EX-1.01 2 d828984dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

IMAX CORPORATION

Conflict Minerals Report

For the Year Ended December 31, 2023

This report for the year ended December 31, 2023 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule 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”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of such products. The term “conflict mineral” is defined in Form SD under the SEC’s conflict mineral rules as: (A) columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives which are limited to tantalum, tin, and tungsten, unless the Secretary of State determines that additional derivatives are financing conflict in the Democratic Republic of the Congo (the “DRC”) or an adjoining country (collectively, the “Covered Countries”) or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Covered Countries.

Tin, tungsten, tantalum and gold will herein be referred to as the “3TGs”.

Pursuant to the Rule, IMAX Corporation (herein referred to as “IMAX” or the “Company”) has undertaken a reasonable country of origin inquiry (“RCOI”) for products manufactured or contracted to be manufactured by IMAX during calendar year 2023. In response to representations from certain of its suppliers obtained in the course of the RCOI, IMAX has conducted due diligence on the source and chain of custody of the 3TGs in its products that it had reason to believe could have originated from the Covered Countries. For that reason, IMAX is required under the Rule to submit to the SEC a Conflict Minerals Report as an Exhibit to Form SD.

References herein to the Company’s Investor Relations website are provided for convenience only, and its contents are not incorporated by reference into this Conflict Minerals Report nor deemed filed with the SEC.

 

1.

Company Overview

This report has been prepared by IMAX’s management. The information includes the activities of all majority-owned subsidiaries and variable interest entities that are required to be consolidated. It does not include the activities of variable interest entities that are not required to be consolidated.

IMAX is a premier global technology platform for entertainment and events. Through its proprietary software, theater architecture, patented intellectual property, and specialized equipment, IMAX offers a unique end-to-end solution to create superior, immersive content experiences for which the IMAX® brand is globally renowned. The Company leverages its proprietary technology and engineering in all aspects of its business, which principally consists of (1) the digital remastering of films and other content into the IMAX format for distribution across the IMAX network; and (2) the sale or lease of premium IMAX theater systems (“IMAX Systems”). The IMAX Systems contain many electronic components, which in turn contain 3TGs that are necessary to their functionality or production.

 

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2.

Introduction

For 2023, IMAX conducted a RCOI in good faith to determine whether any of the 3TGs in its products originated from Conflict-Affected and High-Risk Areas (as defined by the Responsible Minerals Initiative), such as the Covered Countries, or are from recycled or scrap sources.

IMAX develops and designs all of the key elements of the proprietary technology involved in IMAX Systems. All parts and sub-assemblies of IMAX Systems are fabricated by third-party suppliers and subcontractors. IMAX is therefore a purchaser of parts, components and manufactured products that are many steps downstream in the minerals supply chain. As a result, IMAX’s due diligence measures cannot provide absolute assurance regarding the source and chain of custody of the 3TGs. IMAX’s due diligence processes require data from its direct suppliers and those suppliers seeking similar information within their respective supply chains to identify the original sources of the 3TGs.

 

3.

Product Description

IMAX Systems may contain conflict minerals within the following components:

 

   

Tantalum, primarily used in capacitors;

 

   

Tin, used in soldered components;

 

   

Tungsten, used in lamp electrodes (solely for non-laser-based IMAX Systems); and

 

   

Gold, used in circuit boards, electrodes, connectors and electronic components.

 

4.

Reasonable Country of Origin Inquiry

IMAX has engaged a third-party service provider, Assent, to assist with its conflict minerals program. IMAX uses the Assent Sustainability Manager, a SaaS platform provided by Assent, to complete and track supplier communications and to allow in-scope suppliers to upload completed CMRTs (as defined below) directly to the platform for validation, assessment and management. The Assent Sustainability Manager also provides functionality that meets the OECD Guidance (as defined below) process expectations by evaluating the quality of each supplier response and assigning a health score based on the supplier’s declaration of process engagement.

For 2023, IMAX began its RCOI by compiling a list of suppliers, which was extracted from the Company’s vendor list. The list was then filtered to ensure that all suppliers surveyed by the Company provided items that were used in final products in 2023. Specifically, the list was filtered to remove:

 

   

Service providers/suppliers;

 

   

Indirect materials suppliers; and

 

   

Inactive suppliers (minimum 1 year since last purchase).

 

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In addition, Assent conducted additional analysis of the supply chain to identify suppliers who are potentially out of scope. Assent’s secondary analysis included obtaining the suppliers’ direct responses to the below factors. A supplier was removed from the list if it satisfied one of the following:

 

   

the supplied product was merely packaging (labels do not count as packaging);

 

   

the parts a supplier used did not end up in the final product (e.g., equipment used to make the product, including industrial equipment, computers, etc.);

 

   

the supplier used test labs to determine, for example, the resistance or durability of a product; and

 

   

the supplier did not supply anything to IMAX in 2023.

IMAX reviewed and confirmed the removal of the out-of-scope suppliers based on Assent’s secondary analysis.

After limiting the scope of inquiry, Assent conducted the supplier survey portion of the RCOI. The supplier survey utilized a template developed by the Responsible Minerals Initiative (“RMI”) called the CMRT. The CMRT was developed to facilitate general disclosures and information regarding smelters or refiners that provide materials to a supplier. It includes questions regarding the supplier’s conflict minerals policy, the engagement process with its direct suppliers and identification of the smelters or refiners used by the supplier. Suppliers were contacted a minimum of three times via the Assent Compliance Manager. Non-responsive suppliers were also contacted by Assent on a one-on-one basis, with two follow-ups. Communications from Assent also included training and education on completion of the CMRT, as well as access to a resource center for suppliers designed to answer questions. All communications with suppliers were monitored and tracked in Assent’s system for future reporting and transparency.

For 2023, IMAX’s program included automated data validation on all submitted CMRTs. The goal of automated data validation is to increase the accuracy of submissions and to identify any contradictory answers provided in a CMRT. All submitted forms are accepted so that data is retained and classified as valid or invalid. Suppliers who submit invalid forms are contacted and are encouraged to resubmit a valid form. Suppliers are also provided with guidance on how to correct these validation errors in the form of feedback to their CMRT submission, training courses and direct engagement help.

After completing the RCOI, IMAX conducted due diligence measures on the source and chain of custody of such conflict minerals, as further described below.

 

5.

Due Diligence

IMAX is many steps removed from the smelters and refiners that directly process conflict minerals. A large number of suppliers, through multiple tiers of distribution, supply the components and materials integrated into our products. Furthermore, IMAX does not purchase raw ore or unrefined 3TGs or make purchases directly from the Covered Countries. The origin of 3TGs cannot be determined with any certainty once the raw ores are smelted, refined, and converted to ingots, bullion, or other 3TG-containing derivatives.

Based on the RCOI, IMAX has reason to believe that some of the 3TG minerals included in its products may have originated in the Covered Countries. As such, IMAX conducted due diligence on the source and chain of custody of its conflict minerals in a manner consistent with the framework promulgated by the Organisation for Economic Co-operation Development (“OECD”) and its Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict Affected and High Risk Areas¸ including the related supplements on 3TGs (“OECD Guidance”) and evaluated market expectations for data collection and reporting to achieve continuous improvement opportunities.

 

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Due to practical difficulties associated with supply chain complexities, the OECD Guidance advises that downstream companies exercise due diligence primarily by establishing controls over their immediate suppliers. Accordingly, we rely primarily on our direct suppliers to provide information with respect to the origin of the conflict minerals contained in the components and materials supplied to us and third-party audit programs. This creates a risk of incomplete or inaccurate data. However, through active risk identification and risk assessment, as well as continued outreach and process validation, the Company believes risk gaps can be mitigated. This aligns with industry standards and market expectations for downstream companies’ due diligence.

Due Diligence Performed

 

5.1

Establish Strong Company Management Systems

Conflict Minerals Policy

IMAX first adopted a Conflict Minerals Policy in 2014, committed to addressing the concern that certain minerals that are contained in IMAX Systems may contribute to the funding of military conflict and human rights violations in the Covered Countries. The policy was reviewed and updated in September 2019. Through this policy, IMAX has encouraged its suppliers and sub-suppliers to responsibly source 3TGs. This policy is available publicly on the Governance page of the Company’s Investor Relations website at http://www.imax.com/content/investor-relations.

Internal Compliance Team

IMAX established a cross-functional Conflict Minerals Compliance Team. The Conflict Minerals Compliance Team is responsible for implementing the conflict minerals compliance strategy and briefing senior management about the results of these due diligence efforts.

The Company also uses Assent to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and developing and implementing additional due diligence steps that the Company will undertake with suppliers and/or respective stakeholders in regards to conflict minerals.

The Company leverages Assent’s Managed Services to work with dedicated program specialists who support IMAX’s conflict minerals program. The Company communicates regularly with the Assent team in order to receive updates on program status. Each member of Assent’s Customer Success team is trained in conflict minerals compliance and understands the intricacies of reporting templates such as CMRT and Conflict Minerals Reports, as well as Section 1502 of the Dodd-Frank Act.

Control Systems

The Company expects all suppliers to have policies and procedures in place to ensure that 3TGs used in the production of the products sold to IMAX are “conflict free or responsibly sourced.” This means that the products should not contain 3TGs sourced from areas that have been identified to be in the presence of widespread human rights abuses and violations of law either directly or indirectly. The Company expects direct suppliers to provide information on the origin of the 3TGs contained in components and materials supplied, including sources of 3TGs that are supplied to them from lower-tier suppliers.

Controls adopted include, but are not limited to, IMAX’s Code of Business Conduct and Ethics, which outlines expected behaviors for all IMAX employees and contractors, IMAX’s Conflicts Minerals Policy, the IMAX Supplier Compliance Document, and supplier conflict minerals contract clauses as further described below.

A number of parts contained in IMAX’s products are commercial, off-the-shelf (“COTS”) components. Each new purchase order for COTS components requires that the supplier assist the Company in implementing its Conflict Minerals Policy, such as by completing the CMRT. IMAX further compiles a list of all unique COTS items contained in IMAX products and contacts the manufacturers of each COTS items to request completion of the CMRT.

 

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IMAX also contracts with various suppliers for fabricated assemblies. Based on drawings provided by IMAX, suppliers fabricate a portion of these assemblies from various materials, such as metal for enclosures. All metal fabrication drawings generated by IMAX specifically state the materials used are to be conflict-free. These fabricated assemblies are in turn used by IMAX in the assembly of its products. All new purchase agreements for the manufacturing of assemblies incorporated into IMAX products contain clauses that require suppliers to assist IMAX in implementing its Conflict Minerals Policy, such as by completing the CMRT. Contracts with the Company’s direct suppliers are frequently multi-year term contracts. In the case of existing contracts, the Company generally is unable to unilaterally impose new contract terms prior to expiration of the contract. However, IMAX works individually with key selected suppliers to ensure they provide 3TG sourcing information for current contracts. As the Company renews contracts or enters into new ones, it intends to add a clause that requires all applicable suppliers to assist IMAX in implementing its Conflict Minerals Policy.

Supplier Engagement

IMAX has a strong relationship with Tier 1 direct suppliers. As an extremely important part of the supply chain, IMAX has leveraged processes and educational opportunities to ensure that suppliers have access to a free platform to upload their CMRTs, help desk support, and other multilingual resources. IMAX’s suppliers are able to leverage Assent’s team of supplier support specialists to ensure they receive appropriate support and understand how to properly complete a CMRT. Suppliers are provided guidance in their native language, if needed. In addition, Assent’s online resources provide suppliers with conflict minerals training and support. Also, Assent’s automated feedback process that notifies suppliers of risks associated with their CMRT submission serves to educate suppliers of certain conflict minerals’ risks.

The Company engages with suppliers to request a valid (free of validated errors) CMRT for the products that they supply to the Company. With respect to the OECD requirement to strengthen engagement with suppliers, the Company has developed an internal procedure that includes a supplier risk identification process that leads to further steps of supplier engagement in the form of escalations, such as in-person meetings and/or corrective actions. Feedback from this engagement process has allowed the Company to oversee improvements in supplier responses and supplier compliance for this initiative.

Suppliers with questions are directed to the appropriate contact on the IMAX Conflict Mineral Compliance Team.

Additionally, suppliers are required under the supplier agreements with IMAX to comply with the conflict mineral rules under Section 1502 of the Dodd-Frank Act and to provide information and perform due diligence related to sourcing 3TG and smelters. In addition, suppliers are required to substantially comply with corporate responsibility standards at least as stringent as those set forth in the Electronic Industry Citizenship Coalition’s Electronic Industry Code of Conduct (the “Supplier Code of Conduct”).

IMAX believes that the combination of the Supplier Code of Conduct, the contractual obligations under the supplier agreements between IMAX and suppliers, and direct engagement with suppliers for conflict minerals training and support constitute a strong supplier engagement program.

 

5


Grievance Mechanisms

The Company established multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of IMAX’s policies, including the Conflict Minerals Policy. Suppliers and others outside of IMAX may contact the Conflict Minerals Compliance Team, including to report grievances, via a dedicated email address that is provided to suppliers. In addition, employees and suppliers may anonymously report suspected violations via contacts provided in IMAX Code of Business Conduct and Ethics. Violations or grievances at the industry level can be reported to the RMI directly as well. This can be done at

http://www.responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievance-mechanism/.

Maintain Records

IMAX has adopted a policy to retain relevant documentation for a period of five years. Through Assent, a document retention policy to retain conflict minerals related documents, including supplier responses to CMRTs and the sources identified within each reporting period, has been implemented. The Company stores all of the information and findings from this process in a database that can be audited by internal or external parties.

 

5.2

Identify and Assess Risk in the Supply Chain

Because of IMAX’s size, the complexity of its products, and the depth, breadth, and constant evolution of its supply chain, it is difficult to identify actors upstream from the Company’s direct suppliers. The majority of IMAX’s direct suppliers who were asked to submit a CMRT and who provided a CMRT identified their components and products as containing 3TGs. These suppliers are relied upon to provide IMAX with information about the source of 3TGs contained in the components and products supplied to us.

IMAX does not have a direct relationship with smelters and refiners and does not perform direct audits of the pre-supply chain of these entities. Risks related to smelters and refiners are identified based on criteria established for supplier responses in IMAX’s conflict minerals compliance system. Specifically, supplier risk is classified as high, medium or low based on various scoring criteria, including: (1) whether there is known or plausible evidence of unethical or conflict sourcing by the smelter or refiner; (2) an analysis of the smelter or refiner country and its proximity to Covered Countries; (3) the smelter or refiner’s audit status with the RMI’s Responsible Minerals Assurance Process (“RMAP”); (4) known mineral source country of origin; and (5) whether peer assessments were conducted by credible third-party sources. Where a smelter or refiner is claimed to be “conflict-free”, the facility is cross-referenced against the lists maintained by the RMI. In cases where IMAX identifies supplier risk, IMAX will contact the supplier, gather pertinent data and perform an assessment of the supplier’s conflict minerals status.

If any of IMAX’s direct suppliers report a high-risk smelter on its CMRT, Assent will request that the supplier in question provide a product-level and/or user-defined CMRT. This helps to enable IMAX to determine if there is any connection between the materials or components the Company purchases from the supplier and the high-risk smelters reported. The results of IMAX’s smelter and refiner data analysis are described in Section 6 below. As part of our due diligence process, IMAX, through Assent, reaches out to the suppliers who have reported a high-risk smelter’s presence in their supply chain and direct them to Assent University educations courses on risk mitigation and due diligence recommendations and encourage the supplier to engage with RMAP/third-party audit program to assure that sources from the facility are conflict-free or responsibly sourced. Furthermore, the Company monitors the suppliers that have identified high-risk smelters in their supply chain and their progress in transitioning to alternative sources.

 

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The Company believes that the inquiries and investigations described above represent a reasonable effort to determine the mines or locations of origin of the 3TGs in its products, including (1) seeking information about 3TG smelters and refiners in the supply chain through requesting that suppliers complete the CMRT, (2) verifying those smelters and refiners with the expanding RMI lists, (3) conducting the due diligence review, and (4) obtaining additional documentation and verification, as applicable.

 

5.3

Design and Implement a Strategy to Respond to Risks

Together with Assent, IMAX developed processes to assess and respond to the risks identified in the supply chain. IMAX has a risk management plan, through which the conflict minerals program is implemented, managed, and monitored. As the program progresses, escalations are sent to non-responsive suppliers to outline the importance of a response via CMRTs and to outline the required cooperation for compliance to the conflict minerals rules and the Company’s expectations.

Feedback on supplier submissions is given directly to suppliers and educational resources are provided to assist suppliers in corrective action methods or to improve their internal programs. Assent also communicates directly with smelters that have not yet been determined to be conformant with the RMAP in order to request sourcing information and encourage their involvement with the RMI program.

 

5.4

Report Annually on Supply Chain Due Diligence

The Company reports annually on supply chain due diligence by filing a Form SD and a Conflict Minerals Report with the SEC. The Company’s Form SD and Conflict Minerals Report can be found on the Governance page of the Company’s Investor Relations website (http://www.imax.com/content/investor-relations).

IMAX has also considered impacts from the European Union Conflict Minerals Rule when disclosing details regarding due diligence efforts. IMAX will continue to expand efforts both for transparency through the data collection process and risk evaluation, as well as the disclosure of efforts through public reporting.

 

6.

Due Diligence Results

The large majority of supplier responses provided data at a company or divisional level, meaning that the identified 3TG may or may not actually be present in the components or parts actually supplied to IMAX. In many other cases, the suppliers were unable to specify the smelters or refiners used for components supplied to IMAX. Furthermore, suppliers did not always provide smelter or refiner lists nor were the smelter or refiner lists they did supply consistently completed with smelter or refiner identification numbers. In addition, many of the responses provided at the company or division level indicated an “unknown” status in terms of determining the origin of 3TGs. Therefore, IMAX cannot provide absolute assurance as to whether any of these smelters or refiners are actually in its supply chain.

Supply Chain Outreach Results

Supply chain outreach is required to identify the upstream sources of origin of 3TGs. Following the industry standard process, CMRTs are sent to and requested from Tier 1 suppliers, who are expected to follow this process until the smelter and refiner sources are identified. The following is the result of the outreach conducted by IMAX for 2023.

 

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Supply Chain Outreach Metrics

 

Year

   Number of in-scope suppliers      Response rate  

2023

     552        57.97

2022

     622        57.88

2021

     622        64.15

Upstream Data Transparency

Appendix A includes all smelters/refiners that suppliers listed in completed CMRTs that met the recognized definition of a 3TGs processing facility and were operational during 2023. As is a common practice when requests are sent upstream in the supply chain, suppliers that purchase materials from smelters may not be able to discern exactly which company’s product lines the materials may end up in. As a result, suppliers frequently list all smelters/refiners they may purchase from within the reporting period and most of the CMRTs are made on a company- or division-level basis, rather than on a product-level basis. Consequently, IMAX is not able to identify which smelters or refiners listed on Appendix A actually processed 3TGs contained in our products, and the list of smelters/refiners (as sources) on Appendix A is likely to be more comprehensive than the list of smelters/refiners that actually processed the 3TGs contained in the Company’s products. Suppliers that identified high-risk smelters on their CMRT were contacted in accordance with the OECD Guidance, as described in the previous sections.

IMAX relies on third-party assessment of smelter/refiners management systems and sourcing practices to validate the smelters’ and refiners’ conformance with RMAP standards. The following table summarizes the number of identified smelters and refiners that were determined to be conformant with the RMAP (“RMAP Conformant”), actively enrolled in the RMAP but not yet determined to be conformant (“RMAP Active), not enrolled in the RMAP (“Not Enrolled”), and non-conformant with the RMAP (“Non-Conformant”) based on the completed CMRTs.

 

Status

   Number of identified smelters/refiners  

RMAP Conformant

     225  

RMAP Active

     9  

Not Enrolled

     91  

Non-Conformant

     29  

Country of Origin

Appendix B includes an aggregated list of countries of origin from which the reported facilities collectively source 3TGs, based on reasonable identification of country of origin data obtained via Assent’s supply chain database or other RCOI data, as applicable. As mentioned in the above section, overreporting is likely to occur which could result in Appendix B listing more countries than those relevant to the Company’s products.

 

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7.

Steps to Be Taken to Mitigate Risk

Going forward, IMAX, with assistance from Assent, intends to take the following steps to further improve its due diligence and to further mitigate any risk that 3TGs in IMAX products could benefit armed groups in the Covered Countries:

 

   

Periodically reevaluate and enhance clauses in new purchase orders and supplier contracts to assist in implementing the Company’s conflict minerals program.

 

   

Pursue strategies to increase the number of suppliers providing information while working with suppliers to move to the latest version of the CMRT.

 

   

Engage any suppliers found to be supplying the Company with 3TGs from sources that support conflict in the Covered Countries and encourage them to establish an alternative source of 3TGs that does not support such conflict.

 

   

Monitor suppliers who identify high-risk smelters in prior CMRTs.

 

   

Continue to emphasize clean and validated smelter or refiner information from the supply chain as the list of conflict-free smelters and refiners grows and more smelters declare their intent to enroll in the program.

 

   

Continue to evaluate upstream sources through a broader set of tools to evaluate risk. These include, but are not limited to:

 

   

Using a comprehensive smelter and refiner library with detailed status and notes for each entity.

 

   

Scanning for verifiable media sources on each smelter and refiner to flag risk issues.

 

   

Comparing the list of smelters/refiners against government watch and denied parties lists.

 

   

Encourage suppliers to have due diligence procedures in place for their supply chains to improve the content of the responses from such suppliers.

 

   

Following the OECD Guidance process, increase the emphasis on clean and validated smelter and refiner information from the supply chain through feedback and detailed smelter analysis.

 

   

Evaluate any alternative suppliers if the Company determines that a supplier may potentially expose the Company to unacceptable risks.

All suppliers who do not know the origin of the 3TGs in their products will be further encouraged to examine their supply chain and enact due diligence measures as per the OECD Guidance. The goal for these suppliers is to determine the origin of their 3TGs and, if not from recycled or scrap resources, then to ensure a conflict-free origin. Should suppliers of parts that are at a high risk of containing 3TGs remain unresponsive or if suppliers are unable to definitively determine origin and to take necessary subsequent steps to ensure that their products are conflict-free, IMAX will consider replacing such suppliers.

 

9


Smelter & Refiner Risk Evaluation

Understanding the risks associated with the smelters and refiners potentially providing material into IMAX’s supply chain is an important part of the due diligence process. Through Assent, IMAX conducts a comprehensive and ongoing analysis through Assent’s smelter library manager to assess sourcing risk. This information is used to:

 

   

Provide supplier feedback;

 

   

Determine the health of the Company’s overall program;

 

   

Conduct outreach to smelters, refiners and their respective associations; and

 

   

Provide detailed analysis in this report.

The following risk categories are used for smelter evaluation and risk determination:

 

   

Geo-Risk:

 

   

Did the mineral originate from or has it been transported through a conflict-affected area as defined by Section 1502 of the Dodd-Frank Act (the DRC and its nine adjoining countries: Angola, Burundi, Central African Republic, Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia)?

 

   

Audit Status:

 

   

Have the refiner’s due diligence practices been audited against a standard in conformance with the OECD Guidance?

 

   

Assent relies on the RMI audit standard, including cross-recognition of the London Bullion Market Association Good Delivery Program and the Responsible Jewelry Council Chain of Custody Certification, which are developed according to global standards, including the OECD Guidance.

 

   

Sourcing Risk:

 

   

Has evidence of any other red flag that is supported by credible sources been identified?

 

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APPENDIX A - Smelter and Refiner List

 

Metal

 

Smelter Name

 

Smelter Facility Location

 

Smelter ID

 

RMAP Audit Status

Gold

  Advanced Chemical Company   United States of America    CID000015    Active

Gold

  Aida Chemical Industries Co., Ltd.   Japan   CID000019   Conformant

Gold

  Agosi AG   Germany   CID000035   Conformant

Gold

  Almalyk Mining and Metallurgical Complex (AMMC)   Uzbekistan   CID000041   Conformant

Gold

  AngloGold Ashanti Corrego do Sitio Mineracao   Brazil   CID000058   Conformant

Gold

  Argor-Heraeus S.A.   Switzerland   CID000077   Conformant

Gold

  Asahi Pretec Corp.   Japan   CID000082   Conformant

Gold

  Asaka Riken Co., Ltd.   Japan   CID000090   Conformant

Gold

  Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   Turkey   CID000103   Outreach Required

Gold

  Aurubis AG   Germany   CID000113   Conformant

Gold

  Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   Philippines   CID000128   Conformant

Gold

  Boliden AB   Sweden   CID000157   Conformant

Gold

  C. Hafner GmbH + Co. KG   Germany   CID000176   Conformant

Gold

  Caridad   Mexico   CID000180   Outreach Required

Gold

  CCR Refinery - Glencore Canada Corporation   Canada   CID000185   Conformant

Gold

  Cendres + Metaux S.A.   Switzerland   CID000189   Non Conformant

Gold

  Yunnan Copper Industry Co., Ltd.   China   CID000197   Outreach Required

Gold

  Chimet S.p.A.   Italy   CID000233   Conformant

Gold

  Chugai Mining   Japan   CID000264   Conformant

Gold

  Daye Non-Ferrous Metals Mining Ltd.   China   CID000343   Outreach Required

Gold

  DSC (Do Sung Corporation)   Korea, Republic of   CID000359   Conformant

Gold

  Dowa   Japan   CID000401   Conformant

Gold

  Eco-System Recycling Co., Ltd. East Plant   Japan   CID000425   Conformant

Gold

  JSC Novosibirsk Refinery   Russian Federation   CID000493   RMI Due Diligence Review - Unable to Proceed

Gold

  Refinery of Seemine Gold Co., Ltd.   China   CID000522   Outreach Required

 

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Gold

  Guoda Safina High-Tech Environmental Refinery Co., Ltd.   China   CID000651   Outreach Required

Gold

  Hangzhou Fuchunjiang Smelting Co., Ltd.   China   CID000671   Outreach Required

Gold

  LT Metal Ltd.   Korea, Republic of   CID000689   Conformant

Gold

  Heimerle + Meule GmbH   Germany   CID000694   Conformant

Gold

  Heraeus Metals Hong Kong Ltd.   China   CID000707   Conformant

Gold

  Heraeus Germany GmbH Co. KG   Germany   CID000711   Conformant

Gold

  Hunan Chenzhou Mining Co., Ltd.   China   CID000767   Outreach Required

Gold

  Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.   China   CID000773   Outreach Required

Gold

  HwaSeong CJ CO., LTD.   Korea, Republic of   CID000778   Communication Suspended - Not Interested

Gold

  Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.   China   CID000801   Conformant

Gold

  Ishifuku Metal Industry Co., Ltd.   Japan   CID000807   Conformant

Gold

  Istanbul Gold Refinery   Turkey   CID000814   Conformant

Gold

  Japan Mint   Japan   CID000823   Conformant

Gold

  Jiangxi Copper Co., Ltd.   China   CID000855   Conformant

Gold

  Asahi Refining USA Inc.   United States of America   CID000920   Conformant

Gold

  Asahi Refining Canada Ltd.   Canada   CID000924   Conformant

Gold

  JSC Ekaterinburg Non-Ferrous Metal Processing Plant   Russian Federation   CID000927   RMI Due Diligence Review - Unable to Proceed

Gold

  JSC Uralelectromed   Russian Federation   CID000929   RMI Due Diligence Review - Unable to Proceed

Gold

  JX Nippon Mining & Metals Co., Ltd.   Japan   CID000937   Conformant

Gold

  Kazakhmys Smelting LLC   Kazakhstan   CID000956   Outreach Required

Gold

  Kazzinc   Kazakhstan   CID000957   Conformant

Gold

  Kennecott Utah Copper LLC   United States of America   CID000969   Conformant

Gold

  Kojima Chemicals Co., Ltd.   Japan   CID000981   Conformant

Gold

  Kyrgyzaltyn JSC   Kyrgyzstan   CID001029   Non Conformant

Gold

  L’azurde Company For Jewelry   Saudi Arabia   CID001032   RMI Due Diligence Review - Unable to Proceed

Gold

  Lingbao Gold Co., Ltd.   China   CID001056   Outreach Required

 

12


Gold

  Lingbao Jinyuan Tonghui Refinery Co., Ltd.   China   CID001058   Outreach Required

Gold

  LS-NIKKO Copper Inc.   Korea, Republic of   CID001078   Conformant

Gold

  Luoyang Zijin Yinhui Gold Refinery Co., Ltd.   China   CID001093   Outreach Required

Gold

  Materion   United States of America   CID001113   Conformant

Gold

  Matsuda Sangyo Co., Ltd.   Japan   CID001119   Conformant

Gold

  Metalor Technologies (Suzhou) Ltd.   China   CID001147   Conformant

Gold

  Metalor Technologies (Hong Kong) Ltd.   China   CID001149   Conformant

Gold

  Metalor Technologies (Singapore) Pte., Ltd.   Singapore   CID001152   Conformant

Gold

  Metalor Technologies S.A.   Switzerland   CID001153   Conformant

Gold

  Metalor USA Refining Corporation   United States of America   CID001157   Conformant

Gold

  Metalurgica Met-Mex Penoles S.A. De C.V.   Mexico   CID001161   Conformant

Gold

  Mitsubishi Materials Corporation   Japan   CID001188   Conformant

Gold

  Mitsui Mining and Smelting Co., Ltd.   Japan   CID001193   Conformant

Gold

  Moscow Special Alloys Processing Plant   Russian Federation   CID001204   RMI Due Diligence Review - Unable to Proceed

Gold

  Nadir Metal Rafineri San. Ve Tic. A.S.   Turkey   CID001220   Conformant

Gold

  Navoi Mining and Metallurgical Combinat   Uzbekistan   CID001236   Conformant

Gold

  Nihon Material Co., Ltd.   Japan   CID001259   Conformant

Gold

  Ohura Precious Metal Industry Co., Ltd.   Japan   CID001325   Conformant

Gold

  OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)   Russian Federation   CID001326   RMI Due Diligence Review - Unable to Proceed

Gold

  MKS PAMP SA   Switzerland   CID001352   Conformant

Gold

  Penglai Penggang Gold Industry Co., Ltd.   China   CID001362   Outreach Required

Gold

  Prioksky Plant of Non-Ferrous Metals   Russian Federation   CID001386   RMI Due Diligence Review - Unable to Proceed

Gold

  PT Aneka Tambang (Persero) Tbk   Indonesia   CID001397   Conformant

Gold

  PX Precinox S.A.   Switzerland   CID001498   Conformant

Gold

  Rand Refinery (Pty) Ltd.   South Africa   CID001512   Conformant

Gold

  Royal Canadian Mint   Canada   CID001534   Conformant

 

13


Gold

  Sabin Metal Corp.   United States of America   CID001546   Communication Suspended - Not Interested

Gold

  Samduck Precious Metals   Korea, Republic of   CID001555   Non Conformant

Gold

  Samwon Metals Corp.   Korea, Republic of   CID001562   Communication Suspended - Not Interested

Gold

  SEMPSA Joyeria Plateria S.A.   Spain   CID001585   Conformant

Gold

  Shandong Tiancheng Biological Gold Industrial Co., Ltd.   China   CID001619   Outreach Required

Gold

  Shandong Zhaojin Gold & Silver Refinery Co., Ltd.   China   CID001622   Conformant

Gold

  Sichuan Tianze Precious Metals Co., Ltd.   China   CID001736   Conformant

Gold

  SOE Shyolkovsky Factory of Secondary Precious Metals   Russian Federation   CID001756   RMI Due Diligence Review - Unable to Proceed

Gold

  Solar Applied Materials Technology Corp.   Taiwan   CID001761   Conformant

Gold

  Sumitomo Metal Mining Co., Ltd.   Japan   CID001798   Conformant

Gold

  Super Dragon Technology Co., Ltd.   Taiwan   CID001810   Outreach Required

Gold

  Tanaka Kikinzoku Kogyo K.K.   Japan   CID001875   Conformant

Gold

  Great Wall Precious Metals Co., Ltd. of CBPM   China   CID001909   Outreach Required

Gold

  Shandong Gold Smelting Co., Ltd.   China   CID001916   Conformant

Gold

  Tokuriki Honten Co., Ltd.   Japan   CID001938   Conformant

Gold

  Tongling Nonferrous Metals Group Co., Ltd.   China   CID001947   Outreach Required

Gold

  Torecom   Korea, Republic of   CID001955   Conformant

Gold

  Umicore S.A. Business Unit Precious Metals Refining   Belgium   CID001980   Conformant

Gold

  United Precious Metal Refining, Inc.   United States of America   CID001993   Conformant

Gold

  Valcambi S.A.   Switzerland   CID002003   Conformant

Gold

  Western Australian Mint (T/a The Perth Mint)   Australia   CID002030   Conformant

Gold

  Yamakin Co., Ltd.   Japan   CID002100   Conformant

Gold

  Yokohama Metal Co., Ltd.   Japan   CID002129   Conformant

Gold

  Zhongyuan Gold Smelter of Zhongjin Gold Corporation   China   CID002224   Conformant

Gold

  Gold Refinery of Zijin Mining Group Co., Ltd.   China   CID002243   Conformant

 

14


Gold

  Morris and Watson   New Zealand   CID002282   Outreach Required

Gold

  SAFINA A.S.   Czechia   CID002290   Conformant

Gold

  Guangdong Jinding Gold Limited   China   CID002312   Outreach Required

Gold

  Umicore Precious Metals Thailand   Thailand   CID002314   Non Conformant

Gold

  MMTC-PAMP India Pvt., Ltd.   India   CID002509   Conformant

Gold

  KGHM Polska Miedz Spolka Akcyjna   Poland   CID002511   Conformant

Gold

  Fidelity Printers and Refiners Ltd.   Zimbabwe   CID002515   RMI Due Diligence Review - Unable to Proceed

Gold

  Singway Technology Co., Ltd.   Taiwan   CID002516   Non Conformant

Gold

  Shandong Humon Smelting Co., Ltd.   China   CID002525   Outreach Required

Gold

  Shenzhen Zhonghenglong Real Industry Co., Ltd.   China   CID002527   Outreach Required

Gold

  Al Etihad Gold Refinery DMCC   United Arab Emirates   CID002560   Non Conformant

Gold

  Emirates Gold DMCC   United Arab Emirates   CID002561   Non Conformant

Gold

  International Precious Metal Refiners   United Arab Emirates   CID002562   Outreach Required

Gold

  Kaloti Precious Metals   United Arab Emirates   CID002563   RMI Due Diligence Review - Unable to Proceed

Gold

  Sudan Gold Refinery   Sudan   CID002567   Outreach Required

Gold

  T.C.A S.p.A   Italy   CID002580   Conformant

Gold

  REMONDIS PMR B.V.   Netherlands   CID002582   Conformant

Gold

  Fujairah Gold FZC   United Arab Emirates   CID002584   Outreach Required

Gold

  Industrial Refining Company   Belgium   CID002587   Non Conformant

Gold

  Shirpur Gold Refinery Ltd.   India   CID002588   Outreach Required

Gold

  Korea Zinc Co., Ltd.   Korea, Republic of   CID002605   Conformant

Gold

  Marsam Metals   Brazil   CID002606   Non Conformant

Gold

  TOO Tau-Ken-Altyn   Kazakhstan   CID002615   Conformant

Gold

  Abington Reldan Metals, LLC   United States of America   CID002708   Conformant

Gold

  Shenzhen CuiLu Gold Co., Ltd.   China   CID002750   Outreach Required

Gold

  Albino Mountinho Lda.   Portugal   CID002760   Outreach Required

Gold

  SAAMP   France   CID002761   Non Conformant

Gold

  L’Orfebre S.A.   Andorra   CID002762   Conformant

Gold

  8853 S.p.A.   Italy   CID002763   Non Conformant

Gold

  Italpreziosi   Italy   CID002765   Conformant

 

15


Gold

  WIELAND Edelmetalle GmbH   Germany   CID002778   Conformant

Gold

  Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH   Austria   CID002779   Conformant

Gold

  AU Traders and Refiners   South Africa   CID002850   Non Conformant

Gold

  GGC Gujrat Gold Centre Pvt. Ltd.   India   CID002852   Non Conformant

Gold

  Sai Refinery   India   CID002853   Outreach Required

Gold

  Modeltech Sdn Bhd   Malaysia   CID002857   Non Conformant

Gold

  Bangalore Refinery   India   CID002863   Active

Gold

  Kyshtym Copper-Electrolytic Plant ZAO   Russian Federation   CID002865   RMI Due Diligence Review - Unable to Proceed

Gold

  Degussa Sonne / Mond Goldhandel GmbH   Germany   CID002867   Outreach Required

Gold

  Pease & Curren   United States of America   CID002872   Communication Suspended - Not Interested

Gold

  JALAN & Company   India   CID002893   Outreach Required

Gold

  SungEel HiMetal Co., Ltd.   Korea, Republic of   CID002918   Conformant

Gold

  Planta Recuperadora de Metales SpA   Chile   CID002919   Conformant

Gold

  ABC Refinery Pty Ltd.   Australia   CID002920   Outreach Required

Gold

  Safimet S.p.A   Italy   CID002973   Non Conformant

Gold

  State Research Institute Center for Physical Sciences and Technology   Lithuania   CID003153   Outreach Required

Gold

  African Gold Refinery1   Uganda   CID003185   RMI Due Diligence Review - Unable to Proceed

Gold

  Gold Coast Refinery   Ghana   CID003186   Outreach Required

Gold

  NH Recytech Company   Korea, Republic of   CID003189   Conformant

Gold

  QG Refining, LLC   United States of America   CID003324   Outreach Required

Gold

  Dijllah Gold Refinery FZC   United Arab Emirates   CID003348   Outreach Required

Gold

  CGR Metalloys Pvt Ltd.   India   CID003382   Outreach Required

Gold

  Sovereign Metals   India   CID003383   Outreach Required

 

1 

Certain suppliers reported the presence of this entity, which has been sanctioned by the United States Department of Treasury, Office of Foreign Assets Control. Because of the over-reporting nature of the industry CMRT information collection process and the nature of the relevant supply chains and goods (including the many steps of removal between IMAX and the smelters and refiners), the Company cannot provide absolute assurance as to whether this entity, or any other individual smelter or refinery listed in this Appendix A, is or was active in our supply chain. IMAX, through Assent, has escalated this matter by contacting suppliers who identified this entity regarding the removal of this entity from their supply chain.

 

16


Gold

  Eco-System Recycling Co., Ltd. North Plant   Japan   CID003424   Conformant

Gold

  Eco-System Recycling Co., Ltd. West Plant   Japan   CID003425   Conformant

Gold

  Augmont Enterprises Private Limited   India   CID003461   Non Conformant

Gold

  Kundan Care Products Ltd.   India   CID003463   Outreach Required

Gold

  Emerald Jewel Industry India Limited (Unit 1)   India   CID003487   Outreach Required

Gold

  Emerald Jewel Industry India Limited (Unit 2)   India   CID003488   Outreach Required

Gold

  Emerald Jewel Industry India Limited (Unit 3)   India   CID003489   Outreach Required

Gold

  Emerald Jewel Industry India Limited (Unit 4)   India   CID003490   Outreach Required

Gold

  K.A. Rasmussen   Norway   CID003497   Outreach Required

Gold

  Alexy Metals   United States of America   CID003500   Non Conformant

Gold

  MD Overseas   India   CID003548   Outreach Required

Gold

  Metallix Refining Inc.   United States of America   CID003557   Outreach Required

Gold

  Metal Concentrators SA (Pty) Ltd.   South Africa   CID003575   Conformant

Gold

  WEEEREFINING   France   CID003615   Conformant

Gold

  Gold by Gold Colombia   Colombia   CID003641   Conformant

Gold

  Dongwu Gold Group   China   CID003663   Outreach Required

Gold

  Coimpa Industrial LTDA   Brazil   CID004010   Conformant

Gold

  Sam Precious Metals   United Arab Emirates   CID003666   Outreach Required

Gold

  GG Refinery Ltd.   Tanzania, United Republic of   CID004506   Active

Gold

  Impala Refineries – Base Metals Refinery (BMR)   South Africa   CID004604   Active

Gold

  Impala Rustenburg   South Africa   CID004610   Active

Tantalum

  Guangdong Rising Rare Metals-EO Materials Ltd.   China   CID000291   Conformant

Tantalum

  F&X Electro-Materials Ltd.   China   CID000460   Conformant

Tantalum

  XIMEI RESOURCES (GUANGDONG) LIMITED   China   CID000616   Conformant

Tantalum

  JiuJiang JinXin Nonferrous Metals Co., Ltd.   China   CID000914   Conformant

Tantalum

  Jiujiang Tanbre Co., Ltd.   China   CID000917   Conformant

Tantalum

  AMG Brasil   Brazil   CID001076   Conformant

Tantalum

  Metallurgical Products India Pvt., Ltd.   India   CID001163   Conformant

Tantalum

  Mineracao Taboca S.A.   Brazil   CID001175   Conformant

 

17


Tantalum

  Mitsui Mining and Smelting Co., Ltd.   Japan   CID001192   Conformant

Tantalum

  NPM Silmet AS   Estonia   CID001200   Conformant

Tantalum

  Ningxia Orient Tantalum Industry Co., Ltd.   China   CID001277   Conformant

Tantalum

  QuantumClean   United States of America   CID001508   Conformant

Tantalum

  Yanling Jincheng Tantalum & Niobium Co., Ltd.   China   CID001522   Conformant

Tantalum

  Solikamsk Magnesium Works OAO   Russian Federation   CID001769   RMI Due Diligence Review - Unable to Proceed

Tantalum

  Taki Chemical Co., Ltd.   Japan   CID001869   Conformant

Tantalum

  Telex Metals   United States of America   CID001891   Conformant

Tantalum

  Ulba Metallurgical Plant JSC   Kazakhstan   CID001969   Conformant

Tantalum

  Hengyang King Xing Lifeng New Materials Co., Ltd.   China   CID002492   Conformant

Tantalum

  D Block Metals, LLC   United States of America   CID002504   Conformant

Tantalum

  FIR Metals & Resource Ltd.   China   CID002505   Conformant

Tantalum

  Jiujiang Zhongao Tantalum & Niobium Co., Ltd.   China   CID002506   Conformant

Tantalum

  XinXing HaoRong Electronic Material Co., Ltd.   China   CID002508   Conformant

Tantalum

  Jiangxi Dinghai Tantalum & Niobium Co., Ltd.   China   CID002512   Conformant

Tantalum

  KEMET de Mexico   Mexico   CID002539   Conformant

Tantalum

  TANIOBIS Co., Ltd.   Thailand   CID002544   Conformant

Tantalum

  TANIOBIS GmbH   Germany   CID002545   Conformant

Tantalum

  Materion Newton Inc.   United States of America   CID002548   Conformant

Tantalum

  TANIOBIS Japan Co., Ltd.   Japan   CID002549   Conformant

Tantalum

  TANIOBIS Smelting GmbH & Co. KG   Germany   CID002550   Conformant

Tantalum

  Global Advanced Metals Boyertown   United States of America   CID002557   Conformant

Tantalum

  Global Advanced Metals Aizu   Japan   CID002558   Conformant

Tantalum

  Resind Industria e Comercio Ltda.   Brazil   CID002707   Conformant

Tantalum

  Jiangxi Tuohong New Raw Material   China   CID002842   Conformant

Tantalum

  RFH Yancheng Jinye New Material Technology Co., Ltd.   China   CID003583   Conformant

Tantalum

  5D Production OU   Estonia   CID003926   Outreach Required

Tantalum

  PowerX Ltd.   Rwanda   CID004054   Conformant

 

18


Tin

  Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.   China   CID000228   Conformant

Tin

  Alpha   United States of America   CID000292   Conformant

Tin

  PT Aries Kencana Sejahtera   Indonesia   CID000309   Conformant

Tin

  PT Premium Tin Indonesia   Indonesia   CID000313   Conformant

Tin

  Dowa   Japan   CID000402   Conformant

Tin

  EM Vinto   Bolivia   CID000438   Conformant

Tin

  Estanho de Rondonia S.A.   Brazil   CID000448   Conformant

Tin

  Fenix Metals   Poland   CID000468   Conformant

Tin

  Gejiu Non-Ferrous Metal Processing Co., Ltd.   China   CID000538   Conformant

Tin

  Gejiu Zili Mining And Metallurgy Co., Ltd.   China   CID000555   Non Conformant

Tin

  Gejiu Kai Meng Industry and Trade LLC   China   CID000942   Non Conformant

Tin

  China Tin Group Co., Ltd.   China   CID001070   Conformant

Tin

  Malaysia Smelting Corporation (MSC)   Malaysia   CID001105   Conformant

Tin

  Metallic Resources, Inc.   United States of America   CID001142   Conformant

Tin

  Mineracao Taboca S.A.   Brazil   CID001173   Conformant

Tin

  Minsur   Peru   CID001182   Conformant

Tin

  Mitsubishi Materials Corporation   Japan   CID001191   Conformant

Tin

  Jiangxi New Nanshan Technology Ltd.   China   CID001231   Conformant

Tin

  Novosibirsk Tin Combine   Russian Federation   CID001305   RMI Due Diligence Review - Unable to Proceed

Tin

  O.M. Manufacturing (Thailand) Co., Ltd.   Thailand   CID001314   Conformant

Tin

  Operaciones Metalurgicas S.A.   Bolivia   CID001337   Conformant

Tin

  PT Artha Cipta Langgeng   Indonesia   CID001399   Conformant

Tin

  PT Babel Inti Perkasa   Indonesia   CID001402   Conformant

Tin

  PT Babel Surya Alam Lestari   Indonesia   CID001406   Conformant

Tin

  PT Bangka Tin Industry   Indonesia   CID001419   Active

Tin

  PT Belitung Industri Sejahtera   Indonesia   CID001421   Conformant

Tin

  PT Bukit Timah   Indonesia   CID001428   Conformant

Tin

  PT Mitra Stania Prima   Indonesia   CID001453   Conformant

Tin

  PT Panca Mega Persada   Indonesia   CID001457   Outreach Required

Tin

  PT Prima Timah Utama   Indonesia   CID001458   Conformant

Tin

  PT Refined Bangka Tin   Indonesia   CID001460   Conformant

Tin

  PT Sariwiguna Binasentosa   Indonesia   CID001463   Conformant

 

19


Tin

  PT Stanindo Inti Perkasa   Indonesia   CID001468   Conformant

Tin

  PT Timah Tbk Kundur   Indonesia   CID001477   Conformant

Tin

  PT Timah Tbk Mentok   Indonesia   CID001482   Conformant

Tin

  PT Timah Nusantara   Indonesia   CID001486   Conformant

Tin

  PT Tinindo Inter Nusa   Indonesia   CID001490   Conformant

Tin

  PT Tommy Utama   Indonesia   CID001493   Conformant

Tin

  Rui Da Hung   Taiwan   CID001539   Conformant

Tin

  Thaisarco   Thailand   CID001898   Conformant

Tin

  Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.   China   CID001908   Non Conformant

Tin

  VQB Mineral and Trading Group JSC   Vietnam   CID002015   Outreach Required

Tin

  White Solder Metalurgia e Mineracao Ltda.   Brazil   CID002036   Conformant

Tin

  Yunnan Chengfeng Non-ferrous Metals Co., Ltd.   China   CID002158   Conformant

Tin

  Tin Smelting Branch of Yunnan Tin Co., Ltd.   China   CID002180   Conformant

Tin

  CV Venus Inti Perkasa   Indonesia   CID002455   Conformant

Tin

  Magnu’s Minerais Metais e Ligas Ltda.   Brazil   CID002468   Conformant

Tin

  PT Tirus Putra Mandiri   Indonesia   CID002478   Communication Suspended - Not Interested

Tin

  Melt Metais e Ligas S.A.   Brazil   CID002500   Non Conformant

Tin

  PT ATD Makmur Mandiri Jaya   Indonesia   CID002503   Conformant

Tin

  O.M. Manufacturing Philippines, Inc.   Philippines   CID002517   Conformant

Tin

  CV Ayi Jaya   Indonesia   CID002570   Conformant

Tin

  Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company   Vietnam   CID002572   Non Conformant

Tin

  Nghe Tinh Non-Ferrous Metals Joint Stock Company   Vietnam   CID002573   Outreach Required

Tin

  Tuyen Quang Non-Ferrous Metals Joint Stock Company   Vietnam   CID002574   Outreach Required

Tin

  PT Rajehan Ariq   Indonesia   CID002593   Conformant

Tin

  PT Cipta Persada Mulia   Indonesia   CID002696   Conformant

Tin

  An Vinh Joint Stock Mineral Processing Company   Vietnam   CID002703   Outreach Required

Tin

  Resind Industria e Comercio Ltda.   Brazil   CID002706   Conformant

Tin

  Super Ligas   Brazil   CID002756   Conformant

Tin

  Aurubis Beerse   Belgium   CID002773   Conformant

Tin

  Aurubis Berango   Spain   CID002774   Conformant

 

20


Tin

  PT Bangka Prima Tin   Indonesia   CID002776   Conformant

Tin

  PT Sukses Inti Makmur   Indonesia   CID002816   Conformant

Tin

  PT Menara Cipta Mulia   Indonesia   CID002835   Conformant

Tin

  HuiChang Hill Tin Industry Co., Ltd.   China   CID002844   Conformant

Tin

  Modeltech Sdn Bhd   Malaysia   CID002858   Non Conformant

Tin

  Guangdong Hanhe Non-Ferrous Metal Co., Ltd.   China   CID003116   Conformant

Tin

  Chifeng Dajingzi Tin Industry Co., Ltd.   China   CID003190   Conformant

Tin

  PT Bangka Serumpun   Indonesia   CID003205   Conformant

Tin

  Pongpipat Company Limited   Myanmar   CID003208   Outreach Required

Tin

  Tin Technology & Refining   United States of America   CID003325   Conformant

Tin

  Dongguan CiEXPO Environmental Engineering Co., Ltd.   China   CID003356   Non Conformant

Tin

  Ma’anshan Weitai Tin Co., Ltd.   China   CID003379   Non Conformant

Tin

  PT Rajawali Rimba Perkasa   Indonesia   CID003381   Conformant

Tin

  Luna Smelter, Ltd.   Rwanda   CID003387   Conformant

Tin

  Yunnan Yunfan Non-ferrous Metals Co., Ltd.   China   CID003397   Conformant

Tin

  Precious Minerals and Smelting Limited   India   CID003409   Active

Tin

  Gejiu City Fuxiang Industry and Trade Co., Ltd.   China   CID003410   Outreach Required

Tin

  PT Mitra Sukses Globalindo   Indonesia   CID003449   Conformant

Tin

  CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda   Brazil   CID003486   Conformant

Tin

  CRM Synergies   Spain   CID003524   Conformant

Tin

  Fabrica Auricchio Industria e Comercio Ltda.   Brazil   CID003582   Conformant

Tin

  DS Myanmar   Myanmar   CID003831   Conformant

Tin

  PT Putera Sarana Shakti (PT PSS)   Indonesia   CID003868   Conformant

Tin

  Mining Minerals Resources SARL   Congo, Democratic Republic of the   CID004065   Conformant

Tin

  Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD.   Japan   CID004403   Active

Tin

  Malaysia Smelting Corporation Berhad (Port Klang)   Malaysia   CID004434   In Communication

 

21


Tungsten

  A.L.M.T. Corp.   Japan   CID000004   Conformant

Tungsten

  Kennametal Huntsville   United States of America   CID000105   Conformant

Tungsten

  Guangdong Xianglu Tungsten Co., Ltd.   China   CID000218   Conformant

Tungsten

  Chongyi Zhangyuan Tungsten Co., Ltd.   China   CID000258   Conformant

Tungsten

  CNMC (Guangxi) PGMA Co., Ltd.   China   CID000281   Outreach Required

Tungsten

  Global Tungsten & Powders LLC   United States of America   CID000568   Conformant

Tungsten

  Hunan Chenzhou Mining Co., Ltd.   China   CID000766   Conformant

Tungsten

  Hunan Jintai New Material Co., Ltd.   China   CID000769   Non Conformant

Tungsten

  Japan New Metals Co., Ltd.   Japan   CID000825   Conformant

Tungsten

  Kennametal Fallon   United States of America   CID000966   Conformant

Tungsten

  Wolfram Bergbau und Hutten AG   Austria   CID002044   Conformant

Tungsten

  Xiamen Tungsten Co., Ltd.   China   CID002082   Conformant

Tungsten

  Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   China   CID002313   Communication Suspended - Not Interested

Tungsten

  Ganzhou Jiangwu Ferrotungsten Co., Ltd.   China   CID002315   Conformant

Tungsten

  Jiangxi Yaosheng Tungsten Co., Ltd.   China   CID002316   Conformant

Tungsten

  Jiangxi Xinsheng Tungsten Industry Co., Ltd.   China   CID002317   Conformant

Tungsten

  Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   China   CID002318   Conformant

Tungsten

  Malipo Haiyu Tungsten Co., Ltd.   China   CID002319   Conformant

Tungsten

  Xiamen Tungsten (H.C.) Co., Ltd.   China   CID002320   Conformant

Tungsten

  Jiangxi Gan Bei Tungsten Co., Ltd.   China   CID002321   Conformant

Tungsten

  Ganzhou Seadragon W & Mo Co., Ltd.   China   CID002494   Conformant

Tungsten

  Asia Tungsten Products Vietnam Ltd.   Vietnam   CID002502   Conformant

Tungsten

  Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch   China   CID002513   Conformant

Tungsten

  H.C. Starck Tungsten GmbH   Germany   CID002541   Conformant

 

22


Tungsten

  TANIOBIS Smelting GmbH & Co. KG   Germany   CID002542   Conformant

Tungsten

  Masan High-Tech Materials   Vietnam   CID002543   Conformant

Tungsten

  Jiangwu H.C. Starck Tungsten Products Co., Ltd.   China   CID002551   Conformant

Tungsten

  Niagara Refining LLC   United States of America   CID002589   Conformant

Tungsten

  China Molybdenum Tungsten Co., Ltd.   China   CID002641   Conformant

Tungsten

  Hydrometallurg, JSC   Russian Federation   CID002649   RMI Due Diligence Review - Unable to Proceed

Tungsten

  Unecha Refractory metals plant   Russian Federation   CID002724   Non Conformant

Tungsten

  Philippine Chuangxin Industrial Co., Inc.   Philippines   CID002827   Conformant

Tungsten

  ACL Metais Eireli   Brazil   CID002833   Non Conformant

Tungsten

  Moliren Ltd.   Russian Federation   CID002845   RMI Due Diligence Review - Unable to Proceed

Tungsten

  Lianyou Metals Co., Ltd.   Taiwan   CID003407   Conformant

Tungsten

  JSC “Kirovgrad Hard Alloys Plant”   Russian Federation   CID003408   RMI Due Diligence Review - Unable to Proceed

Tungsten

  NPP Tyazhmetprom LLC   Russian Federation   CID003416   RMI Due Diligence Review - Unable to Proceed

Tungsten

  Hubei Green Tungsten Co., Ltd.   China   CID003417   Conformant

Tungsten

  Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.   Brazil   CID003427   Non Conformant

Tungsten

  Cronimet Brasil Ltda   Brazil   CID003468   Conformant

Tungsten

  Artek LLC   Russian Federation   CID003553   RMI Due Diligence Review - Unable to Proceed

Tungsten

  Fujian Xinlu Tungsten Co., Ltd.   China   CID003609   Conformant

Tungsten

  OOO “Technolom” 2   Russian Federation   CID003612   RMI Due Diligence Review - Unable to Proceed

Tungsten

  OOO “Technolom” 1   Russian Federation   CID003614   RMI Due Diligence Review - Unable to Proceed

Tungsten

  LLC Vostok   Russian Federation   CID003643   RMI Due Diligence Review - Unable to Proceed

Tungsten

  YUDU ANSHENG TUNGSTEN CO., LTD.   China   CID003662   Outreach Required

 

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Tungsten

  HANNAE FOR T Co., Ltd.   Korea, Republic of   CID003978   Outreach Required

Tungsten

  DONGKUK INDUSTRIES CO., LTD.   Korea, Republic of   CID004060   Outreach Required

Tungsten

  Tungsten Vietnam Joint Stock Company   Vietnam   CID003993   Conformant

Tungsten

  Nam Viet Cromit Joint Stock Company   Vietnam   CID004034   Outreach Required

Tungsten

  MALAMET SMELTING SDN. BHD.   Malaysia   CID004056   Outreach Required

Tungsten

  Lianyou Resources Co., Ltd.   Taiwan   CID004397   Conformant

Tungsten

  Shinwon Tungsten (Fujian Shanghang) Co., Ltd.   China   CID004430   Conformant

Tungsten

  Kenee Mining Corporation Vietnam   Vietnam   CID004619   Active

 

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Appendix B: Countries of Origin

Country of Origin

 

Albania    Korea, Republic of
Andorra    Kyrgyzstan
Angola    Liberia
Argentina    Liechtenstein
Armenia    Lithuania
Australia    Luxembourg
Austria    Madagascar
Azerbaijan    Malaysia
Belarus    Mali
Belgium    Mauritania
Benin    Mexico
Bermuda    Mongolia
Bolivia    Morocco
Botswana    Mozambique
Brazil    Myanmar
Bulgaria    Namibia
Burkina Faso    Netherlands
Burundi    New Zealand
Cambodia    Nicaragua
Canada    Niger
Central African Republic    Nigeria
Chile    Norway
China    Oman
Colombia    Panama
Congo    Papua New Guinea
Cyprus    Peru
Democratic Republic of the Congo    Philippines
Djibouti    Poland
Dominica    Portugal
Dominican Republic    Russian Federation
Ecuador    Rwanda
Egypt    Saudi Arabia
El Salvador    Senegal
Eritrea    Serbia
Estonia    Sierra Leone
Ethiopia    Singapore

 

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Fiji    Slovakia
Finland    Solomon Islands
France    South Africa
Georgia    South Sudan
Germany    Spain
Ghana    Sudan
Guam    Suriname
Guatemala    Sweden
Guinea    Switzerland
Guyana    Taiwan
Honduras    Tajikistan
Hong Kong    Tanzania, United Republic of
Hungary    Thailand
India    Togo
Indonesia    Turkey
Ireland    Uganda
Israel    United Arab Emirates
Italy    United Kingdom
Ivory Coast    United States of America
Japan    Uruguay
Jersey    Uzbekistan
Kazakhstan    Vietnam
Kenya    Zambia

 

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