0001596532-18-000140.txt : 20180525 0001596532-18-000140.hdr.sgml : 20180525 20180525163235 ACCESSION NUMBER: 0001596532-18-000140 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20171231 1.02 20171231 FILED AS OF DATE: 20180525 DATE AS OF CHANGE: 20180525 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Arista Networks, Inc. CENTRAL INDEX KEY: 0001596532 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 201751121 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-36468 FILM NUMBER: 18861980 BUSINESS ADDRESS: STREET 1: 5453 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 408-547-5500 MAIL ADDRESS: STREET 1: 5453 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 SD 1 formsdcover2017.htm FORM SD Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
____________________________ 
FORM SD
SPECIALIZED DISCLOSURE REPORT
____________________________ 
 
ARISTA NETWORKS, INC.
(Exact name of registrant as specified in its charter)
 
Delaware
 
001-36468
 
20-1751121
(State or other jurisdiction of
incorporation)
 
(Commission File No.)
 
(IRS Employer Identification
Number)

 
5453 Great America Parkway
Santa Clara, CA 95054
(Address of principal executive offices)
 
(408) 547-5500
(Registrant’s telephone number, including area code)

Marc Taxay (408) 547-5500
(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, 2017.


Section 1 - Conflict Minerals Disclosure
Item 1.01    Conflict Minerals Disclosure and Report
In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”), and this Specialized Disclosure Report on Form SD (this “Form”), Arista Networks, inc. (the "Company") has filed a Conflict Minerals Report, which is attached as Exhibit 1.01. A copy of this Form and the Conflict Minerals Report are publicly available on the Company's website at https://investors.arista.com/Financial-Information/default.aspx#secfilling.
Item 1.02    Exhibit
In accordance with Rule 13p-1, and this Form, the Company has filed a Conflict Minerals Report, which is attached as Exhibit 1.01.
Section 2 - Exhibits
Item 2.01 Exhibits




SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 
 
ARISTA NETWORKS, INC.
 
 
 
May 25, 2018
 
/s/ MARC TAXAY
 
 
Marc Taxay
 
 
Senior Vice President and General Counsel
 
 
 



 EX-1.01 2 ex101confictmineralsreport.htm EXHIBIT 1.01 Exhibit


Exhibit 1.01

ARISTA NETWORKS, INC.
CONFLICT MINERALS REPORT
(For the reporting period January 1, 2017 to December 31, 2017)

Introduction
This Conflict Minerals Report (this “Report”) of Arista Networks, Inc. (the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934 (collectively, the “Rule”) for the reporting period January 1, 2017 to December 31, 2017. Rule 13p-1 imposes certain reporting obligations on Securities and Exchange Commission (“SEC”) registrants whose manufactured products contain certain minerals that are necessary to the functionality or production of their products. The specified minerals, which are collectively referred to in this Report as “Conflict Minerals,” are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which the SEC has currently limited to tantalum, tin and tungsten. The “Covered Countries” for purposes of the Rule and this Report are the Democratic Republic of the Congo (“DRC”), the Republic of the Congo, Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.
For purposes of this Report, references to “we,” “us,” “our,” “Arista,” “Arista Networks” or the “Company” refer to Arista Networks, Inc.
Overview
Company Overview
We are a leading supplier of cloud networking solutions that use software innovations to address the needs of large-scale Internet companies, cloud service providers and next-generation enterprise. Our cloud networking solutions consist of our Extensible Operating System, or EOS,  a set of network applications and our 10/25/40/50/100 Gigabit Ethernet switching and routing platforms, delivering industry-leading performance, scalability, availability, programmability, automation and visibility.
The Company’s products for the reporting period covered by this Form SD include all of our hardware products.
The Company has adopted a Conflict Minerals Policy Statement (“Conflict Minerals Policy”), which is available on our website at https://www.arista.com/en/company/sustainability (see “Responsible Supply Chains”). The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.
Reasonable Country of Origin (“RCOI”)
The manufacture of our products is 100% outsourced and we procure our components and materials from suppliers worldwide. We have determined that during calendar year 2017, our products contained tantalum, tungsten, tin and gold (“3TG”) which are necessary to the functionality or production of our hardware products. In accordance with Rule 13p-1, we conducted a good faith RCOI inquiry to determine whether the necessary Conflict Minerals may have originated in the Covered Countries or come from recycled or scrap sources.
We are a member of the Responsible Business Alliance (“RBA”) and the Responsible Minerals Initiative (“RMI”). As a member of the RMI, a leading industry program that helps its members to manage risk by improving supply chain transparency with respect to Conflict Minerals, we have access to RMI RCOI data that aids us in determining the mine or location of origin of the Conflict Minerals in our supply chain.    
The main piece of our RCOI process includes conducting an inquiry of our direct suppliers using the Conflict Minerals Reporting Template (“CMRT”) developed by the RMI.
Design of Conflict Minerals Program
We designed our due diligence measures in conformance with the Organization for Economic Cooperation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Due Diligence Guidance”).

1


Due Diligence Measures Performed
The following describes the measures taken to reasonably determine the country of origin of Conflict Minerals and to exercise due diligence on our supply chain in conformance with the OECD Due Diligence Guidance.
Step 1: Establish strong company management systems
A.
We maintain a Conflict Minerals Policy, in which we are committed to the responsible sourcing of components that contain gold, tantalum, tungsten, and tin and will comply with the underlying SEC rules and regulations surrounding Conflict Minerals.
B.
We have a team focused on data collection and meeting due diligence guidelines. The team meets regularly to discuss status, and how to ensure full participation from our suppliers.
C.
We are members of the RBA and we expect our suppliers to abide with the RBA Code of Conduct, which includes a provision on Conflict Minerals.
D.
We expect our suppliers to comply with Conflict Minerals requirements.
Step 2: Identify and assess risk in the supply chain
A.
Identified Direct Suppliers:
1.
We identified suppliers through our product life cycle management system and focused on suppliers whose components were qualified for use in our products that were sold in 2017.
2.
We then completed a first pass analysis of suppliers that were in-scope and out of scope.
i.
In-scope suppliers are suppliers that provided us with parts that may contain 3TG and we purchased components/materials from in calendar year 2017.
ii.
Out of scope suppliers are suppliers that provided us with parts that will not have 3TG, or we did not purchase components/materials from in calendar year 2017.
B.
Conducted RCOI:
1.
We utilized a third-party data collection partner to collect data from our in-scope suppliers on our behalf.
2.
We used the industry standard CMRT to collect data from our suppliers, and if necessary, require our suppliers to collect data from their suppliers for the necessary Conflict Minerals information. We evaluated the information gathered from the CMRTs submitted by our suppliers to determine our reporting obligation based on this RCOI.
3.
We received completed CMRTs from our in-scope suppliers through our data collection partner and used our suppliers’ CMRTs to identify smelters or refiners (“SORs”) as well as determine material country of origin.
C.
Completed additional follow-up:
With the help of our data collection partner, we reviewed the CMRT submissions to validate for completeness and ensure consistency. Any inconsistencies were followed up to completion.
D.
Identify smelters/processors:
We cross-checked information received from our suppliers against data made available by the Responsible Minerals Assurance Process (“RMAP”) developed by the RMI. When necessary, we engaged with component suppliers that referenced high-risk SORs to encourage such facilities to obtain a “conflict-free” designation from an independent, third-party audit program.
Step 3: Design and implement a strategy to respond to identified risks
A.
The CMRT is the main vehicle for our approach to identify risks, and our internal process documentation lists the approach towards SOR validation, and what steps to take if other risks are identified in the SOR list.
B.
At the end of each data collection process, we compare the list of SORs provided by all of our suppliers to the list provided by the RMI, which includes the names of SORs that are compliant (and third-party verified) with the RMAP protocols.
C.
We performed regular follow-ups with suppliers that did not respond to our requests until data was provided.
D.
Regular meetings were held with senior management to provide progress updates, request for help, and escalations.

2


Step 4: Audit of SOR due diligence practices
Given that we do not source Conflict Minerals directly from smelters and refiners, we rely on third parties, including the RMI, to coordinate and conduct third-party audits of these facilities. We rely on the published results of these third-party audits to validate the responsible sourcing practices of the smelters and refiners in our supply chain.
Step 5: Report on supply chain due diligence
This Report and associated Form SD will be filed with the SEC and will be available on our Investor Relations website at https://investors.arista.com/Financial-Information/default.aspx#secfilling.
Results of RCOI and Due Diligence
We conducted due diligence processes on the SORs that the surveyed suppliers identified. The surveyed suppliers identified an aggregate of 316 operational SORs which may process the necessary Conflict Minerals contained in the components and/or materials that make up our products.
Smelters or Refiners    
Appendix A in this report lists all SORs provided to Arista Networks from surveyed in-scope suppliers. We have categorized SOR status as the following:
Status
 
Description
Compliant
 
SORs that have received a “conflict-free” status from an independent third party audit program.
Active
 
SORs that have started participating in an independent third party audit program
Not Active
 
SORs that have not begun participating in an independent third party audit program
Based on our due diligence process, we have determined the following as the status of the SORs that were disclosed to us by our in-scope suppliers:
Status
Number of SORs
% of Total
Compliant
253
80%
Active
10
3%
Not Active
53
17%
Grand Total
316
100%
We have also determined the percentages of SORs by metal that are compliant to RMI protocols:
Metal
% RMI Compliant SORs
Gold
67%
Tantalum
95%
Tin
88%
Tungsten
89%
In addition, we have performed an analysis as to declarations of SORs that source from level 2 or level 3 RMI countries. Level 2 countries are countries where 3TG from conflict-affected and high-risk areas are known to transit and level 3 countries are where 3TG material is mined in the DRC and adjoining countries.
We have determined that 109 SORs had sourced from level 2 or level 3 countries, and detailed analysis has determined that:
•
105 SORs are compliant to RMI protocols.
•
1 SOR did not agree to an audit in 2017, as such it may not be non-conformant to the protocol. This smelter was last audited in 2016.
•
2 SORs did not participate in audit programs.
•
1 SOR is compliant to the London Bullion Market Association (“LBMA”) Responsible Gold Guidance.
Based on this analysis and representations from our suppliers, we have concluded that we do not have sufficient information to determine whether our supply chain is “DRC conflict-free.” However, we have not identified any known instances in which our products contained 3TG minerals sourced directly or indirectly from armed groups in the conflict regions of any

3


Covered Countries. Based on guidance from the SEC’s staff, an independent private sector audit is accordingly not required to be conducted under Rule 13p-1 and therefore has not been conducted.
Future Due Diligence Efforts
During the reporting period for the calendar year ending December 31, 2018, we will engage in the activities described in this report as defined by the OECD Due Diligence Guidance. Our intent is to move to a more conflict-free supply chain, we will continue to contact SORs that have not yet received a “conflict-free” designation and request their participation in the RMAP or other independent third party audit program in order for them to obtain such a “conflict-free” designation.



4


APPENDIX A: Smelters and Refiners
This table lists all SORs provided to Arista Networks from surveyed in-scope suppliers. Companies with a “*” designation are either active or compliant SORs according to the RMAP.
Metal
 
Smelter or Refiner Name
 (Based on data reported by the RMI as of April 23, 2018)
 
ID
Tungsten
 
A.L.M.T. TUNGSTEN Corp. *
 
CID000004
Gold
 
Advanced Chemical Company *
 
CID000015
Gold
 
Aida Chemical Industries Co., Ltd. *
 
CID000019
Gold
 
Allgemeine Gold-und Silberscheideanstalt A.G. *
 
CID000035
Gold
 
Almalyk Mining and Metallurgical Complex (AMMC) *
 
CID000041
Gold
 
AngloGold Ashanti Corrego do Sitio Mineracao *
 
CID000058
Gold
 
Argor-Heraeus S.A. *
 
CID000077
Gold
 
Asahi Pretec Corp. *
 
CID000082
Gold
 
Asaka Riken Co., Ltd. *
 
CID000090
Tantalum
 
Asaka Riken Co., Ltd. *
 
CID000092
Gold
 
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
 
CID000103
Tungsten
 
Kennametal Huntsville *
 
CID000105
Gold
 
Aurubis AG *
 
CID000113
Gold
 
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) *
 
CID000128
Gold
 
Boliden AB *
 
CID000157
Gold
 
C. Hafner GmbH + Co. KG *
 
CID000176
Gold
 
Caridad
 
CID000180
Gold
 
CCR Refinery - Glencore Canada Corporation *
 
CID000185
Gold
 
Cendres + Metaux S.A. *
 
CID000189
Gold
 
Yunnan Copper Industry Co., Ltd.
 
CID000197
Tantalum
 
Changsha South Tantalum Niobium Co., Ltd. *
 
CID000211
Tungsten
 
Guangdong Xianglu Tungsten Co., Ltd. *
 
CID000218
Tin
 
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. *
 
CID000228
Gold
 
Chimet S.p.A. *
 
CID000233
Tin
 
Jiangxi Ketai Advanced Material Co., Ltd. *
 
CID000244
Tungsten
 
Chongyi Zhangyuan Tungsten Co., Ltd. *
 
CID000258
Gold
 
Chugai Mining
 
CID000264
Tin
 
CNMC (Guangxi) PGMA Co., Ltd.
 
CID000278
Tantalum
 
Guangdong Rising Rare Metals-EO Materials Ltd. *
 
CID000291
Tin
 
Alpha *
 
CID000292
Tin
 
CV Gita Pesona *
 
CID000306
Tin
 
PT Aries Kencana Sejahtera *
 
CID000309
Tin
 
PT Premium Tin Indonesia *
 
CID000313
Tin
 
CV United Smelting *
 
CID000315
Gold
 
Daejin Indus Co., Ltd. *
 
CID000328
Gold
 
Daye Non-Ferrous Metals Mining Ltd.
 
CID000343
Gold
 
DSC (Do Sung Corporation) *
 
CID000359
Gold
 
DODUCO Contacts and Refining GmbH *
 
CID000362
Gold
 
Dowa *
 
CID000401
Tin
 
Dowa *
 
CID000402
Gold
 
Eco-System Recycling Co., Ltd. *
 
CID000425

5


Metal
 
Smelter or Refiner Name
 (Based on data reported by the RMI as of April 23, 2018)
 
ID
Tin
 
EM Vinto *
 
CID000438
Tin
 
Estanho de Rondonia S.A.
 
CID000448
Tantalum
 
Exotech Inc. *
 
CID000456
Tantalum
 
F&X Electro-Materials Ltd. *
 
CID000460
Tin
 
Fenix Metals *
 
CID000468
Gold
 
OJSC Novosibirsk Refinery *
 
CID000493
Tungsten
 
Fujian Jinxin Tungsten Co., Ltd. *
 
CID000499
Gold
 
Refinery of Seemine Gold Co., Ltd.
 
CID000522
Tin
 
Gejiu Non-Ferrous Metal Processing Co., Ltd. *
 
CID000538
Tin
 
Gejiu Zili Mining And Metallurgy Co., Ltd.
 
CID000555
Tungsten
 
Global Tungsten & Powders Corp. *
 
CID000568
Tantalum
 
Guangdong Zhiyuan New Material Co., Ltd. *
 
CID000616
Gold
 
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
 
CID000651
Gold
 
Hangzhou Fuchunjiang Smelting Co., Ltd.
 
CID000671
Gold
 
HeeSung Metal Ltd. *
 
CID000689
Gold
 
Heimerle + Meule GmbH *
 
CID000694
Gold
 
Heraeus Metals Hong Kong Ltd. *
 
CID000707
Gold
 
Heraeus Precious Metals GmbH & Co. KG *
 
CID000711
Tin
 
Huichang Jinshunda Tin Co., Ltd. *
 
CID000760
Tungsten
 
Hunan Chenzhou Mining Co., Ltd. *
 
CID000766
Gold
 
Hunan Chenzhou Mining Co., Ltd.
 
CID000767
Tungsten
 
Hunan Chunchang Nonferrous Metals Co., Ltd. *
 
CID000769
Gold
 
HwaSeong CJ CO., LTD.
 
CID000778
Gold
 
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. *
 
CID000801
Gold
 
Ishifuku Metal Industry Co., Ltd. *
 
CID000807
Gold
 
Istanbul Gold Refinery *
 
CID000814
Gold
 
Japan Mint *
 
CID000823
Tungsten
 
Japan New Metals Co., Ltd. *
 
CID000825
Gold
 
Jiangxi Copper Co., Ltd. *
 
CID000855
Tungsten
 
Ganzhou Huaxing Tungsten Products Co., Ltd. *
 
CID000875
Tantalum
 
JiuJiang JinXin Nonferrous Metals Co., Ltd. *
 
CID000914
Tantalum
 
Jiujiang Nonferrous Metals Smelting Company Limited *
 
CID000917
Gold
 
Asahi Refining USA Inc. *
 
CID000920
Gold
 
Asahi Refining Canada Ltd. *
 
CID000924
Gold
 
JSC Ekaterinburg Non-Ferrous Metal Processing Plant * #
 
CID000927
Gold
 
JSC Uralelectromed *
 
CID000929
Gold
 
JX Nippon Mining & Metals Co., Ltd. *
 
CID000937
Tin
 
Gejiu Kai Meng Industry and Trade LLC *
 
CID000942
Gold
 
Kazakhmys Smelting LLC
 
CID000956
Gold
 
Kazzinc *
 
CID000957
Tungsten
 
Kennametal Fallon *
 
CID000966
Gold
 
Kennecott Utah Copper LLC *
 
CID000969
Gold
 
Kojima Chemicals Co., Ltd. *
 
CID000981
Gold
 
Kyrgyzaltyn JSC *
 
CID001029
Gold
 
L'azurde Company For Jewelry
 
CID001032

6


Metal
 
Smelter or Refiner Name
 (Based on data reported by the RMI as of April 23, 2018)
 
ID
Gold
 
Lingbao Gold Co., Ltd.
 
CID001056
Gold
 
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
 
CID001058
Tin
 
China Tin Group Co., Ltd. *
 
CID001070
Tantalum
 
LSM Brasil S.A. *
 
CID001076
Gold
 
LS-NIKKO Copper Inc. *
 
CID001078
Gold
 
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
 
CID001093
Tin
 
Malaysia Smelting Corporation (MSC) *
 
CID001105
Gold
 
Materion *
 
CID001113
Gold
 
Matsuda Sangyo Co., Ltd. *
 
CID001119
Tin
 
Metallic Resources, Inc. *
 
CID001142
Gold
 
Metalor Technologies (Suzhou) Ltd. *
 
CID001147
Gold
 
Metalor Technologies (Hong Kong) Ltd. *
 
CID001149
Gold
 
Metalor Technologies (Singapore) Pte., Ltd. *
 
CID001152
Gold
 
Metalor Technologies S.A. *
 
CID001153
Gold
 
Metalor USA Refining Corporation *
 
CID001157
Gold
 
Metalurgica Met-Mex Penoles S.A. De C.V. *
 
CID001161
Tantalum
 
Metallurgical Products India Pvt., Ltd. *
 
CID001163
Tin
 
Mineracao Taboca S.A. *
 
CID001173
Tantalum
 
Mineracao Taboca S.A. *
 
CID001175
Tin
 
Minsur *
 
CID001182
Gold
 
Mitsubishi Materials Corporation *
 
CID001188
Tin
 
Mitsubishi Materials Corporation *
 
CID001191
Tantalum
 
Mitsui Mining and Smelting Co., Ltd. *
 
CID001192
Gold
 
Mitsui Mining and Smelting Co., Ltd. *
 
CID001193
Tantalum
 
NPM Silmet AS *
 
CID001200
Gold
 
Moscow Special Alloys Processing Plant *
 
CID001204
Gold
 
Nadir Metal Rafineri San. Ve Tic. A.S. *
 
CID001220
Tin
 
Jiangxi New Nanshan Technology Ltd. *
 
CID001231
Gold
 
Navoi Mining and Metallurgical Combinat
 
CID001236
Gold
 
Nihon Material Co., Ltd. *
 
CID001259
Tantalum
 
Ningxia Orient Tantalum Industry Co., Ltd. *
 
CID001277
Tin
 
O.M. Manufacturing (Thailand) Co., Ltd. *
 
CID001314
Gold
 
Elemetal Refining, LLC
 
CID001322
Gold
 
Ohura Precious Metal Industry Co., Ltd. *
 
CID001325
Gold
 
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) *
 
CID001326
Tin
 
Operaciones Metalurgical S.A. *
 
CID001337
Gold
 
PAMP S.A. *
 
CID001352
Gold
 
Penglai Penggang Gold Industry Co., Ltd.
 
CID001362
Gold
 
Prioksky Plant of Non-Ferrous Metals *
 
CID001386
Gold
 
PT Aneka Tambang (Persero) Tbk *
 
CID001397
Tin
 
PT Artha Cipta Langgeng *
 
CID001399
Tin
 
PT Babel Inti Perkasa *
 
CID001402
Tin
 
PT Bangka Tin Industry *
 
CID001419
Tin
 
PT Belitung Industri Sejahtera *
 
CID001421

7


Metal
 
Smelter or Refiner Name
 (Based on data reported by the RMI as of April 23, 2018)
 
ID
Tin
 
PT Bukit Timah *
 
CID001428
Tin
 
PT DS Jaya Abadi *
 
CID001434
Tin
 
PT Eunindo Usaha Mandiri *
 
CID001438
Tin
 
PT Karimun Mining *
 
CID001448
Tin
 
PT Mitra Stania Prima *
 
CID001453
Tin
 
PT Panca Mega Persada *
 
CID001457
Tin
 
PT Prima Timah Utama *
 
CID001458
Tin
 
PT Refined Bangka Tin *
 
CID001460
Tin
 
PT Sariwiguna Binasentosa *
 
CID001463
Tin
 
PT Stanindo Inti Perkasa *
 
CID001468
Tin
 
PT Sumber Jaya Indah *
 
CID001471
Tin
 
PT Timah (Persero) Tbk Kundur *
 
CID001477
Tin
 
PT Timah (Persero) Tbk Mentok *
 
CID001482
Tin
 
PT Tinindo Inter Nusa *
 
CID001490
Tin
 
PT Tommy Utama *
 
CID001493
Gold
 
PX Precinox S.A. *
 
CID001498
Tantalum
 
QuantumClean *
 
CID001508
Gold
 
Rand Refinery (Pty) Ltd. *
 
CID001512
Tantalum
 
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. *
 
CID001522
Gold
 
Royal Canadian Mint *
 
CID001534
Tin
 
Rui Da Hung *
 
CID001539
Gold
 
Sabin Metal Corp.
 
CID001546
Gold
 
Samduck Precious Metals *
 
CID001555
Gold
 
SAMWON METALS Corp.
 
CID001562
Gold
 
SEMPSA Joyeria Plateria S.A. *
 
CID001585
Gold
 
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
 
CID001619
Gold
 
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. *
 
CID001622
Gold
 
Sichuan Tianze Precious Metals Co., Ltd. *
 
CID001736
Gold
 
SOE Shyolkovsky Factory of Secondary Precious Metals *
 
CID001756
Tin
 
Soft Metais Ltda. *
 
CID001758
Gold
 
Solar Applied Materials Technology Corp. *
 
CID001761
Tantalum
 
Solikamsk Magnesium Works OAO *
 
CID001769
Gold
 
Sumitomo Metal Mining Co., Ltd. *
 
CID001798
Tantalum
 
Taki Chemical Co., Ltd. *
 
CID001869
Gold
 
Tanaka Kikinzoku Kogyo K.K. *
 
CID001875
Tungsten
 
Tejing (Vietnam) Tungsten Co., Ltd. *
 
CID001889
Tantalum
 
Telex Metals *
 
CID001891
Tin
 
Thaisarco *
 
CID001898
Tin
 
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. *
 
CID001908
Gold
 
Great Wall Precious Metals Co., Ltd. of CBPM
 
CID001909
Gold
 
The Refinery of Shandong Gold Mining Co., Ltd. *
 
CID001916
Gold
 
Tokuriki Honten Co., Ltd. *
 
CID001938
Gold
 
Tongling Nonferrous Metals Group Co., Ltd.
 
CID001947
Gold
 
Torecom *
 
CID001955

8


Metal
 
Smelter or Refiner Name
 (Based on data reported by the RMI as of April 23, 2018)
 
ID
Tantalum
 
Ulba Metallurgical Plant JSC *
 
CID001969
Gold
 
Umicore Brasil Ltda. *
 
CID001977
Gold
 
Umicore S.A. Business Unit Precious Metals Refining *
 
CID001980
Gold
 
United Precious Metal Refining, Inc. *
 
CID001993
Gold
 
Valcambi S.A. *
 
CID002003
Tungsten
 
Vietnam Youngsun Tungsten Industry Co., Ltd. *
 
CID002011
Gold
 
Western Australian Mint (T/a The Perth Mint) *
 
CID002030
Tin
 
White Solder Metalurgia e Mineracao Ltda. *
 
CID002036
Tungsten
 
Wolfram Bergbau und Hutten AG *
 
CID002044
Tungsten
 
Xiamen Tungsten Co., Ltd. *
 
CID002082
Tungsten
 
Xinhai Rendan Shaoguan Tungsten Co., Ltd. *
 
CID002095
Gold
 
Yamakin Co., Ltd. *
 
CID002100
Gold
 
Yokohama Metal Co., Ltd. *
 
CID002129
Tin
 
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. *
 
CID002158
Tin
 
Yunnan Tin Company Limited *
 
CID002180
Gold
 
Zhongyuan Gold Smelter of Zhongjin Gold Corporation *
 
CID002224
Gold
 
Gold Refinery of Zijin Mining Group Co., Ltd. *
 
CID002243
Gold
 
Morris and Watson
 
CID002282
Gold
 
SAFINA A.S. *
 
CID002290
Gold
 
Guangdong Jinding Gold Limited
 
CID002312
Tungsten
 
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
 
CID002313
Gold
 
Umicore Precious Metals Thailand *
 
CID002314
Tungsten
 
Ganzhou Jiangwu Ferrotungsten Co., Ltd. *
 
CID002315
Tungsten
 
Jiangxi Yaosheng Tungsten Co., Ltd. *
 
CID002316
Tungsten
 
Jiangxi Xinsheng Tungsten Industry Co., Ltd. *
 
CID002317
Tungsten
 
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. *
 
CID002318
Tungsten
 
Malipo Haiyu Tungsten Co., Ltd. *
 
CID002319
Tungsten
 
Xiamen Tungsten (H.C.) Co., Ltd. *
 
CID002320
Tungsten
 
Jiangxi Gan Bei Tungsten Co., Ltd. *
 
CID002321
Tin
 
CV Venus Inti Perkasa *
 
CID002455
Gold
 
Geib Refining Corporation *
 
CID002459
Tin
 
Magnu's Minerais Metais e Ligas Ltda. *
 
CID002468
Tantalum
 
Hengyang King Xing Lifeng New Materials Co., Ltd. *
 
CID002492
Tungsten
 
Ganzhou Seadragon W & Mo Co., Ltd. *
 
CID002494
Tin
 
Melt Metais e Ligas S.A. *
 
CID002500
Tungsten
 
Asia Tungsten Products Vietnam Ltd. *
 
CID002502
Tin
 
PT ATD Makmur Mandiri Jaya *
 
CID002503
Tantalum
 
D Block Metals, LLC *
 
CID002504
Tantalum
 
FIR Metals & Resource Ltd. *
 
CID002505
Tantalum
 
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. *
 
CID002506
Tantalum
 
XinXing Haorong Electronic Material Co., Ltd. *
 
CID002508
Gold
 
MMTC-PAMP India Pvt., Ltd. *
 
CID002509
Gold
 
Republic Metals Corporation *
 
CID002510
Gold
 
KGHM Polska Miedz Spolka Akcyjna *
 
CID002511
Tantalum
 
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. *
 
CID002512

9


Metal
 
Smelter or Refiner Name
 (Based on data reported by the RMI as of April 23, 2018)
 
ID
Tungsten
 
Chenzhou Diamond Tungsten Products Co., Ltd. *
 
CID002513
Gold
 
Fidelity Printers and Refiners Ltd.
 
CID002515
Gold
 
Singway Technology Co., Ltd. *
 
CID002516
Tin
 
O.M. Manufacturing Philippines, Inc. *
 
CID002517
Tin
 
PT Inti Stania Prima *
 
CID002530
Tungsten
 
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. *
 
CID002535
Tungsten
 
Ganzhou Yatai Tungsten Co., Ltd.
 
CID002536
Tantalum
 
KEMET Blue Metals *
 
CID002539
Tungsten
 
H.C. Starck Tungsten GmbH *
 
CID002541
Tungsten
 
H.C. Starck Smelting GmbH & Co. KG *
 
CID002542
Tungsten
 
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC *
 
CID002543
Tantalum
 
H.C. Starck Co., Ltd. *
 
CID002544
Tantalum
 
H.C. Starck Tantalum and Niobium GmbH *
 
CID002545
Tantalum
 
H.C. Starck Hermsdorf GmbH *
 
CID002547
Tantalum
 
H.C. Starck Inc. *
 
CID002548
Tantalum
 
H.C. Starck Ltd. *
 
CID002549
Tantalum
 
H.C. Starck Smelting GmbH & Co. KG *
 
CID002550
Tungsten
 
Jiangwu H.C. Starck Tungsten Products Co., Ltd. *
 
CID002551
Tantalum
 
Global Advanced Metals Boyertown *
 
CID002557
Tantalum
 
Global Advanced Metals Aizu *
 
CID002558
Gold
 
Al Etihad Gold LLC *
 
CID002560
Gold
 
Emirates Gold DMCC *
 
CID002561
Gold
 
Kaloti Precious Metals
 
CID002563
Gold
 
Sudan Gold Refinery
 
CID002567
Tantalum
 
Kemet Blue Powder *
 
CID002568
Tin
 
CV Ayi Jaya *
 
CID002570
Tin
 
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
 
CID002572
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
 
CID002573
Tin
 
Tuyen Quang Non-Ferrous Metals Joint Stock Company
 
CID002574
Tungsten
 
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji *
 
CID002579
Gold
 
T.C.A S.p.A *
 
CID002580
Gold
 
Remondis Argentia B.V. *
 
CID002582
Gold
 
Tony Goetz NV
 
CID002587
Tungsten
 
Niagara Refining LLC *
 
CID002589
Tin
 
CV Dua Sekawan *
 
CID002592
Tin
 
CV Tiga Sekawan *
 
CID002593
Gold
 
Korea Zinc Co., Ltd. *
 
CID002605
Gold
 
Marsam Metals *
 
CID002606
Gold
 
TOO Tau-Ken-Altyn
 
CID002615
Tungsten
 
Ganzhou Haichuang Tungsten Industry Co., Ltd. *
 
CID002645
Tungsten
 
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
 
CID002647
Tungsten
 
Hydrometallurg, JSC *
 
CID002649
Tin
 
An Vinh Joint Stock Mineral Processing Company
 
CID002703
Tin
 
Resind Industria e Comercio Ltda. *
 
CID002706

10


Metal
 
Smelter or Refiner Name
 (Based on data reported by the RMI as of April 23, 2018)
 
ID
Tantalum
 
Resind Industria e Comercio Ltda. *
 
CID002707
Gold
 
Abington Reldan Metals, LLC
 
CID002708
Tungsten
 
Unecha Refractory Metals Plant *
 
CID002724
Tin
 
Super Ligas
 
CID002756
Gold
 
SAAMP *
 
CID002761
Gold
 
L'Orfebre S.A. *
 
CID002762
Gold
 
Italpreziosi *
 
CID002765
Tin
 
Metallo Belgium N.V. *
 
CID002773
Tin
 
Metallo Spain S.L.U. *
 
CID002774
Tin
 
PT Bangka Prima Tin *
 
CID002776
Gold
 
SAXONIA Edelmetalle GmbH *
 
CID002777
Gold
 
WIELAND Edelmetalle GmbH *
 
CID002778
Gold
 
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH *
 
CID002779
Tungsten
 
South-East Nonferrous Metal Company Limited of Hengyang City *
 
CID002815
Tin
 
PT Sukses Inti Makmur *
 
CID002816
Tungsten
 
Philippine Chuangxin Industrial Co., Inc. *
 
CID002827
Tin
 
PT Kijang Jaya Mandiri *
 
CID002829
Tungsten
 
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. *
 
CID002830
Tungsten
 
ACL Metais Eireli *
 
CID002833
Tin
 
PT Menara Cipta Mulia *
 
CID002835
Tantalum
 
Jiangxi Tuohong New Raw Material *
 
CID002842
Tungsten
 
Woltech Korea Co., Ltd. *
 
CID002843
Tin
 
HuiChang Hill Tin Industry Co., Ltd. *
 
CID002844
Tungsten
 
Moliren Ltd. *
 
CID002845
Tantalum
 
Power Resources Ltd. *
 
CID002847
Tin
 
Gejiu Fengming Metallurgy Chemical Plant *
 
CID002848
Tin
 
Guanyang Guida Nonferrous Metal Smelting Plant *
 
CID002849
Gold
 
AU Traders and Refiners *
 
CID002850
Gold
 
GCC Gujrat Gold Centre Pvt. Ltd.
 
CID002852
Gold
 
Sai Refinery
 
CID002853
Gold
 
Universal Precious Metals Refining Zambia
 
CID002854
Gold
 
Modeltech Sdn Bhd *
 
CID002857
Tin
 
Modeltech Sdn Bhd *
 
CID002858
Tin
 
Gejiu Jinye Mineral Company *
 
CID002859
Gold
 
Bangalore Refinery *
 
CID002863
Gold
 
Kyshtym Copper-Electrolytic Plant ZAO
 
CID002865
Gold
 
Morris and Watson Gold Coast
 
CID002866
Gold
 
Degussa Sonne / Mond Goldhandel GmbH
 
CID002867
Tin
 
PT Lautan Harmonis Sejahtera *
 
CID002870
Gold
 
Pease & Curren
 
CID002872
Gold
 
SungEel HiMetal Co., Ltd. *
 
CID002918
Gold
 
Planta Recuperadora de Metales SpA *
 
CID002919
Gold
 
Safimet S.p.A *
 
CID002973
Tin
 
Guangdong Hanhe Non-Ferrous Metal Co., Ltd. *
 
CID003116
Gold
 
State Research Institute Center for Physical Sciences and Technology
 
CID003153

11


Metal
 
Smelter or Refiner Name
 (Based on data reported by the RMI as of April 23, 2018)
 
ID
Tungsten
 
Hunan Litian Tungsten Industry Co., Ltd.
 
CID003182
Gold
 
African Gold Refinery
 
CID003185
Gold
 
NH Recytech Company *
 
CID003189
Tin
 
Chifeng Dajingzi Tin Industry Co., Ltd. *
 
CID003190
Tantalum
 
Jiujiang Janny New Material Co., Ltd. *
 
CID003191
Gold
 
DS PRETECH Co., Ltd. *
 
CID003195
Tin
 
PT Bangka Serumpun *
 
CID003205
Tin
 
Pongpipat Company Limited
 
CID003208
_______________________________
 
 
# The SOR has changed its compliance or operational status since December 31, 2017.

Note: Based on our due diligence, the above SOR facilities process Conflict Minerals from one or more of the following countries of origin: Angola, Argentina, Armenia, Australia, Austria, Belarus, Belgium, Bermuda, Bolivia, Brazil, Burundi, Cambodia, Canada, Central African Republic, Chile, China, Colombia, Czech Republic, DRC, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, Finland, France, Germany, Ghana, Guinea, Guyana, Hong Kong, Hungary, India, Indonesia, Ireland, Israel, Italy, Japan, Jersey, Kazakhstan, Kenya, Republic of Korea, Kyrgyzstan, Laos, Luxembourg, Madagascar, Malaysia, Mali, Mexico, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Netherlands, New Zealand, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Russian Federation, Rwanda, Saudi Arabia, Sierra Leone, Singapore, Slovakia, South Africa, South Sudan, Spain, Suriname, Sweden, Switzerland, Taiwan, Tajikistan, Tanzania, Thailand, Turkey, Uganda, United Arab Emirates, United Kingdom, United States, Uzbekistan, Vietnam, Zambia, and Zimbabwe.



12