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Form SD MARVELL TECHNOLOGY GROUP

May 31, 2016 2:49 PM EDT

 

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

Marvell Technology Group Ltd.

(Exact name of registrant as specified in its charter)

 

 

 

Bermuda   000-30877   77-0481679

(State or other jurisdiction of

incorporation or organization)

  (Commission File No.)   (I.R.S. Employer Identification No.)

Canon’s Court

22 Victoria Street

Hamilton HM 12, Bermuda

(Address of principal executive offices)

Mitchell L. Gaynor

Executive Vice President, Chief Legal Officer and Secretary

(408) 222-2500

(Name and telephone number, including area code, of

person to contact in connection with this report)

 

 

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

 

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

 

 

 


Item 1.01. Conflict Minerals Disclosure and Report.

Conflict Minerals Disclosure

A copy of the Conflict Minerals Report of Marvell Technology Group Ltd. (the “Company”) for the reporting period January 1, 2015 to December 31, 2015 is filed as Exhibit 1.01 to this specialized disclosure report on Form SD and is also available at the Company’s website at www.marvell.com under the heading “Investor Relations - Corporate Governance and Social Responsibility.”

Item 1.02. Exhibit.

As noted in Item 1.01, the Company is filing its Conflict Minerals Report as Exhibit 1.01 to this report.

Item 2.01. Exhibit.

The following exhibit is filed as a part of this report:

 

        Exhibit No.         

  

Description

1.01

   Conflict Minerals Report of Marvell Technology Group Ltd. for the reporting period January 1, 2015 to December 31, 2015.

 

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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.

Date: May 31, 2016

 

Marvell Technology Group Ltd.
By:   /s/ David Eichler
  David Eichler
  Interim Chief Financial Officer

 

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EXHIBIT INDEX

 

        Exhibit No.         

  

Description

1.01

   Conflict Minerals Report of Marvell Technology Group Ltd. for the reporting period January 1, 2015 to December 31, 2015.

 

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Exhibit 1.01

MARVELL TECHNOLOGY GROUP LTD.

CONFLICT MINERALS REPORT

(For the reporting period January 1, 2015 to December 31, 2015)

This Conflict Minerals Report (this “Report”) of Marvell Technology Group Ltd. has been prepared pursuant to Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934 (collectively, the “Rule”) for the reporting period January 1, 2015 to December 31, 2015.

The Rule imposes certain reporting obligations on Securities and Exchange Commission (“SEC”) registrants whose manufactured products contain certain minerals that are necessary to the functionality or production of their products. The specified minerals, which are collectively referred to in this Report as “Conflict Minerals,” are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which the SEC has currently limited to tantalum, tin and tungsten. The “Covered Countries” for purposes of the Rule and this Report are the Democratic Republic of the Congo, the Republic of the Congo, Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola. For purposes of this Report, references to “Marvell,” “we,” “us,” “our” or the “Company” mean Marvell Technology Group Ltd. and its consolidated subsidiaries.

To comply with the Rule, we conducted due diligence on the origin, source and chain of custody of the Conflict Minerals that were necessary to the functionality or production of the products that we manufactured or contracted to manufacture to ascertain whether these Conflict Minerals originated in a Covered Country and financed or benefited armed groups (as defined in Section 1, Item 1.01(d)(2) of Form SD) in any of these countries.

Pursuant to SEC guidance issued April 29, 2014 and the SEC order issued May 2, 2014, Marvell is not required to describe any of its products as “DRC conflict free” (as defined in Section 1, Item 1.01(d)(4) of Form SD), “DRC conflict undeterminable” (as defined in Section 1, Item 1.01(d)(5) of Form SD) or “having not been found to be ‘DRC conflict free,’” and therefore makes no conclusion in this regard in the report presented herein.

I.    Marvell and Its Products

We are a fabless provider of fully integrated platform solutions. Our core strength is the development of complex system-on-a-chip (“SoC”), leveraging our extensive portfolio of intellectual property components in integrated hardware along with software that incorporates digital, analog and mixed-signal computing and communication technologies, designed and configured to provide an optimized solution compared to individual components. Our solutions have become increasingly integrated, with more and more components resulting in an all-in-one solution for a given customer’s end product. The demand for such highly integrated platform solutions is generally driven by technological changes and anticipation of the future needs of device manufacturers and end users, as well as, to an increasing extent, service providers, including cellular network carriers and Internet based applications providers.

Our current product offerings are primarily in three broad end markets: storage, networking, and mobile and wireless.

Storage Products. We offer a broad range of integrated data storage products that operate across all major technologies. Our storage products include: hard disk drive controllers, solid-state drive controllers, and integrated SoCs for storage markets.

Networking Products. We offer several families of products supporting the build-out of new network architectures for residential, enterprise and service provider networks. These products include Ethernet solutions, embedded communication processors, network processors and a variety of platform and SoC solutions, as well as switches, transceivers and other connectivity products.


Other Products. We also offer cloud services products for the cloud services and infrastructure end market and a range of silicon and software solutions for the Internet of Things (IoT) end market, including our Kinoma hardware products and other products designed to enable the next generation of connected consumer platforms. Due to the fact that (i) the Company began selling our Kinoma hardware products commercially during calendar year 2015, and (ii) the manufacturing of such products was completed during calendar year 2015, this Report is the Company’s first Conflict Minerals Report that includes our Kinoma hardware products.

Products Covered by this Report. All of the products contracted by the Company to be manufactured for which manufacturing was completed during calendar year 2015 consisted of integrated circuits or products incorporating integrated circuits and contained small amounts of gold, tantalum, tin and tungsten. These Conflict Minerals are necessary to the functionality or production of each of our integrated circuit products and components. For purposes of this Report, therefore, “products” refers to the products in the product categories listed above for which the manufacturing was completed during calendar year 2015, and “suppliers” refers to our product suppliers.

II.    Manufacturing and Supply Chain

We employ a “fabless” model for the manufacture, assembly and testing of our integrated circuits. We do not own or operate foundries or manufacturing facilities. We outsource our integrated circuit manufacturing to third-party foundries, primarily in Asia. We also outsource all product assembly, packaging and testing of our products to several assembly and test subcontractors in Asia.

As a result of our fabless model, we are a downstream actor in a complex supply chain. Our semiconductor products typically contain many parts and components obtained from a global network of direct suppliers. Furthermore, we often do not have meaningful leverage over upstream actors in the supply chain, as there are multiple tiers of suppliers between us and the ultimate sources of the raw materials used in the manufacture of our integrated circuit products and our other products that incorporate integrated circuits. Raw materials purchased by our direct and indirect suppliers contain gold, tantalum, tin and tungsten obtained from smelters and refiners that, in turn, source those minerals from traders and mines in various countries. Because we do not purchase materials directly from any of these processing facilities, we have relied on our direct suppliers, and on information available from industry sources, for purposes of this Report.

III.    Reasonable Country of Origin Inquiry

We requested that our direct suppliers complete in full the Electronics Industry Citizenship Coalition (“EICC”)–Global e-Sustainability Initiative (“GeSI”) Conflict Minerals Reporting Template (the “CMRT”). The CMRT is designed to request from suppliers sufficient information regarding such suppliers’ practices with respect to the sourcing of Conflict Minerals to enable Marvell to comply with its requirements under the Rule.

Based on the results of our reasonable country of origin inquiry (“RCOI”), we have reason to believe that some of the Conflict Minerals present in our products may have originated in the Covered Countries. We are therefore required by the Rule to file with the SEC a Form SD and a Conflict Minerals Report as an exhibit thereto.

IV.    Due Diligence Design

On the basis of the information obtained as a result of our RCOI, we conducted a broader due diligence investigation regarding the source and chain of custody of the Conflict Minerals contained in our products. There is significant overlap between our RCOI and due diligence processes, and the due diligence measures that we put in place are an extension of the CMRT-based RCOI process. These due diligence measures have been designed to conform, in all material respects, with the framework specified in the Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas, Second Edition, including the related supplements on gold, tin, tantalum and tungsten (the “OECD Guidance”), specifically as the OECD Guidance pertains to downstream purchasers in the minerals supply chain. The OECD Guidance specifies a five-step framework for risk-based due diligence for responsible supply chains of minerals sourced from conflict-affected and high-risk areas.

 

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V.    Due Diligence Performed

Step 1: Establish Strong Company Management Systems.

 

    Marvell maintains a Policy Statement on Conflict Minerals (the “Conflict Minerals Policy”), which provides that Marvell does not support the use of Conflict Minerals that are mined, transported or traded to fund human rights violations, social unrest, political repression or conflict or the use of metal derived from such Conflict Minerals. The Conflict Minerals Policy has been posted on our website at www.marvell.com under the heading “Investor Relations - Corporate Governance and Social Responsibility.”

 

    Marvell also maintains a Supplier Code of Conduct that, among other things, requires our suppliers to comply with the Conflict Minerals Policy, as well as with the Marvell Code of Ethics and the EICC Code of Conduct. The Supplier Code of Conduct is also posted on our website at www.marvell.com under the heading “Investor Relations - Corporate Governance and Social Responsibility.”

 

    The implementation of Marvell’s RCOI and the conducting of due diligence on the source and chain of custody of Marvell’s necessary Conflict Minerals are managed by a cross-functional Conflict Minerals Working Group under the direction of the Corporate Social Responsibility section of our Legal Department and with oversight by our Corporate Social Responsibility Committee (the “ CSR Committee”). The Conflict Minerals Working Group, comprised of subject matter experts from the Quality Systems group within our Operations organization and from our Legal Department, reports its activities to the CSR Committee at each of its meetings, and a representative of the CSR Committee reports at least once a year to the Audit Committee of our Board of Directors. The CSR Committee includes representatives from our Finance, Human Resources, Internal Audit, Legal, Operations and Sales Departments.

 

    We used a multi-layer approach to convey our supplier responsibility expectations to our direct suppliers. All of our direct suppliers have been provided with our Conflict Minerals Policy, Supplier Code of Conduct and Product and Manufacturing Specifications, and these documents are provided to new suppliers as part of our Conflict Minerals due diligence process. Marvell’s Product and Manufacturing Specifications contain provisions requiring that suppliers (i) comply with the Conflict Minerals Policy and the Supplier Code of Conduct and (ii) cooperate with Marvell in providing the information required by the CMRT, and also stipulate the consequences of breaching such provisions.

 

    We maintain a data retention policy to retain material conflict-minerals related records electronically for a period of at least five (5) years from the date of creation.

 

    We maintain our Marvell Concern Line, managed by an independent firm, which is available to our employees and the general public to enable them to anonymously ask questions regarding compliance and ethical issues and to report illegal and unethical activities, including general inquiries and grievances. Access to the Marvell Concern Line has been specifically extended to our direct suppliers.

Step 2: Identify and Assess Risk in the Supply Chain.

 

    We received completed CMRTs from 100% of our direct suppliers and used our suppliers’ completed CMRTs to identify smelters and refiners and determine mine and country of origin.

 

•     We are a member of the EICC and the EICC and GeSI Conflict-Free Sourcing Initiative (“CFSI”) working groups. As a member of the CFSI, a leading industry program that helps its members to manage risk by improving supply chain transparency with respect to Conflict Minerals, Marvell has access to CFSI RCOI data that aids us in determining the mine or location of origin of the Conflict Minerals in our supply chain.

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    We cross-checked information received from our suppliers against data made available by these industry organizations and against additional information obtained from our customers and our own research to determine whether such facilities are validated by the Conflict-Free Sourcing Program (the “CFSP”) developed by the CFSI. When necessary, we engaged with smelters and refiners that we identified as high-risk to encourage such facilities to obtain a “conflict-free” designation from an independent, third-party audit program.

Step 3: Design and Implement a Strategy to Respond to Identified Risks.

 

    We have developed procedures for sending CMRTs to our suppliers on a bi-annual basis, reviewing their responses, consolidating the information in a central database and following up with the suppliers to address any incomplete or inconsistent responses.

 

    We surveyed our suppliers to gain further insights into their conflict minerals due diligence programs and processes, reviewing responses, assessing risk and following up with suppliers to address any inconsistencies, insufficient responses or insufficient documentation.

 

    We encouraged our suppliers to conduct investigations of any smelters or refiners that we identified as high-risk, and worked with our suppliers to mitigate such risk and, where unsuccessful, transition their processing to CFSP-validated smelters or refiners.

 

    We shared with our suppliers our expectations regarding sourcing from “conflict-free” designated smelters and refiners.

 

    When necessary, we directly encouraged the smelters and refiners from which our suppliers source Conflict Minerals to maintain their “conflict-free” designation, to complete action items required to obtain a “conflict-free” designation or to participate in an independent third-party audit program.

 

    If, on the basis of issues that are identified as a result of either (i) the supplier data acquisition or engagement processes or (ii) the receipt of information from other sources, Marvell determines that there is a reasonable risk that a supplier is sourcing Conflict Minerals that are directly or indirectly financing or benefiting armed groups, Marvell will enforce the Conflict Minerals Policy and the Supplier Code of Conduct and the other policies incorporated therein by means of a series of escalations.

 

    Such escalations shall be determined at the discretion of the Conflict Minerals Working Group and, as appropriate, of the CSR Committee and the Audit Committee of the Board of Directors, and may range from prompt engagement with the supplier to resolve the sourcing issue, to requiring such supplier to implement a risk management plan (which plan may involve, as appropriate, remedial action up to and including disengagement from upstream suppliers), to disengagement by Marvell from the applicable supplier.

Step 4: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence.

Given that we do not source Conflict Minerals directly from smelters and refiners, we rely on third parties, including the CFSI, to coordinate and conduct third-party audits of these facilities. We rely on the published results of these third-party audits to validate the responsible sourcing practices of the smelters and refiners in our supply chain.

Step 5: Report on Supply Chain Due Diligence.

As required by the Rule, we have filed a Form SD and a Conflict Minerals Report as an exhibit thereto for the 2015 calendar year reporting period. The Form SD and Conflict Minerals Report are also available on our website at www.marvell.com under the heading “Investor Relations - Corporate Governance and Social Responsibility.”

 

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VI.    Conflict Minerals Processing Facilities

Based on the information provided by our direct suppliers, and otherwise obtained through the due diligence process described above, we have provided information regarding the processing facilities from which we source the Conflict Minerals contained in our products on Appendix A to this Report. Because some of our direct suppliers provided supply chain information on a company level rather than on a product level, this list may include facilities that did not actually process Conflict Minerals contained in our products.

VII.    Country of Origin of Conflict Minerals

Based on the information provided by our direct suppliers, and otherwise obtained through the due diligence process described above, some of the Conflict Minerals necessary to the functionality or production of our products may have originated from mines located in the Covered Countries. As shown on Appendix A, we determined during our due diligence that many of the smelters and refiners providing minerals to our direct suppliers that may have originated from mines located in the Covered Countries are CFSP-validated or actively engaged in the CFSP compliance process. For the CFSP “known smelters” whose status is unknown, we have not received information indicating or suggesting that our sourcing of necessary Conflict Minerals benefitted armed groups in any of the Covered Countries.

VIII.    Efforts to Determine Mine or Location of Origin

As a downstream company, the primary focus of our due diligence on the source and chain of custody of the Conflict Minerals in our supply chain was on the collection and assessment of the CMRT data provided by our direct suppliers. As described above, we supplemented that data using data obtained from the CFSI, our customers and our own research. We were unable to ascertain the country of origin of all necessary Conflict Minerals contained in our products because certain smelters and refiners had not yet received a “conflict-free” designation from an independent third-party audit program and did not respond to our requests for country of origin data.

IX.    Results of Conflict Minerals Due Diligence

Based on the results of the due diligence process with respect to the source and chain of custody of the Conflict Minerals contained in our products conducted for the 2015 reporting year, we do not have sufficient information to determine whether or not the Conflict Minerals contained in our products directly or indirectly finance or benefit armed groups in the Covered Countries.

X.    Independent Private Sector Audit

Given that Marvell has not voluntarily elected to describe any of its products as “DRC conflict free,” an independent private sector audit of this Report has not been conducted.

XI.    Steps to Mitigate Risk

The Company intends to take the following steps, among others, to further mitigate the risk that the Conflict Minerals necessary to the functionality or production of our products benefit armed groups in the Covered Countries:

 

    We intend to continue to monitor our direct suppliers’ Conflict Minerals sourcing practices to ensure that direct suppliers remain in compliance with our Conflict Minerals Policy and Supplier Code of Conduct.

 

    We intend to continue to engage with our direct suppliers, and, when necessary, the smelters and refiners from which our suppliers source Conflict Minerals, to attempt to obtain updated information regarding our supply chain, including CFSI “known smelters” listed on the CFSI’s Standard Smelter List and the location of the mines from which the Conflict Minerals originate.

 

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    We intend to continue to engage with our direct suppliers to encourage their smelters and refiners to obtain a “conflict-free” designation from an independent third-party audit program.

 

    We intend to continue to, when necessary, directly encourage the smelters and refiners from which our suppliers source Conflict Minerals to obtain a “conflict-free” designation from an independent third-party audit program.

 

    We intend to advise any of our direct suppliers found to be sourcing from smelters or refiners that we identify as high-risk to establish an alternative source for Conflict Minerals.

 

    We intend to continue to engage in EICC, CSFI and other industry initiatives promoting “conflict-free” supply chains.

*    *    *    *

FORWARD LOOKING STATEMENTS

Statements relating to due diligence improvements are forward-looking in nature and are based on Marvell’s management’s 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 Marvell’s control and that could cause actual events to differ materially from those expressed or implied by the statements made herein.

DOCUMENTS INCORPORATED BY REFERENCE

Unless otherwise stated herein, any documents, third-party materials or references to websites (including Marvell’s) are not incorporated by reference in, or considered to be a part of, this CMR, unless expressly incorporated by reference herein.

 

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Appendix A

Conflict Minerals Processing Facilities as of May 3, 2016

For the 2015 reporting year, our suppliers identified 290 smelters and refiners as potential sources of conflict minerals. Of such smelters and refiners, 211 have been validated as conflict-free by the CFSP or an independent third-party audit program, and 34 are active with the CFSP or participating in an independent third-party audit program, which represents a total of approximately 85 percent of the smelters and refiners in our supply chain.

Excluding our suppliers providing components and materials for our Kinoma hardware products, the manufacturing spend for which represents less than one percent of our total manufacturing spend, our suppliers identified 165 smelters and refiners as potential sources of conflict minerals, and of such smelters and refiners, 163 have been validated as conflict-free by the CFSP or an independent third-party audit program, and 2 are active with the CFSP or participating in an independent third-party audit program, which represents a total of 100 percent of such smelters and refiners.

Table 1 summarizes the validation status of smelters and refiner, including Kinoma Hardware Products, Table 2 summarizes the validation status of smelters and refiners, excluding Kinoma Hardware Products, and Table 3 contains the name and validation status of each smelter and refiner, including Kinoma Hardware Products. The validation statuses used in such tables have the following meanings:

 

1. “Validated” means validated with the CFSP assessment and audit protocol or independent third-party audit program as a result of providing sufficient documentation to demonstrate with reasonable confidence that the Conflict Minerals they processed originated from conflict-free sources and have not benefitted armed groups;

 

2. “Active” means active toward CFSP validation as a result of (i) committing to undergo a CFSP audit or (ii) participating in one or more of the cross-recognized certification programs; or

 

3. “Not Active” means appearing on the CFSI’s Standard Smelter List but not having attained a “Validated” or “Active” status.

Our suppliers do not source from, and the tables below do not include, processing facilities that have not been identified as “known” smelters by the CFSI.

Table 1: Smelter and Refiner Validation Status Summary, including Kinoma Hardware Products

 

    Gold   Tantalum   Tin   Tungsten   Total
Validated   79   44   58   30   211 (72.8%)
Active   15   0   10   9   34 (11.7%)
Not Active   27   0   14   4   45 (15.5%)
Total   121   44   82   43   290

Table 2: Smelter and Refiner Validation Status Summary, excluding Kinoma Hardware Products

 

    Gold   Tantalum   Tin   Tungsten   Total
Validated   62   36   46   19   163 (98.8%)
Active   0   0   2   0   2 (1.2%)
Not Active   0   0   0   0   0 (0%)
Total   62   36   48   19   165


Table 3: Smelter and Refiner Validation Status Summary, including Kinoma Hardware Products

 

MINERAL        SMELTER NAME    STATUS
Gold        Advanced Chemical Company    Active
Gold        Aida Chemical Industries Co., Ltd.    Validated
Gold        Aktyubinsk Copper Company TOO    Not Active
Gold        Allgemeine Gold-und Silberscheideanstalt A.G.    Validated
Gold        Almalyk Mining and Metallurgical Complex (AMMC)    Active
Gold        AngloGold Ashanti Córrego do Sítio Mineração    Validated
Gold        Argor-Heraeus SA    Validated
Gold        Asahi Pretec Corporation    Validated
Gold        Asahi Refining Canada Limited    Validated
Gold        Asahi Refining USA Inc.    Validated
Gold        Asaka Riken Co., Ltd.    Validated
Gold        Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Not Active
Gold        Aurubis AG    Validated
Gold        Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Validated
Gold        Boliden AB    Validated
Gold        C. Hafner GmbH + Co. KG    Validated
Gold        Caridad    Not Active
Gold        CCR Refinery - Glencore Canada Corporation    Validated
Gold        Cendres + Métaux SA    Active
Gold        Chimet S.p.A.    Validated
Gold        Chugai Mining    Not Active
Gold        Daejin Indus Co., Ltd.    Active
Gold        Daye Non-Ferrous Metals Mining Ltd.    Not Active
Gold        DODUCO GmbH    Validated
Gold        Dowa    Validated
Gold        DSC (Do Sung Corporation)    Active
Gold        Eco-System Recycling Co., Ltd.    Validated
Gold        Elemetal Refining, LLC    Validated
Gold        Faggi Enrico S.p.A.    Active
Gold        Gansu Seemine Material Hi-Tech Co., Ltd.    Not Active
Gold        Geib Refining Corporation    Active
Gold        Great Wall Precious Metals Co., Ltd. of CBPM    Not Active
Gold        Guangdong Jinding Gold Limited    Not Active
Gold        Guoda Safina High-Tech Environmental Refinery Co., Ltd.    Not Active
Gold        Hangzhou Fuchunjiang Smelting Co., Ltd.    Not Active
Gold        Heimerle + Meule GmbH    Validated
Gold        Heraeus Ltd. Hong Kong    Validated
Gold        Heraeus Precious Metals GmbH & Co. KG    Validated

 

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Gold        Hunan Chenzhou Mining Co., Ltd.    Not Active
Gold        Hwasung CJ Co., Ltd.    Not Active
Gold        Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited    Validated
Gold        Ishifuku Metal Industry Co., Ltd.    Validated
Gold        Istanbul Gold Refinery    Validated
Gold        Japan Mint    Validated
Gold        Jiangxi Copper Company Limited    Validated
Gold        JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Validated
Gold        JSC Uralelectromed    Validated
Gold        JX Nippon Mining & Metals Co., Ltd.    Validated
Gold        Kazakhmys Smelting LLC    Not Active
Gold        Kazzinc Ltd    Validated
Gold        Kennecott Utah Copper LLC    Validated
Gold        KGHM Polska Miedź Spółka Akcyjna    Active
Gold        Kojima Chemicals Co., Ltd.    Validated
Gold        Korea Metal Co., Ltd.    Not Active
Gold        Korea Zinc Co. Ltd.    Active
Gold        Kyrgyzaltyn JSC    Not Active
Gold        L’ azurde Company For Jewelry    Not Active
Gold        Lingbao Jinyuan Tonghui Refinery Co., Ltd.    Not Active
Gold        LS-NIKKO Copper Inc.    Validated
Gold        Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    Not Active
Gold        Materion    Validated
Gold        Matsuda Sangyo Co., Ltd.    Validated
Gold        Metalor Technologies (Hong Kong) Ltd.    Validated
Gold        Metalor Technologies (Singapore) Pte., Ltd.    Validated
Gold        Metalor Technologies (Suzhou) Ltd.    Active
Gold        Metalor Technologies SA    Validated
Gold        Metalor USA Refining Corporation    Validated
Gold        METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V    Validated
Gold        Mitsubishi Materials Corporation    Validated
Gold        Mitsui Mining and Smelting Co., Ltd.    Validated
Gold        MMTC-PAMP India Pvt., Ltd.    Validated
Gold        Morris and Watson    Not Active
Gold        Moscow Special Alloys Processing Plant    Validated
Gold        Nadir Metal Rafineri San. Ve Tic. A.Ş.    Validated
Gold        Navoi Mining and Metallurgical Combinat    Active
Gold        Nihon Material Co., Ltd.    Validated
Gold        Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    Validated
Gold        Ohura Precious Metal Industry Co., Ltd.    Validated
Gold        OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Validated

 

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Gold        OJSC Kolyma Refinery    Not Active
Gold        OJSC Novosibirsk Refinery    Validated
Gold        PAMP SA    Validated
Gold        Penglai Penggang Gold Industry Co., Ltd.    Not Active
Gold        Prioksky Plant of Non-Ferrous Metals    Validated
Gold        PT Aneka Tambang (Persero) Tbk    Validated
Gold        PX Précinox SA    Validated
Gold        Rand Refinery (Pty) Ltd.    Validated
Gold        Republic Metals Corporation    Validated
Gold        Royal Canadian Mint    Validated
Gold        Sabin Metal Corp.    Not Active
Gold        Samduck Precious Metals    Active
Gold        SAMWON Metals Corp.    Not Active
Gold        SAXONIA Edelmetalle GmbH    Active
Gold        Schone Edelmetaal B.V.    Validated
Gold        SEMPSA Joyería Platería SA    Validated
Gold        Shandong Tiancheng Biological Gold Industrial Co., Ltd.    Not Active
Gold        Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    Validated
Gold        Sichuan Tianze Precious Metals Co., Ltd.    Validated
Gold        Singway Technology Co., Ltd.    Validated
Gold        So Accurate Group, Inc.    Not Active
Gold        SOE Shyolkovsky Factory of Secondary Precious Metals    Validated
Gold        Solar Applied Materials Technology Corp.    Validated
Gold        Sumitomo Metal Mining Co., Ltd.    Validated
Gold        T.C.A S.p.A    Validated
Gold        Tanaka Kikinzoku Kogyo K.K.    Validated
Gold        The Refinery of Shandong Gold Mining Co., Ltd.    Validated
Gold        Tokuriki Honten Co., Ltd.    Validated
Gold        Tongling Nonferrous Metals Group Co., Ltd.    Not Active
Gold        Torecom    Active
Gold        Umicore Brasil Ltda.    Validated
Gold        Umicore Precious Metals Thailand    Validated
Gold        Umicore SA Business Unit Precious Metals Refining    Validated
Gold        United Precious Metal Refining, Inc.    Validated
Gold        Valcambi SA    Validated
Gold        Western Australian Mint trading as The Perth Mint    Validated
Gold        WIELAND Edelmetalle GmbH    Active
Gold        Yamamoto Precious Metal Co., Ltd.    Validated
Gold        Yokohama Metal Co., Ltd.    Validated
Gold        Yunnan Copper Industry Co., Ltd.    Not Active

 

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Gold        Zhongyuan Gold Smelter of Zhongjin Gold Corporation    Validated
Gold        Zijin Mining Group Co., Ltd. Gold Refinery    Validated
Tantalum        Changsha South Tantalum Niobium Co., Ltd.    Validated
Tantalum        Conghua Tantalum and Niobium Smeltry    Validated
Tantalum        D Block Metals, LLC    Validated
Tantalum        Duoluoshan    Validated
Tantalum        Exotech Inc.    Validated
Tantalum        F&X Electro-Materials Ltd.    Validated
Tantalum        FIR Metals & Resource Ltd.    Validated
Tantalum        Global Advanced Metals Aizu    Validated
Tantalum        Global Advanced Metals Boyertown    Validated
Tantalum        Guangdong Zhiyuan New Material Co., Ltd.    Validated
Tantalum        H.C. Starck Co., Ltd.    Validated
Tantalum        H.C. Starck GmbH Goslar    Validated
Tantalum        H.C. Starck GmbH Laufenburg    Validated
Tantalum        H.C. Starck Hermsdorf GmbH    Validated
Tantalum        H.C. Starck Inc.    Validated
Tantalum        H.C. Starck Ltd.    Validated
Tantalum        H.C. Starck Smelting GmbH & Co.KG    Validated
Tantalum        Hengyang King Xing Lifeng New Materials Co., Ltd.    Validated
Tantalum        Hi-Temp    Validated
Tantalum        Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    Validated
Tantalum        JiuJiang JinXin Nonferrous Metals Co., Ltd.    Validated
Tantalum        Jiujiang Tanbre Co., Ltd.    Validated
Tantalum        Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    Validated
Tantalum        KEMET Blue Metals    Validated
Tantalum        KEMET Blue Powder    Validated
Tantalum        King-Tan Tantalum Industry Ltd.    Validated
Tantalum        LSM Brasil S.A.    Validated
Tantalum        Metallurgical Products India Pvt., Ltd.    Validated
Tantalum        Mineração Taboca S.A.    Validated
Tantalum        Mitsui Mining & Smelting    Validated
Tantalum        Molycorp Silmet A.S.    Validated
Tantalum        Ningxia Orient Tantalum Industry Co., Ltd.    Validated
Tantalum        Plansee SE Liezen    Validated
Tantalum        Plansee SE Reutte    Validated
Tantalum        QuantumClean    Validated
Tantalum        RFH Tantalum Smeltry Co., Ltd.    Validated
Tantalum        Solikamsk Magnesium Works OAO    Validated
Tantalum        Taki Chemicals    Validated
Tantalum        Telex Metals    Validated

 

5


Tantalum        Tranzact, Inc.    Validated
Tantalum        Ulba Metallurgical Plant JSC    Validated
Tantalum        XinXing HaoRong Electronic Material Co., Ltd.    Validated
Tantalum        Yichun Jin Yang Rare Metal Co., Ltd.    Validated
Tantalum        Zhuzhou Cemented Carbide    Validated
Tin        Alpha    Validated
Tin        An Vinh Joint Stock Mineral Processing Company    Active
Tin        Chenzhou Yunxiang Mining and Metallurgy Company Limited    Active
Tin        China Tin Group Co., Ltd.    Validated
Tin        CNMC (Guangxi) PGMA Co., Ltd.    Not Active
Tin        Cooperativa Metalurgica de Rondônia Ltda.    Validated
Tin        CV Ayi Jaya    Validated
Tin        CV Gita Pesona    Validated
Tin        CV Serumpun Sebalai    Validated
Tin        CV United Smelting    Validated
Tin        CV Venus Inti Perkasa    Validated
Tin        Dowa    Validated
Tin        Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Active
Tin        Elmet S.L.U. (Metallo Group)    Validated
Tin        EM Vinto    Validated
Tin        Estanho de Rondônia S.A.    Not Active
Tin        Feinhütte Halsbrücke GmbH    Not Active
Tin        Fenix Metals    Validated
Tin        Gejiu Kai Meng Industry and Trade LLC    Active
Tin        Gejiu Non-Ferrous Metal Processing Co., Ltd.    Validated
Tin        Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    Active
Tin        Gejiu Zili Mining And Metallurgy Co., Ltd.    Not Active
Tin        Huichang Jinshunda Tin Co., Ltd.    Not Active
Tin        Jiangxi Ketai Advanced Material Co., Ltd.    Validated
Tin        Linwu Xianggui Ore Smelting Co., Ltd.    Not Active
Tin        Magnu’s Minerais Metais e Ligas Ltda.    Validated
Tin        Malaysia Smelting Corporation (MSC)    Validated
Tin        Melt Metais e Ligas S/A    Validated
Tin        Metallic Resources, Inc.    Validated
Tin        Metallo-Chimique N.V.    Validated
Tin        Mineração Taboca S.A.    Validated
Tin        Minsur    Validated
Tin        Mitsubishi Materials Corporation    Validated
Tin        Nankang Nanshan Tin Manufactory Co., Ltd.    Not Active
Tin        Nghe Tinh Non-Ferrous Metals Joint Stock Company    Active

 

6


Tin        O.M. Manufacturing (Thailand) Co., Ltd.    Validated
Tin        O.M. Manufacturing Philippines, Inc.    Validated
Tin        Operaciones Metalurgical S.A.    Validated
Tin        Phoenix Metal Ltd.    Active
Tin        PT Alam Lestari Kencana    Not Active
Tin        PT Aries Kencana Sejahtera    Validated
Tin        PT Artha Cipta Langgeng    Validated
Tin        PT ATD Makmur Mandiri Jaya    Validated
Tin        PT Babel Inti Perkasa    Validated
Tin        PT Bangka Kudai Tin    Not Active
Tin        PT Bangka Prima Tin    Validated
Tin        PT Bangka Timah Utama Sejahtera    Not Active
Tin        PT Bangka Tin Industry    Validated
Tin        PT Belitung Industri Sejahtera    Validated
Tin        PT BilliTin Makmur Lestari    Validated
Tin        PT Bukit Timah    Validated
Tin        PT Cipta Persada Mulia    Validated
Tin        PT DS Jaya Abadi    Validated
Tin        PT Eunindo Usaha Mandiri    Validated
Tin        PT Fang Di MulTindo    Not Active
Tin        PT Inti Stania Prima    Validated
Tin        PT Justindo    Validated
Tin        PT Karimun Mining    Active
Tin        PT Mitra Stania Prima    Validated
Tin        PT Panca Mega Persada    Validated
Tin        PT Pelat Timah Nusantara Tbk    Not Active
Tin        PT Prima Timah Utama    Validated
Tin        PT Refined Bangka Tin    Validated
Tin        PT Sariwiguna Binasentosa    Validated
Tin        PT Seirama Tin Investment    Not Active
Tin        PT Stanindo Inti Perkasa    Validated
Tin        PT Sumber Jaya Indah    Validated
Tin        PT Timah (Persero) Tbk Kundur    Validated
Tin        PT Timah (Persero) Tbk Mentok    Validated
Tin        PT Tinindo Inter Nusa    Validated
Tin        PT Tirus Putra Mandiri    Not Active
Tin        PT Tommy Utama    Validated
Tin        PT Wahana Perkit Jaya    Validated
Tin        Resind Indústria e Comércio Ltda.    Validated
Tin        Rui Da Hung    Validated
Tin        Soft Metais Ltda.    Validated

 

7


Tin        Thaisarco    Validated
Tin        Tuyen Quang Non-Ferrous Metals Joint Stock Company    Active
Tin        VQB Mineral and Trading Group JSC    Validated
Tin        White Solder Metalurgia e Mineração Ltda.    Validated
Tin        Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    Active
Tin        Yunnan Tin Group (Holding) Company Limited    Validated
Tungsten        A.L.M.T. TUNGSTEN Corp.    Validated
Tungsten        Asia Tungsten Products Vietnam Ltd.    Validated
Tungsten        Chenzhou Diamond Tungsten Products Co., Ltd.    Validated
Tungsten        Chongyi Zhangyuan Tungsten Co., Ltd.    Validated
Tungsten        Dayu Jincheng Tungsten Industry Co., Ltd.    Active
Tungsten        Dayu Weiliang Tungsten Co., Ltd.    Active
Tungsten        Fujian Jinxin Tungsten Co., Ltd.    Validated
Tungsten        Ganxian Shirui New Material Co., Ltd.    Not Active
Tungsten        Ganzhou Huaxing Tungsten Products Co., Ltd.    Validated
Tungsten        Ganzhou Jiangwu Ferrotungsten Co., Ltd.    Validated
Tungsten        Ganzhou Non-ferrous Metals Smelting Co., Ltd.    Active
Tungsten        Ganzhou Seadragon W & Mo Co., Ltd.    Validated
Tungsten        Ganzhou Yatai Tungsten Co., Ltd.    Validated
Tungsten        Global Tungsten & Powders Corp.    Validated
Tungsten        Guangdong Xianglu Tungsten Co., Ltd.    Validated
Tungsten        H.C. Starck GmbH    Validated
Tungsten        H.C. Starck Smelting GmbH & Co.KG    Validated
Tungsten        Hunan Chenzhou Mining Co., Ltd.    Validated
Tungsten        Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    Validated
Tungsten        Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin    Not Active
Tungsten        Hunan Chunchang Nonferrous Metals Co., Ltd.    Validated
Tungsten        Hydrometallurg, JSC    Validated
Tungsten        Japan New Metals Co., Ltd.    Validated
Tungsten        Jiangwu H.C. Starck Tungsten Products Co., Ltd.    Active
Tungsten        Jiangxi Gan Bei Tungsten Co., Ltd.    Validated
Tungsten        Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    Not Active
Tungsten        Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    Active
Tungsten        Jiangxi Xinsheng Tungsten Industry Co., Ltd.    Active
Tungsten        Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    Validated
Tungsten        Jiangxi Yaosheng Tungsten Co., Ltd.    Active
Tungsten        Kennametal Fallon    Active
Tungsten        Kennametal Huntsville    Validated
Tungsten        Malipo Haiyu Tungsten Co., Ltd.    Validated
Tungsten        Niagara Refining LLC    Validated
Tungsten        Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    Validated

 

8


Tungsten        Pobedit, JSC    Active
Tungsten        Sanher Tungsten Vietnam Co., Ltd.    Not Active
Tungsten        Tejing (Vietnam) Tungsten Co., Ltd.    Validated
Tungsten        Vietnam Youngsun Tungsten Industry Co., Ltd.    Validated
Tungsten        Wolfram Bergbau und Hütten AG    Validated
Tungsten        Xiamen Tungsten (H.C.) Co., Ltd.    Validated
Tungsten        Xiamen Tungsten Co., Ltd.    Validated
Tungsten        Xinhai Rendan Shaoguan Tungsten Co., Ltd.    Validated

The “Validated” smelters and refiners in the list above that report country of origin information to the CFSI reported that the Conflict Minerals processed by these facilities originated from the following countries:

Angola, Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Burundi, Cambodia, Canada, Central African Republic, Chile, China, Colombia, Cote D’Ivoire, Czech Republic, Democratic Republic of the Congo, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, France, Germany, Guyana, Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Kenya, Laos, Luxembourg, Madagascar, Malaysia, Mongolia, Mozambique, Myanmar, Namibia, Netherlands, Nigeria, Peru, Portugal, Republic of Congo, Russia, Rwanda, Sierra Leone, Singapore, Slovakia, South Africa, South Korea, South Sudan, Spain, Suriname, Switzerland, Taiwan, Tanzania, Thailand, Uganda, United Kingdom, United States of America, Vietnam, Zambia and Zimbabwe.

 

9



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