EX-1.01 2 d934607dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report of SL Industries, Inc.

This Conflict Minerals Report of SL Industries, Inc., a Delaware corporation, together with its wholly-owned subsidiaries (“SL Industries”), for calendar year 2014 is presented to comply with Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Section 1502”) and Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Unless the context requires otherwise, the terms the “Company,” “we,” “us,” and “our” mean SL Industries and its wholly-owned subsidiaries. Section 1502 and Rule 13p-1 require that SL Industries perform certain procedures and disclose information about the use and origin of conflict minerals if these minerals are deemed to be necessary to the functionality or production of a product manufactured by SL Industries, or contracted to be manufactured for SL Industries. The minerals covered by these rules are commonly referred to as “conflict minerals” and include tin, tantalum, tungsten and gold (collectively “3TG”).

SL Industries, Inc., through its subsidiaries, designs, manufactures and markets power electronics, motion control, power protection, and power quality electromagnetic equipment that are used in a variety of medical, commercial and military aerospace, computer, datacom, industrial, and telecom applications. Its products are generally incorporated into larger systems to improve operating performance, safety, reliability and efficiency. The Company’s products are largely sold to Original Equipment Manufacturers (“OEMs”) and, to a lesser extent, to commercial distributors.

The Company currently operates under three business segments: SL Power Electronics Corp. (“SLPE”), the High Power Group, and SL Montevideo Technology, Inc. (“SL-MTI”). TEAL Electronics Corp. (“TEAL”) and MTE Corporation (“MTE”) are combined into one business segment, which is reported as the High Power Group. On November 17, 2014, the Company entered into a stock purchase agreement to sell all of the outstanding equity interests of its RFL Electronics Inc. (“RFL”) segment. The closing of the sale occurred on November 17, 2014.

SLPE designs, manufactures and markets high-reliability power conversion products in internal and external footprints. The Company’s power supplies provide a reliable and safe power source for the customer’s specific equipment needs. SLPE, which sells products under three brand names (SL Power Electronics, Condor and Ault), is a major supplier to the OEMs of medical, industrial/instrumentation, LED, and information technology equipment.


HIGH POWER GROUP sells products under two brand names: TEAL and MTE. TEAL designs and manufactures power quality products that include noise suppression isolation transformers, power conditioned distribution systems, voltage regulators, and high level integrated cabinets with preinstalled prewired power quality and distribution components. TEAL primarily sells to OEMs of medical imaging, medical treatment, military aerospace, semiconductor, solar, and advanced simulation systems. MTE designs and manufactures power quality solutions used to protect electrical equipment, bring harmonics into compliance, and improve the efficiency of variable speed motor drive systems. MTE’s standard product lines include: harmonic filters, three-phase AC reactors, DC link chokes, and motor protection filters. TEAL and MTE also design and build customer specific and custom products for special applications. These products are typically used in industrial plants, renewable energy facilities, and commercial buildings.

SL-MTI designs and manufactures high power density precision motors that are used in numerous mission critical applications, including military and commercial aerospace, oil and gas, medical, and industrial products.

RFL designs and manufactures communication and power protection products/systems that are used to protect electric utility transmission lines and apparatus by isolating faulty transmission lines from a transmission grid. On November 17, 2014, the Company sold all of the issued and outstanding capital stock of RFL.

Description of SL Industries’ Reasonable Country of Origin Inquiry

In accordance with Section 1502, SL Industries has performed a ‘reasonable country of origin inquiry’ (“RCOI”) on minerals that were in our supply chain during 2014 to determine whether these minerals were sourced from the Democratic Republic of the Congo (“DRC”) or adjoining countries (“the Covered Countries”) or come from recycled or scrap sources. As a result of the RCOI process, SL Industries has concluded in good faith that during 2014:

 

    SL Industries has manufactured and contracted to manufacture products to which 3TG are necessary to the functionality or production of such products and;

 

    SL Industries was not able to conclude the source of raw materials for all products the Company manufactures or contracts to be manufactured.


Due Diligence

SL Industries designed its due diligence measures to conform in all material respects with the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas (“OECD Framework”).

SL Industries’ due diligence measures were based on the OECD Framework and extensive communications with its suppliers. SL Industries, as a purchaser, is many steps removed from the mining of the conflict minerals and does not purchase raw ore or unrefined conflict minerals. The Company focused its efforts for the second reporting year on continuing to build conflict mineral awareness with its suppliers and contract manufacturers, assessing the transparency of its supply chain, and identifying the smelters/refiners in its supply chain.

In year two, SL Industries continued its established system of internal controls to identify and trace conflict minerals usage within its supply chain. A summary of SL Industries’ activities, which are in line with the OECD Framework, are outlined below.

Step 1: Establish a company management system

 

    SL Industries maintains a conflict minerals policy that reflects the Company’s desire to achieve a DRC conflict free determination over time. SL Industries has established a governance model to oversee the implementation and ongoing management of a conflict minerals compliance including a Steering Committee to solicit the participation of leadership from the various SL Industries business units and a conflict minerals Core Team responsible for maintaining the conflict minerals policy, the annual project plan, communication strategy, awareness training, project status report, and standard retention policy.

 

    SL Industries has an annual process to evaluate parts and suppliers in the supply chain for potential conflict minerals risk. In alignment with the OECD guidelines, SL Industries’ subsidiaries conduct a risk rated analysis of products, parts, and suppliers. Additionally, supplier agreements require suppliers to provide information on their use and source of conflict minerals.

 

    SL Industries has communicated its policy regarding conflict minerals to all suppliers and provides annual conflict minerals training.

 

    SL Industries has provided a feedback mechanism on its website at http://sli.irpage.net/c-minerals.php, which is available to all interested parties to provide information or voice their concerns regarding the company’s sourcing and use of conflict minerals in its products.


Step 2: Identify and assess risks in the supply chain

 

    On an annual basis, SL Industries performs due diligence in the identification of the parts within each of our active bills of materials (“BOMs”) that are known or are likely to contain conflict minerals using risk based approach.

 

    SL Industries requires suppliers to complete a survey at the supplier and part level utilizing the Conflict-Free Sourcing Initiative’s Conflict Minerals Reporting Template (CMRT).

 

    SL Industries reviews survey responses received from suppliers for completeness and follows-up with any supplier that has not completed the survey through an outreach program.

 

    SL Industries reviews survey responses received from suppliers and validates them for completeness and sufficiency.

 

    SL Industries reviews aggregated supplier survey responses and reports key RCOI metrics as part of an internal bi-monthly conflict minerals reporting process.

 

    SL Industries conducts a review of summary smelter information to determine if the smelter is certified as conflict free or if supporting information presents a “red flag” as defined by the OECD Guidance.

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

 

    SL Industries reviews supplier responses to the RCOI, any risks identified are evaluated, and opportunities to mitigate risk are identified.

 

    Conflict mineral reporting requirements have been integrated into SL Industries’ broader internal control procedures.

 

    SL Industries has established the capability to routinely obtain, maintain, and retrieve the key data required to demonstrate reasonable efforts for compliance. Additional fact finding, risk assessments, and changes in circumstances will take place as part of SL Industries’ annual review of the conflict minerals compliance program.

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

 

    In accordance with the OECD guidance, SL Industries participates in industry driven programs and supports independent third-party audits of the smelter/refiner’s due diligence by independent industry associations who perform these audits. Given the nature of SL Industries’ business, our position within the supply chain, the associated cost, as well as the current lack of transparency in the supply chain, SL Industries is not in a position to audit smelters/refiners.


Step 5: Report annually on supply chain due diligence

 

    SL Industries performs due diligence on our conflict minerals supply chain annually, and maintains a process to summarize, review, and approve compliance results, completion of the Form Specialized Disclosure and the Conflict Minerals Report and timely file this report with the SEC.

Risk Mitigation and Future Due Diligence Measures

SL Industries will continue to improve its due diligence efforts through increasingly focused effort including (but not limited to):

 

    Continue to require suppliers to identify the 3TG contained in the products they supply and when requested on an annual basis, provide current, accurate and complete information on the smelter and refiners used in the manufacture of parts supplied to SL Industries.

 

    Direct the reasonable country of inquiry for parts purchased from third party distributors to the manufacturer of parts when able.

 

    Continue to work with suppliers in the SL Industries’ supply chain to provide the required information and identify new supply chain partners to improve and refine the country of origin information collected.

Determination

Based on the information provided by SL Industries’ suppliers utilized through December 31, 2014, SL Industries believes that the facilities that may have been used to process 3TG’s in SL Industries’ product include the smelters and refiners listed in Appendix 1 of this report. The supplier responses included Conflict Free, Known and Unknown smelters, but based on the absence of reliable information on the Unknown smelters, only the Conflict Free and Known smelters are included.

Based on these due diligence efforts and the absence of full supply chain visibility throughout the supply base, SL Industries is unable to determine the source of origin of the conflict minerals and does not have sufficient information to conclusively determine the countries of origin of 3TG’s contained in SL Industries’ products.


SL Industries received the following results from its RCOI for all subsidiaries, including RFL:

Initial Assessment and Survey:

Suppliers in scope of conflict minerals requirements: 465

Suppliers surveyed: 465

Supplier Responses: 243 (52%)

No conflict minerals in materials provided to SL Industries: 51 (21%)

Conflict minerals identified as Conflict Free: 27 (11%)

Conflict minerals source is unknown: 165 (68%)


Appendix 1: Smelter List

 

Smelter ID

  

Smelter
Metal

  

Smelter Name

  

Smelter Country

  

Smelter Status

CID000019    Gold    Aida Chemical Industries Co. Ltd.    JAPAN    Known
CID000035    Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Conflict Free
CID000041    Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    Known
CID000058    Gold    AngloGold Ashanti Córrego do Sítio Minerção    BRAZIL    Conflict Free
CID000077    Gold    Argor-Heraeus SA    SWITZERLAND    Conflict Free
CID000082    Gold    Asahi Pretec Corporation    JAPAN    Conflict Free
CID000090    Gold    Asaka Riken Co Ltd    JAPAN    Known
CID000103    Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    Conflict Free
CID000113    Gold    Aurubis AG    GERMANY    Conflict Free
CID000128    Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Known
CID000141    Gold    Bauer Walser AG    GERMANY    Known
CID000157    Gold    Boliden AB    SWEDEN    Conflict Free
CID000176    Gold    C. Hafner GmbH + Co. KG    GERMANY    Conflict Free
CID000180    Gold    Caridad    MEXICO    Known
CID000185    Gold    CCR Refinery – Glencore Canada Corporation    CANADA    Conflict Free
CID000189    Gold    Cendres + Métaux SA    SWITZERLAND    Known
CID000233    Gold    Chimet S.p.A.    ITALY    Conflict Free
CID000242    Gold    China National Gold Group Corporation    CHINA    Known
CID000264    Gold    Chugai Mining    JAPAN    Known
CID000288    Gold    Colt Refining    UNITED STATES    Known
CID000328    Gold    Daejin Indus Co. Ltd    KOREA, REPUBLIC OF    Known
CID000343    Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA    Known
CID000359    Gold    Do Sung Corporation    KOREA, REPUBLIC OF    Known
CID000362    Gold    Doduco    GERMANY    Known
CID000401    Gold    Dowa    JAPAN    Conflict Free
CID000425    Gold    Eco-System Recycling Co., Ltd.    JAPAN    Conflict Free
CID000493    Gold    FSE Novosibirsk Refinery    RUSSIAN FEDERATION    Known
CID000522    Gold    Gansu Seemine Material Hi-Tech Co Ltd    CHINA    Known
CID002312    Gold    Guangdong Jinding Gold Limited    CHINA    Known
CID000671    Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    Known
CID000694    Gold    Heimerle + Meule GmbH    GERMANY    Conflict Free
CID000707    Gold    Heraeus Ltd. Hong Kong    HONG KONG    Conflict Free
CID000711    Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Conflict Free
CID000767    Gold    Hunan Chenzhou Mining Group Co., Ltd.    CHINA    Known
CID000778    Gold    Hwasung CJ Co. Ltd    KOREA, REPUBLIC OF    Known
CID000801    Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited    CHINA    Known
CID000807    Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    Conflict Free


Smelter ID

  

Smelter
Metal

  

Smelter Name

  

Smelter Country

  

Smelter Status

CID000814    Gold    Istanbul Gold Refinery    TURKEY    Conflict Free
CID000823    Gold    Japan Mint    JAPAN    Conflict Free
CID000855    Gold    Jiangxi Copper Company Limited    CHINA    Known
CID000920    Gold    Johnson Matthey Inc    UNITED STATES    Conflict Free
CID000924    Gold    Johnson Matthey Ltd    CANADA    Conflict Free
CID000927    Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    Conflict Free
CID000929    Gold    JSC Uralelectromed    RUSSIAN FEDERATION    Known
CID000937    Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Conflict Free
CID000957    Gold    Kazzinc Ltd    KAZAKHSTAN    Conflict Free
CID000969    Gold    Kennecott Utah Copper LLC    UNITED STATES    Conflict Free
CID000981    Gold    Kojima Chemicals Co., Ltd    JAPAN    Conflict Free
CID000988    Gold    Korea Metal Co. Ltd    KOREA, REPUBLIC OF    Known
CID001029    Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    Known
CID001032    Gold    L’azurde Company For Jewelry    SAUDI ARABIA    Conflict Free
CID001056    Gold    Lingbao Gold Company Limited    CHINA    Known
CID001058    Gold    Lingbao Jinyuan Tonghui Refinery Co. Ltd.    CHINA    Known
CID001078    Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Conflict Free
CID001093    Gold    Luoyang Zijin Yinhui Metal Smelt Co Ltd    CHINA    Known
CID001113    Gold    Materion    UNITED STATES    Conflict Free
CID001119    Gold    Matsuda Sangyo Co., Ltd.    JAPAN    Conflict Free
CID001149    Gold    Metalor Technologies (Hong Kong) Ltd    HONG KONG    Conflict Free
CID001152    Gold    Metalor Technologies (Singapore) Pte. Ltd.    SINGAPORE    Conflict Free
CID001153    Gold    Metalor Technologies SA    SWITZERLAND    Conflict Free
CID001157    Gold    Metalor USA Refining Corporation    UNITED STATES    Conflict Free
CID001161    Gold    Met-Mex Peñoles, S.A.    MEXICO    Conflict Free
CID001188    Gold    Mitsubishi Materials Corporation    JAPAN    Conflict Free
CID001193    Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conflict Free
CID001204    Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Known
CID001220    Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY    Conflict Free
CID001236    Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    Known
CID001259    Gold    Nihon Material Co. LTD    JAPAN    Conflict Free
CID001322    Gold    Ohio Precious Metals, LLC    UNITED STATES    Conflict Free
CID001325    Gold    Ohura Precious Metal Industry Co., Ltd    JAPAN    Conflict Free
CID001326    Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)    RUSSIAN FEDERATION    Conflict Free
CID001328    Gold    OJSC Kolyma Refinery    RUSSIAN FEDERATION    Known
CID001352    Gold    PAMP SA    SWITZERLAND    Conflict Free
CID001362    Gold    Penglai Penggang Gold Industry Co Ltd    CHINA    Known


Smelter ID

  

Smelter
Metal

  

Smelter Name

  

Smelter Country

  

Smelter Status

CID001386    Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Known
CID001397    Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    Conflict Free
CID001498    Gold    PX Précinox SA    SWITZERLAND    Conflict Free
CID001512    Gold    Rand Refinery (Pty) Ltd    SOUTH AFRICA    Conflict Free
CID001534    Gold    Royal Canadian Mint    CANADA    Conflict Free
CID001546    Gold    Sabin Metal Corp.    UNITED STATES    Known
CID001555    Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    Known
CID001562    Gold    SAMWON METALS Corp.    KOREA, REPUBLIC OF    Known
CID001573    Gold    Schone Edelmetaal    NETHERLANDS    Conflict Free
CID001585    Gold    SEMPSA Joyería Platería SA    SPAIN    Conflict Free
CID001622    Gold    Shandong Zhaojin Gold & Silver Refinery Co. Ltd    CHINA    Conflict Free
CID001754    Gold    So Accurate Group, Inc.    UNITED STATES    Known
CID001756    Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Known
CID001761    Gold    Solar Applied Materials Technology Corp.    TAIWAN    Conflict Free
CID001798    Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    Conflict Free
CID001875    Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Conflict Free
CID001909    Gold    The Great Wall Gold and Silver Refinery of China    CHINA    Known
CID001916    Gold    The Refinery of Shandong Gold Mining Co. Ltd    CHINA    Conflict Free
CID001938    Gold    Tokuriki Honten Co., Ltd    JAPAN    Conflict Free
CID001947    Gold    Tongling nonferrous Metals Group Co.,Ltd    CHINA    Known
CID001955    Gold    Torecom    KOREA, REPUBLIC OF    Known
CID001977    Gold    Umicore Brasil Ltda    BRAZIL    Conflict Free
CID002314    Gold    Umicore Precious Metals Thailand    THAILAND    Conflict Free
CID001980    Gold    Umicore SA Business Unit Precious Metals Refining    BELGIUM    Conflict Free
CID001993    Gold    United Precious Metal Refining, Inc.    UNITED STATES    Conflict Free
CID002003    Gold    Valcambi SA    SWITZERLAND    Conflict Free
CID002030    Gold    Western Australian Mint trading as The Perth Mint    AUSTRALIA    Conflict Free
CID002100    Gold    YAMAMOTO PRECIOUS METAL CO., LTD.    JAPAN    Known
CID002129    Gold    Yokohama Metal Co Ltd    JAPAN    Known
CID000197    Gold    Yunnan Copper Industry Co Ltd    CHINA    Known
CID002224    Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Known
CID002243    Gold    Zijin Mining Group Co. Ltd    CHINA    Known
CID000211    Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Conflict Free
CID000291    Tantalum    Conghua Tantalum and Niobium Smeltry    CHINA    Conflict Free
CID000410    Tantalum    Duoluoshan    CHINA    Conflict Free
CID000456    Tantalum    Exotech Inc.    UNITED STATES    Conflict Free
CID000460    Tantalum    F&X Electro-Materials Ltd.    CHINA    Conflict Free
CID002558    Tantalum    Global Advanced Metals Aizu    JAPAN    Conflict Free
CID002557    Tantalum    Global Advanced Metals Boyertown    UNITED STATES    Conflict Free


Smelter ID

  

Smelter
Metal

  

Smelter Name

  

Smelter Country

  

Smelter Status

CID000616    Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Conflict Free
CID002544    Tantalum    H.C. Starck Co., Ltd.    THAILAND    Conflict Free
CID002545    Tantalum    H.C. Starck GmbH Goslar    GERMANY    Conflict Free
CID002546    Tantalum    H.C. Starck GmbH Laufenburg    GERMANY    Conflict Free
CID002547    Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    Conflict Free
CID002548    Tantalum    H.C. Starck Inc.    UNITED STATES    Conflict Free
CID002549    Tantalum    H.C. Starck Ltd.    JAPAN    Conflict Free
CID002550    Tantalum    H.C. Starck Smelting GmbH & Co.KG    GERMANY    Conflict Free
CID002492    Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Conflict Free
CID000731    Tantalum    Hi-Temp    UNITED STATES    Conflict Free
CID000914    Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Conflict Free
CID000917    Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    Conflict Free
CID002539    Tantalum    KEMET Blue Metals    MEXICO    Conflict Free
CID002568    Tantalum    KEMET Blue Powder    UNITED STATES    Conflict Free
CID000973    Tantalum    King-Tan Tantalum Industry Ltd    CHINA    Conflict Free
CID001076    Tantalum    LSM Brasil S.A.    BRAZIL    Conflict Free
CID001163    Tantalum    Metallurgical Products India (Pvt.) Ltd.    INDIA    Conflict Free
CID001175    Tantalum    Mineração Taboca S.A.    BRAZIL    Conflict Free
CID001192    Tantalum    Mitsui Mining & Smelting    JAPAN    Conflict Free
CID001200    Tantalum    Molycorp Silmet A.S.    ESTONIA    Conflict Free
CID001277    Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Conflict Free
CID002540    Tantalum    Plansee SE Liezen    AUSTRIA    Conflict Free
CID002556    Tantalum    Plansee SE Reutte    AUSTRIA    Conflict Free
CID001508    Tantalum    QuantumClean    UNITED STATES    Conflict Free
CID001522    Tantalum    RFH Tantalum Smeltry Co., Ltd    CHINA    Conflict Free
CID001634    Tantalum    Shanghai Jiangxi Metals Co. Ltd    CHINA    Known
CID001769    Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Conflict Free
CID001869    Tantalum    Taki Chemicals    JAPAN    Conflict Free
CID001891    Tantalum    Telex    UNITED STATES    Conflict Free
CID001969    Tantalum    Ulba    KAZAKHSTAN    Conflict Free
CID002307    Tantalum    Yichun Jin Yang Rare Metal Co., Ltd    CHINA    Known
CID002232    Tantalum    Zhuzhou Cement Carbide    CHINA    Conflict Free
CID000292    Tin    Alpha    UNITED STATES    Conflict Free
CID000244    Tin    China Rare Metal Materials Company    CHINA    Known
CID001070    Tin    China Tin Group Co., Ltd.    CHINA    Known
CID000278    Tin    CNMC (Guangxi) PGMA Co. Ltd.    CHINA    Known
CID000295    Tin    Cooper Santa    BRAZIL    Known
CID000306    Tin    CV Gita Pesona    INDONESIA    Known
CID000307    Tin    CV JusTindo    INDONESIA    Known


Smelter ID

  

Smelter
Metal

  

Smelter Name

  

Smelter Country

  

Smelter Status

CID000308    Tin    CV Makmur Jaya    INDONESIA    Known
CID000309    Tin    CV Nurjanah    INDONESIA    Known
CID000313    Tin    CV Serumpun Sebalai    INDONESIA    Known
CID000315    Tin    CV United Smelting    INDONESIA    Conflict Free
CID000402    Tin    Dowa    JAPAN    Conflict Free
CID000438    Tin    EM Vinto    BOLIVIA    Conflict Free
CID000448    Tin    Estanho de Rondônia S.A.    BRAZIL    Known
CID000468    Tin    Fenix Metals    POLAND    Known
CID000942    Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    Known
CID000538    Tin    Gejiu Non-Ferrous Metal Processing Co. Ltd.    CHINA    Conflict Free
CID000555    Tin    Gejiu Zi-Li    CHINA    Known
CID000760    Tin    Huichang Jinshunda Tin Co. Ltd    CHINA    Known
CID000864    Tin    Jiangxi Nanshan    CHINA    Known
CID001063    Tin    Linwu Xianggui Smelter Co    CHINA    Known
CID002468    Tin    Magnu’s Minerais Metais e Ligas LTDA    BRAZIL    Conflict Free
CID001105    Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    Conflict Free
CID002500    Tin    Melt Metais e Ligas S/A    BRAZIL    Conflict Free
CID001143    Tin    Metallo Chimique    BELGIUM    Conflict Free
CID001173    Tin    Mineração Taboca S.A.    BRAZIL    Conflict Free
CID001182    Tin    Minsur    PERU    Conflict Free
CID001191    Tin    Mitsubishi Materials Corporation    JAPAN    Conflict Free
CID001305    Tin    Novosibirsk Integrated Tin Works    RUSSIAN FEDERATION    Known
CID001314    Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Known
CID002517    Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Known
CID001337    Tin    OMSA    BOLIVIA    Conflict Free
CID001393    Tin    PT Alam Lestari Kencana    INDONESIA    Known
CID001399    Tin    PT Artha Cipta Langgeng    INDONESIA    Known
CID002503    Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    Conflict Free
CID001402    Tin    PT Babel Inti Perkasa    INDONESIA    Conflict Free
CID001406    Tin    PT Babel Surya Alam Lestari    INDONESIA    Known
CID001409    Tin    PT Bangka Kudai Tin    INDONESIA    Known
CID001412    Tin    PT Bangka Putra Karya    INDONESIA    Conflict Free
CID001416    Tin    PT Bangka Timah Utama Sejahtera    INDONESIA    Known
CID001419    Tin    PT Bangka Tin Industry    INDONESIA    Conflict Free
CID001421    Tin    PT Belitung Industri Sejahtera    INDONESIA    Known
CID001424    Tin    PT BilliTin Makmur Lestari    INDONESIA    Known
CID001428    Tin    PT Bukit Timah    INDONESIA    Conflict Free
CID001434    Tin    PT DS Jaya Abadi    INDONESIA    Conflict Free
CID001438    Tin    PT Eunindo Usaha Mandiri    INDONESIA    Conflict Free


Smelter ID

  

Smelter
Metal

  

Smelter Name

  

Smelter Country

  

Smelter Status

CID001442    Tin    PT Fang Di MulTindo    INDONESIA    Known
CID001445    Tin    PT HP Metals Indonesia    INDONESIA    Known
CID002530    Tin    PT Inti Stania Prima    INDONESIA    Known
CID001448    Tin    PT Karimun Mining    INDONESIA    Known
CID001449    Tin    PT Koba Tin    INDONESIA    Known
CID001453    Tin    PT Mitra Stania Prima    INDONESIA    Known
CID001457    Tin    PT Panca Mega Persada    INDONESIA    Conflict Free
CID001486    Tin    PT Pelat Timah Nusantara Tbk    INDONESIA    Known
CID001458    Tin    PT Prima Timah Utama    INDONESIA    Conflict Free
CID001460    Tin    PT REFINED BANGKA TIN    INDONESIA    Conflict Free
CID001463    Tin    PT Sariwiguna Binasentosa    INDONESIA    Conflict Free
CID001466    Tin    PT Seirama Tin investment    INDONESIA    Known
CID001468    Tin    PT Stanindo Inti Perkasa    INDONESIA    Conflict Free
CID001471    Tin    PT Sumber Jaya Indah    INDONESIA    Known
CID001477    Tin    PT Tambang Timah    INDONESIA    Conflict Free
CID001482    Tin    PT Timah (Persero), Tbk    INDONESIA    Conflict Free
CID001490    Tin    PT Tinindo Inter Nusa    INDONESIA    Known
CID001493    Tin    PT Tommy Utama    INDONESIA    Known
CID001494    Tin    PT Yinchendo Mining Industry    INDONESIA    Known
CID001539    Tin    Rui Da Hung    TAIWAN    Known
CID001758    Tin    Soft Metais, Ltda.    BRAZIL    Known
CID001898    Tin    Thaisarco    THAILAND    Conflict Free
CID002036    Tin    White Solder Metalurgia e Mineração Ltda.    BRAZIL    Conflict Free
CID002158    Tin    Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.    CHINA    Known
CID002180    Tin    Yunnan Tin Company, Ltd.    CHINA    Conflict Free
CID000004    Tungsten    A.L.M.T. Corp.    JAPAN    Known
CID002513    Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Known
CID000258    Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Known
CID000345    Tungsten    Dayu Weiliang Tungsten Co., Ltd.    CHINA    Known
CID000499    Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Known
CID000875    Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Conflict Free
CID002315    Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Conflict Free
CID000868    Tungsten    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CHINA    Known
CID002494    Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Conflict Free
CID000568    Tungsten    Global Tungsten & Powders Corp.    UNITED STATES    Conflict Free
CID000218    Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Known
CID002541    Tungsten    H.C. Starck GmbH    GERMANY    Known
CID002542    Tungsten    H.C. Starck Smelting GmbH & Co.KG    GERMANY    Known
CID000766    Tungsten    Hunan Chenzhou Mining Group Co., Ltd.    CHINA    Known
CID000769    Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Conflict Free


Smelter ID

  

Smelter
Metal

  

Smelter Name

  

Smelter Country

  

Smelter Status

CID000825    Tungsten    Japan New Metals Co., Ltd.    JAPAN    Conflict Free
CID002321    Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Conflict Free
CID002313    Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    Known
CID002493    Tungsten    Jiangxi Richsea New Materials Co., Ltd.    CHINA    Known
CID002318    Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    Known
CID002317    Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    Known
CID002316    Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    Known
CID000966    Tungsten    Kennametal Fallon    UNITED STATES    Known
CID000105    Tungsten    Kennametal Huntsville    UNITED STATES    Known
CID002319    Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Conflict Free
CID002543    Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM    Known
CID001889    Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    Known
CID002011    Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd    VIET NAM    Conflict Free
CID002044    Tungsten    Wolfram Bergbau und Hütten AG    AUSTRIA    Known
CID002047    Tungsten    Wolfram Company CJSC    RUSSIAN FEDERATION    Known
CID002320    Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Conflict Free
CID002082    Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    Conflict Free
CID002095    Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Known

Note: the above smelter list includes the results from the Company’s RCOI for all subsidiaries, including RFL.