UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
UBIQUITI NETWORKS, INC.
| State of Delaware | 001-35300 | 32-0097377 | ||
| (State of Incorporation) | (Commission | (IRS Employer | ||
| File Number) | Identification No.) |
| 2580 Orchard Parkway, San Jose, CA | 95131 | |
| (Address of Principal Executive Offices) | (Zip Code) |
| Hartley Nisenbaum | (408) 942-3085 |
(Name and telephone number, including area code, of the person to contact in connection with this report.)
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies.
| x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015. |
Section 1 – Conflict Minerals Disclosure
Items 1.01 and 1.02 Conflicts Minerals Disclosure and Report, Exhibit
Conflicts Mineral Disclosure
A copy of the Conflict Minerals Report for the reporting period January 1, 2015 to December 31, 2015 of Ubiquiti Networks, Inc. (“Company”), is provided as Exhibit 1.01 hereto and is publicly available at the “Investors – Company Overview – Corporate Governance” page of the Company’s website, http://ir.ubnt.com/corporate-governance.cfm.
Section 2 – Exhibits
Item 2.01 Exhibits
Exhibit 1.01 – Conflict Minerals Report for the reporting period January 1, 2015 to December 31, 2015.
| 2 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
Ubiquiti Networks, Inc.
| By: | /s/ Hartley Nisenbaum | Date: May 31, 2016 | |
| Hartley Nisenbaum | |||
| Interim Chief Financial Officer, Executive Vice President of Operations and Legal Affairs |
| 3 |
EXHIBIT INDEX
| Exhibit | ||
| Number | Description | |
| 1.01 | Conflict Minerals Report for the reporting period January 1, 2015 to December 31, 2015 |
| 4 |
Exhibit 1.01
Ubiquiti Networks, Inc.
Conflict Minerals Report
This Conflict Minerals Report (“Report”) has been prepared pursuant to Rule 13p-1 (the “Rule”) under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2015 to December 31, 2015. 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 requires SEC registrants to determine whether “conflict minerals” are necessary to the functionality or production of products they manufacture or contract to manufacture. “Conflict Minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives (tin, tantalum, and tungsten).
Based upon a reasonable country of origin inquiry (“RCOI”), if the SEC registrant knows that any of its necessary Conflict Minerals originated from sources in the Democratic Republic of the Congo or an adjoining country (the “Covered Countries”) and are not from recycled or scrap sources, or has reason to believe that its necessary Conflict Minerals may have originated in the Covered Countries and has reason to believe that they may not be from recycled or scrap sources, the SEC registrant must exercise due diligence on the source of the Conflict Minerals and chain of custody, conforming to a nationally or internationally recognized due diligence framework.
| 1. | Introduction |
| 1.1 | Company and Product Overview |
This Report has been prepared by the management of Ubiquiti Networks, Inc. (the “Company,” “we,” “us,” or “our”), with respect to the Company and all its subsidiaries and consolidated entities.
We develop high performance networking technology for service providers and enterprises. Our technology platforms for service providers enable carrier-class network infrastructure for fixed wireless broadband, wireless backhaul systems and routing. Our technology platforms for enterprises enable wireless local area network (WLAN) infrastructure, video surveillance products, VOIP phones, switches and machine-to-machine communications. Our proprietary products and solutions include high performance radios, antennas, software, communications protocols and management tools that have been designed to deliver carrier and enterprise class wireless broadband access and other services primarily in the unlicensed RF spectrum. Our radios and antennas, which incorporate our proprietary technologies and firmware, are designed and field tested to deliver carrier-class network speeds, throughput, range and coverage, while simultaneously meeting the varying performance requirements of video, voice and data traffic.
We retain contract manufacturers to manufacture, control the quality of and ship our products. While components and supplies are generally available from a variety of sources, we and our contract manufacturers currently depend on a single or limited number of suppliers for several components for our products. As a downstream company, we rely on our contract manufacturers and direct component suppliers (collectively, the “Product Suppliers”) to provide information on the origins of Conflict Minerals necessary to the functionality or production of our products. We have no business relationship with any of the smelters or refiners involved in producing Conflict Minerals or with any of their respective suppliers.
| 1.2 | Reasonable Country of Origin Inquiry |
We conducted an analysis of our products and found that Conflict Minerals (tin, tantalum, tungsten, and gold regardless of country of origin) are necessary to the functionality or production of certain of the products that we contract to manufacture. Therefore, we are subject to the reporting obligations of the Rule.
To perform our RCOI, we surveyed our Product Suppliers. In the survey, we asked the Product Suppliers (i) whether the products they supply to us (or their components) contained Conflict Minerals, and (ii) if they did, to provide information regarding the source of Conflict Minerals contained in those products and components. We relied on our Product Suppliers to provide us with information about the source of Conflict Minerals contained in the products and components they supplied to us.
Due to the complexity of our supply chain, it is time consuming and difficult to verify the origin of all of the Conflict Minerals in our products. Although we have been able to achieve a significant level of transparency as a result of our supply chain due diligence processes, we have been unable to determine the origin of all of the Conflict Minerals used in our products with absolute certainty.
| 1.3 | Conflict Minerals Policy |
We have adopted the following Conflict Minerals policy:
As directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the U.S. Securities and Exchange Commission (the “SEC”) has adopted rules requiring publicly traded companies to disclose whether the products they manufacture or contract to manufacture contain “Conflict Minerals” that are “necessary to the functionality or production” of those products. The definition of “Conflict Minerals” refers to gold, as well as tin, tantalum and tungsten (which are derivatives of cassiterite, columbite-tantalite, and wolframite), regardless of where they are sourced, processed or sold. The U.S. Secretary of State may designate other minerals in the future. The rules are intended to help curtail the violence and human rights violations connected with the mining of Conflict Minerals from locations in the Democratic Republic of the Congo and adjoining countries (the “Conflict Region”). We support these requirements to further the humanitarian goals of ending human rights violations associated with the mining of Conflict Minerals, and ending violent conflict in the Conflict Region that may be financed by the exploitation and trade of Conflict Minerals. Like many other companies, Ubiquiti Networks does not directly purchase minerals from smelters or other mineral processors, and is several layers removed from these processors within the supply chain. However, we are committed to taking steps to determine that products we receive from our suppliers are responsibly sourced.
| 2. | Due Diligence Process |
| 2.1 | Design of Due Diligence |
We designed our due diligence program to conform, in all material respects, with the framework in The Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Guidance”), 2nd Edition.
| 2.2 | Management Systems |
2.2.1 Company Policy
As described above, we have adopted a company Conflict Minerals policy that we promote to our Product Suppliers.
2.2.2 Internal Team
We have established procedures for identifying the use of Conflict Minerals in our products, and have established a team responsible for implementing our Conflict Minerals compliance strategies.
2.2.3 Supplier Engagement
As part of our RCOI and our corporate Conflict Minerals policy, we have engaged with our Product Suppliers, prioritizing our largest suppliers in this process to collect information and raise awareness of our expectations relating to Conflict Minerals with greater effectiveness.
2.2.4 Escalation Procedure
We have escalation mechanisms whereby persons can report violations of the Company’s policies, relating to Conflict Minerals and otherwise.
2.2.5 Maintain Records
Our due diligence process involves the compilation and maintenance of relevant materials in electronic and hard-copy records.
| 2.3 | Identify and Assess Risk in the Supply Chain |
We evaluated survey responses from our Product Suppliers and followed up to clarify or amplify their responses as necessary. We are continuing to follow-up on these responses.
Due to the complexity of our supply chain, it is time consuming and difficult to verify the origin of all of the necessary Conflict Minerals in our products. As a downstream purchaser of Conflict Minerals, or components containing Conflict Minerals, our diligence processes are based (by necessity) upon seeking data from our Product Suppliers, with those suppliers seeking similar information within their supply chains to identify the original sources of Conflict Minerals. Accordingly, we rely heavily on information collected and provided by third parties. In some cases, this information may be inaccurate or incomplete. Using our supply chain due diligence processes, we hope to further develop transparency with respect to such items. Nonetheless, our diligence procedures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of such Conflict Minerals.
| 2.4 | Design and Implement a Strategy to Respond to Risks |
Based on our evaluation of the supplier responses described above, we plan to further develop and implement our risk management plan involving, among other things: (a) evaluating the Conflict Minerals used in our products; (b) identifying relevant risks in our supply chain; and (c) taking appropriate responses to such risks.
| 3. | Due Diligence Results |
3.1 Due Diligence Process
We requested that our four largest contract manufacturers, which provided products that represented over 90% of our revenues in 2015, to complete the template developed by the Electronic Industry Citizenship Coalition® (“EICC®”) and The Global e-Sustainability Initiative (“GeSI”), known as the CFSI Reporting Template (the “CFSI Template”). We requested several other larger Product Suppliers to also complete the CFSI Template and conducted a survey of the remaining Product Suppliers via a written questionnaire about the use of Conflict Minerals in products (or components) that they supply to us, their Conflict Minerals program, and their suppliers’ use and sourcing of Conflict Minerals. We used follow-up discussions by telephone or electronic communications with our Product Suppliers to better understand their responses.
3.2 Survey Responses and Due Diligence Results
We received survey responses from almost all of our Product Suppliers. While we evaluated survey responses and are continuing to follow-up on these responses, not all of our Product Suppliers have responded. In addition, as a downstream purchaser, our diligence processes depend upon our Product Suppliers seeking data within their supply chains to identify the original sources of Conflict Minerals, and some of our Product Suppliers have advised us that they did not receive responses to their requests for due diligence information from all of their suppliers. Moreover, there are other factors that could affect the accuracy of our due diligence results, including but not limited to, incomplete supplier data or unavailable smelter data, gaps in supplier education and knowledge, language barriers and translation, lack of timeliness of data, errors or omissions by suppliers or their smelters in responding to information requests, and incomplete information from industry or other third party-sources.
Based on the data provided by our Product Suppliers, we concluded that we are unable to determine the country of origin of all of the Conflict Minerals in our supply chain during the reporting period, whether the Conflict Minerals came from recycled or scrap sources, the facilities used to process them, or their mine or location of origin. Some of the facilities that we believe may have been used to process the Conflict Minerals in our supply chain are discussed below.
This Conflict Mineral Report has been filed with the SEC and is available at the “Investors – Company Overview – Corporate Governance” page of the Company’s website, http://ir.ubnt.com/corporate-governance.cfm.
3.3 Description of Facilities used to Process Conflict Minerals
The CFSI Template that we distributed to the Product Suppliers noted in Section 3.1 above requests that such Product Suppliers provide information on the smelters and refiners that they or the vendors in their supply chains use to process the Conflict Minerals. We relied on responses from such Product
Suppliers in order to determine the facilities used to process the Conflict Minerals used in our products. Certain Product Suppliers responded that they were unable to provide all smelter and refiner information at this time and we are continuing to follow up on these responses. Many of the responses that we received provided information at the supplier level, which is not sufficient to tie with the products supplied to us back to the smelters and refiners in our supply chain. In summary, the responses from our Product Suppliers identified 430 smelters and refiners as potential sources of Conflict Minerals that were reported to be in our supply chain, of which 262 have been or are in the process of being verified by the Conflict-Free Sourcing Initiative (“CFSI”), a joint initiative of EICC and GeSI (see Schedule). As to the remainder of the smelters and refiners identified by our Product Suppliers that are not verified by CFSI, we are unable to determine the mines of origin of the Conflict Minerals sourced from such smelters and refiners.
Safe Harbor for Forward Looking Statements
Certain statements in this Form SD and the Conflict Minerals Report attached as an Exhibit thereto are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. Statements other than statements of historical fact including words such as “look”, “will”, “anticipate”, “believe”, “estimate”, “expect”, “forecast”, “consider” and “plan” and statements in the future tense are forward looking statements. These statements that could be deemed forward-looking statements include statements regarding business trends, anticipated demand for our products, and any statements or assumptions underlying any of the foregoing.
Forward-looking statements are subject to certain risks and uncertainties that could cause our actual future results to differ materially, or cause a material adverse impact on our results. Given these uncertainties, you should not place undue reliance on these forward-looking statements. Also, forward-looking statements represent our management’s beliefs and assumptions only as of the date made. We do not undertake any obligation to update information contained herein. You should review our SEC filings carefully and with the understanding that our actual future results may be materially different from what we expect.
Documents Incorporated by Reference
Unless otherwise stated in this Form SD and the Conflict Minerals Report attached as an Exhibit thereto, any documents, third-party materials or references to websites (including, but not limited to, our website) are not incorporated by reference in, or considered to be a part of, this Form SD or the Conflict Minerals Report attached as an Exhibit thereto, unless expressly incorporated by reference.
SCHEDULE
| Mineral | CFSI Compliant Smelter or Refiner Name1 | CFSI Identification Number |
Smelter
or Refiner Country Location | |||
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 | Japan | |||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 | Germany | |||
| Gold | AngloGold Ashanti Córrego do Sítio Mineração | CID000058 | Brazil | |||
| Gold | Argor-Heraeus S.A. | CID000077 | Switzerland | |||
| Gold | Asahi Pretec Corp. | CID000082 | Japan | |||
| Gold | Asahi Refining Canada Ltd. | CID000924 | Canada | |||
| Gold | Asahi Refining USA Inc. | CID000920 | United States | |||
| Gold | Asaka Riken Co., Ltd. | CID000090 | Japan | |||
| Gold | Aurubis AG | CID000113 | Germany | |||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | Philippines | |||
| Gold | Boliden AB | CID000157 | Sweden | |||
| Gold | C. Hafner GmbH + Co. KG | CID000176 | Germany | |||
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | Canada | |||
| Gold | Chimet S.p.A. | CID000233 | Italy | |||
| Gold | DODUCO GmbH | CID000362 | Germany | |||
| Gold | Dowa | CID000401 | Japan | |||
| Gold | Eco-System Recycling Co., Ltd. | CID000425 | Japan | |||
| Gold | Elemetal Refining, LLC | CID001322 | United States | |||
| Gold | Emirates Gold DMCC | CID002561 | United Arab Emirates | |||
| Gold | Heimerle + Meule GmbH | CID000694 | Germany | |||
| Gold | Heraeus Ltd. Hong Kong | CID000707 | China | |||
| Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 | Germany | |||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | China | |||
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | Japan | |||
| Gold | Istanbul Gold Refinery | CID000814 | Turkey | |||
| Gold | Japan Mint | CID000823 | Japan | |||
| Gold | Jiangxi Copper Co., Ltd. | CID000855 | China |
1 Smelters and Refiners are CFSI Compliant as of May 24, 2016, according to CFSI’s website.
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | Russian Federation | |||
| Gold | JSC Uralelectromed | CID000929 | Russian Federation | |||
| Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | Japan | |||
| Gold | Kazzinc | CID000957 | Kazakhstan | |||
| Gold | Kennecott Utah Copper LLC | CID000969 | United States | |||
| Gold | Kojima Chemicals Co., Ltd. | CID000981 | Japan | |||
| Gold | LS-NIKKO Copper Inc. | CID001078 | Republic of Korea | |||
| Gold | Materion | CID001113 | United States | |||
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 | Japan | |||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 | China | |||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | Singapore | |||
| Gold | Metalor Technologies S.A. | CID001153 | Switzerland | |||
| Gold | Metalor USA Refining Corporation | CID001157 | United States | |||
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | CID001161 | Mexico | |||
| Gold | Mitsubishi Materials Corporation | CID001188 | Japan | |||
| Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | Japan | |||
| Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | India | |||
| Gold | Moscow Special Alloys Processing Plant | CID001204 | Russian Federation | |||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | CID001220 | Turkey | |||
| Gold | Nihon Material Co., Ltd. | CID001259 | Japan | |||
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | Austria | |||
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | Japan | |||
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | Russian Federation | |||
| Gold | OJSC Novosibirsk Refinery | CID000493 | Russian Federation | |||
| Gold | PAMP S.A. | CID001352 | Switzerland | |||
| Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | Russian Federation | |||
| Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | Indonesia | |||
| Gold | PX Précinox S.A. | CID001498 | Switzerland | |||
| Gold | Rand Refinery (Pty) Ltd. | CID001512 | South Africa | |||
| Gold | Republic Metals Corporation | CID002510 | United States | |||
| Gold | Royal Canadian Mint | CID001534 | Canada | |||
| Gold | Schone Edelmetaal B.V. | CID001573 | Netherlands |
| Gold | SEMPSA Joyería Platería S.A. | CID001585 | Spain | |||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | China | |||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | China | |||
| Gold | Singway Technology Co., Ltd. | CID002516 | Taiwan | |||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | Russian Federation | |||
| Gold | Solar Applied Materials Technology Corp. | CID001761 | Taiwan | |||
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | Japan | |||
| Gold | T.C.A S.p.A | CID002580 | Italy | |||
| Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | Japan | |||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CID001916 | China | |||
| Gold | Tokuriki Honten Co., Ltd. | CID001938 | Japan | |||
| Gold | Umicore Brasil Ltda. | CID001977 | Brazil | |||
| Gold | Umicore Precious Metals Thailand | CID002314 | Thailand | |||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | Belgium | |||
| Gold | United Precious Metal Refining, Inc. | CID001993 | United States | |||
| Gold | Valcambi S.A. | CID002003 | Switzerland | |||
| Gold | Western Australian Mint trading as The Perth Mint | CID002030 | Australia | |||
| Gold | Yamamoto Precious Metal Co., Ltd. | CID002100 | Japan | |||
| Gold | Yokohama Metal Co., Ltd. | CID002129 | Japan | |||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | China | |||
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CID002243 | China | |||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | China | |||
| Tantalum | Conghua Tantalum and Niobium Smeltry | CID000291 | China | |||
| Tantalum | D Block Metals, LLC | CID002504 | United States | |||
| Tantalum | Duoluoshan | CID000410 | China | |||
| Tantalum | Exotech Inc. | CID000456 | United States | |||
| Tantalum | F&X Electro-Materials Ltd. | CID000460 | China | |||
| Tantalum | FIR Metals & Resource Ltd. | CID002505 | China | |||
| Tantalum | Global Advanced Metals Aizu | CID002558 | Japan | |||
| Tantalum | Global Advanced Metals Boyertown | CID002557 | United States | |||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 | China | |||
| Tantalum | H.C. Starck Co., Ltd. | CID002544 | Thailand | |||
| Tantalum | H.C. Starck GmbH Goslar | CID002545 | Germany |
| Tantalum | H.C. Starck GmbH Laufenburg | CID002546 | Germany | |||
| Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 | Germany | |||
| Tantalum | H.C. Starck Inc. | CID002548 | United States | |||
| Tantalum | H.C. Starck Ltd. | CID002549 | Japan | |||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | CID002550 | Germany | |||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | China | |||
| Tantalum | Hi-Temp Specialty Metals, Inc. | CID000731 | United States | |||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | China | |||
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | China | |||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | China | |||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 | China | |||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | China | |||
| Tantalum | KEMET Blue Metals | CID002539 | Mexico | |||
| Tantalum | KEMET Blue Powder | CID002568 | United States | |||
| Tantalum | King-Tan Tantalum Industry Ltd. | CID000973 | China | |||
| Tantalum | LSM Brasil S.A. | CID001076 | Brazil | |||
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | India | |||
| Tantalum | Mineração Taboca S.A. | CID001175 | Brazil | |||
| Tantalum | Mitsui Mining & Smelting | CID001192 | Japan | |||
| Tantalum | Molycorp Silmet A.S. | CID001200 | Estonia | |||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | China | |||
| Tantalum | Plansee SE Liezen | CID002540 | Austria | |||
| Tantalum | Plansee SE Reutte | CID002556 | Austria | |||
| Tantalum | QuantumClean | CID001508 | United States | |||
| Tantalum | Resind Indústria e Comércio Ltda. | CID002707 | Brazil | |||
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CID001522 | China | |||
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 | Russian Federation | |||
| Tantalum | Taki Chemicals | CID001869 | Japan | |||
| Tantalum | Telex Metals | CID001891 | United States | |||
| Tantalum | Tranzact, Inc. | CID002571 | United States | |||
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 | Kazakhstan | |||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 | China | |||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CID002307 | China |
| Tantalum | Zhuzhou Cemented Carbide | CID002232 | China | |||
| Tin | Alpha | CID000292 | United States | |||
| Tin | China Tin Group Co., Ltd. | CID001070 | China | |||
| Tin | Cooperativa Metalurgica de Rondônia Ltda. | CID000295 | Brazil | |||
| Tin | CV Ayi Jaya | CID002570 | Indonesia | |||
| Tin | CV Gita Pesona | CID000306 | Indonesia | |||
| Tin | CV Serumpun Sebalai | CID000313 | Indonesia | |||
| Tin | CV United Smelting | CID000315 | Indonesia | |||
| Tin | CV Venus Inti Perkasa | CID002455 | Indonesia | |||
| Tin | Dowa | CID000402 | Japan | |||
| Tin | Elmet S.L.U. | CID002774 | Spain | |||
| Tin | EM Vinto | CID000438 | Bolivia | |||
| Tin | Fenix Metals | CID000468 | Poland | |||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | China | |||
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CID000244 | China | |||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 | Brazil | |||
| Tin | Malaysia Smelting Corporation (MSC) | CID001105 | Malaysia | |||
| Tin | Melt Metais e Ligas S.A. | CID002500 | Brazil | |||
| Tin | Metallic Resources, Inc. | CID001142 | United States | |||
| Tin | Metallo-Chimique N.V. | CID002773 | Belgium | |||
| Tin | Mineração Taboca S.A. | CID001173 | Brazil | |||
| Tin | Minsur | CID001182 | Peru | |||
| Tin | Mitsubishi Materials Corporation | CID001191 | Japan | |||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | Thailand | |||
| Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | Philippines | |||
| Tin | Operaciones Metalurgical S.A. | CID001337 | Bolivia | |||
| Tin | PT Aries Kencana Sejahtera | CID000309 | Indonesia | |||
| Tin | PT Artha Cipta Langgeng | CID001399 | Indonesia | |||
| Tin | PT ATD Makmur Mandiri Jaya | CID002503 | Indonesia | |||
| Tin | PT Babel Inti Perkasa | CID001402 | Indonesia | |||
| Tin | PT Bangka Prima Tin | CID002776 | Indonesia | |||
| Tin | PT Bangka Tin Industry | CID001419 | Indonesia | |||
| Tin | PT Belitung Industri Sejahtera | CID001421 | Indonesia |
| Tin | PT BilliTin Makmur Lestari | CID001424 | Indonesia | |||
| Tin | PT Bukit Timah | CID001428 | Indonesia | |||
| Tin | PT Cipta Persada Mulia | CID002696 | Indonesia | |||
| Tin | PT DS Jaya Abadi | CID001434 | Indonesia | |||
| Tin | PT Eunindo Usaha Mandiri | CID001438 | Indonesia | |||
| Tin | PT Inti Stania Prima | CID002530 | Indonesia | |||
| Tin | PT Justindo | CID000307 | Indonesia | |||
| Tin | PT Mitra Stania Prima | CID001453 | Indonesia | |||
| Tin | PT Panca Mega Persada | CID001457 | Indonesia | |||
| Tin | PT Prima Timah Utama | CID001458 | Indonesia | |||
| Tin | PT Refined Bangka Tin | CID001460 | Indonesia | |||
| Tin | PT Sariwiguna Binasentosa | CID001463 | Indonesia | |||
| Tin | PT Stanindo Inti Perkasa | CID001468 | Indonesia | |||
| Tin | PT Sukses Inti Makmur | CID002816 | Indonesia | |||
| Tin | PT Sumber Jaya Indah | CID001471 | Indonesia | |||
| Tin | PT Timah (Persero) Tbk Kundur | CID001477 | Indonesia | |||
| Tin | PT Timah (Persero) Tbk Mentok | CID001482 | Indonesia | |||
| Tin | PT Tinindo Inter Nusa | CID001490 | Indonesia | |||
| Tin | PT Tommy Utama | CID001493 | Indonesia | |||
| Tin | PT Wahana Perkit Jaya | CID002479 | Indonesia | |||
| Tin | Resind Indústria e Comércio Ltda. | CID002706 | Brazil | |||
| Tin | Rui Da Hung | CID001539 | Taiwan | |||
| Tin | Soft Metais Ltda. | CID001758 | Brazil | |||
| Tin | Thaisarco | CID001898 | Thailand | |||
| Tin | VQB Mineral and Trading Group JSC | CID002015 | Vietnam | |||
| Tin | White Solder Metalurgia e Mineração Ltda. | CID002036 | Brazil | |||
| Tin | Yunnan Tin Company Limited | CID002180 | China | |||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | CID000004 | Japan | |||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | Vietnam | |||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 | China | |||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | China | |||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 | China | |||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | China |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | China | |||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | China | |||
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CID002536 | China | |||
| Tungsten | Global Tungsten & Powders Corp. | CID000568 | United States | |||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | China | |||
| Tungsten | H.C. Starck GmbH | CID002541 | Germany | |||
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | CID002542 | Germany | |||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 | China | |||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 | China | |||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 | China | |||
| Tungsten | Hydrometallurg, JSC | CID002649 | Russian Federation | |||
| Tungsten | Japan New Metals Co., Ltd. | CID000825 | Japan | |||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | China | |||
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CID002535 | China | |||
| Tungsten | Kennametal Huntsville | CID000105 | United States | |||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | China | |||
| Tungsten | Niagara Refining LLC | CID002589 | United States | |||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | CID002543 | Vietnam | |||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | Philippines | |||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 | Vietnam | |||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | CID002011 | Vietnam | |||
| Tungsten | Wolfram Bergbau und Hütten AG | CID002044 | Austria | |||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | China | |||
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | China | |||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 | China |
| Mineral | CFSI-Active Smelter or Refiner Name2 | CFSI Identification Number |
Smelter or Refiner Country Location | |||
| Gold | Advanced Chemical Company | CID000015 | United States | |||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | Uzbekistan | |||
| Gold | Cendres + Métaux S.A. | CID000189 | Switzerland | |||
| Gold | Daejin Indus Co., Ltd. | CID000328 | Republic of Korea | |||
| Gold | DSC (Do Sung Corporation) | CID000359 | Republic of Korea | |||
| Gold | Faggi Enrico S.p.A. | CID002355 | Italy | |||
| Gold | Geib Refining Corporation | CID002459 | United States | |||
| Gold | KGHM Polska Miedź Spółka Akcyjna | CID002511 | Poland | |||
| Gold | Korea Zinc Co., Ltd. | CID002605 | Republic of Korea | |||
| Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 | China | |||
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 | Uzbekistan | |||
| Gold | Samduck Precious Metals | CID001555 | Republic of Korea | |||
| Gold | SAXONIA Edelmetalle GmbH | CID002777 | Germany | |||
| Gold | Torecom | CID001955 | Republic of Korea | |||
| Gold | WIELAND Edelmetalle GmbH | CID002778 | Germany | |||
| Tantalum | E.S.R. Electronics | CID002590 | United States | |||
| Tin | An Thai Minerals Co., Ltd. | CID002825 | Vietnam | |||
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | Vietnam | |||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | China | |||
| Tin | CV Dua Sekawan | CID002592 | Indonesia | |||
| Tin | CV Tiga Sekawan | CID002593 | Indonesia | |||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | Vietnam | |||
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002848 | China | |||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | China | |||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | China | |||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002849 | China | |||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | China |
2 Smelters and Refiners are CFSI Active as of May 24, 2016, according to CFSI’s website.
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Vietnam | |||
| Tin | Phoenix Metal Ltd. | CID002507 | Rwanda | |||
| Tin | PT Karimun Mining | CID001448 | Indonesia | |||
| Tin | PT Kijang Jaya Mandiri | CID002829 | Indonesia | |||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Vietnam | |||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 | China | |||
| Tungsten | ACL Metais Eireli | CID002833 | Brazil | |||
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | CID002518 | China | |||
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CID000345 | China | |||
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CID000868 | China | |||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | China | |||
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CID002647 | China | |||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | China | |||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | China | |||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | China | |||
| Tungsten | Kennametal Fallon | CID000966 | United States | |||
| Tungsten | Moliren Ltd | CID002845 | Russian Federation | |||
| Tungsten | Pobedit, JSC | CID002532 | Russian Federation | |||
| Tungsten | Woltech Korea Co., Ltd. | CID002843 | Republic of Korea | |||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 | China |