EX-1.01 2 ex_743988.htm EXHIBIT 1.01 ex_743988.htm

Exhibit 1.01

 

M-tron Industries, Inc.

Conflict Minerals Report

For the Year Ended December 31, 2024

 

This Conflict Minerals Report (the "Report") for the year ended December 31, 2024 was prepared by M-tron Industries, Inc. (hereinafter referred to as "Mtron," the "Company," "we," "us," or "our") pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended ("Rule 13p-1"), on a consolidated basis, in accordance with the instructions to Form SD.

 

Forward-looking statements contained in this Report are made based on events and circumstances known by us at the time of release and, as such, are inherently subject to unforeseen uncertainties and risks. Statements in this Report which express a belief, expectation, or intention, as well as those that are not historical fact, are forward-looking statements, including statements related to the Company’s business, products, compliance efforts, and expected actions identified in this Report. These forward-looking statements are subject to various risks, uncertainties, and assumptions, including, among other matters, our customers’ requirements to use certain suppliers, our suppliers’ responsiveness and cooperation with our due diligence efforts, our ability to implement improvements in our conflict minerals program, changes to the sourcing status of smelters and refiners in our supply chain, and our ability to identify and mitigate related risks in our supply chain. If one or more of these or other risks materialize, actual results may vary materially from those expressed. For a more complete discussion of these and other risk factors, see our Annual Report on Form 10-K for the year ended December 31, 2024 and subsequent Forms 10-Q filed with the Securities and Exchange Commission ("SEC"). The Company makes these statements as of the date of this disclosure and undertakes no obligation to update them unless otherwise required by law.

 

The term "Conflict Minerals" is defined in Rule 13p-1 and refers to gold and cassiterite, columbite-tantalite, gold, wolframite, or their derivatives, which are limited to tin, tantalum, and tungsten (collectively, the "Conflict Minerals" or "3TGs"). Rule 13p-1 requires disclosure of certain information when a company manufactures or contracts to manufacture products containing Conflict Minerals that are necessary to the functionality or production of those products. These requirements apply to registrants whatever the geographic origin of the conflict minerals and whether or not they fund armed conflict.

 

In accordance with the instructions to Form SD, as modified by the SEC's April 29, 2014 Statement on the Effect of the Recent Court of Appeals Decision on the Conflict Minerals Rule, this Report outlines the diligence measures undertaken by the Company to assess the source and chain of custody of necessary Conflict Minerals in its supply chain. This Report is not subject to an independent private sector audit in accordance with the instructions to Form SD.

 

Company and Product Overview

 

The Company is engaged in the designing, manufacturing and marketing of highly-engineered, high reliability frequency and spectrum control products used to control the frequency of timing of signals in electronic circuits in various applications. The Company's primary markets are defense, aerospace, space, and avionics.

 

Covered Products

 

We conducted an analysis of our products and determined that certain Conflict Minerals, specifically 3TGs, are necessary to the functionality or production of substantially all our products. Those products include radio frequency ("RF") modules, crystal oscillators ("XOs"), oven controlled crystal oscillators ("OCXOs"), temperature compensated crystal oscillators ("TCXOs"), voltage controlled crystal oscillators ("VCXOs"), double oven controlled crystal oscillators ("DOCXOs"), cavity/combine filters, ceramic filters, lumped element filters, crystal filters, and crystal resonators (collectively, the "Covered Products").

 

Supply Chain Description

 

Our business depends on an extensive network of global suppliers to provide the materials and parts required to make our products. As a downstream company, there are multiple tiers of suppliers between us and the ultimate raw materials sources of the Conflict Minerals that enter the manufacturing process. Further, such Conflict Minerals are frequently included in parts that we purchase from our suppliers rather than being purchased by us in raw form. Therefore, we must rely on our suppliers to further work with their suppliers to provide us with accurate information about the origin of the 3TGs in the materials and parts that we purchase.

 

 

 

1

 

Reasonable Country of Origin ("RCOI")

 

The Company has actively engaged with our suppliers for several years with respect to the use of Conflict Minerals. To determine whether necessary 3TGs in our products originated in the Democratic Republic of Congo ("DRC") and surrounding countries (collectively, the "Covered Countries"), we retained Assent Compliance ("Assent"), our third-party service provider, to assist us in reviewing our supply chain. We first identified suppliers providing Covered Products to the Company which we considered to be at risk of containing 3TGs ("in scope suppliers") and then provided a list composed of such in scope suppliers associated with the Covered Products to Assent for upload to the Assent Compliance Manager tool ("ACM"). We deemed it impractical to filter this list further to exclude some possibly irrelevant suppliers because we could not determine definitively the presence or absence of 3TGs in all parts supplied to the Company for our products.

 

We utilized the Responsible Minerals Initiative’s ("RMI") Conflict Minerals Reporting Template ("CMRT") version 6.4 to conduct a survey of all in scope suppliers. During the supplier survey, we contacted suppliers via the ACM. Assent requested that all in scope suppliers complete a CMRT and included training and education to guide suppliers on best practices and the use of this template. Assent monitored and tracked all communications in the ACM for future reporting and transparency. We directly contacted in scope suppliers that were unresponsive to Assent’s communications during the diligence process and requested such suppliers to complete the CMRT form and submit such form to Assent.

 

Due Diligence Program

 

Our due diligence measures have been designed to conform to the five-step framework in the Organisation for Economic Co-operation and Development ("OECD") Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition (the "OECD Guidance") and the related supplements for 3TGs.

 

1.

Establish strong company management systems

 

The Company has established and implemented the following:

 

Adopted a Conflict Minerals Policy Statement, communicated it to relevant suppliers, and posted it publicly at www.mtron.com/conflict-minerals-policy.

 

Structured internal management to support supply chain due diligence.

 

Engaged with our suppliers through our RCOI and due diligence activities aimed at ensuring that they do not contribute to human rights abuses or conflicts.

 

Engaged Assent to assist us with evaluating supply chain information regarding 3TGs, identifying potential risks, and the development and implementation of additional due diligence steps that we undertake with suppliers in regards to Conflict Minerals.

 

2.

Identify and assess risk in the supply chain

 

In accordance with OECD Guidance, it is important to identify and assess risks associated with Conflict Minerals in our supply chain. Risks were identified by assessing the due diligence practices of smelters and refiners identified in our supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. Assent compared the facilities listed in the responses to the list of smelters and refiners maintained by the RMI to ensure that the facilities met the RMI definition of a 3TGs processing facility that was operational during the 2024 calendar year.

 

In order to assess the risk that any of these smelters posed to our supply chain, Assent determined if the smelter had been audited against a standard in conformity with the OECD Guidance, such as the RMI's Responsible Minerals Assurance Program ("RMAP") standard. We do not typically have a direct relationship with 3TGs smelters and refiners and do not perform or direct audits of these entities within our supply chain.

 

We are working to validate the smelter/refiner entries from the submitted CMRTs. Due to the provision of primarily supplier-level CMRTs, we cannot definitively determine their connection to the Covered Products.

 

 

2

 

Each facility that meets the RMI definition of a smelter or refiner of a 3TGs mineral is assessed according to red flag indicators defined in the OECD Guidance. Assent uses numerous factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags. These factors include:

 

Geographic proximity to the Covered Countries;

 

Known mineral source country of origin;

 

RMAP audit status;

 

Credible evidence of unethical or conflict sourcing; and

 

Peer assessments conducted by credible third-party sources.

 

As part of our risk management plan under the OECD Guidance, when facilities with red flags were reported on a CMRT by one of the suppliers surveyed, risk mitigation activities were initiated. Through Assent, submissions that include any red flag facilities immediately produced a receipt instructing the supplier to take their own risk mitigation actions, including submission of a product specific CMRT to better identify the connection to products that they supply to the Company, and escalating up to removal of these red flag smelters from the supply chain.

 

Per the OECD Guidance, risk mitigation will depend on the supplier's specific context. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these red flags from the supply chain. In addition, suppliers are guided to the Assent University learning platform to engage in educational materials on mitigating the risk of smelters or refiners on the supply chain.

 

Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). The criteria used to evaluate the strength of the program are based on the following four questions in the CMRT:

 

Have you established a conflict minerals sourcing policy?

 

Have you implemented due diligence measures for conflict-free sourcing?

 

Do you review due diligence information received from your suppliers against your company's expectations?

 

Does your review process include corrective action management?

 

When suppliers meet or exceed those criteria, they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program.

 

3.

Design and implement a strategy to respond to identified risks

 

Together with Assent, we develop processes to assess and respond to the risks identified in our supply chain. In response to this risk assessment, the Company has a risk management plan, through which the conflict minerals program is implemented, managed, and monitored. As the program progresses, escalations are sent to non-responsive suppliers to outline the importance of a response via CMRTs and to outline the required cooperation for compliance with Rule 13p-1.

 

We engage each of our suppliers that we have reason to believe are supplying us with 3TGs from sources that may support conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict, as provided in the OECD Guidance.

 

For 2024, we conducted a review of our suppliers to identify suppliers of components and materials used in products within the scope of Rule 13p-1. As a result of this review, we determined that, for 2024, there were 99 suppliers potentially within the scope of Rule 13p-1.

 

4.

Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain

 

As a downstream manufacturer, the Company does not have a direct relationship with 3TGs smelters and refiners and does not perform or direct audits of these entities within its supply chain. We rely on industry efforts, such as RMI, to influence smelters and refiners to be audited and certified through RMI's RMAP.

 

Assent also directly contacts smelters and refiners that are not currently enrolled in the RMAP to encourage their participation and gather information regarding each facility's sourcing practices on behalf of its compliance partners. We are signatory of this communication in accordance with the requirements of downstream companies detailed in the OECD guidance.

 

3

 

5.

Report on Supply Chain Due Diligence

 

The Company submitted our annual 2024 Conflict Minerals Report to the SEC, the public, and our shareholders on June 2, 2025. This report and the associated Form SD for 2024 are publicly available on the Company's investor relations website at ir.mtron.com/governance/governance-documents.

 

Due Diligence Results

 

Survey Results

For the 2024 reporting year, we surveyed 99 suppliers and received CMRT forms from 68% of those suppliers, which was a decrease over the prior year response rate of 70%. All final CMRT submissions were reviewed and validated to ensure no inaccuracies or gaps in data were found.

 

Smelters and Refiners

Attached as Appendix A is a list of all of the smelters and refiners listed by our suppliers in their completed CMRTs that appear on the lists of smelters maintained by the RMI. Since many of the CMRTs we received from our suppliers were made on a company or division level basis, rather than on a product-level basis, we are not able to identify which smelters or refiners listed on Appendix A actually processed the 3TGs contained in our products. Therefore, our list of processing smelters and refiners disclosed in Appendix A may contain more facilities than those that actually processed the 3TGs contained in the Covered Products.

 

Countries of Origin

Appendix B includes an aggregated list of the countries of origin from which the reported facilities collectively source Conflict Minerals, based on information provided by suppliers and the RMI. As mentioned in the above section, many responses were provided at the company or division level, rather than on a product level. Therefore, Appendix B may contain more countries than those that are actually the sources of the 3TGs in the Covered Products.

 

Based on the responses that we received from our suppliers, while no suppliers indicated that they had any direct issues with non-compliance, we will be working to find alternate suppliers for some of our products.

 

Ongoing and Planned Efforts to Mitigate the Risk and Improve Due Diligence

 

As an indirect purchaser of 3TGs several levels removed from the actual mining or smelting of the minerals, our position in the supply chain is remote. As a result, our due diligence efforts cannot provide absolute assurance regarding the source and chain of custody of the 3TGs ultimately included in our products. We intend to take the following steps to improve the due diligence conducted and to further mitigate any future risk of sourcing 3TGs that benefit armed groups:

 

Continue to develop supplier engagement strategies that may improve the RCOI response rate;

 

Leverage Assent to obtain CMRTs on a product-specific basis to enable us to determine which smelters and refiners actually process 3TGs contained in our products;

 

Continue to include a 3TGs compliance provision in new or renewed purchase agreements with direct material suppliers to set forth expectations such that direct material suppliers will cooperate with our due diligence measures; and

 

Engage with any direct suppliers found to be supplying us with 3TGs from sources that support conflict in any Covered Country to seek to establish an acceptable alternative source of 3TGs.

 

 

4

 

Appendices

 

The information in the tables in Appendices A and B below have been gathered and transmitted through multiple levels of our supply chain, and there is a risk that it is not accurate or current. In most cases, direct suppliers provided smelter and/or refiner information and therefore any country of origin data related to such smelter and/or refiner for their entire supply chain without identifying which smelters and/or refiners may have contributed Conflict Minerals to components and materials actually supplied to us. Accordingly, we cannot verify that any of the smelters and/or refiners or country of origin data shown in these tables were part of our supply chain. The presence of a smelter or refiner in this table does not necessarily mean that Conflict Minerals processed at that smelter or refiner were used in any components and materials supplied to us or in any Mtron products.

 

 

5

 

Appendix A - Smelter List

 

Metal

 

Smelter Name

 

Country

 

Smelter ID

Gold

 

Advanced Chemical Company

 

United States Of America

 

CID000015

Gold

 

Aida Chemical Industries Co., Ltd.

 

Japan

 

CID000019

Gold

 

Agosi AG

 

Germany

 

CID000035

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

Uzbekistan

 

CID000041

Gold

 

AngloGold Ashanti Corrego do Sitio Mineracao

 

Brazil

 

CID000058

Gold

 

Argor-Heraeus S.A.

 

Switzerland

 

CID000077

Gold

 

Asahi Pretec Corp.

 

Japan

 

CID000082

Gold

 

Asaka Riken Co., Ltd.

 

Japan

 

CID000090

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

Turkey

 

CID000103

Gold

 

Aurubis AG

 

Germany

 

CID000113

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

Philippines

 

CID000128

Gold

 

Boliden Ronnskar

 

Sweden

 

CID000157

Gold

 

C. Hafner GmbH + Co. KG

 

Germany

 

CID000176

Gold

 

Caridad

 

Mexico

 

CID000180

Gold

 

CCR Refinery - Glencore Canada Corporation

 

Canada

 

CID000185

Gold

 

Cendres + Metaux S.A.

 

Switzerland

 

CID000189

Gold

 

Yunnan Copper Industry Co., Ltd.

 

China

 

CID000197

Gold

 

Chimet S.p.A.

 

Italy

 

CID000233

Gold

 

Chugai Mining

 

Japan

 

CID000264

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

China

 

CID000343

Gold

 

DSC (Do Sung Corporation)

 

Korea, Republic Of

 

CID000359

Gold

 

Dowa

 

Japan

 

CID000401

Gold

 

Eco-System Recycling Co., Ltd. East Plant

 

Japan

 

CID000425

Gold

 

JSC Novosibirsk Refinery

 

Russian Federation

 

CID000493

Gold

 

Refinery of Seemine Gold Co., Ltd.

 

China

 

CID000522

Gold

 

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

 

China

 

CID000651

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

China

 

CID000671

Gold

 

LT Metal Ltd.

 

Korea, Republic Of

 

CID000689

Gold

 

Heimerle + Meule GmbH

 

Germany

 

CID000694

Gold

 

Heraeus Metals Hong Kong Ltd.

 

China

 

CID000707

Gold

 

Heraeus Germany GmbH Co. KG

 

Germany

 

CID000711

Gold

 

Hunan Chenzhou Mining Co., Ltd.

 

China

 

CID000767

Gold

 

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

 

China

 

CID000773

Gold

 

HwaSeong CJ CO., LTD.

 

Korea, Republic Of

 

CID000778

Gold

 

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

 

China

 

CID000801

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

Japan

 

CID000807

Gold

 

Istanbul Gold Refinery

 

Turkey

 

CID000814

Gold

 

Japan Mint

 

Japan

 

CID000823

Gold

 

Jiangxi Copper Co., Ltd.

 

China

 

CID000855

Gold

 

Asahi Refining USA Inc.

 

United States Of America

 

CID000920

Gold   Asahi Refining Canada Ltd.   Canada   CID000924
Gold   JSC Ekaterinburg Non-Ferrous Metal Processing Plant   Russian Federation   CID000927
Gold   JSC Uralelectromed   Russian Federation   CID000929
Gold   JX Nippon Mining & Metals Co., Ltd.   Japan   CID000937
Gold   Kazakhmys Smelting LLC   Kazakhstan   CID000956

 

 

6

 

Appendix A - Smelter List (continued)

 

Metal

 

Smelter Name

 

Country

 

Smelter ID

Gold

 

Kazzinc

 

Kazakhstan

 

CID000957

Gold

 

Kennecott Utah Copper LLC

 

United States Of America

 

CID000969

Gold

 

Kojima Chemicals Co., Ltd.

 

Japan

 

CID000981

Gold

 

Kyrgyzaltyn JSC

 

Kyrgyzstan

 

CID001029

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

Gold

 

LS MnM Inc.

 

Korea, Republic Of

 

CID001078

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

China

 

CID001093

Gold

 

Materion

 

United States Of America

 

CID001113

Gold

 

Matsuda Sangyo Co., Ltd.

 

Japan

 

CID001119

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

China

 

CID001147

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

China

 

CID001149

Gold

 

Metalor Technologies (Singapore) Pte., Ltd.

 

Singapore

 

CID001152

Gold

 

Metalor Technologies S.A.

 

Switzerland

 

CID001153

Gold

 

Metalor USA Refining Corporation

 

United States Of America

 

CID001157

Gold

 

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

 

Mexico

 

CID001161

Gold

 

Mitsubishi Materials Corporation

 

Japan

 

CID001188

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

 

CID001193

Gold

 

Moscow Special Alloys Processing Plant

 

Russian Federation

 

CID001204

Gold

 

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

 

Turkey

 

CID001220

Gold

 

Navoi Mining and Metallurgical Combinat

 

Uzbekistan

 

CID001236

Gold

 

Nihon Material Co., Ltd.

 

Japan

 

CID001259

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

Japan

 

CID001325

Gold

 

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

 

Russian Federation

 

CID001326

Gold

 

MKS PAMP SA

 

Switzerland

 

CID001352

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

China

 

CID001362

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

 

CID001386

Gold

 

PT Aneka Tambang (Persero) Tbk

 

Indonesia

 

CID001397

Gold

 

PX Precinox S.A.

 

Switzerland

 

CID001498

Gold

 

Rand Refinery (Pty) Ltd.

 

South Africa

 

CID001512

Gold

 

Royal Canadian Mint

 

Canada

 

CID001534

Gold

 

Sabin Metal Corp.

 

United States Of America

 

CID001546

Gold

 

Samduck Precious Metals

 

Korea, Republic Of

 

CID001555

Gold

 

Samwon Metals Corp.

 

Korea, Republic Of

 

CID001562

Gold

 

SEMPSA Joyeria Plateria S.A.

 

Spain

 

CID001585

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

China

 

CID001619

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

China

 

CID001622

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

China

 

CID001736

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

Russian Federation

 

CID001756

Gold   Solar Applied Materials Technology Corp.   Taiwan, Province Of China   CID001761
Gold   Sumitomo Metal Mining Co., Ltd.   Japan   CID001798
Gold   Super Dragon Technology Co., Ltd.   Taiwan, Province Of China   CID001810
Gold   Tanaka Kikinzoku Kogyo K.K.   Japan   CID001875
Gold   Great Wall Precious Metals Co., Ltd. of CBPM   China   CID001909

 

 

7

 

Appendix A - Smelter List (continued)

 

Metal

 

Smelter Name

 

Country

 

Smelter ID

Gold

 

Shandong Gold Smelting Co., Ltd.

 

China

 

CID001916

Gold

 

Tokuriki Honten Co., Ltd.

 

Japan

 

CID001938

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

China

 

CID001947

Gold

 

Torecom

 

Korea, Republic Of

 

CID001955

Gold

 

Umicore S.A. Business Unit Precious Metals Refining

 

Belgium

 

CID001980

Gold

 

United Precious Metal Refining, Inc.

 

United States Of America

 

CID001993

Gold

 

Valcambi S.A.

 

Switzerland

 

CID002003

Gold

 

Western Australian Mint (T/a The Perth Mint)

 

Australia

 

CID002030

Gold

 

Yamakin Co., Ltd.

 

Japan

 

CID002100

Gold

 

Yokohama Metal Co., Ltd.

 

Japan

 

CID002129

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

China

 

CID002224

Gold

 

Gold Refinery of Zijin Mining Group Co., Ltd.

 

China

 

CID002243

Gold

 

Morris and Watson

 

New Zealand

 

CID002282

Gold

 

SAFINA A.S.

 

Czechia

 

CID002290

Gold

 

Guangdong Jinding Gold Limited

 

China

 

CID002312

Gold

 

Umicore Precious Metals Thailand

 

Thailand

 

CID002314

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

India

 

CID002509

Gold

 

KGHM Polska Miedz Spolka Akcyjna

 

Poland

 

CID002511

Gold

 

Fidelity Printers and Refiners Ltd.

 

Zimbabwe

 

CID002515

Gold

 

Singway Technology Co., Ltd.

 

Taiwan, Province Of China

 

CID002516

Gold

 

Shandong Humon Smelting Co., Ltd.

 

China

 

CID002525

Gold

 

Shenzhen Zhonghenglong Real Industry Co., Ltd.

 

China

 

CID002527

Gold

 

Al Etihad Gold Refinery DMCC

 

United Arab Emirates

 

CID002560

Gold

 

Emirates Gold DMCC

 

United Arab Emirates

 

CID002561

Gold

 

International Precious Metal Refiners

 

United Arab Emirates

 

CID002562

Gold

 

Kaloti Precious Metals

 

United Arab Emirates

 

CID002563

Gold

 

Sudan Gold Refinery

 

Sudan

 

CID002567

Gold

 

T.C.A S.p.A

 

Italy

 

CID002580

Gold

 

REMONDIS PMR B.V.

 

Netherlands

 

CID002582

Gold

 

Fujairah Gold FZC

 

United Arab Emirates

 

CID002584

Gold   Industrial Refining Company   Belgium   CID002587
Gold   Shirpur Gold Refinery Ltd.   India   CID002588
Gold   Korea Zinc Co., Ltd.   Korea, Republic Of   CID002605
Gold   Marsam Metals   Brazil   CID002606
Gold   TOO Tau-Ken-Altyn   Kazakhstan   CID002615
Gold   Abington Reldan Metals, LLC   United States Of America   CID002708
Gold   Shenzhen CuiLu Gold Co., Ltd.   China   CID002750
Gold   Albino Mountinho Lda.   Portugal   CID002760
Gold   SAAMP   France   CID002761
Gold   L'Orfebre S.A.   Andorra   CID002762
Gold   8853 S.p.A.   Italy   CID002763
Gold   Italpreziosi   Italy   CID002765
Gold   WIELAND Edelmetalle GmbH   Germany   CID002778
Gold   Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH   Austria   CID002779
Gold   AU Traders and Refiners   South Africa   CID002850

 

 

8

 

Appendix A - Smelter List (continued)

 

Metal

 

Smelter Name

 

Country

 

Smelter ID

Gold

 

GGC Gujrat Gold Centre Pvt. Ltd.

 

India

 

CID002852

Gold

 

Sai Refinery

 

India

 

CID002853

Gold

 

Modeltech Sdn Bhd

 

Malaysia

 

CID002857

Gold

 

Bangalore Refinery

 

India

 

CID002863

Gold

 

Kyshtym Copper-Electrolytic Plant ZAO

 

Russian Federation

 

CID002865

Gold

 

Degussa Sonne / Mond Goldhandel GmbH

 

Germany

 

CID002867

Gold

 

Pease & Curren

 

United States Of America

 

CID002872

Gold

 

JALAN & Company

 

India

 

CID002893

Gold

 

SungEel HiMetal Co., Ltd.

 

Korea, Republic Of

 

CID002918

Gold

 

Planta Recuperadora de Metales SpA

 

Chile

 

CID002919

Gold

 

ABC Refinery Pty Ltd.

 

Australia

 

CID002920

Gold

 

Safimet S.p.A

 

Italy

 

CID002973

Gold

 

State Research Institute Center for Physical Sciences and Technology

 

Lithuania

 

CID003153

Gold

 

African Gold Refinery

 

Uganda

 

CID003185

Gold

 

Gold Coast Refinery

 

Ghana

 

CID003186

Gold

 

NH Recytech Company

 

Korea, Republic Of

 

CID003189

Gold

 

QG Refining, LLC

 

United States Of America

 

CID003324

Gold

 

Dijllah Gold Refinery FZC

 

United Arab Emirates

 

CID003348

Gold

 

CGR Metalloys Pvt Ltd.

 

India

 

CID003382

Gold

 

Sovereign Metals

 

India

 

CID003383

Gold

 

Eco-System Recycling Co., Ltd. North Plant

 

Japan

 

CID003424

Gold

 

Eco-System Recycling Co., Ltd. West Plant

 

Japan

 

CID003425

Gold

 

Augmont Enterprises Private Limited

 

India

 

CID003461

Gold

 

Kundan Care Products Ltd.

 

India

 

CID003463

Gold

 

Emerald Jewel Industry India Limited (Unit 1)

 

India

 

CID003487

Gold

 

Emerald Jewel Industry India Limited (Unit 2)

 

India

 

CID003488

Gold

 

Emerald Jewel Industry India Limited (Unit 3)

 

India

 

CID003489

Gold

 

Emerald Jewel Industry India Limited (Unit 4)

 

India

 

CID003490

Gold

 

K.A. Rasmussen

 

Norway

 

CID003497

Gold

 

Alexy Metals

 

United States Of America

 

CID003500

Gold

 

MD Overseas

 

India

 

CID003548

Gold

 

Metallix Refining Inc.

 

United States Of America

 

CID003557

Gold

 

Metal Concentrators SA (Pty) Ltd.

 

South Africa

 

CID003575

Gold

 

WEEEREFINING

 

France

 

CID003615

Gold

 

Gold by Gold Colombia

 

Colombia

 

CID003641

Gold

 

Dongwu Gold Group

 

China

 

CID003663

Gold

 

Sam Precious Metals

 

United Arab Emirates

 

CID003666

Gold

 

NOBLE METAL SERVICES

 

United States Of America

 

CID003690

Gold

 

Coimpa Industrial LTDA

 

Brazil

 

CID004010

Gold

 

SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD.

 

China

 

CID004435

Gold   GG Refinery Ltd.   Tanzania, United Republic Of   CID004506
Gold   Attero Recycling Pvt Ltd   India   CID004697
Gold   Impala Platinum - Platinum Metals Refinery (PMR)   South Africa   CID004714
Gold   Elite Industech Co., Ltd.   Taiwan, Province Of China   CID004755
Tantalum   F&X Electro-Materials Ltd.   China   CID000460

 

 

9

 

Appendix A - Smelter List (continued)

 

Metal

 

Smelter Name

 

Country

 

Smelter ID

Tantalum

 

XIMEI RESOURCES (GUANGDONG) LIMITED

 

China

 

CID000616

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

China

 

CID000914

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

China

 

CID000917

Tantalum

 

AMG Brasil

 

Brazil

 

CID001076

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

India

 

CID001163

Tantalum

 

Mineracao Taboca S.A.

 

Brazil

 

CID001175

Tantalum

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

 

CID001192

Tantalum

 

NPM Silmet AS

 

Estonia

 

CID001200

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

 

CID001277

Tantalum

 

QuantumClean

 

United States Of America

 

CID001508

Tantalum

 

Yanling Jincheng Tantalum & Niobium Co., Ltd.

 

China

 

CID001522

Tantalum

 

Taki Chemical Co., Ltd.

 

Japan

 

CID001869

Tantalum

 

Telex Metals

 

United States Of America

 

CID001891

Tantalum

 

Ulba Metallurgical Plant JSC

 

Kazakhstan

 

CID001969

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

China

 

CID002492

Tantalum

 

D Block Metals, LLC

 

United States Of America

 

CID002504

Tantalum

 

FIR Metals & Resource Ltd.

 

China

 

CID002505

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

China

 

CID002506

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

China

 

CID002512

Tantalum

 

KEMET de Mexico

 

Mexico

 

CID002539

Tantalum

 

TANIOBIS Co., Ltd.

 

Thailand

 

CID002544

Tantalum

 

TANIOBIS GmbH

 

Germany

 

CID002545

Tantalum

 

Materion Newton Inc.

 

United States Of America

 

CID002548

Tantalum

 

TANIOBIS Japan Co., Ltd.

 

Japan

 

CID002549

Tantalum

 

TANIOBIS Smelting GmbH & Co. KG

 

Germany

 

CID002550

Tantalum

 

Global Advanced Metals Boyertown

 

United States Of America

 

CID002557

Tantalum

 

Global Advanced Metals Aizu

 

Japan

 

CID002558

Tantalum

 

Resind Industria e Comercio Ltda.

 

Brazil

 

CID002707

Tantalum

 

Jiangxi Tuohong New Raw Material

 

China

 

CID002842

Tantalum

 

Guangdong Rising Rare Metals-EO Materials Ltd.

 

China

 

CID000291

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

China

 

CID002508

Tantalum

 

RFH Yancheng Jinye New Material Technology Co., Ltd.

 

China

 

CID003583

Tantalum

 

PowerX Ltd.

 

Rwanda

 

CID004054

Tantalum

 

Solikamsk Magnesium Works OAO

 

Russian Federation

 

CID001769

Tantalum

 

5D Production OU

 

Estonia

 

CID003926

Tantalum

 

Jiangxi Sanshi Nonferrous Metals Co., Ltd

 

China

 

CID004813

Tin

 

Minsur

 

Peru

 

CID001182

Tin

 

Thaisarco

 

Thailand

 

CID001898

Tin

 

China Tin Group Co., Ltd.

 

China

 

CID001070

Tin

 

Metallic Resources, Inc.

 

United States Of America

 

CID001142

Tin   Operaciones Metalurgicas S.A.   Bolivia (Plurinational State Of)   CID001337
Tin   PT Timah Tbk Mentok   Indonesia   CID001482
Tin   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.   China   CID003116
Tin   Alpha   United States Of America   CID000292
Tin   EM Vinto   Bolivia (Plurinational State Of)   CID000438

 

 

10

 

Appendix A - Smelter List (continued)

 

Metal

 

Smelter Name

 

Country

 

Smelter ID

Tin

 

Fenix Metals

 

Poland

 

CID000468

Tin

 

Malaysia Smelting Corporation (MSC)

 

Malaysia

 

CID001105

Tin

 

Mineracao Taboca S.A.

 

Brazil

 

CID001173

Tin

 

Mitsubishi Materials Corporation

 

Japan

 

CID001191

Tin

 

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

 

Thailand

 

CID001314

Tin

 

PT Mitra Stania Prima

 

Indonesia

 

CID001453

Tin

 

PT Timah Tbk Kundur

 

Indonesia

 

CID001477

Tin

 

Rui Da Hung

 

Taiwan, Province Of China

 

CID001539

Tin

 

White Solder Metalurgia e Mineracao Ltda.

 

Brazil

 

CID002036

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

China

 

CID002158

Tin

 

Tin Smelting Branch of Yunnan Tin Co., Ltd.

 

China

 

CID002180

Tin

 

Aurubis Beerse

 

Belgium

 

CID002773

Tin

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

China

 

CID000228

Tin

 

PT Aries Kencana Sejahtera

 

Indonesia

 

CID000309

Tin

 

PT Premium Tin Indonesia

 

Indonesia

 

CID000313

Tin

 

Dowa

 

Japan

 

CID000402

Tin

 

Estanho de Rondonia S.A.

 

Brazil

 

CID000448

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

China

 

CID000538

Tin

 

Jiangxi New Nanshan Technology Ltd.

 

China

 

CID001231

Tin

 

PT Artha Cipta Langgeng

 

Indonesia

 

CID001399

Tin

 

PT Babel Inti Perkasa

 

Indonesia

 

CID001402

Tin

 

PT Babel Surya Alam Lestari

 

Indonesia

 

CID001406

Tin

 

PT Belitung Industri Sejahtera

 

Indonesia

 

CID001421

Tin

 

PT Bukit Timah

 

Indonesia

 

CID001428

Tin

 

PT Prima Timah Utama

 

Indonesia

 

CID001458

Tin   PT Refined Bangka Tin   Indonesia   CID001460
Tin   PT Sariwiguna Binasentosa   Indonesia   CID001463
Tin   PT Stanindo Inti Perkasa   Indonesia   CID001468

Tin

 

PT Timah Nusantara

 

Indonesia

 

CID001486

Tin   PT Tinindo Inter Nusa   Indonesia   CID001490

Tin

 

PT Tommy Utama

 

Indonesia

 

CID001493

Tin   CV Venus Inti Perkasa   Indonesia   CID002455

Tin

 

PT ATD Makmur Mandiri Jaya

 

Indonesia

 

CID002503

Tin

 

O.M. Manufacturing Philippines, Inc.

 

Philippines

 

CID002517

Tin

 

CV Ayi Jaya

 

Indonesia

 

CID002570

Tin

 

PT Rajehan Ariq

 

Indonesia

 

CID002593

Tin

 

PT Cipta Persada Mulia

 

Indonesia

 

CID002696

Tin

 

Super Ligas

 

Brazil

 

CID002756

Tin

 

Aurubis Berango

 

Spain

 

CID002774

Tin

 

PT Bangka Prima Tin

 

Indonesia

 

CID002776

Tin   PT Sukses Inti Makmur   Indonesia   CID002816
Tin   PT Menara Cipta Mulia   Indonesia   CID002835
Tin   HuiChang Hill Tin Industry Co., Ltd.   China   CID002844
Tin   Chifeng Dajingzi Tin Industry Co., Ltd.   China   CID003190
Tin   PT Bangka Serumpun   Indonesia   CID003205

 

 

11

 

Appendix A - Smelter List (continued)

 

Metal

 

Smelter Name

 

Country

 

Smelter ID

Tin

 

Tin Technology & Refining

 

United States Of America

 

CID003325

Tin

 

PT Rajawali Rimba Perkasa

 

Indonesia

 

CID003381

Tin

 

Luna Smelter, Ltd.

 

Rwanda

 

CID003387

Tin

 

PT Mitra Sukses Globalindo

 

Indonesia

 

CID003449

Tin

 

CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda

 

Brazil

 

CID003486

Tin

 

CRM Synergies

 

Spain

 

CID003524

Tin

 

Fabrica Auricchio Industria e Comercio Ltda.

 

Brazil

 

CID003582

Tin

 

DS Myanmar

 

Myanmar

 

CID003831

Tin

 

PT Putera Sarana Shakti (PT PSS)

 

Indonesia

 

CID003868

Tin

 

Malaysia Smelting Corporation Berhad (Port Klang)

 

Malaysia

 

CID004434

Tin

 

VQB Mineral and Trading Group JSC

 

Viet Nam

 

CID002015

Tin

 

Magnu's Minerais Metais e Ligas Ltda.

 

Brazil

 

CID002468

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

Viet Nam

 

CID002573

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

Viet Nam

 

CID002574

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

Viet Nam

 

CID002703

Tin

 

Resind Industria e Comercio Ltda.

 

Brazil

 

CID002706

Tin

 

Pongpipat Company Limited

 

Myanmar

 

CID003208

Tin

 

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

 

China

 

CID003397

Tin

 

Precious Minerals and Smelting Limited

 

India

 

CID003409

Tin

 

Gejiu City Fuxiang Industry and Trade Co., Ltd.

 

China

 

CID003410

Tin

 

Mining Minerals Resources SARL

 

Congo, Democratic Republic Of The

 

CID004065

Tin

 

Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD.

 

Japan

 

CID004403

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

China

 

CID000555

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

China

 

CID000942

Tin

 

Novosibirsk Tin Combine

 

Russian Federation

 

CID001305

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

China

 

CID001908

Tin

 

Melt Metais e Ligas S.A.

 

Brazil

 

CID002500

Tin

 

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

 

Viet Nam

 

CID002572

Tin

 

Modeltech Sdn Bhd

 

Malaysia

 

CID002858

Tin

 

Dongguan CiEXPO Environmental Engineering Co., Ltd.

 

China

 

CID003356

Tin

 

Ma'anshan Weitai Tin Co., Ltd.

 

China

 

CID003379

Tin

 

RIKAYAA GREENTECH PRIVATE LIMITED

 

India

 

CID004692

Tin

 

Woodcross Smelting Company Limited

 

Uganda

 

CID004724

Tin

 

Global Advanced Metals Greenbushes Pty Ltd.

 

Australia

 

CID004754

Tin

 

Longnan Chuangyue Environmental Protection Technology Development Co., Ltd

 

China

 

CID004796

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

China

 

CID000218

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

China

 

CID002082

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

China

 

CID002494

Tungsten

 

A.L.M.T. Corp.

 

Japan

 

CID000004

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

China

 

CID000258

Tungsten   Global Tungsten & Powders LLC   United States Of America   CID000568
Tungsten   Wolfram Bergbau und Hutten AG   Austria   CID002044
Tungsten   Jiangxi Yaosheng Tungsten Co., Ltd.   China   CID002316
Tungsten   Xiamen Tungsten (H.C.) Co., Ltd.   China   CID002320
Tungsten   Jiangxi Gan Bei Tungsten Co., Ltd.   China   CID002321

 

 

12

 

Appendix A - Smelter List (continued)

 

Metal

 

Smelter Name

 

Country

 

Smelter ID

Tungsten

 

Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch

 

China

 

CID002513

Tungsten

 

H.C. Starck Tungsten GmbH

 

Germany

 

CID002541

Tungsten

 

Masan High-Tech Materials

 

Viet Nam

 

CID002543

Tungsten

 

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

 

China

 

CID002551

Tungsten

 

Niagara Refining LLC

 

United States Of America

 

CID002589

Tungsten

 

Kennametal Huntsville

 

United States Of America

 

CID000105

Tungsten

 

Hunan Chenzhou Mining Co., Ltd.

 

China

 

CID000766

Tungsten

 

Japan New Metals Co., Ltd.

 

Japan

 

CID000825

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

China

 

CID002315

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

China

 

CID002317

Tungsten

 

TANIOBIS Smelting GmbH & Co. KG

 

Germany

 

CID002542

Tungsten

 

China Molybdenum Tungsten Co., Ltd.

 

China

 

CID002641

Tungsten

 

Lianyou Metals Co., Ltd.

 

Taiwan, Province Of China

 

CID003407

Tungsten

 

Hunan Jintai New Material Co., Ltd.

 

China

 

CID000769

Tungsten

 

Kennametal Fallon

 

United States Of America

 

CID000966

Tungsten

 

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

 

China

 

CID002318

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

China

 

CID002319

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

Viet Nam

 

CID002502

Tungsten

 

Philippine Chuangxin Industrial Co., Inc.

 

Philippines

 

CID002827

Tungsten

 

Hubei Green Tungsten Co., Ltd.

 

China

 

CID003417

Tungsten

 

Cronimet Brasil Ltda

 

Brazil

 

CID003468

Tungsten

 

Fujian Xinlu Tungsten Co., Ltd.

 

China

 

CID003609

Tungsten

 

Tungsten Vietnam Joint Stock Company

 

Viet Nam

 

CID003993

Tungsten

 

Lianyou Resources Co., Ltd.

 

Taiwan, Province Of China

 

CID004397

Tungsten

 

Shinwon Tungsten (Fujian Shanghang) Co., Ltd.

 

China

 

CID004430

Tungsten

 

Kenee Mining Corporation Vietnam

 

Viet Nam

 

CID004619

Tungsten

 

CNMC (Guangxi) PGMA Co., Ltd.

 

China

 

CID000281

Tungsten

 

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

 

China

 

CID002313

Tungsten

 

Hydrometallurg, JSC

 

Russian Federation

 

CID002649

Tungsten   Unecha Refractory metals plant   Russian Federation   CID002724
Tungsten   ACL Metais Eireli   Brazil   CID002833
Tungsten   Moliren Ltd.   Russian Federation   CID002845
Tungsten   JSC "Kirovgrad Hard Alloys Plant"   Russian Federation   CID003408
Tungsten   NPP Tyazhmetprom LLC   Russian Federation   CID003416
Tungsten   Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.   Brazil   CID003427
Tungsten   Artek LLC   Russian Federation   CID003553
Tungsten   OOO “Technolom” 2   Russian Federation   CID003612
Tungsten   OOO “Technolom” 1   Russian Federation   CID003614
Tungsten   LLC Vostok   Russian Federation   CID003643
Tungsten   YUDU ANSHENG TUNGSTEN CO., LTD.   China   CID003662
Tungsten   HANNAE FOR T Co., Ltd.   Korea, Republic Of   CID003978
Tungsten   Nam Viet Cromit Joint Stock Company   Viet Nam   CID004034
Tungsten   MALAMET SMELTING SDN. BHD.   Malaysia   CID004056
Tungsten   DONGKUK INDUSTRIES CO., LTD.   Korea, Republic Of   CID004060
Tungsten   Philippine Bonway Manufacturing Industrial Corporation   Philippines   CID004797
Tungsten   Philippine Carreytech Metal Corp.   Philippines   CID004438

 

 

13

 

Appendix B - Countries of Origin *

 

Albania

 

Guyana

 

Saudi Arabia

Andorra

 

Honduras

 

Senegal

Angola

 

Hong Kong

 

Serbia

Argentina

 

Hungary

 

Sierra Leone

Armenia

 

India

 

Singapore

Australia

 

Indonesia

 

Slovakia

Austria

 

Ireland

 

Solomon Islands

Azerbaijan

 

Israel

 

South Africa

Belarus

 

Italy

 

South Sudan

Belgium

 

Ivory Coast

 

Spain

Benin

 

Japan

 

Sudan

Bermuda

 

Jersey

 

Suriname

Bolivia (Plurinational State of)

 

Kazakhstan

 

Sweden

Botswana

 

Kenya

 

Switzerland

Brazil

 

Korea

 

Taiwan

Bulgaria

 

Kyrgyzstan

 

Tajikistan

Burkina Faso

 

Liberia

 

Tanzania

Burundi

 

Liechtenstein

 

Thailand

Cambodia

 

Lithuania

 

Togo

Canada

 

Luxembourg

 

Turkey

Central African Republic

 

Madagascar

 

Uganda

Chile

 

Malaysia

 

United Arab Emirates

China

 

Mali

 

United Kingdom

Colombia

 

Mauritania

 

United States of America

Congo

 

Mexico

 

Uruguay

Cyprus

 

Mongolia

 

Uzbekistan

Democratic Republic of Congo

 

Morocco

 

Viet Nam

Djibouti

 

Mozambique

 

Zambia

Dominica

 

Myanmar

   

Dominican Republic

 

Namibia

   

Ecuador

 

Netherlands

   

Egypt

 

New Zealand

   

El Salvador

 

Nicaragua

   

Eritrea

 

Niger

   

Estonia

 

Nigeria

   

Ethiopia

 

Norway

   

Fiji

 

Oman

   

Finland

 

Panama

   

France

 

Papua New Guinea

   

Georgia

 

Peru

   

Germany

 

Philippines

   

Ghana

 

Poland

   

Guam

 

Portugal

   

Guatemala

 

Russian Federation

   

Guinea

 

Rwanda

   

 

* Country of origin information of the Conflict Minerals used by RMAP Conformant smelters is provided by the RMI. Due to confidentiality restrictions, the RMI may only disclose country of origin information on an aggregate basis where the country of origin is not the DRC.

 

 

14