Form SD CITRIX SYSTEMS INC

May 26, 2022 8:09 AM EDT

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United States

Securities and Exchange Commission

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

Citrix Systems, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   0-27084

(State or other jurisdiction of

incorporation)

 

(Commission

file number)

 

851 West Cypress Creek Road

Fort Lauderdale, Florida

  33309
(Address of principal executive offices)   (Zip code)

 

Antonio G. Gomes   (781) 203-4500
(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:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2021.

 

    

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

As provided for in the Conflict Minerals Rule, a Conflict Minerals Report is provided as an Exhibit to this Form SD and is available on our website at http://www.citrix.com/content/dam/citrix/en_us/documents/about/conflict-minerals-report.pdf. The information contained on our website is not incorporated by reference into this Form SD or our Conflict Minerals Report and should not be considered part of this Form SD or the Conflict Minerals Report.

Information concerning tin, tantalum, tungsten and gold from recycled or scrap sources that may be contained in our in-scope products is included in the Conflict Minerals Report and is incorporated in this Form SD by reference.

Item 1.02 Exhibit

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

Section 2 – Resource Extraction Issuer Disclosure

Item 2.01 Resource Extraction Issuer Disclosure and Report

Not applicable.

Section 3 – Exhibits

Item 3.01 Exhibit

Exhibit 1.01 – Conflict Minerals Report for the calendar year ended December 31, 2021.

 

1


SIGNATURES

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

Citrix Systems, Inc.

 

/s/ Antonio G. Gomes

                    

May 26, 2022                     

By: Antonio G. Gomes     Date
Title: Executive Vice President, Chief Legal Officer and Secretary    

 

2


EXHIBIT INDEX

 

Exhibit

  

Description

1.01    Conflict Minerals Report for the calendar year ended December 31, 2021.

 

3

Exhibit 1.01

Conflict Minerals Report

Citrix Systems, Inc. has included this Conflict Minerals Report as an exhibit to its Form SD for 2021 as provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Form SD (collectively, the “Conflict Minerals Rule”).

Unless the context indicates otherwise, the terms “Citrix,” “we,” “its,” “us,” and “our” refer to Citrix Systems, Inc. and its consolidated subsidiaries. As used herein and consistent with the Conflict Minerals Rule, “Conflict Minerals” or “3TG” are columbite-tantalite (coltan), cassiterite, gold, wolframite and the derivatives tantalum, tin and tungsten, without regard to the location of origin of the minerals or derivative metals.

Forward-Looking Statements

This document contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the Exchange Act. In particular, statements contained in this document that are not historical facts, including, but not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG benefit armed groups, constitute forward-looking statements and are made under the safe harbor provisions of Section 27A of the Securities Act and Section 21E of the Exchange Act.

Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties may include, but are not limited to, the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all, whether smelters and refiners and other market participants responsibly source 3TG and political and regulatory developments, whether in the Democratic Republic of the Congo (the “DRC”) region, the United States or elsewhere. We caution readers not to place undue reliance on any forward-looking statements, which only speak as of the date made. We undertake no obligation to update any forward-looking statement to reflect events or circumstances after the date on which such statement is made.

Applicability of the Conflict Minerals Rule to Our Company

Citrix is an enterprise software company focused on helping organizations deliver a consistent and secure work experience no matter where work needs to get done – in the office, at home, or in the field. We do this by delivering a digital workspace solution that provides unified, reliable and secure access to all work resources (apps, content, etc.) and simplifies work execution and collaboration across every work channel, device and location. Our Workspace solutions are complemented by our general work solutions, such as content collaboration and collaborative work management solutions, and our App Delivery and Security solutions, which deliver the applications and data employees need across any network with security, reliability and speed. Most of our products consist solely of software and do not contain a physical component and therefore do not contain 3TG. Accordingly, substantially all of our products are out of scope for purposes of the Conflict Minerals Rule.

Although substantially all of our products are out of scope for purposes of the Conflict Minerals Rule, we identified a limited number of hardware components with necessary 3TG content in the products that we contracted to manufacture in 2021. These in-scope products consisted of physical networking products (“In-Scope Products”). We did not directly source the 3TG in these In-Scope Products, and we make no purchases from mines in the DRC or any of its adjoining countries (the “Covered Countries”) or from any smelters or refiners. The 3TG were sourced, either directly or indirectly, by the manufacturers of the In-Scope Products and we believe that we are, in most cases, many levels removed from such mines, smelters or refiners. While, practically speaking, we have limited influence over the sourcing of the 3TG in our In-Scope Products, through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with our Conflict Minerals Policy (which is discussed below under “Our Conflict Minerals Policy”), promote transparency and traceability and encourage conflict free sourcing in our supply chain.

For 2021, we were unable to determine the origin of at least a portion of the 3TG that were necessary to the functionality or production of each of our In-Scope Products. None of the necessary 3TG contained in our In-Scope Products were determined by us to directly or indirectly finance or benefit armed groups in the Covered Countries. However, we did not conclude that any of our products were “DRC conflict free.” The terms “adjoining country,” “armed group,” and “DRC conflict free” have the meanings contained in the Conflict Minerals Rule. Smelter, refiner and country of origin information for 2021 is provided under “Product Information” below.

Our Conflict Minerals Policy

 

1


We have adopted a company policy relating to 3TG (the “Conflict Minerals Policy”). The Conflict Minerals Policy includes, but is not limited to, our expectations that our suppliers:

 

  1.

adopt a policy of responsible sourcing of minerals and pass this requirement through their supply chain;

 

  2.

implement due diligence processes to support that policy;

 

  3.

source minerals from socially responsible suppliers; and

 

  4.

provide us all information we may request regarding the sourcing of minerals in products supplied to us.

The Conflict Minerals Policy indicates that, if we become aware of a supplier who is not in compliance with the foregoing expectations, then we will take appropriate action to remedy the situation, including reassessment of supplier relationships.

Our Conflict Minerals Policy also contains an email address for employees, suppliers and other interested parties to report violations of the policy electronically. The email address is [email protected]

We do not support embargos of 3TG from the DRC region, but rather encourage our suppliers to continue to source responsibly from that region.

Reasonable Country of Origin Inquiry Information

As required by the Conflict Minerals Rule, for 2021, we conducted a “reasonable country of origin inquiry.” For our reasonable country of origin inquiry, to the extent applicable, we utilized the same processes and procedures as for our due diligence, in particular Steps 1 and 2 of the OECD Guidance (as defined below) design framework, which are described below in this Conflict Minerals Report.

Our outreach included, with respect to the In-Scope Products, all of those suppliers (the “Suppliers”) that we identified as having provided us with components, parts or products that contain 3TG or that we believe may have provided us with components, parts or products that contain 3TG. In connection with our scoping determination, we looked at product specifications, made supplier inquiries and utilized other information known to us regarding the materials composition of our products.

For 2021, the Suppliers identified to us 189 smelters and refiners that processed or may have processed the necessary 3TG contained in our In-Scope Products. Based on our reasonable country of origin inquiry, we concluded that 82 of these smelters and refiners sourced entirely from outside of the Covered Countries, including from recycled or scrap sources, as described under “Product Information – Smelter, Refiner and Country of Origin Information.” Our conclusion was based on information provided by the Responsible Minerals Initiative (the “RMI”) to its members.

Pursuant to the Conflict Minerals Rule, based on the results of our reasonable country of origin inquiry, we exercised due diligence for 2021. These due diligence efforts are discussed below.

Due Diligence Measures

Design Framework

We utilize due diligence measures relating to 3TG that are intended to conform with, in all material respects, the criteria set forth in the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Third Edition) (the “OECD Guidance”).

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

Selected Elements of Design Framework and Due Diligence Program

Compliance Team

 

2


In support of our compliance efforts, we have a Conflict Minerals Reporting Oversight Committee (the “Committee”) that is charged with overseeing, implementing and providing feedback on our Conflict Minerals compliance strategy. The Committee consists of senior staff under our Executive Vice President and Chief Financial Officer and our Executive Vice President and Chief Legal Officer, who have executive leadership for our 3TG compliance program. Finance, legal and supply chain management are represented on the Committee. Certain members of the Committee and selected other internal personnel are trained on the Conflict Minerals Rule, the OECD Guidance, our compliance plan and the procedures for reviewing and validating supplier responses to our inquiries.

The Committee is supplemented by outside professionals. We utilize specialist outside counsel to advise us on certain aspects of our compliance. We also utilize a third-party to help us gather data from some suppliers.

Conflict Minerals Policy; Reporting Mechanism

As described above under “Our Conflict Minerals Policy,” we have adopted a Conflict Minerals Policy. We communicate the Conflict Minerals Policy internally to selected employees. The Conflict Minerals Policy also is communicated to direct suppliers and certain tier 2 suppliers with whom we have a direct relationship and that we determine to potentially be in-scope for purposes of our compliance. In addition, the Conflict Minerals Policy is posted on our website at https://www.citrix.com/content/dam/citrix/en_us/documents/about/conflict-minerals-policy.pdf. Our Conflict Minerals Policy contains an email address for employees, suppliers and other interested parties to report violations of the policy electronically. The email address is [email protected]

Records Storage and Retention

We have an internal electronic database for the maintenance of business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions. As contemplated by the OECD Guidance, our policy requires the maintenance of these records for at least five years.

Contract Terms with Suppliers

We have a contract addendum (the “Contract Addendum”) requiring relevant suppliers to agree to, among other things, (1) maintain, record and provide to us on request, traceability data and other information that we may request in order to facilitate our compliance with the Conflict Minerals Rule, (2) comply with our Conflict Minerals Policy and (3) adopt and maintain policies, due diligence frameworks and management systems that enable us to comply with our obligations under the Conflict Minerals Rule. The Contract Addendum was sent to suppliers with whom we already had contracts at the time that the addendum was developed and is included in new proposed contracts as determined to be appropriate by our legal department.

Identification, Assessment and Reporting of Supply Chain Risk

Following our scoping determination, we request that relevant suppliers provide us with information concerning the usage and source of the 3TG in the In-Scope Products they supply to us by submitting to us a completed copy of the Conflict Minerals Reporting Template (“Template”) developed by the RMI. We requested that the Suppliers furnish us with a completed Template at the product level. We followed up by email or phone with the Suppliers that did not provide a response within the specified time frame. Some of the requests were sent, and follow-up was performed on our behalf, by one of our tier 1 third-party manufacturers.

After we receive back the Template responses from suppliers, we review the responses. We, or one of our tier 1 third-party manufacturers on our behalf, follow up with suppliers that do not fully complete the Template or that submit a response that we determine contained errors or inaccuracies. If a supplier does not fully complete the Template or if we determine that the response contained errors or inaccuracies, we or the third-party manufacturer on our behalf requests that the supplier submit a revised response.

We reviewed the smelters and refiners identified to us by the Suppliers against those contained on the Smelter Look-up tab list of the Template and the lists of Conformant and Active (as defined later in this Conflict Minerals Report) smelters and refiners published by the RMI, as well as the country of origin information made available by the RMI to its members. For 2021, 178, or 94%, of the identified smelters and refiners in product level Template responses were listed as Conformant by the RMI as of May 10, 2022.

 

3


Based on the information furnished by the Suppliers and other information known to us, we assessed the risks of adverse impacts. The Committee reported the findings of its supply chain risk assessment to our Executive Vice President and Chief Financial Officer, our Executive Vice President and Chief Legal Officer and our internal management Disclosure Committee.

We determine on a case-by-case basis the appropriate risk mitigation strategy for any identified risks of a violation of our Conflict Minerals Policy. Potential outcomes under our risk mitigation strategy include continuing to work with the supplier while risks are addressed or reassessing the relationship with the supplier. Under our risk mitigation strategy, to the extent that risks that require mitigation are identified, if applicable, we will adopt procedures for monitoring and tracking the performance of the risk mitigation efforts and for reporting these efforts back to appropriate senior oversight personnel. Under our procedures, we also will undertake additional fact and risk assessments, as determined by the Committee, for risks that require mitigation or after a change of circumstances.

Independent Third-party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

We utilize and rely on information made available by the RMI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence and to determine whether identified smelters and refiners are Conformant. We are a member of the Responsible Business Alliance (the “RBA”), of which the RMI is an initiative.

Report on Supply Chain Due Diligence

We file a Form SD and a Conflict Minerals Report with the Securities and Exchange Commission and make these filings available on our corporate website.

Product Information

For 2021, we were unable to determine the origin of at least a portion of the necessary 3TG in each of our In-Scope Products (which are described earlier in this Conflict Minerals Report). Most of our products consist solely of software and do not contain a physical component, and therefore do not contain 3TG. For a further discussion of our products, see our Annual Report on Form 10-K for the fiscal year ended December 31, 2021. The information contained in our Form 10-K is not incorporated by reference into this Conflict Minerals Report or our Form SD and should not be considered part of this Conflict Minerals Report or our Form SD.

For 2021, none of the 3TG in our In-Scope Products was determined by us to have directly or indirectly financed or benefitted armed groups in the Covered Countries. An “armed group” under the Conflict Minerals Rule is an armed group that is identified as a perpetrator of serious human rights abuses in annual Country Reports on Human Rights Practices under sections 116(d) and 502B(b) of the Foreign Assistance Act of 1961 relating to the Covered Countries. However, we did not conclude that any of our products were “DRC conflict free.”

Smelter, Refiner and Country of Origin Information

The Suppliers identified to us the 189 facilities listed below that may have processed the necessary 3TG contained in our In-Scope Products during 2021. As of May 10, 2022, 178 of these facilities, or 94%, were listed as Conformant.

We depend upon our suppliers for information concerning the origin of the 3TG contained in our In-Scope Products. The smelters and refiners identified to us by the Suppliers may not be all of the smelters and refiners that were in our supply chain during 2021, since the Suppliers were not able to obtain smelter and refiner information from all of their direct and indirect suppliers, and since we did not receive responses from all of the Suppliers.

 

4


Smelter and Refiner Information (1)

 

Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Gold    Aida Chemical Industries Co., Ltd.    JAPAN    CID000019    Conformant
Gold    Agosi AG    GERMANY    CID000035    Conformant
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    CID000058    Conformant
Gold    Argor-Heraeus S.A.    SWITZERLAND    CID000077    Conformant
Gold    Asahi Pretec Corp.    JAPAN    CID000082    Conformant
Gold    Asahi Refining Canada Ltd.    CANADA    CID000924    Conformant
Gold    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    CID000920    Conformant
Gold    Asaka Riken Co., Ltd.    JAPAN    CID000090    Conformant
Gold    Aurubis AG    GERMANY    CID000113    Conformant
Gold    Bangalore Refinery    INDIA    CID002863    Conformant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    CID000128    Conformant
Gold    Boliden AB    SWEDEN    CID000157    Conformant
Gold    C. Hafner GmbH + Co. KG    GERMANY    CID000176    Conformant
Gold    CCR Refinery – Glencore Canada Corporation    CANADA    CID000185    Conformant
Gold    Chimet S.p.A.    ITALY    CID000233    Conformant
Gold    DODUCO Contacts and Refining GmbH    GERMANY    CID000362    Conformant
Gold    Dowa    JAPAN    CID000401    Conformant
Gold    Eco-System Recycling Co., Ltd. East Plant    JAPAN    CID000425    Conformant
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    CID002561    Conformant
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    CID002243    Conformant

 

5


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Gold    Heimerle + Meule GmbH    GERMANY    CID000694    Conformant
Gold    Heraeus Metals Hong Kong Ltd.    CHINA    CID000707    Conformant
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    CID000807    Conformant
Gold    Istanbul Gold Refinery    TURKEY    CID000814    Conformant
Gold    Japan Mint    JAPAN    CID000823    Conformant
Gold    Jiangxi Copper Co., Ltd.    CHINA    CID000855    Conformant
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    CID000929    On Smelter Look-up Tab List Only
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    CID000937    Conformant
Gold    Kazzinc    KAZAKHSTAN    CID000957    Conformant
Gold    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA    CID000969    Conformant
Gold    Kojima Chemicals Co., Ltd.    JAPAN    CID000981    Conformant
Gold    L’Orfebre S.A.    ANDORRA    CID002762    Conformant
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    CID001078    Conformant
Gold    Materion    UNITED STATES OF AMERICA    CID001113    Conformant
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    CID001119    Conformant
Gold    Metalor Technologies S.A.    SWITZERLAND    CID001153    Conformant
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    CID001149    Conformant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    CID001152    Conformant
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    CID001147    Conformant
Gold    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    CID001157    Conformant
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    CID001161    Conformant
Gold    Mitsubishi Materials Corporation    JAPAN    CID001188    Conformant

 

6


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001193    Conformant
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    CID001204    On Smelter Look-up Tab List Only
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    CID001220    Conformant
Gold    Nihon Material Co., Ltd.    JAPAN    CID001259    Conformant
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    CID001325    Conformant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    CID001326    On Smelter Look-up Tab List Only
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    CID000493    On Smelter Look-up Tab List Only
Gold    PAMP S.A.    SWITZERLAND    CID001352    Conformant
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    CID001386    On Smelter Look-up Tab List Only
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    CID001397    Conformant
Gold    PX Precinox S.A.    SWITZERLAND    CID001498    Conformant
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    CID001512    Conformant
Gold    Royal Canadian Mint    CANADA    CID001534    Conformant
Gold    SAXONIA Edelmetalle GmbH    GERMANY    CID002777    Conformant
Gold    SEMPSA Joyeria Plateria S.A.    SPAIN    CID001585    Conformant
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    CID001622    Conformant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    CID001736    Conformant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    CID001756    On Smelter Look-up Tab List Only
Gold    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA    CID001761    Conformant

 

7


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    CID0001798    Conformant
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    CID001875    Conformant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    CID0001916    Conformant
Gold    Tokuriki Honten Co., Ltd.    JAPAN    CID001938    Conformant
Gold    Umicore Precious Metals Thailand    THAILAND    CID002314    Conformant
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    CID001980    Conformant
Gold    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA    CID001993    Conformant
Gold    Valcambi S.A.    SWITZERLAND    CID002003    Conformant
Gold    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    CID002030    Conformant
Gold    WIELAND Edelmetalle GmbH    GERMANY    CID002778    Conformant
Gold    Yamakin Co., Ltd.    JAPAN    CID002100    Conformant
Gold    Yokohama Metal Co., Ltd.    JAPAN    CID002129    Conformant
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    CID002224    Conformant
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    CID000211    Conformant
Tantalum    D Block Metals, LLC    UNITED STATES OF AMERICA    CID002504    Conformant
Tantalum    Exotech Inc.    UNITED STATES OF AMERICA    CID000456    Conformant
Tantalum    F&X Electro-Materials Ltd.    CHINA    CID000460    Conformant
Tantalum    FIR Metals & Resource Ltd.    CHINA    CID002505    Conformant
Tantalum    Global Advanced Metals Aizu    JAPAN    CID002558    Conformant
Tantalum    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    CID002557    Conformant

 

8


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    CID002547    Conformant
Tantalum    H.C. Starck Inc.    UNITED STATES OF AMERICA    CID002548    Conformant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    CID002492    Conformant
Tantalum    Jiangxi Tuohong New Raw Material    CHINA    CID002842    Conformant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    CID000914    Conformant
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    CID000917    Conformant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    CID002506    Conformant
Tantalum    AMG Brasil    BRAZIL    CID001076    Conformant
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    CID001163    Conformant
Tantalum    Mineracao Taboca S.A.    BRAZIL    CID001175    Conformant
Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001192    Conformant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    CID001277    Conformant
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    CID001769    On Smelter Look-up Tab List Only
Tantalum    Taki Chemical Co., Ltd.    JAPAN    CID001869    Conformant
Tantalum    TANIOBIS Co., Ltd.    THAILAND    CID002544    Conformant
Tantalum    TANIOBIS GmbH   

GERMANY

   CID002545    Conformant
Tantalum    TANIOBIS Japan Co., Ltd.    JAPAN    CID002549    Conformant
Tantalum    TANIOBIS Smelting GmbH & Co. KG    GERMANY    CID002550    Conformant
Tantalum    Telex Metals    UNITED STATES OF AMERICA    CID001891    Conformant
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    CID001969    Conformant

 

9


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Tantalum    XIMEI RESOURCES (GUANGDONG) LIMITED    CHINA    CID000616    Conformant
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    CID001522    Conformant
Tin    Alpha    UNITED STATES OF AMERICA    CID000292    Conformant
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    CID000228    Conformant
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    CID003190    Conformant
Tin    China Tin Group Co., Ltd.    CHINA    CID001070    Conformant
Tin    Dowa    JAPAN    CID000402    Conformant
Tin    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)    CID000438    Conformant
Tin    Fenix Metals    POLAND    CID000468    Conformant
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    CID000942    Conformant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    CID000538    Conformant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    CID001908    Conformant
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    CID000555    Conformant
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    CID003116    Conformant
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    CID002844    Conformant
Tin    Jiangxi New Nanshan Technology Ltd.    CHINA    CID001231    Conformant
Tin    Luna Smelter, Ltd.    RWANDA    CID003387    Conformant
Tin    Ma’anshan Weitai Tin Co., Ltd.    CHINA    CID003379    Conformant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    CID002468    Conformant

 

10


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    CID001105    Conformant
Tin    Melt Metais e Ligas S.A.    BRAZIL    CID002500    Conformant
Tin    Metallic Resources, Inc.    UNITED STATES OF AMERICA    CID001142    Conformant
Tin    Metallo Belgium N.V.    BELGIUM    CID002773    Conformant
Tin    Metallo Spain S.L.U.    SPAIN    CID002774    Conformant
Tin    Mineracao Taboca S.A.    BRAZIL    CID001173    Conformant
Tin    Minsur    PERU    CID001182    Conformant
Tin    Mitsubishi Materials Corporation    JAPAN    CID001191    Conformant
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314    Conformant
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517    Conformant
Tin    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)    CID001337    Conformant
Tin    PT Artha Cipta Langgeng    INDONESIA    CID001399    Conformant
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    CID002503    Conformant
Tin    PT Babel Surya Alam Lestari    INDONESIA    CID001406    Conformant
Tin    PT Bangka Serumpun    INDONESIA    CID003205    Conformant
Tin    PT Menara Cipta Mulia    INDONESIA    CID002835    Conformant
Tin    PT Mitra Stania Prima    INDONESIA    CID001453    Conformant
Tin    PT Prima Timah Utama    INDONESIA    CID001458    Conformant
Tin    PT Rajawali Rimba Perkasa    INDONESIA    CID003381    Conformant
Tin    PT Rajehan Ariq    INDONESIA    CID002593    Conformant
Tin    PT Refined Bangka Tin    INDONESIA    CID001460    Conformant
Tin    PT Stanindo Inti Perkasa    INDONESIA    CID001468    Conformant
Tin    PT Timah Tbk Kundur    INDONESIA    CID001477    Conformant
Tin    PT Timah Tbk Mentok    INDONESIA    CID001482    Conformant
Tin    PT Tinindo Inter Nusa    INDONESIA    CID001490    Conformant

 

11


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Tin    Resind Industria e Comercio Ltda.    BRAZIL    CID002706    Conformant
Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    CID001539    Conformant
Tin    Soft Metais Ltda.    BRAZIL    CID001758    Conformant
Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    CID002834    Conformant
Tin    Thaisarco    THAILAND    CID001898    Conformant
Tin    Tin Technology & Refining    UNITED STATES OF AMERICA    CID003325    Conformant
Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    CID002036    Conformant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    CID002158    Conformant
Tin    Yunnan Tin Company Limited    CHINA    CID002180    Conformant
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA    CID003397    On Smelter Look-up Tab List Only
Tungsten    A.L.M.T. Corp.    JAPAN    CID000004    Conformant
Tungsten    ACL Metais Eireli    BRAZIL    CID002833    Conformant
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM    CID002502    Conformant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    CID002513    Conformant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    CID000258    Conformant
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    CID002645    Conformant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    CID000875    Conformant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    CID002315    Conformant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    CID002494    Conformant

 

12


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    CID000568    Conformant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218    Conformant
Tungsten    H.C. Starck Tungsten GmbH    GERMANY    CID002541    Conformant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769    Conformant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000766    Conformant
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    CID002649    On Smelter Look-up Tab List Only
Tungsten    Japan New Metals Co., Ltd.    JAPAN    CID000825    Conformant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    CID002551    Conformant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    CID002321    Conformant
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318    Conformant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317    Conformant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CID002316    Conformant
Tungsten    Kennametal Fallon    UNITED STATES OF AMERICA    CID000966    Conformant
Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA    CID000105    Conformant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    CID002319    Conformant
Tungsten    Masan High-Tech Materials    VIET NAM    CID002543    Conformant
Tungsten    Moliren Ltd.    RUSSIAN FEDERATION    CID002845    On Smelter Look-up Tab List Only
Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA    CID002589    Conformant

 

13


Metal                 

  

Smelter Name

  

                  Country                   

  

              ID               

  

            Status                 

Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    CID002827    Conformant
Tungsten    TANIOBIS Smelting GmbH & Co. KG    GERMANY    CID002542    Conformant
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    CID002724    On Smelter Look-up Tab List Only
Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA    CID002044    Conformant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    CID002320    Conformant
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    CID002082    Conformant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    CID002830    Conformant

 

(1)

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

 

  a)

The smelters and refiners listed above were identified to us by the Suppliers as being part of our 2021 supply chain. However, not all of the included smelters and refiners may have processed necessary 3TG contained in our In-Scope Products. Some Suppliers may have reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers, due to errors or for other reasons. In addition, the smelters and refiners reflected above may not be all of the smelters and refiners in our 2021 supply chain, since (i) we have not included smelter or refiner information that our Suppliers reported to us at a “company level,” meaning that they reported to us the 3TG content contained in all of their products, not just the products they sold to us; (ii) many of our Suppliers were unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in our In-Scope Products; and (iii) because not all of our Suppliers responded to our inquiries.

 

  b)

The listed smelters and refiners only include those reported entities that were listed on the Smelter Look-up tab list of the Template because those are the only reported entities that we were able to determine were smelters or refiners.

 

  c)

“Conformant” means that a smelter has successfully completed an assessment against the applicable Responsible Minerals Assurance Process (“RMAP”) standard or an equivalent cross-recognized assessment. Included smelters and refiners were not necessarily Conformant for all or part of 2021 and may not continue to be Conformant for any future period.

 

  d)

“Active” means that the smelter or refiner is currently engaged in the RMAP but a conformance determination has yet to be made.

 

  e)

“Smelter Look-up List Tab Only” means that a smelter or refiner is listed on the Smelter Look-up tab list of the Template, but is not listed as “Conformant” or “Active.” The RMI notes on its website that the operational impacts of COVID-19 have led to postponements of some RMAP assessments. The RMI website also notes that, due to the eligibility criteria for an RMAP assessment, smelters are sometimes removed from the Conformant list because they are no longer operational and not because they are non-conformant to the standard.

 

  f)

The compliance status and country location reflected in the list is based solely on information made available by the RMI to its members, without independent verification by us.

 

  g)

Country Location is the location of the smelter or refiner and is based solely on information made publicly available by RMI, without independent verification by us.

We have endeavored to determine the mine or location of origin of the 3TG contained in our In-Scope Products by requesting that the Suppliers provide us with completed Templates and through the flow-down provisions contained in the Conflict Minerals Policy. Where a smelter or refiner has been identified, we also have reviewed public online information and information made available by the RMI to its members, to the extent available, to try to determine the mine or location of origin.

 

14


Country of Original Information

The countries of origin of the 3TG processed by the Conformant smelters and refiners identified to us by the Suppliers may have included the countries listed below, in addition to other possible countries. The listed countries of origin are derived from information made available by the RMI to its members.

 

Argentina    Eritrea    Mali    Singapore
Armenia    Ethiopia    Mauritania    Slovakia
Australia    Fiji    Mexico    Solomon Islands
Austria    Finland    Mongolia    South Africa
Azerbaijan    France    Montenegro    South Korea
Belgium    French Guiana    Morocco    Spain
Benin    Georgia    Mozambique    Sudan
Bolivia    Germany    Myanmar    Suriname
Botswana    Ghana    Namibia    Swaziland
Brazil    Guatemala    New Zealand    Sweden
Bulgaria    Guinea    Nicaragua    Taiwan
Burkina Faso    Guyana    Niger    Tajikistan
Burundi*    Honduras    Nigeria    Tanzania*
Canada    India    Oman    Thailand
Chile    Indonesia    Papua New Guinea    Turkey
China    Ivory Coast    Peru    Uganda*
Colombia    Japan    Philippines    United Kingdom of Great
Costa Rica    Kazakhstan    Portugal    Britain and Northern
Cyprus    Kenya    Russian Federation    Ireland
Democratic Republic of    Kyrgyzstan    Rwanda*    United States of America
the Congo*    Laos    Saudi Arabia    Uruguay
Dominican Republic    Liberia    Senegal    Uzbekistan
Ecuador    Madagascar    Serbia    Vietnam
   Malaysia    Sierra Leone    Zimbabwe

*Represents a Covered Country.

Alternatively, some of the 3TG processed by the Conformant smelters and refiners may have originated from recycled or scrap sources.

Based on the manner in which information is made available by the RMI, we were not able to determine the countries of origin of the 3TG processed by the identified Conformant smelters and refiners with greater specificity. In addition, for some of the identified Conformant smelters and refiners, origin information is not disclosed by the RMI. We do not have information on the countries of origin of the 3TG processed by the other smelters and refiners listed in the smelter and refiner table above.

As noted earlier in this Conflict Minerals Report, based on our reasonable country of origin inquiry, we concluded that 82 of the Conformant smelters and refiners identified by the Suppliers sourced entirely from outside of the Covered Countries, including from recycled or scrap sources.

Due Diligence Improvement Measures

We intend to further improve due diligence measures for 2022 in order to mitigate the risk that the necessary 3TG in our In-Scope Products benefit armed groups by taking the following steps, among others:

 

   

Continuing to encourage Suppliers that provided company level information for 2021 to provide product level information for 2022 through ongoing outreach with these Suppliers;

 

15


   

Continuing to engage with Suppliers that provided incomplete responses or that did not provide responses for 2021 to help ensure that they provide requested information for 2022; and

 

   

Communicating our sourcing expectations to any new supplier in 2022, including providing the supplier with a copy of the Conflict Minerals Policy.

 

16



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