0000351998-20-000009.txt : 20200529 0000351998-20-000009.hdr.sgml : 20200529 20200529084511 ACCESSION NUMBER: 0000351998-20-000009 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20191231 FILED AS OF DATE: 20200529 DATE AS OF CHANGE: 20200529 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DATA I/O CORP CENTRAL INDEX KEY: 0000351998 STANDARD INDUSTRIAL CLASSIFICATION: INSTRUMENTS FOR MEAS & TESTING OF ELECTRICITY & ELEC SIGNALS [3825] IRS NUMBER: 910864123 STATE OF INCORPORATION: WA FISCAL YEAR END: 1211 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 000-10394 FILM NUMBER: 20924161 BUSINESS ADDRESS: STREET 1: 6645 185TH AVE NE, SUITE 100 CITY: REDMOND STATE: WA ZIP: 98052 BUSINESS PHONE: 4258676922 MAIL ADDRESS: STREET 1: 6645 185TH AVE NE, SUITE 100 CITY: REDMOND STATE: WA ZIP: 98052 SD 1 fsd2019daio.htm fsd2019daio.htm - Generated by SEC Publisher for SEC Filing

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form SD

 

SPECIALIZED DISCLOSURE REPORT

 

 

 

Data I/O Corporation

(Exact Name of Registrant as Specified in Charter)

 

 
         

 

 

 

 

 

Washington

 

0-10394

 

91-0864123

(State or Other Jurisdiction of Incorporation)

 

(Commission File Number)

 

(IRS Employer Identification Number)

 

 
       

 

6645 185th Ave. NE, Suite 100, Redmond, WA

 

98052

 

(Address of Principal Executive Offices)

 

(Zip Code)

 

 

 

 
     

Joel Hatlen

 

(425) 881-6444

 (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:

 

ý Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019.

 


 
 

 


 

 

Section 1 – Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report, Exhibit

Data I/O Corporation evaluated its current product lines and determined that certain products we manufacture or contract to manufacture contain one or more necessary conflict minerals consisting of: tin, tungsten, tantalum and/or gold (3TG).  Our reasonable country of origin inquiry surveys of our suppliers determined that we are unable to determine the country of origin of the 3TG contained in our products, and as a result we have filed a Conflict Minerals Report.

 

Conflict Minerals Report

A copy of Data I/O Corporation's Form SD including our Conflict Minerals Report is publicly available at:

http://www.dataio.com/en-us/company/investorrelations/financialreports.aspx

 

Item 1.01 Exhibit

 

A copy of Data I/O Corporation's Conflict Minerals Report is provided as Exhibit 1.01

 

Section 2 – Exhibits

Item 2.01 Exhibits

 

The following exhibit is filed as part of this report:

Exhibit 1.01 — Conflict Minerals Report as required by Item 1.01 of this Form.

 

 


 

 

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.

 

Data I/O Corporation

(Registrant)

 

 

/s/ Joel S. Hatlen

By Joel S. Hatlen, Vice President & Chief Financial Officer

May 29, 2020

 

 

 

 

EX-1.01 2 fsd_exhibit101.htm fsd_exhibit101.htm - Generated by SEC Publisher for SEC Filing

Exhibit 1.01

 Data I/O Corporation’s Conflict Minerals Report

in Accordance with Rule 13p-1 under the Securities Exchange Act of 1934

This is the Conflict Minerals Report of Data I/O Corporation (“Data I/O,” the “Company,” “we,” “us,” or “our”) and subsidiaries for calendar year 2019 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”).  Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise defined herein.

Company and Manufacturing Overview

Data I/O Corporation and its subsidiaries manufacture or contract to manufacture electronic equipment used primarily in our customer’s production process for semiconductor programming and handling.  We had approximately $22.5 million in revenue in 2019, with 96 employees at the end of 2019.  Our manufacturing takes place in Redmond, Washington, USA; Shanghai, China; and minor amounts in Gräfelfing, Germany.  Our manufacturing primarily consists of final assembly of purchased parts and subassemblies.  We contract for the manufacture of certain subassemblies, boards and adapters.

Assessment of Products

We assessed our products to determine if they contained necessary conflict minerals.  We determined our software products did not contain conflict minerals.  Our equipment products (SentriX, PSV7000, PSV5000, PSV3000, PSV2800, ProLine RoadRunner, RoadRunner3, FlashPAK III, LumenX programmers, FlashCORE programmers, and related options for media handling, vision, laser marking, and adapters) all include one or more necessary conflict minerals.

Process

An internal team sponsored by our Vice President - Chief Operating & Financial Officer and driven by our internal supply chain and administrative personnel from each of our USA, China and German offices works to gather the information to prepare our Conflict Mineral Report.

We reviewed our conflict mineral policy and the use of a due diligence framework.  We developed a supplier contact and survey process and reviewed supply chain risk and mitigation.  We maintain a documentation management information system and records retention to comply with the conflict mineral reporting requirements. Steps are described in more detail below.

Conflict Minerals Policy

Data I/O is committed to working with our global supply chain to achieve greater transparency in our supply chain.  Our goal is to source responsibly to manufacture products that do not contain Conflict Minerals that support armed conflict in any of the Covered Countries.  As a result, we have established a conflict minerals compliance program that is designed to follow the framework established by the OECD in all material respects.  As part of that program, we expect that our suppliers conduct conflict minerals due diligence through their supply chains and report their results to us.


 

Due Diligence Framework

In conducting our due diligence, we implemented the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD 2011) (“OECD Framework”), an internationally recognized due diligence frame work, including the related supplements on gold, tin, tantalum and tungsten.

As an electronics manufacturer, Data I/O’s due diligence measures were based on the Electronic Industry Citizenship Coalition and Global e-Sustainability (“EICC/GeSI”) initiative with the smelters and refiners of conflict minerals who provide those conflict minerals to our suppliers.  As a company in the semiconductor programming equipment business, Data I/O is several levels removed from the smelter or actual mining of conflict minerals.  Data I/O does not make direct purchases of raw ore or unrefined conflict minerals from smelters or metal traders, or purchases from the Covered Countries.  We depend entirely on our multi-tiered supply chain to provide conflict mineral sourcing information.

Data I/O’s Due Diligence

 

-

Assessed our products as to whether they contained conflict minerals and if so, that the conflict minerals were necessary to the function of the products.  All of our equipment products contain one or more necessary conflict minerals.

-

Contacted our suppliers and interviewed or surveyed them regarding their conflict mineral sourcing as well as reviewing their supply-chain for items including conflict minerals. This involved educating them on the annual SEC reporting requirements and our due diligence expectations.  

-

Reasonable country of origin inquiry and due diligence by conducting a supply-chain survey with direct suppliers of materials potentially containing conflict minerals using updated EICC/GeSI Conflict Minerals Reporting Template to identify the smelters and refiners. Our production supplier list had 15 that we determined had no conflict mineral metals.  We requested surveys from a total of 161.  We received completed surveys from 79;  letters of inapplicability from 14; and no response from 53 despite follow-ups. This included follow up on identified discrepancies of reported smelter information and no responses to our survey request. We experienced slightly lower levels of survey compliance and higher follow up difficulties, which we attributed in part to supply chain plant closures as well as others working remotely related to impacts of COVID-19.

-

 

Consolidating the survey information and comparing the smelters and refiners identified in the supply-chain survey against the list of smelter facilities which have been identified as “conflict free” by programs such as the RMI’s Responsible Minerals Assurance Process (RMAP) program for tantalum, tin, tungsten and gold. Significant variation in the names used by suppliers and  missing data in certain surveys of smelter listings from our suppliers impacted our ability to have clarity on the identity of the actual smelter sourced by our supply chain in some instances.

Data I/O does not have a direct relationship with 3TG smelters and refiners, nor do we perform direct audits of these entities that provide our supply chain the 3TG. We rely upon the industry (for example, EICC and CFSI) and larger entities’ efforts to influence smelters and refineries to get audited and certified through CFSI’s CFS program.

Certain suppliers were able to identify specifically the smelters or refiners of Conflict Minerals that went into parts supplied to us.  We typically were not able to receive tailored information relative to the parts we purchased but received generically all possible smelter information for our supplier’s entire supply chain. These responses included the names of smelters or refiners listed in the table below.  We reviewed the facilities as to being on the CFSI list of smelters and refiners.   We were not able to verify that all of the smelters or refiners named were certified Conflict-Free by CSFI, sometimes due to differences in names used by smelters or refiners.


 

With the exception of the responding suppliers described above, we are therefore unable to identify any of the other smelters or refiners actually in our supply chain.

Our identified smelter, facility country and metal table is provided at the bottom of this report.

Conflict Mineral Reporting Conclusion

After exercising the due diligence described above, the Company was unable to determine whether or not its products contain conflict minerals: (1) from recycled or scrap sources as defined in the Conflict Minerals Rule, (2) that did not originate in the Covered Countries, or (3) that did not directly or indirectly finance or benefit armed groups, as defined in the Conflict Minerals Rule, in the Covered Countries.

Our conclusion was due to a lack of information from our suppliers, regarding sourcing of parts and metals with conflict mineral content, required to conclude whether the necessary conflict minerals originated in the Covered Countries and, if so, whether the necessary conflict minerals were from recycle or scrap sources, were DRC conflict free or have not been found to be DRC conflict free.

Independent Audit

 

Pursuant to SEC guidance, this Conflict Mineral Report is not audited as none of the Company’s products have been found to be “DRC conflict free”.

Current and Future Steps

We continue to follow up with existing and new suppliers on completing and expanding surveys and working with their supply chains to identify the sourcing of conflict minerals.  For the purpose of the required Reasonable Country of Origin Inquiry (RCOI) and additional due diligence, we continued to receive supply chain responses through May 22, 2020.  In future compliance periods, we intend to take additional steps to further improve the information gathered in our due diligence in order to further determine sourcing, and mitigate the risk that the necessary conflict minerals benefit armed groups in the covered countries.  The current and future steps include:

 

-

Increase the response rate and completeness of suppliers’ smelters surveys, especially with the supply-chain of suppliers to our suppliers. Make the Conflict Minerals supplier survey part of initial qualification of new vendors. (This was put in place in 2017.)

-

Perform further follow-up on survey response’s information discrepancies, missing data,  or refinement for our purchases. (Limited progress in getting refined smelter information or specific smelters related to Data I/O purchases information in 2019.)

-

Encourage and negotiate with suppliers to responsibly source items containing conflict minerals and provide transparency with their supply-chain as to conflict mineral sourcing. (We continue to have weak negotiating leverage regarding obtaining smelter information from our from our suppliers, due to our size and volume of purchasing, and the volume of suppliers not individually subject to reporting to the SEC, resulted in limited transparency improvements in 2019.)

Starting the survey follow up and cut off process earlier to provide more reconciliation and investigation time as well as avoiding some of this year’s problems related to inaccessibility to some supply chain members due to Covid-19 restrictions.




 

We expect the Company and our suppliers whose products contain conflict minerals to responsibly source and provide information as to the source of conflict minerals, as well as expecting their sub tier suppliers to do the same.  We expect that conflict mineral RCOI processes and systems are designed consistent with the Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- Affected and High Risk-Areas.  If we determine that any supplier is sourcing DRC conflict minerals that benefit armed groups, then we expect the supplier to commit to plan and take corrective action to move to a conflict free source.  If suitable action is not taken, we expect to look to alternative sources for the product.  Our goal is not to ban procurement of minerals from the DRC and adjoining countries, but to assure procurement from responsible sources in the region.  If we determine that any of the components of our products contain minerals from a mine, smelter or facility that is “non-conflict free”, we expect to work towards transitioning to products that are “conflict free”.  Our ability to do so is dependent on the criticality of the specific part and the availability of alternative suppliers.

 

Identified Smelter, Facility Country and Metal Table

 

Smelter Name

Smelter Country

Metal

 

 

 

8853 S.p.A.

ITALY

Gold

Abington Reldan Metals, LLC

UNITED STATES OF AMERICA

Gold

Advanced Chemical Company

UNITED STATES OF AMERICA

Gold

African Gold Refinery

UGANDA

Gold

AGR Mathey

AUSTRALIA

Gold

Aida Chemical Industries Co., Ltd.

JAPAN

Gold

Aktyubinsk Copper Company TOO

KAZAKHSTAN

Gold

Al Etihad Gold LLC

UNITED ARAB EMIRATES

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

Gold

Amagasaki Factory, Hyogo Prefecture, Japan

JAPAN

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

BRAZIL

Gold

Argor-Heraeus S.A.

SWITZERLAND

Gold

Asahi Pretec Corp.

JAPAN

Gold

Asahi Refining Canada Ltd.

CANADA

Gold

Asahi Refining USA Inc.

UNITED STATES OF AMERICA

Gold

Asaka Riken Co., Ltd.

JAPAN

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

Gold

AU Traders and Refiners

SOUTH AFRICA

Gold

AURA-II

UNITED STATES OF AMERICA

Gold

Aurubis AG

GERMANY

Gold

Bangalore Refinery

INDIA

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

Gold

Bauer Walser AG

GERMANY

Gold

Boliden AB

SWEDEN

Gold

C. Hafner GmbH + Co. KG

GERMANY

Gold

C.I Metales Procesados Industriales SAS

COLOMBIA

Gold

Caridad

MEXICO

Gold

CCR Refinery - Glencore Canada Corporation

CANADA

Gold

Cendres + Metaux S.A.

SWITZERLAND

Gold

CGR Metalloys Pvt Ltd.

INDIA

Gold

Chimet S.p.A.

ITALY

Gold

China Henan Zhongyuan Gold Smelter

CHINA

Gold

China's Shandong Gold Mining Co., Ltd

CHINA

Gold

Chugai Mining

JAPAN

Gold

Codelco

CHILE

Gold

Colt Refining

UNITED STATES

Gold

Daejin Indus Co., Ltd.

KOREA, REPUBLIC OF

Gold

DaeryongENC

KOREA, REPUBLIC OF

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

Gold

Degussa Sonne / Mond Goldhandel GmbH

GERMANY

Gold

Dijllah Gold Refinery FZC

UNITED ARAB EMIRATES

Gold

DODUCO Contacts and Refining GmbH

GERMANY

Gold

Dowa Metals & Mining Co. Ltd

JAPAN

Gold

DS PRETECH Co., Ltd.

KOREA, REPUBLIC OF

Gold

DSC (Do Sung Corporation)

KOREA, REPUBLIC OF

Gold

Eco-System Recycling Co., Ltd.

JAPAN

Gold

Eco-System Recycling Co., Ltd. North Plant

JAPAN

Gold

Eco-System Recycling Co., Ltd. West Plant

JAPAN

Gold

Elemetal Refining, LLC

RUSSIAN FEDERATION

Gold

Elemetal Refining, LLC

UNITED STATES OF AMERICA

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

Gold

Faggi Enrico S.p.A.

Thailand

Gold

Fidelity Printers and Refiners Ltd.

ZIMBABWE

Gold

FSE Novosibirsk Refinery

RUSSIAN FEDERATION

Gold

Fujairah Gold FZC

UNITED ARAB EMIRATES

Gold

Fujian Zijin mining stock company gold smelter

CHINA

Gold

GCC Gujrat Gold Centre Pvt. Ltd.

INDIA

Gold

Geib Refining Corporation

UNITED STATES OF AMERICA

Gold

Gold Coast Refinery

GHANA

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

CHINA

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

Gold

Guangdong Jinding Gold Limited

CHINA

Gold

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

CHINA

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

Gold

HeeSung Metal Ltd.

KOREA, REPUBLIC OF

Gold

Heimerle + Meule GmbH

GERMANY

Gold

Henan Yuguang Gold & Lead Co., Ltd.

CHINA

Gold

Heraeus Ltd. Hong Kong

CHINA

Gold

Heraeus Precious Metals GmbH & Co. KG

GERMANY

Gold

House of Currency of Brazil (Casa da Moeda do Brazil)

Brazil

Gold

Hunan Chenzhou Mining Co., Ltd.

CHINA

Gold

Hunan Chenzhou Mining Group Co., Ltd.

CHINA

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

CHINA

Gold

HwaSeong CJ CO., LTD.

KOREA, REPUBLIC OF

Gold

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

CHINA

Gold

International Precious Metal Refiners

UNITED ARAB EMIRATES

Gold

Ishifuku Metal Industry Co., Ltd.

JAPAN

Gold

Italpreziosi

ITALY

Gold

JALAN & Company

INDIA

Gold

Japan Mint

JAPAN

Gold

JCC

CHINA

Gold

Jiangxi Copper Co., Ltd.

CHINA

Gold

Johnson Matthey Canada

CANADA

Gold

Johnson Matthey Inc.

UNITED STATES

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

Gold

K.A.Rasmussen as

NORWAY

Gold

Kaloti Precious Metals

UNITED ARAB EMIRATES

Gold

Kazakhmys Smelting LLC

KAZAKHSTAN

Gold

Kazzinc

KAZAKHSTAN

Gold

Kennecott Utah Copper LLC

UNITED STATES

Gold

KGHM Polska Miedz Spolka Akcyjna

POLAND

Gold

Kojima Chemicals Co., Ltd.

JAPAN

Gold

Korea Metal Co., Ltd.

South Korea

Gold

Korea Zinc Co., Ltd.

KOREA, REPUBLIC OF

Gold

Kosak Seiren

Japan

Gold

Kundan Care Products Ltd.

INDIA

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

Gold

Kyshtym Copper-Electrolytic Plant ZAO

RUSSIAN FEDERATION

Gold

L'azurde Company For Jewelry

SAUDI ARABIA

Gold

Lingbao Gold Co., Ltd.

CHINA

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CHINA

Gold

L'Orfebre S.A.

ANDORRA

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CHINA

Gold

Marsam Metals

BRAZIL

Gold

Materion

UNITED STATES

Gold

Matsuda Sangyo Co., Ltd.

JAPAN

Gold

MEM(Sumitomo Group)

JAPAN

Gold

Metahub Industries Sdn. Bhd.

MALAYSIA

Gold

Metalor Switzerland

SWITZERLAND

Gold

Metalor Technologies (Hong Kong) Ltd.

CHINA

Gold

Metalor Technologies (Singapore) Pte., Ltd.

SINGAPORE

Gold

Metalor Technologies (Suzhou) Ltd.

CHINA

Gold

Metalor Technologies S.A.

SWITZERLAND

Gold

Metalor USA Refining Corporation

UNITED STATES

Gold

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

MEXICO

Gold

Mitsubishi Materials Corporation

JAPAN

Gold

Mitsui Kinzoku Co., Ltd.

JAPAN

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

Gold

Modeltech Sdn Bhd

MALAYSIA

Gold

Morris and Watson

NEW ZEALAND

Gold

Morris and Watson Gold Coast

AUSTRALIA

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

Gold

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

TURKEY

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

Gold

NH Recytech Company

KOREA, REPUBLIC OF

Gold

Nihon Material Co., Ltd.

JAPAN

Gold

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

AUSTRIA

Gold

Ohura Precious Metal Industry Co., Ltd.

JAPAN

Gold

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

RUSSIAN FEDERATION

Gold

PAMP S.A.

SWITZERLAND

Gold

Pease & Curren

UNITED STATES OF AMERICA

Gold

Penglai Penggang Gold Industry Co., Ltd.

CHINA

Gold

Planta Recuperadora de Metales SpA

CHILE

Gold

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

Gold

PT Aneka Tambang (Persero) Tbk

INDONESIA

Gold

PX Precinox S.A.

SWITZERLAND

Gold

QG Refining, LLC

UNITED STATES OF AMERICA

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

Gold

Refinery of Seemine Gold Co., Ltd.

CHINA

Gold

Remondis Argentia B.V.

NETHERLANDS

Gold

REMONDIS PMR B.V.

NETHERLANDS

Gold

Republic Metals Corporation

UNITED STATES OF AMERICA

Gold

Republic Metals Corporation

UNITED STATES OF AMERICA

Gold

Royal Canadian Mint

CANADA

Gold

SAAMP

FRANCE

Gold

Sabin Metal Corp.

UNITED STATES OF AMERICA

Gold

Safimet S.p.A

ITALY

Gold

SAFINA A.S.

CZECH REPUBLIC

Gold

Sai Refinery

INDIA

Gold

Samduck Precious Metals

KOREA, REPUBLIC OF

Gold

Samwon Metals Corp.

KOREA, REPUBLIC OF

Gold

SAXONIA Edelmetalle GmbH

GERMANY

Gold

Schone Edelmetaal B.V.

NETHERLANDS

Gold

SEMPSA Joyeria Plateria S.A.

SPAIN

Gold

Shandong Humon Smelting Co., Ltd.

CHINA

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CHINA

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CHINA

Gold

Shenzhen Zhonghenglong Real Industry Co., Ltd.

CHINA

Gold

Shirpur Gold Refinery Ltd.

INDIA

Gold

Shonan Plant Tanaka Kikinzoku

JAPAN

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

Gold

Singway Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

Gold

So Accurate Group, Inc.

UNITED STATES OF AMERICA

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

Gold

Solar Applied Materials Technology Corp.

TAIWAN

Gold

Sovereign Metals

INDIA

Gold

State Research Institute Center for Physical Sciences and Technology

LITHUANIA

Gold

Sudan Gold Refinery

SUDAN

Gold

Sumitomo Metal Mining Co., Ltd.

JAPAN

Gold

SungEel HiMetal Co., Ltd.

KOREA, REPUBLIC OF

Gold

Super Dragon Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

Gold

Super Dragon Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

Gold

T.C.A S.p.A

ITALY

Gold

Tanaka Kikinzoku Kogyo K.K.

JAPAN

Gold

The Perth Mint

AUSTRALIA

Gold

The Refinery of Shandong Gold Mining Co., Ltd.

CHINA

Gold

Tokuriki Honten Co., Ltd.

JAPAN

Gold

Tongling Nonferrous Metals Group Co., Ltd.

CHINA

Gold

Tony Goetz NV

BELGIUM

Gold

TOO Tau-Ken-Altyn

KAZAKHSTAN

Gold

Torecom

KOREA, REPUBLIC OF

Gold

Toyo Smelter & Refinery

JAPAN

Gold

Umicore Brasil Ltda.

BRAZIL

Gold

Umicore Precious Metals Thailand

THAILAND

Gold

Umicore S.A. Business Unit Precious Metals Refining

BELGIUM

Gold

United Precious Metal Refining, Inc.

UNITED STATES

Gold

Universal Precious Metals Refining Zambia

ZAMBIA

Gold

Valcambi S.A.

SWITZERLAND

Gold

Western Australian Mint (T/a The Perth Mint)

AUSTRALIA

Gold

WIELAND Edelmetalle GmbH

GERMANY

Gold

Yamakin Co., Ltd.

JAPAN

Gold

Yamamoto Precious Metal Co., Ltd.

JAPAN

Gold

Yokohama Metal Co., Ltd.

JAPAN

Gold

Yunnan Copper Industry Co., Ltd.

CHINA

Gold

Zhongkuang Gold Industry Co., Ltd.

CHINA

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

Gold

Asaka Riken Co., Ltd.

JAPAN

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

Tantalum

Conghua Tantalum and Niobium Smeltry

CHINA

Tantalum

CP Metals Inc.

UNITED STATES OF AMERICA

Tantalum

D Block Metals, LLC

UNITED STATES OF AMERICA

Tantalum

Duoluoshan

CHINA

Tantalum

Exotech Inc.

UNITED STATES

Tantalum

F&X Electro-Materials Ltd.

CHINA

Tantalum

FIR Metals & Resource Ltd.

CHINA

Tantalum

Global Advanced Metals Aizu

JAPAN

Tantalum

Global Advanced Metals Boyertown

UNITED STATES

Tantalum

Guangdong Rising Rare Metals-EO Materials Ltd.

CHINA

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

Tantalum

H.C. Starck Co., Ltd.

THAILAND

Tantalum

H.C. Starck GmbH Laufenburg

GERMANY

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

Tantalum

H.C. Starck Inc.

UNITED STATES OF AMERICA

Tantalum

H.C. Starck Ltd.

JAPAN

Tantalum

H.C. Starck Smelting GmbH & Co. KG

GERMANY

Tantalum

H.C. Starck Tantalum and Niobium GmbH

GERMANY

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CHINA

Tantalum

Hi-Temp Specialty Metals, Inc.

UNITED STATES OF AMERICA

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CHINA

Tantalum

Jiangxi Tuohong New Raw Material

CHINA

Tantalum

Jiujiang Janny New Material Co., Ltd.

CHINA

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

Tantalum

Jiujiang Tanbre Co., Ltd.

CHINA

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CHINA

Tantalum

KEMET Blue Metals

MEXICO

Tantalum

Kemet Blue Powder

UNITED STATES OF AMERICA

Tantalum

King-Tan Tantalum Industry Ltd.

CHINA

Tantalum

LSM Brasil S.A.

BRAZIL

Tantalum

Metallurgical Products India Pvt. Ltd. (MPIL)

INDIA

Tantalum

Mineracao Taboca S.A.

BRAZIL

Tantalum

Mitsui Mining and Smelting Co., Ltd.

JAPAN

Tantalum

Molycorp Silmet A.S.

ESTONIA

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

Tantalum

NPM Silmet AS

ESTONIA

Tantalum

Plansee SE Liezen

AUSTRIA

Tantalum

Plansee SE Reutte

BANGLADESH

Tantalum

Power Resources Ltd.

MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

Tantalum

QuantumClean

UNITED STATES OF AMERICA

Tantalum

Resind Industria e Comercio Ltda.

BRAZIL

Tantalum

RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.

CHINA

Tantalum

Shanghai Jiangxi Metals Co. Ltd

CHINA

Tantalum

Sizer Metals PTE

SINGAPORE

Tantalum

Solikamsk Magnesium Works OAO

RUSSIAN FEDERATION

Tantalum

Taki Chemical Co., Ltd.

JAPAN

Tantalum

Tantalite Resources

SOUTH AFRICA

Tantalum

Telex Metals

UNITED STATES OF AMERICA

Tantalum

Ulba Metallurgical Plant JSC

KAZAKHSTAN

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

CHINA

Tantalum

Yichun Jin Yang Rare Metal Co., Ltd.

CHINA

Tantalum

Zhuzhou Cemented Carbide Group Co., Ltd.

CHINA

Tantalum

Alent plc

UNITED STATES OF AMERICA

Tin

Alpha Metals

UNITED STATES OF AMERICA

Tin

An Thai Minerals Co., Ltd.

VIET NAM

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

Tin

BML

INDONESIA

Tin

Brand RBT

INDONESIA

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

CHINA

Tin

China Tin Group Co., Ltd.

CHINA

Tin

China Yunnan Tin Co Ltd.

CHINA

Tin

CINTAS METALICAS S.A

SPAIN

Tin

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

Tin

Cookson

UNITED STATES OF AMERICA

Tin

Cooper Santa

BRAZIL

Tin

Cooperativa Metalurgica de Rondonia Ltda.

BRAZIL

Tin

Corporation Berhad(MSC)

MALAYSIA

Tin

CV Ayi Jaya

INDONESIA

Tin

CV Dua Sekawan

INDONESIA

Tin

CV Gita Pesona

INDONESIA

Tin

CV Serumpun Sebalai

INDONESIA

Tin

CV Tiga Sekawan

INDONESIA

Tin

CV United Smelting

INDONESIA

Tin

CV Venus Inti Perkasa

INDONESIA

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

CHINA

Tin

Dowa

JAPAN

Tin

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

VIET NAM

Tin

Elmet S.L.U.

SPAIN

Tin

Empresa Metalúrgica Vinto

BOLIVIA

Tin

Empressa Nacional de Fundiciones (ENAF)

BOLIVIA

Tin

Estanho de Rondonia S.A.

BRAZIL

Tin

Feinhütte Halsbrücke GmbH

GERMANY

Tin

Fenix Metals

POLAND

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.”

CHINA

Tin

Gejiu Fengming Metallurgy Chemical Plant

CHINA

Tin

Gejiu Jinye Mineral Company

CHINA

Tin

Gejiu Jinye Mineral Company

CHINA

Tin

Gejiu Kai Meng Industry and Trade LLC

CHINA

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

CHINA

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

CHINA

Tin

Global Advanced Metals Pty Ltd

AUSTRALIA

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

CHINA

Tin

Guanyang Guida Nonferrous Metal Smelting Plant

CHINA

Tin

Hayes Metals

NEW ZEALAND

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

Tin

Huichang Jinshunda Tin Co., Ltd.

CHINA

Tin

IMPAG AG

SWITZERLAND

Tin

INDONESIAN STATE TIN CORPORATION MENTOK SMELTER

INDONESIA

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

CHINA

Tin

Jiangxi New Nanshan Technology Ltd.

CHINA

Tin

Kundur Smelter

INDONESIA

Tin

Ma'anshan Weitai Tin Co., Ltd.

CHINA

Tin

Magnu's Minerais Metais e Ligas Ltda.

BRAZIL

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

Tin

MATSUSHIMA KINZOKU

JAPAN

Tin

Melt Metais e Ligas S.A.

BRAZIL

Tin

Metallic Resources, Inc.

UNITED STATES OF AMERICA

Tin

Metallo Belgium N.V.

BELGIUM

Tin

Metallo Chimique

BELGIUM

Tin

Metallo Spain S.L.U.

SPAIN

Tin

Metallo-Chimique N.V.

BELGIUM

Tin

Mineracao Taboca S.A.

BRAZIL

Tin

Minmetals Ganzhou Tin Co. Ltd.

CHINA

Tin

Minsur

PERU

Tin

Mitsubishi Materials Corporation

JAPAN

Tin

Modeltech Sdn Bhd

MALAYSIA

Tin

Nankang Nanshan Tin Manufactory Co., Ltd.

CHINA

Tin

Nathan Trotter & Co., Inc.

UNITED STATES OF AMERICA

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIET NAM

Tin

Novosibirsk Integrated Tin Works

RUSSIAN FEDERATION

Tin

Novosibirsk Processing Plant Ltd.

RUSSIAN FEDERATION

Tin

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

THAILAND

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

Tin

Operaciones Metalurgicas S.A.

BOLIVIA (PLURINATIONAL STATE OF)

Tin

Phoenix Metal Ltd.

RWANDA

Tin

Pongpipat Company Limited

MYANMAR

Tin

Precious Minerals and Smelting Limited

INDIA

Tin

PT Aries Kencana Sejahtera

INDONESIA

Tin

PT Artha Cipta Langgeng

INDONESIA

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

Tin

PT Babel Inti Perkasa

INDONESIA

Tin

PT Babel Surya Alam Lestari

INDONESIA

Tin

PT Bangka Prima Tin

INDONESIA

Tin

PT Bangka Serumpun

INDONESIA

Tin

PT Bangka Tin Industry

INDONESIA

Tin

PT Belitung Industri Sejahtera

INDONESIA

Tin

PT Bukit Timah

INDONESIA

Tin

PT Cipta Persada Mulia

INDONESIA

Tin

PT DS Jaya Abadi

INDONESIA

Tin

PT Eunindo Usaha Mandiri

INDONESIA

Tin

PT Inti Stania Prima

INDONESIA

Tin

PT Justindo

INDONESIA

Tin

PT Karimun Mining

INDONESIA

Tin

PT Kijang Jaya Mandiri

INDONESIA

Tin

PT Koba Tin

INDONESIA

Tin

PT Lautan Harmonis Sejahtera

INDONESIA

Tin

PT Menara Cipta Mulia

INDONESIA

Tin

PT Mitra Stania Prima

INDONESIA

Tin

PT O.M. Indonesia

INDONESIA

Tin

PT Panca Mega Persada

INDONESIA

Tin

PT Pelat Timah Nusantara

INDONESIA

Tin

PT Premium Tin Indonesia

INDONESIA

Tin

PT Prima Timah Utama

INDONESIA

Tin

PT Rajawali Rimba Perkasa

INDONESIA

Tin

PT Rajehan Ariq

INDONESIA

Tin

PT Refined Bangka Tin

INDONESIA

Tin

PT Sariwiguna Binasentosa

INDONESIA

Tin

PT Stanindo Inti Perkasa

INDONESIA

Tin

PT Sukses Inti Makmur

INDONESIA

Tin

PT Sumber Jaya Indah

INDONESIA

Tin

PT Tambang Timah

INDONESIA

Tin

PT Timah (Persero) Tbk Mentok

INDONESIA

Tin

PT Timah Tbk Kundur

INDONESIA

Tin

PT Timah Tbk Mentok

INDONESIA

Tin

PT Tinindo Inter Nusa

INDONESIA

Tin

PT Tirus Putra Mandiri

INDONESIA

Tin

PT Tommy Utama

INDONESIA

Tin

PT WAHANA PERKIT JAYA

INDONESIA

Tin

REDRING SOLDER (M) SDN BHD

MALAYSIA

Tin

Resind Industria e Comercio Ltda.

BRAZIL

Tin

Rui Da Hung

TAIWAN, PROVINCE OF CHINA

Tin

Soft Metais Ltda.

BRAZIL

Tin

Super Ligas

BRAZIL

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

VIET NAM

Tin

Thai Solder Industry Corp., Ltd.

THAILAND

Tin

Thailand Smelting & Refining Co Ltd

THAILAND

Tin

Thaisarco

THAILAND

Tin

Tin Technology & Refining

UNITED STATES OF AMERICA

Tin

Toboca/ Paranapenema

BRAZIL

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIET NAM

Tin

Uni Bros Metal Pte Ltd

SINGAPORE

Tin

VQB Mineral and Trading Group JSC

VIET NAM

Tin

White Solder Metalurgia e Mineracao Ltda.

BRAZIL

Tin

Xianghualing Tin Industry Co., Ltd.

CHINA

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

CHINA

Tin

Yunnan Tin Company, Ltd.

CHINA

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

CHINA

Tin

A.L.M.T. TUNGSTEN Corp.

JAPAN

Tungsten

ACL Metais Eireli

BRAZIL

Tungsten

Advanced Chemical Company

UNITED STATES OF AMERICA

Tungsten

Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.

BRAZIL

Tungsten

Allied Material Corporation

JAPAN

Tungsten

ALMT Sumitomo Group

JAPAN

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIET NAM

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

Tungsten

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

Tungsten

CP Metals Inc.

UNITED STATES OF AMERICA

Tungsten

Dayu Weiliang Tungsten Co., Ltd.

CHINA

Tungsten

Fujian Ganmin RareMetal Co., Ltd.

CHINA

Tungsten

Fujian Jinxin Tungsten Co., Ltd.

CHINA

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

CHINA

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

Tungsten

Ganzhou Yatai Tungsten Co., Ltd.

CHINA

Tungsten

GEM Co., Ltd.

CHINA

Tungsten

Global Tungsten & Powders Corp.

UNITED STATES OF AMERICA

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

Tungsten

H.C. Starck Smelting GmbH & Co. KG

GERMANY

Tungsten

H.C. Starck Tungsten GmbH

GERMANY

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CHINA

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CHINA

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

Tungsten

Hunan Litian Tungsten Industry Co., Ltd.

CHINA

Tungsten

Hydrometallurg, JSC

RUSSIAN FEDERATION

Tungsten

Japan New Metals Co., Ltd.

JAPAN

Tungsten

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

CHINA

Tungsten

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

CHINA

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CHINA

Tungsten

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

CHINA

Tungsten

Jiangxi Richsea New Materials Co., Ltd.

CHINA

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CHINA

Tungsten

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd

CHINA

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

Tungsten

JSC "Kirovgrad Hard Alloys Plant"

RUSSIAN FEDERATION

Tungsten

Kennametal Fallon

UNITED STATES OF AMERICA

Tungsten

Kennametal Huntsville

UNITED STATES OF AMERICA

Tungsten

KGETS Co., Ltd.

KOREA, REPUBLIC OF

Tungsten

Lianyou Metals Co., Ltd.

TAIWAN, PROVINCE OF CHINA

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

Tungsten

Masan Tungsten Chemical LLC (MTC)

VIET NAM

Tungsten

Mehra Ferro-Alloys Pvt Ltd.

INDIA

Tungsten

Moliren Ltd.

RUSSIAN FEDERATION

Tungsten

Niagara Refining LLC

UNITED STATES OF AMERICA

Tungsten

NPP Tyazhmetprom LLC

RUSSIAN FEDERATION

Tungsten

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

VIET NAM

Tungsten

Philippine Chuangxin Industrial Co., Inc.

PHILIPPINES

Tungsten

Sanher Tungsten Vietnam Co., Ltd.

VIET NAM

Tungsten

South-East Nonferrous Metal Company Limited of Hengyang City

CHINA

Tungsten

Tejing (Vietnam) Tungsten Co., Ltd.

VIET NAM

Tungsten

Tungsten Diversified Industries LLC

UNITED STATES OF AMERICA

Tungsten

Unecha Refractory metals plant

RUSSIAN FEDERATION

Tungsten

Vietnam Youngsun Tungsten Industry Co., Ltd.

VIET NAM

Tungsten

Wolfram Bergbau und Hutten AG

AUSTRIA

Tungsten

Woltech Korea Co., Ltd.

KOREA, REPUBLIC OF

Tungsten

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

CHINA

Tungsten

Xiamen Tungsten Co., Ltd.

CHINA

Tungsten

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

CHINA

Tungsten

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CHINA

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIETNAM

Tungsten

Ganzhou Yatai Tungsten Co., Ltd.

CHINA

Tungsten

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

CHINA

Tungsten

Vietnam Youngsun Tungsten Industry Co., Ltd.

VIETNAM

Tungsten

Yichun Jin Yang Rare Metal Co., Ltd.

CHINA

Tungsten


 

 

 

 

Caution Concerning Forward-Looking Statements

Certain statements in this report may be “forward-looking” within the meaning of the Private Securities Litigation Reform Act of 1995.  Words such as “expects,” “future,” “plans,” and “intends,” and similar expressions are used to identify these forward-looking statements.  Examples of forward-looking statements include statements relating to our future plans, and any other statement that does not directly relate to any historical or current fact.  Forward-looking statements are based on our current expectations and assumptions, which may not prove to be accurate.  Risks that may cause these forward-looking statements to be inaccurate include: failure to carry out these plans in a timely manner or at all; lack of cooperation or progress by our suppliers, their respective suppliers and smelters; or lack of progress by smelter or refiner validation programs for conflict minerals (including the possibility of inaccurate information, fraud and other irregularities).  These statements are not guarantees and are subject to risks, uncertainties and changes in circumstances that are difficult to predict.  Actual outcomes and results may differ materially from these forward-looking statements.  As a result, these statements speak only as of the date they are made and we undertake no obligation to update or revise any forward-looking statement, except as required by federal securities laws.