EX-1.01 2 cmr2023.htm EX-1.01 Document
Exhibit 1.01
Conflict Minerals Report
as required by Items 1.01 and 1.02 of Form SD

The Conflict Minerals Report of BorgWarner Inc. (“BorgWarner” or the “Company”) for the reporting period January 1, 2023 to December 31, 2023 (the “Reporting Period”) is provided below. This report is provided in accordance with Rule 13p-1 under the Securities and Exchange Commission Act of 1934.

BorgWarner maintained a cross-functional Conflict Minerals ("CM") program throughout the Reporting Period. Based on the data collected and our processes as outlined below, BorgWarner has no information indicating that Tin, Tantalum, Tungsten and/or Gold (“3TG”) that was necessary to the functionality or production of our products in 2023 either financed or benefited any armed groups in the Democratic Republic of the Congo ("DRC") or an adjoining country (together with the DRC, the “Covered Countries”) that shares an internationally recognized border with the DRC (the "Conflict Region").

1. Company and Products Overview

BorgWarner is a global product leader in clean and efficient technology solutions for combustion, hybrid and electric vehicles. The Company’s products help improve vehicle performance, propulsion efficiency, stability and air quality. These products are manufactured and sold worldwide, primarily to original equipment manufacturers (“OEMs”) of light vehicles (passenger cars, sport-utility vehicles, vans and light trucks). The Company’s products are also sold to other OEMs of commercial vehicles (medium-duty trucks, heavy-duty trucks and buses) and off-highway vehicles (agricultural and construction machinery and marine applications). The Company also manufactures its products and sells them to certain tier one vehicle systems suppliers and into the aftermarket for light, commercial and off-highway vehicles. The Company operates manufacturing facilities serving customers in Europe, the Americas and Asia and is an original equipment supplier to nearly every major automotive OEM in the world.

From January 1, 2023 through July 2, 2023, the Company's products fell into four reporting segments: Air Management, e-Propulsion & Drivetrain, Fuel Injection, and Aftermarket. On July 3, 2023, the Company completed the spin-off of its former Fuel Injection and Aftermarket segments into a separate, publicly-traded company named PHINIA Inc. (the “Spinoff”), and the Company’s business aggregated into three reportable segments: Air Management, Drivetrain & Battery Systems, and ePropulsion. The Air Management segment's products include turbochargers, timing systems, emissions systems and thermal systems. The e-Propulsion & Drivetrain segment's products include transmission systems, torque transfer systems and rotating electrical components. The Company’s former Fuel Injection segment developed and manufactured gasoline and diesel fuel injection components and systems, and the Company’s former Aftermarket segment sold and serviced independent aftermarket customers and original equipment service customers.

Reasonable Country of Origin Inquiry (“RCOI”)

The Company retained APA Engineering Conflict Minerals Due Diligence Service (“APA”), a third-party service provider, to help us determine whether any 3TG that was necessary to the functionality or production of BorgWarner products originated in the Conflict Region during the Reporting Period. APA assisted the Company in reviewing our supply chain and identifying potential CM risks.

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Exhibit 1.01
The Company and APA conducted this review by first including in-scope suppliers from our previous year’s inquiry that had not been phased out as an active supplier. The Spinoff did not result any such phase outs. In addition to this initial list, the Company and APA used information from the International Material Data System (the “IMDS Database”) to identify products as to which 3TG was likely necessary to their functionality or production and then mapped such products to our direct suppliers. Through this methodology, approximately 662 direct suppliers were identified that constituted the in-scope direct suppliers for the 2023 campaign.

The Company subsequently obtained contact details for these in-scope suppliers and provided this information to APA. APA then uploaded this information to the AutoGen – CM software-as-a-service platform (“AutoGen - CM”). Provided by APA, AutoGen - CM helps users to complete and track supplier communications while also allowing in-scope suppliers to upload completed conflict mineral reporting templates for validation, assessment and management.

The Company also used the Conflict Minerals Reporting Template (“CMRT”) version 6.31 to conduct a survey of all in-scope suppliers and collect data on the sources of materials in their supply chains. The Company contacted in-scope suppliers via the AutoGen – CM platform and asked them to complete a CMRT. After receiving responses, we then submitted follow-up questions to in-scope suppliers throughout 2023 and into early 2024 to better understand whether materials they supply to us contain 3TG and, if so, to better trace the origin of those materials.

The AutoGen - CM platform also provides functionality that meets the Organization for Economic Cooperation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition (the "OECD Guidance"). This includes the related OECD supplements on 3TG process expectations and allows users to evaluate the quality of each supplier response and assign a score based on the supplier’s declaration of process engagement. Additionally, the metrics provided in this report, as well as the step-by-step process for supplier engagement and upstream due diligence investigations performed, are managed through this platform.

In addition to addressing CM and OECD requirements, APA also provided the in-scope suppliers with training and education to guide them on best practices and requirements for completing the CMRT. APA monitored and tracked all communications in the AutoGen - CM for future reporting and transparency purposes. The Company also directly contacted in-scope suppliers that were unresponsive to APA’s communications during the diligence process and requested these suppliers to complete the CMRT and submit it to APA.

The Company’s program included automated data validation on all CMRTs submitted by in-scope suppliers. The purpose of this data validation was to increase the accuracy of submissions and identify any contradictory answers in the CMRT. This data validation is based on questions within the CMRT’s declaration that help identify areas that require further classification or risk assessment or that are necessary to understand an in-scope supplier’s CM diligence. The results of this data validation support the program’s assessment and are shared with the suppliers to ensure they understand areas that require clarification or improvement.


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Exhibit 1.01
All submitted forms are accepted and classified as valid or invalid so that data is retained. In-scope suppliers are contacted regarding invalid forms and are encouraged to submit a valid form. Suppliers are also provided with guidance on how to correct these validation errors in the form of feedback to their CMRT submission, training courses and direct engagement help through APA’s Conflict Minerals team. Because some suppliers may remain unresponsive to feedback, the Company tracks program gaps to account for future improvement opportunities.

The Company received responses from in-scope suppliers representing 92% of the Company’s 2023 in-scope suppliers solicited. The Company continues to perform further due diligence on the source and chain of custody of the minerals in question.

2. Management Systems

2.1 Conflict Minerals Statement

BorgWarner is committed to operating in a socially responsible manner and expects suppliers throughout its global supply chain to provide products and materials obtained from socially responsible sources. To that end, the Company has developed a conflict minerals statement that has been provided to all suppliers and can be found on our internet website at: https://cdn.borgwarner.com/docs/default-source/default-document-library/conflict-minerals-statement.pdf?sfvrsn=1e59cb3c_8.

2.2 Internal Management Team

BorgWarner's cross-functional team to address CM reporting is composed of representatives from Global Supply Chain Management, Finance, Sales and Marketing, Information Technology, and Legal.

3. Steps Taken to Determine Origin of Tin, Tantalum, Tungsten, and/or Gold in the Supply Chain

BorgWarner reviewed its standard purchase order terms and conditions and concluded that those requirements encompass supplier responsibility to provide CM reporting information.
Direct suppliers that were in scope in the previous year’s campaign and were still active suppliers were considered in scope for the 2023 campaign.
BorgWarner used the IMDS Database to identify any Company products that may have 3TG necessary to their functionality or production, and then such products were tied to the Company’s direct suppliers. Suppliers that met these criteria were also considered in scope for the 2023 campaign.
This methodology identified approximately 662 in-scope suppliers of BorgWarner for 2023 CM supply chain survey purposes.

Please refer to the RCOI discussion above for detailed discussion on the Company’s engagement of APA and the Company’s use of the CMRT to determine the potential origin of 3TG in the Company’s supply chain.

Using the CMRT template also helped BorgWarner to identify and eliminate certain out-of-scope suppliers. This is because the first question of the CMRT asked suppliers whether any of the 3TG they use are necessary to the functionality or production of their products. We also periodically reviewed the in-scope supplier list to ensure that irrelevant or “out of scope”
3

Exhibit 1.01
suppliers were removed from the survey process. We considered the following suppliers to be “out of scope”:

The company supplies packaging only (excluding labels);
The company supplies us with items that do not end up in our products (including equipment used to make our products);
The company is a test lab; or
The company is exclusively a service provider.

BorgWarner also took steps to evaluate 3TG supply chain risks consistent with the OECD Guidance. This review focused particular attention on smelters and refiners that are not certified as DRC-Conflict Free, which may pose elevated supply chain integrity risks. BorgWarner does not have a direct relationship with 3TG smelters and refiners and does not perform or direct audits of these entities within our supply chain. As a result, when the in-scope suppliers’ CMRTs referenced smelters and refiners, APA compared those facilities to the list of smelters and refiners maintained by the Responsible Minerals Initiative (“RMI”) to determine whether it was certified as “Conflict-Free.”

APA also directly contacts smelters and refiners that are not currently enrolled in the Responsible Minerals Assurance Process (“RMAP”) to encourage their participation and gather information regarding each facilities’ sourcing practices on behalf of its partners.

APA uses several risk factors to evaluate each facility that meets the RMI’s definition of a 3TG smelter or refiner. These factors reflect red-flag indicators defined in the OECD Guidance and help APA assess the aggregate level of risk that each smelter or refiner may pose to the supply chain. These factors include:

Geographic proximity to the DRC and Covered Countries;
Known mineral source country of origin;
RMAP audit status;
Credible evidence of unethical or conflict sourcing; and
Peer assessments conducted by credible third-party sources.

BorgWarner’s business units implemented various risk mitigation measures consistent with the OECD Guidance when in-scope suppliers identified facilities of concern in their CMRTs. One such measure is requiring the relevant in-scope suppliers to submit product-specific CMRTs designed to clarify potential connections between facilities of concern that the products that these suppliers provide to the Company. Suppliers also received clear performance objectives within reasonable timeframes for eliminating facilities of concern from their supply chains. APA also provided the relevant in-scope suppliers with feedback designed to support each supplier’s own independent risk mitigation strategies, as well as educational materials on mitigating the risks identified through the data collection process.

Smelters and Refiners

Attached as Appendix A is a list of the 374 smelters and refineries (collectively referred to as “Smelters”) that our in-scope suppliers identified in their completed CMRTs that also appear on the lists of Smelters maintained by the RMI. All information on Appendix A is based on information made publicly available by the RMI and listed on the RMI website as of March 25, 2024. Because most of the CMRTs we received from our suppliers were prepared on a company-level basis (or business unit basis) rather than a product-level basis, we are not able to identify which Smelters actually processed the 3TGs contained in our products. This means
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Exhibit 1.01
that our list of 3TG processing Smelters may contain more facilities than those that actually processed 3TG contained in our products. It also means that this list reflects information obtained from third parties rather than commercial or financial transactions that involve BorgWarner or its affiliates.

From the responses received, we identified a small number of Smelters that potentially posed a potential risk. These concerns reflect the various risk factors enumerated above. When in-scope suppliers identified any specific Smelters of concern on their CMRT, APA, and BorgWarner contacted those suppliers to evaluate whether these Smelters could be connected to BorgWarner’s products. The suppliers contacted as part of this process were asked to complete a product-level, rather than a company level, CMRT to better identify the connection to products that they supply. BorgWarner also evaluated other suppliers internally to determine if they were in fact still active suppliers.

Developments with Russian Smelters and Refiners

The Russian Government’s full-scale invasion of Ukraine in February 2022 and the subsequent imposition of various U.S. economic sanctions programs limits the information available to BorgWarner and its in-scope suppliers regarding potential 3TG Smelters in the Russian Federation. Notable examples include RMI’s decision to update its smelters database to reflect the London Bullion Market Association’s Good Delivery List suspensions for Russia-based gold refiners, which RMI now classifies as high risk. Obtaining accurate information regarding the potential role of Russian Smelters in our supply chain is also complicated by the fact that BorgWarner’s global 3TG supply chains are complex and highly attenuated and by the fact that CMRT data often reflects information that in-scope suppliers may receive from third-party suppliers with their own equally-attenuated supply chains.

The Company does not source 3TG or any other products directly from Russia. To the contrary, BorgWarner has indefinitely suspended any new orders from or shipments to Russia, Belarus, and the Russian-occupied regions of Ukraine to promote compliance with U.S. and other applicable economic sanctions and export control requirements. BorgWarner also maintains risk-based policies and procedures reasonably designed to promote compliance with these and other applicable laws. Collectively, this means that the appearance of any Russian Smelters and/or sanctioned parties in Appendix A is not indicative of any actual commercial or financial transactions involving those parties. To the extent that such parties do appear in Appendix A, it is the unexpected result of the CM due diligence process from the highly varied CMRT data provided by our in-scope suppliers.

4. Results for Calendar Year 2023

Based on our RCOI and the responses provided by our in-scope suppliers, BorgWarner has no information indicating that 3TG necessary to the functionality or production of our products financed or benefited armed groups in the Conflict Region.

5. Steps BorgWarner Has Taken or Will Take Since the End of Calendar Year 2023

BorgWarner engages with suppliers directly to request that they complete a valid CMRT for the products that they supply to us. With respect to the OECD requirement to strengthen engagement with suppliers, BorgWarner has developed an internal procedure that includes steps of supplier engagement escalation such as virtual instructional meetings and corrective
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Exhibit 1.01
actions. Feedback from this engagement has allowed us to oversee improvements in supplier responses and supplier compliance for this initiative.

Based on our evaluation of a supplier's response, we may conduct a more thorough due diligence inquiry. Such inquiries may include follow-up questions to the supplier and the supplier's sub-suppliers within the supply chain, a review of any relevant mine or smelter certifications, a review of specifications and similar activities designed to determine the source of any 3TG, and an evaluation of whether that source directly or indirectly aids armed groups in the Conflict Region.

In addition to conducting relevant supplier-specific diligence, BorgWarner will continue to monitor the state of conflict in the Conflict Region and the availability of conflict-free smelters.

We hope to further develop information from our downstream suppliers by using our supply chain due diligence processes, driving accountability within the supply chain by leveraging the industry standard RMI and RMAP, and continuing our outreach efforts. Due to the breadth and complexity of BorgWarner’s products and respective supply chain, however, it will take time for many of our suppliers to verify the origin of 3TG in the products they supply to us.

Continuous Improvement of Supply Chain Due Diligence

The activities undertaken by BorgWarner described in this report helped mitigate the risk that the 3TG materials necessary to BorgWarner’s products benefited armed groups in the Covered Countries. Going forward, BorgWarner intends to take the following steps to improve its CM due diligence process and further mitigate potential risks:

1.Continue to strengthen BorgWarner’s CM engagement with its in-scope suppliers, including by requiring CMRT information from key suppliers and any relevant new suppliers;

2.Continue to press BorgWarner’s suppliers to obtain current, accurate, and complete information from their supply chain about downstream Smelters of 3TG;

3.Encourage any Smelters of 3TG identified as part of BorgWarner’s supply chain which are sourcing, or believed to be sourcing, from any Covered Countries to be audited and certified pursuant to RMAP-recognized protocols, either directly or indirectly through suppliers and/or relevant industry partnerships, including follow-up in 2024 on Smelters requiring risk mitigation in 2023; and

4.Evaluate participation in relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance.

Additional Risk Factors

The statements within are based on the RCOI process and due diligence performed in good faith by BorgWarner based on the information available at the time. A number of factors could introduce errors or otherwise affect the statements made within. These factors include, but are not limited to, gaps in supplier data, gaps in Smelter data, errors or omissions in information provided by suppliers, errors or omissions in information provided by Smelters, confusion by suppliers over requirements of the SEC final rule, gaps in supplier education and knowledge,
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Exhibit 1.01
errors or omissions in public information, translation of public data, oversights or errors in conflict-free smelter audits, Covered Country-sourced materials being declared secondary materials, illegally tagged 3TG from Covered Countries being introduced into the supply chain, and smuggling of Conflict Minerals from Covered Countries to countries beyond the Covered Countries.

This Conflict Minerals Report was not subjected to an independent private sector audit.













































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Exhibit 1.01
Appendix A - Smelter List
Includes: Minerals, Smelter/Refinery Name and Smelter Identification Number.

3TG MetalSmelter / Refinery NameSmelter ID
GoldAdvanced Chemical CompanyCID000015
GoldAida Chemical Industries Co., Ltd.CID000019
GoldAgosi AGCID000035
GoldAlmalyk Mining and Metallurgical Complex (AMMC)CID000041
GoldAngloGold Ashanti Corrego do Sitio MineracaoCID000058
GoldArgor-Heraeus S.A.CID000077
GoldAsahi Pretec Corp.CID000082
GoldAsaka Riken Co., Ltd.CID000090
GoldAurubis AGCID000113
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)CID000128
GoldBoliden RonnskarCID000157
GoldC. Hafner GmbH + Co. KGCID000176
GoldCCR Refinery - Glencore Canada CorporationCID000185
GoldChimet S.p.A.CID000233
GoldChugai MiningCID000264
GoldDSC (Do Sung Corporation)CID000359
GoldDowaCID000401
GoldEco-System Recycling Co., Ltd. East PlantCID000425
GoldLT Metal Ltd.CID000689
GoldHeimerle + Meule GmbHCID000694
GoldHeraeus Metals Hong Kong Ltd.CID000707
GoldHeraeus Germany GmbH Co. KGCID000711
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CID000801
GoldIshifuku Metal Industry Co., Ltd.CID000807
GoldIstanbul Gold RefineryCID000814
GoldJapan MintCID000823
GoldJiangxi Copper Co., Ltd.CID000855
GoldAsahi Refining USA Inc.CID000920
GoldAsahi Refining Canada Ltd.CID000924
GoldJX Nippon Mining & Metals Co., Ltd.CID000937
GoldKazzincCID000957
GoldKennecott Utah Copper LLCCID000969
GoldKojima Chemicals Co., Ltd.CID000981
GoldLS MnM Inc.CID001078
GoldMaterionCID001113
GoldMatsuda Sangyo Co., Ltd.CID001119
GoldMetalor Technologies (Suzhou) Ltd.CID001147
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Exhibit 1.01
GoldMetalor Technologies (Hong Kong) Ltd.CID001149
GoldMetalor Technologies (Singapore) Pte., Ltd.CID001152
GoldMetalor Technologies S.A.CID001153
GoldMetalor USA Refining CorporationCID001157
GoldMetalurgica Met-Mex Penoles S.A. De C.V.CID001161
GoldMitsubishi Materials CorporationCID001188
GoldMitsui Mining and Smelting Co., Ltd.CID001193
GoldNadir Metal Rafineri San. Ve Tic. A.S.CID001220
GoldNavoi Mining and Metallurgical CombinatCID001236
GoldNihon Material Co., Ltd.CID001259
GoldOhura Precious Metal Industry Co., Ltd.CID001325
GoldMKS PAMP SACID001352
GoldPT Aneka Tambang (Persero) TbkCID001397
GoldPX Precinox S.A.CID001498
GoldRand Refinery (Pty) Ltd.CID001512
GoldRoyal Canadian MintCID001534
GoldSEMPSA Joyeria Plateria S.A.CID001585
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CID001622
GoldSichuan Tianze Precious Metals Co., Ltd.CID001736
GoldSolar Applied Materials Technology Corp.CID001761
GoldSumitomo Metal Mining Co., Ltd.CID001798
GoldTanaka Kikinzoku Kogyo K.K.CID001875
GoldShandong Gold Smelting Co., Ltd.CID001916
GoldTokuriki Honten Co., Ltd.CID001938
GoldTorecomCID001955
GoldUmicore S.A. Business Unit Precious Metals RefiningCID001980
GoldUnited Precious Metal Refining, Inc.CID001993
GoldValcambi S.A.CID002003
GoldWestern Australian Mint (T/a The Perth Mint)CID002030
GoldYamakin Co., Ltd.CID002100
GoldYokohama Metal Co., Ltd.CID002129
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCID002224
GoldGold Refinery of Zijin Mining Group Co., Ltd.CID002243
GoldSAFINA A.S.CID002290
GoldGeib Refining CorporationCID002459
GoldMMTC-PAMP India Pvt., Ltd.CID002509
GoldKGHM Polska Miedz Spolka AkcyjnaCID002511
GoldT.C.A S.p.ACID002580
GoldREMONDIS PMR B.V.CID002582
GoldKorea Zinc Co., Ltd.CID002605
GoldTOO Tau-Ken-AltynCID002615
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Exhibit 1.01
GoldAbington Reldan Metals, LLCCID002708
GoldL'Orfebre S.A.CID002762
GoldItalpreziosiCID002765
GoldWIELAND Edelmetalle GmbHCID002778
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHCID002779
GoldGGC Gujrat Gold Centre Pvt. Ltd.CID002852
GoldSungEel HiMetal Co., Ltd.CID002918
GoldPlanta Recuperadora de Metales SpACID002919
GoldNH Recytech CompanyCID003189
GoldEco-System Recycling Co., Ltd. North PlantCID003424
GoldEco-System Recycling Co., Ltd. West PlantCID003425
GoldAugmont Enterprises Private LimitedCID003461
GoldSancus ZFS (L’Orfebre, SA)CID003529
GoldMetal Concentrators SA (Pty) Ltd.CID003575
GoldWEEEREFININGCID003615
GoldGold by Gold ColombiaCID003641
GoldCoimpa Industrial LTDACID004010
GoldKP Sanghvi International Pvt LtdCID004433
GoldGG Refinery Ltd.CID004506
TantalumChangsha South Tantalum Niobium Co., Ltd.CID000211
TantalumGuangdong Rising Rare Metals-EO Materials Ltd.CID000291
TantalumF&X Electro-Materials Ltd.CID000460
TantalumXIMEI RESOURCES (GUANGDONG) LIMITEDCID000616
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CID000914
TantalumJiujiang Tanbre Co., Ltd.CID000917
TantalumAMG BrasilCID001076
TantalumMetallurgical Products India Pvt., Ltd.CID001163
TantalumMineracao Taboca S.A.CID001175
TantalumMitsui Mining and Smelting Co., Ltd.CID001192
TantalumNPM Silmet ASCID001200
TantalumNingxia Orient Tantalum Industry Co., Ltd.CID001277
TantalumQuantumCleanCID001508
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.CID001522
TantalumTaki Chemical Co., Ltd.CID001869
TantalumTelex MetalsCID001891
TantalumUlba Metallurgical Plant JSCCID001969
TantalumZhuzhou Cemented Carbide Group Co., Ltd.CID002232
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CID002492
TantalumD Block Metals, LLCCID002504
TantalumFIR Metals & Resource Ltd.CID002505
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CID002506
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Exhibit 1.01
TantalumXinXing HaoRong Electronic Material Co., Ltd.CID002508
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CID002512
TantalumKEMET de MexicoCID002539
TantalumTANIOBIS Co., Ltd.CID002544
TantalumTANIOBIS GmbHCID002545
TantalumMaterion Newton Inc.CID002548
TantalumTANIOBIS Japan Co., Ltd.CID002549
TantalumTANIOBIS Smelting GmbH & Co. KGCID002550
TantalumPlansee SE ReutteCID002556
TantalumGlobal Advanced Metals BoyertownCID002557
TantalumGlobal Advanced Metals AizuCID002558
TantalumTaike Technology (Suzhou) Co.,Ltd.CID002566
TantalumAvon Specialty Metals Ltd.CID002705
TantalumResind Industria e Comercio Ltda.CID002707
TantalumJiangxi Tuohong New Raw MaterialCID002842
TantalumRFH Recycling Metals Co., Ltd.CID003159
TantalumJiujiang Janny New Material Co., Ltd.CID003191
TantalumV&D New Materials (Jiangsu) Co., Ltd.CID003498
TantalumRFH Yancheng Jinye New Material Technology Co., Ltd.CID003583
TantalumXIMEI RESOURCES(GUIZHOU) TECHNOLOGY CO., LTD.CID003973
TantalumPowerX Ltd.CID004054
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CID000228
TinAlphaCID000292
TinPT Aries Kencana SejahteraCID000309
TinPT Premium Tin IndonesiaCID000313
TinDowaCID000402
TinEM VintoCID000438
TinEstanho de Rondonia S.A.CID000448
TinFeinhutte Halsbrucke GmbHCID000466
TinFenix MetalsCID000468
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CID000538
TinChina Tin Group Co., Ltd.CID001070
TinMalaysia Smelting Corporation (MSC)CID001105
TinMetallic Resources, Inc.CID001142
TinMineracao Taboca S.A.CID001173
TinMinsurCID001182
TinMitsubishi Materials CorporationCID001191
TinJiangxi New Nanshan Technology Ltd.CID001231
TinO.M. Manufacturing (Thailand) Co., Ltd.CID001314
TinOperaciones Metalurgicas S.A.CID001337
TinPT Artha Cipta LanggengCID001399
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Exhibit 1.01
TinPT Babel Inti PerkasaCID001402
TinPT Babel Surya Alam LestariCID001406
TinPT Belitung Industri SejahteraCID001421
TinPT Bukit TimahCID001428
TinPT Mitra Stania PrimaCID001453
TinPT Prima Timah UtamaCID001458
TinPT Refined Bangka TinCID001460
TinPT Sariwiguna BinasentosaCID001463
TinPT Stanindo Inti PerkasaCID001468
TinPT Timah Tbk KundurCID001477
TinPT Timah Tbk MentokCID001482
TinPT Timah NusantaraCID001486
TinPT Tinindo Inter NusaCID001490
TinPT Tommy UtamaCID001493
TinRui Da HungCID001539
TinSoft Metais Ltda.CID001758
TinThaisarcoCID001898
TinWhite Solder Metalurgia e Mineracao Ltda.CID002036
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CID002158
TinTin Smelting Branch of Yunnan Tin Co., Ltd.CID002180
TinCV Venus Inti PerkasaCID002455
TinMagnu's Minerais Metais e Ligas Ltda.CID002468
TinPT ATD Makmur Mandiri JayaCID002503
TinO.M. Manufacturing Philippines, Inc.CID002517
TinCV Ayi JayaCID002570
TinPT Rajehan AriqCID002593
TinPT Cipta Persada MuliaCID002696
TinResind Industria e Comercio Ltda.CID002706
TinSuper LigasCID002756
TinAurubis BeerseCID002773
TinAurubis BerangoCID002774
TinPT Bangka Prima TinCID002776
TinPT Sukses Inti Makmur (SIM)CID002816
TinPT Menara Cipta MuliaCID002835
TinHuiChang Hill Tin Industry Co., Ltd.CID002844
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.CID003116
TinChifeng Dajingzi Tin Industry Co., Ltd.CID003190
TinPT Bangka SerumpunCID003205
TinTin Technology & RefiningCID003325
TinPT Rajawali Rimba PerkasaCID003381
TinLuna Smelter, Ltd.CID003387
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Exhibit 1.01
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CID003397
TinPrecious Minerals and Smelting LimitedCID003409
TinPT Mitra Sukses GlobalindoCID003449
TinTRATHO Metal QuimicaCID003474
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaCID003486
TinCRM SynergiesCID003524
TinDragon Silver Holdings LimitedCID003579
TinRian Resources SDN. BHD.CID003581
TinFabrica Auricchio Industria e Comercio Ltda.CID003582
TinDS MyanmarCID003831
TinPT Putera Sarana Shakti (PT PSS)CID003868
TinMining Minerals Resources SARLCID004065
TinMalaysia Smelting Corporation Berhad (Port Klang)CID004434
TungstenA.L.M.T. Corp.CID000004
TungstenKennametal HuntsvilleCID000105
TungstenGuangdong Xianglu Tungsten Co., Ltd.CID000218
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CID000258
TungstenGlobal Tungsten & Powders LLCCID000568
TungstenHunan Chenzhou Mining Co., Ltd.CID000766
TungstenJapan New Metals Co., Ltd.CID000825
TungstenKennametal FallonCID000966
TungstenWolfram Bergbau und Hutten AGCID002044
TungstenXiamen Tungsten Co., Ltd.CID002082
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CID002315
TungstenJiangxi Yaosheng Tungsten Co., Ltd.CID002316
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CID002317
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CID002318
TungstenMalipo Haiyu Tungsten Co., Ltd.CID002319
TungstenXiamen Tungsten (H.C.) Co., Ltd.CID002320
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CID002321
TungstenGanzhou Seadragon W & Mo Co., Ltd.CID002494
TungstenAsia Tungsten Products Vietnam Ltd.CID002502
TungstenHunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products BranchCID002513
TungstenH.C. Starck Tungsten GmbHCID002541
TungstenTANIOBIS Smelting GmbH & Co. KGCID002542
TungstenMasan High-Tech MaterialsCID002543
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CID002551
TungstenNiagara Refining LLCCID002589
TungstenChina Molybdenum Tungsten Co., Ltd.CID002641
TungstenGanzhou Haichuang Tungsten Co., Ltd.CID002645
TungstenAvon Specialty Metals LtdCID002704
13

Exhibit 1.01
TungstenPhilippine Chuangxin Industrial Co., Inc.CID002827
TungstenLianyou Metals Co., Ltd.CID003407
TungstenHubei Green Tungsten Co., Ltd.CID003417
TungstenCronimet Brasil LtdaCID003468
TungstenGanzhou Sunny Non-Ferrous Metals Co., Ltd.CID003580
TungstenFujian Xinlu Tungsten Co., Ltd.CID003609
TungstenTungsten Vietnam Joint Stock CompanyCID003993
TungstenPlansee Composite Materials GmbHCID004068
TungstenLianyou Resources Co., Ltd.CID004397
TungstenShinwon Tungsten (Fujian Shanghang) Co., Ltd.CID004430
TungstenKenee Mining Corporation VietnamCID004619
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.CID000103
GoldCaridadCID000180
GoldCendres + Metaux S.A.CID000189
GoldYunnan Copper Industry Co., Ltd.CID000197
GoldDaye Non-Ferrous Metals Mining Ltd.CID000343
GoldJSC Novosibirsk RefineryCID000493
GoldRefinery of Seemine Gold Co., Ltd.CID000522
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CID000651
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CID000671
GoldHunan Chenzhou Mining Co., Ltd.CID000767
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CID000773
GoldHwaSeong CJ CO., LTD.CID000778
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantCID000927
GoldJSC UralelectromedCID000929
GoldKazakhmys Smelting LLCCID000956
GoldKyrgyzaltyn JSCCID001029
GoldL'azurde Company For JewelryCID001032
GoldLingbao Gold Co., Ltd.CID001056
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CID001058
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CID001093
GoldMoscow Special Alloys Processing PlantCID001204
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)CID001326
GoldPenglai Penggang Gold Industry Co., Ltd.CID001362
GoldPrioksky Plant of Non-Ferrous MetalsCID001386
GoldSabin Metal Corp.CID001546
GoldSamduck Precious MetalsCID001555
GoldSamwon Metals Corp.CID001562
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CID001619
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsCID001756
GoldSuper Dragon Technology Co., Ltd.CID001810
14

Exhibit 1.01
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCID001909
GoldTongling Nonferrous Metals Group Co., Ltd.CID001947
GoldMorris and WatsonCID002282
GoldGuangdong Jinding Gold LimitedCID002312
GoldUmicore Precious Metals ThailandCID002314
GoldFidelity Printers and Refiners Ltd.CID002515
GoldSingway Technology Co., Ltd.CID002516
GoldShandong Humon Smelting Co., Ltd.CID002525
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.CID002527
GoldAl Etihad Gold Refinery DMCCCID002560
GoldEmirates Gold DMCCCID002561
GoldInternational Precious Metal RefinersCID002562
GoldKaloti Precious MetalsCID002563
GoldSudan Gold RefineryCID002567
GoldFujairah Gold FZCCID002584
GoldIndustrial Refining CompanyCID002587
GoldShirpur Gold Refinery Ltd.CID002588
GoldMarsam MetalsCID002606
GoldShenzhen CuiLu Gold Co., Ltd.CID002750
GoldAlbino Mountinho Lda.CID002760
GoldSAAMPCID002761
Gold8853 S.p.A.CID002763
GoldAU Traders and RefinersCID002850
GoldSai RefineryCID002853
GoldModeltech Sdn BhdCID002857
GoldBangalore RefineryCID002863
GoldKyshtym Copper-Electrolytic Plant ZAOCID002865
GoldDegussa Sonne / Mond Goldhandel GmbHCID002867
GoldPease & CurrenCID002872
GoldJALAN & CompanyCID002893
GoldABC Refinery Pty Ltd.CID002920
GoldSafimet S.p.ACID002973
GoldState Research Institute Center for Physical Sciences and TechnologyCID003153
GoldAfrican Gold RefineryCID003185
GoldGold Coast RefineryCID003186
GoldQG Refining, LLCCID003324
GoldDijllah Gold Refinery FZCCID003348
GoldCGR Metalloys Pvt Ltd.CID003382
GoldSovereign MetalsCID003383
GoldKundan Care Products Ltd.CID003463
GoldEmerald Jewel Industry India Limited (Unit 1)CID003487
15

Exhibit 1.01
GoldEmerald Jewel Industry India Limited (Unit 2)CID003488
GoldEmerald Jewel Industry India Limited (Unit 3)CID003489
GoldEmerald Jewel Industry India Limited (Unit 4)CID003490
GoldK.A. RasmussenCID003497
GoldAlexy MetalsCID003500
GoldMD OverseasCID003548
GoldMetallix Refining Inc.CID003557
GoldDongwu Gold GroupCID003663
GoldSam Precious MetalsCID003666
TantalumExotech Inc.CID000456
TantalumSolikamsk Magnesium Works OAOCID001769
TantalumULVAC Inc.CID002861
Tantalum5D Production OUCID003926
TinGejiu Zili Mining And Metallurgy Co., Ltd.CID000555
TinGejiu Kai Meng Industry and Trade LLCCID000942
TinNovosibirsk Tin CombineCID001305
TinPT Bangka Tin IndustryCID001419
TinPT Panca Mega PersadaCID001457
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CID001908
TinVQB Mineral and Trading Group JSCCID002015
TinPT Tirus Putra MandiriCID002478
TinMelt Metais e Ligas S.A.CID002500
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyCID002572
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyCID002573
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyCID002574
TinAn Vinh Joint Stock Mineral Processing CompanyCID002703
TinModeltech Sdn BhdCID002858
TinPongpipat Company LimitedCID003208
TinDongguan CiEXPO Environmental Engineering Co., Ltd.CID003356
TinMa'anshan Weitai Tin Co., Ltd.CID003379
TinGejiu City Fuxiang Industry and Trade Co., Ltd.CID003410
TungstenCNMC (Guangxi) PGMA Co., Ltd.CID000281
TungstenHunan Jintai New Material Co., Ltd.CID000769
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CID002313
TungstenSanher Tungsten Vietnam Co., Ltd.CID002538
TungstenHydrometallurg, JSCCID002649
TungstenUnecha Refractory metals plantCID002724
TungstenACL Metais EireliCID002833
TungstenMoliren Ltd.CID002845
TungstenJSC "Kirovgrad Hard Alloys Plant"CID003408
TungstenNPP Tyazhmetprom LLCCID003416
16

Exhibit 1.01
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.CID003427
TungstenArtek LLCCID003553
TungstenOOO “Technolom” 2CID003612
TungstenOOO “Technolom” 1CID003614
TungstenLLC VostokCID003643
TungstenYUDU ANSHENG TUNGSTEN CO., LTD.CID003662
TungstenHANNAE FOR T Co., Ltd.CID003978
TungstenNam Viet Cromit Joint Stock CompanyCID004034
TungstenDONGKUK INDUSTRIES CO., LTD.CID004060

17