Form SD HEICO CORP
Tweet
Share
E-mailUNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
HEICO CORPORATION
(Exact name of registrant as specified in its charter)
Florida | 001-04604 | |||||||
(State or other jurisdiction of incorporation or organization) | (Commission File Number) | |||||||
3000 Taft Street, Hollywood, Florida | 33021 | |||||||
(Address of principal executive offices) | (Zip Code) | |||||||
Carlos L. Macau, Jr. (954) 987-4000
(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 this form applies:
ü 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 Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD, HEICO Corporation ("HEICO") has prepared a Conflict Minerals Report, which is filed as Exhibit 1.01 to this report on Form SD and available through the Investors section of HEICO's website at www.heico.com. The information contained on HEICO's website is not incorporated by reference in this Form SD or the Conflict Minerals Report and should not be considered part of this Form SD or the Conflict Minerals Report.
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 Exhibits
Exhibit | Description | ||||
| 1.01 | |||||
SIGNATURE
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.
HEICO CORPORATION | |||||||||||
By: | /s/ CARLOS L. MACAU, JR. | Date: May 20, 2022 | |||||||||
Carlos L. Macau, Jr. Executive Vice President - Chief Financial Officer and Treasurer (Principal Financial Officer) | |||||||||||
Exhibit 1.01
CONFLICT MINERALS REPORT
HEICO Corporation ("HEICO," the "Company," "we," "us" and "our") 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, and Form SD (collectively, the "Conflict Minerals Rule"). The filing date of this Conflict Minerals Report is May 20, 2022.
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.
Forward-Looking Statements
Certain statements in this Conflict Minerals Report constitute “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. All statements contained herein that are not clearly historical in nature may be forward-looking and are generally intended to identify forward-looking statements. You can identify some of the forward-looking statements by the use of forward-looking words, such as “intend" and the like, or the use of future tense. Statements concerning current conditions may also be forward-looking if they imply a continuation of current conditions. Examples of forward-looking statements include, but are not limited to, statements concerning the additional steps that the Company intends to take to mitigate the risk that the necessary 3TG in its products benefit armed groups.
Any forward-looking statement contained herein is subject to risks, uncertainties and contingencies that could cause actual actions or performance to differ materially from those expressed in the forward-looking statement. The Company has based these forward-looking statements on its current expectations about future events. All forward-looking statements involve risks, uncertainties and contingencies, many of which are beyond the Company's control, which may cause actual performance or achievements to differ materially from anticipated performance or achievements. These risks, uncertainties and contingencies include, but are not limited to, (1) the continued implementation of satisfactory traceability and other compliance measures by the Company's direct and indirect suppliers on a timely basis or at all, (2) whether smelters and refiners (“SORs”) and other market participants responsibly source 3TG and (3) political and regulatory developments, whether in the Democratic Republic of the Congo ("DRC") region, the United States of America or elsewhere. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of filing of this document. The Company undertakes no obligation to publicly update or revise any forward-looking statement, whether as a result of new information, future events or otherwise, except to the extent required by applicable law.
1
Part I. Business Overview; Applicability of Conflict Minerals Rule
HEICO believes it is the world’s largest manufacturer of Federal Aviation Administration-approved jet engine and aircraft component replacement parts, other than the original equipment manufacturers and their subcontractors. HEICO also believes it is a leading manufacturer of various types of electronic equipment for the aviation, defense, space, medical, telecommunications and electronics industries. For further information concerning HEICO's products, see the Company's Annual Report on Form 10-K for the fiscal year ended October 31, 2021. The information contained in the Company's Form 10-K is not incorporated by reference into this Conflict Minerals Report or the Form SD to which it is an exhibit and should not be considered part of this Conflict Minerals Report or the Form SD.
Certain of the products manufactured or contracted to be manufactured by the Company contain 3TG that are necessary to the products' functionality or production and therefore subject HEICO to the requirements of the Conflict Minerals Rule. HEICO's in-scope products taken together as a whole contained all four of the 3TG, although all of the in-scope products did not contain each 3TG. For additional information concerning the Company's in-scope products, see "Product Information" below.
HEICO does not directly source 3TG from mines or SORs, and is in most cases several or more levels removed from these market participants. However, HEICO did not conclude that any of its products were "DRC conflict free."
Part II. Reasonable Country of Origin Inquiry
As required by the Conflict Minerals Rule, for 2021, we conducted a "reasonable country of origin inquiry" ("RCOI"). We designed our RCOI in good faith to determine the origin of 3TG that are necessary to the functionality or production of products that we manufacture or contract to manufacture. For our RCOI, 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 Framework (as defined below), which are discussed below in this Conflict Minerals Report.
Our outreach included suppliers (the "Suppliers") that we identified as having contracted to manufacture products for us or as having sold us products or components included in products that we manufactured, in each case that contained or that we believe may have contained necessary 3TG. We determined which of our products were in-scope or potentially in-scope for purposes of the Conflict Minerals Rule through product specifications, visual inspection, supplier inquiries and other information known to us. Products that we contracted to manufacture also were determined to be in-scope or potentially in-scope based on our degree of influence over the products' manufacture.
Pursuant to the Conflict Minerals Rule, based on the results of our RCOI, we performed due diligence for 2021. These due diligence efforts are discussed below.
2
Part III. Due Diligence
A. Design Framework
For its due diligence, the Company utilizes the framework contemplated by 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 Framework").
B. Selected Elements of Due Diligence Program
Selected elements of our due diligence program (the "Program") are discussed below. However, 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. The headings below conform to the headings used in the OECD Framework for each of its five steps.
Establish Strong Company Management Systems
Conflict Minerals Policy and Grievance Mechanism
The Company has a Conflict Minerals Policy (the "Policy"). The Policy contains a mechanism for employees, suppliers and other interested parties to report violations of the Policy. The Policy indicates that suppliers who supply or manufacture components, parts or products containing 3TG are expected to:
•Source those minerals from sources that do not directly or indirectly benefit or finance armed groups in DRC or one of its adjoining countries.
•Implement and communicate to their personnel and suppliers policies that are consistent with the Policy, and require their direct and indirect suppliers to do the same.
•Familiarize themselves with the Conflict Minerals Rule and the OECD Framework.
•Put in place procedures for the traceability of 3TG at least to the SOR level, working with their direct and indirect suppliers as applicable.
•Where possible, source 3TG from SORs validated as being conflict free or the equivalent, and require their direct and indirect suppliers to do the same.
•Maintain reviewable business records supporting the source of 3TG.
•From time to time, at HEICO’s request, provide to HEICO written certifications and other information concerning the origin of 3TG included in products and components supplied to HEICO and the supplier's compliance with the Policy generally, and require their direct and indirect suppliers to do the same.
3
•Establish, and require their direct and indirect suppliers to establish, policies, due diligence frameworks and management systems that are consistent with the OECD Framework.
The Policy indicates that HEICO reserves the right to request supplier information to assess and monitor compliance with the Policy and indicates that a non-compliant supplier may be subject to completing a corrective action plan or possible termination of the business relationship. Furthermore, the Policy also includes a grievance mechanism that enables parties to provide information regarding Policy violations. The contact information for that grievance mechanism is HEICO Corporation, 3000 Taft Street, Hollywood FL 33021; Attention Corporate Secretary.
The Policy is communicated internally in writing to selected personnel and is posted on the Company's website at: https://www.heico.com/investors/docs/Conflict-Minerals-Policy.pdf.
We do not seek to embargo the DRC region in our sourcing decisions.
Conflict Minerals Committee
The Company has a Conflict Minerals Committee (the "Committee") that is comprised of personnel from accounting/finance and legal. Leadership of the compliance program resides with our Chief Financial Officer. The Committee is chartered to develop, oversee the execution of, and report on the results of the Program. The Committee is supplemented by a project manager at each subsidiary with in-scope products. The Company also utilizes specialist outside counsel to advise on certain aspects of the Program.
Internal Communications and Training
The Company has developed training materials for the project managers and members of the Committee and selected other personnel with respect to the Conflict Minerals Rule and the Program. The Company trains its subsidiary personnel with respect to the Program and the Company's compliance expectations for suppliers. In addition, selected employees are sent a copy of the Policy and materials discussing the Conflict Minerals Rule and the Program.
Data Collection and Retention
The Company uses the Conflict Minerals Reporting Template developed by the Responsible Minerals Initiative (the "RMI") to identify SORs in its supply chain. The Company uses an independent third-party service provider (the “Service Provider”) to electronically accept and store all supplier requests and responses in a cloud-based electronic repository system. This system allows the Company to maintain business records relating to its 3TG due diligence, including records of due diligence processes, findings and resulting decisions. The Service Provider maintains records for at least five years. Certain other aspects of the Program are administered by the Service Provider on the Company’s behalf.
4
External Communications
Each year, the Company furnishes an introductory letter describing the Conflict Minerals Rule and various aspects of the Program and compliance relating to the Rule generally to suppliers that the Company determined to potentially be in-scope for that year.
Identify and Assess Risks in the Supply Chain
For 2021, the Company sent requests to approximately 1,200 Suppliers to provide it with a completed Conflict Minerals Reporting Template. The Company requested that the Suppliers furnish it with a completed template at the product level (i.e., specific to the products the Supplier sold the Company). The Company followed up by email with Suppliers that did not provide a response within the time frame specified in the request.
Supplier responses are evaluated for plausibility, consistency, and gaps. If any of seven specific quality control flags were raised by the responses, the Supplier was asked by the Service Provider to submit a corrected Conflict Minerals Reporting Template.
In addition, SOR information provided by Suppliers is reviewed against the Service Provider's SOR database, which is kept current through its participation in RMI. Identified SORs were reviewed for conformance or the equivalent with the audit standards of the RMI’s Responsible Minerals Assurance Process ("RMAP"), the London Bullion Market Association Good Delivery Program and/or the Responsible Jewellery Council Chain-of-Custody Certification.
If a SOR was not listed as Conformant (as defined in Annex I or the equivalent by one of the foregoing, the Service Provider attempted to contact the SOR to gain more information about its sourcing practices, including mineral countries of origin and transfer, and whether there are any internal due diligence procedures in place or other processes the SOR takes to track the chain-of-custody on the source of its 3TG. The Service Provider also performed internet research to determine whether there are any outside sources of information regarding the SOR’s sourcing practices. For 2021, the Suppliers identified the SORs listed in Annex I in Conflict Minerals Reporting Templates completed at a product level.
Design and Implement a Strategy to Respond to Identified Risks
Senior management of the Company was briefed on Program findings. Any identified risks are assessed and addressed on a case-by-case basis.
See "Additional Risk Mitigation Measures" below for additional steps that the Company intends to take to mitigate the risk that the necessary 3TG in its in-scope products benefit armed groups.
5
Carry Out Independent Third-Party Audit of Smelter/Refiner's Due Diligence Practices
The Program utilizes information made available by the RMI concerning independent third-party audits of SORs.
Report Annually on Supply Chain Due Diligence
Each year, the Company files a Form SD and a Conflict Minerals Report. The Form SD and the Conflict Minerals Report are made available on HEICO's website.
Part IV. Product Information; SOR Information
The following categories of products were in-scope for 2021. However, not all of the Company's products in these categories were in-scope.
•Factory-New Jet Engine and Aircraft Component Replacement Parts
•Parts Utilized in Repair and Overhaul Services
•Specialty Aircraft/Defense Related Parts
•Electro-Optical Infrared Simulation and Test Equipment
•Electro-Optical Laser Products
•Electro-Optical, Microwave and Other Power Equipment
•Electromagnetic Interference and Radio Interference Shielding and Suppression Filters
•High-Speed Interface Products
•High Voltage Interconnection Devices
•High Voltage Advanced Power Electronics
•Power Conversion Products
•Underwater Locator Beacons and Emergency Locator Transmission Beacons
•Traveling Wave Tube Amplifiers and Microwave Power Modules
•Memory Products and Specialty Semiconductors
•Harsh Environment Connectivity Products and Custom Molded Cable Assemblies
•RF and Microwave Products
•High Performance Communications and Electronic Intercept Receivers and Tuners
•Crashworthy and Ballistically Self-sealing Auxiliary Fuel Systems
•High Performance Active Antenna Systems
•Nuclear Radiation Detectors
•Specialty Silicone Products
•High-End Power Amplifiers
•High-Reliability Ceramic-to-Metal Feedthroughs and Connectors
•High-end Radio Frequency Receivers and Sources
•Technical Surveillance Countermeasures
Notwithstanding its due diligence efforts, for 2021, the majority of Conflict Minerals Reporting Template responses received from the Company’s Suppliers were prepared at the company level or otherwise omitted information concerning the SORs in the Company's supply chain (i.e., the responses pertained to all of the Supplier's products, rather than only those sold to the Company). For responses prepared at this level, the Company was unable to determine the
6
SORs or related countries of origin specific to the necessary 3TG contained in the products that the Company manufactured or contracted to manufacture. For 2021, the Company received 229 Supplier responses that were prepared at the product level. See Annex I for a listing of known SORs that were provided in these responses.
For 2021, none of the necessary 3TG contained in the Company's in-scope products were determined by it to directly or indirectly finance or benefit armed groups in the DRC or an adjoining country. 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 Democratic Republic of the Congo or an adjoining country. However, the Company did not conclude that any of its products were "DRC conflict free." The terms "adjoining country" and "DRC conflict free" have the meanings contained in the Conflict Minerals Rule.
The Company has endeavored to determine the mine or location of origin of the necessary 3TG contained in its in-scope products by requesting that the Suppliers provide the Company with a completed Conflict Minerals Reporting Template. Under the Program's procedures, if a SOR in the Company's supply chain is identified by the Company, to the extent available, the Company or the Service Provider on its behalf also will request further information from the supplier, consult publicly available or other information or attempt to contact the SOR to determine the mine or location of origin of the 3TG processed by the SOR. Countries of origin of the 3TG processed by SORs indicated in product level Conflict Mineral Reporting Templates or otherwise indicated by the Service Provider as possible countries of origin are listed in Annex I.
Additional Risk Mitigation Measures
The Company intends to perform the following additional activities to mitigate the risk that the necessary 3TG in its in-scope products are benefiting armed groups in the DRC or its adjoining countries:
•Provide continuing education for the Committee and Project Managers and other relevant personnel concerning developments affecting the Conflict Minerals Rule, market practice and the Program to enhance the effectiveness of the Program.
•Communicate to new suppliers the Company's sourcing expectations, including through the dissemination of the Policy to them. In addition, as new suppliers are on-boarded, work with these suppliers to ensure that they understand the requirements of the Conflict Minerals Rule and the OECD Framework.
7
Annex I
| Metal | Smelter Name | Country | Status | ||||||||
| Gold | 8853 S.p.A. | Italy | Conformant | ||||||||
| Gold | Abington Reldan Metals, LLC | United States | Smelter Look-up List Tab Only | ||||||||
| Gold | Advanced Chemical Company | United States | Conformant | ||||||||
| Gold | African Gold Refinery | Uganda | Smelter Look-up List Tab Only | ||||||||
| Gold | Aida Chemical Industries Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | Conformant | ||||||||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | Conformant | ||||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Conformant | ||||||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | Conformant | ||||||||
| Gold | Argor-Heraeus S.A. | Switzerland | Conformant | ||||||||
| Gold | Asahi Pretec Corp. | Japan | Conformant | ||||||||
| Gold | Asahi Refining Canada Ltd. | Canada | Conformant | ||||||||
| Gold | Asahi Refining USA Inc. | United States | Conformant | ||||||||
| Gold | Asaka Riken Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | Smelter Look-up List Tab Only | ||||||||
| Gold | AU Traders and Refiners | South Africa | Smelter Look-up List Tab Only | ||||||||
| Gold | Augmont Enterprises Private Limited | India | Active | ||||||||
| Gold | Aurubis AG | Germany | Conformant | ||||||||
| Gold | Bangalore Refinery | India | Conformant | ||||||||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | Conformant | ||||||||
| Gold | Boliden AB | Sweden | Conformant | ||||||||
| Gold | C. Hafner GmbH + Co. KG | Germany | Conformant | ||||||||
| Gold | C.I Metales Procesados Industriales SAS | Colombia | Active | ||||||||
| Gold | Caridad | Mexico | Smelter Look-up List Tab Only | ||||||||
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | Conformant | ||||||||
| Gold | Cendres + Metaux S.A. | Switzerland | Conformant | ||||||||
| Gold | CGR Metalloys Pvt Ltd. | India | Smelter Look-up List Tab Only | ||||||||
| Gold | Chimet S.p.A. | Italy | Conformant | ||||||||
| Gold | Chugai Mining | Japan | Conformant | ||||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | Smelter Look-up List Tab Only | ||||||||
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | Smelter Look-up List Tab Only | ||||||||
| Gold | DODUCO Contacts and Refining GmbH | Germany | Conformant | ||||||||
8
| Gold | Dowa | Japan | Conformant | ||||||||
| Gold | DSC (Do Sung Corporation) | Korea, Republic of | Conformant | ||||||||
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | Conformant | ||||||||
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | Conformant | ||||||||
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | Conformant | ||||||||
| Gold | Emirates Gold DMCC | United Arab Emirates | Conformant | ||||||||
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | Smelter Look-up List Tab Only | ||||||||
| Gold | Fujairah Gold FZC | United Arab Emirates | Smelter Look-up List Tab Only | ||||||||
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | India | Active | ||||||||
| Gold | Geib Refining Corporation | United States | Conformant | ||||||||
| Gold | Gold Coast Refinery | Ghana | Smelter Look-up List Tab Only | ||||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | Conformant | ||||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Guangdong Jinding Gold Limited | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Heimerle + Meule GmbH | Germany | Conformant | ||||||||
| Gold | Heraeus Metals Hong Kong Ltd. | China | Conformant | ||||||||
| Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | Conformant | ||||||||
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | HwaSeong CJ CO., LTD. | Korea, Republic of | Smelter Look-up List Tab Only | ||||||||
| Gold | Industrial Refining Company | Belgium | Smelter Look-up List Tab Only | ||||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | Conformant | ||||||||
| Gold | International Precious Metal Refiners | United Arab Emirates | Smelter Look-up List Tab Only | ||||||||
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Istanbul Gold Refinery | Turkey | Conformant | ||||||||
| Gold | Italpreziosi | Italy | Conformant | ||||||||
| Gold | JALAN & Company | India | Smelter Look-up List Tab Only | ||||||||
| Gold | Japan Mint | Japan | Conformant | ||||||||
| Gold | Jiangxi Copper Co., Ltd. | China | Conformant | ||||||||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | Smelter Look-up List Tab Only | ||||||||
9
| Gold | JSC Uralelectromed | Russian Federation | Smelter Look-up List Tab Only | ||||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | Conformant | ||||||||
| Gold | K.A. Rasmussen | Norway | Smelter Look-up List Tab Only | ||||||||
| Gold | Kaloti Precious Metals | United Arab Emirates | Smelter Look-up List Tab Only | ||||||||
| Gold | Kazakhmys Smelting LLC | Kazakhstan | Smelter Look-up List Tab Only | ||||||||
| Gold | Kazzinc | Kazakhstan | Conformant | ||||||||
| Gold | Kennecott Utah Copper LLC | United States | Conformant | ||||||||
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | Conformant | ||||||||
| Gold | Kojima Chemicals Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Korea Zinc Co., Ltd. | Korea, Republic of | Conformant | ||||||||
| Gold | Kundan Care Products Ltd. | India | Smelter Look-up List Tab Only | ||||||||
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | Smelter Look-up List Tab Only | ||||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | Smelter Look-up List Tab Only | ||||||||
| Gold | L'azurde Company For Jewelry | Saudi Arabia | Smelter Look-up List Tab Only | ||||||||
| Gold | Lingbao Gold Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | L'Orfebre S.A. | Andorra | Conformant | ||||||||
| Gold | LS-NIKKO Copper Inc. | Korea, Republic of | Conformant | ||||||||
| Gold | LT Metal Ltd. | Korea, Republic of | Conformant | ||||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Marsam Metals | Brazil | Conformant | ||||||||
| Gold | Materion | United States | Conformant | ||||||||
| Gold | Matsuda Sangyo Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | Conformant | ||||||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | Conformant | ||||||||
| Gold | Metalor Technologies (Suzhou) Ltd. | China | Conformant | ||||||||
| Gold | Metalor Technologies S.A. | Switzerland | Conformant | ||||||||
| Gold | Metalor USA Refining Corporation | United States | Conformant | ||||||||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | Conformant | ||||||||
| Gold | Mitsubishi Materials Corporation | Japan | Conformant | ||||||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | Conformant | ||||||||
| Gold | MMTC-PAMP India Pvt., Ltd. | India | Conformant | ||||||||
| Gold | Modeltech Sdn Bhd | Malaysia | Smelter Look-up List Tab Only | ||||||||
| Gold | Morris and Watson | New Zealand | Smelter Look-up List Tab Only | ||||||||
10
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | Smelter Look-up List Tab Only | ||||||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | Conformant | ||||||||
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | Conformant | ||||||||
| Gold | NH Recytech Company | Korea, Republic of | Conformant | ||||||||
| Gold | Nihon Material Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | Conformant | ||||||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | Conformant | ||||||||
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | Smelter Look-up List Tab Only | ||||||||
| Gold | OJSC Novosibirsk Refinery | Russian Federation | Smelter Look-up List Tab Only | ||||||||
| Gold | PAMP S.A. | Switzerland | Conformant | ||||||||
| Gold | Pease & Curren | United States | Smelter Look-up List Tab Only | ||||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Planta Recuperadora de Metales SpA | Chile | Conformant | ||||||||
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | Smelter Look-up List Tab Only | ||||||||
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | Conformant | ||||||||
| Gold | PX Precinox S.A. | Switzerland | Conformant | ||||||||
| Gold | QG Refining, LLC | United States | Smelter Look-up List Tab Only | ||||||||
| Gold | Rand Refinery (Pty) Ltd. | South Africa | Conformant | ||||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | REMONDIS PMR B.V. | Netherlands | Conformant | ||||||||
| Gold | Royal Canadian Mint | Canada | Conformant | ||||||||
| Gold | SAAMP | France | Conformant | ||||||||
| Gold | Sabin Metal Corp. | United States | Smelter Look-up List Tab Only | ||||||||
| Gold | Safimet S.p.A | Italy | Conformant | ||||||||
| Gold | SAFINA A.S. | Czech Republic | Conformant | ||||||||
| Gold | Sai Refinery | India | Smelter Look-up List Tab Only | ||||||||
| Gold | Samduck Precious Metals | Korea, Republic of | Conformant | ||||||||
| Gold | SAMWON METALS Corp. | Korea, Republic of | Smelter Look-up List Tab Only | ||||||||
| Gold | SAXONIA Edelmetalle GmbH | Germany | Active | ||||||||
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | Conformant | ||||||||
| Gold | Shandong Gold Smelting Co., Ltd. | China | Conformant | ||||||||
| Gold | Shandong Humon Smelting Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | Conformant | ||||||||
11
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Shirpur Gold Refinery Ltd. | India | Smelter Look-up List Tab Only | ||||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | Conformant | ||||||||
| Gold | Singway Technology Co., Ltd. | Taiwan | Conformant | ||||||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | Smelter Look-up List Tab Only | ||||||||
| Gold | Solar Applied Materials Technology Corp. | Taiwan | Conformant | ||||||||
| Gold | Sovereign Metals | India | Smelter Look-up List Tab Only | ||||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | Smelter Look-up List Tab Only | ||||||||
| Gold | Sudan Gold Refinery | Sudan | Smelter Look-up List Tab Only | ||||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | Conformant | ||||||||
| Gold | SungEel HiMetal Co., Ltd. | Korea, Republic of | Conformant | ||||||||
| Gold | T.C.A S.p.A | Italy | Conformant | ||||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | Conformant | ||||||||
| Gold | Tokuriki Honten Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | Conformant | ||||||||
| Gold | Torecom | Korea, Republic of | Conformant | ||||||||
| Gold | Umicore Precious Metals Thailand | Thailand | Conformant | ||||||||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | Conformant | ||||||||
| Gold | United Precious Metal Refining, Inc. | United States | Conformant | ||||||||
| Gold | Valcambi S.A. | Switzerland | Conformant | ||||||||
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | Conformant | ||||||||
| Gold | WIELAND Edelmetalle GmbH | Germany | Conformant | ||||||||
| Gold | Yamakin Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Yokohama Metal Co., Ltd. | Japan | Conformant | ||||||||
| Gold | Yunnan Copper Industry Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | Conformant | ||||||||
| Tantalum | AMG Brasil | Brazil | Conformant | ||||||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | Conformant | ||||||||
| Tantalum | D Block Metals, LLC | United States | Conformant | ||||||||
| Tantalum | Exotech Inc. | United States | Active | ||||||||
| Tantalum | F&X Electro-Materials Ltd. | China | Conformant | ||||||||
| Tantalum | FIR Metals & Resource Ltd. | China | Conformant | ||||||||
| Tantalum | Global Advanced Metals Aizu | Japan | Conformant | ||||||||
| Tantalum | Global Advanced Metals Boyertown | United States | Conformant | ||||||||
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | China | Conformant | ||||||||
| Tantalum | H.C. Starck Hermsdorf GmbH | Germany | Conformant | ||||||||
| Tantalum | H.C. Starck Inc. | United States | Conformant | ||||||||
12
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | Conformant | ||||||||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | Conformant | ||||||||
| Tantalum | Jiangxi Tuohong New Raw Material | China | Conformant | ||||||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | Conformant | ||||||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | Conformant | ||||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | Conformant | ||||||||
| Tantalum | KEMET de Mexico | Mexico | Conformant | ||||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | Conformant | ||||||||
| Tantalum | Mineracao Taboca S.A. | Brazil | Conformant | ||||||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | Conformant | ||||||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | Conformant | ||||||||
| Tantalum | NPM Silmet AS | Estonia | Conformant | ||||||||
| Tantalum | QuantumClean | United States | Conformant | ||||||||
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | Conformant | ||||||||
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | China | Conformant | ||||||||
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | Conformant | ||||||||
| Tantalum | Taki Chemical Co., Ltd. | Japan | Conformant | ||||||||
| Tantalum | TANIOBIS Co., Ltd. | Thailand | Conformant | ||||||||
| Tantalum | TANIOBIS GmbH | Germany | Conformant | ||||||||
| Tantalum | TANIOBIS Japan Co., Ltd. | Japan | Conformant | ||||||||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | Germany | Conformant | ||||||||
| Tantalum | Telex Metals | United States | Conformant | ||||||||
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | Conformant | ||||||||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | China | Conformant | ||||||||
| Tantalum | XinXing Haorong Electronic Material Co., Ltd. | China | Conformant | ||||||||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | Conformant | ||||||||
| Tin | Alpha | United States | Conformant | ||||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | Smelter Look-up List Tab Only | ||||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | Conformant | ||||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | Conformant | ||||||||
| Tin | China Tin Group Co., Ltd. | China | Conformant | ||||||||
| Tin | CV Venus Inti Perkasa | Indonesia | Active | ||||||||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Tin | Dowa | Japan | Conformant | ||||||||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | Smelter Look-up List Tab Only | ||||||||
| Tin | EM Vinto | Bolivia | Conformant | ||||||||
| Tin | Estanho de Rondonia S.A. | Brazil | Conformant | ||||||||
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | Conformant | ||||||||
| Tin | Fenix Metals | Poland | Conformant | ||||||||
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
13
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | Smelter Look-up List Tab Only | ||||||||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | Conformant | ||||||||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | Conformant | ||||||||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | Conformant | ||||||||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | Conformant | ||||||||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | China | Conformant | ||||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | China | Conformant | ||||||||
| Tin | Luna Smelter, Ltd. | Rwanda | Conformant | ||||||||
| Tin | Ma'anshan Weitai Tin Co., Ltd. | China | Conformant | ||||||||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | Conformant | ||||||||
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | Conformant | ||||||||
| Tin | Melt Metais e Ligas S.A. | Brazil | Active | ||||||||
| Tin | Metallic Resources, Inc. | United States | Conformant | ||||||||
| Tin | Metallo Belgium N.V. | Belgium | Conformant | ||||||||
| Tin | Metallo Spain S.L.U. | Spain | Conformant | ||||||||
| Tin | Mineracao Taboca S.A. | Brazil | Conformant | ||||||||
| Tin | Minsur | Peru | Conformant | ||||||||
| Tin | Mitsubishi Materials Corporation | Japan | Conformant | ||||||||
| Tin | Modeltech Sdn Bhd | Malaysia | Smelter Look-up List Tab Only | ||||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | Smelter Look-up List Tab Only | ||||||||
| Tin | Novosibirsk Processing Plant Ltd. | Russian Federation | Conformant | ||||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | Conformant | ||||||||
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | Conformant | ||||||||
| Tin | Operaciones Metalurgicas S.A. | Bolivia | Conformant | ||||||||
| Tin | Pongpipat Company Limited | Myanmar | Smelter Look-up List Tab Only | ||||||||
| Tin | Precious Minerals and Smelting Limited | India | Smelter Look-up List Tab Only | ||||||||
| Tin | PT Aries Kencana Sejahtera | Indonesia | Smelter Look-up List Tab Only | ||||||||
| Tin | PT Artha Cipta Langgeng | Indonesia | Conformant | ||||||||
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | Conformant | ||||||||
| Tin | PT Babel Inti Perkasa | Indonesia | Conformant | ||||||||
| Tin | PT Babel Surya Alam Lestari | Indonesia | Conformant | ||||||||
| Tin | PT Bangka Serumpun | Indonesia | Conformant | ||||||||
| Tin | PT Belitung Industri Sejahtera | Indonesia | Smelter Look-up List Tab Only | ||||||||
| Tin | PT Bukit Timah | Indonesia | Conformant | ||||||||
| Tin | PT Cipta Persada Mulia | Indonesia | Conformant | ||||||||
| Tin | PT Menara Cipta Mulia | Indonesia | Conformant | ||||||||
| Tin | PT Mitra Stania Prima | Indonesia | Conformant | ||||||||
| Tin | PT Mitra Sukses Globalindo | Indonesia | Active | ||||||||
14
| Tin | PT Panca Mega Persada | Indonesia | Smelter Look-up List Tab Only | ||||||||
| Tin | PT Prima Timah Utama | Indonesia | Conformant | ||||||||
| Tin | PT Rajawali Rimba Perkasa | Indonesia | Conformant | ||||||||
| Tin | PT Refined Bangka Tin | Indonesia | Conformant | ||||||||
| Tin | PT Sariwiguna Binasentosa | Indonesia | Conformant | ||||||||
| Tin | PT Stanindo Inti Perkasa | Indonesia | Conformant | ||||||||
| Tin | PT Sukses Inti Makmur | Indonesia | Active | ||||||||
| Tin | PT Timah Tbk Kundur | Indonesia | Conformant | ||||||||
| Tin | PT Timah Tbk Mentok | Indonesia | Conformant | ||||||||
| Tin | PT Tinindo Inter Nusa | Indonesia | Conformant | ||||||||
| Tin | PT Tommy Utama | Indonesia | Smelter Look-up List Tab Only | ||||||||
| Tin | Resind Industria e Comercio Ltda. | Brazil | Conformant | ||||||||
| Tin | Rui Da Hung | Taiwan | Conformant | ||||||||
| Tin | Soft Metais Ltda. | Brazil | Conformant | ||||||||
| Tin | Super Ligas | Brazil | Active | ||||||||
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | Viet Nam | Conformant | ||||||||
| Tin | Thaisarco | Thailand | Conformant | ||||||||
| Tin | Tin Technology & Refining | United States | Conformant | ||||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | Smelter Look-up List Tab Only | ||||||||
| Tin | VQB Mineral and Trading Group JSC | Viet Nam | Smelter Look-up List Tab Only | ||||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | Conformant | ||||||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | Conformant | ||||||||
| Tin | Yunnan Tin Company Limited | China | Conformant | ||||||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | Japan | Conformant | ||||||||
| Tungsten | ACL Metais Eireli | Brazil | Conformant | ||||||||
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | Active | ||||||||
| Tungsten | Artek LLC | Russian Federation | Smelter Look-up List Tab Only | ||||||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | Conformant | ||||||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | Conformant | ||||||||
| Tungsten | China Molybdenum Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | Conformant | ||||||||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Tungsten | Cronimet Brasil Ltda | Brazil | Conformant | ||||||||
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Fujian Xinlu Tungsten | China | Conformant | ||||||||
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | Conformant | ||||||||
15
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Global Tungsten & Powders Corp. | United States | Conformant | ||||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | Conformant | ||||||||
| Tungsten | H.C. Starck Tungsten GmbH | Germany | Conformant | ||||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Hydrometallurg, JSC | Russian Federation | Conformant | ||||||||
| Tungsten | Japan New Metals Co., Ltd. | Japan | Conformant | ||||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | Smelter Look-up List Tab Only | ||||||||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd. | China | Conformant | ||||||||
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | Conformant | ||||||||
| Tungsten | Kennametal Fallon | United States | Conformant | ||||||||
| Tungsten | Kennametal Huntsville | United States | Conformant | ||||||||
| Tungsten | KGETS CO., LTD. | Korea, Republic of | Conformant | ||||||||
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan | Conformant | ||||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Masan High-Tech Materials | Viet Nam | Conformant | ||||||||
| Tungsten | Moliren Ltd. | Russian Federation | Conformant | ||||||||
| Tungsten | Niagara Refining LLC | United States | Conformant | ||||||||
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | Active | ||||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | Conformant | ||||||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | Conformant | ||||||||
| Tungsten | Unecha Refractory Metals Plant | Russian Federation | Conformant | ||||||||
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | Conformant | ||||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | China | Conformant | ||||||||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | Conformant | ||||||||
16
We note the following in connection with the information in the table:
•Not all of the included SORs may have processed the necessary 3TG contained in our in-scope products. Some Suppliers may have reported SORs that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the SORs reflected above may not include all of the SORs in our supply chain, since some Suppliers did not identify all of the SORs used to process the necessary 3TG content contained in our in-scope products and because not all Suppliers responded to our inquiries.
•All information in the table is as of May 20, 2022.
•“Conformant” means that a SOR has successfully completed an assessment against the applicable RMAP standard or an equivalent cross-recognized assessment. Included SORs were not necessarily Conformant for all or part of calendar 2021 and may not continue to be Conformant for any future period.
•“Active” means that the SOR is currently engaged in the RMAP but a conformance determination has yet to be made.
•“Smelter Look-up List Tab Only” means that a SOR is listed on the Smelter Look-up list tab of the Conflict Minerals Reporting 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, SORs are sometimes removed from the Conformant list because they are no longer operational and not because they are non-conformant to the standard.
•The compliance status reflected in the table is based solely on information made publicly available by the RMI, without independent verification by us.
•Country location is the location of the smelter or refiner.
17
Country of Origin Information
The countries of origin of the 3TG processed by the SORs listed above may include the countries listed below, as well as possibly other countries.
| Angola* | Estonia | Luxembourg | Singapore | ||||||||
| Argentina | Ethiopia | Madagascar | Slovakia | ||||||||
| Armenia | Finland | Malaysia | South Africa | ||||||||
| Australia | France | Mali | South Sudan* | ||||||||
| Austria | Germany | Mexico | Spain | ||||||||
| Belarus | Ghana | Mongolia | Suriname | ||||||||
| Belgium | Guinea | Morocco | Sweden | ||||||||
| Bermuda | Guyana | Mozambique | Switzerland | ||||||||
| Bolivia | Hong Kong | Myanmar | Taiwan | ||||||||
| Brazil | Hungary | Namibia | Tajikistan | ||||||||
| Burundi* | India | Netherlands | Tanzania* | ||||||||
| Cambodia | Indonesia | New Zealand | Thailand | ||||||||
| Canada | Ireland | Niger | Turkey | ||||||||
| Central African Republic* | Israel | Nigeria | Uganda* | ||||||||
| Chile | Italy | Papua New Guinea | United Arab Emirates | ||||||||
| China | Ivory Coast | Peru | United Kingdom | ||||||||
| Colombia | Japan | Philippines | United States | ||||||||
| Republic of the Congo* | Jersey | Poland | Uzbekistan | ||||||||
| Czech Republic | Kazakhstan | Portugal | Viet Nam | ||||||||
| Djibouti | Kenya | Russian Federation | Zambia* | ||||||||
| Democratic Republic of the Congo* | Korea, Republic of | Rwanda* | Zimbabwe | ||||||||
| Ecuador | Kyrgyzstan | Saudi Arabia | |||||||||
| Egypt | Laos | Sierra Leone | |||||||||
* Represents a covered country for purposes of the Conflict Minerals Rule (i.e., the DRC or an adjoining country).
In addition, some of the SORs may have processed 3TG originating from recycled or scrap sources.
18
Serious News for Serious Traders! Try StreetInsider.com Premium Free!
You May Also Be Interested In
- Huhtamaki to consolidate its production footprint by closing a site in Malaysia
- TME Pharma Announces 33% of Patients Receiving NOX-A12 in Combination With Bevacizumab and Radiotherapy Achieve Two‑Year Survival in GLORIA Phase 1/2 Trial in Brain Cancer
- Innofactor Plc’s Interim Report for January 1–March 31, 2024 (IFRS)
Create E-mail Alert Related Categories
SEC FilingsSign up for StreetInsider Free!
Receive full access to all new and archived articles, unlimited portfolio tracking, e-mail alerts, custom newswires and RSS feeds - and more!
