0000886035-16-000196.txt : 20160531 0000886035-16-000196.hdr.sgml : 20160531 20160531170720 ACCESSION NUMBER: 0000886035-16-000196 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20151231 1.02 20151231 FILED AS OF DATE: 20160531 DATE AS OF CHANGE: 20160531 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GENERAL CABLE CORP /DE/ CENTRAL INDEX KEY: 0000886035 STANDARD INDUSTRIAL CLASSIFICATION: DRAWING AND INSULATING NONFERROUS WIRE [3357] IRS NUMBER: 061398235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-12983 FILM NUMBER: 161686826 BUSINESS ADDRESS: STREET 1: 4 TESSENEER DRIVE CITY: HIGHLAND HEIGHTS STATE: KY ZIP: 41076 BUSINESS PHONE: 8595728000 MAIL ADDRESS: STREET 1: 4 TESSENEER DRIVE CITY: HIGHLAND HEIGHTS STATE: KY ZIP: 41076 SD 1 formsd2015.htm FORM SD Document

 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM SD
Specialized Disclosure Report
General Cable Corporation
(Exact name of registrant as specified in its charter)
 
 
 
Delaware
(State of incorporation)
001-12983
(Commission File Number)
06-1398235
(IRS Employer Identification No.)
 
 
 
4 Tesseneer Drive  
Highland Heights, Kentucky 41076-9753
(Address of principal executive offices, including zip code)
 
 
 
Emerson C. Moser
Senior Vice President, General Counsel and Corporate Secretary
(859) 572-8000
(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 report is being filed, and provide the period to which the information in this form applies:
þ
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.

 


Section 1 - Conflict Minerals Disclosure
Items 1.01 and 1.02 Conflict Minerals Disclosure and Report, Exhibit
Conflict Minerals Disclosure
A copy of General Cable Corporation’s Conflict Minerals Report for the year ended December 31, 2015 is attached as Exhibit 1.01 hereto and is available on our website at http://www.generalcablecsr.com/citizenship/conflictminerals.asp.
Section 2 - Exhibits
Item 2.01 Exhibits
Exhibit 1.01 - Conflict Minerals Report for the year ended December 31, 2015



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.

GENERAL CABLE CORPORATION
(Registrant)
 
 
 
 
By:
/s/ Emerson C. Moser
 
Date: May 31, 2016
 
Emerson C. Moser
 
 
 
Senior Vice President, General Counsel and Corporate Secretary
 
 

 EX-1.01 2 conflictmineralsreport2015.htm CONFLICT MINERALS REPORT Exhibit

Exhibit 1.01

GENERAL CABLE CORPORATION
Conflict Minerals Report
For the Calendar Year Ended December 31, 2015

This Conflict Minerals Report (“CMR”) for the calendar year ended December 31, 2015 has been prepared by General Cable Corporation to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Securities and Exchange Commission (“SEC”) adopted the Rule 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 Rule imposes annual reporting obligations on SEC registrants whose manufactured products contain certain minerals that are necessary to the functionality or production of those products. The subject minerals are gold as well as cassiterite, columbite-tantalite, and wolframite and their derivatives, which are limited to tin, tantalum and tungsten. These minerals and their derivatives are collectively referred to in this CMR as the “Conflict Minerals.”

General Cable Corporation and its consolidated entities are collectively referred to in this CMR as “General Cable”, “Company,” “we”, “us” and “our” unless the context indicates otherwise.

1.
Company Overview & Products Covered by This Report

General Cable is a global leader in the development, design, manufacture, marketing and distribution of copper, aluminum, and fiber optic wire and cable products for use in the energy, industrial, construction, specialty and communications markets. The Company also engages in the design, integration, and installation on a turn-key basis of products such as high and extra-high voltage terrestrial and submarine systems. Additional information about General Cable and our products may be obtained by accessing our website at www.generalcable.com. However, the content of any of our website material referred to in this CMR is included for general information only and is not incorporated herein by reference.

Throughout calendar year 2015, some of the Company’s operations manufactured or contracted to manufacture the aforementioned types of products for which Conflict Minerals are necessary to the products’ functionality or production (collectively, the “Covered Products”).

We engaged a third party consultant to assist us with our reasonable country of origin inquiry process, due diligence, and the overall effectiveness of General Cable’s Conflict Minerals program.

2.
Reasonable Country of Origin Inquiry (“RCOI”) Process

General Cable typically does not purchase any raw ore or unrefined Conflict Minerals directly from mines, smelters or refiners. Therefore, we determined that the identification of smelters or refiners (“SORs”) by our direct suppliers is the most reasonable and reliable means for us to address the source and chain of custody of Conflict Minerals in our supply chain. Accordingly, we must rely on our direct suppliers to provide information on the origin of any Conflict Minerals contained in materials and components they supplied to us. Our direct suppliers are similarly reliant upon information provided by their suppliers.

We performed a RCOI by using the Conflict Free Sourcing Initiative’s (“CFSI’s”) Conflict Minerals Reporting Template (“CMRT”) to survey a sample of direct suppliers of metallic materials and components (the “Supplier Group”). Our RCOI was designed to determine whether any of the Conflict Minerals in the Covered Products originated from the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania (each a “Covered Country” and, collectively, the “Covered Countries”).



Based on our assessment of the responses from our suppliers, we have reason to believe that some of the necessary Conflict Minerals used in our products may have originated in a Covered Country and may not have come from recycled or scrap sources. Therefore, we proceeded to perform the due diligence described below.
 
3.    Due Diligence Process
 
3.1    Due Diligence Framework
 
We designed our due diligence measures to conform, in all material respects, to each of the requirements shown below from the five-step framework in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from the Conflict-Affected and High-Risk Areas: Second Edition (2013), including the related supplements for gold and tin (collectively, the “OECD Framework”).
 
3.2    Due Diligence Performed
 
3.2.1    Establish Strong Company Management Systems
 
(a)    Conflict Minerals Policy
 
We have adopted a conflict minerals policy that includes a statement on General Cable’s commitment to working with our global supply chain to ensure compliance with the Rule. General Cable’s expectations for its suppliers to participate in our conflict minerals compliance program are also set forth in the policy.  The policy is publicly available on our website at the following link: http://www.generalcablecsr.com/citizenship/conflictminerals.asp.
 
(b)    Internal Conflict Minerals Compliance Team
 
We maintain a cross-functional conflict minerals team, including senior executive and other representatives from legal, sales, technology, manufacturing, and supply chain, to direct the execution of our conflict minerals compliance program.

(c)    Establish a System of Controls and Transparency over the Mineral Supply Chain
 
Because we typically do not have direct relationships with SORs, we surveyed the Supplier Group using the CFSI Template which requires the Supplier Group to work with their upstream supply chains to identify the SORs that process the Conflict Minerals used in our products.
 
(d)    Strengthen Company Engagement with Suppliers
 
As part of our RCOI, we emailed the respective members of the Supplier Group to (i) explain General Cable’s obligations under the Rule, (ii) outline General Cable’s expectations for the Supplier Group to cooperate with General Cable’s requests for assistance, and (iii) provide links to online training and other resources regarding conflict minerals compliance requirements. 
 
(e)    Establish or Publish a Grievance Mechanism
 
General Cable maintains a compliance helpline whereby employees, suppliers and other third parties can report any questions, concerns or violations of the Company’s standards of conduct, policies, and applicable laws and regulations.  We have also established an email account which any parties can use to report questions or concerns specifically related to our conflict minerals policy.
 

2

3.2.2    Identify and Assess Risk in the Supply Chain
 
In our efforts to determine the mine or location of origin of any Conflict Minerals in our supply chain with the greatest possible specificity, we emailed each member of the Supplier Group and requested them to complete a CMRT with information pertaining to the source of Conflict Minerals in their materials and/or components, including the source of Conflict Minerals contained in any recycled or scrap materials. Responses were tracked, accompanying information or documentation was reviewed, and additional requests for information were sent, as deemed necessary. Follow-up was performed pursuant to our due diligence program with non-responders and suppliers that provided incomplete responses, based on internally defined criteria, in an effort to obtain more detailed information. Any named SORs in the responses were reviewed against the CFSI Conflict-Free Smelter Program’s (“CFSI Program”) list of conflict-free SORS to confirm conflict-free status. 
 
3.2.3    Design and Implement a Strategy to Respond to Identified Risks
 
We have a risk management plan to address concerns that a supplier may be selling items to General Cable that contain Conflict Minerals sourced from the Covered Countries.  If a supplier indicates that items it sells to General Cable may contain Conflict Minerals sourced from the Covered Countries, we will follow up with the supplier to obtain more information, including the basis for the information provided as well as information regarding the source and chain of custody for the subject Conflict Minerals.  Identified risks will be reported to General Cable’s Vice President of Sourcing who will work with other members of senior management to determine appropriate follow-up actions, if any, to mitigate risks.
 
Our conflict minerals policy states that, if a supplier is unwilling to support General Cable in its conflict minerals compliance efforts, General Cable may take remediation steps, up to and including terminating the supplier and pursuing alternative sourcing arrangements.  We also state in our policy that General Cable may take remediation steps if a supplier cannot determine whether its materials or products contain Conflict Minerals sourced from the Covered Countries.
 
We plan to place increased priority in calendar year 2016 on those members of the Supplier Group who did not respond to our survey request or who provided incomplete or inconsistent information.
 
3.2.4    Carry Out Independent Third-Party Audits of Due Diligence Practices at Smelters and Refiners
 
We typically do not have any direct relationships with SORs and, therefore, rely upon the Conflict Free Smelter program and other industry validation efforts to perform this audit requirement.  We validate whether or not any Conflict Minerals sourced from the Covered Countries is conflict-free based on information provided by the Supplier Group and on the information available on CFSI’s public website.

3.2.5    Report on Supply Chain Due Diligence
 
Our due diligence program includes filing our Form SD with the SEC on an annual basis, as well as publishing our CMR on our website at http://www.generalcablecsr.com/citizenship/conflictminerals.asp.

4.    Due Diligence Results
 
4.1    Supplier Group Survey Results

The results of our supply chain surveys and conclusion of our reasonable country of origin inquiry are as follows:

•
Ninety-seven percent (97%) of the Supplier Group responded to our survey request.

3

•
One of the responding suppliers provided an incomplete response (based on internally defined criteria) and did not respond to our requests for additional information.
•
Five (5) of the responding suppliers indicated they have not yet received data or information from all relevant suppliers in their respective supply chains.
•
The responding suppliers identified two hundred and three (203) SORs which may process the necessary Conflict Minerals contained in the materials and/or components provided to us.
•
We know or have reason to believe that a portion of the Conflict Minerals processed by four (4) of these 203 SORs may have originated in the Covered Countries and may not be solely from recycled or scrap sources, but we have not identified any instances of sourcing that directly or indirectly supported conflict in the Covered Countries.
•
Many of the responses we received from the Supplier Group continue to provide data at a company level. Therefore, we cannot definitively determine whether many of the Conflict Minerals reported by the suppliers were contained in materials and/or components supplied to us, nor can we validate that all of the reported SORs are actually in our supply chain.

4.2    Conclusion

We do not have sufficient information from suppliers or other sources regarding all of the SORs that processed the necessary Conflict Minerals in our Covered Products. Therefore, we cannot conclude whether all Conflict Minerals in our Covered Products originated in the Covered Countries and, if so, whether those Conflict Minerals were from recycled or scrap sources or other conflict-free sources.

4.2.1    Facilities That May Have Been Used to Process Necessary Conflict Minerals

As stated above, the Supplier Group identified a total of two hundred and three (203) SORs that may have been used to process necessary Conflict Minerals in our Covered Products. These SORs are listed in Exhibit I of this CMR. Certain suppliers identified entities that we could not validate as SORs and we have not included those entities in Exhibit I.

Many suppliers provided their SOR information at a company-level rather than a product-level. Therefore, while the SORs may be the source of Conflict Minerals for the respective suppliers’ entire product lines, we do not know if Conflict Minerals from all of the SORs listed in Exhibit I are actually in our Covered Products.

Of the two hundred and three (203) SORs identified by the Supplier Group, as of May 29, 2016:

•
One hundred thirty-seven (137) SORs are included on the CFSI’s conflict-free smelter or refiner lists;
•
Twenty-five (25) SORs have not received a conflict-free designation, but have begun participating in an independent third party audit program; and
•
Forty-one (41) SORs have not begun participating in an independent third party audit program.

It should be noted that, pursuant to CFSI program rules and the certification process thereunder, some SORs may not have been compliant for the whole year, some may have failed their re-audit since our due diligence was performed and are in the process of addressing relevant issues, and/or some SORs’ certifications may have expired since our due diligence was performed and a re-audit may be in process.


4

4.2.2    Countries of Origin of the Necessary Conflict Minerals

Our efforts to determine the mine or location of origin of the necessary Conflict Minerals in our Covered Products with the greatest possible specificity consisted of the due diligence measures described above in this CMR. However, most of our suppliers did not identify the counties of origin for the necessary Conflict Minerals processed by the SORs listed in Exhibit I. Exhibit II of this CMR contains a list countries of origin for the necessary Conflict Minerals that were identified by our Supplier Group or that we identified through our internet research. Conflict Minerals contained in our Covered Products did not necessarily originate in the countries listed in Exhibit II because our suppliers generally provided SOR and country of origin information at the company level rather than limiting their responses to products they supply to us specifically.
 
5.    Risk Mitigation Steps
 
We intend to take the following steps to improve due diligence conducted and to further mitigate any future risk that our products contain Conflict Minerals that could benefit armed groups in the Covered Countries:
 
(a)    Continue to communicate to our Supplier Group our expectations and information requirements for our conflict minerals compliance program;
 
(b)    Continue to work with and train our in-scope suppliers in order to (i) increase our survey response rate and (ii) obtain complete and consistent information on the origin and chain of custody of Conflict Minerals contained in items sold to General Cable;
 
(c)    Whenever practicable, include provisions in new or renewed purchase agreements with relevant suppliers to establish obligations for such suppliers to cooperate with General Cable’s conflict minerals compliance efforts as required by the Rule; and
 
(d)    Review the potential opportunities and advantages of using automated tools to assist with RCOI and/or due diligence efforts.
 
6.    Independent Audit
 
This CMR is not subject to an independent audit under the Rule because we are not declaring that our products are DRC Conflict-Free.

Forward-Looking Statements
 
This CMR contains certain statements relating to future results, which are forward-looking statements as that term is defined in the Private Securities Litigation Reform Act of 1995. These forward-looking statements are based on beliefs of Company management, as well as assumptions and estimates based on information currently available to the Company, and are subject to certain risks and uncertainties that could cause actual results to differ materially from historical results or those anticipated, including those factors discussed under Item 1A, entitled “Risk Factors”, included in the Company’s Form 10-K for the fiscal year ended December 31, 2015.  Should one or more of these risks or uncertainties materialize adversely, or should underlying assumptions or estimates prove incorrect, actual results may vary materially from those described. These events and uncertainties are difficult or impossible to predict accurately and many are beyond the Company’s control. The Company assumes no obligation to update any forward-looking statements to reflect events or circumstances after the date of such statements or to reflect the occurrence of anticipated or unanticipated events. For additional information, see the comments included in General Cable’s filings with the SEC.

5

Exhibit I
Facilities That May Have Been Used to Process Necessary Conflict Minerals
(Note: The SOR facility names, locations and statuses shown below are as reported by the CFSI as of May 29, 2016)

Metal
 
Smelter or Refiner Facility Name
 
Identification #
Location of Facility
Status*
Tin
 
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
 
CID000228
CHINA
2
Tin
 
Jiangxi Ketai Advanced Material Co., Ltd.
 
CID000244
CHINA
1
Tin
 
CNMC (Guangxi) PGMA Co., Ltd.
 
CID000278
CHINA
3
Tin
 
Alpha
 
CID000292
UNITED STATES
1
Tin
 
Cooperativa Metalurgica de Rondônia Ltda.
 
CID000295
BRAZIL
1
Tin
 
CV Gita Pesona
 
CID000306
INDONESIA
1
Tin
 
PT Justindo
 
CID000307
INDONESIA
1
Tin
 
PT Aries Kencana Sejahtera
 
CID000309
INDONESIA
1
Tin
 
CV Serumpun Sebalai
 
CID000313
INDONESIA
1
Tin
 
CV United Smelting
 
CID000315
INDONESIA
1
Tin
 
Dowa
 
CID000402
JAPAN
1
Tin
 
EM Vinto
 
CID000438
BOLIVIA
1
Tin
 
Estanho de Rondônia S.A.
 
CID000448
BRAZIL
3
Tin
 
Feinhütte Halsbrücke GmbH
 
CID000466
GERMANY
3
Tin
 
Fenix Metals
 
CID000468
POLAND
1
Tin
 
Gejiu Non-Ferrous Metal Processing Co., Ltd.
 
CID000538
CHINA
1
Tin
 
Gejiu Zili Mining And Metallurgy Co., Ltd.
 
CID000555
CHINA
3
Tin
 
Huichang Jinshunda Tin Co., Ltd.
 
CID000760
CHINA
3
Tin
 
Gejiu Kai Meng Industry and Trade LLC
 
CID000942
CHINA
2
Tin
 
Linwu Xianggui Ore Smelting Co., Ltd.
 
CID001063
CHINA
3
Tin
 
China Tin Group Co., Ltd.
 
CID001070
CHINA
1
Tin
 
Malaysia Smelting Corporation (MSC)
 
CID001105
MALAYSIA
1
Tin
 
Metallic Resources, Inc.
 
CID001142
UNITED STATES
1
Tin
 
Mineração Taboca S.A.
 
CID001173
BRAZIL
1
Tin
 
Minsur
 
CID001182
PERU
1
Tin
 
Mitsubishi Materials Corporation
 
CID001191
JAPAN
1
Tin
 
Nankang Nanshan Tin Manufactory Co., Ltd.
 
CID001231
CHINA
3
Tin
 
O.M. Manufacturing (Thailand) Co., Ltd.
 
CID001314
THAILAND
1
Tin
 
Operaciones Metalurgical S.A.
 
CID001337
BOLIVIA
1
Tin
 
PT Alam Lestari Kencana
 
CID001393
INDONESIA
3
Tin
 
PT Artha Cipta Langgeng
 
CID001399
INDONESIA
1
Tin
 
PT Babel Inti Perkasa
 
CID001402
INDONESIA
1
Tin
 
PT Bangka Kudai Tin
 
CID001409
INDONESIA
3
Tin
 
PT Bangka Timah Utama Sejahtera
 
CID001416
INDONESIA
3
Tin
 
PT Bangka Tin Industry
 
CID001419
INDONESIA
1
Tin
 
PT Belitung Industri Sejahtera
 
CID001421
INDONESIA
1
Tin
 
PT BilliTin Makmur Lestari
 
CID001424
INDONESIA
1
Tin
 
PT Bukit Timah
 
CID001428
INDONESIA
1
Tin
 
PT DS Jaya Abadi
 
CID001434
INDONESIA
1
Tin
 
PT Eunindo Usaha Mandiri
 
CID001438
INDONESIA
1
Tin
 
PT Fang Di MulTindo
 
CID001442
INDONESIA
3
Tin
 
PT Karimun Mining
 
CID001448
INDONESIA
2
Tin
 
PT Mitra Stania Prima
 
CID001453
INDONESIA
1
Tin
 
PT Panca Mega Persada
 
CID001457
INDONESIA
1
Tin
 
PT Prima Timah Utama
 
CID001458
INDONESIA
1
Tin
 
PT Refined Bangka Tin
 
CID001460
INDONESIA
1
Tin
 
PT Sariwiguna Binasentosa
 
CID001463
INDONESIA
1
Tin
 
PT Seirama Tin Investment
 
CID001466
INDONESIA
3
Tin
 
PT Stanindo Inti Perkasa
 
CID001468
INDONESIA
1
Tin
 
PT Sumber Jaya Indah
 
CID001471
INDONESIA
1
Tin
 
PT Timah (Persero) Tbk Kundur
 
CID001477
INDONESIA
1
Tin
 
PT Timah (Persero) Tbk Mentok
 
CID001482
INDONESIA
1
Tin
 
PT Pelat Timah Nusantara Tbk
 
CID001486
INDONESIA
3
Tin
 
PT Tinindo Inter Nusa
 
CID001490
INDONESIA
1

6

Tin
 
PT Tommy Utama
 
CID001493
INDONESIA
1
Tin
 
Rui Da Hung
 
CID001539
TAIWAN
1
Tin
 
Soft Metais Ltda.
 
CID001758
BRAZIL
1
Tin
 
Thaisarco
 
CID001898
THAILAND
1
Tin
 
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
 
CID001908
CHINA
2
Tin
 
VQB Mineral and Trading Group JSC
 
CID002015
VIET NAM
1
Tin
 
White Solder Metalurgia e Mineração Ltda.
 
CID002036
BRAZIL
1
Tin
 
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
 
CID002158
CHINA
2
Tin
 
Yunnan Tin Company Limited
 
CID002180
CHINA
1
Tin
 
CV Venus Inti Perkasa
 
CID002455
INDONESIA
1
Tin
 
Magnu’s Minerais Metais e Ligas Ltda.
 
CID002468
BRAZIL
1
Tin
 
PT Tirus Putra Mandiri
 
CID002478
INDONESIA
3
Tin
 
PT Wahana Perkit Jaya
 
CID002479
INDONESIA
1
Tin
 
Melt Metais e Ligas S.A.
 
CID002500
BRAZIL
1
Tin
 
PT ATD Makmur Mandiri Jaya
 
CID002503
INDONESIA
1
Tin
 
Phoenix Metal Ltd.
 
CID002507
RWANDA
2
Tin
 
O.M. Manufacturing Philippines, Inc.
 
CID002517
PHILIPPINES
1
Tin
 
PT Inti Stania Prima
 
CID002530
INDONESIA
1
Tin
 
CV Ayi Jaya
 
CID002570
INDONESIA
1
Tin
 
Electro-Mechanical Facility of the Cao Bang Minerals &
Metallurgy Joint Stock Company
 
CID002572
VIETNAM
2
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
 
CID002573
VIETNAM
2
Tin
 
Tuyen Quang Non-Ferrous Metals Joint Stock Company
 
CID002574
VIETNAM
2
Tin
 
PT Cipta Persada Mulia
 
CID002696
INDONESIA
1
Tin
 
An Vinh Joint Stock Mineral Processing Company
 
CID002703
VIETNAM
2
Tin
 
Resind Indústria e Comércio Ltda.
 
CID002706
BRAZIL
1
Tin
 
Metallo-Chimique N.V.
 
CID002773
BELGIUM
1
Tin
 
Elmet S.L.U.
 
CID002774
SPAIN
1
Tin
 
PT Bangka Prima Tin
 
CID002776
INDONESIA
1
Gold
 
Advanced Chemical Company
 
CID000015
UNITED STATES
2
Gold
 
Aida Chemical Industries Co., Ltd.
 
CID000019
JAPAN
1
Gold
 
Allgemeine Gold-und Silberscheideanstalt A.G.
 
CID000035
GERMANY
1
Gold
 
Almalyk Mining and Metallurgical Complex (AMMC)
 
CID000041
UZBEKISTAN
2
Gold
 
AngloGold Ashanti Córrego do Sítio Mineração
 
CID000058
BRAZIL
1
Gold
 
Argor-Heraeus S.A.
 
CID000077
SWITZERLAND
1
Gold
 
Asahi Pretec Corp.
 
CID000082
JAPAN
1
Gold
 
Asaka Riken Co., Ltd.
 
CID000090
JAPAN
1
Gold
 
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
 
CID000103
TURKEY
3
Gold
 
Aurubis AG
 
CID000113
GERMANY
1
Gold
 
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
 
CID000128
PHILIPPINES
1
Gold
 
Boliden AB
 
CID000157
SWEDEN
1
Gold
 
C. Hafner GmbH + Co. KG
 
CID000176
GERMANY
1
Gold
 
Caridad
 
CID000180
MEXICO
3
Gold
 
CCR Refinery - Glencore Canada Corporation
 
CID000185
CANADA
1
Gold
 
Cendres + Métaux S.A.
 
CID000189
SWITZERLAND
2
Gold
 
Yunnan Copper Industry Co., Ltd.
 
CID000197
CHINA
3
Gold
 
Chimet S.p.A.
 
CID000233
ITALY
1
Gold
 
Chugai Mining
 
CID000264
JAPAN
3
Gold
 
Daejin Indus Co., Ltd.
 
CID000328
KOREA, REPUBLIC OF
2
Gold
 
Daye Non-Ferrous Metals Mining Ltd.
 
CID000343
CHINA
3
Gold
 
DSC (Do Sung Corporation)
 
CID000359
KOREA, REPUBLIC OF
2
Gold
 
DODUCO GmbH
 
CID000362
GERMANY
1
Gold
 
Dowa
 
CID000401
JAPAN
1
Gold
 
Eco-System Recycling Co., Ltd.
 
CID000425
JAPAN
1
Gold
 
OJSC Novosibirsk Refinery
 
CID000493
RUSSIAN FEDERATION
1
Gold
 
Gansu Seemine Material Hi-Tech Co., Ltd.
 
CID000522
CHINA
3
Gold
 
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
 
CID000651
CHINA
3

7

Gold
 
Hangzhou Fuchunjiang Smelting Co., Ltd.
 
CID000671
CHINA
3
Gold
 
Heimerle + Meule GmbH
 
CID000694
GERMANY
1
Gold
 
Heraeus Ltd. Hong Kong
 
CID000707
CHINA
1
Gold
 
Heraeus Precious Metals GmbH & Co. KG
 
CID000711
GERMANY
1
Gold
 
Hunan Chenzhou Mining Co., Ltd.
 
CID000767
CHINA
3
Gold
 
Hwasung CJ Co., Ltd.
 
CID000778
KOREA, REPUBLIC OF
3
Gold
 
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
 
CID000801
CHINA
1
Gold
 
Ishifuku Metal Industry Co., Ltd.
 
CID000807
JAPAN
1
Gold
 
Istanbul Gold Refinery
 
CID000814
TURKEY
1
Gold
 
Japan Mint
 
CID000823
JAPAN
1
Gold
 
Jiangxi Copper Co., Ltd.
 
CID000855
CHINA
1
Gold
 
Asahi Refining USA Inc.
 
CID000920
UNITED STATES
1
Gold
 
Asahi Refining Canada Ltd.
 
CID000924
CANADA
1
Gold
 
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
 
CID000927
RUSSIAN FEDERATION
1
Gold
 
JSC Uralelectromed
 
CID000929
RUSSIAN FEDERATION
1
Gold
 
JX Nippon Mining & Metals Co., Ltd.
 
CID000937
JAPAN
1
Gold
 
Kazakhmys Smelting LLC
 
CID000956
KAZAKHSTAN
3
Gold
 
Kazzinc
 
CID000957
KAZAKHSTAN
1
Gold
 
Kennecott Utah Copper LLC
 
CID000969
UNITED STATES
1
Gold
 
Kojima Chemicals Co., Ltd.
 
CID000981
JAPAN
1
Gold
 
Korea Metal Co., Ltd.
 
CID000988
KOREA, REPUBLIC OF
3
Gold
 
Kyrgyzaltyn JSC
 
CID001029
KYRGYZSTAN
3
Gold
 
L’azurde Company For Jewelry
 
CID001032
SAUDI ARABIA
3
Gold
 
Lingbao Gold Co., Ltd.
 
CID001056
CHINA
3
Gold
 
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
 
CID001058
CHINA
3
Gold
 
LS-NIKKO Copper Inc.
 
CID001078
KOREA, REPUBLIC OF
1
Gold
 
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
 
CID001093
CHINA
3
Gold
 
Materion
 
CID001113
UNITED STATES
1
Gold
 
Matsuda Sangyo Co., Ltd.
 
CID001119
JAPAN
1
Gold
 
Metalor Technologies (Suzhou) Ltd.
 
CID001147
CHINA
2
Gold
 
Metalor Technologies (Hong Kong) Ltd.
 
CID001149
CHINA
1
Gold
 
Metalor Technologies (Singapore) Pte., Ltd.
 
CID001152
SINGAPORE
1
Gold
 
Metalor Technologies S.A.
 
CID001153
SWITZERLAND
1
Gold
 
Metalor USA Refining Corporation
 
CID001157
UNITED STATES
1
Gold
 
Metalúrgica Met-Mex Peñoles S.A. De C.V.
 
CID001161
MEXICO
1
Gold
 
Mitsubishi Materials Corporation
 
CID001188
JAPAN
1
Gold
 
Mitsui Mining and Smelting Co., Ltd.
 
CID001193
JAPAN
1
Gold
 
Moscow Special Alloys Processing Plant
 
CID001204
RUSSIAN FEDERATION
1
Gold
 
Nadir Metal Rafineri San. Ve Tic. A.Ş.
 
CID001220
TURKEY
1
Gold
 
Navoi Mining and Metallurgical Combinat
 
CID001236
UZBEKISTAN
2
Gold
 
Nihon Material Co., Ltd.
 
CID001259
JAPAN
1
Gold
 
Elemetal Refining, LLC
 
CID001322
UNITED STATES
1
Gold
 
Ohura Precious Metal Industry Co., Ltd.
 
CID001325
JAPAN
1
Gold
 
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant”
(OJSC Krastsvetmet)
 
CID001326
RUSSIAN FEDERATION
1
Gold
 
PAMP S.A.
 
CID001352
SWITZERLAND
1
Gold
 
Penglai Penggang Gold Industry Co., Ltd.
 
CID001362
CHINA
3
Gold
 
Prioksky Plant of Non-Ferrous Metals
 
CID001386
RUSSIAN FEDERATION
1
Gold
 
PT Aneka Tambang (Persero) Tbk
 
CID001397
INDONESIA
1
Gold
 
PX Précinox S.A.
 
CID001498
SWITZERLAND
1
Gold
 
Rand Refinery (Pty) Ltd.
 
CID001512
SOUTH AFRICA
1

8

Gold
 
Royal Canadian Mint
 
CID001534
CANADA
1
Gold
 
Sabin Metal Corp.
 
CID001546
UNITED STATES
3
Gold
 
Samduck Precious Metals
 
CID001555
KOREA, REPUBLIC OF
2
Gold
 
SAMWON Metals Corp.
 
CID001562
KOREA, REPUBLIC OF
3
Gold
 
Schone Edelmetaal B.V.
 
CID001573
NETHERLANDS
1
Gold
 
SEMPSA Joyería Platería S.A.
 
CID001585
SPAIN
1
Gold
 
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
 
CID001619
CHINA
3
Gold
 
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
 
CID001622
CHINA
1
Gold
 
Sichuan Tianze Precious Metals Co., Ltd.
 
CID001736
CHINA
1
Gold
 
So Accurate Group, Inc.
 
CID001754
UNITED STATES
3
Gold
 
SOE Shyolkovsky Factory of Secondary Precious Metals
 
CID001756
RUSSIAN FEDERATION
1
Gold
 
Solar Applied Materials Technology Corp.
 
CID001761
TAIWAN
1
Gold
 
Sumitomo Metal Mining Co., Ltd.
 
CID001798
JAPAN
1
Gold
 
Tanaka Kikinzoku Kogyo K.K.
 
CID001875
JAPAN
1
Gold
 
Great Wall Precious Metals Co., Ltd. of CBPM
 
CID001909
CHINA
3
Gold
 
The Refinery of Shandong Gold Mining Co., Ltd.
 
CID001916
CHINA
1
Gold
 
Tokuriki Honten Co., Ltd.
 
CID001938
JAPAN
1
Gold
 
Tongling Nonferrous Metals Group Co., Ltd.
 
CID001947
CHINA
3
Gold
 
Torecom
 
CID001955
KOREA, REPUBLIC OF
2
Gold
 
Umicore Brasil Ltda.
 
CID001977
BRAZIL
1
Gold
 
Umicore S.A. Business Unit Precious Metals Refining
 
CID001980
BELGIUM
1
Gold
 
United Precious Metal Refining, Inc.
 
CID001993
UNITED STATES
1
Gold
 
Valcambi S.A.
 
CID002003
SWITZERLAND
1
Gold
 
Western Australian Mint trading as The Perth Mint
 
CID002030
AUSTRALIA
1
Gold
 
Yamamoto Precious Metal Co., Ltd.
 
CID002100
JAPAN
1
Gold
 
Yokohama Metal Co., Ltd.
 
CID002129
JAPAN
1
Gold
 
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
 
CID002224
CHINA
1
Gold
 
Zijin Mining Group Co., Ltd. Gold Refinery
 
CID002243
CHINA
1
Gold
 
Morris and Watson
 
CID002282
NEW ZEALAND
3
Gold
 
Guangdong Jinding Gold Limited
 
CID002312
CHINA
3
Gold
 
Umicore Precious Metals Thailand
 
CID002314
THAILAND
1
Gold
 
Faggi Enrico S.p.A.
 
CID002355
ITALY
2
Gold
 
Geib Refining Corporation
 
CID002459
UNITED STATES
2
Gold
 
MMTC-PAMP India Pvt., Ltd.
 
CID002509
INDIA
1
Gold
 
Republic Metals Corporation
 
CID002510
UNITED STATES
1
Gold
 
KGHM Polska Miedź Spółka Akcyjna
 
CID002511
POLAND
2
Gold
 
Fidelity Printers and Refiners Ltd.
 
CID002515
ZIMBABWE
3
Gold
 
Singway Technology Co., Ltd.
 
CID002516
TAIWAN
1
Gold
 
T.C.A S.p.A
 
CID002580
ITALY
1
Gold
 
Korea Zinc Co., Ltd.
 
CID002605
KOREA, REPUBLIC OF
2
Gold
 
SAXONIA Edelmetalle GmbH
 
CID002777
GERMANY
2
Gold
 
WIELAND Edelmetalle GmbH
 
CID002778
GERMANY
2
Gold
 
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
 
CID002779
AUSTRIA
1

* Status Legend:
1.
Included on the CFSI’s conflict-free smelter or refiner list.
2.
Has not received a conflict-free designation, but has begun participating in an independent third party audit program.
3.
Has not begun participating in an independent third party audit program.


9

Exhibit II
Countries of Origin for the Necessary Conflict Minerals

Based on our due diligence, some of the above SORs process conflict minerals from one or more of the following countries of origin:

Bolivia
Burundi
Democratic Republic of the Congo
Indonesia
Peru
Rwanda

10