Delaware
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000-25426
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74-1871327
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(State or other jurisdiction of incorporation or organization)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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11500 North MoPac Expressway
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78759
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Austin, Texas
(Address of principal executive offices)
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(Zip Code)
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R. Eddie Dixon, Jr.
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(512) 683-0100
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☒
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Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.
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Item 1.01
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Conflict Minerals Disclosure and Report
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Item 1.02
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Exhibit
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Item 2.01
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Exhibits
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Exhibit 1.01
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NATIONAL INSTRUMENTS CORPORATION
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By:
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/s/ R. Eddie Dixon, Jr.
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R. Eddie Dixon, Jr.
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Chief Legal Officer, Senior Vice President & Secretary
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I. |
Introduction
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II. |
Overview
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III. |
Due Diligence Measures Performed by The Company
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a. |
Conflict minerals team – The Company established a conflict minerals team that includes individuals from the relevant business units and departments, including trade
compliance, procurement, sales, and legal. The team was structured to include the involvement from those in upper management roles, including the Senior VP of Manufacturing, Director of Trade Compliance, and Global Supply Chain Operations
Manager, to ensure that critical information, including the Company’s conflict minerals policy, reached relevant employees and suppliers.
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b. |
Conflict minerals policy – The Company adopted and published a policy establishing the expectations of our suppliers. The policy resides on our corporate website (http://ni.com/conflictminerals). The Company’s expectation for the responsible sourcing of minerals is also incorporated into the Company’s terms and conditions
with suppliers.
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c. |
Supplier engagement – The Company communicated its conflict minerals policy and provided educational materials to our in-scope suppliers. Suppliers were informed when the
request for information was initiated on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program. NI also communicated its conflict minerals
position statement to its suppliers through the NI Supplier Handbook, available online at ni.com/en-us/about-ni/suppliers.html, which is designed to inform potential and existing suppliers about the Company. Finally, NI requires that its
suppliers abide by the NI Supplier Code of Conduct and and the labor, health and safety, environmental, and ethics standards of the most current version of the Responsible Business Alliance (RBA) Code of Conduct.
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d. |
Company level grievance mechanism – As recommended by the OECD Due Diligence Guidance, the Company has a grievance mechanism in place as a risk-awareness system for
conflict minerals issues. NI maintains an ethics hotline pursuant to which stakeholders, internal and external, may confidentially report concerns involving conflict minerals, either electronically or by phone.
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e. |
Records management – The Company will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines of five
years.
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a. |
Identified products in scope – Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting
Period to identify products that should be deemed in-scope as described by the Adopting Release. As most NI hardware products contain at least one of the Conflict Minerals this disclosure includes information on a company level basis that
includes general information for all NI products.
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b. |
Conducted RCOI – The Company utilized the most recent version of the industry-developed CMRT to query our suppliers for conflict minerals information. We requested this
information from the Tier 1 suppliers who provide materials and components for NI products. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI. See Appendix I for a
list of countries of origin identified through the RCOI process.
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c. |
Completed additional follow-up – The Company contacted direct suppliers multiple times as needed to help ensure compliance with our request for detailed conflict minerals
information. We also worked to clarify and validate the accuracy of information provided by our suppliers by responding with standardized feedback questions to address any issues or uncertainty with the template provided when necessary and/or
obtaining additional information upon request (product identification, order numbers, or shipping addresses) to help ensure we are receiving conflict minerals information specific to our supply-chain.
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d. |
Identified smelters or refiners (“SORs”) – The Company compiled a list of SORs in our supply chain using our suppliers’ responses in their CMRTs. The Company reconciled
this list to the list of smelter facilities designated by the RMI’s Responsible Minerals Assurance Process (“RMAP”). The RMAP completes independent, third-party audits of smelters and refiners to determine which can be validated as having
systems in place that ensure the minerals are responsible sourced according to the OECD Due Diligence Guidance. The Company maintains a database of smelter aliases to reconcile suppliers’ smelters lists to the list of RMI SORs. We have provided
that list in this report within section IV – Product Description; Processing Facilities.
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a. |
Reporting results to senior management – The Conflict Minerals team reports the results of our RCOI to upper management which included the team’s plan to respond to risks
identified in the due diligence processes.
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b. |
Designed and implemented a plan – The Company used established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT, as well as,
any additional documentation furnished to support those responses and the suppliers’ due diligence processes. The resulting risk ratings were used to develop specific supplier outreach to address the identified risks and to take corrective
actions with suppliers found not in compliance with the Company’s conflict minerals policy. For 2020, suppliers who indicated that they had received responses from less than 50% of their in-scope suppliers were deemed as high-risk and
encouraged to work with their supply chain to increase the level of transparency.
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c. |
Identified SORs – As part of the risk mitigation process, the Company reconciled the list of SORs collected from suppliers to the list of smelter facilities validated by
the RMI. The Company maintains a database of smelter aliases to reconcile suppliers’ smelters lists to the list of RMI SORs.
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IV. |
Product Description; Processing Facilities
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Metal
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Standard Smelter Name
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Smelter Country
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Entity ID
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Gold
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Allgemeine Gold-und Silberscheideanstalt A.G.
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GERMANY
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CID000035
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Gold
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AngloGold Ashanti Corrego do Sitio Mineracao
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BRAZIL
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CID000058
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Gold
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Argor-Heraeus S.A.
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SWITZERLAND
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CID000077
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Gold
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Asahi Pretec Corp.
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JAPAN
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CID000082
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Gold
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Asahi Refining Canada Ltd.
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CANADA
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CID000924
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Gold
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Asahi Refining USA Inc.
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UNITED STATES OF AMERICA
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CID000920
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Gold
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Aurubis AG
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GERMANY
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CID000113
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Gold
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Boliden AB
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SWEDEN
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CID000157
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Gold
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C. Hafner GmbH + Co. KG
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GERMANY
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CID000176
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Gold
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Chimet S.p.A.
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ITALY
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CID000233
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Gold
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Dowa
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JAPAN
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CID000401
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Gold
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Heimerle + Meule GmbH
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GERMANY
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CID000694
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Gold
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Heraeus Metals Hong Kong Ltd.
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CHINA
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CID000707
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Gold
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Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
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CHINA
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CID000801
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Gold
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Ishifuku Metal Industry Co., Ltd.
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JAPAN
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CID000807
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Gold
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Istanbul Gold Refinery
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TURKEY
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CID000814
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Gold
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Jiangxi Copper Co., Ltd.
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CHINA
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CID000855
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Gold
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JX Nippon Mining & Metals Co., Ltd.
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JAPAN
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CID000937
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Gold
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Kennecott Utah Copper LLC
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UNITED STATES OF AMERICA
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CID000969
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Gold
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Kojima Chemicals Co., Ltd.
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JAPAN
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CID000981
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Gold
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LS-NIKKO Copper Inc.
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KOREA, REPUBLIC OF
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CID001078
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Gold
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Matsuda Sangyo Co., Ltd.
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JAPAN
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CID001119
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Gold
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Metalor Technologies (Hong Kong) Ltd.
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CHINA
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CID001149
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Gold
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Metalor Technologies (Singapore) Pte., Ltd.
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SINGAPORE
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CID001152
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Gold
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Metalor Technologies (Suzhou) Ltd.
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CHINA
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CID001147
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Gold
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Metalor Technologies S.A.
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SWITZERLAND
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CID001153
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Gold
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Metalor USA Refining Corporation
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UNITED STATES OF AMERICA
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CID001157
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Gold
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Metalurgica Met-Mex Penoles S.A. De C.V.
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MEXICO
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CID001161
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Gold
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Mitsubishi Materials Corporation
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JAPAN
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CID001188
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Gold
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Nihon Material Co., Ltd.
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JAPAN
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CID001259
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Gold
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PAMP S.A.
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SWITZERLAND
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CID001352
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Gold
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Royal Canadian Mint
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CANADA
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CID001534
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Gold
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SEMPSA Joyeria Plateria S.A.
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SPAIN
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CID001585
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Gold
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Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
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CHINA
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CID001622
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Gold
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Sumitomo Metal Mining Co., Ltd.
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JAPAN
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CID001798
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Gold
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Tanaka Kikinzoku Kogyo K.K.
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JAPAN
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CID001875
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Gold
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Umicore S.A. Business Unit Precious Metals Refining
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BELGIUM
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CID001980
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Gold
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United Precious Metal Refining, Inc.
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UNITED STATES OF AMERICA
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CID001993
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Gold
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Valcambi S.A.
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SWITZERLAND
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CID002003
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Gold
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Western Australian Mint (T/a The Perth Mint)
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AUSTRALIA
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CID002030
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Tantalum
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Asaka Riken Co., Ltd.
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JAPAN
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CID000092
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Tantalum
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Changsha South Tantalum Niobium Co., Ltd.
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CHINA
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CID000211
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Tantalum
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D Block Metals, LLC
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UNITED STATES OF AMERICA
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CID002504
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Tantalum
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Exotech Inc.
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UNITED STATES OF AMERICA
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CID000456
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Tantalum
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F&X Electro-Materials Ltd.
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CHINA
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CID000460
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Tantalum
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FIR Metals & Resource Ltd.
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CHINA
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CID002505
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Tantalum
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Global Advanced Metals Aizu
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JAPAN
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CID002558
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Tantalum
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Global Advanced Metals Boyertown
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UNITED STATES OF AMERICA
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CID002557
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Tantalum
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H.C. Starck Hermsdorf GmbH
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GERMANY
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CID002547
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Tantalum
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H.C. Starck Inc.
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UNITED STATES OF AMERICA
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CID002548
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Tantalum
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Hengyang King Xing Lifeng New Materials Co., Ltd.
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CHINA
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CID002492
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Tantalum
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Jiangxi Tuohong New Raw Material
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CHINA
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CID002842
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Tantalum
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JiuJiang JinXin Nonferrous Metals Co., Ltd.
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CHINA
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CID000914
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Tantalum
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Jiujiang Tanbre Co., Ltd.
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CHINA
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CID000917
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Tantalum
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Metallurgical Products India Pvt., Ltd.
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INDIA
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CID001163
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Tantalum
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Mitsui Mining and Smelting Co., Ltd.
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JAPAN
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CID001192
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Tantalum
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Ningxia Orient Tantalum Industry Co., Ltd.
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CHINA
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CID001277
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Tantalum
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Solikamsk Magnesium Works OAO
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RUSSIAN FEDERATION
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CID001769
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Tantalum
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TANIOBIS Co., Ltd.
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THAILAND
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CID002544
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Tantalum
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TANIOBIS GmbH
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GERMANY
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CID002545
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Tantalum
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TANIOBIS Japan Co., Ltd.
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JAPAN
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CID002549
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Tantalum
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TANIOBIS Smelting GmbH & Co. KG
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GERMANY
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CID002550
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Tantalum
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Ulba Metallurgical Plant JSC
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KAZAKHSTAN
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CID001969
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Tantalum
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XIMEI RESOURCES (GUANGDONG) LIMITED
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CHINA
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CID000616
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Tantalum
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Yanling Jincheng Tantalum & Niobium Co., Ltd.
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CHINA
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CID001522
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Tin
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Alpha
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UNITED STATES OF AMERICA
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CID000292
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Tin
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Chifeng Dajingzi Tin Industry Co., Ltd.
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CHINA
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CID003190
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Tin
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China Tin Group Co., Ltd.
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CHINA
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CID001070
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Tin
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Dowa
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JAPAN
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CID000402
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Tin
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Fenix Metals
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POLAND
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CID000468
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Tin
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Gejiu Kai Meng Industry and Trade LLC
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CHINA
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CID000942
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Tin
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Gejiu Non-Ferrous Metal Processing Co., Ltd.
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CHINA
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CID000538
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Tin
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Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
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CHINA
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CID003116
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Tin
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Jiangxi New Nanshan Technology Ltd.
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CHINA
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CID001231
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Tin
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Ma'anshan Weitai Tin Co., Ltd.
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CHINA
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CID003379
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Tin
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Malaysia Smelting Corporation (MSC)
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MALAYSIA
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CID001105
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Tin
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Metallic Resources, Inc.
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UNITED STATES OF AMERICA
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CID001142
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Tin
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Metallo Belgium N.V.
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BELGIUM
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CID002773
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Tin
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Metallo Spain S.L.U.
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SPAIN
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CID002774
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Tin
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Mineracao Taboca S.A.
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BRAZIL
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CID001173
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Tin
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Minsur
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PERU
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CID001182
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Tin
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Mitsubishi Materials Corporation
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JAPAN
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CID001191
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Tin
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O.M. Manufacturing (Thailand) Co., Ltd.
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THAILAND
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CID001314
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Tin
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O.M. Manufacturing Philippines, Inc.
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PHILIPPINES
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CID002517
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Tin
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PT Mitra Stania Prima
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INDONESIA
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CID001453
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Tin
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PT Refined Bangka Tin
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INDONESIA
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CID001460
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Tin
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PT Timah Tbk Kundur
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INDONESIA
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CID001477
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Tin
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PT Timah Tbk Mentok
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INDONESIA
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CID001482
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Tin
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Rui Da Hung
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TAIWAN, PROVINCE OF CHINA
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CID001539
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Tin
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Thai Nguyen Mining and Metallurgy Co., Ltd.
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VIET NAM
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CID002834
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Tin
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Thaisarco
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THAILAND
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CID001898
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Tin
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Tin Technology & Refining
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UNITED STATES OF AMERICA
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CID003325
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Tin
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White Solder Metalurgia e Mineracao Ltda.
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BRAZIL
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CID002036
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Tin
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Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
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CHINA
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CID002158
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Tin
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Yunnan Tin Company Limited
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CHINA
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CID002180
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Tungsten
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A.L.M.T. Corp.
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JAPAN
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CID000004
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Tungsten
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Chenzhou Diamond Tungsten Products Co., Ltd.
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CHINA
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CID002513
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Tungsten
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Chongyi Zhangyuan Tungsten Co., Ltd.
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CHINA
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CID000258
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Tungsten
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Ganzhou Huaxing Tungsten Products Co., Ltd.
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CHINA
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CID000875
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Tungsten
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Ganzhou Seadragon W & Mo Co., Ltd.
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CHINA
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CID002494
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Tungsten
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Global Tungsten & Powders Corp.
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UNITED STATES OF AMERICA
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CID000568
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Tungsten
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H.C. Starck Tungsten GmbH
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GERMANY
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CID002541
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Tungsten
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Hunan Chunchang Nonferrous Metals Co., Ltd.
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CHINA
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CID000769
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Tungsten
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Japan New Metals Co., Ltd.
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JAPAN
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CID000825
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Tungsten
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Jiangwu H.C. Starck Tungsten Products Co., Ltd.
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CHINA
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CID002551
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Tungsten
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Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
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CHINA
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CID002318
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Tungsten
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Kennametal Huntsville
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UNITED STATES OF AMERICA
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CID000105
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Tungsten
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Niagara Refining LLC
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UNITED STATES OF AMERICA
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CID002589
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Tungsten
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TANIOBIS Smelting GmbH & Co. KG
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GERMANY
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CID002542
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Tungsten
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Xiamen Tungsten (H.C.) Co., Ltd.
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CHINA
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CID002320
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Tungsten
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Xiamen Tungsten Co., Ltd.
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CHINA
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CID002082
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V. |
Future Due Diligence
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•
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Review the conflict minerals policy statement and update if necessary.
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•
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Continue to collect responses from suppliers using the most recent revision of the CMRT.
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•
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Engage with suppliers that did not provide a response in 2020 or provided incomplete responses to enhance our data collection for 2021.
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•
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Monitor and track performance of risk mitigation efforts including the performance of suppliers deemed high-risk.
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•
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Continue engagement with smelters by sending letters to those that have not been audited as conformant.
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•
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Continue to send messages to our suppliers to engage with these smelters.
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•
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Collect from suppliers product-level or user-defined level responses where useful.
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•
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Compare and validate RCOI results to information collected via independent third-party audit programs, such as the RMI, and through our Company’s
own coordinated outreach to smelters.
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•
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Encourage responsible sourcing from the DRC and adjoining countries.
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Mineral Country of Origin
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Argentina
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Mexico
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Australia
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Mongolia
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Austria
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Mozambique
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Benin
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Myanmar
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Bolivia (Plurinational State of)
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Namibia
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Brazil
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Niger
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Burundi*
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Nigeria
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Canada
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Peru
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China
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Portugal
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Colombia
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Russian Federation
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Congo, Democratic Republic of the*
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Rwanda*
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Ecuador
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Sierra Leone
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Eritrea
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South Africa
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Ethiopia
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Spain
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France
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Swaziland
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Germany
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Taiwan
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Ghana
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Tanzania*
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Guinea
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Thailand
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Guyana
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Uganda*
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India
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United Kingdom
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Indonesia
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United States of America
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Japan
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Uzbekistan
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Laos
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Viet Nam
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Madagascar
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Zimbabwe
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Malaysia
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