EX-1.01 2 s001707x1_ex1-01.htm EXHIBIT 1.01

Exhibit 1.01

L3 Technologies, Inc.
Conflict Minerals Report
For The Year Ended December 31, 2016

L3 Technologies, Inc. (referred to herein as “L3,” the “Company,” “we,” “us,” or “our”) has prepared this Conflict Minerals Report (“CMR”) for the year ended December 31, 2016 to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (“Rule 13p‑1”). Rule 13p-1 was adopted by the U.S. Securities and Exchange Commission (the “SEC”) to implement disclosure and reporting requirements pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”). The information in this CMR includes the activities of L3 and its majority-owned subsidiaries and variable interest entities that are required to be consolidated.

Based upon our analysis of the broad range of L3’s communication and electronic systems and products, we have determined that L3 manufactures or contracts to manufacture certain products that contain cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten (“3TG”) necessary to the functionality or production of such products.

Accordingly, as required by Rule 13p-1, we conducted, in good faith, a reasonable country of origin inquiry to determine whether any of the 3TG contained in our products originated in the Democratic Republic of the Congo or Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia (the “Covered Countries”) or were from recycled or scrap sources. Based on this reasonable country of origin inquiry, we had reason to believe that the 3TG contained in our products may have originated in the Covered Countries or may not be from scrap or recycled sources. We therefore exercised due diligence on the source and chain of custody of such 3TG in conformance with the framework in The Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance (the “OECD Guidance”) for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. After conducting such due diligence, we are unable to determine, with the greatest possible specificity, the facilities used to process the 3TG contained in our products or the country of origin of such 3TG. A description of our efforts to determine the mine or location of origin of the 3TG contained in our products is described below under “Due Diligence Measures.”

As permitted by Rule 13p-1 and the SEC’s April 29, 2014 statement relating to Rule 13p-1,1 this Report has not been subject to an independent private sector audit.

This report is available on our website at https://www.l3t.com/investor-relations/corporate-governance

I.          Company and Product Overview

L3 is a prime contractor in Intelligence, Surveillance and Reconnaissance (ISR) systems, aircraft sustainment (including modifications, logistics and maintenance), simulation and training, night vision and image intensification equipment and security and detection systems. L3 is also a leading provider of a broad range of communication and electronic systems and products used on military and commercial platforms. Our customers include the U.S. Department of Defense (DoD) and its prime contractors, U.S. Government intelligence agencies, the U.S. Department of Homeland Security, foreign governments, and domestic and international commercial customers.

We have the following four reportable segments: Aerospace Systems, Communication Systems, Electronic Systems and Sensor Systems.

The businesses in our Aerospace Systems segment provide products and services for the global ISR and Command, Control and Communications markets, specializing in signals intelligence and multi-intelligence platforms, to include full motion video, electro-optical, infrared, and synthetic aperture radars, along with other types of information gathering systems for DoD and select foreign governments.
 

1
Statement on the Effect of the Recent Court of Appeals Decision on the Conflict Minerals Rule, Keith F. Higgins, Director, SEC Division of Corporation Finance, April 29, 2014


The businesses in our Communication Systems segment provide network and communication systems, secure communications products, radio frequency components, satellite communication terminals and space, microwave and telemetry products for DoD and select foreign governments.

The businesses in our Electronic Systems reportable segment provide a broad range of products and services, including components, products, subsystems, systems and related services to military and commercial customers in several niche markets.

The businesses in our Sensor Systems segment provide target stabilized camera systems; high energy laser beam directors, laser designators and high tracking rate telescopes; submarine photonic systems and periscopes; and imaging systems for DoD, NASA, law enforcement and select foreign governments.

II.          Due Diligence Measures

We designed our due diligence measures to conform, in all material respects, with the framework in the OECD Guidance. L3 has a broad product portfolio and a supply chain that is global, complex and has multiple tiers. As a downstream purchaser, we rely on our direct suppliers to provide information with respect to the origin of 3TG contained in our products, including sources of 3TG that are supplied to our direct suppliers by lower tier suppliers. In almost all cases, the information relating to the 3TG contained in our products that we received as part of our due diligence process was obtained from lower tier suppliers. These sources of information may yield inaccurate or incomplete information. Due diligence measures, no matter how well designed and operated, can provide only reasonable, not absolute, assurance, that the due diligence objectives are met.

Our due diligence process included the following:

·
Steering Committee, Work Plan and Control Systems. We have a Cross Functional Steering Committee (CFSC) which is responsible for implementing our 3TG compliance strategy at the corporate and division levels. Our CFSC includes various corporate executive level members of L3 representing supply chain and procurement, legal, finance and accounting, information technology, quality, internal audit, and contracts. The CFSC is also supplemented by resources from L3 divisions located on site where the sourcing of materials takes place. The CFSC has developed a phased approach for determining the sourcing of 3TG contained in our products and has created work instructions that outline the responsibilities and processes to be used to conduct due diligence on the source of 3TG contained in our products.

·
Risk Management Plan and Controls. We conduct a risk management plan that includes our 3TG compliance program and have implemented a number of controls designed to provide reasonable assurance that our 3TG compliance strategy is appropriately implemented, managed and monitored. We also have a number of longstanding grievance mechanisms in place pursuant to which employees and suppliers can report violations of 3TG compliance strategy or provide early-warning of potential violations. These policies and procedures are outlined in our Code of Ethics available on our website at https://www.l3t.com/code-of-ethics-and-business-conduct.

·
Supplier Engagement and Education. We notified our suppliers of our 3TG reporting requirements under Rule 13p-1 and our expectation that our suppliers would report 3TG supply-chain information to enable our compliance with the reporting requirements under Rule 13p-1. We also engaged with our suppliers to further educate them on the 3TG reporting requirements and provided training resources and answers to frequently asked questions.

·
Participation in Industry Wide Programs and Initiatives. We participate in industry-wide initiatives, including the Aerospace Industry Association’s Conflict Minerals Working Group (“AIA”), to define and create standardized procedures for supply chain mapping and identify and certify socially responsible smelters and refiners. We leveraged this industry experience and evolving “best practices” in creating our own due diligence procedures and processes. We also support and are members of an industry initiative that audits smelters’ and refiners’ due diligence activities. That industry initiative is the Conflict-Free Sourcing Initiative (CFSI) which was founded in 2008 by the Electronic Industry Citizenship Coalition (EICC) and The Global e-Sustainability Initiative (GeSI).

2

·
Survey of Direct Suppliers. During 2016 we surveyed direct suppliers to L3 regarding the source of 3TG contained in our products using a questionnaire (the “L3 Questionnaire”) based upon the template developed by the EICC and GeSI, known as the Conflict Minerals Reporting Template (the “CMRT Template”). The CMRT Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. The CMRT Template includes questions regarding a company’s policy with respect to 3TG sourcing, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the CMRT Template contains questions about the origin of 3TG contained in a company’s products, as well as supplier due diligence. The L3 Questionnaire also enables us to track and consolidate supply chain responses within an electronic database tool used across all of our divisions.

·
Assessment of and Follow-up on Supplier Response. We reviewed the supplier responses using criteria developed by us to determine which responses required follow-up with our suppliers and/or suggested an increased risk that the supplier may have provided 3TG that originated in the Covered Countries. This criteria assisted us in identifying responses from suppliers that were untimely, incomplete or inconsistent with other reported data. To the extent ambiguities or inconsistencies existed, we solicited updated or more comprehensive responses from our suppliers. We also conducted additional follow-up with suppliers who had not responded to our initial requests to provide 3TG information.

III.          Due Diligence Results

We received responses from approximately 67% of the suppliers surveyed in 2016. The large majority of the supplier responses, however, did not isolate or represent with specificity which smelters or refiners in their supply chain had supplied the 3TG contained in our products. Accordingly, we were unable to validate with specificity the facilities used to process the 3TG or the country of origin of the 3TG.

The supplier responses identified 306 known smelters and refiners that were reported to be in our supply chain for the period from January 1, 2016 to December 31, 2016. Of those 306 smelters and refiners, 265 have been verified as conflict-free or in the audit process. The following table presents the number of identified smelters or refiners verified as conflict-free or in the audit process by mineral.

Identified smelters or refiners verified as conflict-free or in the audit process
 
Tantalum
42 of 42 100%)
Tin
71 of 79 (90%)
Tungsten
41 of 46 (89%)
Gold
111 of 139 (80%)
Total
265 of 306 (87%)

The data on which we relied for certain statements in this CMR was obtained through our membership in the CFSI (CFSI member LCOM).

Based on the information provided by L3’s suppliers, L3 believes that the facilities that may have been used to process the 3TG in our products include the smelters and refiners listed in Annex I below. However, L3 is unable to ascertain sufficient information to conclusively determine which of these smelters or refiners, if any, provided 3TG that may be contained in our products.

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IV.          Steps to Mitigate Future Risk That 3TG in Our Products Benefit Armed Groups

As provided in our 3TG Statement (available on our website at https://www.l3t.com/suppliers/conflict-minerals), L3 is committed to compliance with Rule 13p-1 and is dedicated to the implementation of comprehensive due diligence processes to meet its obligations. L3 also believes in the responsible sourcing of materials and will continue its efforts to ensure a conflict-free supply chain to the extent reasonably practicable.

Consistent with our 3TG Statement, we expect to continue to take the following steps to comply with our future obligations under Rule 13p-1 and, to the extent reasonably possible, mitigate the risk that 3TG contained in our products benefit armed groups in the Covered Countries:

·
Mandate or Encourage 3TG Flow-Clauses in Supply Contracts. We intend to continue to include the L3 Conflict Minerals Clause, which requires suppliers to provide 3TG sourcing and smelter information, as part of our standard Terms and Conditions of Purchase in new or renewed supplier contracts.

·
Engage Suppliers. We plan to continue to engage with suppliers and direct them to training resources in order to improve the response rate, completeness and accuracy of our supplier survey responses. If we identify suppliers who are sourcing 3TG from the Covered Countries, we intend to negotiate with them to mitigate the risk that such 3TG benefits armed groups and/or to establish alternative sources of 3TG that do not support such groups. If these efforts prove unsuccessful, we may, when reasonably practicable, terminate the contract or find a replacement supplier.

·
Coordinate with Industry Associations. We expect to continue to participate in industry group efforts to define and improve best practices for 3TG supply chain mapping and induce 3TG smelters and refiners to adopt socially responsible business practices. For example, we have been involved in the AIA’s efforts to encourage certain smelters and gold refiners that supply 3TG that may be used in products manufactured by the U.S. aerospace and defense industry to conduct due diligence in accordance with the OECD Guidance and become validated as a conflict-free smelter or refiner.

·
Commit Resources and Management Attention. We expect our CFSC will continue to be dedicated to implementing and executing our 3TG compliance strategy at the corporate and division levels with the assistance of resources from L3 divisions located on site where the sourcing of materials takes place. We anticipate that we will continue to devote resources and personnel to the work of this committee and support its approach for determining the sourcing of 3TG contained in our products and the related work plan.

·
Maintain Risk Management Plan, Controls and Grievance Mechanisms. We plan to refine our risk management plan and controls over time to ensure that our 3TG compliance strategy is appropriately implemented, managed and monitored. We also intend to address, as appropriate, complaints or concerns expressed through our grievance mechanisms with respect to our 3TG compliance efforts.

Forward-Looking Statements

Certain of the matters discussed in this CMR, including in particular, efforts to mitigate risks that 3TG contained in our products could benefit armed groups in the Covered Countries, include forward-looking statements. Readers of this document are cautioned that our forward-looking statements are not guarantees of our future actions, which may differ materially from the expectations expressed in the forward-looking statements. We expressly disclaim a duty to provide updates to these forward-looking statements after the date of this filing to reflect events or changes in circumstances or changes in expectations or the occurrence of anticipated events.

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ANNEX I
 
Subject
Mineral
 
Smelter or Refiner Name
 
Country Location of
Smelter or Refiner
         
Tantalum
 
Changsha South Tantalum Niobium Co., Ltd.
 
CHINA
Tantalum
 
Conghua Tantalum and Niobium Smeltry
 
CHINA
Tantalum
 
D Block Metals, LLC
 
UNITED STATES OF AMERICA
Tantalum
 
Duoluoshan
 
CHINA
Tantalum
 
Exotech Inc.
 
UNITED STATES OF AMERICA
Tantalum
 
F&X Electro-Materials Ltd.
 
CHINA
Tantalum
 
FIR Metals & Resource Ltd.
 
CHINA
Tantalum
 
Global Advanced Metals Aizu
 
JAPAN
Tantalum
 
Global Advanced Metals Boyertown
 
UNITED STATES OF AMERICA
Tantalum
 
Guangdong Zhiyuan New Material Co., Ltd.
 
CHINA
Tantalum
 
H.C. Starck Co., Ltd.
 
THAILAND
Tantalum
 
H.C. Starck Hermsdorf GmbH
 
GERMANY
Tantalum
 
H.C. Starck Inc.
 
UNITED STATES OF AMERICA
Tantalum
 
H.C. Starck Ltd.
 
JAPAN
Tantalum
 
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
Tantalum
 
H.C. Starck Tantalum and Niobium GmbH
 
GERMANY
Tantalum
 
Hengyang King Xing Lifeng New Materials Co., Ltd.
 
CHINA
Tantalum
 
Hi-Temp Specialty Metals, Inc.
 
UNITED STATES OF AMERICA
Tantalum
 
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
 
CHINA
Tantalum
 
Jiangxi Tuohong New Raw Material
 
CHINA
Tantalum
 
JiuJiang JinXin Nonferrous Metals Co., Ltd.
 
CHINA
Tantalum
 
Jiujiang Nonferrous Metals Smelting Company Limited
 
CHINA
Tantalum
 
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
 
CHINA
Tantalum
 
KEMET Blue Metals
 
MEXICO
Tantalum
 
KEMET Blue Powder
 
UNITED STATES OF AMERICA
Tantalum
 
King-Tan Tantalum Industry Ltd.
 
CHINA
Tantalum
 
LSM Brasil S.A.
 
BRAZIL
Tantalum
 
Metallurgical Products India Pvt., Ltd.
 
INDIA
Tantalum
 
Mineração Taboca S.A.
 
BRAZIL
Tantalum
 
Mitsui Mining and Smelting Co., Ltd.
 
JAPAN
Tantalum
 
Ningxia Orient Tantalum Industry Co., Ltd.
 
CHINA
Tantalum
 
NPM Silmet AS
 
ESTONIA
Tantalum
 
Power Resources Ltd.
 
MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF)
Tantalum
 
QuantumClean
 
UNITED STATES OF AMERICA
Tantalum
 
Resind Indústria e Comércio Ltda.
 
BRAZIL
Tantalum
 
RFH Tantalum Smeltry Co., Ltd.
 
CHINA
Tantalum
 
Taki Chemical Co., Ltd.
 
JAPAN
Tantalum
 
Telex Metals
 
UNITED STATES OF AMERICA
Tantalum
 
Ulba Metallurgical Plant JSC
 
KAZAKHSTAN
A-1

 
Tantalum
 
XinXing HaoRong Electronic Material Co., Ltd.
 
CHINA
Tantalum
 
Yichun Jin Yang Rare Metal Co., Ltd.
 
CHINA
Tantalum
 
Zhuzhou Cemented Carbide Group Co., Ltd.
 
CHINA
Tin
 
Alpha
 
UNITED STATES OF AMERICA
Tin
 
An Thai Minerals Co., Ltd.
 
VIET NAM
Tin
 
An Vinh Joint Stock Mineral Processing Company
 
VIET NAM
Tin
 
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
 
CHINA
Tin
 
China Tin Group Co., Ltd.
 
CHINA
Tin
 
CNMC (Guangxi) PGMA Co., Ltd.
 
CHINA
Tin
 
Cooperativa Metalurgica de Rondônia Ltda.
 
BRAZIL
Tin
 
CV Ayi Jaya
 
INDONESIA
Tin
 
CV Dua Sekawan
 
INDONESIA
Tin
 
CV Gita Pesona
 
INDONESIA
Tin
 
CV Serumpun Sebalai
 
INDONESIA
Tin
 
CV Tiga Sekawan
 
INDONESIA
Tin
 
CV United Smelting
 
INDONESIA
Tin
 
CV Venus Inti Perkasa
 
INDONESIA
Tin
 
Dowa
 
JAPAN
Tin
 
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
 
VIET NAM
Tin
 
Elmet S.L.U.
 
SPAIN
Tin
 
EM Vinto
 
BOLIVIA (PLURINATIONAL STATE OF)
Tin
 
Estanho de Rondônia S.A.
 
BRAZIL
Tin
 
Fenix Metals
 
POLAND
Tin
 
Gejiu Fengming Metallurgy Chemical Plant
 
CHINA
Tin
 
Gejiu Jinye Mineral Company
 
CHINA
Tin
 
Gejiu Kai Meng Industry and Trade LLC
 
CHINA
Tin
 
Gejiu Non-Ferrous Metal Processing Co., Ltd.
 
CHINA
Tin
 
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
 
CHINA
Tin
 
Gejiu Zili Mining And Metallurgy Co., Ltd.
 
CHINA
Tin
 
Guanyang Guida Nonferrous Metal Smelting Plant
 
CHINA
Tin
 
HuiChang Hill Tin Industry Co., Ltd.
 
CHINA
Tin
 
Huichang Jinshunda Tin Co., Ltd.
 
CHINA
Tin
 
Jiangxi Ketai Advanced Material Co., Ltd.
 
CHINA
Tin
 
Magnu’s Minerais Metais e Ligas Ltda.
 
BRAZIL
Tin
 
Malaysia Smelting Corporation (MSC)
 
MALAYSIA
Tin
 
Melt Metais e Ligas S.A.
 
BRAZIL
Tin
 
Metallic Resources, Inc.
 
UNITED STATES OF AMERICA
Tin
 
Metallo-Chimique N.V.
 
BELGIUM
Tin
 
Mineração Taboca S.A.
 
BRAZIL
Tin
 
Minsur
 
PERU
Tin
 
Mitsubishi Materials Corporation
 
JAPAN
Tin
 
Nankang Nanshan Tin Manufactory Co., Ltd.
 
CHINA
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
 
VIET NAM
Tin
 
O.M. Manufacturing (Thailand) Co., Ltd.
 
THAILAND
Tin
 
O.M. Manufacturing Philippines, Inc.
 
PHILIPPINES
Tin
 
Operaciones Metalurgical S.A.
 
BOLIVIA (PLURINATIONAL STATE OF)
Tin
 
PT Aries Kencana Sejahtera
 
INDONESIA
Tin
 
PT Artha Cipta Langgeng
 
INDONESIA
Tin
 
PT ATD Makmur Mandiri Jaya
 
INDONESIA
A-2

 
Tin
 
PT Babel Inti Perkasa
 
INDONESIA
Tin
 
PT Bangka Prima Tin
 
INDONESIA
Tin
 
PT Bangka Tin Industry
 
INDONESIA
Tin
 
PT Belitung Industri Sejahtera
 
INDONESIA
Tin
 
PT Bukit Timah
 
INDONESIA
         
Tin
 
PT DS Jaya Abadi
 
INDONESIA
Tin
 
PT Eunindo Usaha Mandiri
 
INDONESIA
Tin
 
PT Inti Stania Prima
 
INDONESIA
         
Tin
 
PT Karimun Mining
 
INDONESIA
Tin
 
PT Kijang Jaya Mandiri
 
INDONESIA
Tin
 
PT Mitra Stania Prima
 
INDONESIA
Tin
 
PT O.M. Indonesia
 
INDONESIA
Tin
 
PT Panca Mega Persada
 
INDONESIA
Tin
 
PT Prima Timah Utama
 
INDONESIA
Tin
 
PT Refined Bangka Tin
 
INDONESIA
Tin
 
PT Sariwiguna Binasentosa
 
INDONESIA
Tin
 
PT Stanindo Inti Perkasa
 
INDONESIA
Tin
 
PT Sukses Inti Makmur
 
INDONESIA
Tin
 
PT Sumber Jaya Indah
 
INDONESIA
Tin
 
PT Timah (Persero) Tbk Kundur
 
INDONESIA
Tin
 
PT Timah (Persero) Tbk Mentok
 
INDONESIA
Tin
 
PT Tinindo Inter Nusa
 
INDONESIA
Tin
 
PT Tommy Utama
 
INDONESIA
Tin
 
Resind Indústria e Comércio Ltda.
 
BRAZIL
Tin
 
Rui Da Hung
 
TAIWAN, PROVINCE OF CHINA
Tin
 
Soft Metais Ltda.
 
BRAZIL
Tin
 
Super Ligas
 
BRAZIL
Tin
 
Thaisarco
 
THAILAND
Tin
 
Tuyen Quang Non-Ferrous Metals Joint Stock Company
 
VIET NAM
Tin
 
VQB Mineral and Trading Group JSC
 
VIET NAM
Tin
 
White Solder Metalurgia e Mineração Ltda.
 
BRAZIL
Tin
 
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
 
CHINA
Tin
 
Yunnan Tin Company Limited
 
CHINA
Tungsten
 
A.L.M.T. TUNGSTEN Corp.
 
JAPAN
Tungsten
 
ACL Metais Eireli
 
BRAZIL
Tungsten
 
Asia Tungsten Products Vietnam Ltd.
 
VIET NAM
Tungsten
 
Chenzhou Diamond Tungsten Products Co., Ltd.
 
CHINA
Tungsten
 
Chongyi Zhangyuan Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Dayu Weiliang Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Fujian Jinxin Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Haichuang Tungsten Industry Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Huaxing Tungsten Products Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Seadragon W & Mo Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Yatai Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Global Tungsten & Powders Corp.
 
UNITED STATES OF AMERICA
Tungsten
 
Guangdong Xianglu Tungsten Co., Ltd.
 
CHINA
Tungsten
 
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
Tungsten
 
H.C. Starck Tungsten GmbH
 
GERMANY
Tungsten
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
Tungsten
 
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
 
CHINA
Tungsten
 
Hunan Chunchang Nonferrous Metals Co., Ltd.
 
CHINA
A-3

 
Tungsten
 
Hydrometallurg, JSC
 
RUSSIAN FEDERATION
Tungsten
 
Japan New Metals Co., Ltd.
 
JAPAN
Tungsten
 
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Gan Bei Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Yaosheng Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Kennametal Fallon
 
UNITED STATES OF AMERICA
Tungsten
 
Kennametal Huntsville
 
UNITED STATES OF AMERICA
Tungsten
 
Malipo Haiyu Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Moliren Ltd.
 
RUSSIAN FEDERATION
Tungsten
 
Niagara Refining LLC
 
UNITED STATES OF AMERICA
Tungsten
 
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
 
VIET NAM
Tungsten
 
Philippine Chuangxin Industrial Co., Inc.
 
PHILIPPINES
Tungsten
 
South-East Nonferrous Metal Company Limited of Hengyang City
 
CHINA
Tungsten
 
Tejing (Vietnam) Tungsten Co., Ltd.
 
VIET NAM
Tungsten
 
Unecha Refractory metals plant
 
RUSSIAN FEDERATION
Tungsten
 
Vietnam Youngsun Tungsten Industry Co., Ltd.
 
VIET NAM
Tungsten
 
Wolfram Bergbau und Hütten AG
 
AUSTRIA
Tungsten
 
Woltech Korea Co., Ltd.
 
KOREA (REPUBLIC OF)
Tungsten
 
Xiamen Tungsten (H.C.) Co., Ltd.
 
CHINA
Tungsten
 
Xiamen Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
 
CHINA
Tungsten
 
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
 
CHINA
Gold
 
Abington Reldan Metals, LLC
 
UNITED STATES OF AMERICA
Gold
 
Advanced Chemical Company
 
UNITED STATES OF AMERICA
Gold
 
Aida Chemical Industries Co., Ltd.
 
JAPAN
Gold
 
Al Etihad Gold LLC
 
UNITED ARAB EMIRATES
Gold
 
Allgemeine Gold-und Silberscheideanstalt A.G.
 
GERMANY
Gold
 
Almalyk Mining and Metallurgical Complex (AMMC)
 
UZBEKISTAN
Gold
 
AngloGold Ashanti Córrego do Sítio Mineração
 
BRAZIL
Gold
 
Argor-Heraeus S.A.
 
SWITZERLAND
Gold
 
Asahi Pretec Corp.
 
JAPAN
Gold
 
Asahi Refining Canada Ltd.
 
CANADA
Gold
 
Asahi Refining USA Inc.
 
UNITED STATES OF AMERICA
Gold
 
Asaka Riken Co., Ltd.
 
JAPAN
Gold
 
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
 
TURKEY
Gold
 
AU Traders and Refiners
 
SOUTH AFRICA
Gold
 
Aurubis AG
 
GERMANY
Gold
 
Bangalore Refinery
 
INDIA
Gold
 
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
 
PHILIPPINES
Gold
 
Boliden AB
 
SWEDEN
Gold
 
C. Hafner GmbH + Co. KG
 
GERMANY
Gold
 
Caridad
 
MEXICO
Gold
 
CCR Refinery - Glencore Canada Corporation
 
CANADA
Gold
 
Cendres + Métaux S.A.
 
SWITZERLAND
Gold
 
Chimet S.p.A.
 
ITALY
A-4

 
Gold
 
Chugai Mining
 
JAPAN
Gold
 
Daejin Indus Co., Ltd.
 
KOREA (REPUBLIC OF)
Gold
 
Daye Non-Ferrous Metals Mining Ltd.
 
CHINA
Gold
 
Degussa Sonne / Mond Goldhandel GmbH
 
GERMANY
Gold
 
DODUCO GmbH
 
GERMANY
Gold
 
Dowa
 
JAPAN
Gold
 
DSC (Do Sung Corporation)
 
KOREA (REPUBLIC OF)
Gold
 
Eco-System Recycling Co., Ltd.
 
JAPAN
Gold
 
Elemetal Refining, LLC
 
UNITED STATES OF AMERICA
Gold
 
Emirates Gold DMCC
 
UNITED ARAB EMIRATES
Gold
 
Fidelity Printers and Refiners Ltd.
 
ZIMBABWE
Gold
 
Gansu Seemine Material Hi-Tech Co., Ltd.
 
CHINA
Gold
 
GCC Gujrat Gold Centre Pvt. Ltd.
 
INDIA
Gold
 
Geib Refining Corporation
 
UNITED STATES OF AMERICA
Gold
 
Gold Refinery of Zijin Mining Group Co., Ltd.
 
CHINA
Gold
 
Great Wall Precious Metals Co., Ltd. of CBPM
 
CHINA
Gold
 
Guangdong Jinding Gold Limited
 
CHINA
Gold
 
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
 
CHINA
Gold
 
Hangzhou Fuchunjiang Smelting Co., Ltd.
 
CHINA
Gold
 
HeeSung Metal Ltd.
 
KOREA (REPUBLIC OF)
Gold
 
Heimerle + Meule GmbH
 
GERMANY
Gold
 
Heraeus Metals Hong Kong Ltd.
 
CHINA
Gold
 
Heraeus Precious Metals GmbH & Co. KG
 
GERMANY
Gold
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
Gold
 
HwaSeong CJ CO., LTD.
 
KOREA (REPUBLIC OF)
Gold
 
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
 
CHINA
Gold
 
Ishifuku Metal Industry Co., Ltd.
 
JAPAN
Gold
 
Istanbul Gold Refinery
 
TURKEY
Gold
 
Japan Mint
 
JAPAN
Gold
 
Jiangxi Copper Co., Ltd.
 
CHINA
Gold
 
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
 
RUSSIAN FEDERATION
Gold
 
JSC Uralelectromed
 
RUSSIAN FEDERATION
Gold
 
JX Nippon Mining & Metals Co., Ltd.
 
JAPAN
Gold
 
Kaloti Precious Metals
 
UNITED ARAB EMIRATES
Gold
 
Kazakhmys Smelting LLC
 
KAZAKHSTAN
Gold
 
Kazzinc
 
KAZAKHSTAN
Gold
 
Kennecott Utah Copper LLC
 
UNITED STATES OF AMERICA
Gold
 
KGHM Polska Miedź Spółka Akcyjna
 
POLAND
Gold
 
Kojima Chemicals Co., Ltd.
 
JAPAN
Gold
 
Korea Zinc Co., Ltd.
 
KOREA (REPUBLIC OF)
Gold
 
Kyrgyzaltyn JSC
 
KYRGYZSTAN
Gold
 
Kyshtym Copper-Electrolytic Plant ZAO
 
RUSSIAN FEDERATION
Gold
 
L’azurde Company For Jewelry
 
SAUDI ARABIA
Gold
 
Lingbao Gold Co., Ltd.
 
CHINA
Gold
 
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
 
CHINA
Gold
 
LS-NIKKO Copper Inc.
 
KOREA (REPUBLIC OF)
Gold
 
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
 
CHINA
Gold
 
Marsam Metals
 
BRAZIL
Gold
 
Materion
 
UNITED STATES OF AMERICA
Gold
 
Matsuda Sangyo Co., Ltd.
 
JAPAN
Gold
 
Metalor Technologies (Hong Kong) Ltd.
 
CHINA
Gold
 
Metalor Technologies (Singapore) Pte., Ltd.
 
SINGAPORE
A-5

 
Gold
 
Metalor Technologies (Suzhou) Ltd.
 
CHINA
Gold
 
Metalor Technologies S.A.
 
SWITZERLAND
Gold
 
Metalor USA Refining Corporation
 
UNITED STATES OF AMERICA
Gold
 
Metalúrgica Met-Mex Peñoles S.A. De C.V.
 
MEXICO
Gold
 
Mitsubishi Materials Corporation
 
JAPAN
Gold
 
Mitsui Mining and Smelting Co., Ltd.
 
JAPAN
Gold
 
MMTC-PAMP India Pvt., Ltd.
 
INDIA
Gold
 
Modeltech Sdn Bhd
 
MALAYSIA
Gold
 
Morris and Watson
 
NEW ZEALAND
Gold
 
Moscow Special Alloys Processing Plant
 
RUSSIAN FEDERATION
Gold
 
Nadir Metal Rafineri San. Ve Tic. A.Ş.
 
TURKEY
Gold
 
Navoi Mining and Metallurgical Combinat
 
UZBEKISTAN
Gold
 
Nihon Material Co., Ltd.
 
JAPAN
Gold
 
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
 
AUSTRIA
Gold
 
Ohura Precious Metal Industry Co., Ltd.
 
JAPAN
Gold
 
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)
 
RUSSIAN FEDERATION
Gold
 
OJSC Novosibirsk Refinery
 
RUSSIAN FEDERATION
Gold
 
PAMP S.A.
 
SWITZERLAND
Gold
 
Penglai Penggang Gold Industry Co., Ltd.
 
CHINA
Gold
 
Prioksky Plant of Non-Ferrous Metals
 
RUSSIAN FEDERATION
Gold
 
PT Aneka Tambang (Persero) Tbk
 
INDONESIA
Gold
 
PX Précinox S.A.
 
SWITZERLAND
Gold
 
Rand Refinery (Pty) Ltd.
 
SOUTH AFRICA
Gold
 
Remondis Argentia B.V.
 
NETHERLANDS
Gold
 
Republic Metals Corporation
 
UNITED STATES OF AMERICA
Gold
 
Royal Canadian Mint
 
CANADA
Gold
 
SAAMP
 
FRANCE
Gold
 
Sabin Metal Corp.
 
UNITED STATES OF AMERICA
Gold
 
SAFINA A.S.
 
CZECH REPUBLIC
Gold
 
Sai Refinery
 
INDIA
Gold
 
Samduck Precious Metals
 
KOREA (REPUBLIC OF)
Gold
 
Samwon Metals Corp.
 
KOREA (REPUBLIC OF)
Gold
 
SAXONIA Edelmetalle GmbH
 
GERMANY
Gold
 
Schone Edelmetaal B.V.
 
NETHERLANDS
Gold
 
SEMPSA Joyería Platería S.A.
 
SPAIN
Gold
 
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
 
CHINA
Gold
 
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
 
CHINA
Gold
 
Sichuan Tianze Precious Metals Co., Ltd.
 
CHINA
Gold
 
Singway Technology Co., Ltd.
 
TAIWAN, PROVINCE OF CHINA
Gold
 
So Accurate Group, Inc.
 
UNITED STATES OF AMERICA
Gold
 
SOE Shyolkovsky Factory of Secondary Precious Metals
 
RUSSIAN FEDERATION
Gold
 
Solar Applied Materials Technology Corp.
 
TAIWAN, PROVINCE OF CHINA
Gold
 
Sudan Gold Refinery
 
SUDAN
Gold
 
Sumitomo Metal Mining Co., Ltd.
 
JAPAN
Gold
 
T.C.A S.p.A
 
ITALY
Gold
 
Tanaka Kikinzoku Kogyo K.K.
 
JAPAN
Gold
 
The Refinery of Shandong Gold Mining Co., Ltd.
 
CHINA
Gold
 
Tokuriki Honten Co., Ltd.
 
JAPAN
Gold
 
Tongling Nonferrous Metals Group Co., Ltd.
 
CHINA
A-6

 
Gold
 
Tony Goetz NV
 
BELGIUM
Gold
 
TOO Tau-Ken-Altyn
 
KAZAKHSTAN
Gold
 
Torecom
 
KOREA (REPUBLIC OF)
Gold
 
Umicore Brasil Ltda.
 
BRAZIL
Gold
 
Umicore Precious Metals Thailand
 
THAILAND
Gold
 
Umicore S.A. Business Unit Precious Metals Refining
 
BELGIUM
Gold
 
United Precious Metal Refining, Inc.
 
UNITED STATES OF AMERICA
Gold
 
Universal Precious Metals Refining Zambia
 
ZAMBIA
Gold
 
Valcambi S.A.
 
SWITZERLAND
Gold
 
Western Australian Mint (T/a The Perth Mint)
 
AUSTRALIA
Gold
 
WIELAND Edelmetalle GmbH
 
GERMANY
Gold
 
Yamamoto Precious Metal Co., Ltd.
 
JAPAN
Gold
 
Yokohama Metal Co., Ltd.
 
JAPAN
Gold
 
Yunnan Copper Industry Co., Ltd.
 
CHINA
Gold
 
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
 
CHINA
 
 
 
A-7