Delaware | 001-34927 | 57-6218917 | ||
(State or other jurisdiction of incorporation or organization) | (Commission File Number) | (I.R.S. Employer Identification No.) |
Delaware | 001-34926 | 20-3812051 | ||
(State or other jurisdiction of incorporation or organization) | (Commission File Number) | (I.R.S. Employer Identification No.) |
x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016. |
Date: May 30, 2017 | COMPASS DIVERSIFIED HOLDINGS | ||
By: | /s/ Ryan J. Faulkingham | ||
Ryan J. Faulkingham | |||
Regular Trustee |
Date: May 30, 2017 | COMPASS GROUP DIVERSIFIED HOLDINGS LLC | ||
By: | /s/ Ryan J. Faulkingham | ||
Ryan J. Faulkingham | |||
Chief Financial Officer |
Exhibit Number | Description of Exhibit | |
1.01 | Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. |
• | 5.11 Tactical is a leading provider of purpose-built tactical apparel and gear for law enforcement, firefighters, EMS, and military special operations as well as outdoor and adventure enthusiasts. 5.11 is a brand known for innovation and authenticity, and works directly with end users to create purpose-built apparel and gear designed to enhance the safety, accuracy, speed and performance of tactical professionals and enthusiasts worldwide. Headquartered in Irvine, California, 5.11 operates sales offices and distribution centers globally, and 5.11 products are widely distributed in uniform stores, military exchanges, outdoor retail stores, its own retail stores and on 511tactical.com. |
• | Ergobaby, headquartered in Los Angeles, California, is a designer, marketer and distributor of wearable baby carriers and accessories, blankets and swaddlers, nursing pillows, and related products. Ergobaby primarily sells its Ergobaby and Baby Tula branded products through brick-and-mortar retailers, national chain stores, online retailers, its own websites and distributors and derives approximately 57% of its sales from outside of the United States. |
• | Liberty Safe is a designer, manufacturer and marketer of premium home, gun and office safes in North America. From its over 300,000 square foot manufacturing facility, Liberty produces a wide range of home and gun safe models in a broad assortment of sizes, features and styles. Liberty is headquartered in Payson, Utah. |
• | Manitoba Harvest is a pioneer and leader in the manufacture and distribution of branded, hemp-based foods and hemp based ingredients. Manitoba Harvest’s products, which include Hemp Hearts™, Hemp Heart Bites™, Hemp Heart Bars™, and Hemp protein powders, are currently carried in over 13,000 retail stores across the U.S. and Canada. Manitoba Harvest is headquartered in Winnipeg, Manitoba. |
• | Advanced Circuits, an electronic components manufacturing company, is a provider of small-run, quick-turn and volume production rigid printed circuit boards. ACI manufactures and delivers custom printed circuit boards to customers primarily in North America. ACI is headquartered in Aurora, Colorado. |
• | Arnold Magnetics is a global manufacturer of engineered magnetic solutions for a wide range of specialty applications and end-markets, including aerospace and defense, motorsport/automotive, oil and gas, medical, general industrial, electric utility, reprographics and advertising specialty markets. Arnold Magnetics produces high performance permanent magnets (PMAG), flexible magnets (FlexMag) and precision foil products (Precision Thin Metals) that are mission critical in motors, generators, sensors and other systems and components. Based on its long-term relationships, Arnold has built a diverse and blue-chip customer base totaling more than 2,000 clients worldwide. Arnold Magnetics is headquartered in Rochester, New York. |
• | Clean Earth provides environmental services for a variety of contaminated materials including soils, dredged material, hazardous waste and drill cuttings. Clean Earth analyzes, treats, documents and recycles waste streams generated in multiple end-markets such as power, construction, oil and gas, infrastructure, industrial and dredging. Clean Earth is headquartered in Hatboro, Pennsylvania and operates 18 facilities in the eastern United States. |
• | Sterno Products is a manufacturer and marketer of portable food warming fuel and creative table lighting solutions for the food service industry and flameless candles and outdoor lighting products for consumers. Sterno's products include wick and gel chafing fuels, butane stoves and accessories, liquid and traditional wax candles, catering equipment and outdoor lighting products. Sterno Products is headquartered in Corona, California. |
• | worked with suppliers to obtain more complete information; |
• | followed up with suppliers that did not respond or provided inconsistent or incomplete responses; |
• | sought information regarding the smelters or refiners or smelters that processed the conflict minerals in the suppliers’ products; and |
• | analyzed the supplier’s responses against the Company's conflict minerals policy and against the list of smelters and refiners on the CFSI website to determine whether the smelters received a "compliant" or "active" designations from the Conflict Free Smelter Program ("CFSP"). |
Metal | Official Smelter Name | CESI Smelter ID | Smelter Country |
Tin | Yunnan Tin Company Limited | CID002180 | China |
Tin | China Tin Group Co., Ltd. | CID001070 | China |
• | Evaluating current direct suppliers based on their responsiveness to the 2016 calendar year's data collection effort. We expect to submit the names of those suppliers who provide products with risk of possible 3TG content that required responses and whose responses were limited or non-existent for calendar year 2016 to the executive management of the applicable subsidiary for review. |
• | Reaching out to suppliers earlier in the process and asking them to complete the CMRT. |
• | Improving, to the extent possible, the percentage of supplier provided responses to the request to complete the CMRT. |
Metal | Smelter Reference List | Smelter Facility Location: Country | ||
Gold | Royal Canadian Mint | CANADA | ||
Gold | Metalor USA Refining Corporation | UNITED STATES | ||
Gold | Umicore SA Business Unit Precious Metals Refining | BELGIUM | ||
Gold | United Precious Metal Refining, Inc. | UNITED STATES | ||
Gold | Ohio Precious Metals, LLC | UNITED STATES | ||
Gold | Advanced Chemical Company | UNITED STATES | ||
Gold | Aida Chemical Industries Co. Ltd. | JAPAN | ||
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 SA | SWITZERLAND | ||
Gold | Asahi Refining Canada Limited | CANADA | ||
Gold | Asahi Refining USA Inc. | UNITED STATES | ||
Gold | Asaka Riken Co., Ltd. | JAPAN | ||
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | ||
Gold | Aurubis AG | GERMANY | ||
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | ||
Gold | Boliden AB | SWEDEN | ||
Gold | C. Hafner GmbH + Co. KG | GERMANY | ||
Gold | CCR Refinery - Glencore Canada Corporation | CANADA | ||
Gold | Chimet S.p.A. | ITALY | ||
Gold | Chugai Mining | CHINA | ||
Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | ||
Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | ||
Gold | Do Sung Corporation | KOREA, REPUBLIC OF | ||
Gold | DODUCO GmbH | GERMANY | ||
Gold | Dowa | JAPAN | ||
Gold | Eco-System Recycling | JAPAN | ||
Gold | Elemetal Refining, LLC | UNITED STATES | ||
Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | ||
Gold | Geib Refining Corporation | UNITED STATES | ||
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 | Heimerle + Meule GmbH | GERMANY | ||
Gold | Heraeus Ltd. Hong Kong | CHINA | ||
Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | ||
Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||
Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | ||
Gold | Istanbul Gold Refinery | TURKEY | ||
Gold | Japan Mint | JAPAN |
Metal | Smelter Reference List | Smelter Facility Location: Country | ||
Gold | Jiangxi Copper Company Limited | 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 | Kazzinc | KAZAKHSTAN | ||
Gold | Kennecott Utah Copper LLC | UNITED STATES | ||
Gold | Kojima Chemicals Co., Ltd. | JAPAN | ||
Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | ||
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 | Materion | UNITED STATES | ||
Gold | Matsuda Sangyo Co., Ltd. | JAPAN | ||
Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | ||
Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | ||
Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | ||
Gold | Metalor Technologies SA | SWITZERLAND | ||
Gold | Metalor USA Refining Corporation | UNITED STATES | ||
Gold | Mitsubishi Materials Corporation | JAPAN | ||
Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | ||
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 | Ogussa Osterreichische Gold - und Silber-Scheideanstalt GmbH | AUSTRIA | ||
Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | ||
Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | ||
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 | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | ||
Gold | Republic Metals Corporation | UNITED STATES | ||
Gold | Sabin Metal Corp. | UNITED STATES | ||
Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | ||
Gold | SAMWON Metals Corp. | KOREA, REPUBLIC OF | ||
Gold | Schone Edelmetaal B.V. | NETHERLANDS | ||
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | ||
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | ||
Gold | So Accurate Group, Inc. | UNITED STATES | ||
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | ||
Gold | Solar Applied Materials Technology Corp. | TAIWAN | ||
Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | ||
Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | ||
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | ||
Gold | Tokuriki Honten Co., Ltd. | JAPAN |
Metal | Smelter Reference List | Smelter Facility Location: Country | ||
Gold | Torecom | KOREA, REPUBLIC OF | ||
Gold | Umicore Brasil Ltda. | BRAZIL | ||
Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | ||
Gold | Umicore Precious Metals Thailand | THAILAND | ||
Gold | United Precious Metal Co., Ltd. | UNITED STATES | ||
Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | ||
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 | ||
Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | ||
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | ||
Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | ||
Tantalum | Duoluoshan | CHINA | ||
Tantalum | Exotech Inc. | UNITED STATES | ||
Tantalum | F&X Electro-Materials Ltd. | CHINA | ||
Tantalum | Global Advanced Metals Aizu | JAPAN | ||
Tantalum | Global Advanced Metals Boyertown | UNITED STATES | ||
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | ||
Tantalum | H.C. Starck Co., Ltd. | THAILAND | ||
Tantalum | H.C. Starck GmbH Goslar | GERMANY | ||
Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | ||
Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | ||
Tantalum | H.C. Starck Inc. | UNITED STATES | ||
Tantalum | H.C. Starck Ltd. | JAPAN | ||
Tantalum | H.C. Starck Smelting GmbH & Co.KG | GERMANY | ||
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | ||
Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES | ||
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | ||
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | ||
Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | ||
Tantalum | KEMET Blue Metals | MEXICO | ||
Tantalum | KEMET Blue Powder | UNITED STATES | ||
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 & Smelting | JAPAN | ||
Tantalum | Molycorp Silmet A.S. | ESTONIA | ||
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | ||
Tantalum | Plansee SE Liezen | AUSTRIA | ||
Tantalum | Plansee SE Reutte | AUSTRIA | ||
Tantalum | QuantumClean | UNITED STATES | ||
Tantalum | RFH Tantalum Smeltry Co., Ltd. | CHINA | ||
Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION |
Metal | Smelter Reference List | Smelter Facility Location: Country | ||
Tantalum | Taki Chemicals | JAPAN | ||
Tantalum | Telex Metals | UNITED STATES | ||
Tantalum | Tranzact, Inc. | UNITED STATES | ||
Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | ||
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | ||
Tantalum | Zhuzhou Cemented Carbide | CHINA | ||
Tin | Alpha | UNITED STATES | ||
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 Gita Pesona | INDONESIA | ||
Tin | CV Serumpun Sebalai | INDONESIA | ||
Tin | CV Tiga Sekawan | INDONESIA | ||
Tin | CV Venus Inti Perkasa | INDONESIA | ||
Tin | CV United Smelting | INDONESIA | ||
Tin | Dowa | JAPAN | ||
Tin | EM Vinto | BOLIVIA | ||
Tin | Estanho de Rondônia S.A. | BRAZIL | ||
Tin | Fenix Metals | POLAND | ||
Tin | Ganzhou Liansheng Metallurgical Products Co. Ltd. | 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 | Huichang Jinshunda Tin Co., Ltd. | CHINA | ||
Tin | Jianxi Dao 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 | Metallic Resources, Inc. | UNITED STATES | ||
Tin | Metallo-Chimique N.V. | BELGIUM | ||
Tin | Mineração Taboca S.A. | BRAZIL | ||
Tin | Minsur | PERU | ||
Tin | Mitsubishi Materials Corporation | JAPAN | ||
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 | ||
Tin | PT Aries Kencana Sejahtera | INDONESIA | ||
Tin | PT Artha Cipta Langgeng | INDONESIA | ||
Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | ||
Tin | PT Babel Inti Perkasa | INDONESIA | ||
Tin | PT Bangka Prima Tin | INDONESIA | ||
Tin | PT Bangka Tin Industry | INDONESIA |
Metal | Smelter Reference List | Smelter Facility Location: Country | ||
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 Justindo | INDONESIA | ||
Tin | PT Karimun Mining | INDONESIA | ||
Tin | PT Menara Cipta Mulia | INDONESIA | ||
Tin | PT Mitra Stania Prima | 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 Tirus Putra Mandiri | INDONESIA | ||
Tin | PT Tommy Utama | INDONESIA | ||
Tin | PT Wahana Perkit Jaya | INDONESIA | ||
Tin | Rui Da Hung | TAIWAN | ||
Tin | Soft Metais Ltda. | BRAZIL | ||
Tin | Thaisarco | THAILAND | ||
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 Group (Holding) Company Limited | CHINA | ||
Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | ||
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 Huaxing Tungsten Products Co., Ltd. | CHINA | ||
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | ||
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | ||
Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | ||
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | ||
Tungsten | HC Starck GmBH | GERMANY | ||
Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | ||
Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | ||
Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | ||
Tungsten | Japan New Metals Co., Ltd. | JAPAN |
Metal | Smelter Reference List | Smelter Facility Location: Country | ||
Tungsten | Jiangwu H.C. Starck Tungsten Products | CHINA | ||
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | ||
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Company, Ltd. | CHINA | ||
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | ||
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | ||
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | ||
Tungsten | Ingichki Metals LLC | UZBEKISTAN | ||
Tungsten | Kennametal Fallon | UNITED STATES | ||
Tungsten | Kennametal Huntsville | UNITED STATES | ||
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | ||
Tungsten | Mitsui Mining & Smelting | JAPAN | ||
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | ||
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | ||
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | ||
Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | ||
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | ||
Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | ||
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA |