EX-1.01 2 conflictmineralreport-2021.htm EX-1.01 Document

Exhibit 1.01

Super Micro Computer, Inc.
Conflict Minerals Report
For the Calendar Year Ended December 31, 2021

I. Introduction
This report for the year ended December 31, 2021 has been prepared pursuant to Rule 13p-1 and the Specialized Disclosure Report on Form SD ("Form SD") under the Securities Exchange Act of 1934, as amended (collectively, the "Rule"). The Rule was adopted by the Securities and Exchange Commission (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 (the "Dodd-Frank Act"). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold ("3TG").

If a registrant determines that 3TG are necessary to the functionality or production of products manufactured or contracted by the registrant to be manufactured, the registrant must submit a Form SD which describes the reasonable country of origin inquiry (“RCOI”) that it undertook to determine whether such necessary 3TG originated from the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”).

If, on the basis of its RCOI, a registrant knows or has reason to believe that any of the necessary 3TG in its supply chain may have originated in any of the Covered Countries and knows they are not, or has reason to believe that they may not be, from recycled or scrap sources, the issuer must exercise due diligence on the 3TG source and chain of custody and submit a Conflict Minerals Report to the SEC that includes a description of those due diligence measures.

This report has been prepared by Super Micro Computer, Inc. (herein referred to as “Supermicro,” the “Company,” “we,” “us,” or “our”). The information contained in this report includes the activities of all of the Company's majority-owned subsidiaries. This Report has not been subject to an independent private sector audit.
II. Company Overview
We are a Silicon Valley-based provider of application-optimized high-performance and high-efficiency server and storage systems for various markets, including enterprise data centers, cloud computing, artificial intelligence, 5G and edge computing. Our solutions include complete servers, storage systems, modular blade servers, blades, workstations, complete rack scale plug and play solutions delivering pre-defined and pre-tested full rack solutions, networking devices, system management software, and server sub-systems. We also provide global support and services to help our customers install, upgrade and maintain their computing infrastructure. We offer our customers a high degree of flexibility and customization by providing a broad array of server models and configurations from which they can choose the best solutions to fit their computing needs. Our server and storage systems, sub-systems and accessories are architecturally designed to provide high levels of reliability, quality, configurability, and scalability.

We conduct our operations principally from our Silicon Valley headquarters in California and in our Taiwan and the Netherlands facilities. Our sales and marketing activities operate through a combination of our direct sales force and indirect sales channel partners. We work with distributors, value-added resellers, system integrators, and original equipment manufacturers ("OEMs") to market and sell our optimized solutions to their end customers in our indirect sales channels.
III. Supply Chain Overview
Our supply chain operations for our server products include sourcing, order management, manufacturing, delivery, and return. We procure components from the following four major types of suppliers:

Manufacturers or direct suppliers;
Contract manufacturers producing items to match specifications and standards set by us, that in some cases source independently;
Distributors or resellers of manufactured components for other manufacturers; and
Customers providing us certain parts and materials to be used to fulfill their orders.

Logistics and service providers were excluded from the RCOI and due diligence measures discussed below because we have concluded that they do not provide us with any products within the scope of the Rule.
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As explained further below, we rely upon our suppliers and third parties to provide information on the origin, source and chain of custody of the 3TG contained in product components and materials. We do not source directly from mines or smelters any of the 3TG found in our products. We commenced 3TG due diligence in 2013.

Based on representations from our suppliers, we have determined that 3TG minerals sourcing is most frequently from smelters that procure ore from mines, and in a small number of instances from smelters that use recycled minerals. From our due diligence, around 3% of suppliers source 3TG from smelters that use 100% scrap or recycling, while none indicate they source 100% of 3TG from scrap or recycling.
IV. Conflict Minerals Program
We are committed to complying with Section 1502 of the Dodd-Frank Act and achieving the goal of confirming that the materials used in our products are procured from conflict-free sources. We have considered the Rule’s requirements and related due diligence recommendations from the Organization for Economic Cooperation and Development (the “OECD”), and we expect our suppliers to comply with the Code of Conduct of the Responsible Business Alliance (“RBA”) and conduct their business in accordance with our supply chain responsibility expectations, as documented in our Responsible Mineral Sourcing Statement at https://www.supermicro.com/about/policies/Supermicro_Responsible_Mineral_Sourcing_Statement.pdf.

In support of this program, we will:

a.Continue to review and potentially update our Responsible Mineral Sourcing Statement as a device for communicating current expectations to suppliers and partners. Continue to review the terms and conditions of our vendor/supplier documents and policies to emphasize further our goal of achieving a conflict-free supply chain;
b.Exercise due diligence with suppliers for products containing or suspected to contain 3TG (collectively referred to as “in-scope” suppliers), consistent with the OECD's Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“CAHRA”), 3rd Edition and the related supplements on gold, tin, tantalum and tungsten (the “OECD Guidance”), and encourage our suppliers to do likewise with their suppliers;
c.Utilize common tools that allow successful organization and reporting on use of minerals, such as the Conflict Minerals Reporting Template (“CMRT”) and Cobalt Reporting Template (“CRT”) developed by the Responsible Minerals Initiative (“RMI”);
d.Collaborate with our suppliers and multi-stakeholder groups, including maintaining membership in the RMI and its Due Diligence Practices Team, to participate in new solutions for responsible minerals sourcing, and conduct coordinated outreach to address upstream compliance concerns;
e.Educate and train our staff and suppliers to laws and industry expectations for responsible sourcing of minerals, and continue to adjust the scope of suppliers and minerals that we conduct due diligence on based upon subject minerals; and
f.Immediately bring to the attention of suppliers any reported smelters or refiners that are not third party conformant according to the Responsible Minerals Assurance Process (“RMAP”) process, or actively seeking RMAP assessment, and ask for alternative sourcing until those smelters or refiners become conformant.

The results of our RCOI and due diligence on the source and chain of custody of our necessary 3TG are the product of our iterative and advancing data collection process with our in-scope suppliers. This process is designed to obtain information regarding the smelters and refiners from which suppliers source 3TG minerals and to confirm the status of smelters or refiners as assessed by the RMAP to best determine the origin of the minerals.

For the 2021 reporting year, we asked suppliers that were in-scope for cobalt in the prior reporting year, as well as many of those in-scope for 3TG in the current reporting year, to indicate whether cobalt is present in parts provided, and if so to complete the CRT or Extended Mineral Reporting Template (“EMRT”). This request resulted in completion of 54 supplier CRTs and EMRTs showing sourcing from 66 known refiners/smelters. Third party audits are being completed for cobalt refiners like those for 3TG, which companies like Supermicro can use for due diligence. One cobalt smelter was identified as high-risk, and as result we asked all subject suppliers to find an alternative to that smelter. As of this report writing, six suppliers have indicated sourcing from the concerned smelter. We will continue to push for responsible sourcing of all minerals with mining and supply chain practices that pose risk to conflict and human rights.
V. Reasonable Country of Origin Inquiry and Results
We have adopted the CMRT to conduct a RCOI survey for in-scope suppliers. The refinement of our in-scope suppliers over the last nine years means to the best of our knowledge, all of our suppliers sourcing 3TG in 2021 have been requested to respond to the survey. The data on which we relied to determine the country of origin of the minerals was obtained through the survey of our suppliers, our use of RCOI information provided by the RMI and interaction with other RMI members through the Due Diligence Practices Team, as well as evidence from independent reports, such as Mining the Disclosures (Responsible Sourcing Network, 2019).
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Our in-scope supplier responses included 76 declaring 3TG mineral sourcing from Covered Countries, 11 suppliers indicating 3TG sourcing from Covered Countries is unknown, and no suppliers indicating they sourced 3TG from three different smelters located in Covered Countries. This shows a similar number of suppliers declaring sourcing from Covered Countries between reporting years 2020 and 2021, and a drop from 68 to 11 in suppliers indicating “unknown” between these reporting years. In addition, continuing challenges in chain of custody verification surrounding 3TG, notably with gold, create mineral source uncertainty. Therefore, after conducting our RCOI, we determined it is likely the country of origin for some of the 3TG contained in our products are Covered Countries. Given this result, we determined that the Rule requires us to exercise due diligence on the source and chain of custody of the 3TG contained in our products, using a framework that conforms to a nationally or internationally recognized due diligence framework.
VI. Due Diligence Inquiry and Results
a.Due Diligence Framework
We have exercised due diligence on the source and chain of custody of the necessary 3TG used in our products to identify minerals originating from the Covered Countries that are not from scrap or recycled sources. The design of our due diligence processes has been developed to conform to the five-step framework proposed by the OECD Guidance and the related supplements for 3TG. Our due diligence process utilizes internal tracing and review efforts, the efforts of in-scope suppliers that we collect sourcing information, and the efforts of the RMI, Responsible Jewelry Council (“RJC”) and the London Bullion Market Association (“LBMA”).
b.Limitations on Due Diligence Measures
Our due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary 3TG. Our due diligence processes are based on the necessity of seeking data from our direct suppliers and those suppliers seeking similar information within their supply chains to identify the original sources of the necessary 3TG. We also rely, to a large extent, on information collected and provided by independent third-party audit programs. Such sources of information, as well as our smelters, may yield inaccurate or incomplete information.
c.Conformance with OECD Due Diligence Guidance
(i)Establishment of Strong Company Management Systems:

We have established a management system for complying with applicable conflict minerals reporting and disclosure rules. Our management system includes a Conflict Minerals Oversight Committee led by our Chief Financial Officer, and including our General Counsel, Senior VP of Operations, and VP of Compliance, and a team of subject matter leads across key departments are responsible for implementing our Conflict Minerals Program. The Conflict Minerals Oversight Committee is briefed periodically about the results of our due diligence efforts and reports to the Audit Committee of our Board of Directors.

We maintain our Responsible Mineral Sourcing Statement (former Conflict Minerals Policy) that states our position on the use of conflict minerals. Our Statement has been communicated to all existing suppliers and was provided to new suppliers as part of our supplier "onboarding" process. We have provided training to our related team members. Additionally, our policy is prominently posted on our public facing website.

(ii)Identification and Assessment of Risks in the Supply Chain:

To address risk of sourcing minerals that support conflict or rights abuses, we have made reasonable efforts to identify all in-scope suppliers by conducting a supply chain survey using the CMRT; requesting our in-scope suppliers to identify smelters and refiners and countries of origin of the 3TG in products they supply to us; comparing smelters and refiners identified by our supply chain survey against the list of facilities that are identified by RMI as conformant with the RMAP assessment protocols; examining where smelters source from through the RMI’s RCOI data; and requiring suppliers to update or explain incomplete, inaccurate or outdated information on CMRTs. Furthermore, we ask all suppliers to avoid using non-compliant or non-active smelters until they can obtain a compliant or actively seeking compliance status. We look at the various categories of smelters beyond RMAP “compliant” and determine whether incremental progress is being made, or whether smelters appear to be avoiding audit. Our Responsible Mineral Sourcing Statement minimizes the potential of onboarding any new suppliers who are not conformant with the RMAP assessment protocols, and thus not in alignment with our objective of sourcing from conflict-free suppliers. During 2021, we began preliminary outreach to smelters in our supply chain requesting they perform a Risk Readiness Assessment (RMAP tool) if not already completed, and intend to continue to evaluate such efforts in 2022 assuming Covid-19 barriers have been reduced.

(iii)Strategic Response to Identified Risks:

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We have implemented a risk mitigation response to monitor and track suppliers, smelters and refiners identified as not meeting the requirements set forth in our Responsible Minerals Sourcing Statement or contractual requirements to determine their progress in meeting our policy. We will continuously make reasonable efforts to encourage suppliers who are sourcing from non-compliant smelters to move towards the use of compliant smelters. If a supplier fails to remedy the risks identified, we will escalate the matter to the Conflict Minerals Oversight Committee to determine whether to approve or reject the supplier based on the following factors: a cost and benefit analysis; evaluation of potential risk factors; any existing competitive bids; and whether the supplier is a single source supplier to the Company. We also respond directly to smelters about identified risk, where those smelters are commonly used. Of the two commonly used tin smelters who were contacted in the 2021 reporting cycle because they had shown unwillingness to proceed with the RMAP reassessment process, one such smelter has in the current reporting cycle indicated that has now become conformant and the other indicated it had suspended operations

(iv) Independent 3rd Party Audit of Smelter/Refiner’s Due Diligence Practices:

We do not independently perform direct audits of smelters or refiners. As an alternative, we consider information collected and provided by independent third-party audit programs, such as RMAP, the LBMA, and the RJC. And we perform direct outreach, and participate in industry efforts, including through the RMI, to influence smelters and refiners to voluntarily undergo the validation process under the RMAP.

(v) Report Annually on Supply Chain Due Diligence

A Form SD and a Conflict Minerals Report as an exhibit thereto are filed annually with the SEC. The Form SD and Conflict Minerals Report are also available on our website at https://ir.supermicro.com/financials/sec-filings/default.aspx.
d. Due Diligence Results
We collected 171 CMRT forms from 180 direct suppliers that we believe are in-scope for 3TG. Our efforts to collect missing CMRTs will continue. We once again re-reviewed our direct-material suppliers this reporting year, cross-referencing accounting/orders, approved vendors, and bills of material to identify suppliers that could be in-scope. Based on the responses that we received from our suppliers, we identified the following smelters and refiners in our supply chain for the 2021 reporting year:

385 known smelters and refiners as potential sources of 3TG minerals,
242 have been verified by the RMI to be conformant with the RMAP assessment protocols,
22 are active (meaning they are in the process of being audited or have committed to the audit process),
121 are validated smelters or refiners but are not conformant or active according to RMAP

Table 1 below presents, by mineral, the total number of smelters and refiners identified that are RMAP-conformant or actively seeking conformance for reporting year 2021. The percentage of conformant or in-process smelters is similar between our 2020 and 2021 reporting. We are emphasizing with suppliers the need to communicate upstream about the problematic smelters as well as alternatives for using them.

Table 1 - Smelters and Refiners Verified as RMAP-Conformant or actively seeking conformance by Mineral for reporting year 2021.
Total Smelters and Refiners by MineralNumber Conformant or In Process
Gold179113
Tantalum4339
Tin10365
Tungsten6047

See Appendix I for a list, by name, of validated smelters and refiners found within our supply chain in reporting year 2021.

Supermicro’s stated policy is that all suppliers must directly or indirectly source 3TG from RMAP conformant (including cross-recognized) smelters. This remains an unachieved goal, where at least 143 smelters reported are not RMAP conformant. We are closer to reaching a separate goal of stopping sourcing from smelters that are “highest risk” for conflict minerals because they lack safeguards. We have compared risk assessments with other companies, including members of the Due Diligence Practices Team in the RMI, and hold a small number of gold smelters to be highest risk. In reporting year 2020, we had six suppliers report one or more of these highest risk smelters. In reporting year 2021, we have three suppliers reporting one or more of the highest risk
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smelters, but have not received RY 2021 CMRTs from two of these suppliers. As we did in reporting year 2020, we have communicated to subject suppliers our expectation they execute a plan of action to remove these smelters.

The CMRTs we received indicate that 74 direct suppliers have 3TG sourcing from the Democratic Republic of Congo or an adjoining country. The CMRTs also show 69 direct suppliers have 3TG sourcing from CAHRA countries. The indicative list of CAHRAs created by a European Union project was our point of comparison, found here: https://www.cahraslist.net/cahras. Our goal, like other responsible sourcing companies, is to assure transparent and ethical sourcing from all locations, including those with greater risk of conflict or human rights abuse. Legitimate mining and sourcing assists with economic development that can enhance social progress that reduces these very risks.

Chart 1 - Countries where smelters and refiners of 3TG within our supply chain are located.

picture1a.jpg
VII. Conclusion
The smelters and refiners listed in Appendix I represent the source of 3TG used in our products or production process according to our due diligence. The third-party audits supporting the RMAP process, information our suppliers otherwise obtain and report in
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their CMRTs, and RCOI data provided by the RMI, establish our best understanding of the source of minerals further upstream for smelters and refiners. We are confident 3TG used in our products comes from Covered Countries given the number of suppliers reporting 3TG sourcing from these locations, but we cannot say with certainty whether any sourced materials are conflict minerals, meaning they support armed conflict or human rights abuses. It is undeterminable for this reporting year. Through due diligence progress we make each year, it is our belief risk is continuing to be reduced. Given the large number smelters in our supply chain that are RMAP conformant and the smelters we have in common with companies who are capable of due diligence upstream from smelters and refiners, we do not see evidence that sourcing in our supply chains benefits directly or indirectly armed groups.

VIII. Due Diligence Process Improvement Efforts

We plan to continue improvement efforts within our conflict minerals program, due to the level of complexity of our products, our downstream position in these supply chain, and continuing risk of conflict minerals. We intend to take the following steps to continue to improve our due diligence measures and to further mitigate the risk that trade in the conflict minerals contained in our products could benefit armed groups in Covered Countries:

a.Use the tools created by multi-stakeholder efforts that increase upstream due diligence and examine impact, including the risk areas and indicators developed in the OECD’s forthcoming Monitoring and Evaluation Framework for their five-step Due Diligence Guidance.

b.We will continue to review the practical implementation of blockchain pilot programs like the Responsible Sourcing Blockchain Network (“RSBN’), and decide whether participation will add visibility to upstream mineral transactions that advance due diligence.

c.Continue to focus our efforts on collaborating with industry peers through our membership in the RMI to improve the systems of transparency and control in our supply chain, including through our use of the latest revision of the CMRT in connection with our RCOI of our supply chain.

d.Continue to partner with others on joint-trainings in an effort to collaboratively increase knowledge of conflict minerals, alternatives to non-compliant smelters, and new transparency initiatives like RSBN.

e.Examine our support instruments, like software vendors, to refine the process for conducting follow-up with our surveyed suppliers to more effectively resolve incomplete, inaccurate or outdated responses in their surveys.

FORWARD LOOKING STATEMENTS
This Specialized Disclosure Report on Form SD and any exhibits hereto contain “forward-looking statements” about our plans, intentions, forecasts and other expectations concerning the Company's future actions to engage contract manufacturers, to identify to the extent possible the source of conflicts minerals in its products and to take other actions regarding its product sourcing. The Company's actual actions or results may differ materially from those expected or anticipated in the forward-looking statements due to both known and unknown risks and uncertainties. These forward-looking statements and other information are based on our beliefs as well as assumptions made by us using information currently available. In some cases, you can identify forward-looking statements by terminology including “would,” “could,” “may,” “will,” “should,” “expect,” “intend,” “plan,” “anticipate,” “believe,” “estimate,” “predict,” “potential,” or “continue,” the negative of these terms or other comparable terminology. Risks and uncertainties that could cause actual actions or results to differ include, without limitation, risks and uncertainties associated with the progress of industry and other supply chain transparency and smelter or refiner validation programs for conflict minerals, the possibility of inaccurate information, fraud and other irregularities, inadequate supplier education and knowledge, limitations on the ability or willingness of suppliers to provide more accurate, complete and detailed information and limitations on our ability to verify the accuracy or completeness of any supply chain information provided by suppliers, third-party audit programs or others. In addition, you should specifically consider various factors contained in our filings with the SEC, including those factors discussed under the caption “Risk Factors” in such filings. These factors may cause our actual results to differ materially from those anticipated or implied in the forward-looking statements. Our reporting obligations under the conflict minerals rules may change in the future and our ability to implement certain processes or obtain information from our suppliers may differ materially from those anticipated or implied in this report. We undertake no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.

DOCUMENTS INCORPORATED BY REFERENCE
Unless otherwise expressly stated herein, no documents, third-party materials or references to websites (including Supermicro's) are incorporated by reference in, or to be considered to be a part of, this Conflict Minerals Report.
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Appendix I
Smelters and Refineries Reported by Suppliers
Smelter IDNameCountryMetal
CID000004A.L.M.T. Corp.JAPANTungsten
CID000015Advanced Chemical CompanyUNITED STATES OF AMERICAGold
CID000019Aida Chemical Industries Co., Ltd.JAPANGold
CID000035Agosi AGGERMANYGold
CID000041Almalyk Mining and Metallurgical Complex (AMMC)UZBEKISTANGold
CID000058AngloGold Ashanti Corrego do Sitio MineracaoBRAZILGold
CID000077Argor-Heraeus S.A.SWITZERLANDGold
CID000082Asahi Pretec Corp.JAPANGold
CID000090Asaka Riken Co., Ltd.JAPANGold
CID000092Asaka Riken Co., Ltd.JAPANTantalum
CID000103Atasay Kuyumculuk Sanayi Ve Ticaret A.S.TURKEYGold
CID000105Kennametal HuntsvilleUNITED STATES OF AMERICATungsten
CID000113Aurubis AGGERMANYGold
CID000128Bangko Sentral ng Pilipinas (Central Bank of the Philippines)PHILIPPINESGold
CID000157Boliden ABSWEDENGold
CID000176C. Hafner GmbH + Co. KGGERMANYGold
CID000180CaridadMEXICOGold
CID000185CCR Refinery - Glencore Canada CorporationCANADAGold
CID000189Cendres + Metaux S.A.SWITZERLANDGold
CID000197Yunnan Copper Industry Co., Ltd.CHINAGold
CID000211Changsha South Tantalum Niobium Co., Ltd.CHINATantalum
CID000218Guangdong Xianglu Tungsten Co., Ltd.CHINATungsten
CID000228Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.CHINATin
CID000233Chimet S.p.A.ITALYGold
CID000244Jiangxi Ketai Advanced Material Co., Ltd.CHINATin
CID000258Chongyi Zhangyuan Tungsten Co., Ltd.CHINATungsten
CID000264Chugai MiningJAPANGold
CID000278CNMC (Guangxi) PGMA Co., Ltd.CHINATin
CID000281CNMC (Guangxi) PGMA Co., Ltd.CHINATungsten
CID000291Guangdong Rising Rare Metals-EO Materials Ltd.CHINATantalum
CID000292AlphaUNITED STATES OF AMERICATin
CID000295Cooperativa Metalurgica de Rondonia Ltda.BRAZILTin
CID000306CV Gita PesonaINDONESIATin
CID000309PT Aries Kencana SejahteraINDONESIATin
CID000313PT Premium Tin IndonesiaINDONESIATin
CID000315CV United SmeltingINDONESIATin
CID000328Daejin Indus Co., Ltd.KOREA, REPUBLIC OFGold
CID000343Daye Non-Ferrous Metals Mining Ltd.CHINAGold
CID000359DSC (Do Sung Corporation)KOREA, REPUBLIC OFGold
CID000362DODUCO Contacts and Refining GmbHGERMANYGold
CID000401DowaJAPANGold
CID000402DowaJAPANTin
CID000410DuoluoshanCHINATantalum
CID000425Eco-System Recycling Co., Ltd. East PlantJAPANGold
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CID000438EM VintoBOLIVIA (PLURINATIONAL STATE OF)Tin
CID000448Estanho de Rondonia S.A.BRAZILTin
CID000456Exotech Inc.UNITED STATES OF AMERICATantalum
CID000460F&X Electro-Materials Ltd.CHINATantalum
CID000468Fenix MetalsPOLANDTin
CID000493JSC Novosibirsk RefineryRUSSIAN FEDERATIONGold
CID000499Fujian Jinxin Tungsten Co., Ltd.CHINATungsten
CID000522Refinery of Seemine Gold Co., Ltd.CHINAGold
CID000538Gejiu Non-Ferrous Metal Processing Co., Ltd.CHINATin
CID000555Gejiu Zili Mining And Metallurgy Co., Ltd.CHINATin
CID000568Global Tungsten & Powders Corp.UNITED STATES OF AMERICATungsten
CID000616XIMEI RESOURCES (GUANGDONG) LIMITEDCHINATantalum
CID000651Guoda Safina High-Tech Environmental Refinery Co., Ltd.CHINAGold
CID000671Hangzhou Fuchunjiang Smelting Co., Ltd.CHINAGold
CID000689LT Metal Ltd.KOREA, REPUBLIC OFGold
CID000694Heimerle + Meule GmbHGERMANYGold
CID000707Heraeus Metals Hong Kong Ltd.CHINAGold
CID000711Heraeus Germany GmbH Co. KGGERMANYGold
CID000760Huichang Jinshunda Tin Co., Ltd.CHINATin
CID000766Hunan Chenzhou Mining Co., Ltd.CHINATungsten
CID000767Hunan Chenzhou Mining Co., Ltd.CHINAGold
CID000769Hunan Chunchang Nonferrous Metals Co., Ltd.CHINATungsten
CID000773Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CHINAGold
CID000778HwaSeong CJ CO., LTD.KOREA, REPUBLIC OFGold
CID000801Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CHINAGold
CID000807Ishifuku Metal Industry Co., Ltd.JAPANGold
CID000814Istanbul Gold RefineryTURKEYGold
CID000823Japan MintJAPANGold
CID000825Japan New Metals Co., Ltd.JAPANTungsten
CID000855Jiangxi Copper Co., Ltd.CHINAGold
CID000875Ganzhou Huaxing Tungsten Products Co., Ltd.CHINATungsten
CID000914JiuJiang JinXin Nonferrous Metals Co., Ltd.CHINATantalum
CID000917Jiujiang Tanbre Co., Ltd.CHINATantalum
CID000920Asahi Refining USA Inc.UNITED STATES OF AMERICAGold
CID000924Asahi Refining Canada Ltd.CANADAGold
CID000927JSC Ekaterinburg Non-Ferrous Metal Processing PlantRUSSIAN FEDERATIONGold
CID000929JSC UralelectromedRUSSIAN FEDERATIONGold
CID000937JX Nippon Mining & Metals Co., Ltd.JAPANGold
CID000942Gejiu Kai Meng Industry and Trade LLCCHINATin
CID000956Kazakhmys Smelting LLCKAZAKHSTANGold
CID000957KazzincKAZAKHSTANGold
CID000966Kennametal FallonUNITED STATES OF AMERICATungsten
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CID000969Kennecott Utah Copper LLCUNITED STATES OF AMERICAGold
CID000973King-Tan Tantalum Industry Ltd.CHINATantalum
CID000981Kojima Chemicals Co., Ltd.JAPANGold
CID001029Kyrgyzaltyn JSCKYRGYZSTANGold
CID001032L'azurde Company For JewelrySAUDI ARABIAGold
CID001056Lingbao Gold Co., Ltd.CHINAGold
CID001058Lingbao Jinyuan Tonghui Refinery Co., Ltd.CHINAGold
CID001070China Tin Group Co., Ltd.CHINATin
CID001076AMG BrasilBRAZILTantalum
CID001078LS-NIKKO Copper Inc.KOREA, REPUBLIC OFGold
CID001093Luoyang Zijin Yinhui Gold Refinery Co., Ltd.CHINAGold
CID001105Malaysia Smelting Corporation (MSC)MALAYSIATin
CID001113MaterionUNITED STATES OF AMERICAGold
CID001119Matsuda Sangyo Co., Ltd.JAPANGold
CID001142Metallic Resources, Inc.UNITED STATES OF AMERICATin
CID001147Metalor Technologies (Suzhou) Ltd.CHINAGold
CID001149Metalor Technologies (Hong Kong) Ltd.CHINAGold
CID001152Metalor Technologies (Singapore) Pte., Ltd.SINGAPOREGold
CID001153Metalor Technologies S.A.SWITZERLANDGold
CID001157Metalor USA Refining CorporationUNITED STATES OF AMERICAGold
CID001161Metalurgica Met-Mex Penoles S.A. De C.V.MEXICOGold
CID001163Metallurgical Products India Pvt., Ltd.INDIATantalum
CID001173Mineracao Taboca S.A.BRAZILTin
CID001175Mineracao Taboca S.A.BRAZILTantalum
CID001182MinsurPERUTin
CID001188Mitsubishi Materials CorporationJAPANGold
CID001191Mitsubishi Materials CorporationJAPANTin
CID001192Mitsui Mining and Smelting Co., Ltd.JAPANTantalum
CID001193Mitsui Mining and Smelting Co., Ltd.JAPANGold
CID001200NPM Silmet ASESTONIATantalum
CID001204Moscow Special Alloys Processing PlantRUSSIAN FEDERATIONGold
CID001220Nadir Metal Rafineri San. Ve Tic. A.S.TURKEYGold
CID001231Jiangxi New Nanshan Technology Ltd.CHINATin
CID001236Navoi Mining and Metallurgical CombinatUZBEKISTANGold
CID001259Nihon Material Co., Ltd.JAPANGold
CID001277Ningxia Orient Tantalum Industry Co., Ltd.CHINATantalum
CID001305Novosibirsk Processing Plant Ltd.RUSSIAN FEDERATIONTin
CID001314O.M. Manufacturing (Thailand) Co., Ltd.THAILANDTin
CID001322Elemetal Refining, LLCUNITED STATES OF AMERICAGold
CID001325Ohura Precious Metal Industry Co., Ltd.JAPANGold
CID001326OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)RUSSIAN FEDERATIONGold
CID001337Operaciones Metalurgicas S.A.BOLIVIA (PLURINATIONAL STATE OF)Tin
CID001352PAMP S.A.SWITZERLANDGold
A-3


CID001362Penglai Penggang Gold Industry Co., Ltd.CHINAGold
CID001386Prioksky Plant of Non-Ferrous MetalsRUSSIAN FEDERATIONGold
CID001397PT Aneka Tambang (Persero) TbkINDONESIAGold
CID001399PT Artha Cipta LanggengINDONESIATin
CID001402PT Babel Inti PerkasaINDONESIATin
CID001406PT Babel Surya Alam LestariINDONESIATin
CID001419PT Bangka Tin IndustryINDONESIATin
CID001421PT Belitung Industri SejahteraINDONESIATin
CID001428PT Bukit TimahINDONESIATin
CID001434PT DS Jaya AbadiINDONESIATin
CID001438PT Eunindo Usaha MandiriINDONESIATin
CID001448PT Karimun MiningINDONESIATin
CID001453PT Mitra Stania PrimaINDONESIATin
CID001457PT Panca Mega PersadaINDONESIATin
CID001458PT Prima Timah UtamaINDONESIATin
CID001460PT Refined Bangka TinINDONESIATin
CID001463PT Sariwiguna BinasentosaINDONESIATin
CID001468PT Stanindo Inti PerkasaINDONESIATin
CID001471PT Sumber Jaya IndahINDONESIATin
CID001477PT Timah Tbk KundurINDONESIATin
CID001482PT Timah Tbk MentokINDONESIATin
CID001486PT Timah NusantaraINDONESIATin
CID001490PT Tinindo Inter NusaINDONESIATin
CID001493PT Tommy UtamaINDONESIATin
CID001498PX Precinox S.A.SWITZERLANDGold
CID001508QuantumCleanUNITED STATES OF AMERICATantalum
CID001512Rand Refinery (Pty) Ltd.SOUTH AFRICAGold
CID001522Yanling Jincheng Tantalum & Niobium Co., Ltd.CHINATantalum
CID001534Royal Canadian MintCANADAGold
CID001539Rui Da HungTAIWAN, PROVINCE OF CHINATin
CID001546Sabin Metal Corp.UNITED STATES OF AMERICAGold
CID001555Samduck Precious MetalsKOREA, REPUBLIC OFGold
CID001562Samwon Metals Corp.KOREA, REPUBLIC OFGold
CID001573Schone Edelmetaal B.V.NETHERLANDSGold
CID001585SEMPSA Joyeria Plateria S.A.SPAINGold
CID001619Shandong Tiancheng Biological Gold Industrial Co., Ltd.CHINAGold
CID001622Shandong Zhaojin Gold & Silver Refinery Co., Ltd.CHINAGold
CID001736Sichuan Tianze Precious Metals Co., Ltd.CHINAGold
CID001756SOE Shyolkovsky Factory of Secondary Precious MetalsRUSSIAN FEDERATIONGold
CID001758Soft Metais Ltda.BRAZILTin
CID001761Solar Applied Materials Technology Corp.TAIWAN, PROVINCE OF CHINAGold
CID001769Solikamsk Magnesium Works OAORUSSIAN FEDERATIONTantalum
CID001798Sumitomo Metal Mining Co., Ltd.JAPANGold
A-4


CID001810Super Dragon Technology Co., Ltd.TAIWAN, PROVINCE OF CHINAGold
CID001869Taki Chemical Co., Ltd.JAPANTantalum
CID001875Tanaka Kikinzoku Kogyo K.K.JAPANGold
CID001889Tejing (Vietnam) Tungsten Co., Ltd.VIET NAMTungsten
CID001891Telex MetalsUNITED STATES OF AMERICATantalum
CID001898ThaisarcoTHAILANDTin
CID001908Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.CHINATin
CID001909Great Wall Precious Metals Co., Ltd. of CBPMCHINAGold
CID001916Shandong Gold Smelting Co., Ltd.CHINAGold
CID001938Tokuriki Honten Co., Ltd.JAPANGold
CID001947Tongling Nonferrous Metals Group Co., Ltd.CHINAGold
CID001955TorecomKOREA, REPUBLIC OFGold
CID001969Ulba Metallurgical Plant JSCKAZAKHSTANTantalum
CID001977Umicore Brasil Ltda.BRAZILGold
CID001980Umicore S.A. Business Unit Precious Metals RefiningBELGIUMGold
CID001993United Precious Metal Refining, Inc.UNITED STATES OF AMERICAGold
CID002003Valcambi S.A.SWITZERLANDGold
CID002011Vietnam Youngsun Tungsten Industry Co., Ltd.VIET NAMTungsten
CID002015VQB Mineral and Trading Group JSCVIET NAMTin
CID002030Western Australian Mint (T/a The Perth Mint)AUSTRALIAGold
CID002036White Solder Metalurgia e Mineracao Ltda.BRAZILTin
CID002044Wolfram Bergbau und Hutten AGAUSTRIATungsten
CID002082Xiamen Tungsten Co., Ltd.CHINATungsten
CID002095Xinhai Rendan Shaoguan Tungsten Co., Ltd.CHINATungsten
CID002100Yamakin Co., Ltd.JAPANGold
CID002129Yokohama Metal Co., Ltd.JAPANGold
CID002158Yunnan Chengfeng Non-ferrous Metals Co., Ltd.CHINATin
CID002180Tin Smelting Branch of Yunnan Tin Co., Ltd.CHINATin
CID002224Zhongyuan Gold Smelter of Zhongjin Gold CorporationCHINAGold
CID002243Gold Refinery of Zijin Mining Group Co., Ltd.CHINAGold
CID002282Morris and WatsonNEW ZEALANDGold
CID002290SAFINA A.S.CZECHIAGold
CID002307Yichun Jin Yang Rare Metal Co., Ltd.CHINATantalum
CID002312Guangdong Jinding Gold LimitedCHINAGold
CID002313Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CHINATungsten
CID002314Umicore Precious Metals ThailandTHAILANDGold
CID002315Ganzhou Jiangwu Ferrotungsten Co., Ltd.CHINATungsten
CID002316Jiangxi Yaosheng Tungsten Co., Ltd.CHINATungsten
CID002317Jiangxi Xinsheng Tungsten Industry Co., Ltd.CHINATungsten
CID002318Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CHINATungsten
CID002319Malipo Haiyu Tungsten Co., Ltd.CHINATungsten
CID002320Xiamen Tungsten (H.C.) Co., Ltd.CHINATungsten
CID002321Jiangxi Gan Bei Tungsten Co., Ltd.CHINATungsten
CID002455CV Venus Inti PerkasaINDONESIATin
CID002459Geib Refining CorporationUNITED STATES OF AMERICAGold
CID002468Magnu's Minerais Metais e Ligas Ltda.BRAZILTin
CID002478PT Tirus Putra MandiriINDONESIATin
CID002492Hengyang King Xing Lifeng New Materials Co., Ltd.CHINATantalum
A-5


CID002494Ganzhou Seadragon W & Mo Co., Ltd.CHINATungsten
CID002500Melt Metais e Ligas S.A.BRAZILTin
CID002502Asia Tungsten Products Vietnam Ltd.VIET NAMTungsten
CID002503PT ATD Makmur Mandiri JayaINDONESIATin
CID002504D Block Metals, LLCUNITED STATES OF AMERICATantalum
CID002505FIR Metals & Resource Ltd.CHINATantalum
CID002506Jiujiang Zhongao Tantalum & Niobium Co., Ltd.CHINATantalum
CID002508XinXing HaoRong Electronic Material Co., Ltd.CHINATantalum
CID002509MMTC-PAMP India Pvt., Ltd.INDIAGold
CID002510Republic Metals CorporationUNITED STATES OF AMERICAGold
CID002511KGHM Polska Miedz Spolka AkcyjnaPOLANDGold
CID002512Jiangxi Dinghai Tantalum & Niobium Co., Ltd.CHINATantalum
CID002513Chenzhou Diamond Tungsten Products Co., Ltd.CHINATungsten
CID002515Fidelity Printers and Refiners Ltd.ZIMBABWEGold
CID002516Singway Technology Co., Ltd.TAIWAN, PROVINCE OF CHINAGold
CID002517O.M. Manufacturing Philippines, Inc.PHILIPPINESTin
CID002525Shandong Humon Smelting Co., Ltd.CHINAGold
CID002527Shenzhen Zhonghenglong Real Industry Co., Ltd.CHINAGold
CID002530PT Inti Stania PrimaINDONESIATin
CID002535Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.CHINATungsten
CID002536Ganzhou Yatai Tungsten Co., Ltd.CHINATungsten
CID002539KEMET de MexicoMEXICOTantalum
CID002541H.C. Starck Tungsten GmbHGERMANYTungsten
CID002542TANIOBIS Smelting GmbH & Co. KGGERMANYTungsten
CID002543Masan High-Tech MaterialsVIET NAMTungsten
CID002544TANIOBIS Co., Ltd.THAILANDTantalum
CID002545TANIOBIS GmbHGERMANYTantalum
CID002547H.C. Starck Hermsdorf GmbHGERMANYTantalum
CID002548H.C. Starck Inc.UNITED STATES OF AMERICATantalum
CID002549TANIOBIS Japan Co., Ltd.JAPANTantalum
CID002550TANIOBIS Smelting GmbH & Co. KGGERMANYTantalum
CID002551Jiangwu H.C. Starck Tungsten Products Co., Ltd.CHINATungsten
CID002557Global Advanced Metals BoyertownUNITED STATES OF AMERICATantalum
CID002558Global Advanced Metals AizuJAPANTantalum
CID002560Al Etihad Gold Refinery DMCCUNITED ARAB EMIRATESGold
CID002561Emirates Gold DMCCUNITED ARAB EMIRATESGold
CID002562International Precious Metal RefinersUNITED ARAB EMIRATESGold
CID002563Kaloti Precious MetalsUNITED ARAB EMIRATESGold
CID002567Sudan Gold RefinerySUDANGold
CID002568KEMET Blue PowderUNITED STATES OF AMERICATantalum
CID002570CV Ayi JayaINDONESIATin
CID002572Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVIET NAMTin
CID002573Nghe Tinh Non-Ferrous Metals Joint Stock CompanyVIET NAMTin
A-6


CID002574Tuyen Quang Non-Ferrous Metals Joint Stock CompanyVIET NAMTin
CID002579Hunan Chuangda Vanadium Tungsten Co., Ltd. WujiCHINATungsten
CID002580T.C.A S.p.AITALYGold
CID002582REMONDIS PMR B.V.NETHERLANDSGold
CID002584Fujairah Gold FZCUNITED ARAB EMIRATESGold
CID002587Industrial Refining CompanyBELGIUMGold
CID002588Shirpur Gold Refinery Ltd.INDIAGold
CID002589Niagara Refining LLCUNITED STATES OF AMERICATungsten
CID002592CV Dua SekawanINDONESIATin
CID002593PT Rajehan AriqINDONESIATin
CID002605Korea Zinc Co., Ltd.KOREA, REPUBLIC OFGold
CID002606Marsam MetalsBRAZILGold
CID002615TOO Tau-Ken-AltynKAZAKHSTANGold
CID002641China Molybdenum Tungsten Co., Ltd.CHINATungsten
CID002645Ganzhou Haichuang Tungsten Co., Ltd.CHINATungsten
CID002647Jiangxi Xianglu Tungsten Co., Ltd.CHINATungsten
CID002649Hydrometallurg, JSCRUSSIAN FEDERATIONTungsten
CID002696PT Cipta Persada MuliaINDONESIATin
CID002703An Vinh Joint Stock Mineral Processing CompanyVIET NAMTin
CID002706Resind Industria e Comercio Ltda.BRAZILTin
CID002707Resind Industria e Comercio Ltda.BRAZILTantalum
CID002708Abington Reldan Metals, LLCUNITED STATES OF AMERICAGold
CID002724Unecha Refractory metals plantRUSSIAN FEDERATIONTungsten
CID002756Super LigasBRAZILTin
CID002761SAAMPFRANCEGold
CID002762L'Orfebre S.A.ANDORRAGold
CID0027638853 S.p.A.ITALYGold
CID002765ItalpreziosiITALYGold
CID002773Metallo Belgium N.V.BELGIUMTin
CID002774Metallo Spain S.L.U.SPAINTin
CID002776PT Bangka Prima TinINDONESIATin
CID002777SAXONIA Edelmetalle GmbHGERMANYGold
CID002778WIELAND Edelmetalle GmbHGERMANYGold
CID002779Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAUSTRIAGold
CID002815South-East Nonferrous Metal Company Limited of Hengyang CityCHINATungsten
CID002816PT Sukses Inti MakmurINDONESIATin
CID002827Philippine Chuangxin Industrial Co., Inc.PHILIPPINESTungsten
CID002829PT Kijang Jaya MandiriINDONESIATin
CID002830Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CHINATungsten
CID002833ACL Metais EireliBRAZILTungsten
CID002834Thai Nguyen Mining and Metallurgy Co., Ltd.VIET NAMTin
CID002835PT Menara Cipta MuliaINDONESIATin
CID002842Jiangxi Tuohong New Raw MaterialCHINATantalum
A-7


CID002843Woltech Korea Co., Ltd.KOREA, REPUBLIC OFTungsten
CID002844HuiChang Hill Tin Industry Co., Ltd.CHINATin
CID002845Moliren Ltd.RUSSIAN FEDERATIONTungsten
CID002847Meta MaterialsNORTH MACEDONIA, REPUBLIC OFTantalum
CID002848Gejiu Fengming Metallurgy Chemical PlantCHINATin
CID002849Guanyang Guida Nonferrous Metal Smelting PlantCHINATin
CID002850AU Traders and RefinersSOUTH AFRICAGold
CID002852GGC Gujrat Gold Centre Pvt. Ltd.INDIAGold
CID002853Sai RefineryINDIAGold
CID002857Modeltech Sdn BhdMALAYSIAGold
CID002858Modeltech Sdn BhdMALAYSIATin
CID002859Gejiu Jinye Mineral CompanyCHINATin
CID002863Bangalore RefineryINDIAGold
CID002865Kyshtym Copper-Electrolytic Plant ZAORUSSIAN FEDERATIONGold
CID002866Morris and Watson Gold CoastAUSTRALIAGold
CID002867Degussa Sonne / Mond Goldhandel GmbHGERMANYGold
CID002870PT Lautan Harmonis SejahteraINDONESIATin
CID002872Pease & CurrenUNITED STATES OF AMERICAGold
CID002893JALAN & CompanyINDIAGold
CID002918SungEel HiMetal Co., Ltd.KOREA, REPUBLIC OFGold
CID002919Planta Recuperadora de Metales SpACHILEGold
CID002973Safimet S.p.AITALYGold
CID003116Guangdong Hanhe Non-Ferrous Metal Co., Ltd.CHINATin
CID003153State Research Institute Center for Physical Sciences and TechnologyLITHUANIAGold
CID003182Hunan Litian Tungsten Industry Co., Ltd.CHINATungsten
CID003185African Gold RefineryUGANDAGold
CID003186Gold Coast RefineryGHANAGold
CID003189NH Recytech CompanyKOREA, REPUBLIC OFGold
CID003190Chifeng Dajingzi Tin Industry Co., Ltd.CHINATin
CID003205PT Bangka SerumpunINDONESIATin
CID003208Pongpipat Company LimitedMYANMARTin
CID003324QG Refining, LLCUNITED STATES OF AMERICAGold
CID003325Tin Technology & RefiningUNITED STATES OF AMERICATin
CID003348Dijllah Gold Refinery FZCUNITED ARAB EMIRATESGold
CID003356Dongguan CiEXPO Environmental Engineering Co., Ltd.CHINATin
CID003379Ma'anshan Weitai Tin Co., Ltd.CHINATin
CID003380PT Masbro Alam StaniaINDONESIATin
CID003381PT Rajawali Rimba PerkasaINDONESIATin
CID003382CGR Metalloys Pvt Ltd.INDIAGold
CID003383Sovereign MetalsINDIAGold
CID003387Luna Smelter, Ltd.RWANDATin
CID003388KGETS Co., Ltd.KOREA, REPUBLIC OFTungsten
A-8


CID003397Yunnan Yunfan Non-ferrous Metals Co., Ltd.CHINATin
CID003401Fujian Ganmin RareMetal Co., Ltd.CHINATungsten
CID003407Lianyou Metals Co., Ltd.TAIWAN, PROVINCE OF CHINATungsten
CID003408JSC "Kirovgrad Hard Alloys Plant"RUSSIAN FEDERATIONTungsten
CID003409Precious Minerals and Smelting LimitedINDIATin
CID003410Gejiu City Fuxiang Industry and Trade Co., Ltd.CHINATin
CID003416NPP Tyazhmetprom LLCRUSSIAN FEDERATIONTungsten
CID003417Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.CHINATungsten
CID003421C.I Metales Procesados Industriales SASCOLOMBIAGold
CID003424Eco-System Recycling Co., Ltd. North PlantJAPANGold
CID003425Eco-System Recycling Co., Ltd. West PlantJAPANGold
CID003427Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.BRAZILTungsten
CID003449PT Mitra Sukses GlobalindoINDONESIATin
CID003461Augmont Enterprises Private LimitedINDIAGold
CID003463Kundan Care Products Ltd.INDIAGold
CID003468Cronimet Brasil LtdaBRAZILTungsten
CID003486CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBRAZILTin
CID003487Emerald Jewel Industry India Limited (Unit 1)INDIAGold
CID003488Emerald Jewel Industry India Limited (Unit 2)INDIAGold
CID003489Emerald Jewel Industry India Limited (Unit 3)INDIAGold
CID003490Emerald Jewel Industry India Limited (Unit 4)INDIAGold
CID003497K.A. RasmussenNORWAYGold
CID003500Alexy MetalsUNITED STATES OF AMERICAGold
CID003524CRM SynergiesSPAINTin
CID003529Sancus ZFS (L’Orfebre, SA)COLOMBIAGold
CID003540Sellem Industries Ltd.MAURITANIAGold
CID003548MD OverseasINDIAGold
CID003553Artek LLCRUSSIAN FEDERATIONTungsten
CID003557Metallix Refining Inc.UNITED STATES OF AMERICAGold
CID003575Metal Concentrators SA (Pty) Ltd.SOUTH AFRICAGold
CID003582Fabrica Auricchio Industria e Comercio Ltda.BRAZILTin
CID003583RFH Yancheng Jinye New Material Technology Co., Ltd.CHINATantalum
CID003609Fujian Xinlu TungstenCHINATungsten
CID003612OOO “Technolom” 2RUSSIAN FEDERATIONTungsten
CID003614OOO “Technolom” 1RUSSIAN FEDERATIONTungsten
CID003615WEEEREFININGFRANCEGold
CID003617Value TradingBELGIUMGold





A-9