(Commission File Number) | (Exact Name of Registrant as Specified in Its Charter) (Address of Principal Executive Offices) (Zip Code) | (State or Other Jurisdiction of Incorporation or Organization) | (IRS Employer Identification No.) |
1-9516 | ICAHN ENTERPRISES L.P. | Delaware | 13-3398766 |
767 Fifth Avenue, Suite 4700 New York, NY 10153 | |||
333-118021-01 | ICAHN ENTERPRISES HOLDINGS L.P. | Delaware | 13-3398767 |
767 Fifth Avenue, Suite 4700 New York, NY 10153 |
Peter Reck: (212) 702-4300 767 Fifth Avenue, Suite 4700, New York, NY 10153 |
(Name and telephone number, including area code, of the person to contact in connection with this report.) |
x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2014. |
ICAHN ENTERPRISES L.P. | |||
(Registrant) | |||
By: | Icahn Enterprises G.P. Inc., its general partner | ||
By: | /s/ Peter Reck | ||
Peter Reck | |||
Chief Accounting Officer |
ICAHN ENTERPRISES HOLDINGS L.P. | |||
(Registrant) | |||
By: | Icahn Enterprises G.P. Inc., its general partner | ||
By: | /s/ Peter Reck | ||
Peter Reck | |||
Chief Accounting Officer |
1. | Reasonable Country of Origin Inquiry |
2. | Company Overview |
3. | Design of Due Diligence |
a. | Established a Strong Company Management System: |
b. | Identified and Assessed Risk in the Supply Chain: |
c. | Designed and Implemented a Strategy to Respond to Risks: |
d. | Carried out Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain: |
e. | Reported on Supply Chain Due Diligence: |
4. | Due Diligence Results |
5. | Steps to be Taken to Mitigate Risk |
▪ | Include a conflict minerals flow-down clause in supplier agreements and/or the Company’s general terms and conditions of purchase. |
▪ | Continue to encourage suppliers to educate and train their lower tier suppliers to have a conflict-free sourcing policy. |
▪ | Continue to improve our reasonable country of origin inquiry and due diligence results and responses by working closely with our supply base. |
▪ | Continue to work with relevant trade associations to define and improve best practices, and continue to support the CFSI Conflict-Free Smelter Program in an effort to increase the number of verified smelters and refiners participating in such program. |
(i) | ARI has established a management system to support its supply chain due diligence. |
a. | ARI maintains an organizational structure and communication process that is intended to establish a system of transparency over its supply chain. This system is meant to help ARI obtain critical information regarding the supply chain of Conflict Minerals used in its products. |
b. | ARI has a company policy regarding Conflict Minerals. This policy is publicly available on the Company’s website: www.americanrailcar.com. Employees, suppliers and other interested parties can contact ARI regarding its Conflict Minerals policy either in writing or by phone. |
c. | Authority and responsibility are assigned to a multi-disciplinary team comprised of ARI's Director of Purchasing, Manager of Financial Reporting, and Manager of Internal Audit (collectively, the “Conflict Minerals Committee”). The Conflict Minerals Committee receives periodic support from ARI's Vice President, Finance and Chief Accounting Officer and its General Counsel and reports all Conflict Minerals matters directly to the Senior Vice President, Chief Financial Officer and Treasurer. |
d. | ARI has distributed communications to its suppliers making them aware of Rule 13p-1 and ARI's related policies. Conflict Minerals provisions have been incorporated into supplier contracts and purchase orders through the Company's updated standard terms and conditions as published on its website. |
e. | ARI maintains business records relating to Conflict Minerals due diligence in accordance with the Company's existing processes. |
(ii) | ARI has taken steps to identify and assess risk in its supply chain. |
a. | ARI identified suppliers in its supply chain during the Reporting Period and sent those suppliers a copy of the Template (a “Survey”). As of April 30, 2015, a significant amount of Surveys were returned. Several follow-up reminders were sent to those suppliers who did not respond to the Survey. If a supplier did not respond to the Survey or the response was too general (i.e. declaration at company level instead of product level), ARI conducted a reasonable assessment of the composition of the suppliers’ product or materials in an effort to determine if the product or materials contained Conflict Minerals. ARI also reviewed Survey responses from suppliers that supplied similar products and materials to evaluate the consistency and accuracy of responses. |
b. | ARI also engaged in discussions with its immediate suppliers in an effort to identify the smelters/refiners of any Conflict Minerals in its supply chain during the Reporting Period. |
(iii) | ARI has designed and implemented a strategy to respond to identified risks. |
a. | ARI’s Conflict Minerals Committee monitors internal accountability with respect to the implementation of the supply chain due diligence process and reports its findings of the supply chain risk assessment to upper level management and the Audit Committee of ARI's Board of Directors. |
b. | ARI has designed and implemented a risk management plan that includes, but is not limited to, engaging in follow-up discussions with suppliers about the composition of their products and materials, requests for suppliers to complete Surveys, and working to incorporate Conflict Minerals language into ARI’s |
(iv) | ARI has determined reliance upon independent third-party audits of smelter/refiner due diligence practices by the Conflict Free Sourcing Initiative (CFSI) is appropriate. |
a. | ARI is a downstream company and is many steps removed from the smelters and refiners that produce the necessary Conflict Minerals contained in ARI’s products or components of ARI’s products. ARI does not purchase raw minerals or ores, and does not, to the best of its knowledge, directly purchase Conflict Minerals from any of the Covered Countries. Accordingly, ARI does not perform or direct audits of these entities’ supply chains of Conflict Minerals. However, ARI supports industry wide efforts and the development and implementation of independent third-party audits of smelters and refiners, such as the CFSI’s Conflict-Free Smelter Program. |
(v) | ARI complies with Step 5 of the OECD Guidance through its filing of this report (and the related Form SD) with the SEC and by making these materials publicly available on its website at www.americanrailcar.com. |
Metal | Smelter Name | Smelter Country |
Gold | Aida Chemical Industries Co. Ltd. | Japan |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan |
Gold | AngloGold Ashanti Córrego do Sítio Minerção | Brazil |
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 | Bauer Walser AG | Germany |
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 | Chimet S.p.A. | Italy |
Gold | China National Gold Group Corporation | 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 | Do Sung Corporation | Korea, Republic of |
Gold | Doduco | Germany |
Gold | Dowa | Japan |
Gold | Eco-System Recycling Co., Ltd. | Japan |
Gold | FSE Novosibirsk Refinery | Russian Federation |
Gold | Guangdong Jinding Gold Limited | China |
Gold | Heimerle + Meule GmbH | Germany |
Gold | Heraeus Ltd. Hong Kong | Hong Kong |
Gold | Heraeus Precious Metals GmbH & Co. KG | Germany |
Gold | Hunan Chenzhou Mining Group Co., Ltd. | China |
Gold | Hwasung CJ Co. Ltd | Korea, Republic of |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | China |
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 | Kazzinc Ltd | Kazakhstan |
Gold | Kennecott Utah Copper LLC | United States |
Gold | Kojima Chemicals Co., Ltd | Japan |
Gold | Korea Metal Co. Ltd | Korea, Republic of |
Gold | Kyrgyzaltyn JSC | Kyrgyzstan |
Gold | L' azurde Company For Jewelry | Saudi Arabia |
Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | China |
Gold | LS-NIKKO Copper Inc. | Korea, Republic of |
Gold | Luoyang Zijin Yinhui Metal Smelt Co Ltd | China |
Gold | Materion | United States |
Gold | Matsuda Sangyo Co., Ltd. | Japan |
Gold | Metalor Technologies (Hong Kong) Ltd | Hong Kong |
Gold | Metalor Technologies (Singapore) Pte. Ltd. | Singapore |
Gold | Metalor Technologies SA | Switzerland |
Gold | Metalor USA Refining Corporation | United States |
Gold | Met-Mex Peñoles, S.A. | Mexico |
Gold | Mitsubishi Materials Corporation | Japan |
Gold | Mitsui Mining and Smelting Co., Ltd. | Japan |
Gold | Moscow Special Alloys Processing Plant | Russian Federation |
Gold | Nadir Metal Rafineri San. Ve Tic. A.ª. | Turkey |
Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan |
Gold | Nihon Material Co. LTD | Japan |
Gold | Ohio Precious Metals, LLC | United States |
Gold | Ohura Precious Metal Industry Co., Ltd | Japan |
Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) | Russian Federation |
Gold | OJSC Kolyma Refinery | 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 | Royal Canadian Mint | Canada |
Gold | Sabin Metal Corp. | United States |
Gold | SAMWON METALS Corp. | Korea, Republic of |
Gold | Schone Edelmetaal | Netherlands |
Gold | SEMPSA Joyería Platería SA | Spain |
Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd | China |
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 | Sumitomo Metal Mining Co., Ltd. | Japan |
Gold | Tanaka Kikinzoku Kogyo K.K. | Japan |
Gold | The Great Wall Gold and Silver Refinery of China | China |
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 | 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 | Western Australian Mint trading as The Perth Mint | Australia |
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 | China |
Tantalum | Conghua Tantalum and Niobium Smeltry | China |
Tantalum | Duoluoshan | China |
Tantalum | Exotech Inc. | United States |
Tantalum | F&X Electro-Materials Ltd. | China |
Tantalum | Gannon & Scott | United States |
Tantalum | Global Advanced Metals | United States |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China |
Tantalum | H.C. Starck Smelting GmbH & Co.KG | Germany |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China |
Tantalum | Hi-Temp | United States |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China |
Tantalum | Jiujiang Tanbre Co., Ltd. | China |
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 | QuantumClean | United States |
Tantalum | RFH Tantalum Smeltry Co., Ltd | China |
Tantalum | Shanghai Jiangxi Metals Co. Ltd | China |
Tantalum | Solikamsk Magnesium Works OAO | Russian Federation |
Tantalum | Taki Chemicals | Japan |
Tantalum | Telex | United States |
Tantalum | Ulba | Kazakhstan |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd | China |
Tantalum | Zhuzhou Cement Carbide | China |
Tantalum | H.C. Starck GmbH | Germany |
Tantalum | H.C. Starck Ltd. | Japan |
Tin | Alpha | United States |
Tin | China Rare Metal Materials Company | China |
Tin | China Tin Group Co., Ltd. | China |
Tin | CNMC (Guangxi) PGMA Co. Ltd. | China |
Tin | Cooper Santa | Brazil |
Tin | CV Duta Putra Bangka | Indonesia |
Tin | CV Gita Pesona | Indonesia |
Tin | CV JusTindo | Indonesia |
Tin | CV Makmur Jaya | Indonesia |
Tin | CV Nurjanah | Indonesia |
Tin | CV Prima Timah Utama | Indonesia |
Tin | CV Serumpun Sebalai | Indonesia |
Tin | CV United Smelting | Indonesia |
Tin | Dowa | Japan |
Tin | EM Vinto | Bolivia |
Tin | Estanho de Rondônia S.A. | Brazil |
Tin | Fenix Metals | Poland |
Tin | Gejiu Kai Meng Industry and Trade LLC | China |
Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd. | China |
Tin | Gejiu Zi-Li | China |
Tin | Gold Bell Group | China |
Tin | Huichang Jinshunda Tin Co. Ltd | China |
Tin | Jiangxi Nanshan | China |
Tin | Kai Unita Trade Limited Liability Company | China |
Tin | Linwu Xianggui Smelter Co | China |
Tin | Magnu's Minerais Metais e Ligas LTDA | Brazil |
Tin | Malaysia Smelting Corporation (MSC) | Malaysia |
Tin | Melt Metais e Ligas S/A | Brazil |
Tin | Metallo Chimique | Belguim |
Tin | Mineração Taboca S.A. | Brazil |
Tin | Minsur | Peru |
Tin | Mitsubishi Materials Corporation | Japan |
Tin | Novosibirsk Integrated Tin Works | Russian Federation |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand |
Tin | OMSA | Bolivia |
Tin | PT Alam Lestari Kencana | Indonesia |
Tin | PT Artha Cipta Langgeng | Indonesia |
Tin | PT Babel Inti Perkasa | Indonesia |
Tin | PT Babel Surya Alam Lestari | Indonesia |
Tin | PT Bangka Kudai Tin | Indonesia |
Tin | PT Bangka Putra Karya | Indonesia |
Tin | PT Bangka Timah Utama Sejahtera | Indonesia |
Tin | PT Bangka Tin Industry | Indonesia |
Tin | PT Belitung Industri Sejahtera | Indonesia |
Tin | PT BilliTin Makmur Lestari | Indonesia |
Tin | PT Bukit Timah | Indonesia |
Tin | PT DS Jaya Abadi | Indonesia |
Tin | PT Eunindo Usaha Mandiri | Indonesia |
Tin | PT Fang Di MulTindo | Indonesia |
Tin | PT HP Metals Indonesia | Indonesia |
Tin | PT Karimun Mining | Indonesia |
Tin | PT Koba Tin | Indonesia |
Tin | PT Mitra Stania Prima | Indonesia |
Tin | PT Pelat Timah Nusantara Tbk | Indonesia |
Tin | PT Prima Timah Utama | Indonesia |
Tin | PT Refined Bankgka Tin | Indonesia |
Tin | PT Sariwiguna Binasentosa | Indonesia |
Tin | PT Stanindo Inti Perkasa | Indonesia |
Tin | PT Sumber Jaya Indah | Indonesia |
Tin | PT Tambang Timah | Indonesia |
Tin | PT Timah (Persero), Tbk | Indonesia |
Tin | PT Tinindo Inter Nusa | Indonesia |
Tin | PT Yinchendo Mining Industry | Indonesia |
Tin | Rui Da Hung | Taiwan |
Tin | Soft Metais, Ltda. | Brazil |
Tin | Thaisarco | Thailand |
Tin | White Solder Metalurgia e Mineração Ltda. | Brazil |
Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | China |
Tin | Yunnan Tin Company, Ltd. | China |
Tin | PT Timah | Indonesia |
Tungsten | A.L.M.T. Corp. | Japan |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China |
Tungsten | Chongyi Zhangyuan Tungsten 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 Non-ferrous Metals Smelting Co., Ltd. | China |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China |
Tungsten | Global Tungsten & Powders Corp. | United States |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China |
Tungsten | H.C. Starck GmbH | Germany |
Tungsten | Hunan Chenzhou Mining Group Co., Ltd. | China |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China |
Tungsten | Japan New Metals Co., Ltd. | Japan |
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China |
Tungsten | Jiangxi Rare Earth & Rare Metals Tungsten Group Corp | China |
Tungsten | Jiangxi Tungsten Industry Group Co Ltd | China |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China |
Tungsten | Kennametal Fallon | United States |
Tungsten | Kennametal Huntsville | United States |
Tungsten | Mitsubishi Materials Corporation | Japan |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd | Vietnam |
Tungsten | Wolfram Bergbau und Hütten AG | Austria |
Tungsten | Wolfram Company CJSC | Russian Federation |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China |
Tungsten | Xiamen Tungsten Co., Ltd. | China |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China |