FORM SD

 

 

United States

Securities and Exchange Commission

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

Colfax Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-34045   54-1887631

(State or other jurisdiction

of incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

420 National Business Parkway, 5th Floor

Annapolis Junction, Maryland

  20701
(Address of principal executive offices)   (Zip Code)

Bradley J. Tandy, Senior Vice President and Interim General Counsel

(301) 323-9000

(Name and telephone number, including area code, of the person to contact in connection with this report.)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.

 

 

 


Section 1—Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

As provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD, a Conflict Minerals Report is provided as an exhibit to this Form SD and is available at the following Internet website: http://ir.colfaxcorp.com/investor-relations. The information contained on our website is not incorporated by reference into this Form SD or our Conflict Minerals Report and should not be considered part of this Form SD or the Conflict Minerals Report.

Item 1.02 Exhibit

The Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.

Section 2—Exhibits

Item 2.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report for the calendar year ended December 31, 2018

 

1


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

COLFAX CORPORATION    
    Date: May 31, 2019
By:  

/s/ Jason MacLean

   
  Name: Jason MacLean    
  Title: Senior Vice President, Colfax Business System and Supply Chain    


EXHIBIT INDEX

 

Exhibit   

Description

1.01    Conflict Minerals Report for the calendar year ended December 31, 2018
EX-1.01

Exhibit 1.01

Conflict Minerals Report

Colfax Corporation has included this Conflict Minerals Report as an exhibit to its Form SD for the period from January 1st 2018 to December 31st 2018 as provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). The date of filing of this Conflict Minerals Report is May 31, 2019.

Unless the context indicates otherwise, the terms “Colfax,” “we,” “its,” “us,” and “our” refer to Colfax Corporation and its consolidated subsidiaries. As used herein, “Conflict Minerals” or “3TG” is defined as, consistent with the Conflict Minerals Rule, cassiterite, columbite-tantalite (coltan), gold, wolframite and the derivatives tin, tantalum and tungsten.

Forward-Looking Statements

This document contains forward-looking statements within the meaning of the federal securities laws. Any statements that do not relate to historical or current facts or matters are forward-looking statements. You can identify some of the forward-looking statements by the use of forward-looking words, such as “intend” and the like, or the use of future tense. Statements concerning current conditions may also be forward-looking if they imply a continuation of current conditions. Examples of forward-looking statements include, but are not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG benefit armed groups.

Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties include, but are not limited to, (1) the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all, (2) whether smelters and refiners and other market participants responsibly source 3TG, and (3) political and regulatory developments, whether in the Democratic Republic of the Congo (“DRC”) region, the United States or elsewhere. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of filing of this document. We do not intend, and undertake no obligation, to publish revised forward-looking statements to reflect events or circumstances after the date of filing of this document or to reflect the occurrence of unanticipated events.

Company and Product Information

Colfax Corporation is a leading diversified technology company that provides orthopedic, fabrication technology, and air and gas handling and products and services to customers around the world principally under the DJO, ESAB, and Howden brands.

Our in-scope product categories for 2018 were: (1) gas- and air-handling products, consisting of heavy-duty centrifugal and axial fans, rotary heat exchangers and gas compressors; and (2) welding equipment, cutting equipment and automated welding and cutting systems. For a further discussion of our products, see our Annual Report on Form 10-K for the year ended December 31, 2018. The information contained in our Form 10-K and other external materials referenced herein, including our website, is not incorporated by reference into this Conflict Minerals Report or our Form SD and should not be considered part of this Conflict Minerals Report or the Form SD.

Applicability of the Conflict Minerals Rule to Our Company

We are subject to the Conflict Minerals Rule because some of the products that we manufacture contain 3TG that are necessary to their functionality or production. Our in-scope products contain tin, tantalum, tungsten and gold, although each in-scope product does not contain all four 3TG.

We generally do not source 3TG from smelters or refiners and have no direct relationships with mines, and we believe that we are in most cases many levels removed from all of these market participants. However, through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with our Conflict Minerals Policy, which is described below, and encourage conflict free sourcing in our supply chain.

 

1


Product, smelter and refiner information in respect of 2018 is described under “Product Information” below and on Annex A. For 2018, each of our in-scope products contained 3TG content for which we were unable to determine the origin. None of the necessary 3TG contained in our in-scope products were determined by us to directly or indirectly finance or benefit armed groups in the DRC or an adjoining country. However, we did not conclude that any of our products were “DRC conflict free.” The terms “adjoining country,” “armed group” and “DRC conflict free” have the meanings contained in the Conflict Minerals Rule.

Our Conflict Minerals Policy

We are committed to being a responsible corporate citizen and are opposed to human rights abuses such as are occurring in the DRC. To this end, we have adopted and communicated to our suppliers and the public a company policy (the “Conflict Minerals Policy”) for the supply chain of 3TG.

The Conflict Minerals Policy includes, but is not limited to, our expectations that:

 

  1.

The components, parts and products supplied to us are DRC conflict free within the meaning of the Conflict Minerals Rule;

 

  2.

Our suppliers define, implement and communicate to sub-suppliers their own 3TG policy consistent with our Conflict Minerals Policy and the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”); and

 

  3.

Our suppliers implement policies, procedures and frameworks that are consistent with the OECD Guidance and require their direct and indirect sub-suppliers to do the same, and that our suppliers otherwise work with sub-suppliers to ensure traceability of 3TG.

We do not embargo sourcing of 3TG from the DRC region and encourage our suppliers to continue to source responsibly from the region, from sources that do not support conflict.

Our policy is available on our website at http://ir.colfaxcorp.com/static-files/5f7e2a02-e1de-4317-aa11-f1a284e476c0.

Reasonable Country of Origin Inquiry Information

As required by the Conflict Minerals Rule, for 2018, we conducted a “reasonable country of origin inquiry.” For our reasonable country of origin inquiry, to the extent applicable, we utilized the same processes and procedures as for our due diligence, in particular Steps 1 and 2 of the OECD Guidance, which are discussed below.

Our inquiry included approximately 7,750 suppliers (the “Suppliers”) that we identified as having provided us with components, parts or products that contain 3TG or that we believe may have provided us with components, parts or products that contain 3TG. For 2018, the Suppliers identified to us 315 smelters and refiners that processed or may have processed the necessary 3TG contained in our in-scope products, as shown and described under Annex A below. These smelters and refiners include 254 smelters and refiners identified as “Conformant” and 5 identified as “Active,” each as defined in Annex A. This information is based primarily on company-level declarations from Suppliers. Accordingly, many of these smelters and refiners may not be part of our supply chain, as we generally were not able to collect data at the product-level.

Based on the results of our reasonable country of origin inquiry, we conducted due diligence for 2018. These due diligence efforts are discussed below.

Due Diligence Program

Design Framework

We designed our due diligence measures relating to 3TG to conform with, in all material respects, the criteria set forth in the OECD Guidance, Third Edition, including the related Supplements for tin, tantalum and tungsten and for gold (hereinafter referred to as the “OECD Guidance”).

 

2


Selected Elements of our Due Diligence Program

The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. Selected elements of our due diligence program are discussed below. However, these are not all of the elements of the program that we have put in place to help ensure that the 3TG contained in our in-scope products are responsibly sourced. The headings below conform to the headings used in the OECD Guidance for each of the five steps.

 

  1.

OECD Guidance Step One: “Establish strong company management systems”

 

  a.

We have a Conflict Minerals Policy. We communicate the policy internally to our sourcing teams and to selected suppliers. The Conflict Minerals Policy also is posted on our website at http://ir.colfaxcorp.com/static-files/5f7e2a02-e1de-4317-aa11-f1a284e476c0.

 

  b.

We have a team of senior staff under the Senior Vice President, Colfax Business System (“CBS”) and Supply Chain and Interim General Counsel charged with managing our 3TG compliance strategy. The working group also includes representatives from each business platform. We supplement our compliance efforts with specialist outside counsel.

 

  c.

Selected internal personnel are educated on the Conflict Minerals Rule, the OECD Guidance, our compliance plan and the procedures for reviewing and validating supplier responses to our inquiries.

 

  d.

We utilize the Conflict Minerals Reporting Template (the “CMRT”) developed by the Responsible Minerals Initiative (the “RMI”) to identify smelters and refiners in our supply chain. The CMRT requests suppliers to provide information concerning the usage and source of 3TG in their products, as well as information concerning their related compliance efforts. We utilize a third-party service provider (the “Service Provider”) to conduct our supplier outreach and follow-up, as well as for the review and validation of supplier responses.

 

  e.

We maintain business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions, for at least five years.

 

  f.

The Service Provider provides training and educational materials to suppliers to enhance the quality of responses.

 

  g.

We have contractual terms relating to 3TG, which are incorporated into selected supplier contracts.

 

  h.

We have a mechanism for employees, suppliers and other interested parties to report violations of our Conflict Minerals Policy. The contact information for our grievance mechanism is www.colfaxcorp.ethicspoint.com.

 

  2.

OECD Guidance Step Two: “Identify and assess risk in the supply chain”

 

  a.

We requested in writing, through the Service Provider, that the Suppliers provide us with a completed CMRT. The Service Provider followed up by email or phone on our behalf with Suppliers that did not respond to the request within the specified time frame. The Service Provider followed up at least three times with non-responsive Suppliers.

 

  b.

The Service Provider, on our behalf, reviewed Supplier responses against its written review criteria to identify incomplete responses, potential errors and inaccuracies in the CMRTs. The Service Provider followed up by email with Suppliers that submitted a response that triggered specific quality issues relating to completeness and accuracy.

 

  c.

Smelter and refiner information provided by Suppliers was reviewed by the Service Provider against the smelters and refiners listed on the Smelter Look-up tab of the CMRT. To the extent that a smelter or refiner identified by a Supplier is not on that list, the Service Provider may take additional steps to attempt to determine whether the listed entity is a smelter or refiner.

 

  d.

Smelter and refiner information also was reviewed against the lists of Conformant and Active smelters and refiners published by the RMI.

 

3


254 of the identified smelters and refiners were listed as Conformant by the RMI and 5 were listed as Active, as of May 20, 2019. Please see Annex A below for further information regarding the smelters and refiners identified to us through our reasonable county of origin inquiry and due diligence.

The Service Provider bases its country of origin determinations on publicly available information, its outreach to smelters and refiners and information provided by suppliers in their completed CMRTs. Consistent with the foregoing, to the extent that a smelter or refiner identified by a Supplier was not listed as Conformant by the RMI, the Service Provider undertook an additional review to attempt to determine whether that smelter or refiner obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the DRC or an adjoining country. The Service Provider attempted to reach out to the smelter or refiner directly and conducted research to gain more information about the smelter’s or refiner’s sourcing practices, including the countries of origin of the minerals that it processes, the transit and transfer of the minerals that it processes and whether it has in place internal due diligence procedures or other processes to track the chain-of-custody of its 3TG.

 

  e.

The Service Provider evaluated Suppliers’ due diligence processes and policies based on the Suppliers’ responses to certain of the questions in the CMRT. These questions ask suppliers about their internal processes regarding 3TG.

 

  f.

We take steps to gather additional information from suppliers whose responses lead us to believe additional information is warranted to help ensure that our supply chain is responsibly sourcing 3TG. This may include requesting product-specific CMRTs or other information.

 

  3.

OECD Guidance Step Three: “Design and implement a strategy to respond to identified risks”

 

  a.

Our 3TG compliance team reviewed the reports and evaluations prepared by the Service Provider and liaised with appropriate members of senior management in our legal and supply chain teams, including our Senior Vice President, CBS and Supply Chain and General Counsel, regarding the results of our diligence.

 

  b.

We undertake additional internal reviews with our legal and supply chain teams on a periodic basis using the information provided by the Service Provider, our suppliers and our independent inquiries, and respond via supplier follow-up, commercial escalation or other commensurate means to the risks identified via these reviews.

 

  4.

OECD Guidance Step Four: “Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain”

In connection with our due diligence, we utilize and rely on information made available by the RMI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence.

 

  5.

OECD Guidance Step Five: “Report on supply chain due diligence”

We file a Form SD and Conflict Minerals Report with the Securities and Exchange Commission and make these filings available on our website at http://ir.colfaxcorp.com/investor-relations.

 

4


Identified Smelters and Refiners

In connection with our reasonable country of origin inquiry or due diligence, as applicable, the Suppliers identified to us the smelters and refiners listed on Annex A below either as part of our supply chain or as potentially having processed the necessary 3TG contained in our in-scope products in 2018. Due to our position in the supply chain, which is discussed earlier in this Conflict Minerals Report, we rely on our suppliers for accurate smelter and refiner information and our due diligence measures do not provide absolute certainty regarding the source and chain of custody of the necessary 3TG contained in our in-scope products.

We endeavored to determine the mine or location of origin of the 3TG contained in our in-scope products by requesting that the Suppliers provide us or our Service Provider with a completed CMRT, and through the other activities described herein that were taken by us or the Service Provider.

Future Risk Mitigation Efforts

We intend to take the following additional steps to mitigate the risk that the necessary 3TG in our in-scope products benefit armed groups in the DRC and its adjoining countries. These steps are in addition to the steps that we took in respect of 2018, which we intend to continue to take in respect of 2018 to the extent applicable.

 

  1.

Engage with applicable Suppliers that provided incomplete responses or that did not provide responses for 2018 to help ensure that they provide requested information for 2018.

 

 

Provide additional outreach to Suppliers with non-conformant responses

 

 

Conduct further training for Suppliers

 

 

Work to identify improved contacts for non-respondents

 

  2.

Encourage the continuing development and progress of traceability measures at Suppliers that indicated for 2018 that the source of 3TG was unknown or undeterminable.

 

  3.

Continue communicating to suppliers our sourcing expectations, including through the dissemination of the Conflict Minerals Policy to them and required adherence to contractual sourcing requirements.

 

5


Annex A

Capitalized terms used and not otherwise defined in this Annex have the meanings set forth in the Conflict Minerals Report of which this Annex is a part.

Smelters and Refiners

In connection with our reasonable country of origin inquiry or due diligence, as applicable, the Suppliers identified to us the smelters and refiners listed below as either being part of our supply chain or as potentially having processed the necessary 3TG contained in our in-scope products in 2018. Please see the notes that accompany the tables for additional information concerning the information in the tables.

Summary Smelter and Refiner Information

 

Metal

  

Conformant

  

Active

  

On Look-up

Tab Only

  

Total

Tantalum    40    0    0    40
Tin    72    0    8    80
Tungsten    40    1    3    44
Gold    102    4    45    151
Totals    254    5    56    315

The following percentages of the identified smelters and refiners were listed as Conformant, by mineral: tantalum – 100%; tin – 90%; tungsten – 91%; and gold – 68%.

Smelter and Refiner Names and Status

 

Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

RMI Audit Status

Gold    8853 S.p.A.    ITALY    Conformant
Gold    Abington Reldan Metals, LLC    UNITED STATES    On Look-Up Tab Only
Gold    Advanced Chemical Company    UNITED STATES    Conformant
Gold    African Gold Refinery    UGANDA    On Look-Up Tab Only
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    Conformant
Gold    Al Etihad Gold LLC    UNITED ARAB EMIRATES    Conformant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Conformant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    Conformant
Gold    AngloGold Ashanti Córrego do Sítio Mineração    BRAZIL    Conformant
Gold    Argor-Heraeus S.A.    SWITZERLAND    Conformant
Gold    Asahi Pretec Corp.    JAPAN    Conformant
Gold    Asahi Refining Canada Ltd.    CANADA    Conformant
Gold    Asahi Refining USA Inc.    UNITED STATES    Conformant
Gold    Asaka Riken Co., Ltd.    JAPAN    Conformant
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    On Look-Up Tab Only
Gold    AU Traders and Refiners    SOUTH AFRICA    Conformant
Gold    Aurubis AG    GERMANY    Conformant
Gold    Bangalore Refinery    INDIA    Active
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Conformant
Gold    Boliden AB    SWEDEN    Conformant
Gold    C. Hafner GmbH + Co. KG    GERMANY    Conformant
Gold    Caridad    MEXICO    On Look-Up Tab Only
Gold    CCR Refinery - Glencore Canada Corporation    CANADA    Conformant

 

A-1


Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

RMI Audit Status

Gold    Cendres + Métaux S.A.    SWITZERLAND    Conformant
Gold    Chimet S.p.A.    ITALY    Conformant
Gold    Chugai Mining    JAPAN    Active
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA    On Look-Up Tab Only
Gold    Degussa Sonne / Mond Goldhandel GmbH    GERMANY    On Look-Up Tab Only
Gold    DODUCO Contacts and Refining GmbH    GERMANY    Conformant
Gold    Dowa    JAPAN    Conformant
Gold    DS PRETECH Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    Conformant
Gold    Eco-System Recycling Co., Ltd.    JAPAN    Conformant
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    Conformant
Gold    Fidelity Printers and Refiners Ltd.    ZIMBABWE    On Look-Up Tab Only
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA    On Look-Up Tab Only
Gold    Geib Refining Corporation    UNITED STATES    Conformant
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    Conformant
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    On Look-Up Tab Only
Gold    Guangdong Jinding Gold Limited    CHINA    On Look-Up Tab Only
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    HeeSung    KOREA, REPUBLIC OF    Conformant
Gold    Heimerle + Meule GmbH    GERMANY    Conformant
Gold    Heraeus Metals Hong Kong Ltd.    CHINA    Conformant
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Conformant
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Hwasung CJ Co., Ltd.    KOREA, REPUBLIC OF    On Look-Up Tab Only
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    Conformant
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    Conformant
Gold    Istanbul Gold Refinery    TURKEY    Conformant
Gold    Italpreziosi    ITALY    Conformant
Gold    Japan Mint    JAPAN    Conformant
Gold    Jiangxi Copper Co., Ltd.    CHINA    Conformant
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    On Look-Up Tab Only
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    Conformant
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Conformant
Gold    Kaloti Precious Metals    UNITED ARAB EMIRATES    On Look-Up Tab Only
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN    On Look-Up Tab Only

 

A-2


Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

RMI Audit Status

Gold    Kazzinc    KAZAKHSTAN    Conformant
Gold    Kennecott Utah Copper LLC    UNITED STATES    Conformant
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    Active
Gold    Kojima Chemicals Co., Ltd.    JAPAN    Conformant
Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    Conformant
Gold    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION    On Look-Up Tab Only
Gold    L’azurde Company For Jewelry    SAUDI ARABIA    On Look-Up Tab Only
Gold    Lingbao Gold Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    L’Orfebre S.A.    ANDORRA    Conformant
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Conformant
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Marsam Metals    BRAZIL    Conformant
Gold    Materion    UNITED STATES    Conformant
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    Conformant
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    Conformant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Conformant
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    Conformant
Gold    Metalor Technologies S.A.    SWITZERLAND    Conformant
Gold    Metalor USA Refining Corporation    UNITED STATES    Conformant
Gold    Metalúrgica Met-Mex Peñoles S.A. De C.V.    MEXICO    Conformant
Gold    Mitsubishi Materials Corporation    JAPAN    Conformant
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    Conformant
Gold    Modeltech Sdn Bhd    MALAYSIA    On Look-Up Tab Only
Gold    Morris and Watson    NEW ZEALAND    On Look-Up Tab Only
Gold    Morris and Watson Gold Coast    AUSTRALIA    On Look-Up Tab Only
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Conformant
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY    Conformant
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    On Look-Up Tab Only
Gold    NH Recytech Company    KOREA, REPUBLIC OF    Active
Gold    Nihon Material Co., Ltd.    JAPAN    Conformant
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Conformant
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Conformant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Conformant
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Conformant
Gold    PAMP S.A.    SWITZERLAND    Conformant
Gold    Pease & Curren    UNITED STATES    On Look-Up Tab Only

 

A-3


Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

RMI Audit Status

Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Planta Recuperadora de Metales SpA    CHILE    Conformant
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Conformant
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    Conformant
Gold    PX Précinox S.A.    SWITZERLAND    Conformant
Gold    QG Refining, LLC    UNITED STATES OF AMERICA    On Look-Up Tab Only
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Conformant
Gold    Refinery of Seemine Gold Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Remondis Argentia B.V.    NETHERLANDS    Conformant
Gold    Republic Metals Corporation    UNITED STATES    Conformant
Gold    Royal Canadian Mint    CANADA    Conformant
Gold    SAAMP    FRANCE    Conformant
Gold    Sabin Metal Corp.    UNITED STATES    On Look-Up Tab Only
Gold    Safimet S.p.A    Italy    Conformant
Gold    SAFINA A.S.    CZECH REPUBLIC    On Look-Up Tab Only
Gold    Sai Refinery    INDIA    On Look-Up Tab Only
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    On Look-Up Tab Only
Gold    SAMWON Metals Corp.    KOREA, REPUBLIC OF    On Look-Up Tab Only
Gold    SAXONIA Edelmetalle GmbH    GERMANY    Conformant
Gold    SEMPSA Joyería Platería S.A.    SPAIN    Conformant
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Conformant
Gold    Shangdong Humon Smelting Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Conformant
Gold    Singway Technology Co., Ltd.    TAIWAN    Conformant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Conformant
Gold    Solar Applied Materials Technology Corp.    TAIWAN    Conformant
Gold    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    On Look-Up Tab Only
Gold    Sudan Gold Refinery    SUDAN    On Look-Up Tab Only
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    Conformant
Gold    SungEel HiTech    KOREA, REPUBLIC OF    Conformant
Gold    T.C.A S.p.A    ITALY    Conformant
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Conformant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    Conformant
Gold    Tokuriki Honten Co., Ltd.    JAPAN    Conformant
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Tony Goetz NV    BELGIUM    On Look-Up Tab Only
Gold    TOO Tau-Ken-Altyn    KAZAKHSTAN    On Look-Up Tab Only

 

A-4


Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

RMI Audit Status

Gold    Torecom    KOREA, REPUBLIC OF    Conformant
Gold    Umicore Brasil Ltda.    BRAZIL    Conformant
Gold    Umicore Precious Metals Thailand    THAILAND    Conformant
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    Conformant
Gold    United Precious Metal Refining, Inc.    UNITED STATES    Conformant
Gold    Universal Precious Metals Refining Zambia    ZAMBIA    On Look-Up Tab Only
Gold    Valcambi S.A.    SWITZERLAND    Conformant
Gold    Western Australian Mint trading as The Perth Mint    AUSTRALIA    Conformant
Gold    WIELAND Edelmetalle GmbH    GERMANY    Conformant
Gold    Yamamoto Precious Metal Co., Ltd.    JAPAN    Conformant
Gold    Yokohama Metal Co., Ltd.    JAPAN    Conformant
Gold    Yunnan Copper Industry Co., Ltd.    CHINA    On Look-Up Tab Only
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Conformant
Tantalum    Asaka Riken Co., Ltd.    JAPAN    Conformant
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Conformant
Tantalum    D Block Metals, LLC    UNITED STATES    Conformant
Tantalum    Exotech Inc.    UNITED STATES    Conformant
Tantalum    F&X Electro-Materials Ltd.    CHINA    Conformant
Tantalum    FIR Metals & Resource Ltd.    CHINA    Conformant
Tantalum    Global Advanced Metals Aizu    JAPAN    Conformant
Tantalum    Global Advanced Metals Boyertown    UNITED STATES    Conformant
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA    Conformant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Conformant
Tantalum    H.C. Starck Co., Ltd.    THAILAND    Conformant
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    Conformant
Tantalum    H.C. Starck Inc.    UNITED STATES    Conformant
Tantalum    H.C. Starck Ltd.    JAPAN    Conformant
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Conformant
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY    Conformant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Conformant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Conformant
Tantalum    Jiangxi Tuohong New Raw Material    CHINA    Conformant
Tantalum    Jiujiang Janny New Material Co., Ltd.    CHINA    Conformant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Conformant
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    Conformant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Conformant
Tantalum    KEMET Blue Metals    MEXICO    Conformant
Tantalum    KEMET Blue Powder    UNITED STATES    Conformant
Tantalum    LSM Brasil S.A.    BRAZIL    Conformant
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    Conformant
Tantalum    Mineracao Taboca S.A.    BRAZIL    Conformant
Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Conformant
Tantalum    NPM Silmet AS    ESTONIA    Conformant

 

A-5


Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

RMI Audit Status

Tantalum    Power Resources Ltd.    MACEDONIA    Conformant
Tantalum    QuantumClean    UNITED STATES    Conformant
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
Tantalum    RFH Tantalum Smeltry Co., Ltd.    CHINA    Conformant
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Conformant
Tantalum    Taki Chemicals    JAPAN    Conformant
Tantalum    Telex Metals    UNITED STATES    Conformant
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Conformant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Conformant
Tin    Alpha    UNITED STATES    Conformant
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM    On Look-Up Tab Only
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    Conformant
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    Conformant
Tin    China Tin Group Co., Ltd.    CHINA    Conformant
Tin    CV Ayi Jaya    INDONESIA    Conformant
Tin    CV Dua Sekawan    INDONESIA    Conformant
Tin    CV Gita Pesona    INDONESIA    Conformant
Tin    CV Tiga Sekawan    INDONESIA    Conformant
Tin    CV United Smelting    INDONESIA    Conformant
Tin    CV Venus Inti Perkasa    INDONESIA    Conformant
Tin    Dowa    JAPAN    Conformant
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    On Look-Up Tab Only
Tin    EM Vinto    BOLIVIA    Conformant
Tin    Estanho de Rondônia S.A.    BRAZIL    On Look-Up Tab Only
Tin    Fenix Metals    POLAND    Conformant
Tin    Gejiu Fengming Metallurgy Chemical Plant    CHINA    Conformant
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    Conformant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Conformant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    Conformant
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    Conformant
Tin    Guangdong Hanhe Non-ferrous Metal Limited Company    CHINA    Conformant
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    Conformant
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    On Look-Up Tab Only
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA    Conformant
Tin    Jiangxi New Nanshan Technology Ltd.    CHINA    Conformant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Conformant
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    Conformant
Tin    Melt Metais e Ligas S.A.    BRAZIL    Conformant
Tin    Metallic Resources, Inc.    UNITED STATES    Conformant
Tin    Metallo Belgium N.V.    BELGIUM    Conformant
Tin    Metallo Spain S.L.U.    SPAIN    Conformant
Tin    Mineracao Taboca S.A.    BRAZIL    Conformant
Tin    Minsur    PERU    Conformant
Tin    Mitsubishi Materials Corporation    JAPAN    Conformant

 

A-6


Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

RMI Audit Status

Tin    Modeltech Sdn Bhd    MALAYSIA    Conformant
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    On Look-Up Tab Only
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Conformant
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Conformant
Tin    Operaciones Metalurgical S.A.    BOLIVIA    Conformant
Tin    Pongpipat Company Limited    MYANMAR    On Look-Up Tab Only
Tin    PT Aries Kencana Sejahtera    INDONESIA    Conformant
Tin    PT Artha Cipta Langgeng    INDONESIA    Conformant
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    Conformant
Tin    PT Babel Inti Perkasa    INDONESIA    Conformant
Tin    PT Babel Surya Alam Lestari    INDONESIA    Conformant
Tin    PT Bangka Prima Tin    INDONESIA    Conformant
Tin    PT Bangka Serumpun    INDONESIA    Conformant
Tin    PT Bangka Tin Industry    INDONESIA    Conformant
Tin    PT Belitung Industri Sejahtera    INDONESIA    Conformant
Tin    PT Bukit Timah    INDONESIA    Conformant
Tin    PT DS Jaya Abadi    INDONESIA    Conformant
Tin    PT Inti Stania Prima    INDONESIA    Conformant
Tin    PT Karimun Mining    INDONESIA    Conformant
Tin    PT Kijang Jaya Mandiri    INDONESIA    Conformant
Tin    PT Menara Cipta Mulia    INDONESIA    Conformant
Tin    PT Mitra Stania Prima    INDONESIA    Conformant
Tin    PT Panca Mega Persada    INDONESIA    Conformant
Tin    PT Premium Tin Indonesia    INDONESIA    Conformant
Tin    PT Prima Timah Utama    INDONESIA    Conformant
Tin    PT Refined Bangka Tin    INDONESIA    Conformant
Tin    PT Sariwiguna Binasentosa    INDONESIA    Conformant
Tin    PT Stanindo Inti Perkasa    INDONESIA    Conformant
Tin    PT Sukses Inti Makmur    INDONESIA    Conformant
Tin    PT Sumber Jaya Indah    INDONESIA    Conformant
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA    Conformant
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA    Conformant
Tin    PT Tinindo Inter Nusa    INDONESIA    Conformant
Tin    PT Tirus Putra Mandiri    INDONESIA    Conformant
Tin    PT Tommy Utama    INDONESIA    Conformant
Tin    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
Tin    Rui Da Hung    TAIWAN    Conformant
Tin    Soft Metais Ltda.    BRAZIL    Conformant
Tin    Super Ligas    BRAZIL    On Look-Up Tab Only
Tin    Thaisarco    THAILAND    Conformant
Tin    Tin Technology & Refining    UNITED STATES OF AMERICA    Conformant
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    On Look-Up Tab Only
Tin    White Solder Metalurgia e Mineração Ltda.    BRAZIL    Conformant

 

A-7


Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

RMI Audit Status

Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    Conformant
Tin    Yunnan Tin Company Limited    CHINA    Conformant
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN    Conformant
Tungsten    ACL Metais Eireli    BRAZIL    Conformant
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM    Conformant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Conformant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Conformant
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CHINA    On Look-Up Tab Only
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES    Conformant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    H.C. Starck Smelting GmbH & Co.KG    GERMANY    Conformant
Tungsten    H.C. Starck Tungsten GmbH    GERMANY    Conformant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    Conformant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    Conformant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Conformant
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    CHINA    Active
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    Conformant
Tungsten    Japan New Metals Co., Ltd.    JAPAN    Conformant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA    On Look-Up Tab Only
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    On Look-Up Tab Only
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Kennametal Fallon    UNITED STATES    Conformant
Tungsten    Kennametal Huntsville    UNITED STATES    Conformant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Moliren Ltd    RUSSIAN FEDERATION    Conformant
Tungsten    Niagara Refining LLC    UNITED STATES    Conformant
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM    Conformant
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    Conformant
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA    Conformant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    Conformant
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    Conformant
Tungsten    Wolfram Bergbau und Hütten AG    AUSTRIA    Conformant
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Conformant
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    Conformant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Conformant

 

A-8


We note the following in connection with the information contained in the foregoing tables:

 

  (a)

The smelters and refiners reflected in the tables were identified by the Suppliers to us as potentially being part of our 2018 supply chain. However, not all of the included smelters and refiners are believed by us to have processed the necessary 3TG contained in our in-scope products, since most Suppliers reported to us at a “company level” the 3TG contained in all of their products, not just those in the products that they sold to us. Some Suppliers also may have reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. The smelters and refiners reflected above may not be all of the smelters and refiners in our supply chain, since many Suppliers were unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in our in-scope products and not all of the Suppliers responded to our inquiries.

 

  (b)

All compliance status information in the tables is as of May 20, 2019. Compliance status is based on information published by the RMI, without independent verification by us.

 

  (c)

“Conformant” means that a smelter or refiner was listed as conformant with the Responsible Minerals Assurance Process (“RMAP”) assessment protocols, including those indicated as “Re-audit in progress.” Included smelters and refiners were not necessarily Conformant for all or part of 2018 and may not continue to be Conformant for any future period.

 

  (d)

“Active” means that the smelter or refiner was listed as a participant in the RMAP and has committed to undergo an RMAP assessment.

 

  (e)

A smelter or refiner is listed as “On Look-up Tab Only” if it was not Conformant or Active.

 

  (f)

The tables include only entities that are listed as verified smelters on the Smelter Look-up tab list of the CMRT.

 

  (g)

Smelter and refiner country location is based on information published by the RMI, without independent verification by us.

Country of Origin Information

The identified countries of origin of the 3TG processed by the smelters and refiners listed in the table above may have included the countries below, based on publicly available information, our RCOI and due diligence and other information gathered by the Service Provider. These may not be all of the countries of origin from which the smelters and refiners listed above may have sourced 3TG.

Argentina, Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, Democratic Republic of the Congo, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russian Federation, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Viet Nam and Zimbabwe.

Alternatively, or in addition, some of the smelters and refiners may have sourced from recycled or scrap sources.

 

A-9