irix-sd.htm

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM SD

 

Specialized Disclosure Report

 

IRIDEX CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

 

 

 

 

 

 

 

 

 

Delaware

 

0-27598

 

77-0210467

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

1212 Terra Bella Avenue

Mountain View, California 94043

(Address of principal executive offices, including zip code)

(650) 940-4700

(Registrant’s telephone number, including area code)

 

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:

 

 

 

 

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

 

 

 

 

 

 

Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

This Form SD of Iridex Corporation (“Iridex”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period January 1, 2018 to December 31, 2018.  

 

A copy of Iridex’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, and is publicly available on the Corporate Governance page of the Company’s Web site at www.iridex.comm.

Item 1.02 Exhibit

 

As specified in Item 1.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this report.


Section 2 - Exhibits

Item 2.01 Exhibits

The following exhibit is filed as part of this Report.

 

Exhibit

No.

 

Description

 

 

1.01

 

Conflict Minerals Report for the year ended December 31, 2018.

 

  


 

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.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

IRIDEX CORPORATION

 

 

 

 

 

 

 

 

 

 

 

By:

 

/s/ David I. Bruce

 

 

 

Date: May 31, 2019

 

 

David I. Bruce

 

 

 

 

 

 

President and Chief Executive Officer

 

 

 

 

 

 

 

  

 

 

 

 

 

 

 

irix-ex101_7.htm

 

 

Exhibit 1.01

 

Conflict Minerals Report

For the Year Ended December 31, 2018

Introduction

This is the Conflict Minerals Report of Iridex Corporation (the “Company”, “Iridex”, “we” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2018 to December 31, 2018. Rule 13p-1 was adopted by the SEC to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. For the purposes of this Report, “conflict minerals” means cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold.

Supply Chain and Product Overview

We are a leading worldwide provider of therapeutic-based laser systems, delivery devices and consumable instrumentation used to treat sight-threatening eye diseases in ophthalmology.

We rely on third parties to manufacture substantially all of the components used in our products. We assemble critical subassemblies and substantially all of our final products at our facility in Mountain View, California. Materials, components and subassemblies provided by our suppliers and external manufacturers and included in our products are sourced from a global supply base, over which we exercise little, if any, control. We do not directly engage in any mining operations, nor do we purchase raw ore or unrefined conflict minerals. Given its position in the supply chain, we rely on the responses of its suppliers, who in turn rely on the responses of their respective suppliers to identify the mines, smelters and refiners that source the Conflict Minerals. We purchase no components that are integrated directly into or used in the manufacture of our products from any covered country. “Covered countries” means the Democratic Republic of Congo and its adjoining countries, including the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.

Our senior management consulted with our procurement department to determine, based on, among other things, product lists and documentation provided by suppliers, which of our products would reasonably be expected to contain conflict minerals that are necessary to the functionality or production of those products. Based upon the results of this internal inquiry, we determined that the fabricated anodized or coated metal components, electronic circuit boards, electronic cables, probes or optical lenses in our Glaucoma, Medical Retina and Surgical Retina products (collectively, the “Covered Products”) may contain conflict minerals and that those components are necessary to the functionality or production of those products.

Due Diligence Program

Our due diligence processes and efforts have been developed in conjunction with the second edition of the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains for Minerals from Conflict-Affected and High-Risk Areas and the related Supplements on gold, tin, tantalum and tungsten (the “Framework”). We designed our due diligence process to conform in all material respects with these OECD guidelines.

1. Establishment of Strong Company Management Systems

Our due diligence process was conducted by a cross-functional team comprised of senior executives and supply-chain personnel. The cross-functional team was required to be familiar with our policy with respect to the sourcing of conflict minerals which can be found on the Corporate Governance page of our Web site at www.iridex.com. (The content of any website referred to in this report is included for general information only and is not incorporated by reference in this Report.)

2. Identification and Assessment of Risks in the Supply Chain

We performed in good faith a reasonable country of origin inquiry (“RCOI”) on conflict minerals that were in our supply chain after January 1, 2018, which inquiry was reasonably designed to determine whether suppliers of components of our Covered Products containing conflict minerals sourced them from any covered country or from recycled or scrap sources.

1

 


In order to make the RCOI determination, we solicited information from our suppliers regarding the source of the conflict minerals supplied to us during the year ended December 31, 2018, using the template developed jointly by the companies of Electronic Industry Citizenship Coalition (“EICC”) and the Global e-Sustainability Initiative (“GeSI”), known as the CFSI Reporting Template (the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and the smelters the company and its suppliers use. In addition, the template contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Alternatively, we requested that suppliers provide a Smelter/Refiner Certification certifying that (1) conflict minerals produced by the supplier for us were obtained from a conflict-free area, (2) the supplier has processes in place to trace materials and products to ensure that conflict minerals contained in products were not mined in conditions of armed conflict and human rights abuses and (3) the supplier maintains a Conflict Minerals Statement/Policy, and a copy of such policy.

We determined that 31 of our suppliers were within the scope of our external RCOI and due diligence inquiry because the parts or components that they supply to us potentially contain conflict minerals. We sent the Template to each of these suppliers, and received responses from all 31 suppliers contacted. With the exception of 3 of our suppliers, our suppliers’ responses to the Template indicated that no conflict minerals that were necessary to the functionality or production of our Covered Products had originated in a covered country. Three suppliers indicated to us that they had insufficient information to determine the source of the conflict minerals that it supplied to us. With respect to the suppliers who represent to us that they had insufficient information to determine the source of the conflict minerals that they supply to us, we sought to identify the smelters from which conflict minerals were obtained by such supplier and to compare those smelters against the list of smelter facilities which have been identified as “conflict free” by the EICC-GeSI Conflict Free Sourcing (“CFS”) program. The CFS program is a voluntary program whereby an independent third party evaluates smelter procurement activities to determine whether a smelter has sufficiently demonstrated that all materials processed by that smelter originated from sources that do not directly or indirectly finance or benefit armed groups in a covered country. The results of this inquiry are presented below in the Section titled – “Smelters and Refiners”.

 

3. Designing and implementing a strategy to respond to identified risks

We have taken or intend to take the following steps to improve the due diligence process and to gather additional information which will assist us to determine whether the conflict minerals we utilize benefit armed groups contributing to human rights violations:

 

conduct and report annually on supply chain due diligence for the applicable conflict minerals;

 

examine the possibility of establishing new terms and conditions in supplier contracts that stipulate responses to conflict mineral related inquires; and

 

attempt to validate supplier responses using information collected via independent conflict free smelter validation programs such as the CFS program.

4. Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

We do not have a direct business relationship with any smelters or refiners in our supply chain and, as a result, we do not directly conduct or request audits. Instead, we supported the development and implementation of independent third party audits of smelters such as the CFSI by encouraging our suppliers to purchase materials from audited, conflict-free smelters and determine whether the smelters that were used to process these minerals were validated as conflict-free as part of the CFSI. We monitor smelters or refiners certification status with CFSI.

5. Reporting on Supply Chain Due Diligence

In 2019, we publicly filed the Form SD along with this Report with the SEC, and a copy of this Report and the Form SD are publicly available on the Corporate Governance page of our Web site at www.iridex.com. 

Smelters and Refiners

Based on the responses in the Templates we determined that we had a total of 345 facilities and smelters that were used by our suppliers to fulfill our demands for conflict minerals. Of these 345 facilities and smelters, we have identified 242 facilities or smelters that are deemed CFSP Compliant, indicating that these smelters or refiners are compliant with the Conflict Free Smelter Program assessment protocols. There are 14 more smelters or refiners that are deemed CFSP Active - Smelters and Refiners on the Active list

2

 


that have committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs: LBMA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification. The remaining 89 facilities or smelters listed have not yet been confirmed as Conflict-Free. We base this assessment exclusively on the fact that we could not find these smelters on the CFSI lists for compliant or active smelters. We have assessed these 89 facilities and determined that most of these are of low risk due to their geographic location. There are four smelters or refiners that may be considered at greater risk, since they are geographically located in Africa.

Some of our suppliers provided information at a part number level and we were able to specifically identify the smelters from which their necessary conflict minerals were procured. The remainder of our suppliers provided their complete list of smelters, but we were unable to identify the specific smelters from which the conflict minerals used for our products were procured. As many of the reports we received are company-wide and not product specific, we believe these reports may include smelters and refiners that do not provide the necessary conflict minerals that are used in our products. Due to the many company-wide reports and the multiple levels of suppliers in our supply chain we are unable to determine with certainty at this time a complete list of smelters and refiners listed in the reports that actually provide the specific necessary conflict minerals used in our products.

However, based upon our suppliers’ responses to the Template, we believe that most of the facilities that were used to process the conflict minerals contained in our Covered Products include the smelters and refiners listed in the table below. The table below includes only facilities that are listed in the EICC-GeSI template as “known smelters or refineries.” An indication of “Compliant” in the far-right column of the table indicates that the smelter or refinery has received a “conflict free” designation from an independent third party audit program as of May 15, 2018. An indication of “Active” in the far-right column of the table indicated that the smelter or refinery has committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs: LBMA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification. An indication of “Indeterminable” in the far-right column of the table indicates that the smelter or refinery was not included in the CFSI compliant or active lists and thus, the facility’s designation is indeterminable.

 

Metal

Smelter Name

Smelter Country

Smelter
Identification

Compliant,
Active or
Indeterminable

 

 

 

 

 

Gold

Advanced Chemical Company

UNITED STATES OF AMERICA

CID000015

Compliant

Gold

Aida Chemical Industries Co. Ltd.

JAPAN

CID000019

Compliant

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

CID000035

Compliant

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

CID000041

Compliant

Gold

AngloGold Ashanti Córrego do Sítio Minerçăo

BRAZIL

CID000058

Compliant

Gold

Argor-Heraeus SA

SWITZERLAND

CID000077

Compliant

Gold

Asahi Pretec Corporation

JAPAN

CID000082

Compliant

Gold

Asaka Riken Co Ltd

JAPAN

CID000090

Compliant

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

CID000103

Indeterminable

Gold

Aurubis AG

GERMANY

CID000113

Compliant

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

CID000128

Compliant

Gold

Boliden AB

SWEDEN

CID000157

Compliant

Gold

C. Hafner GmbH + Co. KG

GERMANY

CID000176

Compliant

Gold

Caridad

MEXICO

CID000180

Indeterminable

Gold

CCR Refinery – Glencore Canada Corporation

CANADA

CID000185

Compliant

Gold

Cendres + Métaux SA

SWITZERLAND

CID000189

Active

Gold

Yunnan Copper Industry Co Ltd

CHINA

CID000197

Indeterminable

Gold

Chimet S.p.A.

ITALY

CID000233

Compliant

Gold

China National Gold Group Corporation

CHINA

CID000242

Indeterminable

Gold

Chugai Mining

JAPAN

CID000264

Indeterminable

Gold

Colt Refining

UNITED STATES

CID000288

Indeterminable

Gold

Daejin Indus Co. Ltd

KOREA, REPUBLIC OF

CID000328

Compliant

Gold

DaeryongENC

KOREA, REPUBLIC OF

CID000333

Indeterminable

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

CID000343

Indeterminable

Gold

Do Sung Corporation

KOREA, REPUBLIC OF

CID000359

Compliant

Gold

Doduco

GERMANY

CID000362

Compliant

Gold

Dowa

JAPAN

CID000401

Compliant

Gold

Eco-System Recycling Co., Ltd.

JAPAN

CID000425

Compliant

3

 


Metal

Smelter Name

Smelter Country

Smelter
Identification

Compliant,
Active or
Indeterminable

 

 

 

 

 

Gold

FSE Novosibirsk Refinery

RUSSIAN FEDERATION

CID000493

Compliant

Gold

Gansu Seemine Material Hi-Tech Co Ltd

CHINA

CID000522

Indeterminable

Gold

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

CHINA

CID000651

Indeterminable

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

CID000671

Indeterminable

Gold

Heimerle + Meule GmbH

GERMANY

CID000694

Compliant

Gold

Heraeus Ltd. Hong Kong

CHINA

CID000707

Compliant

Gold

Heraeus Precious Metals GmbH & Co. KG

GERMANY

CID000711

Compliant

Gold

Hunan Chenzhou Mining Group Co., Ltd.

CHINA

CID000767

Indeterminable

Gold

Hwasung CJ Co. Ltd

KOREA, REPUBLIC OF

CID000778

Indeterminable

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

CHINA

CID000801

Compliant

Gold

Ishifuku Metal Industry Co., Ltd.

JAPAN

CID000807

Compliant

Gold

Istanbul Gold Refinery

TURKEY

CID000814

Compliant

Gold

Japan Mint

JAPAN

CID000823

Compliant

Gold

Jiangxi Copper Company Limited

CHINA

CID000855

Compliant

Gold

Johnson Matthey Inc

UNITED STATES

CID000920

Compliant

Gold

Johnson Matthey Ltd

CANADA

CID000924

Compliant

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

CID000927

Compliant

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

CID000929

Compliant

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

CID000937

Compliant

Gold

Kazakhmys Smelting LLC

KAZAKHSTAN

CID000956

Indeterminable

Gold

Kazzinc Ltd

KAZAKHSTAN

CID000957

Compliant

Gold

Kennecott Utah Copper LLC

UNITED STATES

CID000969

Compliant

Gold

Kojima Chemicals Co., Ltd

JAPAN

CID000981

Compliant

Gold

Korea Metal Co., Ltd.

KOREA, REPUBLIC OF

CID000988

Indeterminable

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

CID001029

Compliant

Gold

L' azurde Company For Jewelry

SAUDI ARABIA

CID001032

Indeterminable

Gold

Lingbao Gold Co., Ltd.

CHINA

CID001056

Indeterminable

Gold

Lingbao Jinyuan Tonghui Refinery Co. Ltd.

CHINA

CID001058

Indeterminable

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

CID001078

Compliant

Gold

Luoyang Zijin Yinhui Metal Smelt Co Ltd

CHINA

CID001093

Indeterminable

Gold

Materion

UNITED STATES

CID001113

Compliant

Gold

Matsuda Sangyo Co., Ltd.

JAPAN

CID001119

Compliant

Gold

Metalor Technologies (Suzhou) Ltd.

CHINA

CID001147

Compliant

Gold

Metalor Technologies (Hong Kong) Ltd.

CHINA

CID001149

Compliant

Gold

Metalor Technologies (Singapore) Pte. Ltd.

SINGAPORE

CID001152

Compliant

Gold

Metalor Technologies SA

SWITZERLAND

CID001153

Compliant

Gold

Metalor USA Refining Corporation

UNITED STATES

CID001157

Compliant

Gold

Met-Mex Peñoles, S.A.

MEXICO

CID001161

Compliant

Gold

Mitsubishi Materials Corporation

JAPAN

CID001188

Compliant

Gold

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001193

Compliant

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

CID001204

Compliant

Gold

Nadir Metal Rafineri San. Ve Tic. A.Ş.

TURKEY

CID001220

Compliant

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

CID001236

Active

Gold

Nihon Material Co. LTD

JAPAN

CID001259

Compliant

Gold

Ohio Precious Metals, LLC

UNITED STATES

CID001322

Indeterminable

Gold

Ohura Precious Metal Industry Co., Ltd

JAPAN

CID001325

Compliant

Gold

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)

RUSSIAN FEDERATION

CID001326

Compliant

Gold

PAMP SA

SWITZERLAND

CID001352

Compliant

Gold

Penglai Penggang Gold Industry Co Ltd

CHINA

CID001362

Indeterminable

Gold

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

CID001386

Compliant

Gold

PT Aneka Tambang (Persero) Tbk

INDONESIA

CID001397

Compliant

4

 


Metal

Smelter Name

Smelter Country

Smelter
Identification

Compliant,
Active or
Indeterminable

 

 

 

 

 

Gold

PX Précinox SA

SWITZERLAND

CID001498

Compliant

Gold

Rand Refinery (Pty) Ltd

SOUTH AFRICA

CID001512

Compliant

Gold

Royal Canadian Mint

CANADA

CID001534

Compliant

Gold

Sabin Metal Corp.

UNITED STATES

CID001546

Indeterminable

Gold

Samduck Precious Metals

KOREA, REPUBLIC OF

CID001555

Compliant

Gold

SAMWON METALS Corp.

KOREA, REPUBLIC OF

CID001562

Indeterminable

Gold

Schone Edelmetaal

NETHERLANDS

CID001573

Compliant

Gold

SEMPSA Joyería Platería SA

SPAIN

CID001585

Compliant

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CHINA

CID001619

Indeterminable

Gold

Shandong Zhaojin Gold & Silver Refinery Co. Ltd

CHINA

CID001622

Compliant

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

CID001736

Compliant

Gold

So Accurate Group, Inc.

UNITED STATES OF AMERICA

CID001754

Indeterminable

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

CID001756

Compliant

Gold

Solar Applied Materials Technology Corp.

TAIWAN

CID001761

Compliant

Gold

Sumitomo Metal Mining Co., Ltd.

JAPAN

CID001798

Compliant

Gold

Tanaka Kikinzoku Kogyo K.K.

JAPAN

CID001875

Compliant

Gold

The Great Wall Gold and Silver Refinery of China

CHINA

CID001909

Indeterminable

Gold

The Refinery of Shandong Gold Mining Co. Ltd

CHINA

CID001916

Compliant

Gold

Tokuriki Honten Co., Ltd

JAPAN

CID001938

Compliant

Gold

Tongling nonferrous Metals Group Co.,Ltd

CHINA

CID001947

Indeterminable

Gold

Torecom

KOREA, REPUBLIC OF

CID001955

Compliant

Gold

Umicore Brasil Ltda

BRAZIL

CID001977

Compliant

Gold

Umicore SA Business Unit Precious Metals Refining

BELGIUM

CID001980

Compliant

Gold

United Precious Metal Refining, Inc.

UNITED STATES

CID001993

Compliant

Gold

Valcambi SA

SWITZERLAND

CID002003

Compliant

Gold

Western Australian Mint trading as The Perth Mint

AUSTRALIA

CID002030

Compliant

Gold

YAMAMOTO PRECIOUS METAL CO., LTD.

JAPAN

CID002100

Compliant

Gold

Yokohama Metal Co Ltd

JAPAN

CID002129

Compliant

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

CID002224

Compliant

Gold

Zijin Mining Group Co. Ltd

CHINA

CID002243

Compliant

Gold

Morris and Watson

NEW ZEALAND

CID002282

Indeterminable

Gold

SAFINA A.S.

CZECH REPUBLIC

CID002290

Indeterminable

Gold

Guangdong Jinding Gold Limited

CHINA

CID002312

Indeterminable

Gold

Umicore Precious Metals Thailand

THAILAND

CID002314

Compliant

Gold

Materion

UNITED STATES

CID001113

Compliant

Gold

Geib Refining Corporation

UNITED STATES OF AMERICA

CID002459

Compliant

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

CID002509

Compliant

Gold

Republic Metals Corporation

UNITED STATES OF AMERICA

CID002510

Compliant

Gold

KGHM Polska Miedź Spółka Akcyjna

POLAND

CID002511

Active

Gold

Fidelity Printers and Refiners Ltd.

ZIMBABWE

CID002515

Indeterminable

Gold

Singway Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

CID002516

Compliant

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB EMIRATES

CID002560

Compliant

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

CID002561

Compliant

Gold

Kaloti Precious Metals

UNITED ARAB EMIRATES

CID002563

Indeterminable

Gold

Sudan Gold Refinery

SUDAN

CID002567

Indeterminable

Gold

T.C.A S.p.A

ITALY

CID002580

Compliant

Gold

Remondis Argentia B.V.

NETHERLANDS

CID002582

Indeterminable

Gold

Tony Goetz NV

BELGIUM

CID002587

Active

Gold

Korea Zinc Co., Ltd.

KOREA (REPUBLIC OF)

CID002605

Compliant

Gold

TOO Tau-Ken-Altyn

KAZAKHSTAN

CID002615

Indeterminable

5

 


Metal

Smelter Name

Smelter Country

Smelter
Identification

Compliant,
Active or
Indeterminable

 

 

 

 

 

Gold

SAAMP

FRANCE

CID002761

Indeterminable

Gold

SAXONIA Edelmetalle GmbH

GERMANY

CID002777

Compliant

Gold

WIELAND Edelmetalle GmbH

GERMANY

CID002778

Compliant

Gold

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

AUSTRIA

CID002779

Compliant

Gold

AU Traders and Refiners

SOUTH AFRICA

CID002850

Compliant

Gold

AURA-II

UNITED STATES OF AMERICA

CID002851

Indeterminable

Gold

Gujarat Gold Centre

INDIA

CID002852

Indeterminable

Gold

Sai Refinery

INDIA

CID002853

Indeterminable

Gold

Universal Precious Metals Refining Zambia

ZAMBIA

CID002854

Indeterminable

Gold

Modeltech Sdn Bhd

MALAYSIA

CID002857

Active

Gold

Bangalore Refinery

INDIA

CID002863

Active

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

CID000211

Compliant

Tantalum

Conghua Tantalum and Niobium Smeltry

CHINA

CID000291

Compliant

Tantalum

Duoluoshan

CHINA

CID000410

Compliant

Tantalum

Exotech Inc.

UNITED STATES OF AMERICA

CID000456

Compliant

Tantalum

F&X Electro-Materials Ltd.

CHINA

CID000460

Compliant

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

CID000616

Compliant

Tantalum

Hi-Temp Specialty Metals, Inc.

UNITED STATES OF AMERICA

CID000731

Compliant

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

CID000914

Compliant

Tantalum

Jiujiang Tanbre Co., Ltd.

CHINA

CID000917

Compliant

Tantalum

King-Tan Tantalum Industry Ltd.

CHINA

CID000973

Compliant

Tantalum

LSM Brasil S.A.

BRAZIL

CID001076

Compliant

Tantalum

Metallurgical Products India Pvt., Ltd.

INDIA

CID001163

Compliant

Tantalum

Mineraçăo Taboca S.A.

BRAZIL

CID001175

Compliant

Tantalum

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001192

Compliant

Tantalum

Molycorp Silmet A.S.

ESTONIA

CID001200

Compliant

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

CID001277

Compliant

Tantalum

QuantumClean

UNITED STATES OF AMERICA

CID001508

Compliant

Tantalum

RFH Tantalum Smeltry Co., Ltd.

CHINA

CID001522

Compliant

Tantalum

Solikamsk Magnesium Works OAO

RUSSIAN FEDERATION

CID001769

Compliant

Tantalum

Taki Chemical Co., Ltd.

JAPAN

CID001869

Compliant

Tantalum

Tantalite Resources

SOUTH AFRICA

CID001879

Indeterminable

Tantalum

Telex Metals

UNITED STATES OF AMERICA

CID001891

Compliant

Tantalum

Ulba Metallurgical Plant JSC

KAZAKHSTAN

CID001969

Compliant

Tantalum

Zhuzhou Cemented Carbide Group Co., Ltd.

CHINA

CID002232

Compliant

Tantalum

Yichun Jin Yang Rare Metal Co., Ltd.

CHINA

CID002307

Compliant

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CHINA

CID002492

Compliant

Tantalum

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

CHINA

CID002501

Indeterminable

Tantalum

D Block Metals, LLC

UNITED STATES OF AMERICA

CID002504

Compliant

Tantalum

FIR Metals & Resource Ltd.

CHINA

CID002505

Compliant

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CHINA

CID002506

Compliant

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

CHINA

CID002508

Compliant

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CHINA

CID002512

Compliant

Tantalum

KEMET Blue Metals

MEXICO

CID002539

Compliant

Tantalum

Plansee SE Liezen

AUSTRIA

CID002540

Indeterminable

Tantalum

H.C. Starck Co., Ltd.

THAILAND

CID002544

Compliant

Tantalum

H.C. Starck GmbH Goslar

GERMANY

CID002545

Compliant

Tantalum

H.C. Starck GmbH Laufenburg

GERMANY

CID002546

Indeterminable

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

CID002547

Compliant

Tantalum

H.C. Starck Inc.

UNITED STATES OF AMERICA

CID002548

Compliant

Tantalum

H.C. Starck Ltd.

JAPAN

CID002549

Compliant

Tantalum

H.C. Starck Smelting GmbH & Co. KG

GERMANY

CID002550

Compliant

6

 


Metal

Smelter Name

Smelter Country

Smelter
Identification

Compliant,
Active or
Indeterminable

 

 

 

 

 

Tantalum

Plansee SE Reutte

AUSTRIA

CID002556

Indeterminable

Tantalum

Global Advanced Metals Boyertown

UNITED STATES OF AMERICA

CID002557

Compliant

Tantalum

Global Advanced Metals Aizu

JAPAN

CID002558

Compliant

Tantalum

KEMET Blue Powder

UNITED STATES OF AMERICA

CID002568

Compliant

Tantalum

Tranzact, Inc.

UNITED STATES OF AMERICA

CID002571

Compliant

Tantalum

Resind Indústria e Comércio Ltda.

BRAZIL

CID002707

Compliant

Tantalum

Jiangxi Tuohong New Raw Material

CHINA

CID002842

Compliant

Tantalum

Power Resources Ltd.

MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF)

CID002847

Compliant

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

CID000228

Compliant

Tin

China Rare Metal Materials Company

CHINA

CID000244

Compliant

Tin

CNMC (Guangxi) PGMA Co. Ltd.

CHINA

CID000278

Indeterminable

Tin

Alpha

UNITED STATES

CID000292

Compliant

Tin

Cooper Santa

BRAZIL

CID000295

Compliant

Tin

CV Gita Pesona

INDONESIA

CID000306

Compliant

Tin

PT Justindo

INDONESIA

CID000307

Indeterminable

Tin

CV Makmur Jaya

INDONESIA

CID000308

Indeterminable

Tin

PT Aries Kencana Sejahtera

INDONESIA

CID000309

Compliant

Tin

CV Serumpun Sebalai

INDONESIA

CID000313

Compliant

Tin

CV United Smelting

INDONESIA

CID000315

Compliant

Tin

Dowa

JAPAN

CID000402

Compliant

Tin

EM Vinto

BOLIVIA

CID000438

Compliant

Tin

Estanho de Rondônia S.A.

BRAZIL

CID000448

Indeterminable

Tin

Feinhütte Halsbrücke GmbH

GERMANY

CID000466

Indeterminable

Tin

Fenix Metals

POLAND

CID000468

Compliant

Tin

Gejiu Non-Ferrous Metal Processing Co. Ltd.

CHINA

CID000538

Compliant

Tin

Gejiu Zi-Li

CHINA

CID000555

Indeterminable

Tin

Huichang Jinshunda Tin Co. Ltd

CHINA

CID000760

Active

Tin

Jiangxi Nanshan

CHINA

CID000864

Indeterminable

Tin

Gejiu Kai Meng Industry and Trade LLC

CHINA

CID000942

Active

Tin

Linwu Xianggui Ore Smelting Co., Ltd.

CHINA

CID001063

Indeterminable

Tin

China Tin Group Co., Ltd.

CHINA

CID001070

Compliant

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

CID001105

Compliant

Tin

Metallic Resources, Inc.

UNITED STATES OF AMERICA

CID001142

Compliant

Tin

Metallo Chimique

BELGIUM

CID001143

Indeterminable

Tin

Mineraçăo Taboca S.A.

BRAZIL

CID001173

Compliant

Tin

Minmetals Ganzhou Tin Co. Ltd.

CHINA

CID001179

Indeterminable

Tin

Minsur

PERU

CID001182

Compliant

Tin

Mitsubishi Materials Corporation

JAPAN

CID001191

Compliant

Tin

Nankang Nanshan Tin Manufactory Co., Ltd.

CHINA

CID001231

Active

Tin

O.M. Manufacturing (Thailand) Co., Ltd.

THAILAND

CID001314

Compliant

Tin

OMSA

BOLIVIA

CID001337

Compliant

Tin

PT Alam Lestari Kencana

INDONESIA

CID001393

Indeterminable

Tin

PT Artha Cipta Langgeng

INDONESIA

CID001399

Compliant

Tin

PT Babel Inti Perkasa

INDONESIA

CID001402

Compliant

Tin

PT Babel Surya Alam Lestari

INDONESIA

CID001406

Indeterminable

Tin

PT Bangka Kudai Tin

INDONESIA

CID001409

Indeterminable

Tin

PT Bangka Timah Utama Sejahtera

INDONESIA

CID001416

Indeterminable

Tin

PT Bangka Tin Industry

INDONESIA

CID001419

Compliant

Tin

PT Belitung Industri Sejahtera

INDONESIA

CID001421

Compliant

Tin

PT BilliTin Makmur Lestari

INDONESIA

CID001424

Indeterminable

Tin

PT Bukit Timah

INDONESIA

CID001428

Compliant

Tin

PT DS Jaya Abadi

INDONESIA

CID001434

Compliant

Tin

PT Eunindo Usaha Mandiri

INDONESIA

CID001438

Compliant

7

 


Metal

Smelter Name

Smelter Country

Smelter
Identification

Compliant,
Active or
Indeterminable

 

 

 

 

 

Tin

PT Fang Di MulTindo

INDONESIA

CID001442

Indeterminable

Tin

PT HP Metals Indonesia

INDONESIA

CID001445

Indeterminable

Tin

PT Karimun Mining

INDONESIA

CID001448

Compliant

Tin

PT Koba Tin

INDONESIA

CID001449

Indeterminable

Tin

PT Mitra Stania Prima

INDONESIA

CID001453

Compliant

Tin

PT Panca Mega Persada

INDONESIA

CID001457

Compliant

Tin

PT Prima Timah Utama

INDONESIA

CID001458

Compliant

Tin

PT REFINED BANGKA TIN

INDONESIA

CID001460

Compliant

Tin

PT Sariwiguna Binasentosa

INDONESIA

CID001463

Compliant

Tin

PT Seirama Tin Investment

INDONESIA

CID001466

Indeterminable

Tin

PT Stanindo Inti Perkasa

INDONESIA

CID001468

Compliant

Tin

PT Sumber Jaya Indah

INDONESIA

CID001471

Compliant

Tin

PT Supra Sukses Trinusa

INDONESIA

CID001476

Indeterminable

Tin

PT Tambang Timah

INDONESIA

CID001477

Compliant

Tin

PT Timah (Persero), Tbk

INDONESIA

CID001482

Compliant

Tin

PT Pelat Timah Nusantara Tbk

INDONESIA

CID001486

Indeterminable

Tin

PT Tinindo Inter Nusa

INDONESIA

CID001490

Compliant

Tin

PT Tommy Utama

INDONESIA

CID001493

Compliant

Tin

PT Yinchendo Mining Industry

INDONESIA

CID001494

Indeterminable

Tin

Rui Da Hung

TAIWAN

CID001539

Compliant

Tin

Soft Metais, Ltda.

BRAZIL

CID001758

Compliant

Tin

Thaisarco

THAILAND

CID001898

Compliant

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

CHINA

CID001908

Active

Tin

VQB Mineral and Trading Group JSC

VIET NAM

CID002015

Compliant

Tin

White Solder Metalurgia e Mineraçăo Ltda.

BRAZIL

CID002036

Compliant

Tin

Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.

CHINA

CID002158

Active

Tin

Yunnan Tin Company, Ltd.

CHINA

CID002180

Compliant

Tin

PT HANJAYA PERKASA METALS

INDONESIA

CID002287

Indeterminable

Tin

CV Venus Inti Perkasa

INDONESIA

CID002455

Compliant

Tin

Magnu's Minerais Metais e Ligas Ltda.

BRAZIL

CID002468

Compliant

Tin

PT Singkep Times Utama

INDONESIA

CID002476

Indeterminable

Tin

PT Tirus Putra Mandiri

INDONESIA

CID002478

Indeterminable

Tin

PT Wahana Perkit Jaya

INDONESIA

CID002479

Indeterminable

Tin

Melt Metais e Ligas S.A.

BRAZIL

CID002500

Compliant

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

CID002503

Compliant

Tin

Phoenix Metal Ltd.

RWANDA

CID002507

Indeterminable

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

CID002517

Compliant

Tin

PT Inti Stania Prima

INDONESIA

CID002530

Compliant

Tin

CV Ayi Jaya

INDONESIA

CID002570

Compliant

Tin

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

VIET NAM

CID002572

Active

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIET NAM

CID002573

Indeterminable

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIET NAM

CID002574

Indeterminable

Tin

CV Dua Sekawan

INDONESIA

CID002592

Compliant

Tin

CV Tiga Sekawan

INDONESIA

CID002593

Compliant

Tin

PT Cipta Persada Mulia

INDONESIA

CID002696

Indeterminable

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

CID002703

Indeterminable

Tin

Resind Indústria e Comércio Ltda.

BRAZIL

CID002706

Compliant

Tin

PT O.M. Indonesia

INDONESIA

CID002757

Compliant

Tin

Metallo-Chimique N.V.

BELGIUM

CID002773

Compliant

Tin

Elmet S.L.U.

SPAIN

CID002774

Compliant

Tin

PT Bangka Prima Tin

INDONESIA

CID002776

Compliant

Tin

PT Sukses Inti Makmur

INDONESIA

CID002816

Compliant

8

 


Metal

Smelter Name

Smelter Country

Smelter
Identification

Compliant,
Active or
Indeterminable

 

 

 

 

 

Tin

An Thai Minerals Co., Ltd.

VIET NAM

CID002825

Indeterminable

Tin

PT Kijang Jaya Mandiri

INDONESIA

CID002829

Compliant

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

CID002844

Compliant

Tin

Gejiu Fengming Metallurgy Chemical Plant

CHINA

CID002848

Compliant

Tin

Guanyang Guida Nonferrous Metal Smelting Plant

CHINA

CID002849

Compliant

Tin

Modeltech Sdn Bhd

MALAYSIA

CID002858

Active

Tin

Gejiu Jinye Mineral Company

CHINA

CID002859

Compliant

Tungsten

A.L.M.T. TUNGSTEN Corp.

JAPAN

CID000004

Compliant

Tungsten

Kennametal Huntsville

UNITED STATES OF AMERICA

CID000105

Compliant

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

CID000218

Compliant

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

CID000258

Compliant

Tungsten

Dayu Weiliang Tungsten Co., Ltd.

CHINA

CID000345

Indeterminable

Tungsten

Fujian Jinxin Tungsten Co., Ltd.

CHINA

CID000499

Compliant

Tungsten

Global Tungsten & Powders Corp.

UNITED STATES OF AMERICA

CID000568

Compliant

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CHINA

CID000766

Compliant

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

CID000769

Compliant

Tungsten

Japan New Metals Co., Ltd.

JAPAN

CID000825

Compliant

Tungsten

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

CHINA

CID000868

Indeterminable

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

CID000875

Compliant

Tungsten

Kennametal Fallon

UNITED STATES OF AMERICA

CID000966

Compliant

Tungsten

Tejing (Vietnam) Tungsten Co., Ltd.

VIET NAM

CID001889

Compliant

Tungsten

Vietnam Youngsun Tungsten Industry Co., Ltd.

VIET NAM

CID002011

Compliant

Tungsten

Wolfram Bergbau und Hütten AG

AUSTRIA

CID002044

Compliant

Tungsten

Wolfram Company CJSC

RUSSIAN FEDERATION

CID002047

Indeterminable

Tungsten

Xiamen Tungsten Co., Ltd.

CHINA

CID002082

Compliant

Tungsten

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CHINA

CID002095

Compliant

Tungsten

Zhuzhou Cemented Carbide Group Co Ltd

CHINA

CID002236

Indeterminable

Tungsten

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

CHINA

CID002313

Indeterminable

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

CID002315

Compliant

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

CID002316

Compliant

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CHINA

CID002317

Compliant

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

CHINA

CID002318

Compliant

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

CID002319

Compliant

Tungsten

Xiamen Tungsten (H.C.) Co., Ltd.

CHINA

CID002320

Compliant

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CHINA

CID002321

Compliant

Tungsten

Jiangxi Richsea New Materials Co., Ltd.

CHINA

CID002493

Indeterminable

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

CID002494

Compliant

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIET NAM

CID002502

Compliant

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

CID002513

Compliant

Tungsten

Dayu Jincheng Tungsten Industry Co., Ltd.

CHINA

CID002518

Indeterminable

Tungsten

Ganxian Shirui New Material Co., Ltd.

CHINA

CID002531

Indeterminable

Tungsten

Pobedit, JSC

RUSSIAN FEDERATION

CID002532

Indeterminable

Tungsten

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

CHINA

CID002535

Compliant

Tungsten

Ganzhou Yatai Tungsten Co., Ltd.

CHINA

CID002536

Indeterminable

Tungsten

H.C. Starck GmbH

GERMANY

CID002541

Compliant

Tungsten

H.C. Starck Smelting GmbH & Co.KG

GERMANY

CID002542

Compliant

Tungsten

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

VIET NAM

CID002543

Compliant

Tungsten

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

CHINA

CID002551

Compliant

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

CHINA

CID002578

Indeterminable

9

 


Metal

Smelter Name

Smelter Country

Smelter
Identification

Compliant,
Active or
Indeterminable

 

 

 

 

 

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd.

Wuji

CHINA

CID002579

Compliant

Tungsten

Niagara Refining LLC

UNITED STATES OF AMERICA

CID002589

Compliant

Tungsten

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

CHINA

CID002647

Indeterminable

Tungsten

Hydrometallurg, JSC

RUSSIAN FEDERATION

CID002649

Compliant

Tungsten

South-East Nonferrous Metal Company Limited of Hengyang City

CHINA

CID002815

Compliant

Tungsten

Philippine Chuangxin Industrial Co., Inc.

PHILIPPINES

CID002827

Compliant

Tungsten

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

CHINA

CID002830

Compliant

Tungsten

ACL Metais Eireli

BRAZIL

CID002833

Active

Tungsten

Woltech Korea Co., Ltd.

KOREA (REPUBLIC OF)

CID002843

Compliant

Tungsten

Moliren Ltd

RUSSIAN FEDERATION

CID002845

Compliant

 

Forward-Looking Statements

 

Statements relating to further risk mitigation are forward-looking in nature and are based on our current expectations or beliefs. These forward-looking statements are not a guarantee of performance and are subject to a number of uncertainties and other factors that may be outside of our control and which could cause actual events to differ materially from those expressed or implied by the statements made herein.

10