UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
PROCEPT BIOROBOTICS CORPORATION
(Exact name of registrant as specified in its charter)
| Delaware | 001-40797 | 26-0199180 | ||||||||||||
| (State or other jurisdiction | (Commission | (I.R.S. Employer | ||||||||||||
| of incorporation) | File Number) | Identification No.) | ||||||||||||
150 Baytech Drive
San Jose, California 95134
(Address of principal executive offices, including Zip Code)
Alaleh Nouri
Chief Legal Officer
(650) 232-7200
(Name and telephone number, including area code, of the person to contact in connection with this report.)
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in the form applies:
☒ | Rule 13 p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2023. | ||||
| ◻ | Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended _____________. | ||||
Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
This Specialized Disclosure Report on Form SD of PROCEPT BioRobotics Corporation (the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2023 to December 31, 2023.
A copy of the Company’s Conflict Minerals Report is filed as Exhibit 1.01 and incorporated herein by reference, and is publicly available on the Company’s website at https://ir.procept-biorobotics.com/financial-information/sec-filings. Information posted on or accessible through this website is not incorporated by reference nor otherwise included in this report, and any references to this website are intended to be inactive textual references only.
Item 1.02 Exhibit
The Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.
Section 2 - Resource Extraction Issuer Disclosure
Item 2.01 Resource Extraction Issuer Disclosure and Report
Not applicable.
Section 3 - Exhibits
Item 3.01 Exhibits
The following exhibit is filed as part of this report.
| Exhibit No. | Description | |||||||
| 1.01 | ||||||||
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
PROCEPT BIOROBOTICS CORPORATION | |||||||||||
Date: May 29, 2024 | By: | /s/ Alaleh Nouri | |||||||||
Alaleh Nouri | |||||||||||
| EVP, Chief Legal Officer and Secretary | |||||||||||
Exhibit 1.01
PROCEPT BioRobotics Corporation
Conflict Minerals Report
For the Reporting Period from January 1, 2023 to December 31, 2023
This Conflict Minerals Report (“Report”) of PROCEPT BioRobotics Corporation (“the Company”, “we” or “our”) for the period January 1, 2023 to December 31, 2023 (“the Reporting Period”) has been prepared pursuant to Rule 13p-1, (“Rule 13p-1” or “the Rule”), under the Securities Exchange Act of 1934, as amended. Rule 13p-1 was adopted by the Securities and Exchange Commission (“SEC”), to implement reporting and disclosure requirements for companies that manufacture or contract to manufacture products containing certain minerals specified in the Rule that are necessary to the functionality or production of those products as directed by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 mandates SEC registrants to undertake certain reporting obligations whose manufactured products contain the following specified minerals, also referred to as “Conflict Minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (“3TG”).
If we know, or have reason to believe, that any of the Conflict Minerals necessary to the functionality or production of our products may have originated in the Democratic Republic of the Congo (the “DRC”) and the adjoining countries (the “Covered Countries”), we must perform due diligence on the source and chain of custody of our Conflict Minerals.
As described in this Report, we are uncertain as to whether any of the 3TG present in our supply chain originated in the Covered Countries. Therefore, we performed a reasonable country of origin inquiry, (“RCOI”), to determine whether any of the 3TG in our products originated from the Covered Countries and were not from recycled or scrap sources. Based on the RCOI, we were unable to determine if some of our suppliers sourced 3TG from Covered Countries, and therefore, proceeded to conduct due diligence on our supplier base. We were not able to definitively determine whether the conflict minerals used in our products originated in the Covered Countries, or directly or indirectly financed or benefited any groups involved in armed conflict in the DRC Covered Countries.
Forward-Looking Statements
This Conflict Minerals Report contains forward-looking statements, which are based on our current expectations and involve numerous risks and uncertainties that may cause these forward-looking statements to be inaccurate. These statements include statements regarding our goals for future improvements to our due diligence process and to mitigate the risk about the sourcing of our conflict minerals. All forward-looking statements involve risk and uncertainty. Risks that may cause these forward-looking statements to be inaccurate include: failure to carry out these plans in a timely manner or at all; lack of cooperation or progress by our suppliers, their respective suppliers and smelters; lack of progress by smelter or refiner validation programs for conflict minerals (including the possibility of inaccurate information, fraud and other irregularities) or these plans may not be effective. In addition, you should also consider the important factors described in reports and documents that we file from time to time with the SEC, including the factors described under the sections titled “Risk Factors” in the Company’s most recently submitted Quarterly or Annual Reports. Except as required by law, we disclaim any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise.
Exhibit 1.01
Company and Product Overview
We are a surgical robotics company focused on advancing patient care by developing transformative solutions in urology. We develop, manufacture and sell the FDA cleared AquaBeam Robotic System, an advanced, image-guided, surgical robotic system for use in minimally invasive urologic surgery, with an initial focus on treating benign prostatic hyperplasia, or BPH.
The AquaBeam Robotic System is highly mobile and compact, requiring no retrofitting of the operating room. The main components of the AquaBeam Robotic System are the conformal planning unit, or CPU, console, motorpack and handpiece with integrated scope. The AquaBeam Robotic System also includes a customized ultrasound set through which ultrasound images are integrated with our system. The handpiece is the sterile, single-use component of the AquaBeam Robotic System that delivers a high-velocity waterjet.
We currently manufacture the AquaBeam Robotic System, the handpiece, integrated scope and other accessories at our headquarter facility in San Jose, California. Additionally, each AquaBeam Robotic System is shipped to our customers with an ultrasound system and probe which we contract to be manufactured by third-party manufactures.
This Report relates to products: (i) for which Conflict Minerals are necessary to their functionality or production; (ii) that were manufactured, or contracted to be manufactured, by us; and (iii) for which the manufacture was completed during the Reporting Period. These products, which are referred to in this Report collectively as the “Covered Products,” which includes the AquaBeam Robotic System the handpiece, integrated scope manufactured by us, as well as the ultrasound system and probe we contract to be manufactured.
Supply Chain Overview
We are a downstream purchaser of products or components that contain Conflict Minerals. As a downstream purchaser, we do not have a direct relationship with the smelters and refiners (“SOR”) in our supply chain, and we do not perform or direct audits of these entities.
Reasonable Country-of-Origin Inquiry
We conducted a good faith, reasonable country-of-origin inquiry (“RCOI”) for the Conflict Minerals that were necessary to the functionality or production of our Covered Products. Our RCOI was reasonably designed to determine whether any of the necessary Conflict Minerals originated in the Covered Countries and whether any of the necessary Conflict Minerals may have been from recycled or scrap sources.
We compiled a list of direct suppliers in the bill of materials for the Covered Products and considered 73 suppliers to fall within the scope of our RCOI. In this Report, we refer to these suppliers as “in-scope suppliers”. We then provide such list of “in-scope suppliers” to Assent Inc. (“Assent”) a third-party service provider, who assisted us in conducting a RCOI process to review supply chain and identify risks.
Assent, through the Assent Compliance Manager software platform, contacted all of the 73 “in-scope suppliers” we identified and requested that these suppliers upload a completed Conflict Minerals Reporting Template (“CMRT”) directly to the Assent Compliance Manager platform for validation, assessment, and management. Training and education to guide suppliers on best practices and the use of the CMRT template were included in the communication as well. We also directly contacted suppliers
Exhibit 1.01
that were unresponsive to Assent’s outreach communications and requested that they complete and submit a CMRT.
Assent monitored and tracked all communications in the Assent Compliance Manager for future reporting and management purposes.
Upon receiving CMRTs from suppliers, the Assent Compliance Manager platform classifies them as valid or invalid based on a set criteria of validation errors. For example, if a submitted CMRT contained inconsistent or contradictory responses, it was classified as invalid. At the end of RCOI process, no invalid forms were received.
The remainder of this report will provide the supporting details of our Conflict-free Minerals due diligence approach.
Due Diligence Program
Pursuant to the Rule, we performed due diligence on the source and origin of 3TG in our products, including the products or components we purchase from suppliers. Our due diligence measures were designed to conform, in all material aspects, to The Organisation of Economic Co-operation and Development (“OECD”) due diligence framework consistent with our position as a downstream purchaser in the supply chain. This risk-based due diligence process is based on the following OECD guidance:
1.Establish strong company management systems.
2.Identify and assess risk in the supply chain.
3.Design and implement a strategy to respond to identified risk.
4.Carry out audit of the supply chain.
5.Report on supply chain due diligence.
To identify and assess risks associated with Conflict Minerals, we start with analyzing our products to identify those that may contain 3TGs that are necessary to the functionality or manufacture of our products. We then engage relevant suppliers as previously described to determine whether supplied parts containing 3TGs originated in the DRC or one of the covered countries or are from recycled or scrap sources.
For the Reporting Period, PROCEPT BioRobotics employed Assent, to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development of additional steps to respond to risk.
We expect to report annually, to the extent required by the Rule, and have posted our Form SD containing this Report on our website at: https://ir.procept-biorobotics.com/financial-information/sec-filings
Results of Due Diligence Performed
The due diligence measures described above revealed the following:
•Of the 73 in-scope suppliers contacted for the Reporting Period, approximately 82% (60 suppliers) responded by providing completed CMRTs and the remaining 18% (13 suppliers) did not provide a completed CMRT even after follow-up outreach efforts by Assent and us.
•Of the 60 suppliers that provided completed CMRTs, approximately 36 reported having no Conflict Minerals in their products and 24 reported having Conflict Minerals in their products.
Exhibit 1.01
•Of the 350 verified smelters and refiners reported by our in-scope suppliers (Appendix 1), approximately 66% have been validated as conformant by at least one independent third-party audit program, or are engaged in an audit program, but are not yet conformant.
Most of our suppliers provided responses on a company-wide basis rather than on the basis of the products supplied to us and, as a result, we are unable to determine which, if any, of the smelters and countries of origin listed in their responses were the actual source of the Conflict Minerals are necessary to the functionality or production of our Covered Products.
Identified Smelters and Refiners
We have listed on Appendix 1 the verified smelters and refiners (by metal) identified by our in-scope suppliers in their completed CMRTs as a result of our RCOI and due diligence, as well as the smelter identification, location and conflict-free certification status of each smelter and refiner based on information from Assent’s smelter database.
Out of the 24 suppliers that reported having Conflict Minerals in their products, all of them provided company-level responses regarding to all Conflict Minerals used in every component and product they manufacture. As a result, we believe our data may contain a number of “false positives” and that some of the smelters and refiners reported on and identified on Appendix 1 may not actually have been used to process the necessary Conflict Minerals in the Covered Products.
Identified Countries of Origin
Based on the smelters and refiners listed by in-scope suppliers in completed CMRTs, combined with associated mine country of origin information from Assent’s smelter database, the countries of origin may include the countries listed on Appendix 2.
As discussed previously, because most of responding suppliers provided information at the company-level, we believe there are likely countries of origin in Appendix 2 that are not countries of origin of the necessary Conflict Minerals in the Covered Products.
Future Due Diligence and Risk Mitigation Measures
As we further develop our Conflict Minerals program, we intend to take the following steps to further enhance our due diligence measures and to mitigate the risk that, with respect to any of the Covered Products, necessary Conflict Minerals were used, directly or indirectly, to finance or benefit armed groups in the Covered Countries:
•Encourage our suppliers to implement responsible sourcing by using Conflict Minerals only from smelters or refiners that have been independently certified as conflict-free, including by reiterating our expectations as outlined in our Conflict Minerals policy to in-scope suppliers;
•Further develop, refine and implement our risk mitigation strategy for supply chain risks identified in the course of our due diligence; and
•Continue to engage a third-party service provider to assist with engaging suppliers, collecting, processing and storing supplier responses through an online platform, reviewing and validating supplier responses, identifying and resolving quality control flags, identifying potential risks, and conducting follow-up outreach with non-responsive suppliers and suppliers identified as having quality control flags.
Exhibit 1.01
Appendix 1
Smelters and Refiners by Metal
For purpose of the “RMAP Audit Status” column in the table below:
“Active” means the smelter or refiner is engaged in the program but not yet conformant.
“Conformant” means the smelter has been independently assessed and found conformant with the relevant RMAP standard.
“Non-Conformant” means the smelter has been independently assessed and found non-conformant with the relevant RMAP standard.
“Not Enrolled” means that the smelter has not taken part in the RMAP program, which can be a result from a lack of interest or other factors.
“RMAP” refers to the Responsible Minerals Assurance Process, which is RMI’s audit program.
| Metal | Smelter Name | Smelter Country | 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 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Chimet S.p.A. | Italy | CID000233 | Conformant | ||||||||||
| Gold | Chugai Mining | Japan | CID000264 | Conformant | ||||||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | CID000343 | Not Enrolled | ||||||||||
| Gold | DSC (Do Sung Corporation) | Korea, Republic Of | CID000359 | Conformant | ||||||||||
| Gold | Dowa | Japan | CID000401 | Conformant | ||||||||||
Exhibit 1.01
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | CID000425 | Conformant | ||||||||||
| Gold | JSC Novosibirsk Refinery | Russian Federation | CID000493 | Not Enrolled | ||||||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | China | CID000522 | Not Enrolled | ||||||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | CID000651 | Not Enrolled | ||||||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | CID000671 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | CID000773 | Not Enrolled | ||||||||||
| Gold | HwaSeong CJ CO., LTD. | Korea, Republic Of | CID000778 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | JSC Uralelectromed | Russian Federation | CID000929 | Not Enrolled | ||||||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | CID000937 | Conformant | ||||||||||
| Gold | Kazakhmys Smelting LLC | Kazakhstan | CID000956 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Lingbao Gold Co., Ltd. | China | CID001056 | Not Enrolled | ||||||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | CID001058 | Not Enrolled | ||||||||||
| Gold | LS-NIKKO Copper Inc. | Korea, Republic Of | CID001078 | Conformant | ||||||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | CID001093 | Not Enrolled | ||||||||||
| Gold | Materion | United States Of America | CID001113 | Conformant | ||||||||||
| Gold | Matsuda Sangyo Co., Ltd. | Japan | CID001119 | Conformant | ||||||||||
Exhibit 1.01
| 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 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | MKS PAMP SA | Switzerland | CID001352 | Conformant | ||||||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | CID001362 | Not Enrolled | ||||||||||
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | CID001386 | Not Enrolled | ||||||||||
| 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 | ||||||||||
| Gold | Sabin Metal Corp. | United States of America | CID001546 | Not Enrolled | ||||||||||
| Gold | Samduck Precious Metals | Korea, Republic of | CID001555 | Non Conformant | ||||||||||
| Gold | Samwon Metals Corp. | Korea, Republic of | CID001562 | Not Enrolled | ||||||||||
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | CID001585 | Conformant | ||||||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | CID001619 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
Exhibit 1.01
| Gold | Solar Applied Materials Technology Corp. | Taiwan, Province oof China | CID001761 | Conformant | ||||||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | CID001798 | Conformant | ||||||||||
| Gold | Super Dragon Technology Co., Ltd. | Taiwan, Province of China | CID001810 | Not Enrolled | ||||||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | CID001875 | Conformant | ||||||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | CID001909 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| 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 | ||||||||||
| Gold | Morris and Watson | New Zealand | CID002282 | Not Enrolled | ||||||||||
| Gold | SAFINA A.S. | Czechia | CID002290 | Conformant | ||||||||||
| Gold | Guangdong Jinding Gold Limited | China | CID002312 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Singway Technology Co., Ltd. | Taiwan, Province of China | CID002516 | Non Conformant | ||||||||||
| Gold | Shandong Humon Smelting Co., Ltd. | China | CID002525 | Not Enrolled | ||||||||||
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | CID002527 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Kaloti Precious Metals | United Arab Emirates | CID002563 | Not Enrolled | ||||||||||
| Gold | Sudan Gold Refinery | Sudan | CID002567 | Not Enrolled | ||||||||||
| Gold | T.C.A S.p.A | Italy | CID002580 | Conformant | ||||||||||
Exhibit 1.01
| Gold | REMONDIS PMR B.V. | Netherlands | CID002582 | Conformant | ||||||||||
| Gold | Fujairah Gold FZC | United Arab Emirates | CID002584 | Not Enrolled | ||||||||||
| Gold | Industrial Refining Company | Belgium | CID002587 | Non Conformant | ||||||||||
| Gold | Shirpur Gold Refinery Ltd. | India | CID002588 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Albino Mountinho Lda. | Portugal | CID002760 | Not Enrolled | ||||||||||
| 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 | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Modeltech Sdn Bhd | Malaysia | CID002857 | Non Conformant | ||||||||||
| Gold | Bangalore Refinery | India | CID002863 | Active | ||||||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | CID002865 | Not Enrolled | ||||||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | CID002867 | Not Enrolled | ||||||||||
| Gold | Pease & Curren | United States of America | CID002872 | Not Enrolled | ||||||||||
| Gold | JALAN & Company | India | CID002893 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Safimet S.p.A | Italy | CID002973 | Non Conformant | ||||||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | CID003153 | Not Enrolled | ||||||||||
| Gold | African Gold Refinery | Uganda | CID003185 | Not Enrolled | ||||||||||
| Gold | Gold Coast Refinery | Ghana | CID003186 | Not Enrolled | ||||||||||
| Gold | NH Recytech Company | Korea, Republic of | CID003189 | Conformant | ||||||||||
| Gold | QG Refining, LLC | United States of America | CID003324 | Not Enrolled | ||||||||||
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | CID003348 | Not Enrolled | ||||||||||
| Gold | CGR Metalloys Pvt Ltd. | India | CID003382 | Not Enrolled | ||||||||||
| Gold | Sovereign Metals | India | CID003383 | Not Enrolled | ||||||||||
Exhibit 1.01
| 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 | Not Enrolled | ||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 1) | India | CID003487 | Not Enrolled | ||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 2) | India | CID003488 | Not Enrolled | ||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 3) | India | CID003489 | Not Enrolled | ||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 4) | India | CID003490 | Not Enrolled | ||||||||||
| Gold | K.A. Rasmussen | Norway | CID003497 | Not Enrolled | ||||||||||
| Gold | Alexy Metals | United States of America | CID003500 | Non Conformant | ||||||||||
| Gold | MD Overseas | India | CID003548 | Not Enrolled | ||||||||||
| Gold | Metallix Refining Inc. | United States of America | CID003557 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Gold | Sam Precious Metals | United Arab Emirates | CID003666 | Not Enrolled | ||||||||||
| Gold | Coimpa Industrial LTDA | Brazil | CID004010 | Conformant | ||||||||||
| Gold | GG Refinery Ltd. | Tanzania, United Republic oif | CID004506 | 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 | ||||||||||
| 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 | ||||||||||
Exhibit 1.01
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | CID001522 | Conformant | ||||||||||
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | CID001769 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Tantalum | PowerX Ltd. | Rwanda | CID004054 | Conformant | ||||||||||
| 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 (Plurinational State Of) | CID000438 | Conformant | ||||||||||
| Tin | Estanho de Rondonia S.A. | Brazil | CID000448 | Conformant | ||||||||||
| Tin | Fenix Metals | Poland | CID000468 | Conformant | ||||||||||
Exhibit 1.01
| 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 | Not Enrolled | ||||||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | CID001314 | Conformant | ||||||||||
| Tin | Operaciones Metalurgicas S.A. | Bolivia (Plurinational State Of) | 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 | Not Enrolled | ||||||||||
| Tin | PT Prima Timah Utama | Indonesia | CID001458 | Conformant | ||||||||||
| Tin | PT Refined Bangka Tin | Indonesia | CID001460 | Conformant | ||||||||||
| Tin | PT Sariwiguna Binasentosa | Indonesia | CID001463 | Conformant | ||||||||||
| 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, Province of China | 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 | Viet Nam | CID002015 | Not Enrolled | ||||||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | CID002036 | Conformant | ||||||||||
Exhibit 1.01
| 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 | Not Enrolled | ||||||||||
| 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 | Viet Nam | CID002572 | Non Conformant | ||||||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002573 | Not Enrolled | ||||||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002574 | Not Enrolled | ||||||||||
| Tin | PT Rajehan Ariq | Indonesia | CID002593 | Conformant | ||||||||||
| Tin | PT Cipta Persada Mulia | Indonesia | CID002696 | Conformant | ||||||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | CID002703 | Not Enrolled | ||||||||||
| 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 | ||||||||||
| 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 | Not Enrolled | ||||||||||
| 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 | ||||||||||
Exhibit 1.01
| 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 | Not Enrolled | ||||||||||
| 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 | Malaysia Smelting Corporation Berhad (Port Klang) | Malaysia | CID004434 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| 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 | ||||||||||
Exhibit 1.01
| 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. | Viet Nam | 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 | ||||||||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002542 | Conformant | ||||||||||
| Tungsten | Masan High-Tech Materials | Viet Nam | 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 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan, Province of China | CID003407 | Conformant | ||||||||||
| Tungsten | JSC “Kirovgrad Hard Alloys Plant” | Russian Federation | CID003408 | Not Enrolled | ||||||||||
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | CID003416 | Not Enrolled | ||||||||||
| 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 | Not Enrolled | ||||||||||
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | China | CID003609 | Conformant | ||||||||||
| Tungsten | OOO “Technolom” 2 | Russian Federation | CID003612 | Not Enrolled | ||||||||||
| Tungsten | OOO “Technolom” 1 | Russian Federation | CID003614 | Not Enrolled | ||||||||||
| Tungsten | LLC Vostok | Russian Federation | CID003643 | Not Enrolled | ||||||||||
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | China | CID003662 | Not Enrolled | ||||||||||
| Tungsten | HANNAE FOR T Co., Ltd. | Korea, Republic of | CID003978 | Not Enrolled | ||||||||||
| Tungsten | Tungsten Vietnam Joint Stock Company | Viet Nam | CID003993 | Conformant | ||||||||||
| Tungsten | Nam Viet Cromit Joint Stock Company | Viet Nam | CID004034 | Not Enrolled | ||||||||||
| Tungsten | DONGKUK INDUSTRIES CO., LTD. | Korea, Republic of | CID004060 | Not Enrolled | ||||||||||
Exhibit 1.01
| Tungsten | Lianyou Resources Co., Ltd. | Taiwan, Province of China | CID004397 | Conformant | ||||||||||
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | China | CID004430 | Conformant | ||||||||||
| Tungsten | Kenee Mining Corporation Vietnam | Viet Nam | CID004619 | Active | ||||||||||
Exhibit 1.01
Appendix 2
Potential Countries of Origin of Conflict Minerals
| China | Egypt | Benin | ||||||
| Brazil | Sierra Leone | Finland | ||||||
| Australia | Namibia | Guatemala | ||||||
| Indonesia | Madagascar | Honduras | ||||||
| Japan | Rwanda | Liechtenstein | ||||||
| Peru | Hong Kong | Nicaragua | ||||||
| Canada | Netherlands | Uganda | ||||||
| Malaysia | Slovakia | Angola | ||||||
| Germany | Korea | Armenia | ||||||
| Spain | Mozambique | Burkina Faso | ||||||
| Russian Federation | South Africa | Congo | ||||||
| India | Bolivia (Plurinational State of) | El Salvador | ||||||
| United Kingdom | Burundi | Jersey | ||||||
| Chile | Panama | Kyrgyzstan | ||||||
| United States of America | Suriname | Mauritania | ||||||
| Austria | Philippines | VietNam | ||||||
| Niger | Taiwan | Bulgaria | ||||||
| Thailand | Andorra | Central African Republic | ||||||
| Nigeria | Uzbekistan | Dominican Republic | ||||||
| Portugal | Turkey | Georgia | ||||||
| Argentina | Djibouti | Liberia | ||||||
| Belgium | Guinea | Senegal | ||||||
| Ireland | Ghana | Tajikistan | ||||||
| France | Tanzania | Botswana | ||||||
| Myanmar | Democratic Republic of Congo | Cyprus | ||||||
| Switzerland | Italy | Fiji | ||||||
| Colombia | Saudi Arabia | Kenya | ||||||
| Mongolia | Sweden | Lithuania | ||||||
| Kazakhstan | Belarus | Oman | ||||||
| Singapore | United Arab Emirates | Serbia | ||||||
| Mexico | Papua New Guinea | South Sudan | ||||||
| Israel | Eritrea | Uruguay | ||||||
| Hungary | Morocco | Albania | ||||||
| Guyana | Poland | Bermuda | ||||||
| Luxembourg | Zambia | Dominica | ||||||
| Ecuador | Mali | Guam | ||||||
| Ethiopia | New Zealand | Ivory Coast | ||||||
| Cambodia | Sudan | Norway | ||||||
| Estonia | Azerbaijan | Togo | ||||||