0000353569-16-000100.txt : 20160531 0000353569-16-000100.hdr.sgml : 20160531 20160531150028 ACCESSION NUMBER: 0000353569-16-000100 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 3 13p-1 1.01 20151231 1.02 20151231 FILED AS OF DATE: 20160531 DATE AS OF CHANGE: 20160531 FILER: COMPANY DATA: COMPANY CONFORMED NAME: QUIDEL CORP /DE/ CENTRAL INDEX KEY: 0000353569 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 942573850 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 000-10961 FILM NUMBER: 161685358 BUSINESS ADDRESS: STREET 1: 12544 HIGH BLUFF DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 8585521100 MAIL ADDRESS: STREET 1: 12544 HIGH BLUFF DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 FORMER COMPANY: FORMER CONFORMED NAME: MONOCLONAL ANTIBODIES INC /DE/ DATE OF NAME CHANGE: 19910210 SD 1 qdelformsd12312015.htm SD Document


 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

 
 
 
 
 FORM SD
 
 
Specialized Disclosure Report
 
 
 
 
QUIDEL CORPORATION
(Exact Name of Registrant as Specified in Charter)
Delaware
 
0-10961
 
94-2573850
(State or Other Jurisdiction of Incorporation)
 
(Commission File Number)
 
(IRS Employer Identification No.)
 
          12544 High Bluff Drive, Suite 200, San Diego CA 92130
 
 
(Address of Principal Executive Offices) (Zip Code)
 
 
Phillip Askim, Associate General Counsel (858) 552-1100
 
 
(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 this form applies:
x
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.


 
 
 






Section 1 - Conflict Minerals Disclosure
Item 1.01    Conflict Minerals Disclosure and Report
Quidel Corporation has filed a Conflict Minerals Report, which is attached as Exhibit 1.01 hereto. The Conflict Minerals Report is also publicly available at www.quidel.com through the “Investor Relations” link under the heading “Corporate Governance”. The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.
Item 1.02    Exhibit
The Conflict Minerals Report for the calendar year ended December 31, 2015 is filed as Exhibit 1.01 hereto.
Section 2 - Exhibits
Item 2.01    Exhibits
Exhibit 1.01    Conflict Minerals Report as required by Items 1.01 and 1.02 of Form SD.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
Date: May 31, 2016
 
 
 
 
 
 
QUIDEL CORPORATION
 
 
(Registrant)
 
 
 
By:
/s/ Robert J. Bujarski
 
Name:
Robert J. Bujarski
 
Its:
SVP, Business Development & General Counsel



EX-1.01 2 qdelformsdexhibit101.htm EXHIBIT 1.01 Exhibit


Exhibit 1.01
CONFLICT MINERALS REPORT
For The Year Ended December 31, 2015
Introduction
This Conflict Minerals Report (“Report”) of Quidel Corporation for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (“Rule”).  Numerous terms in this Report are defined in Item 1.01 of Form SD promulgated under the Rule, and the reader is referred to Form SD and Release No. 34-67716 issued by the Securities and Exchange Commission (“SEC”) on August 22, 2012 for such definitions. Unless the context otherwise requires, references below in this Conflict Minerals Report to “Quidel”, “we”, “our” or “us” refer to Quidel Corporation and its consolidated subsidiaries.
“Conflict Minerals” or “3TG” are defined as columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten. The Rule requires us to undertake in good faith a reasonable country of origin inquiry to determine whether any of the 3TG in our products originated in the Democratic Republic of the Congo (“DRC”) or an adjoining country, which for the purposes of the Rule are Angola, Burundi, the Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia (together with the DRC, collectively defined as the “Covered Countries”) or were from recycled or scrap sources.
Company Overview
Quidel’s products are marketed under the QuickVue®, D3® Direct Detection and Thyretain® leading brand names, as well as under Sofia®, Virena®, AmpliVue®, Solana® and Lyra® brands. Quidel's products aid in the detection and diagnosis of many critical diseases and conditions, including, among others, influenza, respiratory syncytial virus, Strep A, herpes, pregnancy, thyroid disease and fecal occult blood. Quidel’s principal executive offices are located at 12544 High Bluff Dr., Suite 200, San Diego, CA 92130.
Description of Our Products Covered by this Report
This Report relates to Quidel products: (i) for which 3TG are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by Quidel; and (iii) for which the manufacture was completed during calendar year 2015. During this reporting period, we identified that our Sofia®, Virena®, AmpliVue®, and Solana® equipment and QuickVue® iFOB products that include test strips that we manufactured or contracted to manufacture may contain 3TG that are necessary to the functionality of the products.
Quidel’s supply chain is complex and there are many third parties in the supply chain between the ultimate manufacture of Quidel products and the original sources of Conflict Minerals. In this regard, Quidel does not purchase 3TG directly from mines, smelters or refiners. Quidel must therefore rely on its suppliers to provide information regarding the origin of 3TG that are contained in Quidel products. Moreover, Quidel

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believes that the smelters and refiners of the 3TG are best situated to identify the sources of 3TG, and therefore has taken steps to identify the applicable smelters and refiners of 3TG in Quidel’s supply chain.
Conflict Minerals Compliance Program

Our due diligence processes and efforts have been designed to conform with the five-step framework recommended by the Second Edition of The Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for gold and for tin, tantalum and tungsten (the “OECD Guidance”). Quidel exercised due diligence on the source and chain of custody of the 3TG. In addition, we used the standard Conflict Minerals Reporting Template developed jointly by the Electronic Industry Citizenship Coalition® (EICC®) and The Global e-Sustainability Initiative (GeSI) (the “Template”) along with other resources employed by a third-party consultant to obtain information necessary to prepare this Report.
(1) Establish Strong Management Systems
Conflict Minerals Compliance Team - We have established a team comprised of representatives from our Operations, Supply Chain management, Finance, and Legal departments to review the Rule, the adopting release associated with the Rule and the related FAQs published by the SEC staff. To date, we have focused our efforts on implementation of our processes to communicate with suppliers and record and store responses to our inquiries. In 2015, we also engaged a recognized third party professional agency to assist us in carrying out the due diligence process in accordance with the OECD Guidance.
Conflict Minerals Policy - We have adopted a policy on Conflict Minerals, which is posted on our website at quidel.com through the “Investor Relations” link under the heading “Corporate Governance.” Our policy includes principles that we expect all of our suppliers: to prohibit human rights abuses and unethical practices; source materials from socially responsible suppliers and sub-suppliers in pursuit of conflict free supply chains; abide by applicable legal standards and requirements; and cooperate with us as necessary for us to meet our disclosure requirements.
System of Controls and Transparency over Supply Chain - We continue to try to identify upstream actors in our supply chain through the utilization of the Template and the resources employed by our third-party consultant.
Supplier Engagement - In 2015, we engaged a recognized third party professional agency to assist us in engaging suppliers, including by providing access to the Source Intelligence Conflict Minerals Supplier Resource Center and to escalate communications as needed to obtain requested information and raise awareness of our Conflicts Minerals Compliance Program.
Grievance Mechanism - We provide an ethics hotline to report any concerns about violations of Quidel’s Code of Conduct, which provides a mechanism for escalating any issues and concerns, including those related to Conflict Minerals.
Maintain Records - We have established a due diligence compliance process and retain documentation in accordance with record retention requirements to ensure the retaining of relevant documentation.
(2) Identify and Assess Risk in the Supply Chain
We seek to identify and assess risks in the supply chain, including by adopting processes to identify whether 3TG “necessary to the functionality of the products” has been identified and by implementing processes to collect, review, and record data from suppliers and follow up with suppliers regarding source information. We also conducted a third party analysis of the collected supplier information, comparing the information against a national database gathered from various industries over the years. Utilizing the database and other data points, we collaborated with our third-party consultant to establish a ranking system that

2



identified possible risk patterns in the supplier/smelter data, allowing us to further scruitinze the supply chain and country of origin information.
(3) Design and Implement a Strategy to Respond to Identified Risks
If, based on red flags that are identified, we determine that there is a reasonable risk that a supplier is sourcing Conflict Minerals that are directly or indirectly financing or benefitting armed groups, we encourage suppliers to comply with our Conflict Minerals Policy. Our third-party consultant also applied quality assurance measures in connection with aggregation of the collected data.
(4) Third Party Audit
We do not have a direct relationship with 3TG smelters and refiners, nor do we perform direct audits of these entities that provide our supply chain with Conflict Minerals. However, we do rely upon the industry (for example, EICC and Conflict Free Sourcing Initiative (“CFSI”)) efforts to influence smelters and refiners to get audited and certified through CFSI’s Conflict-Free Smelter Program (“CFSP”).
(5) Reporting
We filed Form SD and this Report with the SEC and have made this Report available on our website at quidel.com through the “Investor Relations” link under the heading “Corporate Governance.” The content of any website referred to in this Report is included for general information only and is not incorporated by reference in this Report.
Reasonable Country of Origin Inquiry
Quidel has conducted a reasonable country of origin inquiry (“RCOI”) that was designed to determine whether any 3TG in Quidel’s products originated in the DRC or an adjoining country or were from recycled or scrap sources through use of the Template and engagement with our third-party consultant.  As a part of our RCOI, through our third-party consultant, we surveyed the 9 suppliers that were identified as in-scope for conflict mineral regulatory purposes. These suppliers were each contacted as part of the RCOI process between January and March 2016. 100% of these suppliers responded to us.
For those supply chains with smelters or refiners and associated mine countries of origin that are thought to be sourcing from a Covered Country, additional investigation was done to determine the source and chain-of-custody of the regulated metals. We relied on the following internationally accepted audit standards to determine which smelters or refiners are considered “DRC Conflict Free”: the CFSP, the London Bullion Market Association Good Delivery Program and the Responsible Jewellery Council Chain-of-Custody Certification. If the smelter or refiner is not certified by these internationally-recognized schemes, we attempt to contact the smelter to gain more information about their sourcing practices. Internet research is also performed to determine whether there are any outside sources of information regarding the smelter’s sourcing practices. Up to three contact attempts are made to gather information on mine country of origin and sourcing practices.
None of our suppliers were able to identify the smelters or refiners used for a particular part, component, or product that was supplied to us that were later incorporated into our Products. Therefore, we are unable to identify with certainty the specific facilities used to process the 3TG in our products. There were 299 verified smelters/refiners that have been reported to us by our suppliers. A list of smelters and refiners identified by our suppliers is included on Annex I below along with certain country of origin information provided to us.
Independent Private Sector Audit
An independent private sector audit of this Report is not required at this time.

3



Limitations
As a downstream purchaser of 3TG, our due diligence measures cannot provide absolute assurance regarding the source and chain of custody of the necessary Conflict Minerals.  Our due diligence processes are based on the necessity of seeking data from our suppliers and those suppliers seeking similar information within their supply chains to identify the original sources of the necessary Conflict Minerals.  We also rely on third-party audit programs and other industry efforts and information. 
A number of factors could introduce errors or otherwise affect our determinations, including, but not limited to, gaps in supplier data, gaps in smelter data, errors or omissions by suppliers, errors or omissions by smelters, confusion over requirements of SEC final rules, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, errors in public data, language barriers and translation, supplier and smelter unfamiliarity with the reporting process due to this being the third year for SEC disclosures for Conflict Materials, oversights or errors in conflict free smelter audits, Covered Country sourced materials being declared secondary materials, certification programs not being equally advanced for all industry segments and metals, and smuggling of Conflict Minerals to countries beyond the Covered Countries.
Forward-Looking Statements
This 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 3TG. 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 not being 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 undertake no obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise.
Continuous Improvement
To help mitigate the risk that 3TG in our products benefit armed groups in the Covered Countries, we endeavor to continuously improve upon our supply chain due diligence efforts, including through the following measures:
Continue to assess the presence of 3TG in our supply chain;
Communicate with suppliers to continue to obtain a high response rate for the RCOI process; and
Continue to compare RCOI results to information collected via independent conflict free smelter validation programs such as the CFSP.



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Annex I
Smelters and Refiners
In connection with our reasonable country of origin inquiry and due diligence, as applicable, our suppliers identified to us the smelters and refiners listed below, sorted by mineral, as potentially having processed the necessary 3TG contained in our in-scope products in 2015.
Metal
Official Smelter Name
Smelter Country
Gold
Advanced Chemical Company
United States
Gold
Aida Chemical Industries Co., Ltd.
Japan
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
Germany
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Uzbekistan
Gold
AngloGold Ashanti Córrego do Sítio Mineração
Brazil
Gold
Argor-Heraeus SA
Switzerland
Gold
Asahi Pretec Corporation
Japan
Gold
Asahi Refining USA Inc.
United States
Gold
Asaka Riken Co., Ltd.
Japan
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Turkey
Gold
Aurubis AG
Germany
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Philippines
Gold
Bauer Walser AG
Germany
Gold
Boliden AB
Sweden
Gold
C. Hafner GmbH + Co. KG
Germany
Gold
Caridad
Mexico
Gold
CCR Refinery - Glencore Canada Corporation
Canada
Gold
Cendres + Métaux SA
Switzerland
Gold
Chimet S.p.A.
Italy
Gold
Chugai Mining
Japan
Gold
Daejin Indus Co., Ltd.
South Korea
Gold
Daye Non-Ferrous Metals Mining Ltd.
China
Gold
Dowa
Japan
Gold
DSC (Do Sung Corporation)
South Korea
Gold
Eco-System Recycling Co., Ltd.
Japan
Gold
Elemetal Refining, LLC
United States
Gold
Faggi Enrico S.p.A.
Italy
Gold
Gansu Seemine Material Hi-Tech Co Ltd
China
Gold
Geib Refining Corporation
United States
Gold
Guangdong Jinding Gold Limited
China
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
China
Gold
Heimerle + Meule GmbH
Germany
Gold
Heraeus Ltd. Hong Kong
China
Gold
Heraeus Precious Metals GmbH & Co. KG
Germany
Gold
Hwasung CJ Co. Ltd
South Korea
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
China
Gold
Istanbul Gold Refinery
Turkey
Gold
Japan Mint
Japan

5



Gold
Jiangxi Copper Company Limited
China
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Russia
Gold
JSC Uralelectromed
Russia
Gold
JX Nippon Mining & Metals Co., Ltd.
Japan
Gold
Kazakhmys plc
Kazakhstan
Gold
Kazzinc
Kazakhstan
Gold
KGHM Polska MiedŸ Spó³ka Akcyjna
Poland
Gold
Kojima Chemicals Co., Ltd.
Japan
Gold
Korea Metal Co. Ltd
South Korea
Gold
Kyrgyzaltyn JSC
Kyrgyzstan
Gold
L' azurde Company For Jewelry
Saudi Arabia
Gold
Lingbao Gold Company Ltd.
China
Gold
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
China
Gold
LS-NIKKO Copper Inc.
South Korea
Gold
Luo yang Zijin Yinhui Metal Smelt Co Ltd
China
Gold
Materion
United States
Gold
Matsuda Sangyo Co., Ltd.
Japan
Gold
Metalor Technologies (Hong Kong) Ltd.
China
Gold
Metalor Technologies (Singapore) Pte., Ltd.
Singapore
Gold
Metalor Technologies (Suzhou) Co Ltd
China
Gold
Metalor Technologies SA
Switzerland
Gold
Metalor USA Refining Corporation
United States
Gold
METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V
Mexico
Gold
Mitsubishi Materials Corporation
Japan
Gold
Mitsui Mining & Smelting
Japan
Gold
Moscow Special Alloys Processing Plant
Russia
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
Turkey
Gold
Navoi Mining and Metallurgical Combinat
Uzbekistan
Gold
Nihon Material Co., Ltd.
Japan
Gold
Ohura Precious Metal Industry Co., Ltd.
Japan
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
Russia
Gold
OJSC Kolyma Refinery
Russia
Gold
OJSC Novosibirsk Refinery
Russia
Gold
PAMP SA
Switzerland
Gold
Penglai Penggang Gold Industry Co Ltd
China
Gold
Prioksky Plant of Non-Ferrous Metals
Russia
Gold
PT Aneka Tambang (Persero) Tbk
Indonesia
Gold
PX PrŽcinox SA
Switzerland
Gold
Rand Refinery (Pty) Ltd.
South Africa
Gold
Royal Canadian Mint
Canada
Gold
Sabin Metal Corp.
United States
Gold
Samduck Precious Metals
South Korea
Gold
SAMWON METALS Corp.
South Korea
Gold
Schone Edelmetaal B.V.
Netherlands
Gold
SEMPSA Joyería Platería SA
Spain

6



Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
China
Gold
So Accurate Group, Inc.
United States
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
Russia
Gold
Solar Applied Materials Technology Corp.
Taiwan
Gold
Sumitomo Metal Mining Co., Ltd.
Japan
Gold
Tanaka Kikinzoku Kogyo K.K.
Japan
Gold
The Great Wall Gold and Silver Refinery of China
China
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
China
Gold
Tokuriki Honten Co., Ltd.
Japan
Gold
TongLing Nonferrous Metals Group Holdings Co., Ltd.
China
Gold
Torecom
South Korea
Gold
Umicore Brasil Ltda.
Brazil
Gold
Umicore Precious Metals Thailand
Thailand
Gold
Valcambi SA
Switzerland
Gold
Western Australian Mint trading as The Perth Mint
Australia
Gold
Yamamoto Precious Metal Co., Ltd.
Japan
Gold
Yantai Guodasafina High-tech Environmental Refinery CO., Ltd.
China
Gold
Yokohama Metal Co., Ltd.
Japan
Gold
Yunnan Copper Industry Co Ltd
China
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
China
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
China
Gold
Aktyubinsk Copper Company TOO
Kazakhstan
Gold
Al Etihad Gold
United Arab Emirates
Gold
Asahi Refining Canada Limited
Canada
Gold
DODUCO GmbH
Germany
Gold
Emirates Gold DMCC
United Arab Emirates
Gold
Fidelity Printers and Refiners Ltd.
Zimbabwe
Gold
Hunan Chenzhou Mining Co., Ltd.
China
Gold
Ishifuku Metal Industry Co., Ltd.
Japan
Gold
Kaloti Precious Metals
United Arab Emirates
Gold
Kennecott Utah Copper LLC
United States
Gold
Korea Zinc Co. Ltd.
South Korea
Gold
Metahub Industries Sdn. Bhd.
Malaysia
Gold
MMTC-PAMP India Pvt., Ltd.
India
Gold
Morris and Watson
New Zealand
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
Austria
Gold
Republic Metals Corporation
United States
Gold
SAXONIA Edelmetalle GmbH
Germany
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
China
Gold
Sichuan Tianze Precious Metals Co., Ltd.
China
Gold
Singway Technology Co., Ltd.
Taiwan
Gold
Sudan Gold Refinery
Sudan
Gold
T.C.A S.p.A
Italy
Gold
Umicore SA Business Unit Precious Metals Refining
Belgium
Gold
WIELAND Edelmetalle GmbH
Germany
Tantalum
Conghua Tantalum and Niobium Smeltry
China

7



Tantalum
Duoluoshan
China
Tantalum
F&X Electro-Materials Ltd.
China
Tantalum
FIR Metals & Resource Ltd.
China
Tantalum
Global Advanced Metals Aizu
Japan
Tantalum
Global Advanced Metals Boyertown
United States
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
China
Tantalum
H.C. Starck Co., Ltd.
Thailand
Tantalum
H.C. Starck GmbH Goslar
Germany
Tantalum
H.C. Starck GmbH Laufenburg
Germany
Tantalum
H.C. Starck Hermsdorf GmbH
Germany
Tantalum
H.C. Starck Inc.
United States
Tantalum
H.C. Starck Ltd.
Japan
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
China
Tantalum
Hi-Temp Specialty Metals, Inc.
United States
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
China
Tantalum
Jiujiang Tanbre Co., Ltd.
China
Tantalum
KEMET Blue Metals
United States
Tantalum
Kemet Blue Powder
United States
Tantalum
King-Tan Tantalum Industry Ltd.
China
Tantalum
LSM Brasil S.A.
Brazil
Tantalum
Metallurgical Products India Pvt., Ltd.
India
Tantalum
Mineração Taboca S.A.
Brazil
Tantalum
Mitsui Mining & Smelting
Japan
Tantalum
Molycorp Silmet A.S.
Estonia
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
China
Tantalum
Plansee SE Liezen
Austria
Tantalum
Plansee SE Reutte
Austria
Tantalum
QuantumClean
United States
Tantalum
RFH Tantalum Smeltry Co., Ltd.
China
Tantalum
Taki Chemicals
Japan
Tantalum
Telex Metals
United States
Tantalum
Ulba Metallurgical Plant JSC
Kazakhstan
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
China
Tantalum
Zhuzhou Cemented Carbide
China
Tantalum
Avon Specialty Metals Ltd
United Kingdom
Tantalum
D Block Metals, LLC
United States
Tantalum
Exotech Inc.
United States
Tantalum
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
China
Tantalum
H.C. Starck Smelting GmbH & Co.KG
Germany
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd
China
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
China
Tantalum
Resind Indústria e Comércio Ltda.
Brazil
Tantalum
Solikamsk Magnesium Works OAO
Russia
Tantalum
Tranzact, Inc.
United States
Tantalum
XinXing Haorong Electronic Material Co., Ltd.
China
Tin
Alpha
United States

8



Tin
China Tin Group Co., Ltd.
China
Tin
CNMC (Guangxi) PGMA Co. Ltd.
China
Tin
Cooperativa Metalurgica de Rondônia Ltda.
Brazil
Tin
CV Serumpun Sebalai
Indonesia
Tin
CV United Smelting
Indonesia
Tin
EM Vinto
Bolivia
Tin
Estanho de Rondônia S.A.
Brazil
Tin
Feinhutte Halsbrucke GmbH
Germany
Tin
Fenix Metals
Poland
Tin
Gejiu Kai Meng Industry and Trade LLC
China
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
China
Tin
Gejiu Zi-Li
China
Tin
Huichang Jinshunda Tin Co. Ltd
China
Tin
Jean Goldschmidt International SA
Belgium
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
China
Tin
Linwu Xianggui Smelter Co
China
Tin
Magnu's Minerais Metais e Ligas Ltda.
Brazil
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Tin
Melt Metais e Ligas S/A
Brazil
Tin
Mineração Taboca S.A.
Brazil
Tin
Minsur
Peru
Tin
Mitsubishi Materials Corporation
Japan
Tin
Nankang Nanshan Tin Co., Ltd.
China
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Vietnam
Tin
Novosibirsk Integrated Tin Works
Russia
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
Thailand
Tin
O.M. Manufacturing Philippines, Inc.
Philippines
Tin
Operaciones Metalurgical S.A.
Bolivia
Tin
PT Alam Lestari Kencana
Indonesia
Tin
PT Aries Kencana Sejahtera
Indonesia
Tin
PT Artha Cipta Langgeng
Indonesia
Tin
PT Babel Inti Perkasa
Indonesia
Tin
PT Bangka Kudai Tin
Indonesia
Tin
PT Bangka Timah Utama Sejahtera
Indonesia
Tin
PT Bangka Tin Industry
Indonesia
Tin
PT Belitung Industri Sejahtera
Indonesia
Tin
PT BilliTin Makmur Lestari
Indonesia
Tin
PT Bukit Timah
Indonesia
Tin
PT DS Jaya Abadi
Indonesia
Tin
PT Eunindo Usaha Mandiri
Indonesia
Tin
PT Justindo
Indonesia
Tin
PT Mitra Stania Prima
Indonesia
Tin
PT Pelat Timah Nusantara Tbk
Indonesia
Tin
PT Prima Timah Utama
Indonesia
Tin
PT Refined Bangka Tin
Indonesia
Tin
PT Sariwiguna Binasentosa
Indonesia

9



Tin
PT Stanindo Inti Perkasa
Indonesia
Tin
PT Sumber Jaya Indah
Indonesia
Tin
PT Timah (Persero) Tbk Kundur
Indonesia
Tin
PT Timah (Persero) Tbk Mentok
Indonesia
Tin
PT Tinindo Inter Nusa
Indonesia
Tin
Rui Da Hung
Taiwan
Tin
Soft Metais Ltda.
Brazil
Tin
Thaisarco
Thailand
Tin
White Solder Metalurgia e Mineração Ltda.
Brazil
Tin
Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.
China
Tin
Yunnan Tin Group (Holding) Company Limited
China
Tin
An Thai Minerals Company Limited
Vietnam
Tin
An Vinh Joint Stock Mineral Processing Company
Vietnam
Tin
Chenzhou Yunxiang Mining and Metallurgy Company Limited
China
Tin
CV Ayi Jaya
Indonesia
Tin
CV Dua Sekawan
Indonesia
Tin
CV Gita Pesona
Indonesia
Tin
CV Tiga Sekawan
Indonesia
Tin
CV Venus Inti Perkasa
Indonesia
Tin
Dowa
Japan
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
Vietnam
Tin
Elmet S.L.U. (Metallo Group)
Spain
Tin
Gejiu Fengming Metalurgy Chemical Plant
China
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
China
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
China
Tin
HuiChang Hill Tin Industry Co., Ltd.
China
Tin
Metahub Industries Sdn. Bhd.
Malaysia
Tin
Metallic Resources, Inc.
United States
Tin
Metallo-Chimique N.V.
Belgium
Tin
Phoenix Metal Ltd
Rwanda
Tin
PT ATD Makmur Mandiri Jaya
Indonesia
Tin
PT Bangka Prima Tin
Indonesia
Tin
PT Cipta Persada Mulia
Indonesia
Tin
PT Fang Di MulTindo
Indonesia
Tin
PT Inti Stania Prima
Indonesia
Tin
PT Karimun Mining
Indonesia
Tin
PT Kijang Jaya Mandiri
Indonesia
Tin
PT Panca Mega Persada
Indonesia
Tin
PT Seirama Tin investment
Indonesia
Tin
PT Sukses Inti Makmur
Indonesia
Tin
PT Tirus Putra Mandiri
Indonesia
Tin
PT Tommy Utama
Indonesia
Tin
PT WAHANA PERKIT JAYA
Indonesia
Tin
Resind Indústria e Comércio Ltda.
Brazil
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
Vietnam

10



Tin
VQB Mineral and Trading Group JSC
Vietnam
Tungsten
A.L.M.T. TUNGSTEN Corp.
Japan
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
China
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
China
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
China
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
China
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
China
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
China
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
China
Tungsten
Global Tungsten & Powders Corp.
United States
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
China
Tungsten
H.C. Starck GmbH
Germany
Tungsten
Hunan Chenzhou Mining Co., Ltd.
China
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
China
Tungsten
Japan New Metals Co., Ltd.
Japan
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
China
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
China
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
China
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
China
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
China
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
China
Tungsten
Kennametal Fallon
United States
Tungsten
Kennametal Huntsville
United States
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
China
Tungsten
Niagara Refining LLC
United States
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
Vietnam
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
Vietnam
Tungsten
Wolfram Bergbau und Hütten AG
Austria
Tungsten
Xiamen Tungsten Co., Ltd.
China
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
China
Tungsten
Zhuzhou Cemented Carbide
China
Tungsten
Asia Tungsten Products Vietnam Ltd.
Vietnam
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
China
Tungsten
Ganxian Shirui New Material Co., Ltd.
China
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
China
Tungsten
H.C. Starck Smelting GmbH & Co.KG
Germany
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
China
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
China
Tungsten
Hydrometallurg, JSC
Russia
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Vietnam
Tungsten
Pobedit, JSC
Russia
Tungsten
Sanher Tungsten Vietnam Co., Ltd.
Vietnam

We note the following in connection with the information in the table above: The smelters and refiners listed in the table were identified by our suppliers as being part of our 2015 supply chain. Some of the suppliers may have reported to us smelters and refiners that were not in our supply chain (i) since they reported at a “company level,”

11



meaning that they reported to us the 3TG contained in all of their products, not just the products that they sold to us, or (ii) due to over-inclusiveness in the information received from their suppliers. In addition, the smelters and refiners reflected above may not be all of the smelters and refiners in our 2015 supply chain, since many of the suppliers were unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in our in scope products. All information in the table is as of April 15, 2016.
Country of Origin Information
The countries of origin of the 3TG processed by the smelters and refiners listed above may have included countries in each of the categories listed below. The countries below are sorted by OECD risk level.
L1 - Argentina, Armenia, Australia, Austria, Belarus, Belgium, Bolivia, Brazil, Canada, Chile, China, Estonia, Ethiopia, France, Germany, Ghana, Guinea, Guyana, Hong Kong, India, Indonesia, Italy, Japan, Jersey, Kazakhstan, Kyrgyzstan, Laos, Malaysia, Mali, Mexico, Mongolia, Morocco, Myanmar, Namibia, Netherlands, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Russia, Saudi Arabia, Sierra Leone, Singapore, South Korea, Spain, Suriname, Sweden, Switzerland, Taiwan, Tajikistan, Thailand, Turkey, United Kingdom, United States, Uzbekistan, Vietnam and Zimbabwe.
L2 - Mozambique, South Africa and the United Arab Emirates.
L3 - The DRC, Burundi, Rwanda and Zambia.
In addition, some of the listed smelters and refiners may have processed 3TG originating from recycled or scrap sources.
For 2015, we were not able to determine the country of origin of the 3TG processed by 77 smelters or refiners.


12
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