EX-1.01 2 a17-13955_1ex1d01.htm EX-1.01

Exhibit 1.01

 

CONFLICT MINERALS REPORT OF

SUPREME INDUSTRIES, INC.

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2016

 

I.                                        Introduction

 

This is the Conflict Minerals(1) Report of Supreme Industries, Inc. (“we,” “our,” “us,” “Supreme,” or the “Company”) prepared for calendar year 2016 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and Form SD and the reader is referred to those sources, and also to Release No. 34-67716 (August 22, 2012) (the “Adopting Release”) for such definitions.

 

In accordance with Rule 13p-1, we undertook efforts to determine whether the necessary conflict minerals in our products were or were not “DRC conflict-free.” The Company designed its efforts in conformity, with the internationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas(2) (“OECD Due Diligence Guidance”) and related Supplements.

 

The statements below are based on the reasonable country of origin inquiry (“RCOI”) and due diligence performed, in good faith, by Supreme and on the infrastructure and information available at the time of this filing. There are factors that could affect the accuracy of these statements. These factors include, but are not limited to, incomplete supplier or smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the Securities and Exchange Commission (“SEC”) final rules, all instances of conflict minerals necessary to the functionality or manufacturing of Supreme’s products possibly not yet having been identified, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, errors in public data, language barriers and translation, supplier and smelter unfamiliarity with the relevant protocols, oversights or errors in conflict free smelter audits, Covered Countries sourced materials being declared secondary materials, companies going out of business in 2016, certification programs being not equally advanced for all industry segments and metals, and smuggling of conflict minerals from the Covered Countries to countries beyond the Covered Countries.

 


(1)  The term “conflict mineral” is defined in Form SD as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country (the “Covered Countries”).

 

(2)  OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris. http://dx.doi.org/10.1787/9789264252479-en

 

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II.                                   Overview

 

Company Profile

 

We are subject to this rule as we have determined that, during 2016, conflict minerals were likely necessary to the functionality or production of products we manufactured or contracted to manufacture. The Company, as purchaser of component parts, is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals and we conduct no purchasing activities directly in the Covered Countries.

 

Conflict Minerals Policy

 

Supreme developed a policy statement to support the goals expressed by Congress in enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The policy highlights Supreme’s commitment to complying with the reporting and due diligence obligations required by the SEC rule and Supreme’s expectations from its suppliers. The policy resides on our corporate website (http://investor.supremecorp.com)

 

Reasonable Country of Origin Inquiry Information

 

We have conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources.

 

Supreme’s RCOI process included conducting an inquiry of our direct suppliers using the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). Based on the results of our RCOI which indicated sourcing from the Covered Countries, we exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the OECD framework. Our due diligence efforts are discussed further in this Conflict Minerals Report.

 

Due Diligence Program Design

 

The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as they relate to our position in the minerals supply chain as a “downstream” company:

 

Step 1:          Establish strong company management systems

Step 2:          Identify and assess risks in the supply chain

Step 3:          Design and implement a strategy to respond to identified risks

Step 4:          Carry out independent third-party audit of smelter/refinery due diligence practices

Step 5:          Report annually on supply chain due diligence.

 

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III.                              Due Diligence Measures Performed by Supreme Industries, Inc.

 

The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.

 

Step 1: Establish strong company management systems

 

a.              Conflict minerals team — Supreme established a conflict minerals team that includes individuals from the appropriate business departments, including legal, accounting, and procurement. The team was structured to ensure critical information, including the Company policy, reached relevant employees and suppliers.

b.              Conflict minerals policy — Supreme adopted and published a policy establishing the expectations of our suppliers. The policy can be found at www.supremecorp.com. It is periodically reviewed and will be updated, if necessary.

c.               Internal engagement — We held internal meetings to educate relevant employees on our conflict minerals program and reporting obligations.

d.              Supplier engagement — Supreme provided educational information to our queried suppliers. Suppliers were provided information on the conflict minerals disclosure requirements as well as our internal process for developing, implementing, and documenting a conflict minerals compliance program.

e.               Company level grievance mechanism — As recommended by the OECD Due Diligence Guidance, Supreme established a grievance mechanism as a risk-awareness system for conflict minerals issues. All Supreme employees and suppliers can communicate directly and confidentially with our general counsel’s office.

f.                Records management — Supreme maintains records relating to our conflict minerals program in accordance with the recommended record retention guidelines.

 

Step 2: Identify and assess risks in the supply chain

 

We performed the following steps as part of our risk assessment process:

 

a.              Identified products in scope — Our conflict minerals team conducted a review of the products manufactured or contracted to be manufactured during the period from January 1 to December 31, 2016 to identify products that should be deemed in-scope as described by the Adopting Release.

b.              Conducted RCOI— Supreme utilized the industry-developed CMRT to query for conflict minerals information the suppliers who provide material and components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI.

c.               Completed additional follow-up — Supreme contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date.  We also worked to clarify and validate the information provided by our suppliers.

d.              Identify smelters/processors — Supreme collected a list of smelters/processors that are in our supply chain by utilizing the CMRT.

 

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Step 3: Design and implement a strategy to respond to identified risks

 

We performed the following steps as part of our risk management plan:

 

a.              Designed and implemented a plan — Supreme established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT as well as any additional documentation furnished to support those responses. The resulting risk ratings were used to develop specific supplier outreach and education to address the identified risks.

b.              Verify smelters — As part of the risk mitigation process, the Company reconciled the list of smelters collected from suppliers to the list of smelter facilities designated as “conflict-free” by the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict-Free Smelter Program. We have provided a list of our smelters and their designation according to the CFSI’s Conflict-Free Smelter Program under “Processing Facilities.”

 

Step 4: Carry out independent third-party audit of smelter / refiner’s due diligence practices

 

The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals, as well as the smelters and refiners who provide minerals and ore. The Company does not purchase raw ore or unrefined conflict minerals, and conducts no purchasing activities directly in the Covered Countries. The Company relies upon the smelter or refiner information compiled by the CFSI.

 

Step 5: Report on supply chain due diligence

 

The Company reports on our supply chain due diligence policies and practices by filing a Form SD and Conflict Minerals Report, if necessary, with the SEC, as required. Accordingly, this Conflict Minerals Report has been filed with the SEC and has been made publicly available on our website at www.supremecorp.com.

 

IV.                               Product Description

 

Supreme manufactures specialized commercial vehicles that are attached to a truck chassis, including truck bodies, trolleys, and specialty vehicles.  The truck chassis, which consists of an engine, drivetrain, a frame with wheels, and in some cases a cab, is manufactured by third parties who are major automotive or truck companies.  Supreme integrates a wide range of options into its products including liftgates, back-up cameras, security systems, remote locks, lighting, and refrigeration equipment, and other custom equipment at the request of customers.  Both the chassis and various components of Supreme’s products may contain conflict minerals.

 

V.                                    Product Determination

 

On the basis of the due diligence process described above, the suppliers surveyed identified certain smelters and processors whose sourcing of conflict minerals remains undetermined, as reflected in the list under “Processing Facilities.” Not all of our products contain conflict minerals, nor do all of our products which contain conflict minerals use conflict minerals processed from facilities categorized as undetermined in the list.

 

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Processing Facilities — Based on our due diligence process and the information received from our suppliers, the following facilities may have been used to process conflict minerals used in our products.

 

Metal

 

Smelter Name

 

Country

 

Status

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

JAPAN

 

Conflict-Free

Gold

 

Abington Reldan Metals, LLC

 

UNITED STATES OF AMERICA

 

Not Determined

Tungsten

 

ACL Metais Eireli

 

BRAZIL

 

Not Determined

Gold

 

Advanced Chemical Company

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

Aida Chemical Industries Co., Ltd.

 

JAPAN

 

Conflict-Free

Gold

 

Al Etihad Gold Refinery DMCC

 

UNITED ARAB EMIRATES

 

Conflict-Free

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

GERMANY

 

Conflict-Free

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

UZBEKISTAN

 

Conflict-Free

Tin

 

Alpha

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tin

 

An Thai Minerals Co., Ltd.

 

VIET NAM

 

Not Determined

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

VIET NAM

 

Not Determined

Gold

 

Argor-Heraeus S.A.

 

SWITZERLAND

 

Conflict-Free

Gold

 

Asaka Riken Co., Ltd.

 

JAPAN

 

Conflict-Free

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

VIET NAM

 

Conflict-Free

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

TURKEY

 

Not Determined

Gold

 

AU Traders and Refiners

 

SOUTH AFRICA

 

Conflict-Free

Gold

 

Aurubis AG

 

GERMANY

 

Conflict-Free

Gold

 

Bangalore Refinery

 

INDIA

 

Not Determined

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

PHILIPPINES

 

Conflict-Free

Gold

 

Boliden AB

 

SWEDEN

 

Conflict-Free

Gold

 

C. Hafner GmbH + Co. KG

 

GERMANY

 

Conflict-Free

Gold

 

Caridad

 

MEXICO

 

Not Determined

Gold

 

CCR Refinery - Glencore Canada Corporation

 

CANADA

 

Conflict-Free

Gold

 

Cendres + Métaux S.A.

 

SWITZERLAND

 

Not Determined

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Chimet S.p.A.

 

ITALY

 

Conflict-Free

Tin

 

China Tin Group Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Chugai Mining

 

JAPAN

 

Not Determined

Tin

 

CNMC (Guangxi) PGMA Co., Ltd.

 

CHINA

 

Not Determined

Tantalum

 

Conghua Tantalum and Niobium Smeltry

 

CHINA

 

Conflict-Free

Tin

 

Cooperativa Metalurgica de Rondônia Ltda.

 

BRAZIL

 

Conflict-Free

Tin

 

CV Ayi Jaya

 

INDONESIA

 

Conflict-Free

Tin

 

CV Dua Sekawan

 

INDONESIA

 

Conflict-Free

Tin

 

CV Gita Pesona

 

INDONESIA

 

Conflict-Free

Tin

 

CV Serumpun Sebalai

 

INDONESIA

 

Conflict-Free

 

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Tin

 

CV Tiga Sekawan

 

INDONESIA

 

Conflict-Free

Tin

 

CV United Smelting

 

INDONESIA

 

Conflict-Free

Tin

 

CV Venus Inti Perkasa

 

INDONESIA

 

Conflict-Free

Tantalum

 

D Block Metals, LLC

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

Daejin Indus Co., Ltd.

 

KOREA, REPUBLIC OF

 

Conflict-Free

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

CHINA

 

Not Determined

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

CHINA

 

Not Determined

Gold

 

DODUCO GmbH

 

GERMANY

 

Conflict-Free

Gold

 

Dowa

 

JAPAN

 

Conflict-Free

Gold

 

DSC (Do Sung Corporation)

 

KOREA, REPUBLIC OF

 

Conflict-Free

Tantalum

 

Duoluoshan

 

CHINA

 

Conflict-Free

Gold

 

Eco-System Recycling Co., Ltd.

 

JAPAN

 

Conflict-Free

Tin

 

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

 

VIET NAM

 

Not Determined

Tin

 

EM Vinto

 

BOLIVIA

 

Conflict-Free

Gold

 

Emirates Gold DMCC

 

UNITED ARAB EMIRATES

 

Conflict-Free

Tin

 

Estanho de Rondônia S.A.

 

BRAZIL

 

Not Determined

Tantalum

 

Exotech Inc.

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tantalum

 

F&X Electro-Materials Ltd.

 

CHINA

 

Conflict-Free

Tin

 

Fenix Metals

 

POLAND

 

Conflict-Free

Tantalum

 

FIR Metals & Resource Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Gansu Seemine Material Hi-Tech Co., Ltd.

 

CHINA

 

Not Determined

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

 

CHINA

 

Not Determined

Gold

 

Geib Refining Corporation

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tin

 

Gejiu Fengming Metallurgy Chemical Plant

 

CHINA

 

Conflict-Free

Tin

 

Gejiu Jinye Mineral Company

 

CHINA

 

Conflict-Free

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

CHINA

 

Not Determined

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

CHINA

 

Conflict-Free

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

CHINA

 

Not Determined

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

CHINA

 

Not Determined

Tantalum

 

Global Advanced Metals Aizu

 

JAPAN

 

Conflict-Free

Tantalum

 

Global Advanced Metals Boyertown

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tungsten

 

Global Tungsten & Powders Corp.

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

CHINA

 

Not Determined

Gold

 

Guangdong Jinding Gold Limited

 

CHINA

 

Not Determined

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

CHINA

 

Conflict-Free

Tin

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

CHINA

 

Conflict-Free

 

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Gold

 

Gujarat Gold Centre

 

INDIA

 

Not Determined

Gold

 

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

 

CHINA

 

Not Determined

Tantalum

 

H.C. Starck Co., Ltd.

 

THAILAND

 

Conflict-Free

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

GERMANY

 

Conflict-Free

Tantalum

 

H.C. Starck Inc.

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tantalum

 

H.C. Starck Ltd.

 

JAPAN

 

Conflict-Free

Tantalum

 

H.C. Starck Smelting GmbH & Co. KG

 

GERMANY

 

Conflict-Free

Tantalum

 

H.C. Starck Tantalum and Niobium GmbH

 

GERMANY

 

Conflict-Free

Tungsten

 

H.C. Starck Tungsten GmbH

 

GERMANY

 

Conflict-Free

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

CHINA

 

Not Determined

Gold

 

Heimerle + Meule GmbH

 

GERMANY

 

Conflict-Free

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Heraeus Metals Hong Kong Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

GERMANY

 

Conflict-Free

Tantalum

 

Hi-Temp Specialty Metals, Inc.

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tin

 

HuiChang Hill Tin Industry Co., Ltd.

 

CHINA

 

Conflict-Free

Tin

 

Huichang Jinshunda Tin Co., Ltd.

 

CHINA

 

Not Determined

Gold

 

Hunan Chenzhou Mining Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

CHINA

 

Conflict-Free

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

HwaSeong CJ Co., Ltd.

 

KOREA (REPUBLIC OF)

 

Not Determined

Tungsten

 

Hydrometallurg, JSC

 

RUSSIAN FEDERATION

 

Conflict-Free

Gold

 

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

 

CHINA

 

Conflict-Free

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

JAPAN

 

Conflict-Free

Gold

 

Istanbul Gold Refinery

 

TURKEY

 

Conflict-Free

Gold

 

Japan Mint

 

JAPAN

 

Conflict-Free

Tungsten

 

Japan New Metals Co., Ltd.

 

JAPAN

 

Conflict-Free

Tungsten

 

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

 

CHINA

 

Conflict-Free

Gold

 

Jiangxi Copper Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

 

CHINA

 

Not Determined

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Tin

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

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

 

CHINA

 

Not Determined

Tungsten

 

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

 

CHINA

 

Conflict-Free

Tantalum

 

Jiangxi Tuohong New Raw Material

 

CHINA

 

Conflict-Free

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

CHINA

 

Conflict-Free

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

CHINA

 

Conflict-Free

 

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Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

RUSSIAN FEDERATION

 

Conflict-Free

Gold

 

JSC Uralelectromed

 

RUSSIAN FEDERATION

 

Conflict-Free

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

JAPAN

 

Conflict-Free

Gold

 

Kazakhmys Smelting LLC

 

KAZAKHSTAN

 

Not Determined

Gold

 

Kazzinc

 

KAZAKHSTAN

 

Conflict-Free

Tantalum

 

KEMET Blue Metals

 

MEXICO

 

Conflict-Free

Tantalum

 

KEMET Blue Powder

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tungsten

 

Kennametal Fallon

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tungsten

 

Kennametal Huntsville

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

Kennecott Utah Copper LLC

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

KGHM Polska Miedź Spółka Akcyjna

 

POLAND

 

Not Determined

Tantalum

 

King-Tan Tantalum Industry Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Kojima Chemicals Co., Ltd.

 

JAPAN

 

Conflict-Free

Gold

 

Korea Zinc Co., Ltd.

 

KOREA, REPUBLIC OF

 

Conflict-Free

Gold

 

Kyrgyzaltyn JSC

 

KYRGYZSTAN

 

Conflict-Free

Gold

 

Lingbao Gold Company Limited

 

CHINA

 

Not Determined

Gold

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

CHINA

 

Not Determined

Tantalum

 

LSM Brasil S.A.

 

BRAZIL

 

Conflict-Free

Gold

 

LS-NIKKO Copper Inc.

 

KOREA, REPUBLIC OF

 

Conflict-Free

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

CHINA

 

Not Determined

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.

 

BRAZIL

 

Conflict-Free

Tin

 

Malaysia Smelting Corporation (MSC)

 

MALAYSIA

 

Conflict-Free

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Materion

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

Matsuda Sangyo Co., Ltd.

 

JAPAN

 

Conflict-Free

Tin

 

Melt Metais e Ligas S.A.

 

BRAZIL

 

Conflict-Free

Tin

 

Metallic Resources, Inc.

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tin

 

Metallo Belgium N.V.

 

BELGIUM

 

Conflict-Free

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

INDIA

 

Conflict-Free

Gold

 

Metalúrgica Met-Mex Peñoles S.A. De C.V.

 

Mexico

 

Conflict-Free

Tin

 

Mineração Taboca S.A.

 

BRAZIL

 

Conflict-Free

Tin

 

Minsur

 

PERU

 

Conflict-Free

Gold

 

Mitsubishi Materials Corporation

 

JAPAN

 

Conflict-Free

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

JAPAN

 

Conflict-Free

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

INDIA

 

Conflict-Free

Gold

 

Modeltech Sdn Bhd

 

MALAYSIA

 

Not Determined

Tungsten

 

Moliren Ltd

 

RUSSIAN FEDERATION

 

Conflict-Free

Gold

 

Morris and Watson

 

NEW ZEALAND

 

Not Determined

Gold

 

Moscow Special Alloys Processing Plant

 

RUSSIAN FEDERATION

 

Conflict-Free

Gold

 

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

 

TURKEY

 

Conflict-Free

 

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Tin

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

CHINA

 

Not Determined

Gold

 

Navoi Mining and Metallurgical Combinat

 

UZBEKISTAN

 

Not Determined

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

VIET NAM

 

Not Determined

Tungsten

 

Niagara Refining LLC

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

Nihon Material Co., Ltd.

 

JAPAN

 

Conflict-Free

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

CHINA

 

Conflict-Free

Tantalum

 

NPM Silmet AS

 

ESTONIA

 

Conflict-Free

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

VIET NAM

 

Conflict-Free

Tin

 

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

 

THAILAND

 

Conflict-Free

Tin

 

O.M. Manufacturing Philippines, Inc.

 

PHILIPPINES

 

Conflict-Free

Gold

 

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

 

AUSTRIA

 

Conflict-Free

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

JAPAN

 

Conflict-Free

Gold

 

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

 

RUSSIAN FEDERATION

 

Conflict-Free

Gold

 

OJSC Novosibirsk Refinery

 

RUSSIAN FEDERATION

 

Conflict-Free

Tin

 

Operaciones Metalurgical S.A.

 

BOLIVIA

 

Conflict-Free

Gold

 

PAMP S.A.

 

SWITZERLAND

 

Conflict-Free

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

CHINA

 

Not Determined

Tungsten

 

Philippine Chuangxin Industrial Co., Inc.

 

PHILIPPINES

 

Conflict-Free

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

RUSSIAN FEDERATION

 

Conflict-Free

Gold

 

PT Aneka Tambang (Persero) Tbk

 

INDONESIA

 

Conflict-Free

Tin

 

PT Aries Kencana Sejahtera

 

INDONESIA

 

Conflict-Free

Tin

 

PT Artha Cipta Langgeng

 

INDONESIA

 

Conflict-Free

Tin

 

PT ATD Makmur Mandiri Jaya

 

INDONESIA

 

Conflict-Free

Tin

 

PT Babel Inti Perkasa

 

INDONESIA

 

Conflict-Free

Tin

 

PT Bangka Prima Tin

 

INDONESIA

 

Conflict-Free

Tin

 

PT Bangka Tin Industry

 

INDONESIA

 

Conflict-Free

Tin

 

PT Belitung Industri Sejahtera

 

INDONESIA

 

Conflict-Free

Tin

 

PT Bukit Timah

 

INDONESIA

 

Conflict-Free

Tin

 

PT DS Jaya Abadi

 

INDONESIA

 

Conflict-Free

Tin

 

PT Eunindo Usaha Mandiri

 

INDONESIA

 

Conflict-Free

Tin

 

PT Inti Stania Prima

 

INDONESIA

 

Conflict-Free

Tin

 

PT Karimun Mining

 

INDONESIA

 

Conflict-Free

Tin

 

PT Kijang Jaya Mandiri

 

INDONESIA

 

Conflict-Free

Tin

 

PT Mitra Stania Prima

 

INDONESIA

 

Conflict-Free

Tin

 

PT O.M. Indonesia

 

INDONESIA

 

Conflict-Free

Tin

 

PT Panca Mega Persada

 

INDONESIA

 

Conflict-Free

Tin

 

PT Prima Timah Utama

 

INDONESIA

 

Conflict-Free

Tin

 

PT Refined Bangka Tin

 

INDONESIA

 

Conflict-Free

Tin

 

PT Sariwiguna Binasentosa

 

INDONESIA

 

Conflict-Free

Tin

 

PT Stanindo Inti Perkasa

 

INDONESIA

 

Conflict-Free

Tin

 

PT Sukses Inti Makmur

 

INDONESIA

 

Conflict-Free

 

9



 

Tin

 

PT Sumber Jaya Indah

 

INDONESIA

 

Conflict-Free

Tin

 

PT Timah (Persero) Tbk Kundur

 

INDONESIA

 

Conflict-Free

Tin

 

PT Timah (Persero) Tbk Mentok

 

INDONESIA

 

Conflict-Free

Tin

 

PT Tinindo Inter Nusa

 

INDONESIA

 

Conflict-Free

Tin

 

PT Tommy Utama

 

INDONESIA

 

Conflict-Free

Gold

 

PX Précinox S.A.

 

SWITZERLAND

 

Conflict-Free

Tantalum

 

QuantumClean

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

Rand Refinery (Pty) Ltd.

 

SOUTH AFRICA

 

Conflict-Free

Gold

 

Remondis Argentia B.V.

 

NETHERLANDS

 

Not Determined

Gold

 

Republic Metals Corporation

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tin

 

Resind Indústria e Comércio Ltda.

 

BRAZIL

 

Conflict-Free

Gold

 

Royal Canadian Mint

 

CANADA

 

Conflict-Free

Tin

 

Rui Da Hung

 

TAIWAN

 

Conflict-Free

Gold

 

SAAMP

 

FRANCE

 

Not Determined

Gold

 

Sabin Metal Corp.

 

UNITED STATES OF AMERICA

 

Not Determined

Gold

 

SAFINA A.S.

 

CZECH REPUBLIC

 

Not Determined

Gold

 

Sai Refinery

 

INDIA

 

Not Determined

Gold

 

Samduck Precious Metals

 

KOREA, REPUBLIC OF

 

Conflict-Free

Gold

 

Samwon Metals Corp.

 

KOREA (REPUBLIC OF)

 

Not Determined

Gold

 

SAXONIA Edelmetalle GmbH

 

GERMANY

 

Conflict-Free

Gold

 

Schone Edelmetaal B.V.

 

NETHERLANDS

 

Conflict-Free

Gold

 

SEMPSA Joyería Platería S.A.

 

SPAIN

 

Conflict-Free

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

CHINA

 

Not Determined

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Singway Technology Co., Ltd.

 

TAIWAN

 

Conflict-Free

Gold

 

So Accurate Group, Inc.

 

UNITED STATES OF AMERICA

 

Not Determined

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

RUSSIAN FEDERATION

 

Conflict-Free

Tin

 

Soft Metais Ltda.

 

BRAZIL

 

Conflict-Free

Gold

 

Solar Applied Materials Technology Corp.

 

TAIWAN

 

Conflict-Free

Tantalum

 

Solikamsk Magnesium Works OAO

 

RUSSIAN FEDERATION

 

Conflict-Free

Tungsten

 

South-East Nonferrous Metal Company Limited of Hengyang City

 

CHINA

 

Conflict-Free

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

JAPAN

 

Conflict-Free

Gold

 

T.C.A S.p.A

 

ITALY

 

Conflict-Free

Tantalum

 

Taki Chemical Co., Ltd.

 

JAPAN

 

Conflict-Free

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

JAPAN

 

Conflict-Free

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

VIET NAM

 

Conflict-Free

Tantalum

 

Telex Metals

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tin

 

Thaisarco

 

THAILAND

 

Conflict-Free

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Tokuriki Honten Co., Ltd.

 

JAPAN

 

Conflict-Free

 

10



 

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

CHINA

 

Not Determined

Gold

 

TOO Tau-Ken-Altyn

 

KAZAKHSTAN

 

Not Determined

Gold

 

Torecom

 

KOREA, REPUBLIC OF

 

Conflict-Free

Tantalum

 

Tranzact, Inc.

 

UNITED STATES OF AMERICA

 

Conflict-Free

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

VIET NAM

 

Not Determined

Tantalum

 

Ulba Metallurgical Plant JSC

 

KAZAKHSTAN

 

Conflict-Free

Gold

 

Umicore Brasil Ltda.

 

BRAZIL

 

Conflict-Free

Gold

 

Umicore Precious Metals Thailand

 

THAILAND

 

Conflict-Free

Gold

 

Umicore S.A. Business Unit Precious Metals Refining

 

BELGIUM

 

Conflict-Free

Tungsten

 

Unecha Refractory metals plant

 

RUSSIAN FEDERATION

 

Conflict-Free

Gold

 

United Precious Metal Refining, Inc.

 

UNITED STATES OF AMERICA

 

Conflict-Free

Gold

 

Valcambi S.A.

 

SWITZERLAND

 

Conflict-Free

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

VIET NAM

 

Conflict-Free

Tin

 

VQB Mineral and Trading Group JSC

 

VIET NAM

 

Conflict-Free

Gold

 

Western Australian Mint (T/a The Perth Mint)

 

AUSTRALIA

 

Conflict-Free

Tin

 

White Solder Metalurgia e Mineração Ltda.

 

BRAZIL

 

Conflict-Free

Gold

 

WIELAND Edelmetalle GmbH

 

GERMANY

 

Conflict-Free

Tungsten

 

Wolfram Bergbau und Hütten AG

 

AUSTRIA

 

Conflict-Free

Tungsten

 

Woltech Korea Co., Ltd.

 

KOREA, REPUBLIC OF

 

Conflict-Free

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

 

CHINA

 

Conflict-Free

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

CHINA

 

Conflict-Free

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Yamamoto Precious Metal Co., Ltd.

 

JAPAN

 

Conflict-Free

Tantalum

 

Yanling Jincheng Tantalum Co., Ltd.

 

CHINA

 

Conflict-Free

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Yokohama Metal Co., Ltd.

 

JAPAN

 

Conflict-Free

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

CHINA

 

Not Determined

Gold

 

Yunnan Copper Industry Co., Ltd.

 

CHINA

 

Not Determined

Tin

 

Yunnan Tin Company Limited

 

CHINA

 

Conflict-Free

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

CHINA

 

Conflict-Free

Tantalum

 

Zhuzhou Cemented Carbide Group Co., Ltd.

 

CHINA

 

Conflict-Free

Gold

 

Gold Refinery of Zijin Mining Group Co., Ltd.

 

CHINA

 

Conflict-Free

 

11



 

VI.                               Future Due Diligence

 

We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we intend to continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.

 

In addition to those above, the Company will undertake the following steps during the next compliance period:

 

·                       Review the Company’s conflict minerals policy statement and update if necessary. Continue to collect responses from suppliers using the most recent version of the CMRT.

·                       Engage with suppliers that provided incomplete responses in 2016, to enhance our data collection for 2017.

·                       Monitor and track performance of risk mitigation efforts.

·                       Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSI.

·                       Continue to allow verified conflict-free material from the region to enter our supply chain.

 

VII.                          Independent Private Sector Audit

 

Not required for calendar year 2016.

 

VIII. Forward-Looking Statements

 

This report contains “forward looking statements” as defined by the Private Securities Litigation Reform Act of 1995 regarding Supreme’s plans to take additional actions as set forth in this report, including, but not limited to, under “Future Due Diligence.” Supreme’s reporting obligations under the Dodd-Frank Act may change in the future, and its ability to implement certain processes may differ materially from those anticipated or implied in this report. Supreme undertakes no obligation to update any forward looking statement or statements to reflect events or circumstances after the date on which such statement is made.

 

12