South Coast Air Quality Management District, Form 2007-4B (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
South Coast Air Quality Management District
Form 2007-4B
Regional Clean Air Incentives Market Trading
Credits (RTCs) Report of Forward Contract
(Two-sided Form)
SCAQMD Disclaimer: This report will be made available to the public for informational purposes only. The SCAQMD does not verify the content of this report.
Forward Contract to: Purchase Sell Swap
Reason for this report: Initial Extension Modification
(If not initial, provide initial agreement date):
Premium paid for this contract:
Date when this agreement was reached:
Date when the RTCs are to be delivered:
I understand that this is only a report to the AQMD of the agreement of a forward contract for purchase, sale, or swap of RTCs. I further understand
that this report does not act as or replace the RTC Transaction Registration. I also understand that a separate RTC Transaction Registration and
associated forms are required in accordance with Rule 2007 within five (5) business days of the exercise of a forward contract. I certify that the
statements are true, accurate, and complete to the best of my knowledge.
Reported by (Print Name) Title
Signature
Company Name
Date and Place
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.
For Infinite-Year-Block transaction, report total value of transaction. For each transaction line enter “N/A” under the Price ($/Pound) column.
(Attach a separate form if more spaces are needed)
Terms of RTC Transferred
Original Zone
(Coastal or
Inland)
Maximum
Quantity
(Pounds/year)
Price
($/Pound)
Origin of Credits
Cycle
From
Compliance
Year
To
Compliance
Year
Rule No.:
Rule No.:
Rule No.:
Rule No.:
*
*
*
†
Rule 2007 (e)(2)(I) requires that all agreements for a forward contract be reported by either the contracting parties, or by the agent,
broker, or other intermediary representing the contracting parties. If the buyer and/or seller requests confidentiality, the District will keep
the identity of the buyer and/or seller confidential to the extent allowed by law until the contract has been exercised as a transfer of
RTCs. This report is required to be submitted to the AQMD within five (5) business days of the agreement. This form is for reporting a
forward contract only. For a contingent right to purchase, use Form 2007-4A.
Attach agreement for contingent right to purchase
Pollutant: NOx or SOx (Identify one pollutant only)
Is this an Infinite-Year-Block RTCs transaction? Yes [Total Value of Transaction $
] No
If claiming confidentiality of identity, check the appropriate box and complete the front and reverse sides of this form:
Buyer Seller Both Buyer and Seller
Name of Buyer
†
Account I.D. #
Name of Seller
†
Account I.D. #
If Intermediary:
Intermediary Name
Account I.D. #
(Do not fill-out this line if claiming confidentiality of Buyer – see reverse side of form)
(Do not fill-out this line if claiming confidentiality of Seller – see reverse side of form)
(Circle items modified)
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