EX-1.01 2 axlcmr2021exhibit101.htm EX-1.01 Document

EXHIBIT 1.01

AMERICAN AXLE & MANUFACTURING HOLDINGS, INC.
CONFLICT MINERALS REPORT
Year End December 31, 2021

Introduction

This document, constituting Exhibit 1.01 to Form SD of American Axle & Manufacturing Holdings, Inc. and its subsidiaries (collectively, the “Company” or “AAM”), for calendar year 2021, is the Company’s Conflict Minerals Report (“CMR”) in accordance with Rule 13p-1 under the Securities Exchange Act of 1934.

AAM is an SEC Issuer, as described in the US Securities and Exchange Commission (“SEC”) Final Rule 17 C.F.R. § 240 and 249(b) (the “Rule”), and is subject to the provisions of Section 1502 of the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“DF1502”) that address the sourcing of Conflict Minerals from the Democratic Republic of the Congo (“DRC”) and its adjoining countries (“Covered Countries”) that are necessary to the functionality or production of products that the companies manufactured or contracted to manufacture.

Conflict Minerals are defined by the Rule to include cassiterite, columbite-tantalite, gold, wolframite, and their derivatives. The subject minerals are more commonly known as tin, tantalum, gold, and tungsten, respectively (“3TG”).

As such, this report covers the reporting period January 1, 2021 through December 31, 2021 (“Reporting Year 2021”, “RY2021”) related to the Conflict Minerals that are necessary to the functionality or production of products that the Company manufactured or contracted to manufacture and includes a description of the measures taken by the Company to exercise due diligence on the source and chain of custody of the subject minerals.

The content of any website referred to in this report is included for general information only and is not incorporated by reference to this report.

Section (1) Due Diligence

The Company’s comprehensive Conflict Minerals Program includes a due diligence process that was designed to conform, in all material respects, to the criteria set forth in the internationally recognized Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, 3rd Edition and related Supplements on Tin, Tantalum and Tungsten and on Gold (“OECD Guidance”).

The following is a review of the actions comprising the OECD Guidance five-step framework that the Company took to implement our due diligence process.

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1.Establish strong company management systems.

a.The Company developed and adopted a Responsible Minerals Sourcing Policy and made it publicly available at www.aam.com/conflictmineralsstatement.
b.The Company structured internal management to support supply chain due diligence by identifying a cross-functional team (the “Team”), consisting of representatives from Global Procurement, Engineering, Finance, and the General Counsel.
c.The Company established a system of controls over the supply chain by leveraging the iPoint Conflict Minerals Platform to monitor all relevant data.
d.The Company also provided feedback and engagement recommendations to suppliers that declared potential smelters or refiners in their supply chains.
e.The conflictminerals@aam.com mailbox is a mechanism available for any interested stakeholder to communicate their concerns/grievances regarding AAM’s Conflict Minerals process. Each supplier contacted is advised of the existence of this mailbox as a point of contact for questions or concerns. Other stakeholders are made aware of this mailbox as a result of previous CMR filings.

2. Identify and assess risk in the supply chain.

a.The Company identified risk in the supply chain by first identifying direct material suppliers to whom payments were made in 2021.
b.Suppliers with low annual spend profiles were then deemed out-of-scope in order to focus our resources on improved compliance from our more substantial direct material suppliers.
c.After identification of the potentially at-risk supplies, the Reasonable Country of Origin Inquiry (“RCOI”) and corresponding due diligence were to be conducted.

3. Design and implement a strategy to respond to risks.

a.The Company devised and implemented a risk-management strategy that included, but is not limited to:
i.Requesting additional information from suppliers that provided incomplete or contradictory data responses;
ii.Requiring CMRT version 6 or above to capture new information regarding Conflict-Affected and High Risk Areas (“CAHRAs”); and
iii.Confirming the accuracy of identified smelters or refiners from suppliers.
b.As a member of the Responsible Minerals Initiative (“RMI”) our risk mitigation processes related to facilities that smelt, refine and/or process the subject raw materials are in place and consistently reviewed, as demonstrated by the Responsible Minerals Assurance Process (“RMAP”).

4. Support the development and implementation of independent third-party audits of smelters’ and refiners’ sourcing.

a.The Company is a member of the RMI, which conducts independent third-party audits of smelters on behalf of its members. The Company utilizes the RCOI information provided to members of the RMI to determine the possible country of
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origin of the Conflict Minerals necessary for the functionality or production of its products.

5. Report on supply chain due diligence

a.The Company reports annually to the SEC on Form SD.
b.The Company makes its Conflict Minerals Report publicly available at www.aam.com/conflictminerals.

Steps taken and being taken to mitigate risk, and to improve due diligence:

The Company has taken a number of steps to (i) mitigate the risk that its necessary Conflict Minerals benefit armed groups in the DRC and/or Covered Countries and (ii) to improve its due diligence. Those steps include, but are not limited to:

•Updating our Policy to reflect evolution in the program to also include CAHRAs;
•Focusing resources on risk-based due diligence, as discussed in the OECD Due Diligence Guidance;
•Continuing to invest in cross-industry collaboration via the Responsible Minerals Initiative; and
•Improving reporting transparency by including the list of possible countries, to the greatest possible specificity, where the subject minerals in our products may have originated.

(1) Product Description

The Company has determined, in good faith, that the applicable product categories are the following:

•Driveline products
•Metal Formed products

Driveline products consist primarily of front and rear axles, driveshafts, differential assemblies, clutch modules, balance shaft systems, disconnecting driveline technology, and electric and hybrid driveline products and systems for light trucks, SUVs, CUVs, passenger cars and commercial vehicles.

Metal Formed products consist primarily of axle and transmission shafts, ring and pinion gears, differential gears and assemblies, connecting rods and variable valve timing products for OEMs and Tier 1 automotive suppliers.

Product Determination:

Pursuant to guidance issued by the SEC Division of Corporation Finance on April 29, 2014, we are not required to describe any of our products as “DRC Conflict Free,” as having “not been found to be ‘DRC Conflict Free’” or as “DRC Conflict Undeterminable.” Moreover, since we have not voluntarily elected to describe any of our products as DRC Conflict Free, the requirement for an independent private sector audit of this report is not applicable.
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Results of our RCOI and Due Diligence Measures:

Table 1 and Table 2 reflect the result of our RCOI and due diligence for the 3T’s and Gold, respectively. The countries listed in Tables 1 and 2 are potential sources of origin of the conflict minerals necessary for the functionality or manufacture of the products identified above in “Product Description,” according to the country of origin information available to us as RMI members.

The smelters and refiners as defined by the SEC Final Ruling section II(A)(3) declared by our supply chain can be found in Table 3.

Table 1

Tantalum
Tin
Tungsten
BRAZIL
BELGIUM
AUSTRIA
CHINA
BOLIVIA (PLURINATIONAL STATE OF)
BRAZIL
ESTONIA
BRAZIL
CHINA
GERMANY
CHINA
GERMANY
INDIA
INDONESIA
JAPAN
JAPAN
JAPAN
KOREA, REPUBLIC OF
KAZAKHSTAN
MALAYSIA
PHILIPPINES
MEXICO
PERU
RUSSIAN FEDERATION
RUSSIAN FEDERATION
PHILIPPINES
TAIWAN, PROVINCE OF CHINA
THAILAND
POLAND
UNITED STATES OF AMERICA
UNITED STATES OF AMERICA
RWANDA
VIETNAM
SPAIN
TAIWAN, PROVINCE OF CHINA
THAILAND
UNITED STATES OF AMERICA
VIETNAM
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Table 2
Gold
ANDORRA
CHINA
MEXICO
TAIWAN, PROVINCE OF CHINA
AUSTRALIA
FRANCE
NETHERLANDS
THAILAND
AUSTRIA
GERMANY
PHILIPPINES
TURKEY
BELGIUM
INDIA
SINGAPORE
UNITED ARAB EMIRATES
BRAZIL
INDONESIA
SOUTH AFRICA
UNITED STATES OF AMERICA
CANADA
ITALY
SPAIN
UZBEKISTAN
CHILE
JAPAN
SWEDEN
KAZAKHSTAN
KOREA, REPUBLIC OF
SWITZERLAND

Table 3
AliasMetalSmelter ID
8853 S.p.A.GoldCID002763
A.L.M.T. Corp.TungstenCID000004
ACL Metais EireliTungstenCID002833
Advanced Chemical CompanyGoldCID000015
Aida Chemical Industries Co., Ltd.GoldCID000019
Al Etihad Gold Refinery DMCCGoldCID002560
Almalyk Mining and Metallurgical Complex (AMMC)GoldCID000041
AlphaTinCID000292
AngloGold Ashanti Corrego do Sitio MineracaoGoldCID000058
Argor-Heraeus S.A.GoldCID000077
Asahi Pretec Corp.GoldCID000082
Asahi Refining Canada Ltd.GoldCID000924
Asahi Refining USA Inc.GoldCID000920
Asaka Riken Co., Ltd.GoldCID000090
Aurubis AGGoldCID000113
Bangalore RefineryGoldCID002863
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)GoldCID000128
Boliden ABGoldCID000157
C. Hafner GmbH + Co. KGGoldCID000176
CCR Refinery - Glencore Canada CorporationGoldCID000185
Cendres + Metaux S.A.GoldCID000189
Changsha South Tantalum Niobium Co., Ltd.TantalumCID000211
Chenzhou Diamond Tungsten Products Co., Ltd.TungstenCID002513
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.TinCID000228
Chifeng Dajingzi Tin Industry Co., Ltd.TinCID003190
Chimet S.p.A.GoldCID000233
China Molybdenum Tungsten Co., Ltd.TungstenCID002641
China Tin Group Co., Ltd.TinCID001070
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AliasMetalSmelter ID
Chongyi Zhangyuan Tungsten Co., Ltd.TungstenCID000258
Chugai MiningGoldCID000264
CRM SynergiesTinCID003524
Cronimet Brasil LtdaTungstenCID003468
D Block Metals, LLCTantalumCID002504
DODUCO Contacts and Refining GmbHGoldCID000362
DowaGoldCID000401
DowaTinCID000402
DSC (Do Sung Corporation)GoldCID000359
Eco-System Recycling Co., Ltd. East PlantGoldCID000425
Eco-System Recycling Co., Ltd. North PlantGoldCID003424
Eco-System Recycling Co., Ltd. West PlantGoldCID003425
EM VintoTinCID000438
Emirates Gold DMCCGoldCID002561
Exotech Inc.TantalumCID000456
F&X Electro-Materials Ltd.TantalumCID000460
Fabrica Auricchio Industria e Comercio Ltda.TinCID003582
Fenix MetalsTinCID000468
FIR Metals & Resource Ltd.TantalumCID002505
Fujian Ganmin RareMetal Co., Ltd.TungstenCID003401
Ganzhou Haichuang Tungsten Co., Ltd.TungstenCID002645
Ganzhou Huaxing Tungsten Products Co., Ltd.TungstenCID000875
Ganzhou Jiangwu Ferrotungsten Co., Ltd.TungstenCID002315
Ganzhou Seadragon W & Mo Co., Ltd.TungstenCID002494
Geib Refining CorporationGoldCID002459
Gejiu Non-Ferrous Metal Processing Co., Ltd.TinCID000538
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.TinCID001908
Gejiu Zili Mining And Metallurgy Co., Ltd.TinCID000555
Global Advanced Metals AizuTantalumCID002558
Global Advanced Metals BoyertownTantalumCID002557
Global Tungsten & Powders Corp.TungstenCID000568
Gold Refinery of Zijin Mining Group Co., Ltd.GoldCID002243
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.TinCID003116
Guangdong Xianglu Tungsten Co., Ltd.TungstenCID000218
H.C. Starck Hermsdorf GmbHTantalumCID002547
H.C. Starck Inc.TantalumCID002548
H.C. Starck Tungsten GmbHTungstenCID002541
Heimerle + Meule GmbHGoldCID000694
Hengyang King Xing Lifeng New Materials Co., Ltd.TantalumCID002492
Heraeus Germany GmbH Co. KGGoldCID000711
Heraeus Metals Hong Kong Ltd.GoldCID000707
HuiChang Hill Tin Industry Co., Ltd.TinCID002844
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AliasMetalSmelter ID
Hunan Chenzhou Mining Co., Ltd.TungstenCID000766
Hunan Chunchang Nonferrous Metals Co., Ltd.TungstenCID000769
Hydrometallurg, JSCTungstenCID002649
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.GoldCID000801
Ishifuku Metal Industry Co., Ltd.GoldCID000807
Istanbul Gold RefineryGoldCID000814
ItalpreziosiGoldCID002765
Japan MintGoldCID000823
Japan New Metals Co., Ltd.TungstenCID000825
Jiangwu H.C. Starck Tungsten Products Co., Ltd.TungstenCID002551
Jiangxi Copper Co., Ltd.GoldCID000855
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.TantalumCID002512
Jiangxi Gan Bei Tungsten Co., Ltd.TungstenCID002321
Jiangxi New Nanshan Technology Ltd.TinCID001231
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.TungstenCID002318
Jiangxi Tuohong New Raw MaterialTantalumCID002842
Jiangxi Xinsheng Tungsten Industry Co., Ltd.TungstenCID002317
Jiangxi Yaosheng Tungsten Co., Ltd.TungstenCID002316
JiuJiang JinXin Nonferrous Metals Co., Ltd.TantalumCID000914
Jiujiang Tanbre Co., Ltd.TantalumCID000917
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.TantalumCID002506
JSC "Kirovgrad Hard Alloys Plant"TungstenCID003408
JX Nippon Mining & Metals Co., Ltd.GoldCID000937
KazzincGoldCID000957
KEMET de MexicoTantalumCID002539
Kennametal FallonTungstenCID000966
Kennametal HuntsvilleTungstenCID000105
Kennecott Utah Copper LLCGoldCID000969
KGETS Co., Ltd.TungstenCID003388
Kojima Chemicals Co., Ltd.GoldCID000981
Korea Zinc Co., Ltd.GoldCID002605
Lianyou Metals Co., Ltd.TungstenCID003407
L'Orfebre S.A.GoldCID002762
LS-NIKKO Copper Inc.GoldCID001078
LT Metal Ltd.GoldCID000689
Luna Smelter, Ltd.TinCID003387
Ma'anshan Weitai Tin Co., Ltd.TinCID003379
Magnu's Minerais Metais e Ligas Ltda.TinCID002468
Malaysia Smelting Corporation (MSC)TinCID001105
Malipo Haiyu Tungsten Co., Ltd.TungstenCID002319
Marsam MetalsGoldCID002606
Masan High-Tech MaterialsTungstenCID002543
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AliasMetalSmelter ID
MaterionGoldCID001113
Matsuda Sangyo Co., Ltd.GoldCID001119
Melt Metais e Ligas S.A.TinCID002500
Metal Concentrators SA (Pty) Ltd.GoldCID003575
Metallic Resources, Inc.TinCID001142
Metallo Belgium N.V.TinCID002773
Metallo Spain S.L.U.TinCID002774
Metallurgical Products India Pvt., Ltd.TantalumCID001163
Metalor Technologies (Hong Kong) Ltd.GoldCID001149
Metalor Technologies (Singapore) Pte., Ltd.GoldCID001152
Metalor Technologies (Suzhou) Ltd.GoldCID001147
Metalor Technologies S.A.GoldCID001153
Metalor USA Refining CorporationGoldCID001157
Metalurgica Met-Mex Penoles S.A. De C.V.GoldCID001161
Mineracao Taboca S.A.TantalumCID001175
Mineracao Taboca S.A.TinCID001173
MinsurTinCID001182
Mitsubishi Materials CorporationGoldCID001188
Mitsubishi Materials CorporationTinCID001191
Mitsui Mining and Smelting Co., Ltd.GoldCID001193
Mitsui Mining and Smelting Co., Ltd.TantalumCID001192
MMTC-PAMP India Pvt., Ltd.GoldCID002509
Moliren Ltd.TungstenCID002845
Nadir Metal Rafineri San. Ve Tic. A.S.GoldCID001220
Niagara Refining LLCTungstenCID002589
Nihon Material Co., Ltd.GoldCID001259
Ningxia Orient Tantalum Industry Co., Ltd.TantalumCID001277
NPM Silmet ASTantalumCID001200
O.M. Manufacturing (Thailand) Co., Ltd.TinCID001314
O.M. Manufacturing Philippines, Inc.TinCID002517
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbHGoldCID002779
Ohura Precious Metal Industry Co., Ltd.GoldCID001325
Operaciones Metalurgicas S.A.TinCID001337
PAMP S.A.GoldCID001352
Philippine Chuangxin Industrial Co., Inc.TungstenCID002827
Planta Recuperadora de Metales SpAGoldCID002919
PT Aneka Tambang (Persero) TbkGoldCID001397
PT Artha Cipta LanggengTinCID001399
PT ATD Makmur Mandiri JayaTinCID002503
PT Babel Surya Alam LestariTinCID001406
PT Bangka SerumpunTinCID003205
PT Menara Cipta MuliaTinCID002835
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AliasMetalSmelter ID
PT Mitra Stania PrimaTinCID001453
PT Prima Timah UtamaTinCID001458
PT Rajawali Rimba PerkasaTinCID003381
PT Rajehan AriqTinCID002593
PT Refined Bangka TinTinCID001460
PT Stanindo Inti PerkasaTinCID001468
PT Timah Tbk KundurTinCID001477
PT Timah Tbk MentokTinCID001482
PT Tinindo Inter NusaTinCID001490
PX Precinox S.A.GoldCID001498
QuantumCleanTantalumCID001508
Rand Refinery (Pty) Ltd.GoldCID001512
REMONDIS PMR B.V.GoldCID002582
Resind Industria e Comercio Ltda.TantalumCID002707
Resind Industria e Comercio Ltda.TinCID002706
Royal Canadian MintGoldCID001534
Rui Da HungTinCID001539
SAAMPGoldCID002761
Safimet S.p.AGoldCID002973
Samduck Precious MetalsGoldCID001555
SAXONIA Edelmetalle GmbHGoldCID002777
SEMPSA Joyeria Plateria S.A.GoldCID001585
Shandong Gold Smelting Co., Ltd.GoldCID001916
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.GoldCID001622
Sichuan Tianze Precious Metals Co., Ltd.GoldCID001736
Singway Technology Co., Ltd.GoldCID002516
Soft Metais Ltda.TinCID001758
Solar Applied Materials Technology Corp.GoldCID001761
Solikamsk Magnesium Works OAOTantalumCID001769
Sumitomo Metal Mining Co., Ltd.GoldCID001798
SungEel HiMetal Co., Ltd.GoldCID002918
T.C.A S.p.AGoldCID002580
Taki Chemical Co., Ltd.TantalumCID001869
Tanaka Kikinzoku Kogyo K.K.GoldCID001875
TANIOBIS Co., Ltd.TantalumCID002544
TANIOBIS GmbHTantalumCID002545
TANIOBIS Japan Co., Ltd.TantalumCID002549
TANIOBIS Smelting GmbH & Co. KGTantalumCID002550
TANIOBIS Smelting GmbH & Co. KGTungstenCID002542
Telex MetalsTantalumCID001891
Thai Nguyen Mining and Metallurgy Co., Ltd.TinCID002834
ThaisarcoTinCID001898
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AliasMetalSmelter ID
Tin Technology & RefiningTinCID003325
Tokuriki Honten Co., Ltd.GoldCID001938
TorecomGoldCID001955
Ulba Metallurgical Plant JSCTantalumCID001969
Umicore Precious Metals ThailandGoldCID002314
Umicore S.A. Business Unit Precious Metals RefiningGoldCID001980
Unecha Refractory metals plantTungstenCID002724
United Precious Metal Refining, Inc.GoldCID001993
Valcambi S.A.GoldCID002003
Western Australian Mint (T/a The Perth Mint)GoldCID002030
White Solder Metalurgia e Mineracao Ltda.TinCID002036
WIELAND Edelmetalle GmbHGoldCID002778
Wolfram Bergbau und Hutten AGTungstenCID002044
Xiamen Tungsten (H.C.) Co., Ltd.TungstenCID002320
Xiamen Tungsten Co., Ltd.TungstenCID002082
XIMEI RESOURCES (GUANGDONG) LIMITEDTantalumCID000616
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.TungstenCID002830
XinXing HaoRong Electronic Material Co., Ltd.TantalumCID002508
Yamakin Co., Ltd.GoldCID002100
Yanling Jincheng Tantalum & Niobium Co., Ltd.TantalumCID001522
Yokohama Metal Co., Ltd.GoldCID002129
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.TinCID002158
Zhongyuan Gold Smelter of Zhongjin Gold CorporationGoldCID002224

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