Fill - Free fillable Form 2007-2: Name of Buyer/Transferee Account I.D. # (SCAQMD) PDF form

 South Coast Air Quality Management District, Form 2007-2 (2014.07)

Mail To:

SCAQMD, RECLAIM Administration - RTC Transfers

P.O. Box 4830

Diamond Bar, CA 91765-0830

Tel: (909) 396-3119

www.aqmd.gov

Page of

South Coast Air Quality Management District

Form 2007-2

Regional Clean Air Incentives Market Trading

Credits (RTCs) Transaction Registration

Submit this form and required documents with Transaction Registration Fee pursuant to Rule 301

(Attach a separate form if more than 8 transfers are being registered)

Terms of RTC Transferred

Original

Zone

(Coastal or

Inland)

Quantity

(Pounds/year)

Price

($/Pound)

Use

Code

(Buyer)

Generation

Code

(Seller)

Account

Source

Code

(Seller)

Origin of

Credits

(Seller)

Cycle

From

Compliance

Year*

Compliance

Year*

Certificate

Serial Number

(Seller)

Buyer Use Codes (only one code per transaction) Seller Generation Codes Seller Account Source Code

(only one code per transaction)

Increase RTC Allocation account balance to satisfy annual compliance

Use under Rule 2005 - New Source Review for RECLAIM

Increase RTC certificate account balance without issuance of physical

certificate.

Increase RTC certificate account balance with issuance of physical

certificate

Retire RTCs from market without issuance of physical certificate

Retire RTCs from market with issuance of physical certificate

Facility Acquisition (Change of Ownership)

01**

02**

03**

04**

Process Change

Addition of Control Equipment

Production Decrease

Equipment or Facility Shutdown

Facility Acquisition (Change of Ownership)

RTCs for Future Compliance Year, cause

of generation not yet been determined

A Allocation Account

B*** Certificate Account

C*** Printed Certificate (must list

Certificate Serial number and

attach certificate to this form)

*** If this Account Source Code is

selected, then select "N/A" from

Generation Code field.

Origin of Credits

State Rule Number from which the credits

were originally issued (e.g. Reg XX,

R1631, R2506, etc.)

 In the “From Compliance Year” Column, fill in the expiration date of the first compliance year RTCs. The “To Compliance Year” Column is used to enter (1) single year transaction,

(2) perpetual stream transaction, or (3) multiple year transaction of RTCs of same zone, quantity, and price in a single line. For a single year transaction, mark this column “Single

Year Trade”. For a perpetual stream transaction, mark this column “All Years After”. For a multiple year transaction, fill in the expiration date of the last compliance year. Use

separate lines for transactions of different RTCs, quantities or prices. Transactions for all inclusive years between these two columns will be registered. See reverse side for

examples.

** Selection of this Generation Code must be

accompanied by the selection of Account

Source Code “A” - Allocation Account.

NOTE: RTCs in Certificate or Printed Certificate Account must be

transferred to Allocation Account to be eligible for compliance use.

Answer the following Questions:

A. Is this transaction part of a pooled transactions or market?

Yes  Attach Form 2007-3 to identify participants (Part A Only)

No  Go to Question B

B. Is seller an agent, broker, or other intermediary representing the owner of RTC ?

Yes  Attach Form 2007-3 to identify Owner of RTC (Part B Only)

No  Complete this form only

Date when this transaction was agreed upon (trading transaction date):

 Attach purchase agreement or transaction confirmation

Name of Buyer/Transferee Account I.D. #

Name of Seller/Transferor

Account I.D. #

Pollutant: NOx or SOx (Identify one pollutant only) Is this part of a Swap transaction? Yes No

Is this form reporting the trade of an Infinite-Year-Block of RTCs? No Yes

If “Yes,” Total Value of Transaction $ ;

Enter N/A in the “Price” column below; Report in this form only those RTCs that

are traded as part of a single negotiated price. File separate forms to transfer any other RTCs that were negotiated for a separate price.

I certify that I am authorized to make this submission on behalf of the affected registered holders of the RTCs listed herein. I certify that the statements

are true, accurate, and complete to the best of my knowledge.

Authorized Representative of Buyer/Transferee (Print Name) Authorized Representative of Seller/Transferor (Print Name)

Signature Date Signature Date

Validate/Print

Reset

Instructions and Examples for Form 2007-2

RTC transaction types consist of discrete year(s) RTC trades, Infinite-Year-Block (IYB) RTC trades, and combination trades

that include both discrete year(s) and IYB RTCs. The transaction types are defined by the negotiation terms and agreements.

For discrete year(s) only RTC trades, the trading parties identify the type of trade by selecting “No” when answering the

question “Is this an Infinite-Year-Block RTCs transaction?” on Form 2007-2. (See Examples 1A & B).

Infinite Year Block (IYB) RTC trades are categorized as IYB only RTCs (Example 2A), combined single year(s) and IYB

RTCs (Example 2B), and combined IYB RTCs negotiated as a single deal (Example 2C). For these trades, the parties

identify the type by selecting “Yes” to the question “Is this form reporting the trade of an Infinite-Year-Block of RTCs?”, report

the total value of transaction in the space provided, and enter “N/A” when reporting “Price ($/Pound)”. Example 2B

represents how to report a trade agreement where combined single year(s) and IYB RTCs were negotiated as a single deal

with a total price for the entire trade. Example 2C depicts how to report a trade agreement involving multiple IYBs where the

entire deal was negotiated at a total price.

For trades that included both discrete years and IYB RTCs where the value for the single years RTCs and IYB RTCs are

negotiated separately, two trade transaction registrations are required – one registration for the discrete years RTCs portion

of the agreement and a second registration for the IYB RTCs portion of the agreement. (See Example 3). Please contact

RECLAIM Administration at 909/396-3119 if you are uncertain if you should submit one or two trade registrations.

EXAMPLE 1: Discrete Year(s) RTC Trades

A: For trade agreement of discrete year RTCs only

 300 lbs. of Cycle 1, Coastal Zone, Compliance Year 2007 RTCs at $2.50 per pound per year

 500 lbs. of Cycle 1, Inland Zone, Compliance Year 2008 RTCs at $4.00 per pound per year

Is this form reporting the trade of an Infinite-Year-Block of RTCs? No Yes

If “Yes,” Total Value of Transaction $

; Enter N/A in the “Price” column below; Report in this form only those RTCs

that are traded as part of a single negotiated price. File separate forms to transfer any other RTCs that were negotiated for a separate price.

Terms of RTC Transferred

Cycle

From

Compliance

Year*

To Compliance

Year*

Original

Zone

(Coastal or

Inland)

Quantity

(Pounds/year)

Price



($/Pound)

Use Code

(Buyer)

Generation

Code

(Seller)

Account

Source Code

(Seller)

Origin of

Credits (Seller)

Certificate

Serial Number

(Seller)

1 12/31/2007 Single Year Trade Coastal 300 $2.5000 1 01 A REG XX N/A

1 12/31/2008 Single Year Trade Inland 500 $4.0000 1 07 A REG XX N/A

B: For trade agreement of multiple consecutive discrete years of the same type of RTCs (i.e. same cycle, zone,

quantity and price), the years can be combined into one line

 1,000 lbs. of Cycle 1, Coastal Zone, Compliance Year 2008 RTCs at $4.00 per pound per year

 1,000 lbs. of Cycle 1, Coastal Zone, Compliance Year 2009 RTCs at $4.00 per pound per year

 1,000 lbs. of Cycle 1, Coastal Zone, Compliance Year 2010 RTCs at $4.00 per pound per year

Is this form reporting the trade of an Infinite-Year-Block of RTCs? No Yes

If “Yes,” Total Value of Transaction $

; Enter N/A in the “Price” column below; Report in this form only those RTCs

that are traded as part of a single negotiated price. File separate forms to transfer any other RTCs that were negotiated for a separate price.

Terms of RTC Transferred

Cycle

From

Compliance

Year

To Compliance

Year

Original

Zone

(Coastal or

Inland)

Quantity

(Pounds/year)

Price



($/Pound)

Use Code

(Buyer)

Generation

Code

(Seller)

Account

Source Code

(Seller)

Origin of

Credits (Seller)

Certificate

Serial Number

(Seller)

1 12/31/2008 12/31/2010 Coastal 1000 $4.0000 1 07 A REG XX N/A

EXAMPLE 2: Infinite-Year-Block (IYB) RTC Trade

A: For trade agreement of IYB RTCs only

 500 lbs. of Cycle 1, Coastal Zone, Compliance Year 2011 through perpetuity

 Total value of $50,000 for the trade

Note: Enter “N/A” for the column under Price ($/Pound) for this trade.

Is this form reporting the trade of an Infinite-Year-Block of RTCs? No Yes

If “Yes,” Total Value of Transaction $ 50,000

; Enter N/A in the “Price” column below; Report in this form only those RTCs

that are traded as part of a single negotiated price. File separate forms to transfer any other RTCs that were negotiated for a separate price.

Terms of RTC Transferred

Cycle

From

Compliance

Year

To Compliance

Year

Original

Zone

(Coastal or

Inland)

Quantity

(Pounds/year)

Price



($/Pound)

Use Code

(Buyer)

Generation

Code

(Seller)

Account

Source Code

(Seller)

Origin of

Credits (Seller)

Certificate

Serial Number

(Seller)

1 12/31/2011 All Years after Coastal 500 N/A 1 01 A REG XX N/A

B: For trade agreement that combined individual year(s) and IYB RTCs negotiated as a single deal with a total

value for the entire trade

 400 lbs. of Cycle 1, Coastal Zone, Compliance Year 2010 RTCs

 300 lbs. of Cycle 1, Coastal Zone Compliance Year 2011 through perpetuity

 Total value of $30,000 for the entire trade

Note: No separate prices were negotiated for the individual year portion of the trade; enter “N/A” for the column under Price

($/Pound) for this trade.

Is this form reporting the trade of an Infinite-Year-Block of RTCs? No Yes

If “Yes,” Total Value of Transaction $ 30,000

; Enter N/A in the “Price” column below; Report in this form only those RTCs

that are traded as part of a single negotiated price. File separate forms to transfer any other RTCs that were negotiated for a separate price.

Terms of RTC Transferred

Cycle

From

Compliance

Year

To Compliance

Year

Original

Zone

(Coastal or

Inland)

Quantity

(Pounds/year)

Price



($/Pound)

Use Code

(Buyer)

Generation

Code

(Seller)

Account

Source Code

(Seller)

Origin of

Credits (Seller)

Certificate

Serial Number

(Seller)

1 12/31/2010 Single Year Trade Coastal 400 N/A 1 01 A REG XX N/A

1 12/31/2011 All Years after Coastal 300 N/A 1 01 A REG XX N/A

C: For trade agreement that combined IYB RTCs reported with different values negotiated as a single deal with a

total value for the entire trade

 500 lbs. of Cycle 1, Coastal Zone, Compliance Year 2011 through perpetuity

 400 lbs. of Cycle 2, Coastal Zone, Compliance Year 2011 through perpetuity

 Total value of $95,000 for the entire trade

Note: Enter “N/A” for the column under Price ($/Pound) for this trade. In cases where separate prices were negotiated for

each IYB trade, two transaction registrations are required.

Is this form reporting the trade of an Infinite-Year-Block of RTCs? No Yes

If “Yes,” Total Value of Transaction $ 95,000

; Enter N/A in the “Price” column below; Report in this form only those RTCs

that are traded as part of a single negotiated price. File separate forms to transfer any other RTCs that were negotiated for a separate price.

Terms of RTC Transferred

Cycle

From

Compliance

Year

To Compliance

Year

Original

Zone

(Coastal or

Inland)

Quantity

(Pounds/year)

Price



($/Pound)

Use Code

(Buyer)

Generation

Code

(Seller)

Account

Source Code

(Seller)

Origin of

Credits (Seller)

Certificate

Serial Number

(Seller)

1 12/31/2011 All Years after Coastal 500 N/A 1 01 A REG XX N/A

2 6/30/2012 All Years after Coastal 400 N/A 1 01 A REG XX N/A

EXAMPLE 3: Trade of Discrete Year RTCs with IYB RTCs

For trade agreement that included both discrete year RTCs and IYB RTCs

 300 lbs. of Cycle 1, Coastal Zone, Compliance Year 2011 RTCs at $6.00 per pound per year

 500 lbs. of Cycle 1, Coastal Zone Compliance Year 2012 through perpetuity with total value of $40,000 for the IYB

RTCs

Note: TWO transaction registrations are needed for this trade – one registration for the discrete portion of the trade and one

registration for the IYB portion of the trade. For the IYB registration enter “N/A” for the column under Price ($/Pound):

Registration A: Discrete portion of the trade agreement

Is this form reporting the trade of an Infinite-Year-Block of RTCs? No Yes

If “Yes,” Total Value of Transaction $

; Enter N/A in the “Price” column below; Report in this form only those RTCs

that are traded as part of a single negotiated price. File separate forms to transfer any other RTCs that were negotiated for a separate price.

Terms of RTC Transferred

Cycle

From

Compliance

Year

To Compliance

Year

Original

Zone

(Coastal or

Inland)

Quantity

(Pounds/year)

Price



($/Pound)

Use Code

(Buyer)

Generation

Code

(Seller)

Account

Source Code

(Seller)

Origin of

Credits (Seller)

Certificate

Serial Number

(Seller)

1 12/31/2011 Single Year Trade Coastal 300 $6.0000 1 01 A REG XX N/A

Registration B: IYB portion of the trade agreement

Is this form reporting the trade of an Infinite-Year-Block of RTCs? No Yes

If “Yes,” Total Value of Transaction $ 40,000

; Enter N/A in the “Price” column below; Report in this form only those RTCs

that are traded as part of a single negotiated price. File separate forms to transfer any other RTCs that were negotiated for a separate price.

Terms of RTC Transferred

Cycle

From

Compliance

Year

To Compliance

Year

Original

Zone

(Coastal or

Inland)

Quantity

(Pounds/year)

Price



($/Pound)

Use Code

(Buyer)

Generation

Code

(Seller)

Account

Source Code

(Seller)

Origin of

Credits (Seller)

Certificate

Serial Number

(Seller)

1 12/31/2012 All Years after Coastal 500 N/A 1 01 A REG XX N/A

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