0001564590-18-014133.txt : 20180522 0001564590-18-014133.hdr.sgml : 20180522 20180522131952 ACCESSION NUMBER: 0001564590-18-014133 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20171231 1.02 20171231 FILED AS OF DATE: 20180522 DATE AS OF CHANGE: 20180522 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BIOLASE, INC CENTRAL INDEX KEY: 0000811240 STANDARD INDUSTRIAL CLASSIFICATION: DENTAL EQUIPMENT & SUPPLIES [3843] IRS NUMBER: 870442441 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-36385 FILM NUMBER: 18851940 BUSINESS ADDRESS: STREET 1: 4 CROMWELL CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-361-1200 MAIL ADDRESS: STREET 1: 4 CROMWELL CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: BIOLASE TECHNOLOGY INC DATE OF NAME CHANGE: 19941117 FORMER COMPANY: FORMER CONFORMED NAME: LASER MEDICAL TECHNOLOGY INC DATE OF NAME CHANGE: 19941117 FORMER COMPANY: FORMER CONFORMED NAME: LASER ENDO TECHNIC CORP DATE OF NAME CHANGE: 19920708 SD 1 biol-sd.htm SD biol-sd.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

BIOLASE, INC.

(Exact name of registrant as specified in its charter)

 

 

Delaware

001-36385

87-0442441

(State or other jurisdiction

(Commission File Number)

(I.R.S. Employer

of incorporation or organization)

 

Identification No.)

 

4 Cromwell

Irvine, California 92618

(Address of Principal Executive Offices, including zip code)

(949) 361-1200

(Registrant’s Telephone Number, Including Area Code)

 

John R. Beaver

 

(888) 424-6527

(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:

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017.

 

 

 


Company Overview

BIOLASE, Inc. (“BIOLASE” and, together with its consolidated subsidiaries, the “Company”), incorporated in Delaware in 1987, is a medical device company that develops, manufactures, markets, and sells laser systems in dentistry and medicine and also markets, sells, and distributes dental imaging equipment, including three-dimensional CAD/CAM intra-oral scanners and digital dentistry software. Our products advance the practice of dentistry and medicine for patients and health care professionals.

The Company offer two categories of laser system products: Waterlase (all-tissue) systems and Diode (soft tissue) systems. Our flagship brand, Waterlase, uses a patented combination of water and laser energy to perform most procedures currently performed using drills, scalpels, and other traditional dental instruments for cutting soft and hard tissue. The Company also offer our Diode laser systems to perform soft tissue, pain therapy, and cosmetic procedures, including teeth whitening.

 

Section 1—Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

This Form SD for Biolase, Inc. is provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for the reporting period from January 1, 2017 to December 31, 2017.

Companies subject to Rule 13p-1 are required to perform certain procedures and to disclose information about the use of conflict minerals which include coltan, cassiterite, gold, wolframite, or their derivatives, which are limited to tungsten, tantalum, tin, and gold ("3TG") that are deemed to be necessary to the functionality or production of a product manufactured or contract to manufacture.

In accordance with Rule 13p-1, the Company has conducted an evaluation and inquired of its entire known component and outsourced manufacturing supply chain, which consisted of 183 suppliers, as to whether 3TG was contained in their products and concluded that certain products manufactured, or contracted to be manufactured, by the Company contain 3TG. Accordingly, the Company, in good faith, conducted a Reasonable Country of Origin Inquiry (“RCOI”) of suppliers providing components and parts deemed necessary for the functionality of the products to determine whether the products we manufacture are “conflict free,” that is, that they either do not contain conflict minerals from the Democratic Republic of the Congo or an adjoining country (“Covered Countries”) or originate from recycled or scrap materials. During this inquiry process, the Company identified 25 suppliers “in-scope” and requested they complete the Conflict Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (the “CFSI Template”) to verify the presence of 3TG and to determine the facilities processing those minerals.

Upon analyzing the information gathered through this supply chain survey, the Company concluded that 3TG contained in its products could originate in the Covered Countries or were not exclusively from recycled or scrap materials. As such, the Company conducted due diligence in accordance with the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas including the Supplement on Tin, Tantalum and Tungsten, as well as those portions of the OECD Supplement on Gold applicable to downstream companies (collectively “OECD guidance”).

There is significant overlap between our RCOI efforts and our due diligence measures performed. The description of the Company’s due diligence is in the Conflict Minerals Report (“CMR”) filed as exhibit 1.01 of this Form SD and is incorporated herein by reference. The Company’s CMR was not subject to an independent private sector audit as allowed under Rule 13p-1.

Due to the Company’s use of necessary 3TG in the manufacture of its laser products, management has adopted a Conflict Minerals Policy (“CMP”), which can be found at www.biolase.com under “Investor Relations” in “Corporate Governance” in “Conduct.”

Item 1.02 Exhibit

As specified in Section 2, Item 2.01, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

Section 2 – Exhibits

Item 2.01 Exhibits

1.01        Conflict Minerals Report for Biolase, Inc. for the calendar year ended December 31, 2017.


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 thereunto duly authorized.

Date: May 22, 2018

 

BIOLASE, INC.,

a Delaware Corporation

(registrant)

 

 

 

 

 

By:

 

/s/JOHN R. BEAVER

 

 

 

John R. Beaver

 

 

 

Interim Chief Executive Officer, Senior Vice President and Chief Financial Officer

 

 

 

(Principal Executive Officer, Principal Financial Officer and Principal Accounting Officer)

 

 

EX-1.01 2 biol-ex101_6.htm EX-1.01 biol-ex101_6.htm

Exhibit 1.01

BIOLASE, Inc

Conflict Minerals Report

For the year ended December 31, 2017

Introduction

This Conflict Minerals Report (“CMR”) for Biolase, Inc. (the “Company”, “we”, or “our”) for the calendar year ended December 31, 2017 was prepared in accordance with Rule 13p-1 of the Securities Exchange Act of 1934 (“Rule 13p-1”). Terms used and not defined in this report have the meanings ascribed in Form SD as adopted by the Securities and Exchange Commission (“SEC”) pursuant to the Rule.

Rule 13p-1 was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). Rule 13p-1 imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. For the purposes of this assessment, conflict minerals are defined as Tantalum, Tin, Tungsten, and Gold (“3TG”). These requirements apply to registrants, regardless of the geographic origin of the conflict minerals and whether or not they fund armed conflict.

The Company’s CMR for the calendar year ended December 31, 2017 was not subject to an independent private sector audit.

Design and Execution of Due Diligence

As part of the RCOI described in Form SD, the Company performed a supplier survey using the Conflict Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (the “CFSI Template”) for the year ending December 31, 2017. All suppliers providing components used in our products were included in the survey utilized for both RCOI and Due Diligence. The information obtained in the survey indicated that there was reason to believe that a portion of the 3TG used in our products may have originated in the Covered Countries and were not exclusively from scrap or recycled sources, triggering the due diligence steps described in the following sections.

The Company designed and implemented the majority of our due diligence measures prior to the current reporting year 2017. These measures were continued during 2017 and are described herein. They are designed to conform, in all material respects, to the framework in The Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas including the Supplement on Tin, Tantalum and Tungsten, as well as those portions of the OECD Supplement on Gold applicable to downstream companies (collectively the “OECD Guidance”). In accordance with the five step OECD Guidance, our measures are designed to determine, to the best of our ability, the source and chain of custody of the 3TG materials necessary for the functionality and/or production of our products, to ascertain if the materials originated in one of the Covered Countries, and if so, whether armed groups directly or indirectly benefited as a result.

1: Establish company management systems

The Company undertook the following measures to establish management systems to address compliance with Rule 13p-1:

  

 

The Company has established a Conflict Minerals Policy (“CMP”) that has been posted on its website at: www.biolase.com under “Investor Relations” in “Corporate Governance” in “Conduct.” The Company also has a Supplier Survey/Certification Form and a Supplier Code of Conduct. The Supplier Code of Conduct includes a mechanism for escalating any issues and concerns.

 

 

 

The Company has established a management system for complying with the applicable rules. The management system includes the development of a Conflict Minerals Task Force led by our Chief Financial Officer and a team of subject matter experts from relevant functions including, purchasing, quality assurance, manufacturing, and finance.

 

 

 

The Company has inserted a clause on conflict minerals in all new supplier certification forms, as well as revising existing supplier certification forms for in-scope suppliers to include the clause. The clause requires each supplier to use its best endeavors to determine the origin of conflict minerals through the use of OECD guidance.

 

 

 

The Company has established its due diligence compliance process and set forth documentation and record maintenance mechanism to ensure the retaining of relevant documentation in a structured electronic database.

 


 

 

The Company has also created internal follow-up processes (including e-mail communication and direct contact by telephone) to identify and escalate any identified issues associated with non-responsive or problematic responses to its RCOI.

 

 

The Company establishes and maintains long term relationships with the majority of its suppliers to improve due diligence performance.

2: Identify and assess risks in the supply chain

The Company took the following measures to identify risks in our supply chain:

 

 

Conducted a supplier survey of all suppliers providing products or components within scope of Rule 13p-1, necessary for the functionality of the Company’s products and likely to contain 3TG. The survey was based on the Electronics Industry Citizenship Coalition (“EICC”) and the Global eSustainability Initiative (“GeSI”) Conflict Minerals Reporting Template created by the Electronics Industry Citizenship Coalition (“EICC”) and the Global eSustainability Initiative (“GeSI”) as a common means for the collection of sourcing information related to necessary conflict minerals in our products. The survey also included information to inform the suppliers of the Company’s Conflict Minerals Rule reporting obligations as well as the assistance required from our supply chain, and the resulting expectations for the sourcing of conflict minerals.

 

 

 

 

Suppliers of in-scope products are required to complete the CFSI Conflict Minerals Reporting Template (the “CFSI Template”) on an annual basis. The CFSI Template was developed to facilitate disclosure and communication of information regarding Smelters or Refiners (“SORs”) that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the SORs the Company and its suppliers use. In addition, the CFSI Template contains questions about the origin of conflict minerals included in suppliers’ products, as well as supplier due diligence.

 

 

 

 

Reviewed and assessed survey responses. Followed up with suppliers whose responses were incomplete or appeared to report inconsistent information.

 

 

 

 

When a supplier response stated that conflict minerals were sourced from the Covered Countries and identified the SORs involved, the Company compared the identified SORs to the CFSI’s Conflict Free Smelter Program list to identify those validated by an independent third-party audit under the Conflict Free Smelter Program and those not validated.  

 

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

The Company designed and implemented strategies to respond to identified risks, including the following:

 

 

Developed a Risk Management Plan, which includes a training program to ensure suppliers understand the Company’s expectations as it relates to 3TG.

 

 

 

 

When applicable, the Company will work with suppliers who are sourcing from non-Conflict Free SORs to facilitate a transition to using Conflict Free SORs within a reasonable time frame. The time frame will be dependent on the criticality of the specific part and the availability of alternative suppliers.

 

 

 

 

Sent follow-up communications to suppliers that provided incomplete or inconsistent survey responses. Requested suppliers submitting letters of conflict “status” to complete our survey to collect additional relevant information.

 

 

 

 

Suppliers who received one of these follow-up communications were directed to our Policy Statement, as well as conflict minerals training and education materials. Suppliers were asked to review the materials and provide updated information in a timely manner.

 

 

 

 

Suppliers who did not respond to our initial survey were sent escalation communications requesting that they respond to the survey and provide the requested information. Several unresponsive suppliers were engaged directly by our sourcing personnel to advise them to complete our requested survey to the best of their ability.

 

4: Carry out independent third-party audit of Smelter or Refiner due diligence practices

The Company is a downstream consumer of the necessary conflict minerals in our products and are many steps removed from SORs who provide minerals and ores. Our due diligence efforts rely on cross-industry initiatives to implement validation of Covered Countries conflict free SORs as outlined in OECD Guidance for downstream companies. As such, the Company does not perform or direct audits of SORs within the supply chain, rather it relied on the results of audits conducted by Conflict-Free Smelter Program to determine SORs due diligence practices.



5: Report annually on supply chain due diligence

In accordance with the Rule 13p-1, our Form SD, along with a copy of this CMR constitute the Company’s annual report on our Conflict Minerals Due Diligence. These have been filed with the SEC and are available on our website at ww.biolase.com under “Investor Relations” in “SEC Filings.”

Due Diligence Results

For the calendar year ended December 31, 2017, the Company surveyed its entire known component and outsourced manufacturing supply chain, which consisted of 183 suppliers, with a 99% response rate. Of those suppliers, 158 reported that conflict minerals are not intentionally added to their products, are not necessary to the production of their products or are not contained in the finished products that they manufacture or contract to manufacture. With respect to the remaining 25 suppliers within the scope of the RCOI, the large majority provided data at a company, division or product category level, including 13 suppliers that identified as conflict free using the CFSI Template, 8 suppliers that were uncertain as to the country of origin of conflict minerals in their supply chain and/or were unable to specify the SORs that processed conflict minerals in materials or components supplied to us, and two suppliers that stated they sourced 3TG from the Covered Countries, from other than scrap or recycled sources, and named SORs who have not yet completed a Conflict Free Smelter Program or cross recognized audit validating a conflict free process. Two suppliers within the scope of the RCOI did not respond.

With respect to the 8 suppliers who were uncertain of the country of origin or the two suppliers who sourced conflict minerals from the Covered Countries, from other than scrap or recycled sources, and identified the SORs involved, all such responses provided data at a company level. As a result, we were not able to determine whether the specific conflict minerals from such suppliers that were sourced from the Covered Countries were included in components or materials we obtained from the suppliers and used in our products.

During due diligence, the Company noted 378 companies identified by CFSI as known SORs, which are potentially included in our supply chain. Of the identified SORs, 289 are compliant or active with CFSI’s Conflict Free Smelter Program list and considered to be conflict free or are participating in one of the cross-recognized certifications programs. With respect to the other 89, CFSI has not provided an opinion as whether or not the minerals procured from these SORs originate from the Covered Countries. Refer to Table I for a listing of all identified SORs potentially in our supply chain, along with facility locations, and the conflict free status.

Based on the results of the due diligence measures described above, the Company has been unable to determine with 100% certainty the country of origin of the necessary conflict minerals, the mine or location of origin of the necessary conflict minerals in our products, or the facilities used to process the necessary conflict minerals in our products.  Due to this the Company has not been found to be ‘DRC conflict free’.

 

Continuous Improvement Efforts to Mitigate Risk

The Company expects to take the following steps, among others, to improve our due diligence measures and to further mitigate the risk that necessary conflict minerals contained in our products may finance or benefit armed groups in the Covered Countries:

 

 

Continue to educate our direct suppliers about our reporting obligations related to conflict minerals, and continue to provide our direct suppliers with educational materials and website links that they may provide to their own suppliers.

 

 

Encourage our direct suppliers to implement responsible sourcing and ask them to encourage SORs to become certified as conflict-free.

 

 

When the complexity of our data collection process requires it, evaluate new systems for the collection and management of conflict minerals reporting data.

 



Table I. Smelters or Refiners List

List and status of SORs are as of May 17, 2018 and status data is from CFSI. The list includes 378 recognized SORs that are either known to obtain at least some minerals from the Covered Countries or are SORs where the source of the minerals was not disclosed and could not be determined. It does not include those SORs that source only from outside the Covered Countries as determined through RCOI, or process only recycled or scrap materials. “Country” refers to the location of the facility, not the source of minerals.  The smelter location was not used for RCOI, since it does not necessarily determine the source of the ore, although location near abundant mineral resources can be an indicator of mineral sourcing.  

 

Metal

Smelter Name

Country

Gold

Metalor USA Refining Corporation

UNITED STATES

Gold

Heraeus Ltd. Hong Kong

CHINA

Gold

Advanced Chemical Company

UNITED STATES

Gold

Western Australian Mint trading as The Perth Mint

AUSTRALIA

Gold

Aida Chemical Industries Co., Ltd.

JAPAN

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB EMIRATES

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

Gold

AngloGold Ashanti Córrego do Sítio Mineração

BRAZIL

Gold

Tongling Nonferrous Metals Group Co., Ltd.

CHINA

Gold

Argor-Heraeus SA

SWITZERLAND

Gold

Asahi Pretec Corporation

JAPAN

Gold

Asaka Riken Co., Ltd.

JAPAN

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

Gold

Aurubis AG

GERMANY

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

Gold

Boliden AB

SWEDEN

Gold

C. Hafner GmbH + Co. KG

GERMANY

Gold

Caridad

MEXICO

Gold

CCR Refinery - Glencore Canada Corporation

CANADA

Gold

Cendres + Métaux SA

SWITZERLAND

Gold

Yunnan Copper Industry Co., Ltd.

CHINA

Gold

Chimet S.p.A.

ITALY

Gold

Chugai Mining

JAPAN

Gold

Daejin Indus Co., Ltd.

KOREA, REPUBLIC OF

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

Gold

Do Sung Corporation

KOREA, REPUBLIC OF

Gold

DODUCO GmbH

GERMANY

Gold

Dowa

JAPAN

Gold

Eco-System Recycling Co., Ltd.

JAPAN

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

Gold

Fidelity Printers and Refiners Ltd.

ZIMBABWE

Gold

OJSC Novosibirsk Refinery

RUSSIAN FEDERATION

Gold

Gansu Seemine Material Hi-Tech Co., Ltd.

CHINA

Gold

Geib Refining Corporation

UNITED STATES

Gold

Guangdong Jinding Gold Limited

CHINA

Gold

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

CHINA

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

Gold

Heimerle + Meule GmbH

GERMANY

Gold

Heraeus Precious Metals GmbH & Co. KG

GERMANY

Gold

Hunan Chenzhou Mining Co., Ltd.

CHINA

Gold

HwaSeong CJ Co., Ltd.

KOREA, REPUBLIC OF

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

CHINA


Metal

Smelter Name

Country

Gold

Ishifuku Metal Industry Co., Ltd.

JAPAN

Gold

Istanbul Gold Refinery

TURKEY

Gold

Japan Mint

JAPAN

Gold

Jiangxi Copper Company Limited

CHINA

Gold

Johnson Matthey Inc

UNITED STATES

Gold

Johnson Matthey Ltd

CANADA

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

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 Miedź Spółka Akcyjna

POLAND

Gold

Kojima Chemicals Co., Ltd.

JAPAN

Gold

Korea Zinc Co., Ltd.

KOREA, REPUBLIC OF

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

Gold

L' azurde Company For Jewelry

SAUDI ARABIA

Gold

Lingbao Gold Company Limited

CHINA

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CHINA

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CHINA

Gold

Materion

UNITED STATES

Gold

Matsuda Sangyo Co., Ltd.

JAPAN

Gold

Metalor Technologies SA

SWITZERLAND

Gold

Metalor Technologies (Hong Kong) Ltd.

CHINA

Gold

Metalor Technologies (Singapore) Pte., Ltd.

SINGAPORE

Gold

Metalor Technologies (Suzhou) Ltd.

CHINA

Gold

METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V

MEXICO

Gold

Mitsubishi Materials Corporation

JAPAN

Gold

Mitsui Mining and Smelting Co., Ltd.

JAPAN

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

Gold

Morris and Watson

NEW ZEALAND

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

Gold

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

TURKEY

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

Gold

Nihon Material Co., Ltd.

JAPAN

Gold

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

AUSTRIA

Gold

Elemetal Refining, LLC

UNITED STATES

Gold

Ohura Precious Metal Industry Co., Ltd.

JAPAN

Gold

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

RUSSIAN FEDERATION

Gold

PAMP SA

SWITZERLAND

Gold

Penglai Penggang Gold Industry Co., Ltd.

CHINA

Gold

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

Gold

PT Aneka Tambang (Persero) Tbk

INDONESIA

Gold

PX Précinox SA

SWITZERLAND

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

Gold

Republic Metals Corporation

UNITED STATES

Gold

Royal Canadian Mint

CANADA

Gold

SAAMP

FRANCE

Gold

Sabin Metal Corp.

UNITED STATES


Metal

Smelter Name

Country

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 Joyería Platería SA

SPAIN

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CHINA

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CHINA

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

Gold

Singway Technology Co., Ltd.

TAIWAN

Gold

So Accurate Group, Inc.

UNITED STATES

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

Gold

Solar Applied Materials Technology Corp.

TAIWAN

Gold

Sudan Gold Refinery

SUDAN

Gold

Sumitomo Metal Mining Co., Ltd.

JAPAN

Gold

T.C.A S.p.A

ITALY

Gold

Tanaka Kikinzoku Kogyo K.K.

JAPAN

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

Gold

The Refinery of Shandong Gold Mining Co., Ltd.

CHINA

Gold

Tokuriki Honten Co., Ltd.

JAPAN

Gold

Tony Goetz NV

BELGIUM

Gold

Torecom

KOREA, REPUBLIC OF

Gold

Umicore Brasil Ltda.

BRAZIL

Gold

Umicore Precious Metals Thailand

THAILAND

Gold

Umicore SA Business Unit Precious Metals Refining

BELGIUM

Gold

United Precious Metal Refining, Inc.

UNITED STATES

Gold

Valcambi SA

SWITZERLAND

Gold

WIELAND Edelmetalle GmbH

GERMANY

Gold

Yamamoto Precious Metal Co., Ltd.

JAPAN

Gold

Yokohama Metal Co., Ltd.

JAPAN

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

Gold

Zijin Mining Group Co., Ltd. Gold Refinery

CHINA

Gold

Johnson Matthey Limited

CANADA

Gold

Xstrata Canada Corporation

CANADA

Gold

Codelco

CHILE

Gold

Argor Heraeus

Hong Kong

Gold

Mitsubishi Materials Corporation

JAPAN

Gold

Aktyubinsk Copper Company TOO

KAZAKHSTAN

Gold

Colt Refining

UNITED STATES

Gold

DaeryongENC

KOREA, REPUBLIC OF

Gold

Dowa Metals & Mining. Kosak Seiren

JAPAN

Gold

Shangdong Zhaojin Gold & Silver Refinery Co. Ltd.

CHINA

Gold

China National Gold Group Corporation

CHINA

Gold

Faggi Enrico S.p.A.

ITALY

Gold

Bauer Walser AG

GERMANY

Gold

Korea Metal Co., Ltd.

KOREA, REPUBLIC OF

Gold

OJSC Kolyma Refinery

RUSSIAN FEDERATION

Gold

Bangalore Refinery

INDIA

Gold

Modeltech Sdn Bhd

MALAYSIA

Gold

AU Traders and Refiners

SOUTH AFRICA

Gold

Remondis Argentia B.V.

NETHERLANDS

Gold

SAFINA A.S.

CZECH REPUBLIC


Metal

Smelter Name

Country

Gold

TOO Tau-Ken-Altyn

KAZAKHSTAN

Gold

AURA-II

UNITED STATES

Gold

Gujarat Gold Centre

INDIA

Gold

Sai Refinery

INDIA

Gold

Allgemeine

GERMANY

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

Tantalum

Conghua Tantalum and Niobium Smeltry

CHINA

Tantalum

D Block Metals, LLC

UNITED STATES

Tantalum

Duoluoshan

CHINA

Tantalum

E.S.R. Electronics

UNITED STATES

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 Zhiyuan New Material Co., Ltd.

CHINA

Tantalum

H.C. Starck Co., Ltd.

THAILAND

Tantalum

H.C. Starck GmbH Goslar

GERMANY

Tantalum

H.C. Starck GmbH Laufenburg

GERMANY

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

Tantalum

H.C. Starck Inc.

UNITED STATES

Tantalum

H.C. Starck Ltd.

JAPAN

Tantalum

H.C. Starck Smelting GmbH & Co. KG

GERMANY

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CHINA

Tantalum

Hi-Temp Specialty Metals, Inc.

UNITED STATES

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CHINA

Tantalum

Jiangxi Tuohong New Raw Material

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

Tantalum

King-Tan Tantalum Industry Ltd.

CHINA

Tantalum

LSM Brasil S.A.

BRAZIL

Tantalum

Metallurgical Products India Pvt., Ltd.

INDIA

Tantalum

Mineração Taboca S.A.

BRAZIL

Tantalum

Mitsui Mining & Smelting

JAPAN

Tantalum

Molycorp Silmet A.S.

ESTONIA

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

Tantalum

Plansee SE Liezen

AUSTRIA

Tantalum

Plansee SE Reutte

AUSTRIA

Tantalum

QuantumClean

UNITED STATES

Tantalum

Resind Indústria e Comércio Ltda.

BRAZIL

Tantalum

RFH Tantalum Smeltry Co., Ltd.

CHINA

Tantalum

Solikamsk Magnesium Works OAO

RUSSIAN FEDERATION

Tantalum

Taki Chemicals

JAPAN

Tantalum

Telex Metals

UNITED STATES

Tantalum

Tranzact, Inc.

UNITED STATES

Tantalum

Ulba Metallurgical Plant JSC

KAZAKHSTAN

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

CHINA

Tantalum

Yichun Jin Yang Rare Metal Co., Ltd.

CHINA


Metal

Smelter Name

Country

Tantalum

Zhuzhou Cemented Carbide Group Co., Ltd.

CHINA

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

Tantalum

H.C. Starck GmbH

GERMANY

Tantalum

Gannon & Scott

UNITED STATES

Tantalum

Global Advanced Metals

UNITED STATES

Tantalum

H.C. Starck Group

GERMANY

Tantalum

Plansee

AUSTRIA

Tantalum

Tantalite Resources

SOUTH AFRICA

Tantalum

Shanghai Jiangxi Metals Co. Ltd

CHINA

Tantalum

Avon Specialty Metals Ltd

UNITED KINGDOM

Tantalum

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

CHINA

Tin

Minsur

PERU

Tin

EM Vinto

BOLIVIA

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

Tin

Operaciones Metalurgical S.A.

BOLIVIA

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

Tin

Alpha

UNITED STATES

Tin

An Thai Minerals Co., Ltd.

VIET NAM

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

CHINA

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

CHINA

Tin

Yunnan Tin Company Limited

CHINA

Tin

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

Tin

Cooperativa Metalurgica de Rondônia Ltda.

BRAZIL

Tin

CV Ayi Jaya

INDONESIA

Tin

CV Dua Sekawan

INDONESIA

Tin

CV Gita Pesona

INDONESIA

Tin

PT Justindo

INDONESIA

Tin

PT Aries Kencana Sejahtera

INDONESIA

Tin

CV Serumpun Sebalai

INDONESIA

Tin

CV Tiga Sekawan

INDONESIA

Tin

CV United Smelting

INDONESIA

Tin

CV Venus Inti Perkasa

INDONESIA

Tin

Dowa

JAPAN

Tin

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

VIET NAM

Tin

Estanho de Rondônia S.A.

BRAZIL

Tin

Fenix Metals

POLAND

Tin

Gejiu Fengming Metallurgy Chemical Plant

CHINA

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

CHINA

Tin

Guanyang Guida Nonferrous Metal Smelting Plant

CHINA

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

Tin

Huichang Jinshunda Tin Co. Ltd

CHINA

Tin

Nankang Nanshan Tin Manufactory Co., Ltd.

CHINA

Tin

Gejiu Kai Meng Industry and Trade LLC

CHINA

Tin

Magnu's Minerais Metais e Ligas Ltda.

BRAZIL

Tin

Melt Metais e Ligas S/A

BRAZIL

Tin

Metallic Resources, Inc.

UNITED STATES

Tin

Metallo-Chimique N.V.

BELGIUM

Tin

Mineração Taboca S.A.

BRAZIL

Tin

Mitsubishi Materials Corporation

JAPAN


Metal

Smelter Name

Country

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIET NAM

Tin

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

THAILAND

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

Tin

Phoenix Metal Ltd.

RWANDA

Tin

PT Artha Cipta Langgeng

INDONESIA

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

Tin

PT Babel Inti Perkasa

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 Karimun Mining

INDONESIA

Tin

PT Kijang Jaya Mandiri

INDONESIA

Tin

PT Mitra Stania Prima

INDONESIA

Tin

PT Panca Mega Persada

INDONESIA

Tin

PT Prima Timah Utama

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 Timah (Persero) Tbk Kundur

INDONESIA

Tin

PT Timah (Persero) 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

Resind Indústria e Comércio Ltda.

BRAZIL

Tin

Rui Da Hung

TAIWAN

Tin

Soft Metais Ltda.

BRAZIL

Tin

Thaisarco

THAILAND

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

CHINA

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIET NAM

Tin

VQB Mineral and Trading Group JSC

VIET NAM

Tin

White Solder Metalurgia e Mineração Ltda.

BRAZIL

Tin

China Tin Group Co., Ltd.

CHINA

Tin

Metallo Chimique

BELGIUM

Tin

White Solder Metalurgia

BRAZIL

Tin

Geiju Non-Ferrous Metal Processing Co. Ltd.

CHINA

Tin

Liuzhou China Tin

CHINA

Tin

CV Duta Putra Bangka

INDONESIA

Tin

CV Prima Timah Utama

INDONESIA

Tin

PT Refined Banka Tin

INDONESIA

Tin

PT Timah

INDONESIA

Tin

PT Timah Nusantara

INDONESIA

Tin

PT Panca Mega

INDONESIA

Tin

Malaysia Smelting Corp. Berhard

Malaysia

Tin

Minsur

PERU


Metal

Smelter Name

Country

Tin

Thailand Smelting & Refining Co., Ltd

Thailand

Tin

Malaysia Smelting Corp

MALAYSIA

Tin

Jiangxi Nanshan

CHINA

Tin

PT Bangka Putra Karya

INDONESIA

Tin

Metallo Chimique

BELGIUM

Tin

Minmetals Ganzhou Tin Co. Ltd.

CHINA

Tin

Novosibirsk Integrated Tin Works

RUSSIAN FEDERATION

Tin

Imperial Zinc

UNITED STATES

Tin

Tanaka Kikinzoku Kogyo K.K.

JAPAN

Tin

Thailand Smelting

THAILAND

Tin

PT Yinchendo Mining Industry

INDONESIA

Tin

PT Pelat Timah Nusantara Tbk

INDONESIA

Tin

Elmet S.L.U. (Metallo Group)

SPAIN

Tin

PT Bangka Prima Tin

INDONESIA

Tin

Feinhütte Halsbrücke GmbH

GERMANY

Tin

Linwu Xianggui Ore Smelting Co., Ltd.

CHINA

Tin

PT Alam Lestari Kencana

INDONESIA

Tin

PT Bangka Kudai Tin

INDONESIA

Tin

PT Bangka Timah Utama Sejahtera

INDONESIA

Tin

PT BilliTin Makmur Lestari

INDONESIA

Tin

PT Fang Di MulTindo

INDONESIA

Tin

PT Seirama Tin Investment

INDONESIA

Tin

Metahub Industries Sdn. Bhd.

ASIA

Tin

Gejiu Jinye Mineral Company

CHINA

Tin

Modeltech Sdn Bhd

MALAYSIA

Tin

PT O.M. Indonesia

INDONESIA

Tungsten

A.L.M.T. TUNGSTEN Corp.

JAPAN

Tungsten

ACL Metais Eireli

BRAZIL

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIET NAM

Tungsten

Kennametal Huntsville

UNITED STATES

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

Tungsten

Dayu Jincheng Tungsten Industry Co., Ltd.

CHINA

Tungsten

Dayu Weiliang Tungsten Co., Ltd.

CHINA

Tungsten

Fujian Jinxin 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

Global Tungsten & Powders Corp.

UNITED STATES

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

Tungsten

H.C. Starck GmbH

GERMANY

Tungsten

H.C. Starck Smelting GmbH & Co.KG

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

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


Metal

Smelter Name

Country

Tungsten

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

CHINA

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical 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

Kennametal Fallon

UNITED STATES

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

Tungsten

Moliren Ltd

RUSSIAN FEDERATION

Tungsten

Niagara Refining LLC

UNITED STATES

Tungsten

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

VIET NAM

Tungsten

South-East Nonferrous Metal Company Limited of Hengyang City

CHINA

Tungsten

Tejing (Vietnam) Tungsten Co., Ltd.

VIET NAM

Tungsten

Vietnam Youngsun Tungsten Industry Co., Ltd.

VIET NAM

Tungsten

Wolfram Bergbau und Hütten AG

AUSTRIA

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

China Minmetals Nonferrous Metals Co Ltd

CHINA

Tungsten

Ganzhou Grand Sea W & Mo Group Co Ltd

CHINA

Tungsten

ATI Tungsten Materials

UNITED STATES

Tungsten

HC Starck GmbH

GERMANY

Tungsten

Ganxian Shirui New Material Co., Ltd.

CHINA

Tungsten

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

CHINA

Tungsten

Zhuzhou Cemented Carbide Group Co Ltd

CHINA

Tungsten

Pobedit, JSC

RUSSIAN FEDERATION

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

CHINA

Tungsten

Sanher Tungsten Vietnam Co., Ltd.

VIET NAM

Tungsten

Philippine Chuangxin Industrial Co., Inc.

PHILIPPINES

Tungsten

Woltech Korea Co., Ltd.

KOREA, REPUBLIC OF