4g. Donot alter or modify the serial number of an existing firearm. Enter theexisting serial number in item 4g. to register the firearm. (7) Markings:The maker is required to mark the firearm with his name, city and state.All markings are to be in compliance with 27 CFR 478,92 and 479.102.

k. Submission. All requested infonntion must be entered in blue or blackink and must be legible. Illegible entries will be returned for correction.Send both copies of the ATF Form 1 and attachments to the addresslocated in the upper right hand corner on the face side of the ATE Form 1.Submission of the application to any other address may delay theprocessing.

ATE Fonn 1 (5320.1)Revised June 2014

8. Status inquiries and Questions. The NFA Branch telephone number is(304) 616-4500, Any inquiry relating to the status of an application tomake an NFA fire am or about procedures in general should be directed to theNFA Branch, Please be aware that the information relating to the registrationof firearms is defined as "return" or "return information" by 26 U.S.C. §6103 and disclosure is generally prohibited to anyone other than theregistrant. Information relating to the NFA and other firearms laws is alsoavailable at the ATF Internet website www.atf.gov ,

9. Penalties. Any person who violates or fails to comply with any of therequirements 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 firearminvolved 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 onany application or record required by the NFA knowing such entry to befalse.

10. Compliance with the Gun Control Act. Persons must also comply with allrelevant portions of the GCA,

3, Approval of Application. Upon approval of an application, the NFA Branchwill affix the NFA tax stamp (if any) to the application, cancel it, and returnthe approved copy to the maker. The approval of the application effectuatesregistration of the firearm to the maker; however, the firearm must not bemade until the application has been approved.

4. Withdrawal of Application. The application may be withdrawn prior toapproval by submission of a written request from the maker. The NFABranch will arrange for a refund of any tax paid.

5. Cancellation of Approved Application. An approved application may becancelled onl y if the firearms had not been made or modified. The makermust return the approved application with a written request for cancellation,citing the need and that the making of the firearm did not take place. TheNFA Branch will arrange for a refund of any tax paid.

6. Disapproval of Application. If the application is disapproved, the NFABranch will note the reason for disapproval on the application and return onecopy to the maker. The NFA Branch will arrange for a refund of any taxpaid.

7. Reasons for Disapproval. 26 U.S.C. § 5822 provides that applicationsshall be denied if the making or possession of the firearm would place themaker in violation of law.

a. Violation of Law. Applications shall be denied if the making orpossession of the firearm would place the person making the firearm inviolation of law.

b. Machineguns.

(1) 18 U.S.C. § 922(o) provides that machincguns may be made only forgovernment use or export. An application will be denied unless themaking meets these criteria.

c. Persons Prohibited from Making a Firearm. The application will hedisapproved if the maker is a person prohibited from possessing a firearmby 18 U.S.C, § 922(g), which provides that is shall be unlawful for anyperson-

(1) who has been convicted in any court of a crime punishable byimprisonment for a term exceeding one year;

(2) who is a fugitive from justice;(3) who is an unlawful user of or addicted to any controlled substance;(4) who has been adjudicated as a mental defective or who has been

committed to a mental institution;(5) who, being an alien, is illegally or unlawfully in the United States or,

except as provided in 18 U.S.C. § 922(y)(2), has been admitted to theUnited States under a nonimmigrant visa (as that term is defined in 8U.S. C. §11 01(0(26);

(6) who has been discharged from the Armed Forces under dishonorableconditions;

(7) who, having been a citizen of the United States, has renounced hiscitizenship;

(8) who is subject to a court order that-

(A) was issued after a hearing of which such person received actualnotice; and at which such person had an opportunity toparticipate;

(B) restrains such person from harassing, stalking, or threatening anintimate partner of such person or child of such intimate partneror person, or engaging in other conduct that would place anintimate partner in reasonable fear of bodily injury to the partneror child; and

(C) (I) includes a finding that such person represents a crediblethreat to the physical safety of such intimate partner or child; or(II) by its terms explicitly prohibits the use, attempted use, orthreatened use of physical force against such intimate partner orchild that would reasonably be expected to cause bodily injury,or

(9) who has been convicted in any court of a misdemeanor crime ofdomestic violence, to ship or transport in interstate or foreigncommerce, or possess in or affecting commerce, any firearm orammunition; or to receive any firearm or ammunition which has beenshipped or transported in interstate or foreign commerce.

ATP Form 1(5320.!)

Revised Julie 2014

OMB No, 1140-0014(06130/2017'U.S. Department of JusticeBureau of Alcohol, Tobacco, Firearms and Explosives Application for Tax Paid Transfer and

Registration of Firearm

ATE Control NumberNational Firearms Act Branch

SUBMIT in DUPLICATE •to * Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 530298, Atlanta, GA 30353-0298

2a, Transferee's Name and Address (Include trade name, if any) (See instruction 2d) 11, Type of Transfer (Check one)

$5 $200

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

Submit the appropriate tax payment withthe application. The tax may be paid bycredit or debit card, check, or moneyorder. Please complete item 21. Uponapproval of the application, we will affixand cancel the required National FirearmsAct stamp. (See instructions 2b, 2i and 3)

3b. Transferor's Telephone Number andArea Code

3c, If Applicable: Decedent's Name, Address, and Date of Death3d. Number, Street, City, State and Lip

Code of Residence (or FirearmsBusiness Premises) If Different fromItem 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 firearmdescribed below to the transferee.

4. Description of Firearm (Complete items a through 0 (See instruction 2m) d. Model

a. Name and Address of Maker, Manufacturer and/or b. Type of Firearm c. CaliberImporter of Firearm (See Instruction Ic) Or Length e. Of Barrel: f. Overall:

Gauge (Incites)

g, Serial Number

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

5. Transferee's Federal Firearms License (If any) (Give complete 15-digititumber) (See instruction 2c)

First 6 digits 2 digits 2 digits

7, Transferee's Special (Occupational) Tax Status (If any)a. Employer Identification Number b. Class

6. Transferor's Federal Firearms License (If any)

(Give complete 15-digit number) (See instruction 2c)

5 digits First 6 digits 2 digits 2 digits

8. Transferor's Special (Occupational) Tax Status (If any)

a. Employer Identification Number lb. Class

5 digits

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 ofthe described firearm to the transferee and receipt and possession of it by the transferee are not prohibited by the provisions of Chapter 44, Title 18, United States Code; Chapter53, Title 26, United States Code; or Title VII of the Omnibus Crime Control and Safe Streets Act, as amended; or any provisions of State or local law.

9. Consent to Disclosure of Information to Transferee (See instruction 8). I Do or Do Not (circle one) Authorize ATF to Provide Information Relating to thisApplication to the Above-Named Transferee.

10. Signature of Transferor (Or authorized official)

The Space Below Is for the use.of the Bureau of Alcohol, Tobacco, Firearms and Explosives

By Authority of The Director, This Application Has Been Examined, and the Transfer and Registration of the Firearm Stamp DenominationDescribed 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 [Date

ATF Form 4 (5320.4)Revised July 2014

11. Name and Title of Authorized Official (Print or type)I12. Date

(Signature) (Printed name) (Thle and agency name)

13. Law Enforcement Certification (See instruction 2J)

I certify that I am the chief law enforcement officer tithe otganization named below having a jurisdiction in the area of residence of

(Name of Transferee)

I have no information indicating that the transferee will use the firearm or device described on this application for other than lawful purposes. I have no informationthat possession of the firearm described in item 4 on the front of this form would place the transferee in violation of State or local law.

(Signature of Chief Law Enforcement Officer) (Printed name) (flue and agency name)

(Street address, city, State and zip code)

(Telephone Number)

By (if delegated authority to sign for the chief law enforcement official);

(Date)

(Street address, city, State and zip code)

(Telephone Number) (Dale)

Transferee Certification (See instruction

H. I,

, have a reasonable necessity to possess the machinegun, short-barreled rifle,(Name and Rile 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).

15. Answer questions 15.a. through 15.j. Answer questions 17 through 20 if applicable. For any Yes answer (other than for 15.i), the transferee shall provide details

on a separate sheet. (See instruction 7b and definitions)16. Photograph

a. Are you under indictment or information in any court for a felony, or any other crime, for which the judgecould imprison you for more than one year?

Is. Have you ever been convicted in any court for a felony, or any other clime, for which the judge couldi mprison you for than one year, even if you received a shorter sentence including probation?

AffixRecent Photograph Here(Approximately 2" x 2")

(See instruction 2g)

0. Are you a fugitive from justice?

d. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or anyother controlled substance?

e. 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 others or are incompetent tomanage your own affairs) OR have you ever been committed to a mental institution?


g. Are you subject to a court order restraining you from harassing, stalking, or threatening your child or anintimate partner or child of such partner?

h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence?

i. Are you a United States citizen?

j. Have you ever renounced your United States citizenship? I If you answered "NO" to question 15.i., Please answer questions 17, 18, 19 and 20.

17. Answer questions 17.a., I7.b., and 18 checking or marking "YES or "NO" or "NA" in the boxes to the right of the questions.

a. Are you an alien Illegally in the United States?

I Yes I No

b. Are you an alien admitted to the United States under a nonimmigrant visa? * If the answer is "NO", do not respond to question 18 and proceed to

questions 19 and 20.

18. If you are an alien admitted to the United States under a nonimmigrant visa, do you fall within any of the exceptions set forth in the instructions (see definitions)If the answer is "YES", A copy of the Documentation must be attached to the Application, E Yes El No E N/A

19. What is your country of Citizenship if other than the United States? (Specifr Country)

20. If you are not a Citizen of the United States, what is your U.S.-issued alien number or admission number?

CERTIFICATION: Under penalties imposed by 18 U.S.C. 924 and 26 U.S.C. 5861, / certify that the statements contained in this certification, and anyattached documents in support thereof, are true and correct to the best of my knowledge and belief.

Signature of Transferee DateATF Form 4 (5320.4)Revised July 2014

21. Method of Payment (Check one) (See inslruclion 2i)

LI Check (Enclosed) 0 Cashier's Check orMoney Order (Enclosed)

LI Visa ID Mastercard El American LI Discover D Diners ClubExpress

State:

Credit/Debit Card Number (No dashes)

Address:Credit/Debit CardBilling Address: City:

Name as Printed on the Credit/Debit Card 'Expiration Date Month & year)

Zip Code:

Please Complete to Ensure Payment is Credited to the CorrectI am Paying the making Tax for the Applicant: 1Total Amount:

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


Your credit/debit card will be charged the above stated amount upon receipt of your 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 FirearmsIf this registration document evidences the current registration of the firearm described on it, 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 shouldcontact 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 andExplosives, 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 tile description of the firearm(s) in Item 4.

Interstate Movement: If the firearm identified in item 4 is a mathinegun, short-barreled rifle, short-barreled shotgun, or destructive device, the registrant may berequired by 18 U.S.C, § 922(a)(4) to obtain pennission from ATF prior to any transportation in interstate or foreign commerce.

Restrictions on Possession: Any restriction (see approval block on face offorni) on the possession of the firearm identified in item 4 continues with the furthertransfer of the firearm.

Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a firearm, please contact the NM Branch for procedures on howto 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 an ATFofficer upon request.

Paperwork Reduction Act NoticeThis form meets the clearance requirements of the Paperwork Reduction Act of 1995. The information you provide is used in applying to transfer of serviceablefirearms taxpaid to persons other than special taxpayers qualified to deal in NFA firearms or government entities. Data is used to identify transferor, transferee, andfirearm, and to ensure legality for transfer under Federal, State and local laws. The furnishing of this information is mandatory (26 USC § 5812).

The estimated average burden associated with this collection of information is 1.68 hours per respondent or recordkeeper, depending cm individual circumstances.Comments concerning the accuracy of this burden estimate and suggestion for reducing this burden should be addressed to Reports Management Officer, InformationTechnology 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.

Privacy Act InformationThe 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 or this information by the applicant ismandatory 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 thefirearm.

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 enteredinto the National Firearms Registration and Transfer Record. No information obtained from an application, registration, or records required to be submitted by anatural person in order to comply with any provision of the National Firearms Act or regulation issued thereunder, shall, except in connection with prosecution orother action for furnishing information, be used, directly or indirectly, as evidence against that person in any criminal proceeding with respect to a violation of lawoccurring prior to or concurrently with the filing of the application. The information from this application may only be disclosed to Federal authorities for purposesof 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.ATF Form 4 (5320.4)Revised July 2014

Date

Instructions

1. Definitions occurred, the person has been pardoned, the conviction has been expungedor set aside, or the person has had their civil rights (Me right to vote, sit on a

a. National Firearms Act (NFA). Title 26, United States Code, Chapter jury, and hold public office) taken away and later restored AND (2)

53. The implementing regulations are found in Title 27, Code of Federal the person is not prohibited by the law of the jurisdiction where the convic-

Regulations, Part 479. lion occurred from receiving or possessing firearms. Persons subject tothis exception should mark "no" in the applicable box.

b. Gun Control Act (GCA). Title 18, United States Code, Chapter 44,The implementing regulations are found in Title 27, Code of FederalRegulations, Part 478.

c. Firearm. The term "firearm" means: (1) a shotgun having a barrel orbarrels of less than 18 inches in length; (2) a weapon made from ashotgun if such weapon as modified has an overall length of less than 26inches or a barrel or barrels of less than 18 inches in length; (3) a riflehaving a barrel or barrels of less than 16 inches in length; (4) a weaponmade from a rifle if such weapon as modified has an overall length of lessthan 26 inches or a barrel or barrels of less than 16 inches in length; (5)any other weapon as defined in 18 U.S.C. § 5845(e); (6) a machinegun;(7) a muffler or silencer for any firearm whether or not such firearm isincluded within this definition and (8) a destructive device.

d. Person. A partnership, company, association, trust, corporation, anestate, or an individual.

e. Employer Identification Number (EIN). Required of taxpayer filingspecial (occupational) tax returns under 27 CFR § 479.35.

f. Special (Occupational) 'fax. Required by the NFA to be paid by aFederal firearms licensee engaged in the business of manufacturing (Class2), importing (Class 1), or dealing (Class 3) in NFA firearms.

g. Federal Firearms License. A license issued under the provisions ofthe GCA to manufacture, import or deal in firearms.

h. ATF Officer. An officer or employee of the Bureau of Alcohol, Tobacco,Firearms and Explosives (ATF) authorized to perform any functionrelating to the administration of the NFA.

i. Transfer. Selling, assigning, pledging, leasing, loaning, giving away, orotherwise disposing of a firearm.

j. Transferor. The person selling or otherwise disposing of a firearm;including applying to transfer a firearm.

k. Transferee. The person acquiring the firearm.

1. Prohibited Person. Generally, 18 U.S.C. § 922 prohibits the shipment,transportation, receipt, or possession in or affecting interstate commerceof a fireann by one who: has been convicted of a misdemeanor crime ofdomestic violence; has been convicted of a felony, or any other crime,punishable by imprisonment for a term exceeding one year (this does notInclude State misdemeanors punishable by imprisomnent of two years orless); is a fugitive from justice; is an unlawful user of, or addicted to,marijuana or any depressant, stimulant, or narcotic drug, or any othercontrolled substance; has been adjudicated mentally defective or has beencommitted to a mental institution; has been discharged from the ArmedForces under dishonorable conditions; has renommed his or her U.S.citizenship; is art alien illegally in the United States or an alien admittedto the United States under a nonimmigrant visa; or is subject to certain

restraining orders. Furthermore, Section 922 prohibits the shipment,

transportation, or receipt in or affecting interstate commerce of a firearmby one who is under indictment or information for a felony, or any othercrime, punishable by imprisonment for a term exceeding one year.

m. Under Indictment or Information or Conviction in any Court. Anindictment, information, or conviction in any Federal, State, or localcourt. An information is a formal accusation of a crime verified by aprosecutor.

EXCEPTION: A person who has been convicted of a felony, or any othercrime, for which the judge could have imprisoned the person for morethan one year, or who has been convicted of a misdemeanor crime ofdomestic violence, is not prohibited from purchasing, receiving, or possess-ing a firearm if: (1) under the law of the jurisdiction where the conviction

n. Adjudicated Mentally Defective. A determination by a court, board,commission, or other lawful authority that a person, as a result of markedsubnormal intelligence, or mental illness, incompetency, condition, ordisease: (1) is a danger to himself or to others; or (2) lacks the mentalcapacity 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) thosepersons found incompetent to stand trial or found not guilty by reason oflack of mental responsibility.

o. Committed to a Mental Institution. A formal commitment of a personto a mental institution by a court, board, commission, or other lawfulauthority. The term includes is commitment to a mental institutioninvoluntarily. The term includes commitment for mental defectiveness ormental illness. It also includes commitments for other reasons, such asfor drug use. The term does not include a person in a mental institutionfor observation or a voluntary admission to a mental institution.

EXCEPTION: A person who has been adjudicated as a mental defective orcommitted to a mental institution is not prohibited if: (1) the personwas adjudicated or conunitted by a Department or agency of the FederalGovernment and (2) either; (a) the person's adjudication or commitmentfor mental incompetency was set-aside or expunged by the adjudicating/committing agency; (b) the person has been fully released or dischargedfrom all mandatory treatment, supervision, or monitoring by the agency; or(c) the person was found by the agency to no longer suffer from themental health condition that served as the basis of the initial adjudication.Persons who fit this exception should mark "no" in the applicable box. Thisexception does not apply to any person who was adjudicated to be not guiltyby reason of insanity, or based on lack of mental responsibility, or foundincompetent to stand trial, in any criminal case or under the Uniform Code ofMilitary Justice.

p. Restraining Order. Under 18 U.S.C. § 922, firearms may not be sold toor received by persons subject to a court order that: (A) was issued aftera hearing which the person received actual notice of and had anopportunity to participate in; (B) restrains such person from harassing,stalking, or threatening an intimate or child of such intimate partner orperson, or engaging in other conduct that would place an intimate partnerin reasonable fear of bodily injury to the partner or child; and (C)(i)includes a finding that such person represents a credible threat to thephysical safety of such intimate partner or child; or (ii) by its termsexplicitly prohibits the use, attempted use, or threatened use of physicalforce against such intimate partner or child that would reasonably beexpected to cause bodily injury. An "intimate partner" of a person is: thcspouse or former spouse of the person, the parent of a child of the person,or an individual who cohabitates or is cohabitating 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 lawand has, as an element, the use or attempted use of physical force, or thethreatened use of a deadly weapon, committed by a current or formerspouse, parent, or guardian of the victim, by a person with whom thevictim shares a child in common, by a person cohabitating with, or hascohabited with the victim as a spouse, parent, or guardian, or by a personsimilarly situated to a spouse, parent, or guardian of the victim, The termincludes all misdemeanors that have as an element the use or attempteduse 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 definedparties. (See Exception in the definition of "Under Indictment orInformation or Conviction in any Court"). A person who has beenconvicted of a misdemeanor crime of domestic violence also is notprohibited unless: (1) the person was represented by a lawyer or gave upthe right to a lawyer; or (2) if the person was entitled to a fury, was triedby a jury, or gave up the right to a jury trial, Persons subject to thisexception should mark "no" in the applicable box.

ATF Form 4 (5320,4)Revised July 2014

Alien Admitted to the United States Under a Nonimmigrant Visa. Analien admitted to the United States under a nonimmigrant visa includes,among others, persons visiting the United States temporarily for businessor pleasure, persons studying in the United States who maintain aresidence abroad, and certain temporary foreign workers. The definitiondoes not include permanent resident aliens nor does it apply to nonimmi-grant aliens admitted to the United States pursuant to either the VisaWaiver Program or to regulations otherwise exempting them from visarequirements. An alien admitted to the United States under a nonimmi-grant visa is not prohibited from purchasing, receiving, or possessing afirearm if the alien: (1) is in possession of a hunting license or permitlawfully 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 forlawful hunting or sporting purposes; (3) is an official representative of aforeign government who is accredited to the United States Government orthe Government's mission to an international organization having itsheadquarters in the United States; (4) is en route to or from another coun-try to which that alien is accredited; (5) is an official of a foreign govern-ment or a distinguished foreign visitor who has been so designated by theDepartment of State; (6) is a foreign law enforcement officer of a friendlyforeign government entering the United States on official law enforce-ment business; (7) has received a waiver from the prohibition from theAttorney General of the United States.

2. Preparation of Application

a. Authority. As provided by 26 U.S.C. §§ 5812 and 5852, any personseeking to transfer a firearm exempt from payment of tax must complete,in duplicate, an application on this form for each firearm. The transferormust furnish all the information called for on this application form.

b. Transfer Tax Rates. The transfer tax is $200.00 except when the firearmis an 'any other weapon where the tax rate is 55,00.

c. Federal Firearms Licensees. If the transferor or transferee is licensedunder the GCA, the name, trade name (if any), and address shall beidentified on the ATF Form 4 as they appear on the license. If item 7 iscompleted, the entity identified must be the same as the entity identifiedin item 5. For example, if item 5 identifies a sole proprietor, item 7cannot identify a corporation. This also applies for the completion ofitems 6 and 8.

d. Transferee.

(1) If the transferee is an individual, the entire form shall be completed.(2) If the transferee is other than an individual:

(a) Item 2a: The address is the exact location of the principal placeof business (or principal office, in the case of a corpora(ion) or,in the case of a trust, the principal address at which the firearmis to be located.

(b) Item 2a must show the name of the entity (i.e., the name of theLLC or trust). Do not include names of corporate officials ortrustees.

e. Transferee Certification, Item 14 must be completed by the transfereeif:

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 orfirearm; andthe transferee is not licensed under the GCA to deal in such deviceor firearm.do not complete items 16 and 17-20, if other than an individualtransferee.

Law Enforcement Certification. Item 13 must be completed for anindividual transferee, unless the transferee is licensed as a manufacturer,importer, or dealer under the GCA and is a special (occupational)taxpayer under the NFA at the time of the submission of the applicationfor transfer. The certificate must be dated no more than one year prior tothe date of receipt of the application. The chief law enforcement officeris considered to be the Chief of Police for the transferee's city or town ofresidence; the Sheriff for the transferee's county of residence; the Head ofthe State Police for the transferee's State of residence; a State or local

district attorney or prosecutor having jurisdiction in the transferee's areaof residence; or another person whose certification is acceptable to theDirector, Bureau of Alcohol, Tobacco, Fireearms and Explosives. Ifsomeone has specific delegated authority to sign on behalf of the Chief ofPolice, Sheriff, etc., this fact must be noted by printing the Chiefs,Sheriff's, or other authorized official's name and title, followed by theword "by" and the full signature and title of the delegated person.

g. Photographs and Fingerprints. An individual transferee, except iflicensed as a manufacturer, importer, or dealer under the GCA, must (1)attach to Item 16 of the ATF Form 4, a 2 inch x 2 inch photograph of thefrontal view of the transferee taken within 1 year prior to the date of theapplication and (2) attach two properly completed FBI Forms FD-258(Fingerprint Card with blue lines) to the application. The fingerprintsmust be clear for accurate classification and taken by someone properlyequipped to take them.

h. Signatures. All signatures required on ATF Form 4 must be original inink on both copies.

i. Remittance. Please complete item 21. Please note that you can pay thetransfer tax by credit/debit card, check, or money order. The check ormoney order is to be made payable to ATE Do not send cash.

j. Photocopies, Computer Generated Versions, or DownloadedVersion from ATF Website. After downloading or copying and printingthis form, ensure that the front and back are on the same sheet of paper.

Estates, Trusts, and Other Transfers by Operation of Law. When afirearm is being transferred from an estate by bequest or intestatesuccession, or by other operation of law to a beneficiary or otherauthorized recipient, ATF Form 4 is used to effect the transfer. Theexecutor, trustee, or other person appointed to dispose of property shallprovide documentation of the legal status of the person entitled to receiveproperty, and shall identify that person in item 3a. In the case of anestate, item 3b shall be completed to reflect the decedent's information.

1. Submission, All requested information must be entered in blue or blackink and must be legible. Send both copies of the ATF Form 4 andattachments to the address located on the face side of the ATF Form 4.Submission of the application to any other address may delay theprocessing.

m. Description of Firearm and Markings. (1) Item 4a. please providethe name and address of the maker, manufacturer or importer of the fire-arm. If there arc additional makers, manufacturers, or importers, includethis information in item 4h .or on a separate sheet of paper. (2) Item 4b.the types of NFA firearm are listed in instruction lc. (3) Item 4c. specifyone caliber or gauage. If there are additional calibers associated with thedescription of the firearm, include this information in item 4h or on aseparate piece of paper. (4) Item 4d. show the model designation (ifany)(5) Item 4e. and 4f. specify the barrel and overall lengths asapplicable. If there are additional barrel and overall lengths associatedwith the description of' the firearm, include this information in item 4h, oron a separate sheet of paper. (6) Item 4g. (a) enter the serial number ofthe firearm. (b) When more than one firearm of the same description isbeing transferred and the serial numbers are in a consecutive series, thetransferor may enter the beginning and ending serial numbers of therange. When more than one firearm of the same description is beingtransferred but the serial numbers are nonconsecutive, the transferor maynot item 4g. to "see attached list of xxx serial numbers." Any attachmentinsist be referenced to the ATF Form 4. (7) If there are differencesbetween the description of the firearm on the form in comparison to thephysical description of the firearm or in the markings on the firearm,including the serial number, contact the NFA Branch in regard to thesedifferences.

n. State or Local Permit. Ifs State or local permit or license is requiredfor the transferee prior to acquisition of the firearm, a copy of the permitmust be included with the application.

3. Approval of Application, Upon approval of an application, the NFA Branchwill return the approved copy to the transferor for delivery with the firearm tothe transferee. Since the approval of the application effectuates registration

ATF Form 4(5320.4)Revised July 2014

(I)

(2)

(3)

(4)

(1)

(2)(3)

(4)

(5)

(6)

(7)

(8)

of the firearm to the transferee, the physical transfer of the firearm must becompleted immediately; however, the transferor must not transfer the firearmuntil the application has been approved and received. If the physical transferof the firearm cannot be completed immediately, the transferor must contactthe NFA Branch with the specifics.

4. Withdrawal of Application. The transferor may withdraw an applicationprior to approval subsequent to a written request,

5. Cancellation of Approved Application. The transferor may cancel anapproved application only if the physical transfer of the firearm has not beencompleted. The transferor must return the approved application with awritten request for cancellation, citing the need and that the physical transferof the firearm did not take place,

6. Disapproval of Application. If the application is disapproved, the NFABranch will note the reason for disapproval on the application and return onecopy of the ATF Form 4 to the transferor,

7. Reasons for Disapproval. 26 U.S.C. § 5812 provides that applications shallbe denied if the transfer, receipt, or possession of the firearm would place thetransferee in violation of law.

a. Violation of Law. Applications shall denied if the receipt or possessionof the firearm would place the person receiving or possessing the firearmin violation of law.

b. Persons Prohibited from Receiving a Firearm, The application will bedisapproved if the transferee is a person prohibited from receiving afirearm by 18 U.S.C, § 922(g), which provides that it shall be unlawfulfor any person—

who has been convicted in any court of a crime punishable byimprisonment for a term exceeding one year;who is a fugitive from justice;who is an unlawful user of or addicted to any controlledsubstance;who has been adjudicated as a mental defective or who has beencommitted to a mental institution;who, being an alien, is illegally or unlawfully in the United States orexcept as provided in 18 U.S.C. 922(y)(2), has been admitted to theUnited States under a non-immigrant visa (as that ienn is defined in8 U.S.C. 1101(a)(26));who has been discharged from the Armed Forces under dishonorableconditions;who, having been a citizen of the United States, has renounced hiscitizenship;who is subject to a court order that—

(A) was issued after a hearing of which such person received actualnotice, and at which such person had an opportunity toparticipate;

(B) restrains such person from harassing, stalking, or threatening anintimate partner of such person or child of such intimate partneror person, or engaging in other conduct that would place anintimate partner in reasonable fear of bodily injury to thepartner or child; and

(C) (I) includes a finding that such person represents a crediblethreat to the physical safety of such intimate partner or child; or(II) by its terms explicitly prohibits the use, attempted use, orthreatened use of physical force against such intimate partner orchild that would reasonably be expected to cause bodily injury,or

(9) who has been convicted in any court of a crime of domestic violence;to ship or transport in interstate or foreign commerce, or possess inor affecting commerce, any firearm or ammunition; or to receive anyfirearm or ammunition which has been shipped or tranported ininterstate or foreign commerce.

8, Status Inquiries and Questions, Information relating to the NFA and otherfirearms laws is available at the ATF Internet website at wwwatf.gov . Anyinquiry relating to the status of an application to transfer an NFA firearm orabout procedures in general should be directed to the NIA Branch at (304)616-4500. Please be aware that any dissemination by ATF of informationrelating to the application to register an NFA firearm must conform with the

restrictions in 26 U.S.C. § 6103. The opportunity provided in item 8 toauthorize ATF to disclose information is intended to enable ATF to respond toinquiries by the transferee regarding the application. The failure to completeitem 8 will be considered a declination of authorization to release theinformation.

9. Penalties. Any person who violates or fails to comply with any of therequirements 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 firearminvolved 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 onany application or record required by the NFA knowing such entry to befalse.

10. Compliance with the Gun Control Act. Persons must also comply with allrelevant portions of the GCA.

ATF Form 4(5320.4)Revised July 2014

El INDIVIDUAL LI TRUST or LEGAL El GOVERNMENTENTITY ENTITY

2b. County

7. Transferor's

First 6 digits

5 digits

5 digits

conditions, if any) nDisapproved (For the following reasons)

Ofv133 No, 1140-0015 (xx/xx/xxxx)U.S. Department of Justice Application for Tax Exempt Transfer andBureau of Alcohol, Tobacco, Firearms and Explosives


ATF Control Number

I Internal Control Number

National Firearms Act BranchSubmit in duplicate to: Bureau of Alcohol, Tobacco, Firearms and Explosives, 244 Needy Road, Martinsburg, WV 25405

2a. Transferee's Name and Address (Include trade name, if any) (See instruction 2j) 1. Type of Transfer: tax exempt

I believe that I am entitled to exemption fromthe payment of the Transfer Tax Imposed bysection 5811 (26 U.S.C. Chapter 53) on theFirearm described herein for the followingreason (See Instruction 26):

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

3b. Thinsfemes telephone (area c

3c. e-mail address

3e. If Applicable: Decedent's Name, Address, and Date of

q Firearm is unserviceable and is beingtransferred as a curio or ornament

▪ Firearm is being transferred to or froma Government Entity

O Firearm is being transferred to is lawfulheir or by operation of law

0 Other (Specify)

3d. Number, Street, City, State and Zip

Code of Residence (o • FirearmsBusiness Premises) If Different fromItem 3a.

The above-named and undersigned transferor hereby makes application as required by SeetiOn 5812 of the National Firearms Act to transfer and register the firearm describedbelow to the transferee.4. Description of Firearm (Complete items a through i) (See instruction 2m) : • d. Model

a. Name and Address of Maker, Manufacturer and/or , b. Type of Firearm c. CaliberImporter of Firearm ' (See definitions) or Length ie. Of Barrel: f. Overall:

Gauge (Inches) I

g. Serial Number

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

5. Transferee's Federal. Firearms License (f any)

(Give complete 15-digit number) (See instruction 2c)First 6 digits i 2 digits 2 digits

Firearms License (If any)

2 digits I 2 digits I

i. Is the Firearm Unserviceable as Defined in Definition 1m? 0 Yes 111No(If "No," describe any other method by which firearm hasbeen rendered unserviceable. Use additional sheets.)

6. Transferee's Special (Occupational) Tax Status (If an})a. Employer Identification Number I b. Class

8. Transferor's Special (Occupational) Tax Status (Ifa. Employer Identification Number I 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 transferof 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) 110. Name and Title of Authorized Official (Print or ope)Ill . Date

The Space Below is for the use of the Bureau of Alcohol, Tobacco, Firearms and ExplosivesBy Authority of The Director, This Application Has Been Examined, and the Transfer and Registration of the Firearm Described Herein and the Interstate Movement of thatFirearm, When Applicable, to the Transferee are:

Signature of Authorized ATF

etc Al FormRevised ( )

TRANSFEREE NOTIFICATION (not completed bv a Government Entity)

12. Law Enforcement Notification (See instruction 2.1)

The transferee is to provide notification of the proposed acquisition and possession of the firearm described on this Form 5 by providing a copy of the completed form to thechief law enforcement officer in the agency identified below:

Agency or Department Name

Name and Title of Official

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

Date Sent to Agency

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, shouldyou have information that may disqualify this person from acquiring or possessing a firearm, please contact the NFA Branch at (304) 616-4500 or NFA @atfgov. A "Yes"answer to items 14.a. through 14.j. (except 14.i) and item 16.a could disqualify a person from admiring or possessing a firearm. Also, ATE will not approve an application ifthe transfer or possession of the firearm is in violation of State or local law,

13. Transferee Necessity Statement (Do not complete if the transferee is a government agency) (See insintclion 2e)

;have a reasonable necessity to possess the machinegun, short-barreled rifle,(Name and Titk of Mansferee)

short-barreled shotgun, or destructive device described on this.application for the following reason(s)

and my possession of thc 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 (other than for 14.i), the transferee shall provide details

on a se parate sheet. (See instruction 7b and definitiOns)

a. Are you under indictment or information in any coin/ for a felony, or any other crime, for which the judgecould imprison you for more than one year? (See defiiition In)

b. Have you ever been convicted in any court fora felony, Or any other crime, for which the judge could imprison youfor more than one year, even if you received a shorter sentence including probation? (See definition In)

c. Are you a fugitive from justice? (See definition I)

d. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or anyother controlled substance? Warning: The use or possession of marijuana remains unlawful underFederal law regardless of whether it has been legalized or decriminalized for medicinal or recreationalpurposes in the state where you reside.

e. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mentalinstitution? (See definitions lo and Ip)


g. Arc you subject to a court order restraining you from harassing, stalking, or threatening your child or anintimate partner or child of such partner? (See definition )q)

h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See definition Ir)

AffixRecent Photograph Here(Approximately 2" x 2")


16a. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.) (See definition Is,)

D United States of America 0 Other Counhy/Countries (specify):

b. Have you over renounced tinted States citizenship?

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

dl. Are you an alien who has been admitted to the United Stales 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

17. If you are an alien, record your U.S,-Issued Mien or Admission number (ARO, USCISO, or 194#):

0 N/A

CERTIFICATION: Under penalties imposed by 18 U.S.C. § 924 and 26 U.S.C. § 5861, I certify that a completed copy of this form has been sent to the chief law enforcement officershown in item 12, that the statements contained in this certification, and any attached documents in support thereof, are true and correct to the best of my knowledge and belief.

of Transferee Date ATF Form. 5 (5320.5)

Revised ( )

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 moreResponsible 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 5 application for each Responsible Person.

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 contactthe 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, inwriting, 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-b , arreled rifle, short-barreled shotgun, or destructive device, the registrant may berequired 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 thispermission.

Restrictions on Possession: Any restriction (see approval block on face alien& on the possession of the firearm identified in item 4 continues with the further transfer ofthe fireann, . .Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a firearm, please contact the NFA Branch for procedures on how todispose 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 officerupon request.

Paperwork Reduction Act Notice,

This form meets the clearance requirements of the Paperwork Reduction Act of 1995. The information you provide is used to apply the tax-exempt transfer of anunserviceable firearm to anyone other than a Federal firearms licensee who has paid the required special (Occupational) tax to deal in NFA firearms and to or fromgovernment agencies. The data is used to ensure,legality of transfer under Federal, State and local law. The furnishing of this information is mandatory (26 US,C, 5812).

The estimated average burden associated with this collection of information is 0.5 hours per respondent or recordkeeper, depending on individual circumstances. Commentsconcerning the accuracy of this burden estimate and suggestion for reducing this burden should be addressed to Reports Management Officer, Information TechnologyCoordination 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.

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 or this information by the applicant ismandatory for any transfer without payment of transfer tax as provided in 26 U.S.C. § 5852,

2. Purpose. To verify that the proposed transfer is exempt from transfer tax; to verify that the transfer would not be in violation of law; and to effect registration ofthe firearm.

3. Routine Uses, The information will be used by ATE 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 enteredinto the National Firearms Registration and Transfer Record. No information obtained from an application, registration, or records required to he submitted by anindividual in order to comply with any provision of the National Firearms Act or regulation issued thereunder, shall, except in connection with prosecution orother action for furnishing information, be used, directly or indirectly, as evidence against that person in any criminal proceeding with respect to a violation of lawoccurring prior to or concurrently with the filing of the application. The information from this application may only be disclosed to Federal authorities for purposesof 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.

ATF Form 5 (5320.5)Revised ( )

Definitions/Instructions1. Definitions

a. National Firearms Act (NM). Title 26, United States Code, Chapter53. The implementing regulations are found in Title 27, Code of FederalRegulations, Part 479.

b. Gun Control Act (GCA). Title 18, United States Code, Chapter 4-4.The implementing regulations are found in Title 27, Code of FederalRegulations, Part 478.

Firearm, The term "firearm" means: (1) a shotgun having a barrel orbarrels of less than 18 inches in length; (2) a weapon made from ashotgun if such weapon as modified has an overall length of less than 26inches or a barrel or barrels of less than 18 inches in length; (3) a riflehaving a barrel or barrels of less than 16 inches in length; (4) a weaponmade from a rifle if such weapon as modified has an overall length of lessthan 26 inches or a ban-el or barrels of less than 16 inches in length; (5)any other weapon as defined in 18 U.S.C. § 5845(e); (6) a machinegun;(7) a muffler or silencer for any firearm whether or not such firearm isincluded within this definition; and (8) a destnictive device.

d. Person. A partnership, company, association, trust, corporation, includingeach responsible person associated with such an entity; including eachresponsible person associated with such an entity; an estate; or an individual.

e. Responsible Person. In the case ofan unlicensed entity, including any tuna, partnership,association, cornpanytincludiuganyLimited LiabilityCompany (LLCAorcorporation, anyindividual vdio possesses, directly or indirectly, the power or authority to direct themanagernent and policies 011ie trust Or entity to receive, passess,ship, nanspod, deliver,transfer or othetwise dispose ofa fittann for, oral behalfof, the (lust or legal entity In thecase ofa tat.% ihosepetsons with the power or authority to direct the management andpolicies ofthe inist includes any person who has the capability to exercise such powerand possesses, directly or indirectly, the power oratahority under any inist instrument, orunder Sti*law, to receive, possess, ship, tranTat, deliver, transfeç or otherwisedispose ofa fire= for, or on belialfofthe trust Examples ofwhomay be crinsidered aresponsible person include settlastrantots, nustees,paltKIS, mernbas, officeit,directots,hoard members, or owners. An example ofwho may be exciuded from this definition ofresponsible pawn is the beneficianfofa trust, ifthe beueficiaty does not biwethecapabilityto exeitise the enurneratd powets or sathoriiies..

1. Employer Identification Number (EIN). Required of taxpayer filingspecial (occupational) tax returns Under 27 CFR § 479.35.

g. Speeia (Occupational) Tax. Required by theNFA to he paid by aFederal firearms licensee engaged in the business of manufacturing (Class2), importing (Class 1), or dealing (Class 3) in NFA firearms.

h, Federal Firearms License. A license issued under the provisions ofthe 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 fiinct ionrelating to the administration of the NFA,

j. Transfer. Selling, assigning, pledging, leasing, loaning, giving away, orotherwise disposing of a firearm.

k. Transferor. The person selling or otherwise disposing of a firearm;including applying to transfer a firearm.

1. Transferee. The person acquiring the firearm.

m. Unserviceable Firearm, One which is incapable of discharging a shotby means of an explosive and incapable of being readily restored to firingcondition. An acceptable method of rendering most firearmsunserviceable is to fusion weld the chamber closed and fusion weld thebarrel solidly to the frame.

n. Prohibited Person. Generally, 18 U.S.C. § 922(g) prohibits the shipment,transportation, receipt, or possession in or affecting inters-late commerce of a fueaimby one who: has been convicted of a misdemeanor criine of domestic violence; hasbeen convicted of a felony, or any other crime, punishable by imprisonment for a termexceeding one year (this does not include State inisdemerv ws purnshable byimprisomnent °Pl y° .wals or less); is a fugitive from justice; is an unlawfiil user of, oraddicted to, marijuana or any depressant, stimulant, or namotic dnig, or any othercontrolled substance; has been adjudicated as a mental defective or has been

committed to a mental institution; has been discharged from the Armed Forces underdishonorable conditions; has renounced his or her US. citizenship; is an alien illegallyin the United States or an alien admitted to the United States under a nonimmigrantvisa; or is subject to certain restraining orders, Furthermore, Section 922 (n)pmhibitsthe shipment, transportation, or receipt in or affecting interstate commerce of a firearmby one who is under indictment or information for a felony in any Federal, State orlocal coat, or any other crime, punishable by imprisonment fora taus exceeding oneyear.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, forwhich thejudge could have imprisoned the person far mote than one year, orwho has beenconvicted of a misdemeanor crime of domestic violence, is not prohibited fipmpurchasing, receiving, orpossessing a firearm it': (l) under die law attire jurisdiction wherethe conviction occurred, the person has been pardoned, the conviction has been expungedor set aside, or the person has had their civil rights (Me right to vote, sit on Oily, an holdpublic office)taken away said later restored AND (2)thepereon is notprohibitedby the lawof the jurisdiction where the conviction occurred fi-orn receiving or possessing firearms.Persons subject to this exception should mark 'no" in the applicable box.

o. Adjudicated as a Mental Defective. A determination by a court, board,commission, or other lawful authority that apeman, as a result of marked subnonnalintelligence, or mental illness, incompetency, condition, or clin.ase: (1) is a danger to

" himself or to others; or (2) lacks the mental capacity to contract or manage his ownaffairs, 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 oflack ofmental responsibility

p. Committed to a Mental Institution. A formal commitment of a person to a mentalinstitution by a court, board, ccomtission, or other lawful authority. The term includesa commitment to a mental institution involuntarily. The term includes commitmentfor mental defectiveness or mental illness. It also includes commitments for otherreasons, such as for drug use. The tenn does not include a person in a menialinstitution for observation Or a voluntary admission to a mental institution.

EXCEPTION NICS Improvement Amendments Act of 2007: A person who has beenadjudicated as a mental defective or committed to a merlin/ institution m a state proceedingis not prohibited by the adjudication or commitment if the person has been granted reliefby the adjudicating/committing state pursuant to a qualifying menial health relief fromdisabilities program. Also, a person who has been adjudionted as a mental defective orcommitted to a mental institution by a department or agency of the Federal Goverutnent,such as the U.S. Department of Verteran's Affaiis, is not pmhibited by the adjudicationor 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 releasedor discharged from all mandatory ireatment supervision, monitoring by the agency;(c) the person was found by the agency to no longer suffer from die mental healthcondition that served as the basis of the initial adjudication/commitment; or (d) the personwas granted relief titan the adjudicating/omunitting agency pursuant to a qualified menialhealth relief final disribilitiesprogram. Persons who fall within one of the aboveexceptions should mark ``no" in the applicable box. This exception to an adjudication orcommitment by a Fecierel department or agency does not apply to any person who wasadjudicated to be not guilty by reason of insanity, or based on a la.ckofnientalresponsibility, or found incompetent to stand trial, in any criminal case or under theLIniform Code of Military Justice

Restraining Order. Under 18 U.S.C. § 922, firearms may not be sold toor received by persons subject to a court order that: (A) was issued after a hearingwhich the person received actual notice of and bad an opportunity to panicipate in;(B) restrains such person from harassing, stalking, or threatening an intimate paltrier orchild of such intimate partner orperson, or engaging in other conduct that would placean intimate partner in reasonable fear of bodily injury to the partner or child; and(()(i) includes a finding that such person represents a credible threat to thephysical safety of such intimate partner or child; or (ii) by its terms explicitly prohibitsthe use, attempted use, or threatened use ofphysical force against such intimate partneror child that would reasonably be expected to cause bodily injury. An "intimatepariner" of a person is: the spouse or tomer spouse of the person, the parent of achild of the person, or an individual who collabitates or has cohabitated with theperson.

Misdemeanor Crime of Domestic Violence; A Federal, Stale, local, tribaloffense 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 threateneduse of a deadly weapon, committed by a current or fanner spouse, parent, orguardian of the victim, by a person with whom the victim shares a childin common, by a person cohabitating with, or has cohabitated with the

ATF Farm 5(5320,5)Revised ( )

victim as a spouse, parent, or guardian, or by a person similarly situated to aspouse, parent, or guardian of the victim. The term includes allmisdemeanors that have as an element the use or attempted use ofphysical force or the threatened use of a deadly weapon (e.g., assault andbattery), if the offense is committed by one of the defined parties.(See Excepdon in the definition of "Prohibited Person"). A person whohas been convicted of a misdemeanor crime of domestic violence also is notprohibited unless: (1) the person was represented by a lawyer or gave up theright to a lawyer; (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 exceptionshould mark "no" in the applicable box.

Alien Admitted to the United States Under a Nonimmigrant Visa. Analien admitted to the United States under a noninunigrant visa includes,among others, persons visiting the United States temporarily for businessor pleasure, persons studying in the United States who maintain aresidence abroad, and certain temporary foreign workers. These aliensmust answer "yes" to question 16,d.1 and provide the additionaldocumentation required under question 164.2. Permanent resident aliensand aliens legally admitted to the United States pursuant to either the VisaWaiver Program or to regulations otherwise exempting them from visarequirements may answer "no" to this question and are not required tosubmit the additional docuntentation under 16.d.2. An alien admitted to theUnited States under a nonimmigrant visa is not prohibited from purchasing,receiving, or possessing a firearm if the alien: (1) is in possession of ahunting license or permit lawfully issued by the Federal Government, aState, or local government, or an Indian tribe federally recognized by theBureau of Indian Affairs, which is valid and unexpired; (2) wasadmitted to the United States for lawful hunting or sporting purposes; (3)is an official representative of a foreign government who is accredited tothe United States Government or the Government's mission to aninternational organization having its headquarters in the United States;(4) is an official representative of a foreign government who is en route toor from another country to which that alien is accredited; (5) is an officialof a foreign government or a distinguished foreign visitor who has beenso designated by the Department of State; (6) is a foreign law enforcementofficer of a friendly foreign government entering the United States'onofficial law enforcement business; (7) has received a Waiver from theprohibition from the Attorney General of the United States_

t. Fugitives from Justice, Any person who has fled frorn,any State to avoidprosecution for a felony or a misdemeanor, or any person who leaves theState to avoid giving testimony Many criminal proceeding. The term alsoincludes any person who knows that misdemeanor !or felony charges arepending against such person and who leaves the State of prosecution.


a. Authority. As provided by 26 U.S.C. §§§ 5812 and 5852, and 5853 anyperson seeking to transfer a firearm exempt from payment of tax mustcomplete, in duplicate, an application on this form for each firearm. Thetransferor must furnish all the information called for on this applicationform.

b. Exemptions from Transfer Tax. A registered firearm may be transferredwithout payment of the transfer tax if:

(1) it is unserviceable; (See definition lin)(2) it is being transferred to or from the United States, or any

department, independent establishment or agency thereof;(3) it is being transferred to or from any State or possession of the

United States or any political subdivision thereof, or any officialpolice organization of such government entity; or

(4) it is being transferred to a beneficiary of an estate.

e. Federal Firearms Licensees. If the transferor or transferee is a FederalFirearms licensee (EFL) under the GCA, the licensee's complete name, tradename (ifany), and address shall be entered in items 2a or 3a of this form,respectively. The complete license number of each shall be entered in items5 and 7 of the form and, if the licensee is a special (occuplational) taxpayerunder the NFA, the licensee's employer identification number (KIN) shall beentered in items 6 and 8 of the form, along with the class of special tax paid.

IMPORTANT NOTE: The business stricture of the licensee shall be describedconsistently. For example, if the transferor is a sole proprietor, item 3a shallreflect the EFL information for the sole proprietor business and item 7 shallreflect the FFL number for that sole proprietor business. Item Swill reflect the EINfor the sole proprietor business. If the special tax is paid as a corporation, then it isnot valid for the transaction. Similarly, a corporation name shown in item 3a withthe FFL number and FIN of a sole proprietor will not be valid for the transaction.

d. Completion of Form.

(I) The transferor shall provide the transferee's complete name andphysical address (no Post office box) in item 2a. If the transferee is atrust or legal entity, show only the complete name of the trust or legalentity and do not include any individual names (such as names oftrustees or corporate officials). The address shall be the location withinthe particular state where the firearm will be maintained for a trust orlegal entity. In the case of two or more locations for a legal entity, theaddress shown shall be the principal place of business withinthe particular state (or principal office, in the case of a corporation).

(2) If the transferee is an individual, the entire Form 5 shall he completed.In addition, the transferee must include his or her fingerprints on FBIForm FD-258 and his Or her photos (see instruction 2g).

; (3) If the transferee is other than an individual, e.g., a trust or legal entity,. such as a corporation, the transferee shall not complete items 14, 15,

, 16, 17, 18, and 19. All other items must be completed including thesigning 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 ofthe trust or legal entity, which includes complete and unredactedcopies 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 makeror transferee within the preceding 24 mouths of the date of filingthis application, and there has been no change to thedocumentation evidencing the existence and validity of the entitypreviously provided, the trust or legal entity may provide acertification that the information has not been changed since theprior approval and shall identify the application for which thedocumentation had been submitted form number, serial number, anddate approved.

(5) If the transferee is other than an individual, each responsible personof the trust or legal entity (see definit(onle) must include a completedATF Form 5320.23, National Firearms Act (NFA) Responsible PersonQuestionnaire, with the submitted Form 5.

e. Transferee Necessity Statement. Item 13 must be completed by thetransferee if;

(1) the firearm to be transferred is a machinegtut, short-barreled rifle,short-barreled shotgun, or destructive device;

(2) the transferor is licensed under the GCA to deal in such device orfirearm; and

(3) the transferee is not licensed under the GCA to deal in such deviceor firearm.

Law Enforcement Notification. The transferee must provide a copy ofthe Form 5 to the chief law enforcement officer who has jurisdiction overthe area of the transferee's address shown in item 2a of the Form 5. Inaddition, if the transferee is other than an individual, a copy of theForm 5320.23, National Firearms Act (NFA) Responsible PersonQuestionnaire, completed by each responsible person must be provided totheir respective chief law enforcement officer. The chief law enforcementofficer is considered to be the Chief of Police; the Sheriff; the Head of theState Police; or a State or local district attorney or prosecutor.

g. Photographs and Fingerprints. An individual transferee, except iflicensed as a manufacturer, importer, or dealer under the GCA, must(1) attach to item 15 of the ATF Form 5, a2 inch x 2 inch photograph ofthe frontal view of the transferee taken within 1 year prior to the date ofthe application and (2) submit two properly completed FBI Forms FD-258(Fingerprint Card with blue lines) with the application. The fingerprintsmust be clear for accurate classification and taken by someone properlyequipped to take them. ATF Form 5(5320.5)

Revised { )

h. Signatures. All signatures required on ATE Form 5 must be original inink 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 or the firearm is being

transferred by other operation of law, the executor or administrator ofthe estate shall sign the form or, in the case of other operation of lawtransfer, the person appointed to dispose of the property shall sign theform;

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

(4) if the applicant is a Federal firearms licensee, a responsible person of theFederal firearms licensee must sign the form; or

(5) if the applicant is a government entity, a person who has authority to signfor the entity shall sign the form.

I. Photocopies, Computer Generated Versions, or DownloadedVersion from ATP Website. After downloading or copying and printingthis form, ensure that the front and back are on the same sheet of paper.The NFA Branch will not approve an application if the front and back areon separate sheets of paper.

j. Estates, Trusts, and OtheriVansfers by Operational Lan: When a firearmis being transferred from an estate by bequest or intesiate 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. The executor, hustee, or other personappointed to dispose of pmpetty shall provide documentation of the legal status of theperson entided to receive property, and shall identify that person in item 2a.In the case of an estate, item 30 shall be completed to reflect the decedent'sinformation. If the transfer is to someone other than to a person identified underoperation of law, the transfer is subject to transfer tax and ATE Foim 4 shall be used,

k. Submission. The transferor shall submit 2 complete forms with'original signatures to the NFA Branch at the address on the face of * form,The transferee shall direct a 3rd complete copy of the form to the local chieflaw enforcement officer as provided in paragraph 2f -

1. Submission by Facsimile Transmission, ATF Form 5 may also besubmitted (in situations whew (he application is nor accompanied by_fingerprints and photographs) for approval by facsimile transmission to(304) 616-4501 provided that the transferor has filed an affidavit withthe NFA Branch as provided by ATF Industry Circular 89=6.

,

m. Description of Firearm and Markings. (1) Item4a, please providethe name and address of the maker, manufacturer :or importer of the fire-arm. If there are additional makers, manufacturers, or importers, includethis information in item 4h or on a separate shed of paper, (2) Item 4bthe types of NFA firearm are listed in definition lc, (3) Item 4c, specifyone caliber or gauge. If there are additional calibers associated with thedescription of the firearm, include this information in item 4h or on aseparate piece of paper. (4) Item 4d, show the model designation (Ifany). (5) Item 4e. and 4f. specify the barrel and overall lengths asapplicable. If there are additional barrel and overall lengths associatedwith the description of the firearm, include this information in item 4h oron a separate sheet of paper. (6) Item 4g. (a) enter the serial number ofthe firearm. (b) When more than one firearm of the same description isbeing transferred and the serial numbers are in a consecutive series, thetransferor may enter the beginning and ending serial numbers of therange. When more than one firearm of the same description is beingtransferred but the serial numbers are nonconsecutive, the transferor maynote item 4g. to "see attached fist of xxx serial numbers." Any attachmentmust be referenced to the ATE Form 5. (7) If there are differencesbetween the description of the firearm on the form in comparison to thephysical description of the firearm or in the markings on the firearm,including the serial number, contact the NFA Branch in regard to thesedifferences. (8) Item 4i. Answer "Yes" or "No".

n. State or Local Permit. If a State or local permit or license is requiredfor the transferee prior to acquisition of the firearm, a copy of the permitmust be included with the application. If the transferee is a trust or legalentity, when the State of residence for any responsible person requires aState or local permit or license, a copy of the permit or license must besubmitted with Form 5320.23, National Firearms Act (NFA) ResponsiblePerson Questionnaire.

Approval of Application. Upon approval of an application, the NEA Branchwill return the approved copy to the transferor for delivery with the firearm tothe transferee. Since the approval of the application effectuates registrationof the firearm to the transferee, the physical transfer of the firearm must becompleted immediately; however, the transferor must not transfer the firearmuntil the application has been approved and received. If the physical transferof the firearm cannot be completed immediately, the transferor must contactthe NFA Branch with the specifics.

4. Withdrawal of Application. The transferor may withdraw an applicationprior to approval subsequent to a written request directed to the Chief, NFABranch, 244 Needy Road, Martinsburg, WV 25405.

5. Cancellation of Approved Application. The transferor may cancel anapproved application only if the physical transfer (Ante firearm has not beencompleted. The transferor must return the approved application with a writtenrequest directed to the Chief, NFA Branch, 244 Needy Road, Martinsburg, WV25405 for cancellation, citing the need and that the physical transfer of thefirearm did not take place.

6. Diaapproval 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 5 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 possessionof the firearm would place the person receiving or possessing the firearmin violation of law.

b. Persons Prohibited from Receiving a Firearm. The application will bedisapproved if the transferee is a person prohibited from receiving afirearm. For information regarding persons prohibited from receiving afirearm, refer to definitions lu through Is,

8. Status Inquiries and Questions. Information relating to the NFA and otherfirearms laws is available at the ATE Internet website at www.atf.gov . Anyinquiry relating to the status of an application to transfer an NFA firearm orabout procedures in general should be directed to the NFA Branch at (304)616-4500. Please be aware that any dissemination by ATE of informationrelating to the application to register an NFA firearm must conform with therestrictions in 26 § 6103,

9. Penalties. Any nelson who violates or fails to comply with any of therequirements of the NFA shall, upon conviction, be fitted not more than$10,000 or be imprisoned for not more than 10 years, or both. Any firearminvolved 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 onany application or record required by the NFA knowing such entry to befalse.

10. Compliance with the Gun Control Act. Persons must also comply with allrelevant portions of the GCA,

ATF Form 5(5320.5)Revised ( )

2b. County0 INDIVIDUAL TRUST or LEGAL ENTITY

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

3c, If Applicable: Decedent's Name, Address, and Date3d. Number, Mreet, city, state and Lip

Code of Residence (or FirearmsBusiness Premises) if Different fromItem 3a.

El Approved (With the following conditions, ([any,)El

Disapproved (For the following masons)

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

U.S. Department of JusticeBureau of Alcohol, Tobacco, Firearms and

Application for Tax Paid Transfer andExpiosives


ATF Control Number

National Firearms Act BranchSUBMIT in DUPLICATE to: Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 531)298, Atlanta, GA 30353-0298

2a. Transferee's Name and Address (Include trade name, if any) (See instruction 2d) IL Type of Transfer (Check one)

0 LI $200

Submit the appropriate tax payment withthe application. The tax may be paidby credit or debit card, check, or moneyorder. Please complete item 20. Uponapproval of the application, we will affixand cancel the required National FirearmsAct stamp. (See instructions 21,, 2i and .9

's Telephone (AreaNumber)

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 describedbelow to the transferee. .

4, Description of Firearm (Complete items a through h) (See instruction 2m) -• - d. Model,

a. Name and Address of Maker, Manufacturer and/or b. Type of Firearm . e. Caliber,

I mporter of Firearm (See definitions) . ,. or Length e. Of Barrel: f. Overall:. .

Gauge (Inches), .

g. Serial Number..

h. Additional Description or Data Appealing on Firearm (Attach add,

5, Transferee's Federal Firearms License (If arry)(Give complete 15-digit number) (See instruction 2c) •

First fl digits 2 digits 2 digits

l"

7. Transferor's Federal Firearms License af any)First 6 digits I 2 digits 1 2 digits

sheet.ifnecessaiy)

6, Transferee's Special (Occupational) Tax Status (If any)a, Employer Identification Number b. Class

5 digits

8. Transferor's Special (Occupational) Tax Status (If any)

5 digits a, Eniployer Identification Number I 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 transferof 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) 110. Name and Tide of Authorized Official (Print or ope)ill. Date

The Space Below is for the use of the Bureau of Alcohol, Tobacco, Firearms and ExplosivesI Stamp Deno

By Authority of The Director, This Application kiss Been Examined, and the Transfer and Registration of the FirearmDescribed llerein and the Interstate Movement of that Firearm, When Applicable, to the Transferee are:

DateSignature of Authorized ATF

AlPrevious Editions Are Obsolete romaRevised )

Transferee Certification

12. Law Enforcement Notification (See instruction 21)

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 thechief law enforcement officer in die agency identified below:

Agency or Department Name

Name and Title of Official

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

Date Sent to Agency

Information for the Chief Law Enforcement OfficerThis 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, shouldyou have information that may disqualify this person from acquiring or possessing a firearm, please contact the NFA Branch at (304) 616-4500 or NFAigatf.gov . A "Yes"answer to items 14.a. through 14.j. (except 14.i.) and item 16.a could disqualify a person from acquiring or possessing a firearm. Also, ATE will not approve an application ifthe transfer or possession of the firearm is in violation of State or local law.

13. Transferee Necessity Statement (See instruction le), have a reasonable necessity to possess the machinegun, short-barreled rifle,

(Name and 771Ie 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 nen Transferee is An Individual)

14. Answer questions 14,a. through ]4.h. Answer questions 16 through 17 if applicable. For any ""Yes"- answer the transferee shall provide details on asevarate sheet. (See instruction 7b and definitions)

otograpti

a. Are you under indictment or information in any court for a felony, or any other crime, for which the judgecould imprison you for more than one year? (See definition Jnl ‘,

b. Have you ever been convicted in any court furs felony, or any other crime, for which the judge could imprison youfor 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 Is)

d, Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or anyother controlled substance? Warning: The use or possession of marijuana remains unlawfulunder Federal law regardless of whether it has been legalized or decriminalized for medicinal orrecreational purposes in the state where you reside. •

Have you ever been adjudicated as a mental defective OR have you ever been committed to a mentalinstitution? (See definitions., n and lo) •

AffixRecent Photograph Here(Approximately 2"x 2")


f. Have you been the Armed Farces under dishonafahle conditions?

g. Are you subject to a court order restraining You from harassing,intimate partner or child of such partner? (See definition lp),

or threatening your child or an

h. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See definition 1 q)

16a. Country of Citizenship: (Check/List snore than one lfapplieable. Nationals of the United Slates may check USA.) (See definition it)

El United States of America Other Country/Countries (specifr):

No

h. Have you ever renounced Unted States citizenship?

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

dl. 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

17. If you are an alien, record your U,S.-Issued Alien or Admission number (AR4, USCIP, or 1944):

CERTIFICATION: Under penalties imposed by 18 U.S.C. § 924 and 26 U.S.C, § 5861, I certify that a completed copy of this form has been sent to the chief law enforcement

officer shown in item 12, that the statements contained in this certification, and any attached documents in support thereof, are true and correct to the best of my knowledge and

belief.

Signature of Transferee Date ATF Fonn 4 (5320.4)Revised ( )

N/A

El Visa D Mastercard D AmericanExpress

Name as Printed on the Credit/Debit Card

State. Zip Code:

Tax i

Discover D Diners Club

Expiration Date (Month & year)

Date

D Check (Enclosed) Cashier's Check orMoney Order (Enclosed)

Credit/Debit Card Number No dashes)

Address:

Credit/Debit CardBilling Address: City:

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


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 thancan 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

20. Method of Payment (Check one) (See instruction 21) (if paying by credit/debit card, complete the section below)

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 FirearmsIf you are the current registrant of the firearm described on this form, please note the following information.

Estate Procedures: For procedures regarding die transfer of firearms hi an estate resulting from the death of the registrant identified in item 2a, the executor should contactthe 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, inwriting, of any change to the description of the fireann(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 berequired 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 thispermission.

Restrictions on Possession: Any restriction (see approval block on face ofform) on the possession of the firearm identified in item 4 continues with the further transfer ofthe firearm.

Persons Prohibited from Possessing Firearms: If the registrant becomes prohibited from possessing a firearm, please contact the NFA Branch for procedures on how todispose 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 officerupon request.

Paperwork Reduction At NoticeThis fonn meets the clearance requirements of the Paperwork Reduction Act of 1995. The information you provide is used in applying to transfer serviceable firearmstaxpaid. 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 informationis 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. Com-ments concerning the accuracy of this burden estimate and suggestion for reducing this burden should be addressed to Reports Management Officer, Information TechnologyCoordination 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 Form 4 (5320,4)Revised ( )

Privacy Act InformationThe 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 ismandatory 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 thefirearm,

3. Roudne 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, informationas 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 NationalFirearms Registration and Transfer Record. No information obtained from an application, registration, or records required to be submitted by an individual in orderto comply with any provision of the National Firearms Act or regulation issued thereunder, shall, except in connection with prosecution or other action for furnishinginformation, be used, directly or indirectly, as evidence against that person in any criminal proceeding with respect to a violation of law °centring prior to or concurrentlywith the filing of the application. The information from this application may only be disclosed to Federal authorities for purposes of prosecution for violation of theNational 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

National Firearms Act (NFA). Title 26, United States Code, Chapter 53. Theimplementing 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 FederalRegulations, Part 478.

Firearm. The teen "firearm" means; (1)a shotgun having a bane! or batrels of lessthan 18 inches in length; (2) a weapon made finna a shotgun if such weapon as modifled has an overall length of less than 26 inches or a barrel or barrels of less than 18inches in length; (3) a tifle having a basset or bantls ofless than 16 inches in length;(4) a weapon made from a rile if such weapon as modified has an overall length ofless than 26 inches or a bane' or bands of less than 16 inches in length; (5) any otherweapon as defused in 18 U.S.C. § 5845(e); (6)a machinegun; (7) a muffler or silencerfor any fittarrn whether or not such firearm is included within this definition; and (8) adestructive device.

d. Person. A partnership, company, association, trust, corporation, includingeach responsible person associated with such an entity; an estate; or anindividual.

Responsible Person. In the case of an unlicensed entity, including any trust,partnership, association, company (including any Limited LiabilityCompany (LLC)), or corporation, any individual who possesses, directly orindirectly, the power or authority to direct the management and policies of;the trust or entity to receive, possess, ship, transport, deliver, transfer orotherwise 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 Oeauthoritrto directthe management and policies of the trust includes any person Who has thecapability to exercise such power and possesses, directly or indirectly, thepower or authority under any trust instrument, or under state law, to receive,possess, ship, transport, deliver, transfer; or otherwise dispose of a firearmfor, or on behalf of the trust. Examples Of who may be considered aresponsible person include settlors/grantOrs, trustees, partners, members,officers, directors, board members, or owners. An example of who maybe excluded from this definition of responsible person :is the beneficiaryof a trust, if the beneficiary does not have the capability to exercise theenumerated powers or authorities.

f. Employer Identification Number (EIN). Required of taxpayer filingspecial (occupational) tax returns under 27 CFR § 479.35.

g. Special (Occupational) Tax. Required by the NFA to be paid by aFederal firearms licensee engaged in the business of manufacturing (Class2), importing (Class 1), or dealing (Class 3) in NFA firearms.

Is. Federal Firearms License. A license issued under the provisions of theGCA to manufacture, import or deal in firearms.

ATF Officer. An officer or employee of the Bureau of Alcohol, Tobacco,Firearms and Explosives (ATF) authorized to perform any functionrelating to the administration of the NFA.

j. Transfer. Selling, assigning, pledging, leasing, loaning, giving away, orotherwise disposing of a firearm,

k. Transferor, The person selling or otherwise disposing of a firearm;including applying to transfer a firearm.

I. Transferee. The person acquiring the firearm.

us. Prohibited Person. Generally, 18 U.S.C. § 922(g) prohibits the shipment,transportation, receipt, or possession in or affecting interstate commerceof a firearm by one who: has been convicted of a misdemeanor crime ofdomestic violence; has beets convicted of a felony, or any other crime,punishable by imprisonment for a term exceeding one year (this does notinclude State misdemeanors punishable by imprisonment of two years orless); is a fugitive from justice; is an unlawful user of, or addicted to,marijuana or any depressant, stimulant, or narcotic drug, or any othercontrolled substance; has been adjudicated as a mental defective or hasbeen committed to a mental institution; has been discharged from the Armed

.(forces Under dishonorable conditions; has renounced his or her U.S.`citizenshipi is an alien illegally in the -United States or an alien admitted

' to the United States under a nonimmigrant visa; or is subject to certainrestraining orders. Furthermore, Section 922(n) prohibits the shipment,transportation, or receipt in or affecting interstate commerce of a firearmby 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 crimeVerified by a prosecutor.

EXCEPTION: A person who has been convicted of a felony, or any othercrime, for which the judge could have imprisoned the person for more thanone year, or who has been convicted of a misdemeanor crime of domesticviolence, is not prohibited from purchasing, receiving, or possessing a firearmif: (1) under the law of the jurisdication where the conviction occurred, theperson has been pardoned, the conviction has been expunged or set aside, or theperson has had their civil rights Me right !orate. sit on a jury, and hold public office) kilcenaway and later mimed AND (2) the person is not prohibited by the law of the jurisdictionwhere the conviction occurred fiom receiving or possessing firearms. Persons subject tothis exception should maik "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 markedsubnormal intelligence, or mental ilbsess, incompetency, condition, or disease:(1) is a danger to himself or to others; or (2) lacks the mental capacity to contractor manage his own affairs. This term shall include: (I) a finding of insanity byis court in a criminal case; and (2) those persons found incompetent to stand trialor found not guilty by reason of lack of mental responsibility,

o. Committed to a Mental Institution. A formal commitment of a person toa mental institution by a court, board, commission, or other lawful authority.The term includes a commitment to a mental institution involuntarily. Theterm includes commitment for mental defectiveness or mental illness. Italso includes commitments for other reasons, such as for drug use. The termdoes not include a person in a mental institution for observation or avoluntary admission to a mental institution.

ATF Forrn 4 (5320,4)

Reviwd )

EXCEPTION NICS Improvement Amendments Act of 2007: A person whohas been adjudicated as a mental defective or committed to a mental institutionin a state proceeding is not prohibited by the adjudication or commitment if theperson has been granted relief by the adjudicating/committing state pursuant to aqualifying mental health relief from disabilities program. Also a person who hasbeen adjudicated as a mental defective or committed to a mental institution by adepartment or agency of the Federal Government, such as the U.S. Department ofVeteran's Affairs, is not prohibited by the adjudication or commitment if either:(a) the person's adjudication or commitment was set-aside or expunged bythe adjudicating/committing agency; (b) the person has been fully released ordischarged from all mandatory treatment, supervision, or monitoring by theagency; (c) the person was found by the agency to no longer suffer from the mentalhealth condition that served as the basis of the initial adjudication/commitment; or(d) the person was granted relief from the adjudicating/committing agency pursuantto a qualified mental health relief from disabilities program. Persons who fall withinone of the above exceptions should mark "no" in the applicable box. Thisexception to an adjudication or commitment by a Federal department or agencydoes not apply to any person who was adjudicated to be not guilty by reason ofinsanity, or based on a lack of mental responsibility, or found incompetent to standtrial, in any criminal case or under the Uniform Code of Military Justice.

Restraining Order. Under 18 U.S.C. § 922, firearms may not be sold toor received by persons subject to a court order that: (A) was issued aftershearing which the person received actual notice of and had an opporthnityto participate in; (B) restrains such person from harassing, stalking, orthreatening an intimate partner or child of such intimate partner or person,or engaging in other conduct that would place an intimate partner inreasonable fear of bodily injury to the partner or child; and (C)(i) includes afinding that such person represents a credible threat to the physical safety ofsuch intimate partner or child; or (ii) by its terms explicitly prohibits the use,attempted use, or threatened use of physical force against such intimatepartner or child that would reasonably be expected to cause bodily injury.An "intimate partner" of a person is: the spouse or former sponse of theperson, the parent of a child of the person, or an individual who cohabitatesor has cols abitated with the person.

Misdemeanor Crime of Domestic Violence: A Federal, State, local,tribal offense that is a misdemeanor under the Federal, State, or tribal lawand has, as an element, the use or attempted use of physical force, or thethreatened use of a deadly weapon, committed by a current or formerspouse, parent, or guardian of the victim, by a person with whom the victimshares a child in common, by a person cohabitating with, or has cohabitedwith the victim as a spouse, parent, or guardian, or by a person similarlysituated to a spouse, parent, or guardian of the victim. The term includesall misdemeanors that have as an element the use or attempted use ofphysical force or the threatened use of a deadly weapon (e.g., assault andbattery), if the offense is committed by one of the defined parties, (SeeException in the definition of "Pmhibited Person"). A person who hasbeen convicted of a misdemeanor crime of domestic violence also is notprohibited unless: (1) the person was represented by a lawyer or gave -up theright to a lawyer; or (2) if the person was entitled to a jwy, was tried by ajury, or gave up the right to a jury trial. Persons subject to this exceptionshould mark "no" in the applicable box.

Allen Admitted to the United States Under a Nonimmigrant Visa. Analien admitted to the United States under a nonimmigrant visa includes,among others, persons visiting the United States temporarily for business orpleasure, persons studying in the United States who maintain a residence abroad,and certain temporary foreign workers. These aliens must answer "yes" toquestion 16.d. I and provide the additional documentation required underquestion 16.d.2, Permanent resident aliens and aliens legally admitted to theUnited States pursuant either the Visa Waiver Program or to regulationsotherwise exempting them from visa requirements may answer "no" to thisquestion and are not required to submit the additional documentation under16,d2. An alien admitted to the United States under a nonimmigrant visais not prohibited from purchasing, receiving, or possessing a firearm if the

(i) is in possession of a hunting license or penult lawfidly issued by theFederal Government, a State, or local government, or an Indian tribe federallyrecognized 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) isan official representative o f a foreign government who is accredited to the UnitedStates Government or the Government's mission to an international organizationhaving its headquarters in the United States: (4) is an official representative ofa foreign government who is =route to or from another country to which thatalien 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 aforeign law enforcement officer of a friendly foreign government entering theUnited States on official law enforcement business; (7) has received a waiverfrom the prohibition from the Attorney General of the United States.

s. Fugitives from Justice. Any person who has fled from any State to avoidprosecution for a felony or a misdemeanor, or any person who leaves the Stateto avoid giving testimony in any criminal proceeding. The term also includesany person who knows that misdemeanor or felony charges are pending againstsuch person and who leaves the State of prosecution.


a. Authority. As pmvided by 26 U.S.C, §§ 5811 and 5812, any person seeldng totransfer a fireann must complete, in duplicate, an application on this funs for eachfuwins, The aansferor must furnish all the information called for on this applicationorsts.

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 Firearmslicensee (FR,) under the GC.A, the licensee's complete name, trade name (if any),and address shall be entered in items 2a or 3a of this form, respectively. The completelicense number for each shall be entered in items 5 and 7 ofthefonn and ifthe liceaseeis a special (occupational) taxpayer under the NFA, the licensee's employeridentification number (EN) shall be catered in item 6 and& of the form, alongwith the class of special tax paid, IMPORTANT NOTE: The business structureof the licensee shall be described consistently. For example, if the transferor is a soleproprietor, item 3a shall reflect the FFL infonnation for the sole proprietor businessand item 7 shall reflect the EFL number for that sole proprietor business. Item 8will reflect the EIN for the sole propnetor business. Ifthe special tax is paid as acorporation, then it is not valid for the transaction. Similarly, a corporation nameshown in item 3a with the FFL munber and EIN ofa sole proprietor will not be validfor the transaction.

d. Completion of Form.

(1) The transferor shall provide the transferee's complete name andphysical address (no Past Office boxes) in item 2a, If the transfereeis a trust or legal entity, show only the complete name of the trust orlegal entity and do not include any individual names (such as namesof trustees or corporate officials). The address shall be the locationwithin the particular state where the firearm will be maintained fora trust or legal entity. In the case of two or more locations for a legalentity, the address shown shall be the principal place of business withinthe particular state (or principal office, in the case of a corporation).

(2) If the transferee is an individual, the entire Form 4 shall be cornpleted. In addition, the transferee must include Isis 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 entitysuch as a corporation, the transferee shall not complete items 14,15,16,17,18, and 19. All other items must be completedincluding the signing of the Transferee Certification statement by thetransferee.

(4) Documentation of entity existence:(a) If the transferee is other than an individual, the transferee must

attach documentation evidencing the existence and validity ofthe entity, which includes complete and unredacted copies ofpartnership 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 amaker or transferee within Else preceding 24 months of the dateof filing this application, and there has been no change to thedocumentation evidencing the existence and validity of the entitypreviously provided, the entity may provide a certification thatthe information has not been changed since the prior approval andshall identify the application for which the documentation hadbeen submitted by form number, serial number, and dateapproved.

(5) If the transferee is other than an individual, each responsible personof the trust or legal entity (see definition 1 e) must include a completedATF Form 5320.23, National Firearms Act (NFA) Responsible PersonQuestionnaire, with the submitted Form 4. ATF Form 4 (5320.4)

Revised ( )

e, Transferee Necessity Statement Rem 13 must be completed by the transfereeifi

(1) the firearm to be transferred is a inachinegun, short-barreled rifle,short-barreled shotgun, or destructive device;

(2) the transferor is licensed under the GCA to deal in such device or fireann; and

(3) the transferee is not licensed under the GCA to deal in such device orfirearm,

Law Enforcement Notification. The transferee must provide a copy of theForm 4 to the chief law enforcement officer who has jurisdiction over thearea of the transferee's address shown in item 2a of the Form 4. Inaddition, if the transferee is other than an individual, a copy of the Form5320.23, National Firearms Act (NPA) Responsible Person Questionnaire, completed by each responsible person must be provided to theirrespective chief law enforcement officer. The chief law enforcementofficer is considered to be the Chief of Police; the Sheriff; the Head of theState Police, or a State or local district attorney or prosecutor.

g. Photographs and Fingerprints. An individual transferee, except iflicensed as a manufacturer, importer, or dealer under the GCA, must (I)attach to item 15 of the ATF Form 4, a 2 inch x 2 inch photograph of thefrontal view of the transferee taken within 1 year prior to the date of theapplication and (2) submit two properly completed FBI Forms FD-258(Fingerprint Cani with blue lines) with the application. The fingeiprintsmust be clear for accurate classification and taken by someone properlyequipped to take them.

h. Signatures. All signatures required on ATF Form 4 must be original inink 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 ofthe estate shall sign the form;

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

(4) if the applicant is a Federal firearms licensee, a responsible person ofthe Federal firearms licensee shall sign the form.

physical description of the firearm or in the markings on the firearm,including the serial number, contact the NFA Branch in regard to thesedifferences.

n. State or Local Permit. If a State or local permit or license is requiredfor the transferee prior to acquisition of the firearm, a copy of the permitmust be included with the application. If the transferee is a trust or legalentity, when the State of residence for any responsible person requires aState or local permit or license, a copy of the permit or license must besubmitted with Form 5320.23, National Firearms Act (NFA) ResponsiblePerson Questionnaire.

Approval of Application. Upon approval of an application, the NFA Branch willreturn the approved copy to the transfeior for delivery with the firearm to thetransferee. Since the approval of the application effectuates registration of thefirearm to the transferee, the physical transfer of the firearm must becompleted immediately; however, the transferor must not transfer the firearmuntil the application has been approved and received. If the physical transferof the firearm cannot be completed immediately, the transferor must contactthe NFA Branch with the specifics.

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

5. Cancellation of Approved Application. The transferor may cancel anapproved application only if the physical transfer of the firearm has not beencompleted. The transferor must return the approved application with theoriginal tax stamp affixed with a written request for cancellation, citing the needand that the physical transfer of the firearm did not take place. The request shallbe directed to the Chief, NFA Branch, 244 Needy Road, Martinsburg, WV.25405. The NFA Bianch will arrange for a refund of the tax paid,

6. Disapproval of Application, If the application is disapproved, the NFABranch will note the reason for disapproval on the application and return onecopy of the ATF Form 4 to the transferor.

7. Reasons for Disapproval, 26 U.S.C, § 5812 provides that applications shallbe denied if the transfer, receipt, or possession of the firearm would place thetransferee in violation of law.

i. Remittance. Please complete item 22. Please note that you may pay thetransfer tax by credit/debit card, cheek, or money order. The check ormoney order is to be made payable to ATF. Do not send cash.

j. Photocopies, Computer Generated Versions, or Downloaded -Version from ATE Website, After downloading or copying and printingthis fonn, ensure that the front and back are on the same sheet of paper. TheNFA 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 8.firearm is being transferred tax exempt from an estate by bequest or intestatesuccession (See 27 CFR § 479.90a), or by other operation of law to'abeneficiary or other authorized recipieat,ATF Form 5 is‘used to effect thetransfer otherwise, Form 4 is used. .See ATF Form 5 for additionalinformation.

a. Violation of Law. Applications shall be denied if the receipt or possessionof the firearm would place the person receiving or possessing the firearm inviolation of law.

b. Persons Prohibited from Receiving a Firearm. The application will bedisapproved if the transferee is a person prohibited from receiving afirearm. For information regarding persons prohibited from receiving afirearm, refer to definitions lm through lr.

Status Inquiries and Questions. Information relating to the NFA and otherfirearms laws is available at the ATF Internet website at www.atEgov. Anyinquiry relating to the status of an application to transfer au NFA firearm orabout procedures in general should be directed to the NFA Branch at (304)616-4500. Please be aware that any dissemination by ATF of infonnatMnrelating to the application to register an NFA firearm must conform with therestrictions in 26 U.S.C. § 6103.

I. Submission. The transferor shall submit 2 complete forms with originalsignatures to the NFA Branch at the address on the face of the form. Thetransferee shall direct a 3rd complete copy of the form to their chief lawenforcement officer as provided in paragraph 2f.

m. Description of Firearm and Markings. (1) Item 4a. please providethe name and address of the maker, manufacturer or importer of thefirearm. If there are additional makers, manufacturers, or importers, includethis information in item 411 or on a separate sheet of paper. (2) Item 4b,the types of NFA firearm are listed in instruction lc. (3) Item 4c. specifyone caliber or gauge. If there are additional calibers associated with thedescription of the firearm, include this information in item 4h or on aseparate piece of paper. (4) Item 4d. show the model designation (i(any)(5) Item 4e. and 4f. specify the barrel and overall lengths asapplicable. If there are additional barrel and overall lengths associatedwith the description of the firearm, include this information in item 4h. oron a separate sheet of paper. (6) Item 4g. enter the serial number ofthe firearm as it appears on the firearm. (7) If there are differencesbetween the description of the firearm on the form in comparison to the

9. Penalties. Any person who violates or fails to comply with any of therequirements 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 firearminvolved 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 onany application or record required by the NEA knowing such entry to befalse.

10. Compliance with the Gun Control Act. Persons must also comply with allrelevant portions of the GCA.

ATF Form 4 (5320.4)

Revised ( )

Exhibit B: Summary of Act. 27CFR 479 To see complete Act, go to www.ATF.gov/file/100896/download

This final rule was signed by the Attorney General on January 4, 2016, It is effective 180 daysafter date of publication in the Federal Register. The final rule published in the Federal Registermay differ slightly from this version as a result of Federal Register formatting.

Billing Code: 4410-FY-P

DEPARTMENT OF JUSTICE

Bureau of Alcohol, Tobacco, Firearms, and Explosives

27 CFR Part 479

[Docket No. ATF 41F; AG Order No. 3608-20161

RIN 1140-AA43

Machineguns, Destructive Devices and Certain Other Firearms; Background Cheeks forResponsible Persons of a Trust or Legal Entity With Respect to Making or Transferring aFirearm

AGENCY: Bureau of Alcohol, Tobacco, Firearms, and Explosives, Department of Justice.

ACTION; Final rule.

SUMMARY: The Department of Justice is amending the regulations of the Bureau of Alcohol,

Tobacco, Firearms, and Explosives (AU') regarding the making or transferring of a firearm

under the National Firearms Act (NFA). This final rule defines the term "responsible person," as

used in reference to a trust, partnership, association, company, or corporation; requires

responsible persons of such trusts or legal entities to complete a specified form and to submit

photographs and fingerprints when the trust or legal entity files an application to make an NFA

firearm or is listed as the transferee on an application to transfer an NFA firearm; requires that a

copy of all applications to make or transfer a .firearm, and the specified form for responsible

persons, as applicable, be forwarded to the chief law enforcement officer (CLEO) of the Locality

in which the applicant/transferee or responsible person is located; and eliminates the requirement

for a certification signed by the CLEO. These provisions provide a public safety benefit as they

ensure that responsible persons undergo background checks. In addition, this final rule adds a

new section to ATF's regulations to address the possession and transfer of firearms registered to

a decedent. The new section clarifies that the executor, administrator, personal representative, or

other person authorized under State law to dispose of property in an estate may possess a firearm

registered to a decedent during the term of probate without such possession being treated as a

"transfer" under the NFA. It also specifies that the transfer of the firearm to any beneficiary of

the estate may be made on a tax-exempt basis.

DATES: This rule is effective [INSERT DATE 180 DAYS AFTER DATE OF PUBLICATION

IN THE FEDERAL REGISTER],

FOR FURTHER INFORMATION CONTACT: Brenda Raffath Friend, Office of Regulatory

Affairs, Enforcement Programs and Services, Bureau of Alcohol, Tobacco, Firearms, and

Explosives, U.S. Department of Justice, 99 New York Avenue, NE, Washington, DC 20226;

telephone: (202) 648-7070.

SUPPLEMENTARY INFORMATION:

Executive Summary

A. Purpose of the Regulatory Action

B. Summary of the Major Provisions of this Rule

C. Costs and Benefits

II. Background

A. Application to Make a Firearm

B. Application for Transfer of a Firearm

C. Transfer Tax Exemption Available

Ill. Notice of Proposed Rulemaking

A. Petition

B. Amendment of 27 CFR 479.11

C. Amendment of 27 CFR 479.62 and 479.63

D. Amendment of 27 CFR 479,84 and 479.85

E. Amendment of 27 CFR 479,90

F. Addition of 27 CFR 479.90a, Estates

G. Transfer of Unserviceable Firearm

H. Miscellaneous

IV. Analysis of Comments and Department Responses for Proposed Rule ATF 41PA. Comments Supporting the RuleB. Comments Generally Opposing the RuleC. Comments Addressing Specific Portions of the RuleD, Comments on Proposed Rule's Statutory and Executive Order ReviewsE. Comments on Costs and BenefitsF. Comments on Rulemaking ProcessG. Comments on NFA Registration and ProcessingH. Comments on Efficiencies and PrioritiesI. New Responsible Persons and Form 5320.23

V. Final RuleVI. Statutory and Executive Order Review

A. Executive Order 12866 and Executive Order 13563—Regulatory ReviewB. Executive Order 13132C. Executive Order 12988D. Regulatory Flexibility ActE. Small Business Regulatory Enforcement Fairness Act of 1996F. Unfunded Mandates Reform Act of 1995G. Paperwork Reduction Act

I. Executive Summary

A. Purpose of the Regulatory Action

The current regulations at 27 CFR 479.63 and 479.85, which require fingerprints,

photographs, and a law enforcement certification for individual applicants to make or transfer

National Firearms Act (NFA) firearms, do not apply to trusts or legal entities. On September 9,

2013, the Department of Justice ("the Department" or DaT) published in the Federal Register a

notice of proposed rulemaking titled "Machine Guns, Destructive Devices and Certain Other

Firearms; Background Checks for Responsible Persons of a Corporation, Trust or Other Legal

Entity with Respect to Making or Transferring a Firearm," 78 FR 55014 (ATF 41P), The

proposed rulemaking amended the regulations in §§ 479,11, 479.62-479.63, 479.84-479.85, and

479.90. The proposed regulations responded to a petition for rulemaking, dated December 3,

2009, filed on behalf of the National Firearms Act Trade and Collectors Association (NFATCA),

The petitioner requested that the Department amend §§ 479.63 and 479.85, as well as

corresponding Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) Forms 1 and 4. 78

FR at 55016-55017, The proposed regulations were intended to conform the identification and

background check requirements applicable to certain trusts and legal entities to those that apply

to individuals.

The goal of this final rule is to ensure that the identification and background check

requirements apply equally to individuals, trusts, and legal entities. To lessen potential

compliance burdens for the public and law enforcement, D0,1 has revised the final rule to

eliminate the requirement for a certification signed by a chief law enforcement officer (CLEO)

and instead require CLEO notification. DOJ has also clarified that the term "responsible person"

for a trust or legal entity includes those persons who have the power and authority to direct the

management and policies of the trust or legal entity to receive, possess, ship, transport, deliver,

transfer, or otherwise dispose of a firearm for, or on behalf of, the trust or entity. In the case of a

trust, those with the power or authority to direct the management and policies of the trust include

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.

B. Summary of the Major Provisions of this Rule

With respect to trusts, partnerships, associations, companies, or corporations, this final

rule defines the term "responsible person" as an individual in the organization that has the power

and authority to direct the management and policies of the entity insofar as they pertain to

firearms. This final rule requires that each responsible person complete a specified form and

submit photographs and fingerprints when the trust or legal entity either files an application to

make an NFA firearm, or is listed as the transferee on an application to transfer an N M firearm.

"rhe Department has also reassessed the need for CLEO certification and is implementing a new

approach that focuses on notifying CLF0s. The final rule only requires that the applicant maker

or transferee, including each responsible person for a trust or legal entity, provide a notice to the

appropriate State or local official that an application is being submitted to ATF. An "appropriate

State or local official" is the local chief of police, county sheriff, head of the State police, or

State or local district attorney or prosecutor of the locality in which the applicant, transferee, or

responsible person is located. In addition, this final rule requires responsible persons of a trust or

legal entity to submit fingerprint cards and other identifying information to ATF and undergo a

background check. it also adds a new section to ATF's regulations to address the possession and

transfer of firearms registered to a decedent. The new section clarifies that the executor,

administrator, personal representative, or other person authorized under State law to dispose of

property in an estate may possess a firearm registered to a decedent during the term of probate

without such possession being treated as a "transfer" under the NFA. It also specifies that the

transfer of the firearm to any beneficiary of the estate may be made on a tax-exempt basis.

C. Costs and Benefits

This rule requires that trusts and legal entities (e.g., partnerships, companies,

associations, and corporations) applying to make or receive an NH\ firearm submit information

for each of their responsible persons to ATF to allow ATF to verify that such persons are not

prohibited from possessing or receiving firearms. ATF estimates a total additional cost of $29.4

million annually for trusts and legal entities to gather, procure, and submit such information to

ATI' and for ATF to process the information and conduct background checks on responsible

persons. These provisions have public safety benefits because they will enable ATF to better

ensure that the approximately 231,658 responsible persons within trusts and legal entities—an

estimate based on the number of NFA applications processed by trusts or legal entities in

calendar year 2014 multiplied by an average of two responsible persons per trust or legal

entity—applying to make or receive NFA firearms each year are not prohibited from possessing

or receiving such firearins.

This final rule also requires that all those who apply to make or receive an NFA firearm,

as well as all responsible persons for each trust or legal entity applicant or transferee, notify their

local CLEO that an application has been filed with ATF before the applicant or transferee is

permitted to make or receive an NFA firearm. Current regulations require individuals, but not

trusts or legal entities, to obtain CLEO certification before making or receiving an NFA firearm.

ATF estimates that the total cost of the CLEO notification requirement will be approximately

$5.8 million annually ($0.5 million for individuals; $5.3 million for legal entities), The current

cost of CLEO certification for individuals is approximately $2.26 million annually.

Consequently, the final rule's estimated net cost increase is approximately $3.6 million annually.

This increase, however, primarily involves costs to responsible persons for trusts and legal

entities that had not previously been required to register, and will be offset by cost savings to

ATF estimates the change in the final rule to a notice requirement will save

individuals approximately $1.8 million annually. This rule is not an "economically significant"

rulemaking under Executive Order 12866.

the NFA discussed below refer to the "Secretary" rather than the "Attorney General"; however, therelevant functions of the Secretary of the Treasury have been transferred to the Department of Justice, under the

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To view complete Act, go to www.ATF.gov/file/100896/download

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