How to Fill out a Form 1 or Form 4 when Using a Gun (NFA) Trust

Posted on by Joshua Prince, Esq.

So you have a Gun Trust but how do you correctly fill out a Form 1 or Form 4 when the applicant is the Gun Trust? This is a common question and below explains how the forms should be filled out.

To begin with, regardless of what individuals on the internet may tell you, you need to submit your ENTIRE trust with your application for transfer or making of a NFA firearm.

How to fill out a Form 1: (Example Form 1 copy) (Unless otherwise specified, the Form 1 should be filled out as normal)

-Under Section 2, check off Corporation or Other Business Entity

-Under Section 3b specify the name and address, which should be something akin to: Doe Firearms Trust, 1234 Some Rd. Some City, PA, 19000.

-Under Section 3d specify the county of the Trust

-Under Section 4, (a) – (g), fill it out as you normally would. In section 4(h), specify the Trust name, city and state. Using the example above, this would mean placing Doe Firearms Trust, Some City, PA in 4(h).

-Under Section 7, the person signing should be the Settlor or Trustee, if not one in the same.

-Under Section 8, place Settlor (or Trustee), after listing the name of the individual.

-Under Section 10 and 11, answer the questions.

-Neither Section 12 nor 13 must be completed when utilizing a trust.

How to fill out a Form 4: (Example Form 4 copy)(Unless otherwise specified, the Form 4 should be filled out as normal)

-Under Section 2a specify the name and address, which should be something akin to: Doe Firearms Trust, 1234 Some Rd. Some City, PA, 19000.

-Under Section 2b specify the county of the Trust

-Under Section 15 (Name of Transferee) specify the Trust name. Using the example above, this would mean placing Doe Firearms Trust in this box.

-Under Section 15 (Signature of Transferee) the Grantor or Trustee should sign, followed by his/her title (AKA Settlor or Trustee).

How to Fill out a Form 5330.20: (Gun Trust example Form 5330.20) UPDATE: No Longer Necessary, see update below.

-Section 1: Name under which the Application was Filed: should be the Trust name. Using the example above, this would mean placing The Smith Firearms Trust in this box.

-Section 2: Name of person certifying citizenship: Put your name in.

-Section 3: What is your country of citizenship: United States of America

-Section 7: Signature of Individual who is identified in Section 2: Your signature followed by your title (AKA Trustee or Grantor (if both, just place Trustee)).

UPDATE: The BATFE, on page 5 of the November 2008 Newsletter, has stated that a certificate of citizenship is not required. Moreover, items 13, 14, 16, and 17 (transferee’s information, photograph, and CLEO signature) of the Form 4 do not have to be filled out. However, the settlor/grantor/trustee must sign item 15 on the Form 4, which is for the transferee’s signature.

Published by Joshua Prince, Esq.

With our 2nd Amendment rights being attacked at both the Federal and State level, and the ATF (Burea of Alcohol, Tobacco, Firearms, and Explosives) trying to close down FFLs (Federal Firearms Licensees) for minor infractions while making FFLs the scapegoat when the ATF's records are inaccurate, I want to take this opportunity to introduce myself. I am one of only a handful of attorneys across the US that practices in the niche area of law known as firearms law. I decided to concentrate my legal practice on firearms law not only because I am a shooter and firearms enthusiast, but also to ensure that our inalienable Right to Keep and Bear Arms is never encroached upon. I handle cases at the Federal and State level for both FFLs and individuals. At the federal and state levels for individuals, I actively defend the 2nd Amendment of the US Constitution and Section 21 of the PA Constitution, as well as, help individuals with: - License to Carry Firearms Denials; - Challenges to Erroneous PICS Denials; - Relief from Firearms Disabilities; - Estate Planning Advice; - Gun/NFA Trusts; and - 42 USC 1983 Actions for Deprivation of Civil Rights At both the state and federal levels, I represent FFLs and SOTs throughout Pennsylvania and the US regarding: - ATF Compliance Inspections; - Warning Letters and Hearings; - FFL Revocations; - Corporate Structure Advice - Indoor/Outdoor Range Implementation; and - Forfeiture Proceedings In following my love for firearms and firearms law, I have taught several Continuing Legal Education (CLE) seminars on Firearms in Estates and Trusts and Firearms Law 101 for several Bar Associations, including Berks, Cumberland, and Dauphin Counties. I also planned and taught several Firearms in Estates CLE classes for the Pennsylvania Bar Institute (PBI). While at Widener Law School, I was a member of the Widener Law Journal. I wrote an article on the Inaccuracy of the National Firearms Registration and Transfer Record (NFRTR). I also had an article published on Fee Disputes in Workers Compensation cases in the Widener Law Journal, Volume 18, No. 2. You can often find me posting on several internet forums, including Subguns, Uzitalk, AR15, and PAFOA. I also hold PA Firearms Law classes for local ranges to inform the public on the firearm laws of the Commonwealth. Following in my father's footsteps, I am also a Board member for the Pottstown Police Athletic League (PAL).

5 thoughts on “How to Fill out a Form 1 or Form 4 when Using a Gun (NFA) Trust”

  1. Pingback: How to Fill out a Form 1 or Form 4 when Using a Gun (NFA) Trust | Arizona Wills & Trusts
  2. Pingback: Gun (NFA) Trust – Frequently Asked Questions | Prince Law Offices, P.C.

  3. What if the transferor is an individual who is transferring the firearm to the trust? In otherwords, the transferor would not ne a dealer.

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      1. Is it worth it? Perhaps. Especially if someone other than yourself has access to the NFA device (i.e. family gun safe or vault where spouse has access/combo) or you merely wish to share the NFA device with others while not in your presence.

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