(State or other jurisdiction | (Commission | (IRS Employer |
of incorporation or organization) | File Number) | Identification No.) |
Deborah Choate | May 23, 2018 | |
By: Deborah Choate | (Date) | |
Chief Financial Officer |
• | establishing the extent to which gold, columbite-tantalite (coltan), cassiterite or wolframite, including their derivatives tantalum, tin, and tungsten ("3TG") are present in some or all of its products. |
• | a reasonable country of origin inquiry (“RCOI”) regarding conflict minerals in the In-Scope Products that was reasonably designed to determine whether any of the conflict minerals originated in the Democratic Republic of Congo or an adjoining country (“Covered Country”) or are from recycled or scrap sources; and |
• | measures to exercise due diligence on the source and chain of custody of those conflict minerals. |
• | Maintenance of an internal Sequans team to execute the exercise, including the Quality Assurance Director, CFO, other members of the Company's Risk Committee and external specialists, as required; |
• | The continuing development of a conflict minerals policy and processes designed to assure initial and continuing compliance with Rule 13p-1. Our processes are designed to respond to current, and new, risks in the supply chain; |
• | Identification of the In-Scope Products; |
• | Identification of suppliers of the In-Scope Products; and |
• | Completion of a survey of those suppliers. |
Smelter Identification Number | Metal | Smelter name |
CID000015 | Gold | Advanced Chemical Company |
CID000019 | Gold | Aida Chemical Industries Co., Ltd. |
CID000035 | Gold | Allgemeine Gold-und Silberscheideanstalt A.G. |
CID000041 | Gold | Almalyk Mining and Metallurgical Complex (AMMC) |
CID000058 | Gold | AngloGold Ashanti Corrego do Sitio Mineracao |
CID000077 | Gold | Argor-Heraeus S.A. |
CID000082 | Gold | Asahi Pretec Corp. |
CID000090 | Gold | Asaka Riken Co., Ltd. |
CID000103 | Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
CID000113 | Gold | Aurubis AG |
CID000128 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
CID000157 | Gold | Boliden AB |
CID000176 | Gold | C. Hafner GmbH + Co. KG |
CID000180 | Gold | Caridad |
CID000185 | Gold | CCR Refinery - Glencore Canada Corporation |
CID000189 | Gold | Cendres + Metaux S.A. |
CID000197 | Gold | Yunnan Copper Industry Co., Ltd. |
CID000233 | Gold | Chimet S.p.A. |
CID000264 | Gold | Chugai Mining |
CID000328 | Gold | Daejin Indus Co., Ltd. |
CID000343 | Gold | Daye Non-Ferrous Metals Mining Ltd. |
CID000359 | Gold | DSC (Do Sung Corporation) |
CID000362 | Gold | DODUCO Contacts and Refining GmbH |
CID000401 | Gold | Dowa |
CID000425 | Gold | Eco-System Recycling Co., Ltd. |
CID000493 | Gold | OJSC Novosibirsk Refinery |
CID000522 | Gold | Refinery of Seemine Gold Co., Ltd. |
CID000651 | Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. |
CID000671 | Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. |
CID000689 | Gold | HeeSung Metal Ltd. |
CID000694 | Gold | Heimerle + Meule GmbH |
CID000707 | Gold | Heraeus Metals Hong Kong Ltd. |
CID000711 | Gold | Heraeus Precious Metals GmbH & Co. KG |
CID000767 | Gold | Hunan Chenzhou Mining Co., Ltd. |
CID000778 | Gold | HwaSeong CJ CO., LTD. |
CID000801 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. |
CID000807 | Gold | Ishifuku Metal Industry Co., Ltd. |
CID000814 | Gold | Istanbul Gold Refinery |
CID000823 | Gold | Japan Mint |
CID000855 | Gold | Jiangxi Copper Co., Ltd. |
CID000920 | Gold | Asahi Refining USA Inc. |
CID000924 | Gold | Asahi Refining Canada Ltd. |
CID000927 | Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
CID000929 | Gold | JSC Uralelectromed |
CID000937 | Gold | JX Nippon Mining & Metals Co., Ltd. |
CID000956 | Gold | Kazakhmys Smelting LLC |
CID000957 | Gold | Kazzinc |
CID000969 | Gold | Kennecott Utah Copper LLC |
CID000981 | Gold | Kojima Chemicals Co., Ltd. |
CID001029 | Gold | Kyrgyzaltyn JSC |
CID001032 | Gold | L'azurde Company For Jewelry |
CID001056 | Gold | Lingbao Gold Co., Ltd. |
CID001058 | Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. |
CID001078 | Gold | LS-NIKKO Copper Inc. |
CID001093 | Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. |
CID001113 | Gold | Materion |
CID001119 | Gold | Matsuda Sangyo Co., Ltd. |
CID001147 | Gold | Metalor Technologies (Suzhou) Ltd. |
CID001149 | Gold | Metalor Technologies (Hong Kong) Ltd. |
CID001152 | Gold | Metalor Technologies (Singapore) Pte., Ltd. |
CID001153 | Gold | Metalor Technologies S.A. |
CID001157 | Gold | Metalor USA Refining Corporation |
CID001161 | Gold | Metalurgica Met-Mex Penoles S.A. De C.V. |
CID001188 | Gold | Mitsubishi Materials Corporation |
CID001193 | Gold | Mitsui Mining and Smelting Co., Ltd. |
CID001204 | Gold | Moscow Special Alloys Processing Plant |
CID001220 | Gold | Nadir Metal Rafineri San. Ve Tic. A.S. |
CID001236 | Gold | Navoi Mining and Metallurgical Combinat |
CID001259 | Gold | Nihon Material Co., Ltd. |
CID001322 | Gold | Elemetal Refining, LLC |
CID001325 | Gold | Ohura Precious Metal Industry Co., Ltd. |
CID001326 | Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) |
CID001352 | Gold | PAMP S.A. |
CID001362 | Gold | Penglai Penggang Gold Industry Co., Ltd. |
CID001386 | Gold | Prioksky Plant of Non-Ferrous Metals |
CID001397 | Gold | PT Aneka Tambang (Persero) Tbk |
CID001498 | Gold | PX Precinox S.A. |
CID001512 | Gold | Rand Refinery (Pty) Ltd. |
CID001534 | Gold | Royal Canadian Mint |
CID001546 | Gold | Sabin Metal Corp. |
CID001555 | Gold | Samduck Precious Metals |
CID001562 | Gold | Samwon Metals Corp. |
CID001573 | Gold | Schone Edelmetaal B.V. |
CID001585 | Gold | SEMPSA Joyeria Plateria S.A. |
CID001619 | Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. |
CID001622 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. |
CID001736 | Gold | Sichuan Tianze Precious Metals Co., Ltd. |
CID001754 | Gold | So Accurate Group, Inc. |
CID001756 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals |
CID001761 | Gold | Solar Applied Materials Technology Corp. |
CID001798 | Gold | Sumitomo Metal Mining Co., Ltd. |
CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. |
CID001909 | Gold | Great Wall Precious Metals Co., Ltd. of CBPM |
CID001916 | Gold | The Refinery of Shandong Gold Mining Co., Ltd. |
CID001938 | Gold | Tokuriki Honten Co., Ltd. |
CID001947 | Gold | Tongling Nonferrous Metals Group Co., Ltd. |
CID001955 | Gold | Torecom |
CID001977 | Gold | Umicore Brasil Ltda. |
CID001980 | Gold | Umicore S.A. Business Unit Precious Metals Refining |
CID001993 | Gold | United Precious Metal Refining, Inc. |
CID002003 | Gold | Valcambi S.A. |
CID002030 | Gold | Western Australian Mint (T/a The Perth Mint) |
CID002100 | Gold | Yamakin Co., Ltd. |
CID002129 | Gold | Yokohama Metal Co., Ltd. |
CID002224 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation |
CID002243 | Gold | Gold Refinery of Zijin Mining Group Co., Ltd. |
CID002282 | Gold | Morris and Watson |
CID002290 | Gold | SAFINA A.S. |
CID002312 | Gold | Guangdong Jinding Gold Limited |
CID002314 | Gold | Umicore Precious Metals Thailand |
CID002459 | Gold | Geib Refining Corporation |
CID002509 | Gold | MMTC-PAMP India Pvt., Ltd. |
CID002510 | Gold | Republic Metals Corporation |
CID002511 | Gold | KGHM Polska Miedz Spolka Akcyjna |
CID002515 | Gold | Fidelity Printers and Refiners Ltd. |
CID002516 | Gold | Singway Technology Co., Ltd. |
CID002560 | Gold | Al Etihad Gold LLC |
CID002561 | Gold | Emirates Gold DMCC |
CID002563 | Gold | Kaloti Precious Metals |
CID002567 | Gold | Sudan Gold Refinery |
CID002580 | Gold | T.C.A S.p.A |
CID002582 | Gold | Remondis Argentia B.V. |
CID002587 | Gold | Tony Goetz NV |
CID002605 | Gold | Korea Zinc Co., Ltd. |
CID002606 | Gold | Marsam Metals |
CID002615 | Gold | TOO Tau-Ken-Altyn |
CID002708 | Gold | Abington Reldan Metals, LLC |
CID002761 | Gold | SAAMP |
CID002762 | Gold | L'Orfebre S.A. |
CID002765 | Gold | Italpreziosi |
CID002777 | Gold | SAXONIA Edelmetalle GmbH |
CID002778 | Gold | WIELAND Edelmetalle GmbH |
CID002779 | Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH |
CID002850 | Gold | AU Traders and Refiners |
CID002852 | Gold | GCC Gujrat Gold Centre Pvt. Ltd. |
CID002853 | Gold | Sai Refinery |
CID002854 | Gold | Universal Precious Metals Refining Zambia |
CID002857 | Gold | Modeltech Sdn Bhd |
CID002863 | Gold | Bangalore Refinery |
CID002865 | Gold | Kyshtym Copper-Electrolytic Plant ZAO |
CID002866 | Gold | Morris and Watson Gold Coast |
CID002867 | Gold | Degussa Sonne / Mond Goldhandel GmbH |
CID002872 | Gold | Pease & Curren |
CID002918 | Gold | SungEel HiMetal Co., Ltd. |
CID002919 | Gold | Planta Recuperadora de Metales SpA |
CID002973 | Gold | Safimet S.p.A |
CID003153 | Gold | State Research Institute Center for Physical Sciences and Technology |
CID000211 | Tantalum | Changsha South Tantalum Niobium Co., Ltd. |
CID000291 | Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. |
CID000410 | Tantalum | Duoluoshan |
CID000456 | Tantalum | Exotech Inc. |
CID000460 | Tantalum | F&X Electro-Materials Ltd. |
CID000616 | Tantalum | Guangdong Zhiyuan New Material Co., Ltd. |
CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. |
CID000917 | Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited |
CID000973 | Tantalum | King-Tan Tantalum Industry Ltd. |
CID001076 | Tantalum | LSM Brasil S.A. |
CID001163 | Tantalum | Metallurgical Products India Pvt., Ltd. |
CID001175 | Tantalum | Mineracao Taboca S.A. |
CID001192 | Tantalum | Mitsui Mining and Smelting Co., Ltd. |
CID001200 | Tantalum | NPM Silmet AS |
CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. |
CID001508 | Tantalum | QuantumClean |
CID001522 | Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. |
CID001769 | Tantalum | Solikamsk Magnesium Works OAO |
CID001869 | Tantalum | Taki Chemical Co., Ltd. |
CID001891 | Tantalum | Telex Metals |
CID001969 | Tantalum | Ulba Metallurgical Plant JSC |
CID002307 | Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. |
CID002492 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. |
CID002504 | Tantalum | D Block Metals, LLC |
CID002505 | Tantalum | FIR Metals & Resource Ltd. |
CID002506 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. |
CID002508 | Tantalum | XinXing HaoRong Electronic Material Co., Ltd. |
CID002512 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
CID002539 | Tantalum | KEMET Blue Metals |
CID002544 | Tantalum | H.C. Starck Co., Ltd. |
CID002545 | Tantalum | H.C. Starck Tantalum and Niobium GmbH |
CID002547 | Tantalum | H.C. Starck Hermsdorf GmbH |
CID002548 | Tantalum | H.C. Starck Inc. |
CID002549 | Tantalum | H.C. Starck Ltd. |
CID002550 | Tantalum | H.C. Starck Smelting GmbH & Co. KG |
CID002557 | Tantalum | Global Advanced Metals Boyertown |
CID002558 | Tantalum | Global Advanced Metals Aizu |
CID002568 | Tantalum | KEMET Blue Powder |
CID002707 | Tantalum | Resind Industria e Comercio Ltda. |
CID002842 | Tantalum | Jiangxi Tuohong New Raw Material |
CID002847 | Tantalum | Power Resources Ltd. |
CID000092 | Tantalum | Asaka Riken Co., Ltd. |
CID000228 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
CID000244 | Tin | Jiangxi Ketai Advanced Material Co., Ltd. |
CID000292 | Tin | Alpha |
CID000306 | Tin | CV Gita Pesona |
CID000309 | Tin | PT Aries Kencana Sejahtera |
CID000313 | Tin | CV Serumpun Sebalai |
CID000315 | Tin | CV United Smelting |
CID000402 | Tin | Dowa |
CID000438 | Tin | EM Vinto |
CID000448 | Tin | Estanho de Rondonia S.A. |
CID000468 | Tin | Fenix Metals |
CID000538 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. |
CID000555 | Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. |
CID000760 | Tin | Huichang Jinshunda Tin Co., Ltd. |
CID000942 | Tin | Gejiu Kai Meng Industry and Trade LLC |
CID001070 | Tin | China Tin Group Co., Ltd. |
CID001105 | Tin | Malaysia Smelting Corporation (MSC) |
CID001142 | Tin | Metallic Resources, Inc. |
CID001173 | Tin | Mineracao Taboca S.A. |
CID001182 | Tin | Minsur |
CID001191 | Tin | Mitsubishi Materials Corporation |
CID001231 | Tin | Nankang Nanshan Tin Manufactory Co., Ltd. |
CID001314 | Tin | O.M. Manufacturing (Thailand) Co., Ltd. |
CID001337 | Tin | Operaciones Metalurgical S.A. |
CID001399 | Tin | PT Artha Cipta Langgeng |
CID001402 | Tin | PT Babel Inti Perkasa |
CID001419 | Tin | PT Bangka Tin Industry |
CID001421 | Tin | PT Belitung Industri Sejahtera |
CID001428 | Tin | PT Bukit Timah |
CID001434 | Tin | PT DS Jaya Abadi |
CID001438 | Tin | PT Eunindo Usaha Mandiri |
CID001448 | Tin | PT Karimun Mining |
CID001453 | Tin | PT Mitra Stania Prima |
CID001457 | Tin | PT Panca Mega Persada |
CID001458 | Tin | PT Prima Timah Utama |
CID001460 | Tin | PT Refined Bangka Tin |
CID001463 | Tin | PT Sariwiguna Binasentosa |
CID001468 | Tin | PT Stanindo Inti Perkasa |
CID001471 | Tin | PT Sumber Jaya Indah |
CID001477 | Tin | PT Timah (Persero) Tbk Kundur |
CID001482 | Tin | PT Timah (Persero) Tbk Mentok |
CID001490 | Tin | PT Tinindo Inter Nusa |
CID001493 | Tin | PT Tommy Utama |
CID001539 | Tin | Rui Da Hung |
CID001758 | Tin | Soft Metais Ltda. |
CID001898 | Tin | Thaisarco |
CID001908 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
CID002036 | Tin | White Solder Metalurgia e Mineracao Ltda. |
CID002158 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. |
CID002180 | Tin | Yunnan Tin Company Limited |
CID002455 | Tin | CV Venus Inti Perkasa |
CID002468 | Tin | Magnu's Minerais Metais e Ligas Ltda. |
CID002500 | Tin | Melt Metais e Ligas S.A. |
CID002503 | Tin | PT ATD Makmur Mandiri Jaya |
CID002517 | Tin | O.M. Manufacturing Philippines, Inc. |
CID002530 | Tin | PT Inti Stania Prima |
CID002570 | Tin | CV Ayi Jaya |
CID002573 | Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company |
CID002574 | Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company |
CID002592 | Tin | CV Dua Sekawan |
CID002593 | Tin | CV Tiga Sekawan |
CID002703 | Tin | An Vinh Joint Stock Mineral Processing Company |
CID002706 | Tin | Resind Industria e Comercio Ltda. |
CID002756 | Tin | Super Ligas |
CID002757 | Tin | PT O.M. Indonesia |
CID002773 | Tin | Metallo Belgium N.V. |
CID002774 | Tin | Metallo Spain S.L.U. |
CID002776 | Tin | PT Bangka Prima Tin |
CID002816 | Tin | PT Sukses Inti Makmur |
CID002829 | Tin | PT Kijang Jaya Mandiri |
CID002835 | Tin | PT Menara Cipta Mulia |
CID002844 | Tin | HuiChang Hill Tin Industry Co., Ltd. |
CID002848 | Tin | Gejiu Fengming Metallurgy Chemical Plant |
CID002849 | Tin | Guanyang Guida Nonferrous Metal Smelting Plant |
CID002858 | Tin | Modeltech Sdn Bhd |
CID002859 | Tin | Gejiu Jinye Mineral Company |
CID002870 | Tin | PT Lautan Harmonis Sejahtera |
CID003116 | Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. |
CID000004 | Tungsten | A.L.M.T. TUNGSTEN Corp. |
CID000105 | Tungsten | Kennametal Huntsville |
CID000218 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. |
CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. |
CID000499 | Tungsten | Fujian Jinxin Tungsten Co., Ltd. |
CID000568 | Tungsten | Global Tungsten & Powders Corp. |
CID000766 | Tungsten | Hunan Chenzhou Mining Co., Ltd. |
CID000769 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. |
CID000825 | Tungsten | Japan New Metals Co., Ltd. |
CID000875 | Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. |
CID000966 | Tungsten | Kennametal Fallon |
CID001889 | Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. |
CID002011 | Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. |
CID002044 | Tungsten | Wolfram Bergbau und Hutten AG |
CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. |
CID002095 | Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. |
CID002313 | Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. |
CID002315 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. |
CID002316 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. |
CID002317 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
CID002318 | Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. |
CID002319 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. |
CID002320 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. |
CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. |
CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. |
CID002502 | Tungsten | Asia Tungsten Products Vietnam Ltd. |
CID002513 | Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. |
CID002535 | Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. |
CID002536 | Tungsten | Ganzhou Yatai Tungsten Co., Ltd. |
CID002541 | Tungsten | H.C. Starck Tungsten GmbH |
CID002542 | Tungsten | H.C. Starck Smelting GmbH & Co. KG |
CID002543 | Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC |
CID002551 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
CID002579 | Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji |
CID002589 | Tungsten | Niagara Refining LLC |
CID002645 | Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. |
CID002647 | Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. |
CID002649 | Tungsten | Hydrometallurg, JSC |
CID002724 | Tungsten | Unecha Refractory metals plant |
CID002815 | Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City |
CID002827 | Tungsten | Philippine Chuangxin Industrial Co., Inc. |
CID002830 | Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. |
CID002833 | Tungsten | ACL Metais Eireli |
CID002843 | Tungsten | Woltech Korea Co., Ltd. |
CID002845 | Tungsten | Moliren Ltd. |
CID003182 | Tungsten | Hunan Litian Tungsten Industry Co., Ltd. |
• | A country where 3TG material is mined in a Conflict-affected and high-risk area (CAHRA) as defined by the mineral origin and/or supplier red flags of the OECD Due Diligence Guide: |
◦ | The minerals originate from or have been transported via a CAHRA (as defined by the OECD). |
◦ | The minerals are claimed to originate from a country that has limited known reserves, likely resources, or expected production levels of the mineral in question (i.e., the declared volumes of mineral from that country are out of keeping with its known reserves or expected production levels). |
◦ | The minerals are claimed to originate from a country where materials from CAHRAs areas are known to transit, legally or illegally. |
◦ | The company’s suppliers or other known upstream companies have shareholder or other interests in companies that supply minerals from or operate in one of the above-mentioned red flag locations of mineral origin and transit. |
◦ | The company’s suppliers’ and/or other upstream companies are known to have sourced minerals from a red flag location of mineral origin and transit in the last 12 months. |