SD

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

 

SPECIALIZED DISCLOSURE REPORT

 

IRIDEX CORPORATION
(Exact name of registrant as specified in its charter)

 

Delaware

000-27598

77-0210467

(State or other jurisdiction of incorporation)

(Commission file number)

(I.R.S. 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 applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2023.

Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended _____.

 

 

 


 

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, 2023 to December 31, 2023.

A copy of Iridex’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, and is publicly available under the “Governance Documents” heading on the Corporate Governance page of the Company’s website, which can be reached through the following link: https://iridex.gcs-web.com/corporate-governance-highlights.

 

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

Description

 

1.01

Conflict Minerals Report for the year ended December 31, 2023.

 

2

 


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

 

 

 

David I. Bruce

 

 

 

Chief Executive Officer

 

 

 

 

Date: May 31, 2024

 

 

 

 

3

 


EX-1.01

Exhibit 1.01

 

Conflict Minerals Report

For the Year Ended December 31, 2023

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, 2023 to December 31, 2023. 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, 2023, 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, 2023, 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 33 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 33 of the 33 suppliers contacted. With the exception of one 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. One supplier 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 2024, 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 392 facilities and smelters that were used by our suppliers to fulfill our demands for conflict minerals. Of these 392 facilities and smelters, we have identified 223 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 3 more smelters or refiners that are deemed CFSP Active - Smelters and Refiners on the Active list 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 169 facilities or smelters listed have

2

 


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 169 facilities and determined that most of these are of low risk due to their geographic location. There are ten 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, 2024. 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.

3

 


Metal

Smelter Name

Smelter Country

Smelter Identification

Compliant, Active or Indeterminable

Gold

Advanced Chemical Company

UNITED STATES OF AMERICA

CID000015

Indeterminable

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 Corrego do Sitio Mineracao

BRAZIL

CID000058

Compliant

Gold

Argor-Heraeus S.A.

SWITZERLAND

CID000077

Compliant

Gold

Asahi Pretec Corp.

JAPAN

CID000082

Compliant

Gold

Asaka Riken Co., Ltd.

JAPAN

CID000090

Compliant

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

CCR Refinery - Glencore Canada Corporation

CANADA

CID000185

Compliant

Gold

Cendres + Metaux S.A.

SWITZERLAND

CID000189

Indeterminable

Gold

Chimet S.p.A.

ITALY

CID000233

Compliant

Gold

Chugai Mining

JAPAN

CID000264

Compliant

Gold

DSC (Do Sung Corporation)

KOREA, REPUBLIC OF

CID000359

Compliant

Gold

DODUCO Contacts and Refining GmbH

GERMANY

CID000362

Indeterminable

Gold

Dowa

JAPAN

CID000401

Compliant

Gold

Eco-System Recycling Co., Ltd. East Plant

JAPAN

CID000425

Compliant

Gold

JSC Novosibirsk Refinery

RUSSIAN FEDERATION

CID000493

Indeterminable

Gold

Heimerle + Meule GmbH

GERMANY

CID000694

Compliant

Gold

Heraeus Metals Hong Kong Ltd.

CHINA

CID000707

Compliant

Gold

Heraeus Germany GmbH Co. KG

GERMANY

CID000711

Compliant

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

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 Co., Ltd.

CHINA

CID000855

Compliant

Gold

Asahi Refining USA Inc.

UNITED STATES OF AMERICA

CID000920

Compliant

Gold

Asahi Refining Canada Ltd.

CANADA

CID000924

Compliant

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

CID000929

Indeterminable

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

CID000937

Compliant

Gold

Kazzinc

KAZAKHSTAN

CID000957

Compliant

Gold

Kennecott Utah Copper LLC

UNITED STATES OF AMERICA

CID000969

Compliant

Gold

Kojima Chemicals Co., Ltd.

JAPAN

CID000981

Compliant

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

CID001078

Compliant

Gold

Materion

UNITED STATES OF AMERICA

CID001113

Compliant

Gold

Metalor Technologies (Hong Kong) Ltd.

CHINA

CID001149

Compliant

Gold

Metalor Technologies (Singapore) Pte., Ltd.

SINGAPORE

CID001152

Compliant

4

 


Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

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

Indeterminable

Gold

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

TURKEY

CID001220

Compliant

Gold

Nihon Material Co., Ltd.

JAPAN

CID001259

Compliant

Gold

Ohura Precious Metal Industry Co., Ltd.

JAPAN

CID001325

Compliant

Gold

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

RUSSIAN FEDERATION

CID001326

Indeterminable

Gold

PAMP S.A.

SWITZERLAND

CID001352

Compliant

Gold

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

CID001386

Indeterminable

Gold

PT Aneka Tambang (Persero) Tbk

INDONESIA

CID001397

Compliant

Gold

PX Precinox S.A.

SWITZERLAND

CID001498

Compliant

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

CID001512

Compliant

Gold

SEMPSA Joyeria Plateria S.A.

SPAIN

CID001585

Compliant

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CHINA

CID001622

Compliant

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

CID001736

Compliant

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

CID001756

Indeterminable

Gold

Solar Applied Materials Technology Corp.

TAIWAN, PROVINCE OF CHINA

CID001761

Compliant

Gold

Sumitomo Metal Mining Co., Ltd.

JAPAN

CID001798

Compliant

Gold

Tanaka Kikinzoku Kogyo K.K.

JAPAN

CID001875

Compliant

Gold

Shandong Gold Smelting Co., Ltd.

CHINA

CID001916

Compliant

Gold

Tokuriki Honten Co., Ltd.

JAPAN

CID001938

Compliant

Gold

Torecom

KOREA, REPUBLIC OF

CID001955

Compliant

Gold

Umicore S.A. Business Unit Precious Metals Refining

BELGIUM

CID001980

Compliant

Gold

United Precious Metal Refining, Inc.

UNITED STATES OF AMERICA

CID001993

Compliant

Gold

Valcambi S.A.

SWITZERLAND

CID002003

Compliant

Gold

Yamakin 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

Gold Refinery of Zijin Mining Group Co., Ltd.

CHINA

CID002243

Compliant

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

CID002509

Compliant

Gold

KGHM Polska Miedz Spolka Akcyjna

POLAND

CID002511

Compliant

Gold

Singway Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

CID002516

Indeterminable

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

Turkey

CID000103

Indeterminable

Gold

Caridad

Mexico

CID000180

Indeterminable

Gold

Yunnan Copper Industry Co., Ltd.

China

CID000197

Indeterminable

Gold

Daejin Indus Co., Ltd.

KOREA, REPUBLIC OF

CID000328

Indeterminable

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

CID000343

Indeterminable

Gold

Refinery of Seemine Gold 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

LT Metal Ltd.

Korea, Republic Of

CID000689

Compliant

5

 


Gold

Hunan Chenzhou Mining Co., Ltd.

China

CID000767

Indeterminable

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

China

CID000773

Indeterminable

Gold

HwaSeong CJ CO., LTD.

Korea, Republic Of

CID000778

Indeterminable

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

Russian Federation

CID000927

Indeterminable

Gold

Kazakhmys Smelting LLC

Kazakhstan

CID000956

Indeterminable

Gold

Kyrgyzaltyn JSC

Kyrgyzstan

CID001029

Indeterminable

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

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

China

CID001093

Indeterminable

Gold

Matsuda Sangyo Co., Ltd.

Japan

CID001119

Compliant

Gold

Metalor Technologies (Suzhou) Ltd.

China

CID001147

Compliant

Gold

Metalor Technologies S.A.

Switzerland

CID001153

Compliant

Gold

Metalor USA Refining Corporation

UNITED STATES OF AMERICA

CID001157

Compliant

Gold

Navoi Mining and Metallurgical Combinat

Uzbekistan

CID001236

Compliant

Gold

Penglai Penggang Gold Industry Co., Ltd.

China

CID001362

Indeterminable

Gold

Royal Canadian Mint

Canada

CID001534

Compliant

Gold

Sabin Metal Corp.

United States Of America

CID001546

Indeterminable

Gold

Samduck Precious Metals

Korea, Republic Of

CID001555

Indeterminable

Gold

Samwon Metals Corp.

Korea, Republic Of

CID001562

Indeterminable

Gold

Schone Edelmetaal B.V.

NETHERLANDS

CID001573

Indeterminable

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

China

CID001619

Indeterminable

Gold

Super Dragon Technology Co., Ltd.

Taiwan

CID001810

Indeterminable

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

China

CID001909

Indeterminable

Gold

Tongling Nonferrous Metals Group Co., Ltd.

China

CID001947

Indeterminable

Gold

Umicore Brasil Ltda.

BRAZIL

CID001977

Indeterminable

Gold

Western Australian Mint (T/a The Perth Mint)

Australia

CID002030

Compliant

Gold

Morris and Watson

New Zealand

CID002282

Indeterminable

Gold

SAFINA A.S.

Czechia

CID002290

Compliant

Gold

Guangdong Jinding Gold Limited

China

CID002312

Indeterminable

Gold

Umicore Precious Metals Thailand

Thailand

CID002314

Indeterminable

Gold

Geib Refining Corporation

United States Of America

CID002459

Indeterminable

Gold

Republic Metals Corporation

UNITED STATES OF AMERICA

CID002510

Indeterminable

Gold

Fidelity Printers and Refiners Ltd.

Zimbabwe

CID002515

Indeterminable

Gold

Shandong Humon Smelting Co., Ltd.

China

CID002525

Indeterminable

Gold

Shenzhen Zhonghenglong Real Industry Co., Ltd.

China

CID002527

Indeterminable

Gold

Al Etihad Gold Refinery DMCC

United Arab Emirates

CID002560

Indeterminable

Gold

Emirates Gold DMCC

United Arab Emirates

CID002561

Indeterminable

Gold

International Precious Metal Refiners

United Arab Emirates

CID002562

Indeterminable

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 PMR B.V.

NETHERLANDS

CID002582

Compliant

Gold

Fujairah Gold FZC

UNITED ARAB EMIRATES

CID002584

Indeterminable

Gold

Industrial Refining Company

BELGIUM

CID002587

Indeterminable

6

 


Gold

Shirpur Gold Refinery Ltd.

INDIA

CID002588

Indeterminable

Gold

Korea Zinc Co., Ltd.

Korea, Republic Of

CID002605

Compliant

Gold

Marsam Metals

BRAZIL

CID002606

Indeterminable

Gold

TOO Tau-Ken-Altyn

Kazakhstan

CID002615

Compliant

Gold

Abington Reldan Metals, LLC

UNITED STATES OF AMERICA

CID002708

Compliant

Gold

Shenzhen CuiLu Gold Co., Ltd.

China

CID002750

Indeterminable

Gold

Albino Mountinho Lda.

Portugal

CID002760

Indeterminable

Gold

SAAMP

FRANCE

CID002761

Indeterminable

Gold

L'Orfebre S.A.

ANDORRA

CID002762

Compliant

Gold

8853 S.p.A.

ITALY

CID002763

Indeterminable

Gold

Italpreziosi

Italy

CID002765

Compliant

Gold

SAXONIA Edelmetalle GmbH

GERMANY

CID002777

Indeterminable

Gold

WIELAND Edelmetalle GmbH

Germany

CID002778

Compliant

Gold

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

Austria

CID002779

Compliant

Gold

AU Traders and Refiners

SOUTH AFRICA

CID002850

Indeterminable

Gold

GGC Gujrat Gold Centre Pvt. Ltd.

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

Indeterminable

Gold

Kyshtym Copper-Electrolytic Plant ZAO

Russian Federation

CID002865

Indeterminable

Gold

Morris and Watson Gold Coast

Australia

CID002866

Indeterminable

Gold

Degussa Sonne / Mond Goldhandel GmbH

GERMANY

CID002867

Indeterminable

Gold

Pease & Curren

UNITED STATES OF AMERICA

CID002872

Indeterminable

Gold

JALAN & Company

INDIA

CID002893

Indeterminable

Gold

SungEel HiMetal Co., Ltd.

Korea, Republic Of

CID002918

Compliant

Gold

Planta Recuperadora de Metales SpA

Chile

CID002919

Compliant

Gold

ABC Refinery Pty Ltd.

Australia

CID002920

Indeterminable

Gold

Safimet S.p.A

Italy

CID002973

Indeterminable

Gold

State Research Institute Center for Physical Sciences and Technology

LITHUANIA

CID003153

Indeterminable

Gold

African Gold Refinery

UGANDA

CID003185

Indeterminable

Gold

Gold Coast Refinery

GHANA

CID003186

Indeterminable

Gold

NH Recytech Company

Korea, Republic Of

CID003189

Compliant

Gold

TSK Pretech

KOREA, REPUBLIC OF

CID003195

Indeterminable

Gold

QG Refining, LLC

UNITED STATES OF AMERICA

CID003324

Indeterminable

Gold

Dijllah Gold Refinery FZC

United Arab Emirates

CID003348

Indeterminable

Gold

CGR Metalloys Pvt Ltd.

INDIA

CID003382

Indeterminable

Gold

Sovereign Metals

INDIA

CID003383

Indeterminable

Gold

C.I Metales Procesados Industriales SAS

Colombia

CID003421

Indeterminable

Gold

Eco-System Recycling Co., Ltd. North Plant

Japan

CID003424

Compliant

Gold

Eco-System Recycling Co., Ltd. West Plant

Japan

CID003425

Compliant

Gold

Augmont Enterprises Private Limited

India

CID003461

Indeterminable

Gold

Kundan Care Products Ltd.

India

CID003463

Indeterminable

Gold

Emerald Jewel Industry India Limited (Unit 1)

India

CID003487

Indeterminable

7

 


Gold

Emerald Jewel Industry India Limited (Unit 2)

India

CID003488

Indeterminable

Gold

Emerald Jewel Industry India Limited (Unit 3)

India

CID003489

Indeterminable

Gold

Emerald Jewel Industry India Limited (Unit 4)

India

CID003490

Indeterminable

Gold

K.A. Rasmussen

Norway

CID003497

Indeterminable

Gold

Alexy Metals

United States Of America

CID003500

Indeterminable

Gold

Sancus ZFS (L’Orfebre, SA)

Colombia

CID003529

Indeterminable

Gold

Sellem Industries Ltd.

Mauritania

CID003540

Indeterminable

Gold

MD Overseas

India

CID003548

Indeterminable

Gold

Metallix Refining Inc.

United States Of America

CID003557

Indeterminable

Gold

Metal Concentrators SA (Pty) Ltd.

South Africa

CID003575

Compliant

Gold

WEEEREFINING

FRANCE

CID003615

Compliant

Gold

Value Trading

BELGIUM

CID003617

Indeterminable

Gold

Gold by Gold Colombia

Colombia

CID003641

Compliant

Gold

Dongwu Gold Group

China

CID003663

Indeterminable

Tantalum

Asaka Riken Co., Ltd.

JAPAN

CID000092

Indeterminable

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

China

CID000211

Compliant

Tantalum

Guangdong Rising Rare Metals-EO Materials Ltd.

CHINA

CID000291

Compliant

Tantalum

Exotech Inc.

United States Of America

CID000456

Indeterminable

Tantalum

F&X Electro-Materials Ltd.

China

CID000460

Compliant

Tantalum

XIMEI RESOURCES (GUANGDONG) LIMITED

CHINA

CID000616

Compliant

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

China

CID000914

Compliant

Tantalum

Jiujiang Tanbre Co., Ltd.

China

CID000917

Compliant

Tantalum

AMG Brasil

Brazil

CID001076

Compliant

Tantalum

Metallurgical Products India Pvt., Ltd.

India

CID001163

Compliant

Tantalum

Mineracao Taboca S.A.

Brazil

CID001175

Compliant

Tantalum

Mitsui Mining and Smelting Co., Ltd.

Japan

CID001192

Compliant

Tantalum

NPM Silmet AS

Estonia

CID001200

Compliant

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

China

CID001277

Compliant

Tantalum

QuantumClean

United States Of America

CID001508

Compliant

Tantalum

Yanling Jincheng Tantalum & Niobium Co., Ltd.

China

CID001522

Compliant

Tantalum

Solikamsk Magnesium Works OAO

Russian Federation

CID001769

Indeterminable

Tantalum

Taki Chemical Co., Ltd.

Japan

CID001869

Compliant

Tantalum

Telex Metals

United States Of America

CID001891

Compliant

Tantalum

Ulba Metallurgical Plant JSC

Kazakhstan

CID001969

Compliant

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

China

CID002492

Compliant

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 de Mexico

MEXICO

CID002539

Compliant

Tantalum

TANIOBIS Co., Ltd.

THAILAND

CID002544

Compliant

Tantalum

TANIOBIS GmbH

GERMANY

CID002545

Compliant

Tantalum

H.C. Starck Hermsdorf GmbH

Germany

CID002547

Compliant

Tantalum

H.C. Starck Inc.

UNITED STATES OF AMERICA

CID002548

Compliant

Tantalum

TANIOBIS Japan Co., Ltd.

JAPAN

CID002549

Compliant

Tantalum

TANIOBIS Smelting GmbH & Co. KG

GERMANY

CID002550

Compliant

Tantalum

Global Advanced Metals Boyertown

United States Of America

CID002557

Compliant

8

 


Tantalum

Global Advanced Metals Aizu

JAPAN

CID002558

Compliant

Tantalum

KEMET Blue Powder

UNITED STATES OF AMERICA

CID002568

Indeterminable

Tantalum

Resind Industria e Comercio Ltda.

Brazil

CID002707

Compliant

Tantalum

Jiangxi Tuohong New Raw Material

CHINA

CID002842

Compliant

Tantalum

Meta Materials

NORTH MACEDONIA, REPUBLIC OF

CID002847

Indeterminable

Tantalum

CP Metals Inc.

United States of America

CID003402

Indeterminable

Tantalum

RFH Yancheng Jinye New Material Technology Co., Ltd.

CHINA

CID003583

Compliant

Tantalum

5D Production OU

Estonia

CID003926

Indeterminable

Tin

Alpha

UNITED STATES OF AMERICA

CID000292

Compliant

Tin

EM Vinto

BOLIVIA (PLURINATIONAL STATE OF)

CID000438

Compliant

Tin

Fenix Metals

POLAND

CID000468

Compliant

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

CID000538

Compliant

Tin

Gejiu Kai Meng Industry and Trade LLC

CHINA

CID000942

Indeterminable

Tin

China Tin Group Co., Ltd.

CHINA

CID001070

Compliant

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

CID001105

Compliant

Tin

Minsur

PERU

CID001182

Compliant

Tin

Mitsubishi Materials Corporation

JAPAN

CID001191

Compliant

Tin

Jiangxi New Nanshan Technology Ltd.

CHINA

CID001231

Compliant

Tin

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

THAILAND

CID001314

Compliant

Tin

Operaciones Metalurgicas S.A.

BOLIVIA (PLURINATIONAL STATE OF)

CID001337

Compliant

Tin

PT Artha Cipta Langgeng

INDONESIA

CID001399

Compliant

Tin

PT Mitra Stania Prima

INDONESIA

CID001453

Compliant

Tin

PT Refined Bangka Tin

INDONESIA

CID001460

Compliant

Tin

PT Timah Tbk Kundur

INDONESIA

CID001477

Compliant

Tin

Rui Da Hung

TAIWAN, PROVINCE OF CHINA

CID001539

Compliant

Tin

Soft Metais Ltda.

BRAZIL

CID001758

Compliant

Tin

Thaisarco

THAILAND

CID001898

Compliant

Tin

White Solder Metalurgia e Mineracao Ltda.

BRAZIL

CID002036

Compliant

Tin

Magnu's Minerais Metais e Ligas Ltda.

BRAZIL

CID002468

Compliant

Tin

Melt Metais e Ligas S.A.

BRAZIL

CID002500

Indeterminable

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

CID002503

Compliant

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

CID002517

Compliant

Tin

Resind Industria e Comercio Ltda.

BRAZIL

CID002706

Compliant

Tin

Metallo Belgium N.V.

BELGIUM

CID002773

Compliant

Tin

Mineracao Taboca S.A.

BRAZIL

CID001173

Compliant

Tin

PT Timah Tbk Mentok

INDONESIA

CID001482

Compliant

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

CID000228

Compliant

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

CHINA

CID000244

Indeterminable

Tin

CNMC (Guangxi) PGMA Co., Ltd.

China

CID000278

Indeterminable

Tin

CV Gita Pesona

INDONESIA

CID000306

Indeterminable

Tin

PT Aries Kencana Sejahtera

Indonesia

CID000309

Compliant

Tin

PT Premium Tin Indonesia

INDONESIA

CID000313

Compliant

9

 


Tin

CV United Smelting

Indonesia

CID000315

Indeterminable

Tin

Dowa

Japan

CID000402

Compliant

Tin

Estanho de Rondonia S.A.

Brazil

CID000448

Compliant

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

China

CID000555

Indeterminable

Tin

Huichang Jinshunda Tin Co., Ltd.

CHINA

CID000760

Indeterminable

Tin

Metallic Resources, Inc.

UNITED STATES OF AMERICA

CID001142

Compliant

Tin

Novosibirsk Processing Plant Ltd.

RUSSIAN FEDERATION

CID001305

Indeterminable

Tin

PT Babel Inti Perkasa

Indonesia

CID001402

Compliant

Tin

PT Babel Surya Alam Lestari

Indonesia

CID001406

Active

Tin

PT Bangka Tin Industry

INDONESIA

CID001419

Indeterminable

Tin

PT Belitung Industri Sejahtera

INDONESIA

CID001421

Compliant

Tin

PT Bukit Timah

Indonesia

CID001428

Compliant

Tin

PT DS Jaya Abadi

INDONESIA

CID001434

Indeterminable

Tin

PT Eunindo Usaha Mandiri

INDONESIA

CID001438

Indeterminable

Tin

PT Karimun Mining

INDONESIA

CID001448

Indeterminable

Tin

PT Panca Mega Persada

INDONESIA

CID001457

Indeterminable

Tin

PT Prima Timah Utama

INDONESIA

CID001458

Compliant

Tin

PT Sariwiguna Binasentosa

INDONESIA

CID001463

Compliant

Tin

PT Stanindo Inti Perkasa

INDONESIA

CID001468

Compliant

Tin

PT Sumber Jaya Indah

INDONESIA

CID001471

Indeterminable

Tin

PT Timah Nusantara

INDONESIA

CID001486

Compliant

Tin

PT Tinindo Inter Nusa

INDONESIA

CID001490

Compliant

Tin

PT Tommy Utama

INDONESIA

CID001493

Compliant

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

China

CID001908

Indeterminable

Tin

VQB Mineral and Trading Group JSC

Viet Nam

CID002015

Indeterminable

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

China

CID002158

Compliant

Tin

Tin Smelting Branch of Yunnan Tin Co., Ltd.

CHINA

CID002180

Compliant

Tin

CV Venus Inti Perkasa

Indonesia

CID002455

Compliant

Tin

PT Tirus Putra Mandiri

Indonesia

CID002478

Indeterminable

Tin

PT Inti Stania Prima

INDONESIA

CID002530

Indeterminable

Tin

CV Ayi Jaya

INDONESIA

CID002570

Compliant

Tin

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

VIET NAM

CID002572

Indeterminable

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

Indeterminable

Tin

PT Rajehan Ariq

INDONESIA

CID002593

Compliant

Tin

PT Cipta Persada Mulia

Indonesia

CID002696

Compliant

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

CID002703

Indeterminable

Tin

Super Ligas

BRAZIL

CID002756

Compliant

Tin

Metallo Spain S.L.U.

SPAIN

CID002774

Compliant

Tin

PT Bangka Prima Tin

INDONESIA

CID002776

Compliant

Tin

PT Sukses Inti Makmur

INDONESIA

CID002816

Compliant

Tin

PT Kijang Jaya Mandiri

INDONESIA

CID002829

Indeterminable

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

VIET NAM

CID002834

Indeterminable

Tin

PT Menara Cipta Mulia

Indonesia

CID002835

Compliant

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

CID002844

Compliant

10

 


Tin

Gejiu Fengming Metallurgy Chemical Plant

CHINA

CID002848

Indeterminable

Tin

Guanyang Guida Nonferrous Metal Smelting Plant

CHINA

CID002849

Indeterminable

Tin

Modeltech Sdn Bhd

Malaysia

CID002858

Indeterminable

Tin

PT Lautan Harmonis Sejahtera

Indonesia

CID002870

Indeterminable

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

CHINA

CID003116

Compliant

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

CHINA

CID003190

Compliant

Tin

PT Bangka Serumpun

INDONESIA

CID003205

Compliant

Tin

Pongpipat Company Limited

MYANMAR

CID003208

Indeterminable

Tin

Tin Technology & Refining

UNITED STATES OF AMERICA

CID003325

Compliant

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

CHINA

CID003356

Indeterminable

Tin

Ma'anshan Weitai Tin Co., Ltd.

CHINA

CID003379

Indeterminable

Tin

PT Masbro Alam Stania

INDONESIA

CID003380

Indeterminable

Tin

PT Rajawali Rimba Perkasa

INDONESIA

CID003381

Compliant

Tin

Luna Smelter, Ltd.

RWANDA

CID003387

Compliant

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

China

CID003397

Active

Tin

Precious Minerals and Smelting Limited

India

CID003409

Indeterminable

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.

China

CID003410

Indeterminable

Tin

PT Mitra Sukses Globalindo

Indonesia

CID003449

Compliant

Tin

CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda

Brazil

CID003486

Compliant

Tin

CRM Synergies

Spain

CID003524

Compliant

Tin

Fabrica Auricchio Industria e Comercio Ltda.

Brazil

CID003582

Compliant

Tin

DS Myanmar

Myanmar

CID003831

Compliant

Tin

PT Putera Sarana Shakti (PT PSS)

INDONESIA

CID003868

Compliant

Tin

Mining Minerals Resources SARL

CONGO, DEMOCRATIC REPUBLIC OF THE

CID004065

Compliant

Tungsten

A.L.M.T. 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

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

CID000281

Indeterminable

Tungsten

Fujian Jinxin Tungsten Co., Ltd.

CHINA

CID000499

Indeterminable

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

Indeterminable

Tungsten

Japan New Metals Co., Ltd.

Japan

CID000825

Compliant

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

China

CID000875

Indeterminable

Tungsten

Kennametal Fallon

United States Of America

CID000966

Compliant

Tungsten

Tejing (Vietnam) Tungsten Co., Ltd.

VIET NAM

CID001889

Indeterminable

Tungsten

Vietnam Youngsun Tungsten Industry Co., Ltd.

VIET NAM

CID002011

Indeterminable

Tungsten

Wolfram Bergbau und Hutten AG

Austria

CID002044

Compliant

Tungsten

Xiamen Tungsten Co., Ltd.

China

CID002082

Compliant

Tungsten

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CHINA

CID002095

Indeterminable

Tungsten

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

China

CID002313

Indeterminable

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

China

CID002315

Compliant

11

 


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

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

H.C. Starck Tungsten GmbH

GERMANY

CID002541

Compliant

Tungsten

TANIOBIS Smelting GmbH & Co. KG

GERMANY

CID002542

Compliant

Tungsten

Masan High-Tech Materials

VIET NAM

CID002543

Compliant

Tungsten

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

CHINA

CID002551

Compliant

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CHINA

CID002579

Indeterminable

Tungsten

Niagara Refining LLC

UNITED STATES OF AMERICA

CID002589

Compliant

Tungsten

China Molybdenum Tungsten Co., Ltd.

CHINA

CID002641

Compliant

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

China

CID002645

Indeterminable

Tungsten

Jiangxi Xianglu Tungsten Co., Ltd.

China

CID002647

Indeterminable

Tungsten

Hydrometallurg, JSC

Russian Federation

CID002649

Indeterminable

Tungsten

Unecha Refractory metals plant

RUSSIAN FEDERATION

CID002724

Indeterminable

Tungsten

South-East Nonferrous Metal Company Limited of Hengyang City

China

CID002815

Indeterminable

Tungsten

Philippine Chuangxin Industrial Co., Inc.

PHILIPPINES

CID002827

Compliant

Tungsten

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

CHINA

CID002830

Indeterminable

Tungsten

ACL Metais Eireli

BRAZIL

CID002833

Indeterminable

Tungsten

Woltech Korea Co., Ltd.

KOREA, REPUBLIC OF

CID002843

Indeterminable

Tungsten

Moliren Ltd.

Russian Federation

CID002845

Indeterminable

Tungsten

Hunan Litian Tungsten Industry Co., Ltd.

CHINA

CID003182

Indeterminable

Tungsten

KGETS Co., Ltd.

Korea, Republic Of

CID003388

Indeterminable

Tungsten

Fujian Ganmin RareMetal Co., Ltd.

China

CID003401

Indeterminable

Tungsten

Lianyou Metals Co., Ltd.

Taiwan

CID003407

Compliant

Tungsten

JSC "Kirovgrad Hard Alloys Plant"

Russian Federation

CID003408

Indeterminable

Tungsten

NPP Tyazhmetprom LLC

Russian Federation

CID003416

Indeterminable

Tungsten

Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.

CHINA

CID003417

Compliant

Tungsten

Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.

BRAZIL

CID003427

Indeterminable

Tungsten

Cronimet Brasil Ltda

Brazil

CID003468

Compliant

Tungsten

Artek LLC

Russian Federation

CID003553

Indeterminable

Tungsten

Fujian Xinlu Tungsten

China

CID003609

Compliant

Tungsten

OOO “Technolom” 2

Russian Federation

CID003612

Indeterminable

Tungsten

OOO “Technolom” 1

RUSSIAN FEDERATION

CID003614

Indeterminable

Tungsten

LLC Vostok

Russian Federation

CID003643

Indeterminable

Tungsten

YUDU ANSHENG TUNGSTEN CO., LTD.

China

CID003662

Indeterminable

Tungsten

HANNAE FOR T Co., Ltd.

Korea, Republic of

CID003978

Indeterminable

12

 


 

 

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.

 

13