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May 27, 2016 4:06 PM EDT


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

_____________________________________________________________
FORM SD
Specialized Disclosure Report
____________________________________________________________ 

MAXWELL TECHNOLOGIES, INC.

(Exact name of registrant as specified in its charter)
_____________________________________________________________ 

Delaware
 
001-15477
 
95-2390133
(State or other jurisdiction
of incorporation or organization)
 
(Commission File Number)
 
(I.R.S. Employer
Identification Number)

3888 Calle Fortunada
San Diego, California
 
 
 
92123
(Address of principal executive offices)
 
 
 
(Zip Code)


Sabrina Randolph, Vice President and Worldwide Controller (858) 503-3300
(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 the form applies:

x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.





Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure
On May 27, 2016, Maxwell Technologies, Inc. (the “Company”) filed its Conflict Minerals Report for the fiscal year ended December 31, 2015. A copy of this report is attached hereto as Exhibit 1.01 and is also available on the Company’s website at www.maxwell.com.

Item 1.02 Exhibit

The Conflict Minerals Report as required by Item 1.01 is filed as Exhibit 1.01 to this Form.


Section 2 - Exhibits

Item 2.01 Exhibits
 
 
 
Exhibit No.
  
Description
 
 
1.01
  
Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.





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.
  
 
 
 
 
 
MAXWELL TECHNOLOGIES, INC.
 
 
 
 
By:
 
/s/ Franz Fink
 
 
 
Franz Fink
 
 
 
President and Chief Executive Officer

Date: May 27, 2016



Exhibit 1.01

Maxwell Technologies, Inc.
Conflict Minerals Report
For the Year Ended December 31, 2015
This Conflict Minerals Report (“Report”) for the year ended December 31, 2015 has been prepared in accordance with Rule 13p-1 of the Securities Exchange Act of 1934 (“Rule 13p-1”). Certain terms in this Report are defined in Rule 13p-1, and the reader is referred to this Rule and to Release No. 34-67716 issued by the Securities and Exchange Commission on August 22, 2012 for these definitions.
Conflict Minerals, as defined under Rule 13p-1, include tin, tantalum, tungsten or gold, or their derivatives. Maxwell Technologies, Inc. ("Maxwell" or the "Company") manufactures, or contracts to manufacture, the following products containing Conflict Minerals necessary to the functionality or production of the products:
•
Ultracapacitors, are energy storage devices that possess a unique combination of high power density, extremely long operational life and the ability to charge and discharge very rapidly. Maxwell's ultracapacitor cells, multi-cell packs and modules provide highly reliable energy storage and power delivery solutions for applications in multiple industries, including automotive, bus, rail and truck in transportation, and grid energy storage and wind in renewable energy.
•
High-Voltage Capacitors, Maxwell's CONDIS® high-voltage capacitors are designed and manufactured to perform reliably for decades in all climates. These products include grading and coupling capacitors and electric voltage transformers that are used to ensure the safety and reliability of electric utility infrastructure and other applications involving transport, distribution and measurement of high-voltage electrical energy; and
•
Radiation-Hardened Microelectronic Products, Maxwell's radiation-hardened microelectronic products for satellites and spacecraft include single board computers and components, such as high-density memory and data conversion modules. Many of these products incorporate Maxwell's proprietary RADPAK® packaging and shielding technology and novel architectures that enable them to withstand the effects of environmental radiation and perform reliably in space. In April 2016, the Company sold the assets and certain liabilities of the radiation-hardened microelectronics product line.
In accordance with Rule 13p-1, Maxwell undertook due diligence to determine the source and chain of custody of Conflict Minerals necessary to the production or functionality of its products. In conducting its due diligence, Maxwell applied the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Due Diligence Guidance”), an internationally recognized due diligence framework. The objective of this due diligence is to determine whether Conflict Minerals originated in the Democratic Republic of the Congo or an adjoining country (collectively defined as the “Covered Countries”), and if so, whether sourcing practices directly or indirectly financed or benefited Armed Groups in the Covered Countries. Under Rule 13p-1, “DRC conflict free” refers to products for which sourcing practices did not directly or indirectly finance or benefit Armed Groups in the Covered Countries. In this Report, Maxwell uses the term “conflict-free” more broadly to refer to suppliers, smelters and refiners that source Conflict Minerals without funding conflict as described above.
Maxwell exercised reasonable due diligence to determine the source and chain of custody of its Conflict Minerals in accordance with the OECD Due Diligence Guidance. These procedures included the following:
•
Oversight of the Company’s compliance with Rule 13p-1, including the design and execution of a due diligence plan, by a steering committee which included executive leadership;
•
Maintained a Conflict Mineral Policy which is published on Maxwell's publicly-available internet site;
•
Determined in-scope suppliers of materials and components that contain or may contain Conflict Minerals and conducted supply chain surveys to assess the usage of Conflict Minerals and to identify the smelter and refiners of Conflict Minerals in the Company’s supply chain;
•
Utilized a third party software program to assist with the execution of supplier surveys and risk assessment procedures under the Company's conflict minerals due diligence program;
•
Reviewed and evaluated responses received from in-scope suppliers for completeness and reasonableness and conducted several rounds of follow up on incomplete responses;
•
Evaluated smelting and refining facilities identified in the Company’s supply chains for Conflict Minerals against the list of smelters and refiners that have been designated as “conflict-free” under the Conflict-Free Smelter Program sponsored by the Electronics Industry Citizen Coalition and the Global e-Sustainability Initiative ("EICC-GeSI"); and,


•
Assigned a risk score to each supplier of Conflict Minerals based on mineral sourcing practices in order to understand the risk of conflict-sourcing in Maxwell's products and to determine further due diligence measures to be performed.
For the supply chain surveys described above, Maxwell conducted these surveys utilizing the Conflict Mineral Reporting Template developed by EICC-GeSI. All responses received from suppliers were reviewed and evaluated for reasonableness and completeness and all identified smelters and refiners were checked against the EICC-GeSI list of certified “conflict-free” smelters and refiners to determine whether the facility has been independently certified as “conflict-free”. To date, not all suppliers have responded to Maxwell’s survey, and for those suppliers which did respond, some responses were incomplete in that not all of the indirect suppliers underlying Maxwell’s direct suppliers have provided complete location of origin information for Conflict Minerals. Therefore, the source and chain of custody information for Conflict Minerals included in Maxwell’s products is currently incomplete. Further, not all known smelters and refiners have been designated as “conflict-free” under the EICC-GeSI Conflict Free Smelter Program.
Below is a summary of the number of suppliers surveyed for each product line and the responses received to date:
•
For Ultracapacitor products, 19 suppliers were surveyed and approximately 95% of suppliers have provided a survey response.
•
For High-Voltage Capacitor products, 5 suppliers were surveyed and 60% of suppliers have provided a survey response. The low response rate was due to suppliers who no longer produce parts used in Maxwell's high-voltage capacitor products.
•
For Radiation-Hardened Microelectronic products, 35 suppliers were surveyed and approximately 91% of suppliers have provided a survey response.
Identified smelters and refiners and countries of origin for Conflict Minerals included in the Company’s products, to the extent known, are listed in Appendix A to this Report.
For the 2016 compliance period, Maxwell plans to continue to execute due diligence measures to determine the source and chain of custody of Conflict Minerals contained in its products.


Appendix A

Metal
Smelter Reference List
Country
Smelter ID
Gold
Advanced Chemical Company
UNITED STATES
CID000015
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
CID002560
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
CID000058
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
Gold
Asahi Pretec Corp.
JAPAN
CID000082
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
Gold
Asahi Refining USA Inc.
UNITED STATES
CID000920
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
Gold
Aurubis AG
GERMANY
CID000113
Gold
Bangalore Refinery
INDIA
CID002863
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Gold
Boliden AB
SWEDEN
CID000157
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
Gold
Caridad
MEXICO
CID000180
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
Gold
Cendres + Métaux S.A.
SWITZERLAND
CID000189
Gold
Chimet S.p.A.
ITALY
CID000233
Gold
Chugai Mining
JAPAN
CID000264
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
CID000328
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
Gold
DODUCO GmbH
GERMANY
CID000362
Gold
Dowa
JAPAN
CID000401
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
Gold
Elemetal Refining, LLC
UNITED STATES
CID001322
Gold
Faggi Enrico S.p.A.
ITALY
CID002355
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
CID002515
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CHINA
CID000522
Gold
Geib Refining Corporation
UNITED STATES
CID002459
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
CID001909
Gold
Guangdong Jinding Gold Limited
CHINA
CID002312
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
Gold
Heraeus Ltd. Hong Kong
CHINA
CID000707
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000767
Gold
Hwasung CJ Co., Ltd.
KOREA, REPUBLIC OF
CID000778
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Gold
Istanbul Gold Refinery
TURKEY
CID000814


Appendix A

Gold
Japan Mint
JAPAN
CID000823
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
Gold
Kazzinc
KAZAKHSTAN
CID000957
Gold
Kennecott Utah Copper LLC
UNITED STATES
CID000969
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Gold
Korea Metal Co., Ltd.
KOREA, REPUBLIC OF
CID000988
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
Gold
Lingbao Gold Co., Ltd.
CHINA
CID001056
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
Gold
Materion
UNITED STATES
CID001113
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
Gold
Metalor USA Refining Corporation
UNITED STATES
CID001157
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
MEXICO
CID001161
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Gold
Morris and Watson
NEW ZEALAND
CID002282
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
Gold
Nadir Metal Rafineri San. Ve Tic. A.?.
TURKEY
CID001220
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Gold
PAMP S.A.
SWITZERLAND
CID001352
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Gold
PX Précinox S.A.
SWITZERLAND
CID001498
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Gold
Republic Metals Corporation
UNITED STATES
CID002510
Gold
Royal Canadian Mint
CANADA
CID001534
Gold
Sabin Metal Corp.
UNITED STATES
CID001546
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555


Appendix A

Gold
SAMWON Metals Corp.
KOREA, REPUBLIC OF
CID001562
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
Gold
Schone Edelmetaal B.V.
NETHERLANDS
CID001573
Gold
SEMPSA Joyería Platería S.A.
SPAIN
CID001585
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
CID001619
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Gold
Singway Technology Co., Ltd.
TAIWAN
CID002516
Gold
So Accurate Group, Inc.
UNITED STATES
CID001754
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
Gold
Solar Applied Materials Technology Corp.
TAIWAN
CID001761
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
Gold
T.C.A S.p.A
ITALY
CID002580
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
CID001947
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
Gold
United Precious Metal Refining, Inc.
UNITED STATES
CID001993
Gold
Valcambi S.A.
SWITZERLAND
CID002003
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
CID002030
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Gold
Yamamoto Precious Metal Co., Ltd.
JAPAN
CID002100
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
CID000197
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
CHINA
CID002243
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Tantalum
Conghua Tantalum and Niobium Smeltry
CHINA
CID000291
Tantalum
D Block Metals, LLC
UNITED STATES
CID002504
Tantalum
Duoluoshan
CHINA
CID000410
Tantalum
Exotech Inc.
UNITED STATES
CID000456
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
Tantalum
Global Advanced Metals Boyertown
UNITED STATES
CID002557
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
Tantalum
H.C. Starck GmbH Goslar
GERMANY
CID002545
Tantalum
H.C. Starck GmbH Laufenburg
GERMANY
CID002546
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
Tantalum
H.C. Starck Inc.
UNITED STATES
CID002548
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549


Appendix A

Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002550
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES
CID000731
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Tantalum
KEMET Blue Metals
MEXICO
CID002539
Tantalum
KEMET Blue Powder
UNITED STATES
CID002568
Tantalum
King-Tan Tantalum Industry Ltd.
CHINA
CID000973
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
Tantalum
Mineração Taboca S.A.
BRAZIL
CID001175
Tantalum
Mitsui Mining & Smelting
JAPAN
CID001192
Tantalum
Molycorp Silmet A.S.
ESTONIA
CID001200
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
Tantalum
Plansee SE Liezen
AUSTRIA
CID002540
Tantalum
Plansee SE Reutte
AUSTRIA
CID002556
Tantalum
QuantumClean
UNITED STATES
CID001508
Tantalum
Resind Indústria e Comércio Ltda.
BRAZIL
CID002707
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CHINA
CID001522
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
Tantalum
Taki Chemicals
JAPAN
CID001869
Tantalum
Telex Metals
UNITED STATES
CID001891
Tantalum
Tranzact, Inc.
UNITED STATES
CID002571
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
CID002307
Tantalum
Zhuzhou Cemented Carbide
CHINA
CID002232
Tin
Alpha
UNITED STATES
CID000292
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
CID002703
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000278
Tin
Cooperativa Metalurgica de Rondônia Ltda.
BRAZIL
CID000295
Tin
CV Ayi Jaya
INDONESIA
CID002570
Tin
CV Gita Pesona
INDONESIA
CID000306
Tin
CV Serumpun Sebalai
INDONESIA
CID000313
Tin
CV United Smelting
INDONESIA
CID000315
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
Tin
Dowa
JAPAN
CID000402
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy JSC
VIET NAM
CID002572
Tin
Elmet S.L.U.
SPAIN
CID002774
Tin
EM Vinto
BOLIVIA
CID000438
Tin
Estanho de Rondônia S.A.
BRAZIL
CID000448
Tin
Fenix Metals
POLAND
CID000468
Tin
Gejiu Jinye Mineral Company
CHINA
CID002859


Appendix A

Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
CID000555
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
CID000244
Tin
Linwu Xianggui Ore Smelting Co., Ltd.
CHINA
CID001063
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Tin
Metahub Industries Sdn. Bhd.
MALAYSIA
CID001136
Tin
Metallic Resources, Inc.
UNITED STATES
CID001142
Tin
Metallo-Chimique N.V.
BELGIUM
CID002773
Tin
Mineração Taboca S.A.
BRAZIL
CID001173
Tin
Minsur
PERU
CID001182
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
CID001231
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002573
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Tin
Operaciones Metalurgical S.A.
BOLIVIA
CID001337
Tin
Phoenix Metal Ltd.
RWANDA
CID002507
Tin
PT Alam Lestari Kencana
INDONESIA
CID001393
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
Tin
PT Bangka Kudai Tin
INDONESIA
CID001409
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
Tin
PT Bangka Timah Utama Sejahtera
INDONESIA
CID001416
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
Tin
PT BilliTin Makmur Lestari
INDONESIA
CID001424
Tin
PT Bukit Timah
INDONESIA
CID001428
Tin
PT Cipta Persada Mulia
INDONESIA
CID002696
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
Tin
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
Tin
PT Fang Di MulTindo
INDONESIA
CID001442
Tin
PT Inti Stania Prima
INDONESIA
CID002530
Tin
PT Justindo
INDONESIA
CID000307
Tin
PT Karimun Mining
INDONESIA
CID001448
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Tin
PT Panca Mega Persada
INDONESIA
CID001457
Tin
PT Pelat Timah Nusantara Tbk
INDONESIA
CID001486
Tin
PT Prima Timah Utama
INDONESIA
CID001458


Appendix A

Tin
PT Refined Bangka Tin
INDONESIA
CID001460
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Tin
PT Seirama Tin Investment
INDONESIA
CID001466
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
CID001477
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
CID001482
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
Tin
PT Tirus Putra Mandiri
INDONESIA
CID002478
Tin
PT Tommy Utama
INDONESIA
CID001493
Tin
PT Wahana Perkit Jaya
INDONESIA
CID002479
Tin
Resind Indústria e Comércio Ltda.
BRAZIL
CID002706
Tin
Rui Da Hung
TAIWAN
CID001539
Tin
Soft Metais Ltda.
BRAZIL
CID001758
Tin
Thaisarco
THAILAND
CID001898
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002574
Tin
VQB Mineral and Trading Group JSC
VIET NAM
CID002015
Tin
White Solder Metalurgia e Mineração Ltda.
BRAZIL
CID002036
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
Tin
Yunnan Tin Company Limited
CHINA
CID002180
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
CID000004
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
CHINA
CID002518
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CHINA
CID000345
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
Tungsten
Ganxian Shirui New Material Co., Ltd.
CHINA
CID002531
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
CHINA
CID000868
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
CID002536
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
CID000568
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
Tungsten
H.C. Starck GmbH
GERMANY
CID002541
Tungsten
H.C. Starck Smelting GmbH & Co.KG
GERMANY
CID002542
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
CHINA
CID002578
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313


Appendix A

Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
CID002535
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Tungsten
Kennametal Fallon
UNITED STATES
CID000966
Tungsten
Kennametal Huntsville
UNITED STATES
CID000105
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Tungsten
Niagara Refining LLC
UNITED STATES
CID002589
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
CID002543
Tungsten
Pobedit, JSC
RUSSIAN FEDERATION
CID002532
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
CID002011
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
CID002044
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095




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