0001564590-23-007399.txt : 20230524 0001564590-23-007399.hdr.sgml : 20230524 20230524070139 ACCESSION NUMBER: 0001564590-23-007399 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20221231 1.02 20221231 FILED AS OF DATE: 20230524 DATE AS OF CHANGE: 20230524 FILER: COMPANY DATA: COMPANY CONFORMED NAME: M-tron Industries, Inc. CENTRAL INDEX KEY: 0001902314 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 460457994 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-41391 FILM NUMBER: 23950567 BUSINESS ADDRESS: STREET 1: 2525 SHADER ROAD CITY: ORLANDO STATE: FL ZIP: 32804 BUSINESS PHONE: (407) 298-2000 MAIL ADDRESS: STREET 1: 2525 SHADER ROAD CITY: ORLANDO STATE: FL ZIP: 32804 SD 1 mpti-sd.htm SD mpti-sd.htm

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

Specialized Disclosure Report

 

M-TRON INDUSTRIES, INC.

(Exact Name of Registrant as Specified in its Charter)

 

 

 

Delaware

001-41391

46-0457944

(State or Other Jurisdiction
of Incorporation or Organization)

(Commission
File Number)

(IRS Employer
Identification No.)

 

 

 

2525 Shader Road, Orlando, FL

32804

(Address of Principal Executive Offices)

(Zip Code)

 

 

James W. Tivy

(407) 298-2000

(Name and telephone number, including area code, of the person to contact in connection with

this report.)

 

 

 

Check the appropriate box below to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

☒

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2022.


Section 1 – Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

A Conflict Minerals Report for the calendar year ended December 31, 2022, is filed herewith as Exhibit 1.01 and is publicly available at www.mtronpti.com, under the heading “Investors” then “Investor Relations” and placed under the “Corporate Governance” section.

The content of our website as referred to in this Form SD is included for general information only and is not incorporated by reference into this Form SD.

Item 1.02 Exhibits

A copy of the Conflict Minerals Report is filed herewith as Exhibit 1.01.

Section 2 – Exhibits

Item 2.01 Exhibits

 

 

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.

 

M-TRON INDUSTRIES, INC.

 

 

 

 

 

 

 

 

By:

  /s/ James W. Tivy

Date:

May 24, 2023

 

Name:

James W. Tivy

 

 

 

Title:

Chief Financial Officer

 

 

 

 

2

 

 EX-1.01 2 mpti-ex101_6.htm EX-1.01 mpti-ex101_6.htm

Exhibit 1.01

M-tron Industries, Inc.

Conflict Minerals Report

For the Year Ended December 31, 2022

 

This Conflict Minerals Report (the “Report”) for the year ended December 31, 2022 was prepared by M-tron Industries, Inc. (hereinafter referred to as the “Company,” “MtronPTI,” “we,” “us,” or “our”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”), on a consolidated basis, in accordance with the instructions to Form SD.

Forward-looking statements contained in this Report are made based on events and circumstances known by us at the time of release and, as such, are inherently subject to unforeseen uncertainties and risks. Statements in this Report which express a belief, expectation, or intention, as well as those that are not historical fact, are forward-looking statements, including statements related to the Company’s business, products, compliance efforts, and expected actions identified in this Report. These forward-looking statements are subject to various risks, uncertainties, and assumptions, including, among other matters, our customers’ requirements to use certain suppliers, our suppliers’ responsiveness and cooperation with our due diligence efforts, our ability to implement improvements in our conflict minerals program, changes to the sourcing status of smelters and refiners in our supply chain, and our ability to identify and mitigate related risks in our supply chain. If one or more of these or other risks materialize, actual results may vary materially from those expressed. For a more complete discussion of these and other risk factors, see our Annual Report on Form 10-K for the year ended December 31, 2022 and subsequent Forms 10-Q filed with the Securities and Exchange Commission (“SEC”). The Company makes these statements as of the date of this disclosure and undertakes no obligation to update them unless otherwise required by law.

The term “Conflict Minerals” is defined in Rule 13p-1 and refers to gold and cassiterite, columbite-tantalite, gold, wolframite, or their derivatives, which are limited to tin, tantalum, and tungsten (collectively, the “Conflict Minerals” or “3TG”). The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products containing Conflict Minerals that are necessary to the functionality or production of those products. These requirements apply to registrants whatever the geographic origin of the conflict minerals and whether or not they fund armed conflict.

In accordance with the instructions to Form SD, as modified by the SEC Statement, this Report outlines the diligence measures undertaken by the Company to assess the source and chain of custody of necessary conflict minerals in its supply chain.  This Report is not subject to an independent private sector audit in accordance with the instructions to Form SD.

Company and Product Overview

The Company is focused on the design and manufacture of highly engineered, high reliability frequency and spectrum control products. These electronic components ensure reliability and security in aerospace, space, and defense communications, low noise and base accuracy for laboratory instruments, and synchronous data transfers throughout the wireless and internet infrastructure.

Covered Products

We conducted an analysis of our products and determined that certain Conflict Minerals, specifically gold, tantalum, tin, and tungsten, are necessary to the functionality or production of substantially all our products. Those products include RF modules, XOs, OCXOs, TCXOs, VCXOs, DOCXOs, cavity/combine filters, ceramic filters, lumped element filters, crystal filters, and crystal resonators.

Supply Chain Description

Our business depends on an extensive network of global suppliers to provide the materials and parts required to make our products. As a downstream company, there are multiple tiers of suppliers between us and the ultimate raw materials sources of the Conflict Minerals that enter the manufacturing process. To complicate matters

 

 

further, such Conflict Minerals are frequently included in parts that we purchase from our suppliers rather than being purchased by us in raw form. Therefore, we must rely on our suppliers to further work with their suppliers to provide us with accurate information about the origin of the 3TG in the materials and parts that we purchase.

Reasonable Country of Origin (RCOI)

The Company has actively engaged with our customers and suppliers for several years with respect to the use of conflict minerals.  To determine whether necessary 3TGs in our products originated in Covered Countries, we retained Assent Compliance (“Assent”), our third party service provider, to assist us in reviewing our supply chain. We provided a list composed of suppliers associated with the Covered Products to Assent for upload to the Assent Compliance Manager tool (“ACM”). We deemed it impractical to filter this list further to exclude some possibly irrelevant suppliers because we could not determine definitively the presence or absence of conflict minerals in all parts supplied to the Company for our products.

We utilized the Responsible Minerals Initiative’s Conflict Minerals Reporting Template (“CMRT”) to conduct a survey of all in scope suppliers. During the supplier survey, we contacted suppliers via the ACM. Assent requested that all suppliers complete a CMRT and included training and education to guide suppliers on best practices and the use of this template. Assent monitored and tracked all communications in the ACM for future reporting and transparency. We directly contacted suppliers that were unresponsive to Assent’s communications during the diligence process and requested such suppliers to complete the CMRT form and submit such form to Assent.

Due Diligence Program

Our due diligence measures have been designed to conform to the five-step framework in The Organization for Economic Co-operation and Development (OECD) in the publication OECD (2016) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing (OECD Guidance) and the related supplements for gold and for tin, tantalum and tungsten.

The Company’s due diligence measures included:

1.

Establish strong company management systems.

 

•

Adopted a Conflict Minerals Policy Statement, communicated it to relevant suppliers, and posted it on our website at:  https://www.mtronpti.com/conflict-minerals-policy/

 

•

Structured internal management to support supply chain due diligence.

 

•

Engaged with our suppliers through our RCOI and due diligence activities aimed at ensuring that they do not contribute to human rights abuses or conflict.

 

•

Engaged Assent to assist us with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that we undertake with suppliers in regards to conflict minerals

2.

Identify and assess risk in the supply chain.

In accordance with OECD Guidelines, it is important to identify and assess risks associated with conflict minerals in the supply chain. Risks were identified by assessing the due diligence practices of smelters and refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. Assent compared the facilities listed in the responses to the list of smelters and refiners maintained by the RMI to ensure that the facilities met the RMI definition of a 3TGs processing facility that was operational during the 2022 calendar year.

In order to assess the risk that any of these smelters posed to our supply chain, Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (“RMAP”). We do not typically have a direct relationship with 3TGs smelters and refiners and do not perform or direct audits of these entities within our supply chain.

2

 

 

We are working to validate the smelter/refiner entries from the submitted CMRTs. Due to the provision of primarily supplier-level CMRTs, we cannot definitely determine their connection to the Covered Products.

Each facility that meets the RMI definition of a smelter or refiner of a 3TGs mineral is assessed according to red flag indicators defined in the OECD Guidance. Assent uses numerous factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags. These factors include:

 

•

Geographic proximity to the DRC and covered countries;

 

•

Known mineral source country of origin;

 

•

RMAP audit status;

 

•

Credible evidence of unethical or conflict sourcing;

 

•

Peer assessments conducted by credible third-party sources.

As part of our risk management plan under the OECD Guidance, when facilities with red flags were reported on a CMRT by one of the suppliers surveyed, risk mitigation activities are initiated. Through Assent, submissions that include any red flag facilities immediately produce a receipt instructing the supplier to take their own risk mitigation actions, including submission of a product specific CMRT to better identify the connection to products that they supply to the Company, and escalating up to removal of these red flag smelters from the supply chain.

As per the OECD Guidance, risk mitigation will depend on the supplier’s specific context. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these red flags from the supply chain. In addition, suppliers are guided to the Assent University learning platform to engage in educational materials on mitigating the risk of smelters or refiners on the supply chain.

Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). The criteria used to evaluate the strength of the program are based on these four questions in the CMRT:

 

•

Have you established a conflict minerals sourcing policy?

 

•

Have you implemented due diligence measures for conflict-free sourcing?

 

•

Do you review due diligence information received from your suppliers against your company’s expectations?

 

•

Does your review process include corrective action management?

When suppliers meet or exceed those criteria, they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program.

3.

Design and implement a strategy to respond to identified risks.

Together with Assent, we developed processes to assess and respond to the risks identified in our supply chain. In response to this risk assessment, the Company has a risk management plan, through which the conflict minerals program is implemented, managed, and monitored. As the program progresses, escalations are sent to non-responsive suppliers to outline the importance of a response via CMRTs and to outline the required cooperation for compliance with the Rule.

We engage each of our suppliers that we have reason to believe are supplying us with 3TGs from sources that may support conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict, as provided in the OECD Guidance.

4.

Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain.

As a downstream manufacturer, the Company does not have a direct relationship with 3TG smelters and refiners and does not perform or direct audits of these entities within its supply chain. We rely on industry efforts, such as RMI, to influence smelters and refiners to be audited and certified through RMI’s Responsible Minerals Assurance Program (“RMAP”).

3

 

 

Assent also directly contacts smelters and refiners that are not currently enrolled in the RMAP to encourage their participation and gather information regarding each facilities’ sourcing practices on behalf of its compliance partners. We are a signatory of this communication in accordance with the requirements of downstream companies detailed in the OECD Guidance.

5.

Report on Supply Chain Due Diligence.

The Company submitted our annual 2022 Conflict Minerals Report to the SEC, the public and our shareholders on May 24, 2023. This report and the associated Form SD for 2022 are publicly available on the Company’s website at www.mtronpti.com under the heading “About MtronPTI” then “Investor Relations” then “Governance” and placed under the “Governance Documents” section towards the bottom of the page under “Conflict Minerals Report”.

Due Diligence Results

Survey Results – For the 2022 reporting year, we received CMRT forms from 76% of the suppliers we surveyed, which was an increase over the prior year response rate of 48%. All final CMRT submissions were reviewed and validated to ensure no inaccuracies or gaps in data were found.

Smelters and Refiners – Attached as Appendix A is a list of all of the smelters and refiners listed by our suppliers in their completed CMRTs that appear on the lists of smelters maintained by the RMI. Since many of the CMRTs we received from our suppliers were made on a company or division level basis, rather than on a product-level basis, we are not able to identify which smelters or refiners listed on Appendix A actually processed the 3TGs contained in our products. Therefore, our list of processing smelters and refiners disclosed in Appendix A may contain more facilities than those that actually processed the 3TGs contained in the Covered Products.

Countries of Origin – Appendix B includes an aggregated list of the countries of origin from which the reported facilities collectively source conflict minerals, based on information provided by suppliers and the RMI. As mentioned in the above section, many responses were provided at the company level, therefore, Appendix B may contain more countries than those that are actually the sources of the 3TGs in the Covered Products.

From the responses that we received from our suppliers, while we did not have any that indicated any direct issues with non-compliance, we will be working to find alternate suppliers for some of our products.

 

Ongoing and Planned Efforts to Mitigate the Risk and Improve Due Diligence

As an indirect purchaser of 3TG minerals several levels removed from the actual mining or smelting of the minerals, our position in the supply chain is remote. As a result, our due diligence efforts cannot provide absolute assurance regarding the source and chain of custody of the 3TG ultimately included in our products. We intend to take the following steps to improve the due diligence conducted and to further mitigate any future risk of sourcing 3TG that benefit armed groups:

•

Continue to develop supplier engagement strategies that may improve the RCOI response rate.

•

Leverage Assent to obtain CMRTs on a product-specific basis to enable us to determine which smelters and refiners actually process 3TGs contained in our products.

•

Continue to include a 3TG compliance provision in new or renewed purchase agreements with direct material suppliers to set forth expectations such that direct material suppliers will cooperate with our due diligence measures.

•

Engage with any direct suppliers found to be supplying us with 3TG from sources that support conflict in any Covered Country to seek to establish an acceptable alternative source of 3TG.

 

4

 

 

 

APPENDICES

 

The information in the below tables, Appendices A and B, have been gathered and transmitted through multiple levels of our supply chain, and there is a risk that it is not accurate or current. In most cases, direct suppliers provided smelter and/or refiner information and therefore any country of origin data related to such smelter and/or refiner for their entire supply chain without identifying which smelters and/or refiners may have contributed conflict minerals to components and materials actually supplied to us. Accordingly, we cannot verify that any of the smelters and/or refiners or country of origin data shown in these tables were part of our supply chain. The presence of a smelter or refiner in this table does not necessarily mean that conflict minerals processed at that smelter or refiner were used in any components and materials supplied to us or in any MtronPTI products.

 

5

 

APPENDIX A – Smelter List

 

Metal

Smelter Name

Country

Smelter ID

Gold

Advanced Chemical Company

United States Of America

CID000015

Gold

Aida Chemical Industries Co., Ltd.

Japan

CID000019

Gold

Agosi AG

Germany

CID000035

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

Uzbekistan

CID000041

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

Brazil

CID000058

Gold

Argor-Heraeus S.A.

Switzerland

CID000077

Gold

Asahi Pretec Corp.

Japan

CID000082

Gold

Asaka Riken Co., Ltd.

Japan

CID000090

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

Turkey

CID000103

Gold

Aurubis AG

Germany

CID000113

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

Philippines

CID000128

Gold

Boliden AB

Sweden

CID000157

Gold

C. Hafner GmbH + Co. KG

Germany

CID000176

Gold

Caridad

Mexico

CID000180

Gold

CCR Refinery - Glencore Canada Corporation

Canada

CID000185

Gold

Cendres + Metaux S.A.

Switzerland

CID000189

Gold

Yunnan Copper Industry Co., Ltd.

China

CID000197

Gold

Chimet S.p.A.

Italy

CID000233

Gold

Chugai Mining

Japan

CID000264

Gold

Daye Non-Ferrous Metals Mining Ltd.

China

CID000343

Gold

DSC (Do Sung Corporation)

Korea, Republic Of

CID000359

Gold

Dowa

Japan

CID000401

Gold

Eco-System Recycling Co., Ltd. East Plant

Japan

CID000425

Gold

JSC Novosibirsk Refinery

Russian Federation

CID000493

Gold

Refinery of Seemine Gold Co., Ltd.

China

CID000522

Gold

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

China

CID000651

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

China

CID000671

Gold

LT Metal Ltd.

Korea, Republic Of

CID000689

Gold

Heimerle + Meule GmbH

Germany

CID000694

Gold

Heraeus Metals Hong Kong Ltd.

China

CID000707

Gold

Heraeus Germany GmbH Co. KG

Germany

CID000711

Gold

Hunan Chenzhou Mining Co., Ltd.

China

CID000767

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

China

CID000773

Gold

HwaSeong CJ CO., LTD.

Korea, Republic Of

CID000778

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

China

CID000801

Gold

Ishifuku Metal Industry Co., Ltd.

Japan

CID000807

Gold

Istanbul Gold Refinery

Turkey

CID000814

Gold

Japan Mint

Japan

CID000823

Gold

Jiangxi Copper Co., Ltd.

China

CID000855

Gold

Asahi Refining USA Inc.

United States Of America

CID000920

Gold

Asahi Refining Canada Ltd.

Canada

CID000924

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

Russian Federation

CID000927

Gold

JSC Uralelectromed

Russian Federation

CID000929

Gold

JX Nippon Mining & Metals Co., Ltd.

Japan

CID000937

Gold

Kazakhmys Smelting LLC

Kazakhstan

CID000956

Gold

Kazzinc

Kazakhstan

CID000957

Gold

Kennecott Utah Copper LLC

United States Of America

CID000969

Gold

Kojima Chemicals Co., Ltd.

Japan

CID000981

Gold

Kyrgyzaltyn JSC

Kyrgyzstan

CID001029

Gold

L'azurde Company For Jewelry

Saudi Arabia

CID001032

Gold

Lingbao Gold Co., Ltd.

China

CID001056

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

China

CID001058

Gold

LS-NIKKO Copper Inc.

Korea, Republic Of

CID001078

 

 

Metal

Smelter Name

Country

Smelter ID

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

China

CID001093

Gold

Materion

United States Of America

CID001113

Gold

Matsuda Sangyo Co., Ltd.

Japan

CID001119

Gold

Metalor Technologies (Suzhou) Ltd.

China

CID001147

Gold

Metalor Technologies (Hong Kong) Ltd.

China

CID001149

Gold

Metalor Technologies (Singapore) Pte., Ltd.

Singapore

CID001152

Gold

Metalor Technologies S.A.

Switzerland

CID001153

Gold

Metalor USA Refining Corporation

United States Of America

CID001157

Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

Mexico

CID001161

Gold

Mitsubishi Materials Corporation

Japan

CID001188

Gold

Mitsui Mining and Smelting Co., Ltd.

Japan

CID001193

Gold

Moscow Special Alloys Processing Plant

Russian Federation

CID001204

Gold

Nadir Metal Rafineri San. Ve Tic. A.S.

Turkey

CID001220

Gold

Navoi Mining and Metallurgical Combinat

Uzbekistan

CID001236

Gold

Nihon Material Co., Ltd.

Japan

CID001259

Gold

Ohura Precious Metal Industry Co., Ltd.

Japan

CID001325

Gold

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

Russian Federation

CID001326

Gold

MKS PAMP SA

Switzerland

CID001352

Gold

Penglai Penggang Gold Industry Co., Ltd.

China

CID001362

Gold

Prioksky Plant of Non-Ferrous Metals

Russian Federation

CID001386

Gold

PT Aneka Tambang (Persero) Tbk

Indonesia

CID001397

Gold

PX Precinox S.A.

Switzerland

CID001498

Gold

Rand Refinery (Pty) Ltd.

South Africa

CID001512

Gold

Royal Canadian Mint

Canada

CID001534

Gold

Sabin Metal Corp.

United States Of America

CID001546

Gold

Samduck Precious Metals

Korea, Republic Of

CID001555

Gold

Samwon Metals Corp.

Korea, Republic Of

CID001562

Gold

SEMPSA Joyeria Plateria S.A.

Spain

CID001585

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

China

CID001619

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

China

CID001622

Gold

Sichuan Tianze Precious Metals Co., Ltd.

China

CID001736

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

Russian Federation

CID001756

Gold

Solar Applied Materials Technology Corp.

Taiwan, Province Of China

CID001761

Gold

Sumitomo Metal Mining Co., Ltd.

Japan

CID001798

Gold

Super Dragon Technology Co., Ltd.

Taiwan, Province Of China

CID001810

Gold

Tanaka Kikinzoku Kogyo K.K.

Japan

CID001875

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

China

CID001909

Gold

Shandong Gold Smelting Co., Ltd.

China

CID001916

Gold

Tokuriki Honten Co., Ltd.

Japan

CID001938

Gold

Tongling Nonferrous Metals Group Co., Ltd.

China

CID001947

Gold

Umicore S.A. Business Unit Precious Metals Refining

Belgium

CID001980

Gold

United Precious Metal Refining, Inc.

United States Of America

CID001993

Gold

Valcambi S.A.

Switzerland

CID002003

Gold

Western Australian Mint (T/a The Perth Mint)

Australia

CID002030

Gold

Yamakin Co., Ltd.

Japan

CID002100

Gold

Yokohama Metal Co., Ltd.

Japan

CID002129

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

China

CID002224

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

China

CID002243

Gold

Morris and Watson

New Zealand

CID002282

Gold

SAFINA A.S.

Czechia

CID002290

Gold

Guangdong Jinding Gold Limited

China

CID002312

Gold

Umicore Precious Metals Thailand

Thailand

CID002314

Gold

Geib Refining Corporation

United States Of America

CID002459

2

 

 

Metal

Smelter Name

Country

Smelter ID

Gold

MMTC-PAMP India Pvt., Ltd.

India

CID002509

Gold

KGHM Polska Miedz Spolka Akcyjna

Poland

CID002511

Gold

Fidelity Printers and Refiners Ltd.

Zimbabwe

CID002515

Gold

Singway Technology Co., Ltd.

Taiwan, Province Of China

CID002516

Gold

Shandong Humon Smelting Co., Ltd.

China

CID002525

Gold

Shenzhen Zhonghenglong Real Industry Co., Ltd.

China

CID002527

Gold

Al Etihad Gold Refinery DMCC

United Arab Emirates

CID002560

Gold

Emirates Gold DMCC

United Arab Emirates

CID002561

Gold

International Precious Metal Refiners

United Arab Emirates

CID002562

Gold

Kaloti Precious Metals

United Arab Emirates

CID002563

Gold

Sudan Gold Refinery

Sudan

CID002567

Gold

T.C.A S.p.A

Italy

CID002580

Gold

REMONDIS PMR B.V.

Netherlands

CID002582

Gold

Fujairah Gold FZC

United Arab Emirates

CID002584

Gold

Industrial Refining Company

Belgium

CID002587

Gold

Shirpur Gold Refinery Ltd.

India

CID002588

Gold

Korea Zinc Co., Ltd.

Korea, Republic Of

CID002605

Gold

Marsam Metals

Brazil

CID002606

Gold

TOO Tau-Ken-Altyn

Kazakhstan

CID002615

Gold

Abington Reldan Metals, LLC

United States Of America

CID002708

Gold

SAAMP

France

CID002761

Gold

L'Orfebre S.A.

Andorra

CID002762

Gold

8853 S.p.A.

Italy

CID002763

Gold

Italpreziosi

Italy

CID002765

Gold

WIELAND Edelmetalle GmbH

Germany

CID002778

Gold

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

Austria

CID002779

Gold

AU Traders and Refiners

South Africa

CID002850

Gold

GGC Gujrat Gold Centre Pvt. Ltd.

India

CID002852

Gold

Sai Refinery

India

CID002853

Gold

Modeltech Sdn Bhd

Malaysia

CID002857

Gold

Bangalore Refinery

India

CID002863

Gold

Kyshtym Copper-Electrolytic Plant ZAO

Russian Federation

CID002865

Gold

Degussa Sonne / Mond Goldhandel GmbH

Germany

CID002867

Gold

Pease & Curren

United States Of America

CID002872

Gold

JALAN & Company

India

CID002893

Gold

SungEel HiMetal Co., Ltd.

Korea, Republic Of

CID002918

Gold

Planta Recuperadora de Metales SpA

Chile

CID002919

Gold

Safimet S.p.A

Italy

CID002973

Gold

State Research Institute Center for Physical Sciences and Technology

Lithuania

CID003153

Gold

African Gold Refinery

Uganda

CID003185

Gold

Gold Coast Refinery

Ghana

CID003186

Gold

NH Recytech Company

Korea, Republic Of

CID003189

Gold

QG Refining, LLC

United States Of America

CID003324

Gold

Dijllah Gold Refinery FZC

United Arab Emirates

CID003348

Gold

CGR Metalloys Pvt Ltd.

India

CID003382

Gold

Sovereign Metals

India

CID003383

Gold

C.I Metales Procesados Industriales SAS

Colombia

CID003421

Gold

Eco-System Recycling Co., Ltd. North Plant

Japan

CID003424

Gold

Eco-System Recycling Co., Ltd. West Plant

Japan

CID003425

Gold

Augmont Enterprises Private Limited

India

CID003461

Gold

Kundan Care Products Ltd.

India

CID003463

Gold

Emerald Jewel Industry India Limited (Unit 1)

India

CID003487

3

 

 

Metal

Smelter Name

Country

Smelter ID

Gold

Emerald Jewel Industry India Limited (Unit 2)

India

CID003488

Gold

Emerald Jewel Industry India Limited (Unit 3)

India

CID003489

Gold

Emerald Jewel Industry India Limited (Unit 4)

India

CID003490

Gold

K.A. Rasmussen

Norway

CID003497

Gold

Alexy Metals

United States Of America

CID003500

Gold

Sancus ZFS (L’Orfebre, SA)

Colombia

CID003529

Gold

Sellem Industries Ltd.

Mauritania

CID003540

Gold

MD Overseas

India

CID003548

Gold

Metallix Refining Inc.

United States Of America

CID003557

Gold

Metal Concentrators SA (Pty) Ltd.

South Africa

CID003575

Gold

WEEEREFINING

France

CID003615

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

China

CID000211

Tantalum

F&X Electro-Materials Ltd.

China

CID000460

Tantalum

XIMEI RESOURCES (GUANGDONG) LIMITED

China

CID000616

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

China

CID000914

Tantalum

Jiujiang Tanbre Co., Ltd.

China

CID000917

Tantalum

AMG Brasil

Brazil

CID001076

Tantalum

Metallurgical Products India Pvt., Ltd.

India

CID001163

Tantalum

Mineracao Taboca S.A.

Brazil

CID001175

Tantalum

Mitsui Mining and Smelting Co., Ltd.

Japan

CID001192

Tantalum

NPM Silmet AS

Estonia

CID001200

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

China

CID001277

Tantalum

QuantumClean

United States Of America

CID001508

Tantalum

Yanling Jincheng Tantalum & Niobium Co., Ltd.

China

CID001522

Tantalum

Solikamsk Magnesium Works OAO

Russian Federation

CID001769

Tantalum

Taki Chemical Co., Ltd.

Japan

CID001869

Tantalum

Telex Metals

United States Of America

CID001891

Tantalum

Ulba Metallurgical Plant JSC

Kazakhstan

CID001969

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

China

CID002492

Tantalum

D Block Metals, LLC

United States Of America

CID002504

Tantalum

FIR Metals & Resource Ltd.

China

CID002505

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

China

CID002506

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

China

CID002508

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

China

CID002512

Tantalum

KEMET de Mexico

Mexico

CID002539

Tantalum

TANIOBIS Co., Ltd.

Thailand

CID002544

Tantalum

TANIOBIS GmbH

Germany

CID002545

Tantalum

Materion Newton Inc.

United States Of America

CID002548

Tantalum

TANIOBIS Japan Co., Ltd.

Japan

CID002549

Tantalum

TANIOBIS Smelting GmbH & Co. KG

Germany

CID002550

Tantalum

Global Advanced Metals Boyertown

United States Of America

CID002557

Tantalum

Global Advanced Metals Aizu

Japan

CID002558

Tantalum

Resind Industria e Comercio Ltda.

Brazil

CID002707

Tantalum

Jiangxi Tuohong New Raw Material

China

CID002842

Tantalum

RFH Yancheng Jinye New Material Technology Co., Ltd.

China

CID003583

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

China

CID000228

Tin

Alpha

United States Of America

CID000292

Tin

PT Aries Kencana Sejahtera

Indonesia

CID000309

Tin

Dowa

Japan

CID000402

Tin

EM Vinto

Bolivia (Plurinational State Of)

CID000438

Tin

Estanho de Rondonia S.A.

Brazil

CID000448

Tin

Fenix Metals

Poland

CID000468

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

China

CID000538

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

China

CID000555

4

 

 

Metal

Smelter Name

Country

Smelter ID

Tin

Gejiu Kai Meng Industry and Trade LLC

China

CID000942

Tin

China Tin Group Co., Ltd.

China

CID001070

Tin

Malaysia Smelting Corporation (MSC)

Malaysia

CID001105

Tin

Metallic Resources, Inc.

United States Of America

CID001142

Tin

Mineracao Taboca S.A.

Brazil

CID001173

Tin

Minsur

Peru

CID001182

Tin

Mitsubishi Materials Corporation

Japan

CID001191

Tin

Jiangxi New Nanshan Technology Ltd.

China

CID001231

Tin

Novosibirsk Tin Combine

Russian Federation

CID001305

Tin

O.M. Manufacturing (Thailand) Co., Ltd.

Thailand

CID001314

Tin

Operaciones Metalurgicas S.A.

Bolivia (Plurinational State Of)

CID001337

Tin

PT Artha Cipta Langgeng

Indonesia

CID001399

Tin

PT Babel Inti Perkasa

Indonesia

CID001402

Tin

PT Babel Surya Alam Lestari

Indonesia

CID001406

Tin

PT Belitung Industri Sejahtera

Indonesia

CID001421

Tin

PT Bukit Timah

Indonesia

CID001428

Tin

PT Mitra Stania Prima

Indonesia

CID001453

Tin

PT Panca Mega Persada

Indonesia

CID001457

Tin

PT Prima Timah Utama

Indonesia

CID001458

Tin

PT Refined Bangka Tin

Indonesia

CID001460

Tin

PT Sariwiguna Binasentosa

Indonesia

CID001463

Tin

PT Stanindo Inti Perkasa

Indonesia

CID001468

Tin

PT Timah Tbk Kundur

Indonesia

CID001477

Tin

PT Timah Tbk Mentok

Indonesia

CID001482

Tin

PT Timah Nusantara

Indonesia

CID001486

Tin

PT Tinindo Inter Nusa

Indonesia

CID001490

Tin

PT Tommy Utama

Indonesia

CID001493

Tin

Rui Da Hung

Taiwan, Province Of China

CID001539

Tin

Thaisarco

Thailand

CID001898

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

China

CID001908

Tin

VQB Mineral and Trading Group JSC

Viet Nam

CID002015

Tin

White Solder Metalurgia e Mineracao Ltda.

Brazil

CID002036

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

China

CID002158

Tin

Tin Smelting Branch of Yunnan Tin Co., Ltd.

China

CID002180

Tin

CV Venus Inti Perkasa

Indonesia

CID002455

Tin

Magnu's Minerais Metais e Ligas Ltda.

Brazil

CID002468

Tin

PT Tirus Putra Mandiri

Indonesia

CID002478

Tin

Melt Metais e Ligas S.A.

Brazil

CID002500

Tin

PT ATD Makmur Mandiri Jaya

Indonesia

CID002503

Tin

O.M. Manufacturing Philippines, Inc.

Philippines

CID002517

Tin

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

Viet Nam

CID002572

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

Viet Nam

CID002573

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

Viet Nam

CID002574

Tin

PT Cipta Persada Mulia

Indonesia

CID002696

Tin

An Vinh Joint Stock Mineral Processing Company

Viet Nam

CID002703

Tin

Resind Industria e Comercio Ltda.

Brazil

CID002706

Tin

Super Ligas

Brazil

CID002756

Tin

Aurubis Beerse

Belgium

CID002773

Tin

Aurubis Berango

Spain

CID002774

Tin

PT Sukses Inti Makmur

Indonesia

CID002816

Tin

PT Menara Cipta Mulia

Indonesia

CID002835

Tin

Modeltech Sdn Bhd

Malaysia

CID002858

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

China

CID003116

5

 

 

Metal

Smelter Name

Country

Smelter ID

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

China

CID003190

Tin

PT Bangka Serumpun

Indonesia

CID003205

Tin

Pongpipat Company Limited

Myanmar

CID003208

Tin

Tin Technology & Refining

United States Of America

CID003325

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

China

CID003356

Tin

PT Rajawali Rimba Perkasa

Indonesia

CID003381

Tin

Luna Smelter, Ltd.

Rwanda

CID003387

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

China

CID003397

Tin

Precious Minerals and Smelting Limited

India

CID003409

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.

China

CID003410

Tin

PT Mitra Sukses Globalindo

Indonesia

CID003449

Tin

CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda

Brazil

CID003486

Tin

CRM Synergies

Spain

CID003524

Tin

Fabrica Auricchio Industria e Comercio Ltda.

Brazil

CID003582

Tungsten

A.L.M.T. Corp.

Japan

CID000004

Tungsten

Kennametal Huntsville

United States Of America

CID000105

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

China

CID000218

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

China

CID000258

Tungsten

CNMC (Guangxi) PGMA Co., Ltd.

China

CID000281

Tungsten

Global Tungsten & Powders LLC

United States Of America

CID000568

Tungsten

Hunan Chenzhou Mining Co., Ltd.

China

CID000766

Tungsten

Hunan Jintai New Material Co., Ltd.

China

CID000769

Tungsten

Japan New Metals Co., Ltd.

Japan

CID000825

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

China

CID000875

Tungsten

Kennametal Fallon

United States Of America

CID000966

Tungsten

Wolfram Bergbau und Hutten AG

Austria

CID002044

Tungsten

Xiamen Tungsten Co., Ltd.

China

CID002082

Tungsten

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

China

CID002313

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

China

CID002315

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

China

CID002316

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

China

CID002317

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

China

CID002318

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

China

CID002319

Tungsten

Xiamen Tungsten (H.C.) Co., Ltd.

China

CID002320

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

China

CID002321

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

China

CID002494

Tungsten

Asia Tungsten Products Vietnam Ltd.

Viet Nam

CID002502

Tungsten

Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch

China

CID002513

Tungsten

H.C. Starck Tungsten GmbH

Germany

CID002541

Tungsten

TANIOBIS Smelting GmbH & Co. KG

Germany

CID002542

Tungsten

Masan High-Tech Materials

Viet Nam

CID002543

Tungsten

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

China

CID002551

Tungsten

Niagara Refining LLC

United States Of America

CID002589

Tungsten

China Molybdenum Tungsten Co., Ltd.

China

CID002641

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

China

CID002645

Tungsten

Hydrometallurg, JSC

Russian Federation

CID002649

Tungsten

Unecha Refractory metals plant

Russian Federation

CID002724

Tungsten

Philippine Chuangxin Industrial Co., Inc.

Philippines

CID002827

Tungsten

ACL Metais Eireli

Brazil

CID002833

Tungsten

Moliren Ltd.

Russian Federation

CID002845

Tungsten

Fujian Ganmin RareMetal Co., Ltd.

China

CID003401

6

 

 

Metal

Smelter Name

Country

Smelter ID

Tungsten

Lianyou Metals Co., Ltd.

Taiwan, Province Of China

CID003407

Tungsten

JSC "Kirovgrad Hard Alloys Plant"

Russian Federation

CID003408

Tungsten

NPP Tyazhmetprom LLC

Russian Federation

CID003416

Tungsten

Hubei Green Tungsten Co., Ltd.

China

CID003417

Tungsten

Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.

Brazil

CID003427

Tungsten

Cronimet Brasil Ltda

Brazil

CID003468

Tungsten

Artek LLC

Russian Federation

CID003553

Tungsten

Fujian Xinlu Tungsten Co., Ltd.

China

CID003609

Tungsten

OOO “Technolom” 2

Russian Federation

CID003612

Tungsten

OOO “Technolom” 1

Russian Federation

CID003614

Tungsten

LLC Vostok

Russian Federation

CID003643

 

 


7

 

 

 

APPENDIX B – Countries of Origin

Countries of Origin *

 

Afghanistan

Czechia

Kenya

Rwanda

 

Ãland Islands

Democratic Republic of Congo

Korea

Samoa

 

Albania

Djibouti

Kyrgyzstan

Saudi Arabia

 

American Samoa

Dominica

Liberia

Senegal

 

Andorra

Dominican Republic

Liechtenstein

Sierra Leone

 

Angola

Ecuador

Lithuania

Singapore

 

Argentina

Egypt

Luxembourg

Slovakia

 

Armenia

Eritrea

Madagascar

Slovenia

 

Aruba

Estonia

Malaysia

South Africa

 

Australia

Ethiopia

Mali

South Sudan

 

Austria

Finland

Mauritania

Spain

 

Azerbaijan

France

Mexico

Sudan

 

Bahamas

Georgia

Mongolia

Suriname

 

Barbados

Germany

Morocco

Sweden

 

Belarus

Ghana

Mozambique

Switzerland

 

Belgium

Guam

Myanmar

Taiwan

 

Benin

Guatemala

Namibia

Tajikistan

 

Bermuda

Guinea

Netherlands

Tanzania

 

Bolivia (Plurinational State of)

Guyana

New Zealand

Thailand

 

Brazil

Honduras

Nicaragua

Turkey

 

Bulgaria

Hong Kong

Niger

Uganda

 

Burkina Faso

Hungary

Nigeria

United Arab Emirates

 

Burundi

India

Norway

United Kingdom

 

Cambodia

Indonesia

Panama

United States

 

Canada

Ireland

Papua New Guinea

Uzbekistan

 

Central African Republic

Israel

Peru

Viet Nam

 

Chile

Italy

Philippines

Zambia

 

China

Japan

Poland

Zimbabwe

 

Colombia

Jersey

Portugal

 

 

Congo

Kazakhstan

Russian Federation

 

 

 

 

 

 

* Country of origin information of the Conflict Minerals used by RMAP Conformant smelters is provided by the RMI. Due to confidentiality restrictions, the RMI may only disclose country of origin information on an aggregate basis where the country of origin is not the DRC.

 

8