EX-1.01 2 v467974_ex1-01.htm EXHIBIT 1.01

 

Exhibit 1.01

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

CONFLICT MINERALS REPORT OF

 

THOR INDUSTRIES, INC.

 

IN ACCORDANCE WITH RULE 13p-1

UNDER THE SECURITIES EXCHANGE ACT OF 1934

  

 

 

Thor Industries, Inc.

(Exact Name of Registrant as Specified in Charter)

 

 

Delaware

(State or Other Jurisdiction of Incorporation)

1-9235

(Commission File Number)

 

93-0768752

(IRS Employer Identification No.)

 

601 East Beardsley Avenue,

Elkhart, Indiana

(Address of Principal Executive Offices)

46514-3305

(Zip Code)

 

W. Todd Woelfer

Senior Vice President, General Counsel and Corporate Secretary

 

(574) 970-7460

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

 

 

  

 

 

  

I. Introduction

 

This is the Conflict Minerals1 Report (the “Report”) of Thor Industries, Inc. (“Thor”, the “Company”, “we”, “us”, or “our”) prepared for calendar year 2016 in accordance with Rule 13p-1 (the “Rule”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in the Rule and Form SD and the reader is referred to those sources and to Release No. 34-67716 (August 22, 2012) of the Act for such definitions.

 

Thor, through its operating subsidiaries, manufactures a wide range of towable and motorized recreational vehicles that are sold to independent dealers primarily in the United States and Canada. For calendar year 2016, our recreational vehicle operating subsidiaries include Airstream, Inc., Bison Horse Trailers, LLC dba Bison Coach, Cruiser RV, LLC, DRV, LLC, DS Corp. dba CrossRoads RV, Heartland Recreational Vehicles, LLC, Jayco, Inc., KZRV, L.P., Keystone RV Company, Thor Livin’ Lite, Inc. dba Livin’ Lite RV, Inc., and Thor Motor Coach, Inc. Thor is also the sole member of Postle Operating, LLC, a producer of extruded aluminum and specialized components for the recreational vehicle and other industries. As Thor acquired Jayco, Inc. on June 30, 2016 (the “Acquisition Date”), this Report only includes Jayco, Inc.’s activities subsequent to the Acquisition Date. For the purpose of this Report, any reference to products manufactured by or suppliers of Thor shall include those products manufactured by and suppliers of Thor’s operating subsidiaries.

 

Thor’s marketplace is not dominated by publicly traded entities and, as such, is relatively unsophisticated in matters involving rules issued by the Securities and Exchange Commission. This reality of our supply chain offered additional challenges to the implementation of Thor’s Conflict Minerals program.

 

In accordance with the Rule, Thor undertook efforts to determine whether the necessary Conflict Minerals in our products were sourced from the DRC or a Covered Country. We designed our 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.

 

Thor’s efforts also utilized multi-industry initiatives with the smelters and refiners of minerals who may provide those minerals to companies in Thor’s supply chain. Thor, as a purchaser of component parts, is many steps removed from the mining of Conflict Minerals; Thor does not purchase raw ore or unrefined Conflict Minerals, and does no purchasing directly in the Covered Countries.

 

The statements below are based on the due diligence activities performed to date and in good faith by Thor and are based on the infrastructure and information available at the time of this filing.  There are factors that could affect the accuracy of these statements, which factors include, but are not limited to, incomplete supplier data or available 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 SEC final rules, and other issues.

 

II. Design of Due Diligence Measures

 

Thor designed its overall Conflict Minerals program based on the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold.

 

Thor’s implementation of the five-step framework consists of the following overarching steps, which are discussed in further detail in Section III.

 

 

 

1 The term “conflict mineral” is defined in Section 1502(e)(4) of the Act 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 (the “DRC”) or an adjoining country (collectively, the “Conflict Minerals”).

2 OECD (2013), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing.

http://www.oecd.org/corporate/mne/GuidanceEdition2.pdf

 

 

 

 

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/refiner's due diligence practices
Step 5: Report annually on supply chain due diligence

 

III. Due Diligence Measures Performed by Thor

 

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 Policy – Thor adopted and implemented a Conflict Minerals Policy.  It is periodically reviewed and will be updated, if necessary.
b. Conflict Minerals Team – We gathered a Conflict Minerals team consisting of Legal, Finance (including Purchasing), and Information Technology members with decision-making authority to manage the data collection, review, and reporting processes and educated internal team members about Conflict Minerals disclosure requirements.
c. Supplier Engagement – Thor provided its Conflict Minerals Policy and educational materials to our Vendors (as defined below).  Our Vendors were also provided information on the Conflict Minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a Conflict Minerals compliance program.
d. Engagement – Thor engaged Conflict Minerals subject matter experts to assist with the due diligence and reporting process.
e. Records Management – Thor is maintaining its records relating to its Conflict Minerals program in accordance with the recommended record retention guidelines of five (5) years.

 

Step 2: Identify and assess risks in the supply chain

 

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

 

a. Identify Products in Scope – We worked closely with our subsidiaries to identify direct vendors and suppliers (our “Vendors”) that provide products potentially containing Conflict Minerals to such subsidiaries.
b. Conduct Reasonable Country of Origin Inquiry (“RCOI”)
  i. Thor contracted with iPoint’s Conflict Minerals Platform (“iPoint”) to automatically collect and manage Conflict Minerals declarations as a way to increase the number and completeness of the Vendors’ responses.
  ii. We processed the Vendor contact information and products lists provided to Thor by each subsidiary on a monthly or quarterly basis, as applicable, and input such information into iPoint’s database (the “iPoint Database”) for the purpose of tracking the Vendors, the Vendors’ products, our contact efforts with each Vendor, and the Vendors’ responses.
  iii. We contacted those Vendors for which we did not already have the appropriate contact information by mail to determine an appropriate contact name and e-mail address to which to send our Conflict Mineral requests and added such contact information into the iPoint Database.  We followed up with those Vendors multiple times when we failed to receive a response to our request for contact information.
  iv. Through iPoint, we requested that Vendors (a) create an account with iPoint’s online portal if they had not already done so in previous years and (b) input information concerning the applicable Vendor’s products and the conflict status of the minerals contained in such products.  The iPoint online portal is provided free to our Vendors for the Basic platform.   For those Vendors that chose not to create an account with iPoint, we requested that such Vendors complete and return a Conflict Minerals Reporting Template (“CMRT”) available from the Conflict-Free Sourcing Initiative (“CFSI”) website.  
  v. We directed our Vendors to pass our request up the supply chain if the Vendor is not the manufacturer of the underlying product.

  

 

 

 

  vi. For those Vendors that chose not to create an account with iPoint, we verified the completeness and reasonableness of the returned CMRTs and then uploaded those CMRTs into the iPoint platform for tracking and reporting.
  vii. For those Vendors that chose to create an account with iPoint, we verified the completeness and reasonableness of their responses through the iPoint platform.  
  viii. In both cases, we followed up with Vendors when we failed to receive a completed or reasonable response.
  ix. We dedicated a substantial amount of time to answering Vendors’ questions concerning Conflict Minerals, including, but not limited to, questions related to Thor’s reporting requirement, the definition of Conflict Minerals, and the proper completion of the CMRT or iPoint request, as applicable.
  x. We ran and analyzed reports from iPoint to enable us to track Vendor responses and response rates.
  xi. While certain Vendors were able to identify the countries of origin of the tin, tantalum, tungsten, and/or gold included in the products that they sell to our subsidiaries, our due diligence efforts did not result in sufficient information to conclusively determine all of the countries of origin of the tin, tantalum, tungsten and/or gold in our products.  In an effort to provide as complete of a Report as we can, we have included a list of the countries of origin identified by those Vendors as Appendix I.
c. Identify Smelters/Processors – Thor collected a list of smelters/processors that are in its subsidiaries’ supply chains by utilizing the iPoint reporting capabilities and the CFSI’s Conflict-Free Smelter Program.    We have provided that list under Section IV (Product Description) below.

 

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

 

As part of the risk mitigation process, the iPoint platform compares the smelters/processors collected from Vendors to the conflict-free smelter lists published by the CFSI.

 

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

 

Thor is relying on the iPoint platform and CFSI’s published lists to verify the conflict-free status of smelters/processors that source from Covered Countries.

 

Step 5: Report annually on supply chain due diligence

 

Thor’s Conflict Minerals Policy is available to the public on our website, http://ir.thorindustries.com. In addition, Thor’s Conflict Minerals Report has been filed with the SEC and is available on our website, http://ir.thorindustries.com.

 

IV. Product Description

 

As noted above, the majority of Thor’s operating subsidiaries manufacture towable and motorized recreational vehicles. Our subsidiaries’ manufacturing processes mainly consist of the assembly of units and utilize products that may include, but are not limited to, electronics, electronic components, chassis, upholstery, flooring products, wood and wood-based products, adhesives, paint, mirrors, glass, plastic, fiberglass, plumbing components, heating and cooling components, furniture, aluminum, steel, extruded polystyrene, appliances, and other similar products. Postle Operating, LLC’s offerings include aluminum extrusions, powder coating and painting services, and specialized component fabrication and utilize products that may include, but are not limited to, aluminum, paint, steel, and other similar products.

 

Processing Facilities – Based on our due diligence process and the information received from our Vendors, the following CFSI-compliant facilities were identified by our Vendors as the smelters and refiners of the tin, tantalum, tungsten, and/or gold present in and necessary to the functionality of products manufactured by Thor’s subsidiaries in the year ended December 31, 2016:

  

 

 

  

Smelter Name Metal Country
Advanced Chemical Company Gold USA
Aida Chemical Industries Co., Ltd. Gold JAPAN
Allgemeine Gold-und Silberscheideanstalt A.G. Gold GERMANY
Almalyk Mining and Metallurgical Complex (AMMC) Gold UZBEKISTAN
AngloGold Ashanti Córrego do Sítio Mineração Gold BRAZIL
Argor-Heraeus S.A. Gold SWITZERLAND
Asahi Pretec Corp. Gold JAPAN
Asahi Refining Canada Ltd. Gold CANADA
Asahi Refining USA Inc. Gold USA
Asaka Riken Co., Ltd. Gold JAPAN
Aurubis AG Gold GERMANY
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) Gold PHILIPPINES
Boliden AB Gold SWEDEN
C. Hafner GmbH + Co. KG Gold GERMANY
CCR Refinery - Glencore Canada Corporation Gold CANADA
Chimet S.p.A. Gold ITALY
DODUCO GmbH Gold GERMANY
DSC (Do Sung Corporation) Gold KOREA, REPUBLIC OF
Daejin Indus Co., Ltd. Gold KOREA, REPUBLIC OF
Eco-System Recycling Co., Ltd. Gold JAPAN
Elemetal Refining, LLC Gold USA
Heimerle + Meule GmbH Gold GERMANY
Heraeus Metals Hong Kong Ltd. Gold CHINA
Heraeus Precious Metals GmbH & Co. KG Gold GERMANY
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. Gold CHINA
Ishifuku Metal Industry Co., Ltd. Gold JAPAN
Istanbul Gold Refinery Gold TURKEY
JSC Ekaterinburg Non-Ferrous Metal Processing Plant Gold RUSSIAN FEDERATION
JSC Uralelectromed Gold RUSSIAN FEDERATION
JX Nippon Mining & Metals Co., Ltd. Gold JAPAN
Japan Mint Gold JAPAN
Jiangxi Copper Co., Ltd. Gold CHINA
Kazzinc Gold KAZAKHSTAN
Kennecott Utah Copper LLC Gold USA
Kojima Chemicals Co., Ltd. Gold JAPAN
Kyrgyzaltyn JSC Gold KYRGYZSTAN
LS-NIKKO Copper Inc. Gold KOREA, REPUBLIC OF
Materion Gold USA
Matsuda Sangyo Co., Ltd. Gold JAPAN
Metalor Technologies (Hong Kong) Ltd. Gold CHINA
Metalor Technologies (Singapore) Pte., Ltd. Gold SINGAPORE

  

 

 

  

Metalor Technologies S.A. Gold SWITZERLAND
Metalor USA Refining Corporation Gold USA
Metalúrgica Met-Mex Peñoles S.A. De C.V. Gold Mexico
Mitsubishi Materials Corporation Gold JAPAN
Mitsui Mining and Smelting Co., Ltd. Gold JAPAN
Moscow Special Alloys Processing Plant Gold RUSSIAN FEDERATION
Nadir Metal Rafineri San. Ve Tic. A.Ş. Gold TURKEY
Nihon Material Co., Ltd. Gold JAPAN
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) Gold RUSSIAN FEDERATION
OJSC Novosibirsk Refinery Gold RUSSIAN FEDERATION
Ohura Precious Metal Industry Co., Ltd. Gold JAPAN
PAMP S.A. Gold SWITZERLAND
PT Aneka Tambang (Persero) Tbk Gold INDONESIA
PX Précinox S.A. Gold SWITZERLAND
Prioksky Plant of Non-Ferrous Metals Gold RUSSIAN FEDERATION
Rand Refinery (Pty) Ltd. Gold SOUTH AFRICA
Republic Metals Corporation Gold USA
Royal Canadian Mint Gold CANADA
SEMPSA Joyería Platería S.A. Gold SPAIN
SOE Shyolkovsky Factory of Secondary Precious Metals Gold RUSSIAN FEDERATION
Samduck Precious Metals Gold KOREA, REPUBLIC OF
Schone Edelmetaal B.V. Gold NETHERLANDS
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. Gold CHINA
Sichuan Tianze Precious Metals Co., Ltd. Gold CHINA
Solar Applied Materials Technology Corp. Gold TAIWAN
Sumitomo Metal Mining Co., Ltd. Gold JAPAN
Tanaka Kikinzoku Kogyo K.K. Gold JAPAN
The Refinery of Shandong Gold Mining Co., Ltd. Gold CHINA
Tokuriki Honten Co., Ltd. Gold JAPAN
Torecom Gold KOREA, REPUBLIC OF
Umicore Brasil Ltda. Gold BRAZIL
Umicore Precious Metals Thailand Gold THAILAND
Umicore S.A. Business Unit Precious Metals Refining Gold BELGIUM
United Precious Metal Refining, Inc. Gold USA
Valcambi S.A. Gold SWITZERLAND
Western Australian Mint trading as The Perth Mint Gold AUSTRALIA
Yamamoto Precious Metal Co., Ltd. Gold JAPAN
Yokohama Metal Co., Ltd. Gold JAPAN
Zhongyuan Gold Smelter of Zhongjin Gold Corporation Gold CHINA
Zijin Mining Group Co., Ltd. Gold Refinery Gold CHINA
AU Traders and Refiners Gold SOUTH AFRICA
Al Etihad Gold LLC Gold USA
Dowa Gold JAPAN

 

 

 

  

Emirates Gold DMCC Gold UNITED ARAB EMIRATES
Korea Zinc Co., Ltd. Gold KOREA, REPUBLIC OF
MMTC-PAMP India Pvt., Ltd. Gold INDIA
Metalor Technologies (Suzhou) Ltd. Gold CHINA
SAXONIA Edelmetalle GmbH Gold GERMANY
Singway Technology Co., Ltd. Gold TAIWAN
T.C.A S.p.A Gold ITALY
WIELAND Edelmetalle GmbH Gold GERMANY
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH Gold AUSTRIA
Changsha South Tantalum Niobium Co., Ltd. Tantalum CHINA
Conghua Tantalum and Niobium Smeltry Tantalum CHINA
D Block Metals, LLC Tantalum USA
Duoluoshan Tantalum CHINA
Exotech Inc. Tantalum USA
F&X Electro-Materials Ltd. Tantalum CHINA
FIR Metals & Resource Ltd. Tantalum CHINA
Global Advanced Metals Aizu Tantalum JAPAN
Global Advanced Metals Boyertown Tantalum USA
Guangdong Zhiyuan New Material Co., Ltd. Tantalum CHINA
H.C. Starck Co., Ltd. Tantalum THAILAND
H.C. Starck Hermsdorf GmbH Tantalum GERMANY
H.C. Starck Inc. Tantalum USA
H.C. Starck Ltd. Tantalum JAPAN
H.C. Starck Smelting GmbH & Co. KG Tantalum GERMANY
H.C. Starck Tantalum and Niobium GmbH Tantalum GERMANY
Hengyang King Xing Lifeng New Materials Co., Ltd. Tantalum CHINA
Hi-Temp Specialty Metals, Inc. Tantalum USA
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. Tantalum CHINA
Jiangxi Tuohong New Raw Material Tantalum CHINA
JiuJiang JinXin Nonferrous Metals Co., Ltd. Tantalum CHINA
Jiujiang Nonferrous Metals Smelting Company Limited Tantalum CHINA
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. Tantalum CHINA
KEMET Blue Metals Tantalum MEXICO
KEMET Blue Powder Tantalum USA
King-Tan Tantalum Industry Ltd. Tantalum CHINA
LSM Brasil S.A. Tantalum BRAZIL
Metallurgical Products India Pvt., Ltd. Tantalum INDIA
Mineração Taboca S.A. Tantalum BRAZIL
Mitsui Mining and Smelting Co., Ltd. Tantalum JAPAN
Molycorp Silmet A.S. Tantalum ESTONIA
Ningxia Orient Tantalum Industry Co., Ltd. Tantalum CHINA
Power Resources Ltd. Tantalum MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

 

 

 

  

QuantumClean Tantalum USA
Resind Indústria e Comércio Ltda. Tantalum BRAZIL
Solikamsk Magnesium Works OAO Tantalum RUSSIAN FEDERATION
Taki Chemical Co., Ltd. Tantalum JAPAN
Telex Metals Tantalum USA
Tranzact, Inc. Tantalum USA
Ulba Metallurgical Plant JSC Tantalum KAZAKHSTAN
XinXing HaoRong Electronic Material Co., Ltd. Tantalum CHINA
Yanling Jincheng Tantalum Co., Ltd. Tantalum CHINA
Yichun Jin Yang Rare Metal Co., Ltd. Tantalum CHINA
Zhuzhou Cemented Carbide Group Co., Ltd. Tantalum CHINA
Alpha Tin USA
CV Gita Pesona Tin INDONESIA
CV Serumpun Sebalai Tin INDONESIA
CV United Smelting Tin INDONESIA
CV Venus Inti Perkasa Tin INDONESIA
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. Tin CHINA
China Tin Group Co., Ltd. Tin CHINA
Cooperativa Metalurgica de Rondônia Ltda. Tin BRAZIL
Dowa Tin JAPAN
EM Vinto Tin BOLIVIA
Fenix Metals Tin POLAND
Gejiu Non-Ferrous Metal Processing Co., Ltd. Tin CHINA
Jiangxi Ketai Advanced Material Co., Ltd. Tin CHINA
Magnu's Minerais Metais e Ligas Ltda. Tin BRAZIL
Malaysia Smelting Corporation (MSC) Tin MALAYSIA
Melt Metais e Ligas S.A. Tin BRAZIL
Metallo-Chimique N.V. Tin BELGIUM
Mineração Taboca S.A. Tin BRAZIL
Minsur Tin PERU
Mitsubishi Materials Corporation Tin JAPAN
O.M. Manufacturing (Thailand) Co., Ltd. Tin THAILAND
O.M. Manufacturing Philippines, Inc. Tin PHILIPPINES
Operaciones Metalurgical S.A. Tin BOLIVIA
PT Aries Kencana Sejahtera Tin INDONESIA
PT Artha Cipta Langgeng Tin INDONESIA
PT Babel Inti Perkasa Tin INDONESIA
PT Bangka Tin Industry Tin INDONESIA
PT Belitung Industri Sejahtera Tin INDONESIA
PT Bukit Timah Tin INDONESIA
PT DS Jaya Abadi Tin INDONESIA
PT Eunindo Usaha Mandiri Tin INDONESIA
PT Inti Stania Prima Tin INDONESIA

  

 

 

 

PT Karimun Mining Tin INDONESIA
PT Mitra Stania Prima Tin INDONESIA
PT Panca Mega Persada Tin INDONESIA
PT Prima Timah Utama Tin INDONESIA
PT Refined Bangka Tin Tin INDONESIA
PT Sariwiguna Binasentosa Tin INDONESIA
PT Stanindo Inti Perkasa Tin INDONESIA
PT Sumber Jaya Indah Tin INDONESIA
PT Timah (Persero) Tbk Kundur Tin INDONESIA
PT Timah (Persero) Tbk Mentok Tin INDONESIA
PT Tinindo Inter Nusa Tin INDONESIA
PT Tommy Utama Tin INDONESIA
Rui Da Hung Tin TAIWAN
Soft Metais Ltda. Tin BRAZIL
Thaisarco Tin THAILAND
White Solder Metalurgia e Mineração Ltda. Tin BRAZIL
Yunnan Tin Company Limited Tin CHINA
Gejiu Jinye Mineral Company Tin CHINA
CV Ayi Jaya Tin INDONESIA
CV Dua Sekawan Tin INDONESIA
CV Tiga Sekawan Tin INDONESIA
Elmet S.L.U. Tin SPAIN
Gejiu Fengming Metallurgy Chemical Plant Tin CHINA
Guanyang Guida Nonferrous Metal Smelting Plant Tin CHINA
HuiChang Hill Tin Industry Co., Ltd. Tin CHINA
Metallic Resources, Inc. Tin USA
PT ATD Makmur Mandiri Jaya Tin INDONESIA
PT Bangka Prima Tin Tin INDONESIA
PT Cipta Persada Mulia Tin INDONESIA
PT Kijang Jaya Mandiri Tin INDONESIA
PT Lautan Harmonis Sejahtera Tin INDONESIA
PT Menara Cipta Mulia Tin INDONESIA
PT O.M. Indonesia Tin INDONESIA
PT Sukses Inti Makmur Tin INDONESIA
PT Wahana Perkit Jaya Tin INDONESIA
Resind Indústria e Comércio Ltda. Tin BRAZIL
VQB Mineral and Trading Group JSC Tin VIET NAM
Ganzhou Seadragon W & Mo Co., Ltd. Tungsten CHINA
Guangdong Xianglu Tungsten Co., Ltd. Tungsten CHINA
A.L.M.T. TUNGSTEN Corp. Tungsten JAPAN
Asia Tungsten Products Vietnam Ltd. Tungsten VIET NAM
Chenzhou Diamond Tungsten Products Co., Ltd. Tungsten CHINA
Chongyi Zhangyuan Tungsten Co., Ltd. Tungsten CHINA

  

 

 

 

Fujian Jinxin Tungsten Co., Ltd. Tungsten CHINA
Ganzhou Huaxing Tungsten Products Co., Ltd. Tungsten CHINA
Ganzhou Jiangwu Ferrotungsten Co., Ltd. Tungsten CHINA
Global Tungsten & Powders Corp. Tungsten USA
H.C. Starck Smelting GmbH & Co. KG Tungsten GERMANY
H.C. Starck Tungsten GmbH Tungsten GERMANY
Hunan Chenzhou Mining Co., Ltd. Tungsten CHINA
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji Tungsten CHINA
Hunan Chunchang Nonferrous Metals Co., Ltd. Tungsten CHINA
Hydrometallurg, JSC Tungsten RUSSIAN FEDERATION
Japan New Metals Co., Ltd. Tungsten JAPAN
Jiangwu H.C. Starck Tungsten Products Co., Ltd. Tungsten CHINA
Jiangxi Gan Bei Tungsten Co., Ltd. Tungsten CHINA
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. Tungsten CHINA
Jiangxi Xinsheng Tungsten Industry Co., Ltd. Tungsten CHINA
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. Tungsten CHINA
Jiangxi Yaosheng Tungsten Co., Ltd. Tungsten CHINA
Kennametal Fallon Tungsten USA
Kennametal Huntsville Tungsten USA
Malipo Haiyu Tungsten Co., Ltd. Tungsten CHINA
Moliren Ltd Tungsten RUSSIAN FEDERATION
Niagara Refining LLC Tungsten USA
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC Tungsten VIET NAM
Philippine Chuangxin Industrial Co., Inc. Tungsten PHILIPPINES
South-East Nonferrous Metal Company Limited of Hengyang City Tungsten CHINA
Tejing (Vietnam) Tungsten Co., Ltd. Tungsten VIET NAM
Unecha Refractory metals plant Tungsten RUSSIAN FEDERATION
Vietnam Youngsun Tungsten Industry Co., Ltd. Tungsten VIET NAM
Wolfram Bergbau und Hütten AG Tungsten AUSTRIA
Woltech Korea Co., Ltd. Tungsten KOREA, REPUBLIC OF
Xiamen Tungsten (H.C.) Co., Ltd. Tungsten CHINA
Xiamen Tungsten Co., Ltd. Tungsten CHINA
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. Tungsten CHINA
Xinhai Rendan Shaoguan Tungsten Co., Ltd. Tungsten CHINA

  

V. Steps to Improve Due Diligence

 

We will continue to communicate our expectations and information requirements to our Vendors. We will also continue to monitor changes in circumstances that may impact the facts or our determination. Over time, we anticipate that the amount of information available globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our Vendors and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a Vendor that needs improvement in its due diligence process, we intend to continue the trade relationship while that Vendor improves its compliance program. We expect our Vendors 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 to improve the due diligence conducted and to further mitigate the risk that the necessary Conflict Minerals do not benefit armed groups, including:

·Review and enhance the reporting platform as necessary to improve Vendors’ ability to accurately and completely respond.
·Seek improvement in our own internal vendor identification to allow for increased proficiency in the inquiry and reporting process.
·Consider the implementation of all feasible recommendations issued through an outside consultant with experience and expertise related to the Conflict Minerals rules and requirements.
·Continue to create an internal database of products known to or believed to contain minerals that are possibly from conflict smelters to allow for further diligence on the suppliers of such products, if necessary.

 

VI. Independent Private Sector Audit

 

Not required for calendar year 2016.

 

 

 

 

APPENDIX I

 

Countries of Origin

 

The information provided in this Appendix is based on the information collected from Thor’s subsidiaries’ Vendors.

  

Angola Guinea Philippines
Argentina Guyana Poland
Armenia Hong Kong Portugal
Australia Hungary Russia
Austria India Rwanda
Azerbaijan Indonesia Saudi Arabia
Bangka Ireland Sierra Leone
Belarus Israel Singapore
Belgium Italy Slovakia
Bermuda Japan South Africa
Boliva Jersey South America
Brazil Kazakhstan South East Asia
Burkina Faso Kenya South Korea
Burundi Kyrgyzstan South Sudan
Cambodia Laos Spain
Canada Liberia Suriname
Central African Republic Luxembourg Sweden
Chile Madagascar Switzerland
China Malaysia Taiwan
Columbia Mali Tajikistan
Czech Republic Mauritania Tanzania
Democratic Republic of Congo Merrimak Thailand
Djibouti Mexico Turkey
Domincan Republic Mongolia Uganda
Ecuador Mozambique United Arab Emirates
Egypt Myanmar United Kingdom
Estonia Namibia United States
Ethiopia Netherlands Uzbekistan
Finland Niger Vietnam
France Nigeria Zambia
Germany Papua New Guinea Zimbabwe
Ghana Peru  

  

 

 

 

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 undersigned hereunto duly authorized.

 

 

Date:  May 30, 2017 Thor Industries, Inc.
     
  By: /s/ W. Todd Woelfer
  Name: W. Todd Woelfer
  Title: Senior Vice President, General Counsel and Corporate Secretary