UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM SD
Specialized Disclosure Report
IRIDEX CORPORATION
(Exact name of registrant as specified in its charter)
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Delaware |
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0-27598 |
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77-0210467 |
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(State or other jurisdiction of incorporation) |
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(Commission File Number) |
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(IRS Employer Identification No.) |
1212 Terra Bella Avenue
Mountain View, California 94043
(Address of principal executive offices, including zip code)
(650) 940-4700
(Registrant’s telephone number, including area code)
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:
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Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1, 2017 to December 31, 2017.
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Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
This Form SD of Iridex Corporation (“Iridex”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period January 1, 2017 to December 31, 2017.
A copy of Iridex’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, and is publicly available at www.iridex.com.
As specified in Item 1.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this report.
Section 2 - Exhibits
The following exhibit is filed as part of this Report.
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Exhibit No. |
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Description |
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1.01 |
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Conflict Minerals Report for the year ended December 31, 2017. |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
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IRIDEX CORPORATION |
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By: |
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/s/ WILLIAM M. MOORE |
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Date: May 31, 2018 |
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William M. Moore |
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President and Chief Executive Officer |
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Exhibit 1.01
Conflict Minerals Report
For the Year Ended December 31, 2017
Introduction
This is the Conflict Minerals Report of Iridex Corporation (the “Company”, “Iridex”, “we” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 for the reporting period from January 1, 2017 to December 31, 2017. Rule 13p-1 was adopted by the SEC to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. For the purposes of this Report, “conflict minerals” means cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold.
Supply Chain and Product Overview
We are a leading worldwide provider of therapeutic-based laser systems, delivery devices and consumable instrumentation used to treat sight-threatening eye diseases in ophthalmology.
We rely on third parties to manufacture substantially all of the components used in our products. We assemble critical subassemblies and substantially all of our final products at our facility in Mountain View, California. Materials, components and subassemblies provided by our suppliers and external manufacturers and included in our products are sourced from a global supply base, over which we exercise little, if any, control. We do not directly engage in any mining operations, nor do we purchase raw ore or unrefined conflict minerals. Given its position in the supply chain, we rely on the responses of its suppliers, who in turn rely on the responses of their respective suppliers to identify the mines, smelters and refiners that source the Conflict Minerals. We purchase no components that are integrated directly into or used in the manufacture of our products from any covered country. “Covered countries” means the Democratic Republic of Congo and its adjoining countries, including the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.
Our senior management consulted with our procurement department to determine, based on, among other things, product lists and documentation provided by suppliers, which of our products would reasonably be expected to contain conflict minerals that are necessary to the functionality or production of those products. Based upon the results of this internal inquiry, we determined that the fabricated anodized or coated metal components, electronic circuit boards, electronic cables, probes or optical lenses in our Glaucoma, Medical Retina and Surgical Retina products (collectively, the “Covered Products”) may contain conflict minerals and that those components are necessary to the functionality or production of those products.
Due Diligence Program
Our due diligence processes and efforts have been developed in conjunction with the second edition of the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related supplements for gold and for tin, tantalum and tungsten (the “Framework”). We designed our due diligence process to conform in all material respects with these OECD guidelines.
1. Establishment of Strong Company Management Systems
Our due diligence process was conducted by a cross-functional team comprised of senior executives and supply-chain personnel. The cross-functional team was required to be familiar with our policy with respect to the sourcing of conflict minerals which can be found at www.iridex.com. (The content of any website referred to in this report is included for general information only and is not incorporated by reference in this Report.)
2. Identification and Assessment of Risks in the Supply Chain
We performed in good faith a reasonable country of origin inquiry (“RCOI”) on conflict minerals that were in our supply chain after January 1, 2017, which inquiry was reasonably designed to determine whether suppliers of components of our Covered Products containing conflict minerals sourced them from any covered country or from recycled or scrap sources.
In order to make the RCOI determination, we solicited information from our suppliers regarding the source of the conflict minerals supplied to us during the year ended December 31, 2017, using the template developed jointly by the companies of Electronic Industry Citizenship Coalition (“EICC”) and the Global e-Sustainability Initiative (“GeSI”), known as the CFSI Reporting Template (the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and the smelters the company and its suppliers use. In addition, the template contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Alternatively, we requested that suppliers provide a Smelter/Refiner Certification certifying that (1) conflict minerals produced by the supplier for us were obtained from a conflict-free area, (2) the supplier has processes in place to trace materials and products to ensure that conflict minerals contained in products were not mined in conditions of armed conflict and human rights abuses and (3) the supplier maintains a Conflict Minerals Statement/Policy, and a copy of such policy.
We determined that 32 of our suppliers were within the scope of our external RCOI and due diligence inquiry because the parts or components that they supply to us potentially contain conflict minerals. We sent the Template to each of these suppliers, and received responses from all 32 suppliers contacted. With the exception of 4 of our suppliers, our suppliers’ responses to the Template indicated that no conflict minerals that were necessary to the functionality or production of our Covered Products had originated in a covered country. Four suppliers indicated to us that they had insufficient information to determine the source of the conflict minerals that it supplied to us. With respect to the suppliers who represent to us that they had insufficient information to determine the source of the conflict minerals that they supply to us, we sought to identify the smelters from which conflict minerals were obtained by such supplier and to compare those smelters against the list of smelter facilities which have been identified as “conflict free” by the EICC-GeSI Conflict Free Sourcing (“CFS”) program. The CFS program is a voluntary program whereby an independent third party evaluates smelter procurement activities to determine whether a smelter has sufficiently demonstrated that all materials processed by that smelter originated from sources that do not directly or indirectly finance or benefit armed groups in a covered country. The results of this inquiry are presented below in the Section titled – “Smelters and Refiners”.
3. Designing and implementing a strategy to respond to identified risks
We have taken or intend to take the following steps to improve the due diligence process and to gather additional information which will assist us to determine whether the conflict minerals we utilize benefit armed groups contributing to human rights violations:
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conduct and report annually on supply chain due diligence for the applicable conflict minerals; |
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examine the possibility of establishing new terms and conditions in supplier contracts that stipulate responses to conflict mineral related inquires; and |
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attempt to validate supplier responses using information collected via independent conflict free smelter validation programs such as the CFS program. |
4. Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
We do not have a direct business relationship with any smelters or refiners in our supply chain and, as a result, we do not directly conduct or request audits. Instead, we supported the development and implementation of independent third party audits of smelters such as the CFSI by encouraging our suppliers to purchase materials from audited, conflict-free smelters and determine whether the smelters that were used to process these minerals were validated as conflict-free as part of the CFSI. We monitor smelters or refiners certification status with CFSI.
5. Reporting on Supply Chain Due Diligence
In 2018, we publicly filed the Form SD along with this Report with the SEC, and a copy of this Report and the Form SD are publicly available at www.iridex.com.
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Based on the responses in the Templates we determined that we had a total of 345 facilities and smelters that were used by our suppliers to fulfill our demands for conflict minerals. Of these 345 facilities and smelters, we have identified 242 facilities or smelters that are deemed CFSP Compliant, indicating that these smelters or refiners are compliant with the Conflict Free Smelter Program assessment protocols. There are 14 more smelters or refiners that are deemed CFSP Active - Smelters and Refiners on the Active list that have committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs: LBMA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification. The remaining 89 facilities or smelters listed have not yet been confirmed as Conflict-Free. We base this assessment exclusively on the fact that we could not find these smelters on the CFSI lists for compliant or active smelters. We have assessed these 89 facilities and determined that most of these are of low risk due to their geographic location. There are four smelters or refiners that may be considered at greater risk, since they are geographically located in Africa.
Some of our suppliers provided information at a part number level and we were able to specifically identify the smelters from which their necessary conflict minerals were procured. The remainder of our suppliers provided their complete list of smelters, but we were unable to identify the specific smelters from which the conflict minerals used for our products were procured. As many of the reports we received are company-wide and not product specific, we believe these reports may include smelters and refiners that do not provide the necessary conflict minerals that are used in our products. Due to the many company-wide reports and the multiple levels of suppliers in our supply chain we are unable to determine with certainty at this time a complete list of smelters and refiners listed in the reports that actually provide the specific necessary conflict minerals used in our products.
However, based upon our suppliers’ responses to the Template, we believe that most of the facilities that were used to process the conflict minerals contained in our Covered Products include the smelters and refiners listed in the table below. The table below includes only facilities that are listed in the EICC-GeSI template as “known smelters or refineries.” An indication of “Compliant” in the far right column of the table indicates that the smelter or refinery has received a “conflict free” designation from an independent third party audit program as of May 15, 2016. An indication of “Active” in the far right column of the table indicated that the smelter or refinery has committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs: LBMA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification. An indication of “Indeterminable” in the far right column of the table indicates that the smelter or refinery was not included in the CFSI compliant or active lists and thus, the facility’s designation is indeterminable.
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Metal |
Smelter Name |
Smelter Country |
Smelter |
Compliant, |
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Gold |
Advanced Chemical Company |
UNITED STATES OF AMERICA |
CID000015 |
Compliant |
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Gold |
Aida Chemical Industries Co. Ltd. |
JAPAN |
CID000019 |
Compliant |
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Gold |
Allgemeine Gold-und Silberscheideanstalt A.G. |
GERMANY |
CID000035 |
Compliant |
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Gold |
Almalyk Mining and Metallurgical Complex (AMMC) |
UZBEKISTAN |
CID000041 |
Compliant |
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Gold |
AngloGold Ashanti Córrego do Sítio Minerçăo |
BRAZIL |
CID000058 |
Compliant |
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Gold |
Argor-Heraeus SA |
SWITZERLAND |
CID000077 |
Compliant |
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Gold |
Asahi Pretec Corporation |
JAPAN |
CID000082 |
Compliant |
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Gold |
Asaka Riken Co Ltd |
JAPAN |
CID000090 |
Compliant |
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Gold |
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
TURKEY |
CID000103 |
Indeterminable |
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Gold |
Aurubis AG |
GERMANY |
CID000113 |
Compliant |
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Gold |
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
PHILIPPINES |
CID000128 |
Compliant |
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Gold |
Boliden AB |
SWEDEN |
CID000157 |
Compliant |
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Gold |
C. Hafner GmbH + Co. KG |
GERMANY |
CID000176 |
Compliant |
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Gold |
Caridad |
MEXICO |
CID000180 |
Indeterminable |
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Gold |
CCR Refinery – Glencore Canada Corporation |
CANADA |
CID000185 |
Compliant |
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Gold |
Cendres + Métaux SA |
SWITZERLAND |
CID000189 |
Active |
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Gold |
Yunnan Copper Industry Co Ltd |
CHINA |
CID000197 |
Indeterminable |
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Gold |
Chimet S.p.A. |
ITALY |
CID000233 |
Compliant |
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Gold |
China National Gold Group Corporation |
CHINA |
CID000242 |
Indeterminable |
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Gold |
Chugai Mining |
JAPAN |
CID000264 |
Indeterminable |
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Gold |
Colt Refining |
UNITED STATES |
CID000288 |
Indeterminable |
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Gold |
Daejin Indus Co. Ltd |
KOREA, REPUBLIC OF |
CID000328 |
Compliant |
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Gold |
DaeryongENC |
KOREA, REPUBLIC OF |
CID000333 |
Indeterminable |
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Metal |
Smelter Name |
Smelter Country |
Smelter |
Compliant, |
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Daye Non-Ferrous Metals Mining Ltd. |
CHINA |
CID000343 |
Indeterminable |
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Gold |
Do Sung Corporation |
KOREA, REPUBLIC OF |
CID000359 |
Compliant |
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Gold |
Doduco |
GERMANY |
CID000362 |
Compliant |
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Gold |
Dowa |
JAPAN |
CID000401 |
Compliant |
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Gold |
Eco-System Recycling Co., Ltd. |
JAPAN |
CID000425 |
Compliant |
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Gold |
FSE Novosibirsk Refinery |
RUSSIAN FEDERATION |
CID000493 |
Compliant |
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Gold |
Gansu Seemine Material Hi-Tech Co Ltd |
CHINA |
CID000522 |
Indeterminable |
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Gold |
Guoda Safina High-Tech Environmental Refinery Co., Ltd. |
CHINA |
CID000651 |
Indeterminable |
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Gold |
Hangzhou Fuchunjiang Smelting Co., Ltd. |
CHINA |
CID000671 |
Indeterminable |
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Gold |
Heimerle + Meule GmbH |
GERMANY |
CID000694 |
Compliant |
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Gold |
Heraeus Ltd. Hong Kong |
CHINA |
CID000707 |
Compliant |
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Gold |
Heraeus Precious Metals GmbH & Co. KG |
GERMANY |
CID000711 |
Compliant |
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Gold |
Hunan Chenzhou Mining Group Co., Ltd. |
CHINA |
CID000767 |
Indeterminable |
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Gold |
Hwasung CJ Co. Ltd |
KOREA, REPUBLIC OF |
CID000778 |
Indeterminable |
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Gold |
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited |
CHINA |
CID000801 |
Compliant |
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Gold |
Ishifuku Metal Industry Co., Ltd. |
JAPAN |
CID000807 |
Compliant |
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Gold |
Istanbul Gold Refinery |
TURKEY |
CID000814 |
Compliant |
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Gold |
Japan Mint |
JAPAN |
CID000823 |
Compliant |
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Gold |
Jiangxi Copper Company Limited |
CHINA |
CID000855 |
Compliant |
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Gold |
Johnson Matthey Inc |
UNITED STATES |
CID000920 |
Compliant |
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Gold |
Johnson Matthey Ltd |
CANADA |
CID000924 |
Compliant |
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Gold |
JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
RUSSIAN FEDERATION |
CID000927 |
Compliant |
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Gold |
JSC Uralelectromed |
RUSSIAN FEDERATION |
CID000929 |
Compliant |
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Gold |
JX Nippon Mining & Metals Co., Ltd. |
JAPAN |
CID000937 |
Compliant |
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Gold |
Kazakhmys Smelting LLC |
KAZAKHSTAN |
CID000956 |
Indeterminable |
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Gold |
Kazzinc Ltd |
KAZAKHSTAN |
CID000957 |
Compliant |
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Gold |
Kennecott Utah Copper LLC |
UNITED STATES |
CID000969 |
Compliant |
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Gold |
Kojima Chemicals Co., Ltd |
JAPAN |
CID000981 |
Compliant |
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Gold |
Korea Metal Co., Ltd. |
KOREA, REPUBLIC OF |
CID000988 |
Indeterminable |
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Gold |
Kyrgyzaltyn JSC |
KYRGYZSTAN |
CID001029 |
Compliant |
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Gold |
L' azurde Company For Jewelry |
SAUDI ARABIA |
CID001032 |
Indeterminable |
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Gold |
Lingbao Gold Co., Ltd. |
CHINA |
CID001056 |
Indeterminable |
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Gold |
Lingbao Jinyuan Tonghui Refinery Co. Ltd. |
CHINA |
CID001058 |
Indeterminable |
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Gold |
LS-NIKKO Copper Inc. |
KOREA, REPUBLIC OF |
CID001078 |
Compliant |
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Gold |
Luoyang Zijin Yinhui Metal Smelt Co Ltd |
CHINA |
CID001093 |
Indeterminable |
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Gold |
Materion |
UNITED STATES |
CID001113 |
Compliant |
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Gold |
Matsuda Sangyo Co., Ltd. |
JAPAN |
CID001119 |
Compliant |
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Gold |
Metalor Technologies (Suzhou) Ltd. |
CHINA |
CID001147 |
Compliant |
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Gold |
Metalor Technologies (Hong Kong) Ltd. |
CHINA |
CID001149 |
Compliant |
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Gold |
Metalor Technologies (Singapore) Pte. Ltd. |
SINGAPORE |
CID001152 |
Compliant |
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Gold |
Metalor Technologies SA |
SWITZERLAND |
CID001153 |
Compliant |
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Gold |
Metalor USA Refining Corporation |
UNITED STATES |
CID001157 |
Compliant |
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Gold |
Met-Mex Peñoles, S.A. |
MEXICO |
CID001161 |
Compliant |
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Gold |
Mitsubishi Materials Corporation |
JAPAN |
CID001188 |
Compliant |
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Gold |
Mitsui Mining and Smelting Co., Ltd. |
JAPAN |
CID001193 |
Compliant |
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Gold |
Moscow Special Alloys Processing Plant |
RUSSIAN FEDERATION |
CID001204 |
Compliant |
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Gold |
Nadir Metal Rafineri San. Ve Tic. A.Ş. |
TURKEY |
CID001220 |
Compliant |
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Gold |
Navoi Mining and Metallurgical Combinat |
UZBEKISTAN |
CID001236 |
Active |
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Gold |
Nihon Material Co. LTD |
JAPAN |
CID001259 |
Compliant |
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Gold |
Ohio Precious Metals, LLC |
UNITED STATES |
CID001322 |
Indeterminable |
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Gold |
Ohura Precious Metal Industry Co., Ltd |
JAPAN |
CID001325 |
Compliant |
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Metal |
Smelter Name |
Smelter Country |
Smelter |
Compliant, |
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T.C.A S.p.A |
ITALY |
CID002580 |
Compliant |
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Gold |
Remondis Argentia B.V. |
NETHERLANDS |
CID002582 |
Indeterminable |
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Gold |
Tony Goetz NV |
BELGIUM |
CID002587 |
Active |
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Gold |
Korea Zinc Co., Ltd. |
KOREA (REPUBLIC OF) |
CID002605 |
Compliant |
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Gold |
TOO Tau-Ken-Altyn |
KAZAKHSTAN |
CID002615 |
Indeterminable |
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Gold |
SAAMP |
FRANCE |
CID002761 |
Indeterminable |
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Gold |
SAXONIA Edelmetalle GmbH |
GERMANY |
CID002777 |
Compliant |
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Gold |
WIELAND Edelmetalle GmbH |
GERMANY |
CID002778 |
Compliant |
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Gold |
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH |
AUSTRIA |
CID002779 |
Compliant |
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Gold |
AU Traders and Refiners |
SOUTH AFRICA |
CID002850 |
Compliant |
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Gold |
AURA-II |
UNITED STATES OF AMERICA |
CID002851 |
Indeterminable |
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Gold |
Gujarat Gold Centre |
INDIA |
CID002852 |
Indeterminable |
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Gold |
Sai Refinery |
INDIA |
CID002853 |
Indeterminable |
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Gold |
Universal Precious Metals Refining Zambia |
ZAMBIA |
CID002854 |
Indeterminable |
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Gold |
Modeltech Sdn Bhd |
MALAYSIA |
CID002857 |
Active |
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Gold |
Bangalore Refinery |
INDIA |
CID002863 |
Active |
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Tantalum |
Changsha South Tantalum Niobium Co., Ltd. |
CHINA |
CID000211 |
Compliant |
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Tantalum |
Conghua Tantalum and Niobium Smeltry |
CHINA |
CID000291 |
Compliant |
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Tantalum |
Duoluoshan |
CHINA |
CID000410 |
Compliant |
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Tantalum |
Exotech Inc. |
UNITED STATES OF AMERICA |
CID000456 |
Compliant |
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Tantalum |
F&X Electro-Materials Ltd. |
CHINA |
CID000460 |
Compliant |
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Tantalum |
Guangdong Zhiyuan New Material Co., Ltd. |
CHINA |
CID000616 |
Compliant |
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Tantalum |
Hi-Temp Specialty Metals, Inc. |
UNITED STATES OF AMERICA |
CID000731 |
Compliant |
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Tantalum |
JiuJiang JinXin Nonferrous Metals Co., Ltd. |
CHINA |
CID000914 |
Compliant |
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Tantalum |
Jiujiang Tanbre Co., Ltd. |
CHINA |
CID000917 |
Compliant |
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Tantalum |
King-Tan Tantalum Industry Ltd. |
CHINA |
CID000973 |
Compliant |
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Tantalum |
LSM Brasil S.A. |
BRAZIL |
CID001076 |
Compliant |
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Tantalum |
Metallurgical Products India Pvt., Ltd. |
INDIA |
CID001163 |
Compliant |
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Tantalum |
Mineraçăo Taboca S.A. |
BRAZIL |
CID001175 |
Compliant |
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Tantalum |
Mitsui Mining and Smelting Co., Ltd. |
JAPAN |
CID001192 |
Compliant |
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Tantalum |
Molycorp Silmet A.S. |
ESTONIA |
CID001200 |
Compliant |
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Tantalum |
Ningxia Orient Tantalum Industry Co., Ltd. |
CHINA |
CID001277 |
Compliant |
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Tantalum |
QuantumClean |
UNITED STATES OF AMERICA |
CID001508 |
Compliant |
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Tantalum |
RFH Tantalum Smeltry Co., Ltd. |
CHINA |
CID001522 |
Compliant |
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Tantalum |
Solikamsk Magnesium Works OAO |
RUSSIAN FEDERATION |
CID001769 |
Compliant |
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Tantalum |
Taki Chemical Co., Ltd. |
JAPAN |
CID001869 |
Compliant |
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Tantalum |
Tantalite Resources |
SOUTH AFRICA |
CID001879 |
Indeterminable |
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Tantalum |
Telex Metals |
UNITED STATES OF AMERICA |
CID001891 |
Compliant |
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Tantalum |
Ulba Metallurgical Plant JSC |
KAZAKHSTAN |
CID001969 |
Compliant |
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Tantalum |
Zhuzhou Cemented Carbide Group Co., Ltd. |
CHINA |
CID002232 |
Compliant |
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Tantalum |
Yichun Jin Yang Rare Metal Co., Ltd. |
CHINA |
CID002307 |
Compliant |
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Tantalum |
Hengyang King Xing Lifeng New Materials Co., Ltd. |
CHINA |
CID002492 |
Compliant |
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Tantalum |
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch |
CHINA |
CID002501 |
Indeterminable |
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Tantalum |
D Block Metals, LLC |
UNITED STATES OF AMERICA |
CID002504 |
Compliant |
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Tantalum |
FIR Metals & Resource Ltd. |
CHINA |
CID002505 |
Compliant |
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Tantalum |
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. |
CHINA |
CID002506 |
Compliant |
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Tantalum |
XinXing HaoRong Electronic Material Co., Ltd. |
CHINA |
CID002508 |
Compliant |
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Tantalum |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
CHINA |
CID002512 |
Compliant |
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Tantalum |
KEMET Blue Metals |
MEXICO |
CID002539 |
Compliant |
|
Tantalum |
Plansee SE Liezen |
AUSTRIA |
CID002540 |
Indeterminable |
|
Tantalum |
H.C. Starck Co., Ltd. |
THAILAND |
CID002544 |
Compliant |
|
Tantalum |
H.C. Starck GmbH Goslar |
GERMANY |
CID002545 |
Compliant |
6
|
Metal |
Smelter Name |
Smelter Country |
Smelter |
Compliant, |
|
|
|
|
|
|
|
H.C. Starck GmbH Laufenburg |
GERMANY |
CID002546 |
Indeterminable |
|
|
Tantalum |
H.C. Starck Hermsdorf GmbH |
GERMANY |
CID002547 |
Compliant |
|
Tantalum |
H.C. Starck Inc. |
UNITED STATES OF AMERICA |
CID002548 |
Compliant |
|
Tantalum |
H.C. Starck Ltd. |
JAPAN |
CID002549 |
Compliant |
|
Tantalum |
H.C. Starck Smelting GmbH & Co. KG |
GERMANY |
CID002550 |
Compliant |
|
Tantalum |
Plansee SE Reutte |
AUSTRIA |
CID002556 |
Indeterminable |
|
Tantalum |
Global Advanced Metals Boyertown |
UNITED STATES OF AMERICA |
CID002557 |
Compliant |
|
Tantalum |
Global Advanced Metals Aizu |
JAPAN |
CID002558 |
Compliant |
|
Tantalum |
KEMET Blue Powder |
UNITED STATES OF AMERICA |
CID002568 |
Compliant |
|
Tantalum |
Tranzact, Inc. |
UNITED STATES OF AMERICA |
CID002571 |
Compliant |
|
Tantalum |
Resind Indústria e Comércio Ltda. |
BRAZIL |
CID002707 |
Compliant |
|
Tantalum |
Jiangxi Tuohong New Raw Material |
CHINA |
CID002842 |
Compliant |
|
Tantalum |
Power Resources Ltd. |
MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF) |
CID002847 |
Compliant |
|
Tin |
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
CHINA |
CID000228 |
Compliant |
|
Tin |
China Rare Metal Materials Company |
CHINA |
CID000244 |
Compliant |
|
Tin |
CNMC (Guangxi) PGMA Co. Ltd. |
CHINA |
CID000278 |
Indeterminable |
|
Tin |
Alpha |
UNITED STATES |
CID000292 |
Compliant |
|
Tin |
Cooper Santa |
BRAZIL |
CID000295 |
Compliant |
|
Tin |
CV Gita Pesona |
INDONESIA |
CID000306 |
Compliant |
|
Tin |
PT Justindo |
INDONESIA |
CID000307 |
Indeterminable |
|
Tin |
CV Makmur Jaya |
INDONESIA |
CID000308 |
Indeterminable |
|
Tin |
PT Aries Kencana Sejahtera |
INDONESIA |
CID000309 |
Compliant |
|
Tin |
CV Serumpun Sebalai |
INDONESIA |
CID000313 |
Compliant |
|
Tin |
CV United Smelting |
INDONESIA |
CID000315 |
Compliant |
|
Tin |
Dowa |
JAPAN |
CID000402 |
Compliant |
|
Tin |
EM Vinto |
BOLIVIA |
CID000438 |
Compliant |
|
Tin |
Estanho de Rondônia S.A. |
BRAZIL |
CID000448 |
Indeterminable |
|
Tin |
Feinhütte Halsbrücke GmbH |
GERMANY |
CID000466 |
Indeterminable |
|
Tin |
Fenix Metals |
POLAND |
CID000468 |
Compliant |
|
Tin |
Gejiu Non-Ferrous Metal Processing Co. Ltd. |
CHINA |
CID000538 |
Compliant |
|
Tin |
Gejiu Zi-Li |
CHINA |
CID000555 |
Indeterminable |
|
Tin |
Huichang Jinshunda Tin Co. Ltd |
CHINA |
CID000760 |
Active |
|
Tin |
Jiangxi Nanshan |
CHINA |
CID000864 |
Indeterminable |
|
Tin |
Gejiu Kai Meng Industry and Trade LLC |
CHINA |
CID000942 |
Active |
|
Tin |
Linwu Xianggui Ore Smelting Co., Ltd. |
CHINA |
CID001063 |
Indeterminable |
|
Tin |
China Tin Group Co., Ltd. |
CHINA |
CID001070 |
Compliant |
|
Tin |
Malaysia Smelting Corporation (MSC) |
MALAYSIA |
CID001105 |
Compliant |
|
Tin |
Metallic Resources, Inc. |
UNITED STATES OF AMERICA |
CID001142 |
Compliant |
|
Tin |
Metallo Chimique |
BELGIUM |
CID001143 |
Indeterminable |
|
Tin |
Mineraçăo Taboca S.A. |
BRAZIL |
CID001173 |
Compliant |
|
Tin |
Minmetals Ganzhou Tin Co. Ltd. |
CHINA |
CID001179 |
Indeterminable |
|
Tin |
Minsur |
PERU |
CID001182 |
Compliant |
|
Tin |
Mitsubishi Materials Corporation |
JAPAN |
CID001191 |
Compliant |
|
Tin |
Nankang Nanshan Tin Manufactory Co., Ltd. |
CHINA |
CID001231 |
Active |
|
Tin |
O.M. Manufacturing (Thailand) Co., Ltd. |
THAILAND |
CID001314 |
Compliant |
|
Tin |
OMSA |
BOLIVIA |
CID001337 |
Compliant |
|
Tin |
PT Alam Lestari Kencana |
INDONESIA |
CID001393 |
Indeterminable |
|
Tin |
PT Artha Cipta Langgeng |
INDONESIA |
CID001399 |
Compliant |
|
Tin |
PT Babel Inti Perkasa |
INDONESIA |
CID001402 |
Compliant |
|
Tin |
PT Babel Surya Alam Lestari |
INDONESIA |
CID001406 |
Indeterminable |
|
Tin |
PT Bangka Kudai Tin |
INDONESIA |
CID001409 |
Indeterminable |
|
Tin |
PT Bangka Timah Utama Sejahtera |
INDONESIA |
CID001416 |
Indeterminable |
|
Tin |
PT Bangka Tin Industry |
INDONESIA |
CID001419 |
Compliant |
7
|
Metal |
Smelter Name |
Smelter Country |
Smelter |
Compliant, |
|
|
|
|
|
|
|
PT Belitung Industri Sejahtera |
INDONESIA |
CID001421 |
Compliant |
|
|
Tin |
PT BilliTin Makmur Lestari |
INDONESIA |
CID001424 |
Indeterminable |
|
Tin |
PT Bukit Timah |
INDONESIA |
CID001428 |
Compliant |
|
Tin |
PT DS Jaya Abadi |
INDONESIA |
CID001434 |
Compliant |
|
Tin |
PT Eunindo Usaha Mandiri |
INDONESIA |
CID001438 |
Compliant |
|
Tin |
PT Fang Di MulTindo |
INDONESIA |
CID001442 |
Indeterminable |
|
Tin |
PT HP Metals Indonesia |
INDONESIA |
CID001445 |
Indeterminable |
|
Tin |
PT Karimun Mining |
INDONESIA |
CID001448 |
Compliant |
|
Tin |
PT Koba Tin |
INDONESIA |
CID001449 |
Indeterminable |
|
Tin |
PT Mitra Stania Prima |
INDONESIA |
CID001453 |
Compliant |
|
Tin |
PT Panca Mega Persada |
INDONESIA |
CID001457 |
Compliant |
|
Tin |
PT Prima Timah Utama |
INDONESIA |
CID001458 |
Compliant |
|
Tin |
PT REFINED BANGKA TIN |
INDONESIA |
CID001460 |
Compliant |
|
Tin |
PT Sariwiguna Binasentosa |
INDONESIA |
CID001463 |
Compliant |
|
Tin |
PT Seirama Tin Investment |
INDONESIA |
CID001466 |
Indeterminable |
|
Tin |
PT Stanindo Inti Perkasa |
INDONESIA |
CID001468 |
Compliant |
|
Tin |
PT Sumber Jaya Indah |
INDONESIA |
CID001471 |
Compliant |
|
Tin |
PT Supra Sukses Trinusa |
INDONESIA |
CID001476 |
Indeterminable |
|
Tin |
PT Tambang Timah |
INDONESIA |
CID001477 |
Compliant |
|
Tin |
PT Timah (Persero), Tbk |
INDONESIA |
CID001482 |
Compliant |
|
Tin |
PT Pelat Timah Nusantara Tbk |
INDONESIA |
CID001486 |
Indeterminable |
|
Tin |
PT Tinindo Inter Nusa |
INDONESIA |
CID001490 |
Compliant |
|
Tin |
PT Tommy Utama |
INDONESIA |
CID001493 |
Compliant |
|
Tin |
PT Yinchendo Mining Industry |
INDONESIA |
CID001494 |
Indeterminable |
|
Tin |
Rui Da Hung |
TAIWAN |
CID001539 |
Compliant |
|
Tin |
Soft Metais, Ltda. |
BRAZIL |
CID001758 |
Compliant |
|
Tin |
Thaisarco |
THAILAND |
CID001898 |
Compliant |
|
Tin |
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
CHINA |
CID001908 |
Active |
|
Tin |
VQB Mineral and Trading Group JSC |
VIET NAM |
CID002015 |
Compliant |
|
Tin |
White Solder Metalurgia e Mineraçăo Ltda. |
BRAZIL |
CID002036 |
Compliant |
|
Tin |
Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. |
CHINA |
CID002158 |
Active |
|
Tin |
Yunnan Tin Company, Ltd. |
CHINA |
CID002180 |
Compliant |
|
Tin |
PT HANJAYA PERKASA METALS |
INDONESIA |
CID002287 |
Indeterminable |
|
Tin |
CV Venus Inti Perkasa |
INDONESIA |
CID002455 |
Compliant |
|
Tin |
Magnu's Minerais Metais e Ligas Ltda. |
BRAZIL |
CID002468 |
Compliant |
|
Tin |
PT Singkep Times Utama |
INDONESIA |
CID002476 |
Indeterminable |
|
Tin |
PT Tirus Putra Mandiri |
INDONESIA |
CID002478 |
Indeterminable |
|
Tin |
PT Wahana Perkit Jaya |
INDONESIA |
CID002479 |
Indeterminable |
|
Tin |
Melt Metais e Ligas S.A. |
BRAZIL |
CID002500 |
Compliant |
|
Tin |
PT ATD Makmur Mandiri Jaya |
INDONESIA |
CID002503 |
Compliant |
|
Tin |
Phoenix Metal Ltd. |
RWANDA |
CID002507 |
Indeterminable |
|
Tin |
O.M. Manufacturing Philippines, Inc. |
PHILIPPINES |
CID002517 |
Compliant |
|
Tin |
PT Inti Stania Prima |
INDONESIA |
CID002530 |
Compliant |
|
Tin |
CV Ayi Jaya |
INDONESIA |
CID002570 |
Compliant |
|
Tin |
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company |
VIET NAM |
CID002572 |
Active |
|
Tin |
Nghe Tinh Non-Ferrous Metals Joint Stock Company |
VIET NAM |
CID002573 |
Indeterminable |
|
Tin |
Tuyen Quang Non-Ferrous Metals Joint Stock Company |
VIET NAM |
CID002574 |
Indeterminable |
|
Tin |
CV Dua Sekawan |
INDONESIA |
CID002592 |
Compliant |
|
Tin |
CV Tiga Sekawan |
INDONESIA |
CID002593 |
Compliant |
|
Tin |
PT Cipta Persada Mulia |
INDONESIA |
CID002696 |
Indeterminable |
|
Tin |
An Vinh Joint Stock Mineral Processing Company |
VIET NAM |
CID002703 |
Indeterminable |
|
Tin |
Resind Indústria e Comércio Ltda. |
BRAZIL |
CID002706 |
Compliant |
8
|
Metal |
Smelter Name |
Smelter Country |
Smelter |
Compliant, |
|
|
|
|
|
|
|
PT O.M. Indonesia |
INDONESIA |
CID002757 |
Compliant |
|
|
Tin |
Metallo-Chimique N.V. |
BELGIUM |
CID002773 |
Compliant |
|
Tin |
Elmet S.L.U. |
SPAIN |
CID002774 |
Compliant |
|
Tin |
PT Bangka Prima Tin |
INDONESIA |
CID002776 |
Compliant |
|
Tin |
PT Sukses Inti Makmur |
INDONESIA |
CID002816 |
Compliant |
|
Tin |
An Thai Minerals Co., Ltd. |
VIET NAM |
CID002825 |
Indeterminable |
|
Tin |
PT Kijang Jaya Mandiri |
INDONESIA |
CID002829 |
Compliant |
|
Tin |
HuiChang Hill Tin Industry Co., Ltd. |
CHINA |
CID002844 |
Compliant |
|
Tin |
Gejiu Fengming Metallurgy Chemical Plant |
CHINA |
CID002848 |
Compliant |
|
Tin |
Guanyang Guida Nonferrous Metal Smelting Plant |
CHINA |
CID002849 |
Compliant |
|
Tin |
Modeltech Sdn Bhd |
MALAYSIA |
CID002858 |
Active |
|
Tin |
Gejiu Jinye Mineral Company |
CHINA |
CID002859 |
Compliant |
|
Tungsten |
A.L.M.T. TUNGSTEN Corp. |
JAPAN |
CID000004 |
Compliant |
|
Tungsten |
Kennametal Huntsville |
UNITED STATES OF AMERICA |
CID000105 |
Compliant |
|
Tungsten |
Guangdong Xianglu Tungsten Co., Ltd. |
CHINA |
CID000218 |
Compliant |
|
Tungsten |
Chongyi Zhangyuan Tungsten Co., Ltd. |
CHINA |
CID000258 |
Compliant |
|
Tungsten |
Dayu Weiliang Tungsten Co., Ltd. |
CHINA |
CID000345 |
Indeterminable |
|
Tungsten |
Fujian Jinxin Tungsten Co., Ltd. |
CHINA |
CID000499 |
Compliant |
|
Tungsten |
Global Tungsten & Powders Corp. |
UNITED STATES OF AMERICA |
CID000568 |
Compliant |
|
Tungsten |
Hunan Chenzhou Mining Co., Ltd. |
CHINA |
CID000766 |
Compliant |
|
Tungsten |
Hunan Chunchang Nonferrous Metals Co., Ltd. |
CHINA |
CID000769 |
Compliant |
|
Tungsten |
Japan New Metals Co., Ltd. |
JAPAN |
CID000825 |
Compliant |
|
Tungsten |
Ganzhou Non-ferrous Metals Smelting Co., Ltd. |
CHINA |
CID000868 |
Indeterminable |
|
Tungsten |
Ganzhou Huaxing Tungsten Products Co., Ltd. |
CHINA |
CID000875 |
Compliant |
|
Tungsten |
Kennametal Fallon |
UNITED STATES OF AMERICA |
CID000966 |
Compliant |
|
Tungsten |
Tejing (Vietnam) Tungsten Co., Ltd. |
VIET NAM |
CID001889 |
Compliant |
|
Vietnam Youngsun Tungsten Industry Co., Ltd. |
VIET NAM |
CID002011 |
Compliant |
|
|
Tungsten |
Wolfram Bergbau und Hütten AG |
AUSTRIA |
CID002044 |
Compliant |
|
Tungsten |
Wolfram Company CJSC |
RUSSIAN FEDERATION |
CID002047 |
Indeterminable |
|
Tungsten |
Xiamen Tungsten Co., Ltd. |
CHINA |
CID002082 |
Compliant |
|
Tungsten |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. |
CHINA |
CID002095 |
Compliant |
|
Tungsten |
Zhuzhou Cemented Carbide Group Co Ltd |
CHINA |
CID002236 |
Indeterminable |
|
Tungsten |
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. |
CHINA |
CID002313 |
Indeterminable |
|
Tungsten |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. |
CHINA |
CID002315 |
Compliant |
|
Tungsten |
Jiangxi Yaosheng Tungsten Co., Ltd. |
CHINA |
CID002316 |
Compliant |
|
Tungsten |
Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
CHINA |
CID002317 |
Compliant |
|
Tungsten |
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. |
CHINA |
CID002318 |
Compliant |
|
Tungsten |
Malipo Haiyu Tungsten Co., Ltd. |
CHINA |
CID002319 |
Compliant |
|
Tungsten |
Xiamen Tungsten (H.C.) Co., Ltd. |
CHINA |
CID002320 |
Compliant |
|
Tungsten |
Jiangxi Gan Bei Tungsten Co., Ltd. |
CHINA |
CID002321 |
Compliant |
|
Tungsten |
Jiangxi Richsea New Materials Co., Ltd. |
CHINA |
CID002493 |
Indeterminable |
|
Tungsten |
Ganzhou Seadragon W & Mo Co., Ltd. |
CHINA |
CID002494 |
Compliant |
|
Tungsten |
Asia Tungsten Products Vietnam Ltd. |
VIET NAM |
CID002502 |
Compliant |
|
Tungsten |
Chenzhou Diamond Tungsten Products Co., Ltd. |
CHINA |
CID002513 |
Compliant |
|
Tungsten |
Dayu Jincheng Tungsten Industry Co., Ltd. |
CHINA |
CID002518 |
Indeterminable |
|
Tungsten |
Ganxian Shirui New Material Co., Ltd. |
CHINA |
CID002531 |
Indeterminable |
|
Tungsten |
Pobedit, JSC |
RUSSIAN FEDERATION |
CID002532 |
Indeterminable |
|
Tungsten |
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. |
CHINA |
CID002535 |
Compliant |
|
Tungsten |
Ganzhou Yatai Tungsten Co., Ltd. |
CHINA |
CID002536 |
Indeterminable |
|
Tungsten |
H.C. Starck GmbH |
GERMANY |
CID002541 |
Compliant |
|
Tungsten |
H.C. Starck Smelting GmbH & Co.KG |
GERMANY |
CID002542 |
Compliant |
9
Forward-Looking Statements
Statements relating to further risk mitigation are forward-looking in nature and are based on our current expectations or beliefs. These forward-looking statements are not a guarantee of performance and are subject to a number of uncertainties and other factors that may be outside of our control and which could cause actual events to differ materially from those expressed or implied by the statements made herein.
10