EX-1.01 2 ex101conflictmineralsrepor.htm EX-1.01 Document

Exhibit 1.01

Conflict Minerals Report
Calix, Inc.
For the Year Ended December 31, 2020

This Conflict Minerals Report (“CMR”) is provided to comply with Rule 13p-1 of the Securities Exchange Act of 1934, as amended, for Calix, Inc. (“Calix”) for the calendar year ended December 31, 2020. Rule 13p-1, as implemented by the Securities and Exchange Commission (“SEC”), imposes reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 applies to SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products, other than conflict minerals sourced solely from recycled or scrap sources. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten and gold, referred to as 3TG.

If a registrant has reason to believe that any of the conflict minerals in their supply chain may have originated in the Democratic Republic of the Congo (“DRC”) or an adjoining country (together with the DRC, the “Covered Countries”), or a registrant is unable to determine the country of origin of those conflict minerals, then the registrant must exercise due diligence on the source and chain of custody of those conflict minerals.

Overview

Calix is a leading global provider of cloud and software platforms, systems and services that focus on the access network, the portion of the network that governs available bandwidth and determines the range and quality of services that can be offered to subscribers. Calix’s cloud and software platforms enable communication service providers to provide a wide range of revenue-generating services, from basic voice and data to advanced broadband services, over legacy and next-generation access networks. Calix primarily relies upon third-party manufacturing partners to manufacture its products, purchase components or materials that may contain smelted or refined minerals and purchase raw ore or minerals. Calix is several levels removed from the purchase of raw ore and minerals or the mining of conflict minerals which occurs much further upstream in the supply chain.
For purposes of Rule 13p-1, we engaged a third-party vendor to assist with survey efforts and outreach with our third-party manufacturing partners and to make inquiries regarding suppliers further upstream in order to ascertain information on the conflict mineral content in our products as well as the origin of the conflict minerals in components and materials in our products. We rely upon third-party manufacturing partners, consisting of contract manufacturers and original design manufacturers, to source for and produce our products based on our requirements, and in some cases we have no visibility into the upstream suppliers and do not control the supplier sourcing decisions. In selecting manufacturing partners, we require partners to regularly engage with and assess their supplier base as relevant to the components and materials for Calix products.

Based on evaluations together with our manufacturing partners for 2020, we identified that some components and materials that are included in Calix access systems contain conflict minerals.

Reasonable Country of Origin Inquiry

In order to perform a reasonable country of origin inquiry, or RCOI, we and our third-party vendor worked directly with our suppliers and our third-party manufacturers to conduct surveys of their direct supplier base to determine whether the conflict minerals contained in components of Calix products originated from the Covered Countries. This survey was conducted using the Conflict Minerals Reporting Template (“CMRT”) developed by the Responsible Minerals Initiative (“RMI”), and included inquiries related to the facilities used to process conflict minerals, a supplier’s commitment and processes to support conflict free sourcing and the smelters and refiners used, including a supplier’s further inquiries made upstream in the supply chain to ascertain such information. The survey
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was used to collect information to facilitate our understanding of the country of origin of conflict minerals and information on the conflict free status for smelters and refiners used by the supplier or its upstream suppliers.

For 2020, surveys were distributed to approximately 247 suppliers with a reported response rate of 96% for completed surveys. To support improved response rate and quality of the CMRT process, personnel that have oversight responsibilities for conflict minerals within our manufacturing partner organizations review the CMRT responses and engage with our manufacturing partners to conduct follow-up inquiries for CMRT completeness and accuracy. Information regarding the RMI is included in surveys sent to the supplier base and manufacturing partners generally provide information and training to assist suppliers with completing the CMRT.

Based on the RCOI described above, we have reason to believe that some of the components used in the manufacture of our products in 2020 contained conflict minerals that originated from the Covered Countries and were not sourced solely from recycled or scrap sources.

Supply Chain Due Diligence and Assessment

Based on the RCOI on our supply chain and as required by Rule 13p-1, we undertook due diligence on our supply chain. The objective of this due diligence was to ascertain whether the conflict minerals directly or indirectly financed or benefited arms groups in the Covered Countries, including for the smelters identified through the CMRTs as providing conflict minerals that originated from the Covered Countries.

Based on our RCOI for 2020, there were approximately 75 smelters and refiners that were identified by suppliers as a source of conflict minerals originating from the Covered Countries. We conducted further due diligence on our supply chain to assess the source and chain of custody of the conflict minerals applying due diligence measures designed to conform with the Organization for Economic Co-operation and Development Due Diligence Guidelines for Responsible Supply Chains of Minerals from High Risk Areas and related supplements. These further actions included:

Collection of conflict minerals information from the supply chain utilizing the CMRT
Reviews of supplier, smelter and refiner information in CMRT responses for plausibility, consistency and completeness
Follow-up efforts with suppliers for information about identified smelters and refiners
Engagement with suppliers for further conflict minerals reporting upstream through the supply chain
Review whether identified smelters and refiners, including those identified as a source of conflict minerals originating from the Covered Countries, are listed as participating in the Responsible Minerals Assurance Process (“RMAP”) operated by the RMI or otherwise verified as conflict free by industry recognized programs
Conduct supplier outreach as recommended and in support of RMI initiatives, particularly for non-responding suppliers

Based on the due diligence conducted, we determined that 75 of the smelters and refiners identified to supply conflict minerals originating in the Covered Countries are included on the RMI list of conformant, active and eligible smelters and refiners pursuant to the RMAP program operated by the RMI. Based on the information provided by our suppliers, we believe that the facilities that may have been used to process the 3TG minerals in our products include the smelters and refiners listed in Appendix I to this CMR. Pursuant to Rule 13p-1, this CMR is not subject to an independent private sector audit.

Ongoing Risk Management

We intend to continue our work with our manufacturing partners and suppliers to improve response rates to our conflict minerals surveys, including through direct and indirect outreach efforts, and to improve awareness upstream in the supply chain. We also expect to further refine conflict minerals assessments and inquiries as part of our supplier and manufacturer partner evaluation processes. This CMR is also available on Calix’s Investor Relations website at: https://investor-relations.calix.com under Governance – Governance Documents.
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Forward-Looking Statements

Statements made in this report that are not statements of historical fact are forward-looking statements. Forward-looking statements are subject to the “safe harbor” provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements are based on our current expectations and assumptions about our business and operations and are subject to risks and uncertainties that could cause actual results to differ materially from expectations. These risks and uncertainties include the effect of changes in laws and regulations, economic, market and business conditions, the performance and operations of third-party partners and suppliers, availability of critical components and materials, and other risks as described in our Form 10-K and our quarterly reports on Form 10-Q, each as filed with the SEC. Forward-looking statements speak only as of the date the statements are made and are based on information available to us at the time those statements are made and/or management’s good faith belief as of that time with respect to future events. We assume no obligation to update forward-looking statements to reflect actual performance or results, changes in assumptions or changes in other factors affecting forward-looking information, except to the extent required by applicable securities laws.

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Appendix I

MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
Gold8853 S.p.A.ITALYCID002763
GoldAbington Reldan Metals, LLCUNITED STATES OF AMERICACID002708
GoldAdvanced Chemical CompanyUNITED STATES OF AMERICACID000015
GoldAfrican Gold RefineryUGANDACID003185
GoldAida Chemical Industries Co., Ltd.JAPANCID000019
GoldAl Etihad Gold Refinery DMCCUNITED ARAB EMIRATESCID002560
GoldAl Ghaith GoldUNITED ARAB EMIRATESCID002899
GoldAlexy MetalsUNITED STATES OF AMERICACID003500
GoldAllgemeine Gold-und Silberscheideanstalt A.G.GERMANYCID000035
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UZBEKISTANCID000041
GoldAngloGold Ashanti Corrego do Sitio MineracaoBRAZILCID000058
GoldArgor-Heraeus S.A.SWITZERLANDCID000077
GoldARY Aurum PlusUNITED ARAB EMIRATESCID002596
GoldAsahi Pretec Corp.JAPANCID000082
GoldAsahi Refining Canada Ltd.CANADACID000924
GoldAsahi Refining USA Inc.UNITED STATES OF AMERICACID000920
GoldAsaka Riken Co., Ltd.JAPANCID000090
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TURKEYCID000103
GoldAU Traders and RefinersSOUTH AFRICACID002850
GoldAugmont Enterprises Private LimitedINDIACID003461
GoldAurubis AGGERMANYCID000113
GoldBangalore RefineryINDIACID002863
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PHILIPPINESCID000128
GoldBoliden ABSWEDENCID000157
GoldC. Hafner GmbH + Co. KGGERMANYCID000176
GoldC.I Metales Procesados Industriales SASCOLOMBIACID003421
GoldCaridadMEXICOCID000180
GoldCCR Refinery - Glencore Canada CorporationCANADACID000185
GoldCendres + Metaux S.A.SWITZERLANDCID000189
GoldCGR Metalloys Pvt Ltd.INDIACID003382
GoldChimet S.p.A.ITALYCID000233
GoldChugai MiningJAPANCID000264
GoldDaejin Indus Co., Ltd.KOREA, REPUBLIC OFCID000328
GoldDaye Non-Ferrous Metals Mining Ltd.CHINACID000343
GoldDegussa Sonne / Mond Goldhandel GmbHGERMANYCID002867
GoldDijllah Gold Refinery FZCUNITED ARAB EMIRATESCID003348
GoldDODUCO Contacts and Refining GmbHGERMANYCID000362
A-1


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldDowaJAPANCID000401
GoldDSC (Do Sung Corporation)KOREA, REPUBLIC OFCID000359
GoldEco-System Recycling Co., Ltd. East PlantJAPANCID000425
GoldEco-System Recycling Co., Ltd. North PlantJAPANCID003424
GoldEco-System Recycling Co., Ltd. West PlantJAPANCID003425
GoldElemetal Refining, LLCUNITED STATES OF AMERICACID001322
GoldEmerald Jewel Industry India Limited (Unit 1)INDIACID003487
GoldEmerald Jewel Industry India Limited (Unit 2)INDIACID003488
GoldEmerald Jewel Industry India Limited (Unit 3)INDIACID003489
GoldEmerald Jewel Industry India Limited (Unit 4)INDIACID003490
GoldEmirates Gold DMCCUNITED ARAB EMIRATESCID002561
GoldFidelity Printers and Refiners Ltd.ZIMBABWECID002515
GoldFujairah Gold FZCUNITED ARAB EMIRATESCID002584
GoldGCC Gujrat Gold Centre Pvt. Ltd.INDIACID002852
GoldGeib Refining CorporationUNITED STATES OF AMERICACID002459
GoldGold Coast RefineryGHANACID003186
GoldGold Refinery of Zijin Mining Group Co., Ltd.CHINACID002243
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCHINACID001909
GoldGuangdong Hua Jian Trade Co., Ltd.CHINACID000605
GoldGuangdong Jinding Gold LimitedCHINACID002312
GoldGUANGDONG JINXIAN GAOXIN CAI LIAO GONG SICHINACID000611
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CHINACID000651
GoldHang Seng TechnologyCHINACID000670
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CHINACID000671
GoldHeimerle + Meule GmbHGERMANYCID000694
GoldHenan Yuguang Gold & Lead Co., Ltd.CHINACID002519
GoldHeraeus Germany GmbH Co. KGGERMANYCID000711
GoldHeraeus Metals Hong Kong Ltd.CHINACID000707
GoldHetai Gold Mineral Guangdong Co., Ltd.CHINACID000718
GoldHop Hing electroplating factory ZhejiangCHINACID002739
GoldHunan Chenzhou Mining Co., Ltd.CHINACID000767
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CHINACID000773
GoldHung Cheong Metal Manufacturing LimitedCHINACID002904
GoldHwaSeong CJ CO., LTD.KOREA, REPUBLIC OFCID000778
GoldIndustrial Refining CompanyBELGIUMCID002587
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CHINACID000801
GoldInternational Precious Metal RefinersUNITED ARAB EMIRATESCID002562
GoldIshifuku Metal Industry Co., Ltd.JAPANCID000807
GoldIstanbul Gold RefineryTURKEYCID000814
GoldItalpreziosiITALYCID002765
A-2


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldJALAN & CompanyINDIACID002893
GoldJapan MintJAPANCID000823
GoldJiangxi Copper Co., Ltd.CHINACID000855
GoldJin Jinyin Refining Co., Ltd.CHINACID000884
GoldJinlong Copper Co., Ltd.CHINACID000909
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRUSSIAN FEDERATIONCID000927
GoldJSC Novosibirsk RefineryRUSSIAN FEDERATIONCID000493
GoldJSC UralelectromedRUSSIAN FEDERATIONCID000929
GoldJX Nippon Mining & Metals Co., Ltd.JAPANCID000937
GoldK.A. RasmussenNORWAYCID003497
GoldKaloti Precious MetalsUNITED ARAB EMIRATESCID002563
GoldKazakhmys Smelting LLCKAZAKHSTANCID000956
GoldKazzincKAZAKHSTANCID000957
GoldKennecott Utah Copper LLCUNITED STATES OF AMERICACID000969
GoldKGHM Polska Miedz Spolka AkcyjnaPOLANDCID002511
GoldKojima Chemicals Co., Ltd.JAPANCID000981
GoldKorea Zinc Co., Ltd.KOREA, REPUBLIC OFCID002605
GoldKosak SeirenJAPANCID000991
GoldKundan Care Products Ltd.INDIACID003463
GoldKyrgyzaltyn JSCKYRGYZSTANCID001029
GoldKyshtym Copper-Electrolytic Plant ZAORUSSIAN FEDERATIONCID002865
GoldL'azurde Company For JewelrySAUDI ARABIACID001032
GoldLingbao Gold Co., Ltd.CHINACID001056
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CHINACID001058
GoldL'Orfebre S.A.ANDORRACID002762
GoldLS-NIKKO Copper Inc.KOREA, REPUBLIC OFCID001078
GoldLT Metal Ltd.KOREA, REPUBLIC OFCID000689
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CHINACID001093
GoldMarsam MetalsBRAZILCID002606
GoldMaterionUNITED STATES OF AMERICACID001113
GoldMatsuda Sangyo Co., Ltd.JAPANCID001119
GoldMD OverseasINDIACID003548
GoldMetal Concentrators SA (Pty) Ltd.SOUTH AFRICACID003575
GoldMetallix Refining Inc.UNITED STATES OF AMERICACID003557
GoldMetalor Technologies (Hong Kong) Ltd.CHINACID001149
GoldMetalor Technologies (Singapore) Pte., Ltd.SINGAPORECID001152
GoldMetalor Technologies (Suzhou) Ltd.CHINACID001147
GoldMetalor Technologies S.A.SWITZERLANDCID001153
GoldMetalor USA Refining CorporationUNITED STATES OF AMERICACID001157
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MEXICOCID001161
GoldMitsubishi Materials CorporationJAPANCID001188
GoldMitsui Mining and Smelting Co., Ltd.JAPANCID001193
A-3


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldMMTC-PAMP India Pvt., Ltd.INDIACID002509
GoldModeltech Sdn BhdMALAYSIACID002857
GoldMorris and WatsonNEW ZEALANDCID002282
GoldMorris and Watson Gold CoastAUSTRALIACID002866
GoldMoscow Special Alloys Processing PlantRUSSIAN FEDERATIONCID001204
GoldNadir Metal Rafineri San. Ve Tic. A.S.TURKEYCID001220
GoldNavoi Mining and Metallurgical CombinatUZBEKISTANCID001236
GoldNH Recytech CompanyKOREA, REPUBLIC OFCID003189
GoldNihon Material Co., Ltd.JAPANCID001259
GoldNihon Superior Co., Ltd.JAPANCID001252
GoldNohon Material CorporationJAPANCID002285
GoldNyrstar MetalsUNITED STATES OF AMERICACID001313
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAUSTRIACID002779
GoldOhura Precious Metal Industry Co., Ltd.JAPANCID001325
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)RUSSIAN FEDERATIONCID001326
GoldPAMP S.A.SWITZERLANDCID001352
GoldPease & CurrenUNITED STATES OF AMERICACID002872
GoldPenglai Penggang Gold Industry Co., Ltd.CHINACID001362
GoldPlanta Recuperadora de Metales SpACHILECID002919
GoldPrecious Metals Sales Corp.UNITED STATES OF AMERICACID002581
GoldPrioksky Plant of Non-Ferrous MetalsRUSSIAN FEDERATIONCID001386
GoldPT Aneka Tambang (Persero) TbkINDONESIACID001397
GoldPX Precinox S.A.SWITZERLANDCID001498
GoldQG Refining, LLCUNITED STATES OF AMERICACID003324
GoldRand Refinery (Pty) Ltd.SOUTH AFRICACID001512
GoldRealized the Enterprise Co., Ltd.CHINACID001515
GoldRefinery of Seemine Gold Co., Ltd.CHINACID000522
GoldREMONDIS PMR B.V.NETHERLANDSCID002582
GoldRepublic Metals CorporationUNITED STATES OF AMERICACID002510
GoldRio Tinto GroupAUSTRALIACID002914
GoldRoyal Canadian MintCANADACID001534
GoldSAAMPFRANCECID002761
GoldSabin Metal Corp.UNITED STATES OF AMERICACID001546
GoldSafimet S.p.AITALYCID002973
GoldSAFINA A.S.CZECHIACID002290
GoldSai RefineryINDIACID002853
GoldSamduck Precious MetalsKOREA, REPUBLIC OFCID001555
GoldSamwon Metals Corp.KOREA, REPUBLIC OFCID001562
GoldSancus ZFS (L’Orfebre, SA)COLOMBIACID003529
GoldSAXONIA Edelmetalle GmbHGERMANYCID002777
GoldSchone Edelmetaal B.V.NETHERLANDSCID001573
GoldSellem Industries Ltd.MAURITANIACID003540
A-4


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldSEMPSA Joyeria Plateria S.A.SPAINCID001585
GoldShan Dong HuangjinCHINACID001604
GoldShan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd.CHINACID001605
GoldShandon Jin Jinyin Refining LimitedCHINACID001607
GoldShandong Gold Smelting Co., Ltd.CHINACID001916
GoldShandong Hengbang Smelter Co., Ltd.CHINACID001612
GoldShandong Humon Smelting Co., Ltd.CHINACID002525
GoldShandong penglai gold smelterCHINACID001616
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CHINACID001619
GoldShandong Yanggu Xiangguang Co., Ltd.CHINACID002614
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CHINACID001622
GoldShenzhen Heng Zhong Industry Co., Ltd.CHINACID001692
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.CHINACID002527
GoldShirpur Gold Refinery Ltd.INDIACID002588
GoldSichuan Tianze Precious Metals Co., Ltd.CHINACID001736
GoldSingway Technology Co., Ltd.TAIWAN, PROVINCE OF CHINACID002516
GoldSino-Platinum Metals Co., Ltd.CHINACID001745
GoldSo Accurate Group, Inc.UNITED STATES OF AMERICACID001754
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRUSSIAN FEDERATIONCID001756
GoldSolar Applied Materials Technology Corp.TAIWAN, PROVINCE OF CHINACID001761
GoldSovereign MetalsINDIACID003383
GoldState Research Institute Center for Physical Sciences and TechnologyLITHUANIACID003153
GoldSudan Gold RefinerySUDANCID002567
GoldSumitomo Metal Mining Co., Ltd.JAPANCID001798
GoldSungEel HiMetal Co., Ltd.KOREA, REPUBLIC OFCID002918
GoldSuntain Co., Ltd.TAIWAN, PROVINCE OF CHINACID001808
GoldSuper Dragon Technology Co., Ltd.CHINACID001810
GoldSuZhou ShenChuang recycling Ltd.CHINACID002743
GoldT.C.A S.p.AITALYCID002580
GoldTAIWAN TOTAI CO., LTD.TAIWAN, PROVINCE OF CHINACID001857
GoldTanaka Kikinzoku Kogyo K.K.JAPANCID001875
GoldTokuriki Honten Co., Ltd.JAPANCID001938
GoldTongling Nonferrous Metals Group Co., Ltd.CHINACID001947
GoldTOO Tau-Ken-AltynKAZAKHSTANCID002615
GoldTorecomKOREA, REPUBLIC OFCID001955
GoldTsai Brother industriesTAIWAN, PROVINCE OF CHINACID002745
GoldTSK PretechKOREA, REPUBLIC OFCID003195
GoldUmicore Brasil Ltda.BRAZILCID001977
A-5


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldUmicore Precious Metals ThailandTHAILANDCID002314
GoldUmicore S.A. Business Unit Precious Metals RefiningBELGIUMCID001980
GoldUnited Precious Metal Refining, Inc.UNITED STATES OF AMERICACID001993
GoldUniversal Precious Metals Refining ZambiaZAMBIACID002854
GoldValcambi S.A.SWITZERLANDCID002003
GoldViagra Di precious metals (Zhaoyuan) Co., Ltd.CHINACID002009
GoldWANG TINGCHINACID002023
GoldWestern Australian Mint (T/a The Perth Mint)AUSTRALIACID002030
GoldWIELAND Edelmetalle GmbHGERMANYCID002778
GoldWuzhong GroupCHINACID002063
GoldXiamen JInbo Metal Co., Ltd.CHINACID002076
GoldYamakin Co., Ltd.JAPANCID002100
GoldYamato Denki Ind. Co., Ltd.JAPANCID002102
GoldYokohama Metal Co., Ltd.JAPANCID002129
GoldYunnan Copper Industry Co., Ltd.CHINACID000197
GoldYunnan Gold Mining Group Co., Ltd. (YGMG)CHINACID002491
GoldZhaojun MaifuCHINACID002201
GoldZhe Jiang Guang Yuan Noble Metal Smelting FactoryCHINACID002205
GoldZhongkuang Gold Industry Co., Ltd.CHINACID002214
GoldZhongshan Hyper-Toxic Substance Monopolized Co., Ltd.CHINACID002219
GoldZhongshan Poison Material Proprietary Co., Ltd.CHINACID002221
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCHINACID002224
GoldZhuhai toxic materials Monopoly Ltd.CHINACID002231
GoldZhuzhou Smelting Group Co., LtdCHINACID002529
TantalumANHUI HERRMAN IMPEX CO.CHINACID000059
TantalumAsaka Riken Co., Ltd.JAPANCID000092
TantalumChangsha South Tantalum Niobium Co., Ltd.CHINACID000211
TantalumCP Metals Inc.UNITED STATES OF AMERICACID003402
TantalumD Block Metals, LLCUNITED STATES OF AMERICACID002504
TantalumDuoluoshanCHINACID000410
TantalumExotech Inc.UNITED STATES OF AMERICACID000456
TantalumF&X Electro-Materials Ltd.CHINACID000460
TantalumFIR Metals & Resource Ltd.CHINACID002505
TantalumGlobal Advanced Metals AizuJAPANCID002558
TantalumGlobal Advanced Metals BoyertownUNITED STATES OF AMERICACID002557
TantalumGuangdong Rising Rare Metals-EO Materials Ltd.CHINACID000291
TantalumH.C. Starck Hermsdorf GmbHGERMANYCID002547
A-6


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TantalumH.C. Starck Inc.UNITED STATES OF AMERICACID002548
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CHINACID002492
TantalumHi-Temp Specialty Metals, Inc.UNITED STATES OF AMERICACID000731
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CHINACID002512
TantalumJiangxi Tuohong New Raw MaterialCHINACID002842
TantalumJiujiang Janny New Material Co., Ltd.CHINACID003191
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CHINACID000914
TantalumJiujiang Tanbre Co., Ltd.CHINACID000917
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CHINACID002506
TantalumKEMET Blue PowderUNITED STATES OF AMERICACID002568
TantalumKEMET de MexicoMEXICOCID002539
TantalumKing-Tan Tantalum Industry Ltd.CHINACID000973
TantalumLSM Brasil S.A.BRAZILCID001076
TantalumMeta MaterialsNORTH MACEDONIA, REPUBLIC OFCID002847
TantalumMetallurgical Products India Pvt., Ltd.INDIACID001163
TantalumMineracao Taboca S.A.BRAZILCID001175
TantalumMitsui Mining and Smelting Co., Ltd.JAPANCID001192
TantalumNantong Tongjie Electrical Co., Ltd.CHINACID002386
TantalumNingxia Orient Tantalum Industry Co., Ltd.CHINACID001277
TantalumNPM Silmet ASESTONIACID001200
TantalumPM Kalco IncUNITED STATES OF AMERICACID003396
TantalumQuantumCleanUNITED STATES OF AMERICACID001508
TantalumResind Industria e Comercio Ltda.BRAZILCID002707
TantalumShanghai Jiangxi Metals Co., Ltd.CHINACID001634
TantalumSolikamsk Magnesium Works OAORUSSIAN FEDERATIONCID001769
TantalumTaki Chemical Co., Ltd.JAPANCID001869
TantalumTANIOBIS Co., Ltd.THAILANDCID002544
TantalumTANIOBIS GmbHGERMANYCID002545
TantalumTANIOBIS Japan Co., Ltd.JAPANCID002549
TantalumTANIOBIS Smelting GmbH & Co. KGGERMANYCID002550
TantalumTelex MetalsUNITED STATES OF AMERICACID001891
TantalumTranzact, Inc.UNITED STATES OF AMERICACID002571
TantalumUlba Metallurgical Plant JSCKAZAKHSTANCID001969
TantalumXIMEI RESOURCES (GUANGDONG) LIMITEDCHINACID000616
TantalumXinXing HaoRong Electronic Material Co., Ltd.CHINACID002508
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.CHINACID001522
TantalumYichun Jin Yang Rare Metal Co., Ltd.CHINACID002307
TinAlphaUNITED STATES OF AMERICACID000292
TinAn Thai Minerals Co., Ltd.VIETNAMCID002825
A-7


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TinAn Vinh Joint Stock Mineral Processing CompanyVIETNAMCID002703
TinArco AlloysUNITED STATES OF AMERICACID002809
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CHINACID000228
TinChifeng Dajingzi Tin Industry Co., Ltd.CHINACID003190
TinChina Tin Group Co., Ltd.CHINACID001070
TinChofu WorksJAPANCID002786
TinCNMC (Guangxi) PGMA Co., Ltd.CHINACID000278
TinCooperativa Metalurgica de Rondonia Ltda.BRAZILCID000295
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBRAZILCID003486
TinCRM SynergiesSPAINCID003524
TinCV Ayi JayaINDONESIACID002570
TinCV Dua SekawanINDONESIACID002592
TinCV Gita PesonaINDONESIACID000306
TinCV United SmeltingINDONESIACID000315
TinCV Venus Inti PerkasaINDONESIACID002455
TinDongguan CiEXPO Environmental Engineering Co., Ltd.CHINACID003356
TinDongguan City Xida Soldering Tin Products Co.CHINACID000376
TinDowaJAPANCID000402
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVIETNAMCID002572
TinEM VintoBOLIVIA (PLURINATIONAL STATE OF)CID000438
TinEstanho de Rondonia S.A.BRAZILCID000448
TinFenix MetalsPOLANDCID000468
TinFuji Metal Mining Corp.JAPANCID000498
TinGejiu City Fuxiang Industry and Trade Co., Ltd.CHINACID003410
TinGejiu Fengming Metallurgy Chemical PlantCHINACID002848
TinGejiu Jinye Mineral CompanyCHINACID002859
TinGejiu Kai Meng Industry and Trade LLCCHINACID000942
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CHINACID000538
TinGejiu Yunxi Group Corp.CHINACID000553
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CHINACID001908
TinGejiu Zili Mining And Metallurgy Co., Ltd.CHINACID000555
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.CHINACID003116
TinGUANGXI HUA TIN GOLD MINUTE FEE, LTD.CHINACID002274
TinGuangxi Nonferrous Metals GroupCHINACID000626
TinGuangxi Zhongshan Jin Yi Smelting Co., Ltd.CHINACID000628
A-8


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TinGuanyang Guida Nonferrous Metal Smelting PlantCHINACID002849
TinHezhou Jinwei Tin Co., Ltd.CHINACID000720
TinHongqiao Metals (Kunshan) Co., Ltd.CHINACID002635
TinHuiChang Hill Tin Industry Co., Ltd.CHINACID002844
TinHuichang Jinshunda Tin Co., Ltd.CHINACID000760
TinHulterworth SmelterCHINACID002365
TinJiang Jia Wang Technology Co.CHINACID000840
TinJiangxi Ketai Advanced Material Co., Ltd.CHINACID000244
TinJiangxi New Nanshan Technology Ltd.CHINACID001231
TinJiangxi Yaosheng Tungsten Co., Ltd.CHINACID002819
TinJu Tai Industrial Co., Ltd.CHINACID000934
TinLIAN JINGCHINACID002281
TinLuna Smelter, Ltd.RWANDACID003387
TinM/s ECO Tropical ResourcesSINGAPORECID002382
TinMa An Shan Shu Guang Smelter Corp.CHINACID001098
TinMa'anshan Weitai Tin Co., Ltd.CHINACID003379
TinMagnu's Minerais Metais e Ligas Ltda.BRAZILCID002468
TinMalaysia Smelting Corporation (MSC)MALAYSIACID001105
TinMaterials Eco-Refining Co., Ltd.JAPANCID001112
TinMelt Metais e Ligas S.A.BRAZILCID002500
TinMetahub Industries Sdn. Bhd.MALAYSIACID001136
TinMetallic Resources, Inc.UNITED STATES OF AMERICACID001142
TinMetallo Belgium N.V.BELGIUMCID002773
TinMetallo Spain S.L.U.SPAINCID002774
TinMetallum Group Holding NVBELGIUMCID001143
TinMinchali Metal Industry Co., Ltd.TAIWAN, PROVINCE OF CHINACID001172
TinMineracao Taboca S.A.BRAZILCID001173
TinMing Li Jia smelt Metal FactoryCHINACID001177
TinMinsurPERUCID001182
TinMitsubishi Materials CorporationJAPANCID001191
TinModeltech Sdn BhdMALAYSIACID002858
TinNey Metals and AlloysUNITED STATES OF AMERICACID001246
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyVIETNAMCID002573
TinNovosibirsk Processing Plant Ltd.RUSSIAN FEDERATIONCID001305
TinO.M. Manufacturing (Thailand) Co., Ltd.THAILANDCID001314
TinO.M. Manufacturing Philippines, Inc.PHILIPPINESCID002517
TinOld City Metals Processing Co., Ltd.CHINACID001332
TinOMODEO A. E S. METALLEGHE SRLITALYCID003395
TinOperaciones Metalurgicas S.A.BOLIVIA (PLURINATIONAL STATE OF)CID001337
TinPan Light CorporationTAIWAN, PROVINCE OF CHINACID001356
TinPongpipat Company LimitedMYANMARCID003208
A-9


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TinPrecious Minerals and Smelting LimitedINDIACID003409
TinPT Aries Kencana SejahteraINDONESIACID000309
TinPT Artha Cipta LanggengINDONESIACID001399
TinPT ATD Makmur Mandiri JayaINDONESIACID002503
TinPT Babel Inti PerkasaINDONESIACID001402
TinPT Babel Surya Alam LestariINDONESIACID001406
TinPT Bangka Prima TinINDONESIACID002776
TinPT Bangka SerumpunINDONESIACID003205
TinPT Bangka Tin IndustryINDONESIACID001419
TinPT Belitung Industri SejahteraINDONESIACID001421
TinPT Bukit TimahINDONESIACID001428
TinPT Cipta Persada MuliaINDONESIACID002696
TinPT DS Jaya AbadiINDONESIACID001434
TinPT Eunindo Usaha MandiriINDONESIACID001438
TinPT Inti Stania PrimaINDONESIACID002530
TinPT JustindoINDONESIACID000307
TinPT Karimun MiningINDONESIACID001448
TinPT Kijang Jaya MandiriINDONESIACID002829
TinPT Lautan Harmonis SejahteraINDONESIACID002870
TinPT Menara Cipta MuliaINDONESIACID002835
TinPT Mitra Stania PrimaINDONESIACID001453
TinPT Mitra Sukses GlobalindoINDONESIACID003449
TinPT NATARIINDONESIACID001456
TinPT O.M. IndonesiaINDONESIACID002757
TinPT Panca Mega PersadaINDONESIACID001457
TinPT Premium Tin IndonesiaINDONESIACID000313
TinPT Prima Timah UtamaINDONESIACID001458
TinPT Rajawali Rimba PerkasaINDONESIACID003381
TinPT Rajehan AriqINDONESIACID002593
TinPT Refined Bangka TinINDONESIACID001460
TinPT Sariwiguna BinasentosaINDONESIACID001463
TinPT Stanindo Inti PerkasaINDONESIACID001468
TinPT Sukses Inti MakmurINDONESIACID002816
TinPT Sumber Jaya IndahINDONESIACID001471
TinPT Timah NusantaraINDONESIACID001486
TinPT Timah Tbk KundurINDONESIACID001477
TinPT Timah Tbk MentokINDONESIACID001482
TinPT Tinindo Inter NusaINDONESIACID001490
TinPT Tirus Putra MandiriINDONESIACID002478
TinPT Tommy UtamaINDONESIACID001493
TinPT Wahana Perkit JayaINDONESIACID002479
TinResind Industria e Comercio Ltda.BRAZILCID002706
A-10


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TinRui Da HungTAIWAN, PROVINCE OF CHINACID001539
TinShan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd.CHINACID001606
TinShenzhen Hong Chang Metal Manufacturing FactoryCHINACID001694
TinSichuan Guanghan Jiangnan casting smeltersCHINACID001731
TinSigma Tin Alloy Co., Ltd.CHINACID002408
TinSizer Metals PTESINGAPORECID001748
TinSoft Metais Ltda.BRAZILCID001758
TinSolder Court Ltd.CHINACID002436
TinSpectro Alloys Corp.UNITED STATES OF AMERICACID002411
TinSuper LigasBRAZILCID002756
TinSuzhou Nuonengda Chemical Co., Ltd.CHINACID001822
TinTaicang City Nancang Metal Material Co., Ltd.CHINACID001845
TinTaiwan high-tech Co., Ltd.TAIWAN, PROVINCE OF CHINACID001851
TinTaiwan HuanliangTAIWAN, PROVINCE OF CHINACID001852
TinTaiwan's lofty Enterprises Ltd.TAIWAN, PROVINCE OF CHINACID001859
TinTAPUNITED STATES OF AMERICACID001882
TinThai Nguyen Mining and Metallurgy Co., Ltd.VIETNAMCID002834
TinThailand Mine FactoryTHAILANDCID001897
TinThaisarcoTHAILANDCID001898
TinThree green surface technology limited companyCHINACID001920
TinTianshui Ling Bo Technology Co., Ltd.CHINACID001929
TinTIN PLATING GEJIUCHINACID001932
TinTin Technology & RefiningUNITED STATES OF AMERICACID003325
TinTONG LONGCHINACID001943
TinTop-Team Technology (Shenzhen) Ltd.CHINACID001954
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyVIETNAMCID002574
TinUntracore Co., Ltd.THAILANDCID001998
TinVQB Mineral and Trading Group JSCVIETNAMCID002015
TinWELLEYTAIWAN, PROVINCE OF CHINACID002027
TinWhite Solder Metalurgia e Mineracao Ltda.BRAZILCID002036
TinWUJIANG CITY LUXE TIN FACTORYCHINACID002057
TinXiamen Honglu Tungsten Molybdenum Co., Ltd.CHINACID002428
TinXianghualing Tin Industry Co., Ltd.CHINACID002946
TinXin Furukawa Metal (Wuxi) Co., Ltd.CHINACID002090
TinXURICHINACID002099
TinYifeng TinCHINACID002121
TinYiquan ManufacturingCHINACID002123
TinYuecheng Tin Co., Ltd.CHINACID002147
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CHINACID002158
A-11


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TinYunnan Chengo Electric Smelting PlantCHINACID002162
TinYunnan Copper Zinc Industry Co., Ltd.CHINACID002164
TinYunnan Geiju Smelting Corp.CHINACID002166
TinYunnan Industrial Co., Ltd.CHINACID002173
TinYunnan Malipo Baiyi Kuangye Co.CHINACID002309
TinYunnan Tin Company LimitedCHINACID002180
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CHINACID003397
TinZhongshan Jinye Smelting Co.,LtdCHINACID002220
TungstenA.L.M.T. Corp.JAPANCID000004
TungstenACL Metais EireliBRAZILCID002833
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BRAZILCID003427
TungstenArtek LLCRUSSIAN FEDERATIONCID003553
TungstenAsia Tungsten Products Vietnam Ltd.VIETNAMCID002502
TungstenChenzhou Diamond Tungsten Products Co., Ltd.CHINACID002513
TungstenChina Molybdenum Tungsten Co., Ltd.CHINACID002641
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CHINACID000258
TungstenCNMC (Guangxi) PGMA Co., Ltd.CHINACID000281
TungstenCP Metals Inc.UNITED STATES OF AMERICACID003448
TungstenCronimet Brasil LtdaBRAZILCID003468
TungstenDAIDO STEELJAPANCID002349
TungstenFujian Ganmin RareMetal Co., Ltd.CHINACID003401
TungstenFujian Jinxin Tungsten Co., Ltd.CHINACID000499
TungstenGanzhou Beseem Ferrotungsten Co., Ltd.CHINACID002644
TungstenGanzhou Haichuang Tungsten Co., Ltd.CHINACID002645
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.CHINACID000875
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CHINACID002315
TungstenGanzhou Seadragon W & Mo Co., Ltd.CHINACID002494
TungstenGanzhou Yatai Tungsten Co., Ltd.CHINACID002536
TungstenGEM Co., Ltd.CHINACID003417
TungstenGlobal Tungsten & Powders Corp.UNITED STATES OF AMERICACID000568
TungstenGuangdong Xianglu Tungsten Co., Ltd.CHINACID000218
TungstenH.C. Starck Tungsten GmbHGERMANYCID002541
TungstenHunan Chenzhou Mining Co., Ltd.CHINACID000766
TungstenHunan Chuangda Vanadium Tungsten Co., Ltd. WujiCHINACID002579
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.CHINACID000769
TungstenHunan Litian Tungsten Industry Co., Ltd.CHINACID003182
TungstenHydrometallurg, JSCRUSSIAN FEDERATIONCID002649
TungstenJapan New Metals Co., Ltd.JAPANCID000825
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CHINACID002551
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CHINACID002321
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CHINACID002313
A-12


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CHINACID002318
TungstenJiangxi Xianglu Tungsten Co., Ltd.CHINACID002647
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CHINACID002317
TungstenJiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.CHINACID002535
TungstenJiangxi Yaosheng Tungsten Co., Ltd.CHINACID002316
TungstenJSC "Kirovgrad Hard Alloys Plant"RUSSIAN FEDERATIONCID003408
TungstenKennametal FallonUNITED STATES OF AMERICACID000966
TungstenKennametal HuntsvilleUNITED STATES OF AMERICACID000105
TungstenKGETS Co., Ltd.KOREA, REPUBLIC OFCID003388
TungstenLianyou Metals Co., Ltd.TAIWAN, PROVINCE OF CHINACID003407
TungstenMalipo Haiyu Tungsten Co., Ltd.CHINACID002319
TungstenMasan High-Tech MaterialsVIETNAMCID002543
TungstenMehra Ferro-Alloys Pvt. Ltd.INDIACID002652
TungstenMoliren Ltd.RUSSIAN FEDERATIONCID002845
TungstenNiagara Refining LLCUNITED STATES OF AMERICACID002589
TungstenNPP Tyazhmetprom LLCRUSSIAN FEDERATIONCID003416
TungstenPhilippine Chuangxin Industrial Co., Inc.PHILIPPINESCID002827
TungstenSouth-East Nonferrous Metal Company Limited of Hengyang CityCHINACID002815
TungstenTANIOBIS Smelting GmbH & Co. KGGERMANYCID002542
TungstenTejing (Vietnam) Tungsten Co., Ltd.VIETNAMCID001889
TungstenToshiba Material Co., Ltd.JAPANCID002423
TungstenTungsten Diversified Industries LLCUNITED STATES OF AMERICACID002659
TungstenUnecha Refractory metals plantRUSSIAN FEDERATIONCID002724
TungstenVietnam Youngsun Tungsten Industry Co., Ltd.VIETNAMCID002011
TungstenWolfram Bergbau und Hutten AGAUSTRIACID002044
TungstenWoltech Korea Co., Ltd.KOREA, REPUBLIC OFCID002843
TungstenXiamen Tungsten (H.C.) Co., Ltd.CHINACID002320
TungstenXiamen Tungsten Co., Ltd.CHINACID002082
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CHINACID002830
TungstenXinhai Rendan Shaoguan Tungsten Co., Ltd.CHINACID002095
TungstenZhangzhou Chuen Bao Apt Smeltery Co., Ltd.CHINACID002195

A-13