Document

0001580808-20-000044.txt : 20200528 0001580808-20-000044.hdr.sgml : 20200528 20200527180334 ACCESSION NUMBER: 0001580808-20-000044 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2

13p-1

1.01 20200527

1.02 20200527

FILED AS OF DATE: 20200528 DATE AS OF CHANGE: 20200527 FILER: COMPANY DATA: COMPANY CONFORMED NAME: A10 Networks, Inc. CENTRAL INDEX KEY: 0001580808 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 201446869 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 20916461 BUSINESS ADDRESS: STREET 1: 2300 ORCHARD PKWY CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: (408) 325-8668 MAIL ADDRESS: STREET 1: 2300 ORCHARD PKWY CITY: SAN JOSE STATE: CA ZIP: 95131 SD 1 formsd5272020.htm SD Document

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

____________________________________________________________________________

FORM SD

____________________________________________________________________________

Specialized Disclosure Report

____________________________________________________________________________

A10 NETWORKS, INC.

(Exact name of the registrant as specified in its charter)

____________________________________________________________________________


Delaware	001-36343	20-1446869
(State or Other Jurisdiction of Incorporation or Organization)	(Commission File Number)	(I.R.S. Employer Identification Number)

2300 Orchard Parkway

San Jose, CA 95131

(Address of principal executive offices, including zip code)

Robert Cochran (408) 325-8668

(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, 2019.

Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

The Company has filed a Conflict Minerals Report filed as Exhibit 1.01 hereto and it is publicly available at https://investors.a10networks.com/corporate-governance/governance-documents/default.aspx. The content of our website as referred to in this Form SD is included for general information only and is not incorporated by reference into this Form SD.

Conflict Minerals Disclosures

(a) The Company conducted a Reasonable Country of Origin Inquiry (“RCOI”) as required by Item 1.01(a) of Form SD. The RCOI began with a multi-department initiative that scoped and evaluated the Company’s product line to determine which suppliers provide the Company with manufactured or contracted to be manufactured products. The Company then looked on a product-by-product level to determine which of these products were most likely to contain Conflict Minerals that are “necessary to the functionality or production” of the product, or are otherwise sourced from recycled or scrap materials. Suppliers of such products (other than those sourced from recycled or scrap materials) were next identified and surveyed using the basic EICC/GeSI Conflict Minerals Reporting Template or, where appropriate, a custom-designed form. Follow-up was undertaken with those suppliers who provided incomplete forms or were otherwise non-responsive. The Company then evaluated the information provided from suppliers to assess completeness and reliability of the data collected. On the basis of this inquiry and evaluation, the Company was unable to conclude that none of the Conflict Minerals contained in its products originated in the Democratic Republic of Congo or adjoining countries (the “Covered Countries”).

(b) On the basis of its RCOI undertaking, the Company could not conclude that (i) the necessary Conflict Minerals in its products did not originate in the Covered Countries, or (ii) it has no reason to believe that its necessary Conflict Minerals may have originated in the Covered Countries, or (iii) it reasonably believes that all of the necessary Conflict Minerals in its products did come from recycled or scrap sources. Given that the results of its RCOI efforts were inconclusive, the Company proceeded to the due diligence stage of the inquiry as required by Form SD and has filed herewith a Conflict Minerals Report, which is attached as Exhibit 1.01 to this Form SD.

Item 1.02 Exhibits

A copy of the Company’s Conflict Minerals Report is provided as Exhibit 1.01 hereto.

Section 2 - Exhibits

Item 2.01 Exhibits

The following exhibit is filed as part of this report:

Exhibit 1.01 - Conflict Minerals Report for the reporting period January 1, 2019 through December 31, 2019, as required by Items 1.01 and 1.02 of this Form.

EXHIBIT INDEX


Exhibit No.			Description
1.01			Conflict Minerals Report for the reporting period January 1, 2019 through December 31, 2019

SIGNATURE

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 undersigned hereunto duly authorized.

Date: May 27, 2020


			A10 NETWORKS, INC.
			By: /s/ Robert Cochran
			Robert Cochran
			Executive Vice President, Legal and Corporate Collaboration

EX-1.01 2 exhibit101cmr2019formsd527.htm EX-1.01 Document

Exhibit 1.01

Conflict Minerals Report of A10 Networks, Inc.

in Accordance with Rule 13p-1 under the Securities Exchange Act of 1934

This Conflict Minerals Report of A10 Networks, Inc. (the “Company”, “us”, “our” or “we”) for calendar year 2019 is provided in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”), the instructions to Form SD, and the Public Statement on the Effect of the Recent Court of Appeals Decision on the Conflict Minerals Rule issued by the Director of the Division of Corporation Finance of the Securities and Exchange Commission on April 29, 2014 (the “SEC Statement”). The Company notes the Updated Statement on the Effect of the Court of Appeals Decision on the Conflict Minerals Rule issued by the SEC Division of Corporation Finance on April 7, 2017. Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise defined herein.

This Report outlines the steps we undertook in accordance with Rule 13p-1, Form SD, and the SEC Statement in connection with the existence of Conflict Minerals in products we manufacture or contract to manufacture. Our diligence measures were designed to adhere, in all material respects, with the nationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplement on Tin, Tantalum and Tungsten and the Gold Supplement (Second Edition OECD 2013) (the “OECD Framework”).

Introduction

We are a leading provider of secure application solutions and services that enable a new generation of intelligently connected companies with the ability to continuously improve cyber protection and digital responsiveness across dynamic Information Technology (“IT”) and network infrastructures. Our portfolio of software and hardware solutions combines industry-leading performance and scale with advanced intelligent automation, machine learning, data driven analytics, and threat intelligence to ensure security and availability of customer applications across their multi-cloud and mobile infrastructure networks, including on-premise, private and public clouds. As the cyber threat landscape intensifies and network architectures evolve, we are committed to providing customers with greater connected intelligence to improve the security, visibility, automation, availability, flexibility, management and performance of their applications. Our customers include leading cloud providers, web-scale businesses, service providers, government organizations, and enterprises. We currently offer a comprehensive portfolio of application delivery and security solutions. The portfolio features application delivery controllers (ADC) to optimize and secure network and application performance; a carrier-grade network address translation (CGN) solution that helps service providers preserve IPv4 address investments while transitioning to IPv6-based networks; Threat Protection System (TPS), the industry’s most powerful distributed-denial-of-service (DDoS) protection and mitigation solution; a SSL decryption solution for inspecting encrypted traffic (SSLi); and convergent firewall (CFW) appliances for protecting data centers, service provider networks and mobile infrastructures. We deliver these solutions via software, on optimized hardware appliances or as virtual appliances with our Thunder product line. For modern microservices and container-based environments, the A10 Lightning portfolio provides cloud-native application traffic management, security and analytics in public, private and hybrid clouds.

We outsource the manufacturing of our hardware products to original design manufacturers. These companies manufacture, assemble and test our hardware products using design specifications, quality assurance programs and standards that we establish. The component parts incorporated into our products are sourced either by our manufacturing partners or directly by us.

Our position in the supply chain is as a remote downstream purchaser and supplier, several levels removed from the actual mining of the Conflict Minerals. We do not directly make purchases of raw ore or unrefined Conflict Minerals from the Covered Countries and we do not directly source any products or components from the Covered Countries. In light of our remote position in the supply chain, we must rely upon our suppliers (and their multiple sub-suppliers and intermediaries) for information on and verification of the chain of custody of Conflict Minerals contained in our products.

Enumerated paragraphs set out below conform to the Instructions set forth in Item 1.01(c) of Form SD.

(1) Due Diligence

After conducting a “reasonable country of origin inquiry” (“RCOI”) in accordance with the instructions to Item 1.01 of Form SD (and as disclosed in our Report on Form SD for the year ended December 31, 2019), the Company was unable to conclude, without further diligence, that none of the Conflict Minerals in its products, that were not sourced from recycled or scrap materials, did not originate in the Covered Countries.

(i) Conformity with OECD Framework. In accordance with Rule 13p-1, we designed our Conflict Mineral Compliance Program to conform, in all material respects, with the five-step process outlined in the OECD Framework. In addition, our diligence measures relied upon information and templates obtained from the Electronic Industry Citizenship Coalition and Global e-Sustainability (“EICC/GeSI”) Initiative with the smelters and refiners of Conflict Minerals. The five-step process identified within the OECD Framework includes: (1) establishing strong company management systems; (2) identifying and assessing supply chain risk; (3) designing and implementing a risk response strategy; (4) third party auditing of our due diligence practices; and (5) reporting annually on supply chain due diligence. This Conflict Minerals Report outlines the measures taken by us in accordance with the OECD Framework during the reporting period.

(1) Established Strong Company Management Systems

We established an interdepartmental committee (the “Committee”) to develop the Company’s assessment and compliance process, with oversight from senior management (including members of the Company’s Legal, Finance and Global Supply Chain departments).

•Through the Committee, we identified and educated relevant internal departments or personnel affected, including in Sourcing, Legal and Compliance, Finance/Internal Audit, and Supplier Relations.

•We adopted a Supply Chain Policy (the “Policy”) relating to responsible sourcing.

•Through our Supplier Relations personnel, communicated with our suppliers and prospective suppliers via direct correspondence and telephone calls to inform them of (i) our Policy, and (ii) our intent to continue to work with them as reasonably practicable given our supply chain position and market leverage for increased understanding of the use of Conflict Minerals within our supply chain and to obtain wherever possible their commitment to facilitate our compliance with applicable law.

•Confirmed that purchase order terms and conditions should be conformed where practicable to the Policy, recognizing that many of our suppliers demand terms and conditions and use standard forms with respect to which we have no leverage or ability to alter.

•Established a process to evaluate the chain of custody of Conflict Minerals within our supply chain, including:

◦Analyzing our existing product offerings annually for scoping within the context of the Rule.

◦Developing an internal process to evaluate new products as developed to minimize the introduction of Conflict Minerals into our supply chain where possible.

•Implemented a feedback mechanism through the Company’s Supplier Relations team to work with suppliers.

(2) Identified and Assessed Supply Chain Risk through Due Diligence

Step 1 Our Supplier Relations team reviewed our product offerings to determine which suppliers provide the Company with manufactured or contracted to be manufactured products. We determined that 2 suppliers were relevant to this process.

Step 2 Our Supplier Relations team then determined which manufactured & contracted to be manufactured products may contain Conflict Minerals that are “necessary to the functionality or production” of the product.

Step 3 Under the Committee’s direction, our Supplier Relations staff conducted a due diligence assessment of relevant product suppliers in accordance with the following:

•We designed and implemented a due diligence program for supplier outreach and engagement that involved (i) developing a contact list of relevant suppliers and (ii) communicating with them to obtain information on the chain of custody and source of origin of Conflict Minerals in supplied products. Our due diligence consisted of providing each supplier with the EICC/GeSI Conflict Minerals Reporting Template (the “Template”) to obtain the necessary information and certifications from our suppliers. For certain suppliers that found the Template unwieldy, we provided a custom form where necessary to elicit the same information. We received responses from 9 of our suppliers for the reporting period.

Step 4 Our Supplier Relations team, with guidance from the Committee, analyzed the results of the Supplier survey forms that were returned to us. We reviewed the survey responses from each supplier to determine whether the data provided was complete or whether further follow-up was required. Follow-up was conducted by phone calls and emails, as necessary. Our staff compared the smelters and refiners identified by the suppliers on the survey forms with the EICC/GeSI Conflict Free Smelter Initiative (“CFSI”) list of conflict-free smelters and refiners as well as with the Department of Commerce list of “World-Wide Conflict Mineral Processing Facilities” issued in September 2014 (the “DOC Smelter List”). The results of that comparison are set forth on Appendix A to this Conflict Mineral Report.

(3) Developed and Implemented a Risk Response Strategy

In analyzing the results from our supply chain diligence, we recognized that certain risks exist in our supply chain that require further follow-up and mitigation efforts. We have established the following plan for risk mitigation, which we review periodically for relevance and effectiveness.

Year 1 (Calendar Year 2014)

•Conduct base line analysis of responses from first-tier suppliers.

•Compare the smelters and refiners identified in the supply chain survey against the list of smelter facilities which have been identified as “conflict free” by programs such as CSFI for tantalum, tin, tungsten and gold, and otherwise identified on the DOC List.

•Identify gaps in the data collection and high-risk suppliers, and continue to follow-up with suppliers as practicable.

Year 2+ (Calendar Year 2015)

•Communicate survey results to our suppliers of relevant products.

•Continue efforts in supplier education and outreach, including additional diligence with suppliers providing incomplete data.

•Add third-party reporting customer requests to supplier survey.

•Follow-up on remediation efforts to obtain complete and accurate chain of custody information where possible to identify smelters/refiners of origin.

Year 3 (Calendar Year 2016)

•Develop and implement a progressive performance improvement plan for suppliers on an as-needed basis.

(4) Third Party Audit of Due Diligence Practices

This Report has not been subject to an independent private sector audit in accordance with the SEC Statement.

(5) Report Annually on Supply Chain Due Diligence

The Company's Form SD and Conflict Mineral Report for calendar year 2019, together with our Supply Chain Policy Statement, are posted on our website at: http://investors.a10networks.com/docs.aspx?iid=4433033.

(ii) Independent Third Party Audit.

This Report has not been subject to an independent private sector audit in accordance with the SEC Statement.

(iii) Summary of Diligence Results; Risk Mitigation Efforts

Tracing materials back to their mine of origin is a complex aspect of responsible sourcing in our supply chain. Our position as a remote downstream purchaser and supplier requires us to depend substantially on the cooperation of our suppliers and their numerous sub-suppliers, many of which are not subject to SEC reporting requirements and with whom we have limited leverage due to our size, market position and available resources. As a result, we expect it may take us several years before we are able to identify all smelters and refiners in our supply chain.

In conducting our diligence, we have adopted methodology outlined by the CFSI’s joint industry programs and outreach initiatives and have encouraged our suppliers to conform with the standards set forth in the OECD Framework and report to us using the Template or, where appropriate, our custom-designed form. We conducted follow-up calls and correspondence with suppliers where information was incomplete, unreliable or unverifiable. We identified 326 smelters and refiners of Conflict Minerals in our supply chain, and the related countries of origin, as set forth on Appendix A.

We are continuing our efforts to determine the smelters and refiners used by our supply chain and to verify the most reasonable known mine of origin information available. Through this effort, we have made a reasonable determination of certain of the mines or locations of origin of certain of the Conflict Minerals in our supply chain as indicated on Appendix A. We have also requested that all of our suppliers support the industry-wide initiative by adopting policies and procedures consistent with the EICC/GeSI sourcing initiative and by working to align their sources with the lists of conflict-free sourced metals.

The CFSI program audits smelters and refineries to ensure that all certified smelters and refineries only use the ones that are conflict-free from the Covered Countries. The DOC List is more expansive and includes “verified” smelters and refiners, which may or may not be certified as conflict-free. Of the suppliers we surveyed, 100% fully responded to our due diligence survey. We are continuing to compile the names of smelters and refineries identified by those vendors who did respond and are working to verify the information provided. Certain of our

vendors indicated that not all of their smelters and refineries have been certified as conflict-free and we are continuing our diligence to this verify this information.

(iv) See disclosure under paragraph (ii) above.

(v) Not applicable.

(vi) Not applicable.

(2) Product Description

The Company’s relevant product categories for products containing tin, tungsten, tantalum and gold, other than those sourced from scrap or recycled materials, are as follows:

•Thunder Series appliances

•aGalaxy appliances

•Harmony Controller appliances

The Company’s efforts to determine the smelters, refiners, mines and locations of origin of the Conflict Minerals in its products is described above under paragraphs (i) and (iii).

Conclusion

Due to the breadth and scope of the Company’s product categories, the resulting complexity of its supply chain, and the human and financial resources available to the Company, the Company acknowledges that the process of successfully tracing all of the Conflict Minerals used in its manufactured or contracted to manufacture products to their country of origin will take additional time and resources, likely several years. Moving forward, the Company will continue to implement commercially reasonable processes to improve the quantity and quality of supplier responses, verify supplier responses provided, and evaluate new product lines as developed to eliminate the introduction of Conflict Minerals into the supply chain where practicable.

The success of A10 Networks, Inc. in making determinations about the presence and source of Conflict Minerals in its products depends upon various factors including, but not limited to, the respective due diligence efforts of its suppliers and their supply chain and their respective willingness, whether public or private entities, to disclose such information to the Company, and the ability of the involved entities in making their determinations in accordance with nationally or internationally recognized standards, including the OECD Framework and other initiatives or guidance that may develop over time. The failure to obtain reliable information from any level of our supply chain could have a material impact on our future ability to report on the presence of Conflict Minerals with any degree of certainty. There can be no assurance that our suppliers will continue to cooperate with diligence inquiries and requests for certifications or provide documentation or other evidence that we consider reliable or provided to us within a time frame sufficient to allow us to make our own assessment following appropriate further diligence measures, if any.

The information provided in this Conflict Mineral Report speaks only as of its date. Subsequent events, including the inability or unwillingness of participants in our supply chain to comply with our Policy or provide complete and accurate information requested, may affect our future determinations under Rule 13p-1.

APPENDIX A

List of Smelters and Refiners in Our Supply Chain

Metal

Smelter Name

Smelter Country

Smelter Identification

CFSI

DOC

Tungsten

A.L.M.T. Corp.

JAPAN

CID000004

Audited

Gold

Advanced Chemical Company

UNITED STATES OF AMERICA

CID000015

Audited

Gold

Aida Chemical Industries Co., Ltd.

JAPAN

CID000019

Audited

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

CID000035

Audited

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

CID000041

Audited

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

BRAZIL

CID000058

Audited

Gold

Argor-Heraeus S.A.

SWITZERLAND

CID000077

Audited

Gold

Asahi Pretec Corp.

JAPAN

CID000082

Audited

Gold

Asaka Riken Co., Ltd.

JAPAN

CID000090

Audited

Tantalum

Asaka Riken Co., Ltd.

JAPAN

CID000092

Audited

Tungsten

Kennametal Huntsville

UNITED STATES OF AMERICA

CID000105

Audited

Gold

Aurubis AG

GERMANY

CID000113

Audited

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

CID000128

Audited

Gold

Boliden AB

SWEDEN

CID000157

Audited

Gold

C. Hafner GmbH + Co. KG

GERMANY

CID000176

Audited

Gold

Caridad

MEXICO

CID000180

Gold

CCR Refinery - Glencore Canada Corporation

CANADA

CID000185

Audited

Gold

Cendres + Metaux S.A.

SWITZERLAND

CID000189

Audited

Gold

Yunnan Copper Industry Co., Ltd.

CHINA

CID000197

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

CID000211

Audited

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

CID000218

Audited

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

CID000228

Audited

Gold

Chimet S.p.A.

ITALY

CID000233

Audited

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

CHINA

CID000244

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

CID000258

Audited

Gold

Chugai Mining

JAPAN

CID000264

Audited

Tantalum

Guangdong Rising Rare Metals-EO Materials Ltd.

CHINA

CID000291

Audited

Tin

Alpha

UNITED STATES OF AMERICA

CID000292

Audited

Tin

Cooperativa Metalurgica de Rondônia Ltda.

BRAZIL

CID000295

Tin

CV Gita Pesona

INDONESIA

CID000306

Audited

Tin

PT Aries Kencana Sejahtera

INDONESIA

CID000309

Audited

Tin

PT Premium Tin Indonesia

INDONESIA

CID000313

Audited

Tin

CV United Smelting

INDONESIA

CID000315

Audited

Gold

Daejin Indus Co., Ltd.

KOREA, REPUBLIC OF

CID000328

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

CID000343

Gold

DSC (Do Sung Corporation)

KOREA, REPUBLIC OF

CID000359

Audited

Gold

DODUCO Contacts and Refining GmbH

GERMANY

CID000362

Audited

Gold

Dowa

JAPAN

CID000401

Audited

Tin

Dowa

JAPAN

CID000402

Audited

Tantalum

Duoluoshan

CHINA

CID000410

Gold

Eco-System Recycling Co., Ltd.

JAPAN

CID000425

Audited

Tin

EM Vinto

BOLIVIA (PLURINATIONAL STATE OF)

CID000438

Audited

Tin

Estanho de Rondonia S.A.

BRAZIL

CID000448

Tantalum

Exotech Inc.

UNITED STATES OF AMERICA

CID000456

Audited

Tantalum

F&X Electro-Materials Ltd.

CHINA

CID000460

Audited

Tin

Fenix Metals

POLAND

CID000468

Audited

Gold

OJSC Novosibirsk Refinery

RUSSIAN FEDERATION

CID000493

Audited

Tungsten

Fujian Jinxin Tungsten Co., Ltd.

CHINA

CID000499

Audited

Gold

Refinery of Seemine Gold Co., Ltd.

CHINA

CID000522

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

CID000538

Audited

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

CHINA

CID000555

Audited

Tungsten

Global Tungsten & Powders Corp.

UNITED STATES OF AMERICA

CID000568

Audited

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

CID000616

Audited

Gold

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

CHINA

CID000651

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

CID000671

Gold

HeeSung Metal Ltd.

KOREA, REPUBLIC OF

CID000689

Audited

Gold

Heimerle + Meule GmbH

GERMANY

CID000694

Audited

Gold

Heraeus Metals Hong Kong Ltd.

CHINA

CID000707

Audited

Gold

Heraeus Precious Metals GmbH & Co. KG

GERMANY

CID000711

Audited

Tantalum

Hi-Temp Specialty Metals, Inc.

UNITED STATES OF AMERICA

CID000731

Tin

Huichang Jinshunda Tin Co., Ltd.

CHINA

CID000760

Audited

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CHINA

CID000766

Audited

Gold

Hunan Chenzhou Mining Co., Ltd.

CHINA

CID000767

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

CID000769

Audited

Gold

HwaSeong CJ CO., LTD.

KOREA, REPUBLIC OF

CID000778

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

CHINA

CID000801

Audited

Gold

Ishifuku Metal Industry Co., Ltd.

JAPAN

CID000807

Audited

Gold

Istanbul Gold Refinery

TURKEY

CID000814

Audited

Gold

Japan Mint

JAPAN

CID000823

Audited

Tungsten

Japan New Metals Co., Ltd.

JAPAN

CID000825

Audited

Gold

Jiangxi Copper Co., Ltd.

CHINA

CID000855

Audited

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

CID000875

Audited

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

CID000914

Audited

Tantalum

Jiujiang Tanbre Co., Ltd.

CHINA

CID000917

Audited

Gold

Asahi Refining USA Inc.

UNITED STATES OF AMERICA

CID000920

Audited

Gold

Asahi Refining Canada Ltd.

CANADA

CID000924

Audited

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

CID000927

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

CID000929

Audited

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

CID000937

Audited

Tin

Gejiu Kai Meng Industry and Trade LLC

CHINA

CID000942

Audited

Gold

Kazakhmys Smelting LLC

KAZAKHSTAN

CID000956

Gold

Kazzinc

KAZAKHSTAN

CID000957

Audited

Tungsten

Kennametal Fallon

UNITED STATES OF AMERICA

CID000966

Audited

Gold

Kennecott Utah Copper LLC

UNITED STATES OF AMERICA

CID000969

Audited

Gold

Kojima Chemicals Co., Ltd.

JAPAN

CID000981

Audited

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

CID001029

Audited

Gold

L'azurde Company For Jewelry

SAUDI ARABIA

CID001032

Gold

Lingbao Gold Co., Ltd.

CHINA

CID001056

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CHINA

CID001058

Tin

China Tin Group Co., Ltd.

CHINA

CID001070

Audited

Tantalum

LSM Brasil S.A.

BRAZIL

CID001076

Audited

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

CID001078

Audited

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CHINA

CID001093

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

CID001105

Audited

Gold

Materion

UNITED STATES OF AMERICA

CID001113

Audited

Gold

Matsuda Sangyo Co., Ltd.

JAPAN

CID001119

Audited

Tin

Metallic Resources, Inc.

UNITED STATES OF AMERICA

CID001142

Audited

Gold

Metalor Technologies (Suzhou) Ltd.

CHINA

CID001147

Audited

Gold

Metalor Technologies (Hong Kong) Ltd.

CHINA

CID001149

Audited

Gold

Metalor Technologies (Singapore) Pte., Ltd.

SINGAPORE

CID001152

Audited

Gold

Metalor Technologies S.A.

SWITZERLAND

CID001153

Audited

Gold

Metalor USA Refining Corporation

UNITED STATES OF AMERICA

CID001157

Audited

Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

MEXICO

CID001161

Audited

Tantalum

Metallurgical Products India Pvt., Ltd.

INDIA

CID001163

Audited

Tin

Mineracao Taboca S.A.

BRAZIL

CID001173

Audited

Tantalum

Mineracao Taboca S.A.

BRAZIL

CID001175

Audited

Tin

Minsur

PERU

CID001182

Audited

Gold

Mitsubishi Materials Corporation

JAPAN

CID001188

Audited

Tin

Mitsubishi Materials Corporation

JAPAN

CID001191

Audited

Tantalum

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001192

Audited

Gold

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001193

Audited

Tantalum

NPM Silmet AS

ESTONIA

CID001200

Audited

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

CID001204

Audited

Gold

Nadir Metal Rafineri San. Ve Tic. A.S.

TURKEY

CID001220

Audited

Tin

Jiangxi New Nanshan Technology Ltd.

CHINA

CID001231

Audited

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

CID001236

Gold

Nihon Material Co., Ltd.

JAPAN

CID001259

Audited

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

CID001277

Audited

Tin

O.M. Manufacturing (Thailand) Co., Ltd.

THAILAND

CID001314

Audited

Gold

Elemetal Refining, LLC

UNITED STATES OF AMERICA

CID001322

Gold

Ohura Precious Metal Industry Co., Ltd.

JAPAN

CID001325

Audited

Gold

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

RUSSIAN FEDERATION

CID001326

Audited

Tin

Operaciones Metalurgicas S.A.

BOLIVIA (PLURINATIONAL STATE OF)

CID001337

Audited

Gold

PAMP S.A.

SWITZERLAND

CID001352

Audited

Gold

Penglai Penggang Gold Industry Co., Ltd.

CHINA

CID001362

Gold

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

CID001386

Audited

Gold

PT Aneka Tambang (Persero) Tbk

INDONESIA

CID001397

Audited

Tin

PT Artha Cipta Langgeng

INDONESIA

CID001399

Audited

Tin

PT Babel Inti Perkasa

INDONESIA

CID001402

Audited

Tin

PT Babel Surya Alam Lestari

INDONESIA

CID001406

Audited

Tin

PT Bangka Tin Industry

INDONESIA

CID001419

Audited

Tin

PT Belitung Industri Sejahtera

INDONESIA

CID001421

Audited

Tin

PT Bukit Timah

INDONESIA

CID001428

Audited

Tin

PT DS Jaya Abadi

INDONESIA

CID001434

Audited

Tin

PT Eunindo Usaha Mandiri

INDONESIA

CID001438

Tin

PT Karimun Mining

INDONESIA

CID001448

Audited

Tin

PT Mitra Stania Prima

INDONESIA

CID001453

Audited

Tin

PT Panca Mega Persada

INDONESIA

CID001457

Audited

Tin

PT Prima Timah Utama

INDONESIA

CID001458

Audited

Tin

PT Refined Bangka Tin

INDONESIA

CID001460

Audited

Tin

PT Sariwiguna Binasentosa

INDONESIA

CID001463

Audited

Tin

PT Stanindo Inti Perkasa

INDONESIA

CID001468

Audited

Tin

PT Sumber Jaya Indah

INDONESIA

CID001471

Audited

Tin

PT Timah Tbk Kundur

INDONESIA

CID001477

Audited

Tin

PT Timah Tbk Mentok

INDONESIA

CID001482

Audited

Tin

PT Tinindo Inter Nusa

INDONESIA

CID001490

Audited

Tin

PT Tommy Utama

INDONESIA

CID001493

Audited

Gold

PX Precinox S.A.

SWITZERLAND

CID001498

Audited

Tantalum

QuantumClean

UNITED STATES OF AMERICA

CID001508

Audited

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

CID001512

Audited

Tantalum

RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.

CHINA

CID001522

Audited

Gold

Royal Canadian Mint

CANADA

CID001534

Audited

Tin

Rui Da Hung

TAIWAN, PROVINCE OF CHINA

CID001539

Audited

Gold

Sabin Metal Corp.

UNITED STATES OF AMERICA

CID001546

Gold

Samduck Precious Metals

KOREA, REPUBLIC OF

CID001555

Audited

Gold

Samwon Metals Corp.

KOREA, REPUBLIC OF

CID001562

Gold

Schone Edelmetaal B.V.

NETHERLANDS

CID001573

Gold

SEMPSA Joyeria Plateria S.A.

SPAIN

CID001585

Audited

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CHINA

CID001619

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CHINA

CID001622

Audited

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

CID001736

Audited

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

CID001756

Audited

Tin

Soft Metais Ltda.

BRAZIL

CID001758

Audited

Gold

Solar Applied Materials Technology Corp.

TAIWAN, PROVINCE OF CHINA

CID001761

Audited

Tantalum

Solikamsk Magnesium Works OAO

RUSSIAN FEDERATION

CID001769

Audited

Gold

Sumitomo Metal Mining Co., Ltd.

JAPAN

CID001798

Audited

Tantalum

Taki Chemical Co., Ltd.

JAPAN

CID001869

Audited

Gold

Tanaka Kikinzoku Kogyo K.K.

JAPAN

CID001875

Audited

Tungsten

Tejing (Vietnam) Tungsten Co., Ltd.

VIET NAM

CID001889

Audited

Tantalum

Telex Metals

UNITED STATES OF AMERICA

CID001891

Audited

Tin

Thaisarco

THAILAND

CID001898

Audited

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

CHINA

CID001908

Audited

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

CID001909

Gold

The Refinery of Shandong Gold Mining Co., Ltd.

CHINA

CID001916

Audited

Gold

Tokuriki Honten Co., Ltd.

JAPAN

CID001938

Audited

Gold

Tongling Nonferrous Metals Group Co., Ltd.

CHINA

CID001947

Gold

Torecom

KOREA, REPUBLIC OF

CID001955

Audited

Tantalum

Ulba Metallurgical Plant JSC

KAZAKHSTAN

CID001969

Audited

Gold

Umicore Brasil Ltda.

BRAZIL

CID001977

Audited

Gold

Umicore S.A. Business Unit Precious Metals Refining

BELGIUM

CID001980

Audited

Gold

United Precious Metal Refining, Inc.

UNITED STATES OF AMERICA

CID001993

Audited

Gold

Valcambi S.A.

SWITZERLAND

CID002003

Audited

Tungsten

Vietnam Youngsun Tungsten Industry Co., Ltd.

VIET NAM

CID002011

Tin

VQB Mineral and Trading Group JSC

VIET NAM

CID002015

Gold

Western Australian Mint (T/a The Perth Mint)

AUSTRALIA

CID002030

Audited

Tin

White Solder Metalurgia e Mineracao Ltda.

BRAZIL

CID002036

Audited

Tungsten

Wolfram Bergbau und Hutten AG

AUSTRIA

CID002044

Audited

Tungsten

Xiamen Tungsten Co., Ltd.

CHINA

CID002082

Audited

Tungsten

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CHINA

CID002095

Audited

Gold

Yamakin Co., Ltd.

JAPAN

CID002100

Audited

Gold

Yokohama Metal Co., Ltd.

JAPAN

CID002129

Audited

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

CHINA

CID002158

Audited

Tin

Yunnan Tin Company Limited

CHINA

CID002180

Audited

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

CID002224

Audited

Tantalum

Zhuzhou Cemented Carbide Group Co., Ltd.

CHINA

CID002232

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

CHINA

CID002243

Audited

Gold

Morris and Watson

NEW ZEALAND

CID002282

Gold

SAFINA A.S.

CZECHIA

CID002290

Verified

Tantalum

Yichun Jin Yang Rare Metal Co., Ltd.

CHINA

CID002307

Gold

Guangdong Jinding Gold Limited

CHINA

CID002312

Tungsten

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

CHINA

CID002313

Gold

Umicore Precious Metals Thailand

THAILAND

CID002314

Audited

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

CID002315

Audited

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

CID002316

Audited

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CHINA

CID002317

Audited

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

CHINA

CID002318

Audited

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

CID002319

Audited

Tungsten

Xiamen Tungsten (H.C.) Co., Ltd.

CHINA

CID002320

Audited

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CHINA

CID002321

Audited

Tin

CV Venus Inti Perkasa

INDONESIA

CID002455

Audited

Gold

Geib Refining Corporation

UNITED STATES OF AMERICA

CID002459

Audited

Tin

Magnu's Minerais Metais e Ligas Ltda.

BRAZIL

CID002468

Audited

Tin

PT Tirus Putra Mandiri

INDONESIA

CID002478

Audited

Tin

PT Wahana Perkit Jaya

INDONESIA

CID002479

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CHINA

CID002492

Audited

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

CID002494

Audited

Tin

Melt Metais e Ligas S.A.

BRAZIL

CID002500

Audited

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIET NAM

CID002502

Audited

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

CID002503

Audited

Tantalum

D Block Metals, LLC

UNITED STATES OF AMERICA

CID002504

Audited

Tantalum

FIR Metals & Resource Ltd.

CHINA

CID002505

Audited

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CHINA

CID002506

Audited

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

CHINA

CID002508

Audited

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

CID002509

Audited

Gold

Republic Metals Corporation

UNITED STATES OF AMERICA

CID002510

Gold

KGHM Polska Miedz Spolka Akcyjna

POLAND

CID002511

Audited

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CHINA

CID002512

Audited

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

CID002513

Audited

Gold

Singway Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

CID002516

Audited

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

CID002517

Audited

Tin

PT Inti Stania Prima

INDONESIA

CID002530

Audited

Tungsten

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

CHINA

CID002535

Tantalum

KEMET Blue Metals

MEXICO

CID002539

Audited

Tungsten

H.C. Starck Tungsten GmbH

GERMANY

CID002541

Audited

Tungsten

H.C. Starck Smelting GmbH & Co. KG

GERMANY

CID002542

Audited

Tungsten

Masan Tungsten Chemical LLC (MTC)

VIET NAM

CID002543

Audited

Tantalum

H.C. Starck Co., Ltd.

THAILAND

CID002544

Audited

Tantalum

H.C. Starck Tantalum and Niobium GmbH

GERMANY

CID002545

Audited

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

CID002547

Audited

Tantalum

H.C. Starck Inc.

UNITED STATES OF AMERICA

CID002548

Audited

Tantalum

H.C. Starck Ltd.

JAPAN

CID002549

Audited

Tantalum

H.C. Starck Smelting GmbH & Co. KG

GERMANY

CID002550

Audited

Tungsten

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

CHINA

CID002551

Audited

Tantalum

Global Advanced Metals Boyertown

UNITED STATES OF AMERICA

CID002557

Audited

Tantalum

Global Advanced Metals Aizu

JAPAN

CID002558

Audited

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB EMIRATES

CID002560

Audited

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

CID002561

Audited

Tantalum

KEMET Blue Powder

UNITED STATES OF AMERICA

CID002568

Audited

Tin

CV Ayi Jaya

INDONESIA

CID002570

Audited

Tin

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

VIET NAM

CID002572

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIET NAM

CID002573

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIET NAM

CID002574

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CHINA

CID002579

Audited

Gold

T.C.A S.p.A

ITALY

CID002580

Audited

Gold

REMONDIS PMR B.V.

NETHERLANDS

CID002582

Audited

Tungsten

Niagara Refining LLC

UNITED STATES OF AMERICA

CID002589

Audited

Tin

CV Dua Sekawan

INDONESIA

CID002592

Audited

Tin

PT Rajehan Ariq

INDONESIA

CID002593

Audited

Gold

Korea Zinc Co., Ltd.

KOREA, REPUBLIC OF

CID002605

Audited

Gold

Marsam Metals

BRAZIL

CID002606

Audited

Gold

TOO Tau-Ken-Altyn

KAZAKHSTAN

CID002615

Audited

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

CHINA

CID002645

Audited

Tungsten

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

CHINA

CID002647

Verified

Tungsten

Hydrometallurg, JSC

RUSSIAN FEDERATION

CID002649

Audited

Tin

PT Cipta Persada Mulia

INDONESIA

CID002696

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

CID002703

Tin

Resind Industria e Comercio Ltda.

BRAZIL

CID002706

Audited

Tantalum

Resind Industria e Comercio Ltda.

BRAZIL

CID002707

Audited

Gold

Abington Reldan Metals, LLC

UNITED STATES OF AMERICA

CID002708

Tungsten

Unecha Refractory metals plant

RUSSIAN FEDERATION

CID002724

Audited

Tin

Super Ligas

BRAZIL

CID002756

Gold

SAAMP

FRANCE

CID002761

Audited

Gold

L'Orfebre S.A.

ANDORRA

CID002762

Audited

Gold

8853 S.p.A.

ITALY

CID002763

Audited

Gold

Italpreziosi

ITALY

CID002765

Audited

Tin

Metallo Belgium N.V.

BELGIUM

CID002773

Audited

Tin

Metallo Spain S.L.U.

SPAIN

CID002774

Audited

Tin

PT Bangka Prima Tin

INDONESIA

CID002776

Audited

Gold

SAXONIA Edelmetalle GmbH

GERMANY

CID002777

Audited

Gold

WIELAND Edelmetalle GmbH

GERMANY

CID002778

Audited

Gold

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

AUSTRIA

CID002779

Audited

Tungsten

South-East Nonferrous Metal Company Limited of Hengyang City

CHINA

CID002815

Tin

PT Sukses Inti Makmur

INDONESIA

CID002816

Audited

Tungsten

Philippine Chuangxin Industrial Co., Inc.

PHILIPPINES

CID002827

Audited

Tin

PT Kijang Jaya Mandiri

INDONESIA

CID002829

Audited

Tungsten

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

CHINA

CID002830

Audited

Tungsten

ACL Metais Eireli

BRAZIL

CID002833

Audited

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

VIET NAM

CID002834

Audited

Tin

PT Menara Cipta Mulia

INDONESIA

CID002835

Audited

Tantalum

Jiangxi Tuohong New Raw Material

CHINA

CID002842

Audited

Tungsten

Woltech Korea Co., Ltd.

KOREA, REPUBLIC OF

CID002843

Audited

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

CID002844

Audited

Tungsten

Moliren Ltd.

RUSSIAN FEDERATION

CID002845

Audited

Tantalum

Power Resources Ltd.

MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

CID002847

Audited

Tin

Gejiu Fengming Metallurgy Chemical Plant

CHINA

CID002848

Audited

Tin

Guanyang Guida Nonferrous Metal Smelting Plant

CHINA

CID002849

Audited

Gold

AU Traders and Refiners

SOUTH AFRICA

CID002850

Audited

Gold

GCC Gujrat Gold Centre Pvt. Ltd.

INDIA

CID002852

Gold

Sai Refinery

INDIA

CID002853

Gold

Modeltech Sdn Bhd

MALAYSIA

CID002857

Tin

Modeltech Sdn Bhd

MALAYSIA

CID002858

Tin

Gejiu Jinye Mineral Company

CHINA

CID002859

Gold

Bangalore Refinery

INDIA

CID002863

Audited

Gold

Kyshtym Copper-Electrolytic Plant ZAO

RUSSIAN FEDERATION

CID002865

Gold

Morris and Watson Gold Coast

AUSTRALIA

CID002866

Gold

Degussa Sonne / Mond Goldhandel GmbH

GERMANY

CID002867

Tin

PT Lautan Harmonis Sejahtera

INDONESIA

CID002870

Audited

Gold

Pease & Curren

UNITED STATES OF AMERICA

CID002872

Gold

SungEel HiMetal Co., Ltd.

KOREA, REPUBLIC OF

CID002918

Audited

Gold

Planta Recuperadora de Metales SpA

CHILE

CID002919

Audited

Gold

Safimet S.p.A

ITALY

CID002973

Audited

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

CHINA

CID003116

Audited

Gold

State Research Institute Center for Physical Sciences and Technology

LITHUANIA

CID003153

Tungsten

Hunan Litian Tungsten Industry Co., Ltd.

CHINA

CID003182

Audited

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

CHINA

CID003190

Audited

Tantalum

Jiujiang Janny New Material Co., Ltd.

CHINA

CID003191

Gold

DS PRETECH Co., Ltd.

KOREA, REPUBLIC OF

CID003195

Audited

Tin

PT Bangka Serumpun

INDONESIA

CID003205

Audited

Tin

Tin Technology & Refining

UNITED STATES OF AMERICA

CID003325

Audited

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

CHINA

CID003356

Tin

Ma'anshan Weitai Tin Co., Ltd.

CHINA

CID003379

Audited

Tungsten

KGETS Co., Ltd.

KOREA, REPUBLIC OF

CID003388

Audited

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

CHINA

CID003397

Audited

Tungsten

Lianyou Metals Co., Ltd.

TAIWAN, PROVINCE OF CHINA

CID003407

Audited

Gold

Smelter not listed

JAPAN

CID003424

Audited

Gold

Smelter not listed

JAPAN

CID003425

Audited

* “Audited” means in accordance with and as reported by the CFSI; “Verified” means confirmed as a known processing facility on the DOC List.