UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
VARIAN MEDICAL SYSTEMS, INC.
(Exact name of the registrant as specified in its charter)
| Delaware | 1-7598 | 94-2359345 | ||
| (State or other jurisdiction of incorporation or organization) |
(Commission File Number) |
(IRS Employer Identification No.) | ||
| 3100 HANSEN WAY, PALO ALTO, CA | 94304-1030 | |||
| (Address of principal executive offices) | (Zip code) | |||
John W. Kuo (650) 493-4000
(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, 2015. |
Introduction:
Varian Medical Systems, Inc. is a Delaware corporation originally incorporated in 1948 as Varian Associates, Inc. Varian Medical Systems, Inc. and subsidiaries are referred to herein as the “Company.”
The Company designs, manufactures, sells and services hardware and software products for treating cancer with radiotherapy, stereotactic radiosurgery, stereotactic body radiotherapy, and brachytherapy. The Company also designs, manufactures, sells and services X-ray imaging components for use in a range of applications, including radiographic or fluoroscopic imaging, mammography, special procedures, computed tomography, computer-aided diagnostics and industrial applications. In addition, the Company designs, manufactures, sells and services linear accelerators, image processing software and image detection products for security and inspection purposes. The Company also develops, designs, manufactures, sells and services proton therapy products and systems for cancer treatment.
| Item 1.01. | Conflict Minerals Disclosure and Report |
The Company has concluded in good faith that during 2015,
| a) | The Company has manufactured and contracted to manufacture products as to which “conflict minerals” (as defined in Section 1, Item 1.01 (d) (3) of Form SD) are necessary to the functionality or production of such products. |
| b) | Based on a “reasonable country of origin inquiry”, the Company knows or has reason to believe that a portion of its necessary conflict minerals originated or may have originated in the Democratic Republic of the Congo or an adjoining country (collectively, sometimes referred to as the “Covered Countries”). Further the Company has determined that smelters and refiners identified as sourcing from “Covered Countries” have been audited by the Conflict-Free Sourcing Initiative (CFSI) and validated as “compliant”. |
The Company’s reasonable country of origin inquiry employed a combination of measures to determine whether the necessary conflict minerals in any of the Company’s products originated from the Covered Countries. The Company’s primary means of determining country of origin of necessary conflict minerals was by conducting a supply-chain survey with direct vendors using the Electronic Industry Citizenship Coalition/Global e-Sustainability Initiative (EICC/GeSI) Conflict Minerals Reporting Template. The Company surveyed its direct vendors that were determined to have tin, tantalum, tungsten and gold in their products. Additionally, the Company used the CFSI website (http://www.conflictfreesourcing.org/ ), smelter company websites and other online tools to provide additional country of origin information.
Below is a summary of the information collected from all supply-chain survey respondents.
| Conflict |
Countries of Origin | |
| Gold | Australia, Brazil, Chile, Kazakhstan, South Korea, Canada, Switzerland, Belgium, Bolivia, United States, France, Germany, Hong Kong, China, India, Indonesia, Papua New Guinea, Argentina, Peru, Italy, Japan, Mexico, Netherlands, Philippines, Poland, Russian Federation, Singapore, Taiwan, Thailand, Zimbabwe | |
| Tantalum | Australia, Canada, Bolivia, Brazil, Burundi, Ethiopia, India, Mozambique, Namibia, Nigeria, Rwanda, Sierra Leone, Zimbabwe, Austria, China, Germany, Japan, Thailand, Kazakhstan, Mexico, Russian Federation, United States, Estonia, Democratic Republic of the Congo* | |
| Tin | Australia, Belgium, Bolivia, Brazil, Canada, China, Indonesia, Malaysia, Peru, Czech Republic, France, Germany, Hong Kong, Japan, Malaysia, Philippines, Russian Federation, Singapore, South Korea, Switzerland, Taiwan, Thailand, United Kingdom, United States, Vietnam, Democratic Republic of the Congo* | |
| Tungsten | Australia, Bolivia, Brazil, Canada, Colombia, United States, Mexico, Nigeria, Russian Federation, Rwanda, Spain, Thailand, Vietnam, Portugal, Austria, Peru, China, Germany, India, Japan, South Korea, Vietnam | |
| * | The reported tantalum from the DRC came from 8 smelters all of which have been audited and validated as “compliant” by the Conflict-Free Sourcing Initiative (CFSI), which is internationally recognized for conflict free validation audits. The reported tin from the DRC came from a smelter which has been audited and validated as “compliant” by the CFSI. |
In accordance with Rule 13p-1 under the Securities Exchange Act of 1934, the Company has filed this Specialized Disclosure Form (Form SD) with the Securities and Exchange Commission and the associated Conflict Minerals Report and both documents are posted to a publicly available Internet site at https://www.varian.com/about-varian/citizenship.
| Item 1.02. | Exhibits |
Conflict Minerals Report required by Item 1.01 is attached at Exhibit 1.01.
| Item 2.01. | Exhibits |
| 1.01. | Conflict Minerals Report as required by Items 1.01 and 1.02. |
* * * * *
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 duly authorized undersigned.
| VARIAN MEDICAL SYSTEMS, INC. |
||||||
| (Registrant) | ||||||
| /s/ John W. Kuo |
||||||
| By: John W. Kuo, Senior Vice President, General Counsel and Corporate Secretary |
May 31, 2016 | |||||
Exhibit 1.01
VARIAN MEDICAL SYSTEMS, INC.
CONFLICT MINERALS REPORT
FOR THE YEAR ENDED DECEMBER 31, 2015
This report for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”).
| I. | Overview |
| a. | Company Overview |
Varian Medical Systems, Inc. (“Varian”) and its subsidiaries (collectively “Varian” or the “Company”) design, manufacture, sell and service hardware and software products for treating cancer with radiotherapy, stereotactic radiosurgery, stereotactic body radiotherapy, and brachytherapy. The Company also designs, manufactures, sells and services X-ray imaging components for use in a range of applications, including radiographic or fluoroscopic imaging, mammography, special procedures, computed tomography, computer-aided diagnostics and industrial applications. In addition, the Company designs, manufactures, sells and services linear accelerators, image processing software and image detection products for security and inspection purposes. The Company also develops, designs, manufactures, sells and services proton therapy products and systems for cancer treatment.
| b. | Product Overview |
The Company’s operations are currently grouped into two reportable operating segments: Oncology Systems and Imaging Components. The Ginzton Technology Center (“GTC”) and Varian Particle Therapy (“VPT”) business are reflected in the “Other” category because those operating segments do not meet the criteria of a reportable operating segment.
Oncology Systems. The Company’s largest business segment is Oncology Systems, which designs, manufactures, sells and services hardware and software products for treating cancer with conventional radiotherapy and advanced treatments such as, intensity-modulated radiation therapy, image-guided radiation therapy, volumetric modulated arc therapy, stereotactic radiosurgery, stereotactic body radiotherapy and brachytherapy, as well as informatics software for information management, clinical knowledge exchange, patient care management, practice management and decision-making support for comprehensive cancer clinics, radiotherapy centers and medical oncology practices.
Imaging Components. The Company’s Imaging Components business segment designs, manufactures, sells and services X-ray imaging components for use in a range of applications, including radiographic or fluoroscopic imaging, mammography, special procedures, computed tomography, computer-aided diagnostics, and industrial applications. The Company provides a broad range of X-ray imaging components including X-ray tubes, flat panel digital image detectors, high voltage connectors, image processing software and workstations, ionization chambers and automatic exposure control systems. The Company’s Imaging Components business segment also designs, manufactures, sells and services security and inspection products, which include Linatron® X-ray accelerators, imaging processing software and image detection products for security and inspection purposes, such as cargo screening at ports and borders and nondestructive examination in a variety of applications.
Other. The “Other” category is comprised of VPT and the operations of the GTC.
VPT develops, designs, manufactures, sells and services products and systems for delivering proton therapy, another form of external beam radiotherapy using proton beams, for the treatment of cancer. GTC develops technologies that enhance the Company’s current businesses or may lead to new business areas, including technology to improve radiation therapy and X-ray imaging, as well as other technology for a variety of applications.
| c. | Supply Chain Overview |
The Company’s supply chain is complex, and there are multiple tiers between the Company and the mine. The Company relies on the Company’s vendors to provide information on the origin of the conflict minerals contained in components that are included in the Company’s products.
| II. | Reasonable Country of Origin Inquiry and Due Diligence Measures |
For reporting year 2015, to identify and assess risk in the supply chain, the Company engaged those vendors who provide the substantial majority of the Company’s components and products of which the Company believes are likely to contain conflict minerals. The Company conducted a supply chain survey of these vendors to determine whether the necessary conflict minerals in components contained in the Company’s products were or were not DRC conflict free (as defined in the Rule). The survey requested vendors to identify smelters and refiners and country of origin of the conflict minerals they provide to the Company.
The Company’s due diligence measures have been designed to conform, in all material respects, to the framework in the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD 2011) and related Supplements for tantalum, tin, tungsten and gold (“3TG”). In accordance with the OECD 5 Step Framework, the Company’s due diligence exercise included:
| (1) | Establish strong company management systems |
The Company’s conflict minerals team is organized by the Varian Legal Department, and includes key members of the Global Supply Chain Management team in each business unit worldwide. The Company’s requirements for vendor conflict minerals management are contained in the Company’s vendor training material. This team planned and executed the due diligence methods necessary to complete a reasonable country of origin inquiry, determined the risk associated with the use of conflict minerals, established steps to mitigate risks, and reported on supply chain due diligence. To assist in completing these due diligence actions, the Company became a member of the Conflict Free Sourcing Initiative (CFSI member ID VARI), which is a consortium of companies who are working together to achieve the objective of investigating and mitigating risk associated with the use of conflict minerals in their products.
| (2) | Identify and assess risks in the supply chain |
The Company identified 345 vendors to be in-scope, based on the probability of 3TG in their products, and the Company requested a completed Conflict Minerals Reporting Template (CMRT) from all the in-scope vendors. The Company received 220 CMRTs, which represent approximately 65% of in-scope vendors, including the names and locations of smelters and refiners which process conflict minerals used in components provided by the Company’s vendors. The Company evaluated the information collected, including subjecting the results to a quality review. If discrepancies, errors, or omissions were identified, the response for that vendor was deemed incomplete and was returned for correction by the vendor. The Company reviewed and compared the responses with other information in the Company’s possession and, where appropriate, made further inquiries of the Company’s vendors. The Company contacted vendors that did not respond by a specified date and sent reminder emails requesting their responses.
| (3) | Design a Strategy to Respond to Identified Risk in the Supply Chain. |
After collecting the data from the in-scope vendors in the Company’s supply chain, the Company assessed the risk associated with each vendor and the risk associated with each smelter or refiner (SOR) identified by the vendors. For each risk factor a course of action was determined and a plan is in place to carry them out. CFSI RCOI Data and CFSI Smelter Database data was used extensively to determine appropriate risk mitigation factors
| (4) | Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain. |
The Company cooperates with other members of the CFSI to identify SORs who require additional investigation or audit to determine whether they are a true SOR, what is the country of origin of conflict minerals processed by the SOR, and whether the SOR is conflict free. The CFSI conducts conflict free validation audits of SORs, and the Company relies on the results of those audits.
| (5) | Report on supply chain due diligence. |
This Conflict Minerals Report constitutes the Company’s annual report on the Company’s 3TG due diligence, is filed with the SEC, and is available on the Company’s website at https://www.varian.com/about-varian/citizenship.
| III. | Improvements Planned |
| (1) | Communicate the Company’s expectation on conflict minerals to vendors based on identified risks |
| (2) | Work with vendors who distribute other companies’ goods to improve the quality of RCOI data coming from those sources |
| (3) | Work with vendors from countries outside US SEC jurisdiction to improve the quality of data |
| (4) | Continue to improve the response rate of vendors |
| IV. | Determination |
The Company relies on its vendors to obtain complete and accurate conflict minerals information and cannot guarantee the complete accuracy of all data. However, the Company worked in good faith to achieve a reasonable level of accuracy and completeness.
The Company’s due diligence identified 311 SORs which have been identified as true SORs by the CFSI (see Appendix A). The CFSI has performed conflict free validation audits on a number of these SORs and is pursuing audits for the remaining SORs. The Company is working in coordination with other members of the CFSI by providing the CFSI the SORs used in the Company’s supply chain which require additional investigation or audit to confirm true SORs, country of origin, and conflict free status.
Facilities Used to Process Necessary Conflict Minerals Used in In-Scope Products: While Varian has conducted a thorough due diligence and worked closely with its vendors to survey the conflict minerals supply chain (as described above), Varian is not able to identify with reasonable certainty all facilities used to process necessary conflict minerals used in in-scope products. However, based on the information acquired through the due diligence process, Varian believes that the facilities that may have been used to process the 3TG necessary to the functionality of production of in-scope products include the smelters and refiners listed in Appendix A.
Information About Country of Origin of Necessary Conflict Minerals Used in In-Scope Products: While Varian has conducted a thorough due diligence and worked closely with its vendors to survey the
supply chain (as described above), Varian is not able to determine with reasonable certainty the countries of origin of 3TGs used in all in-scope products or whether the 3TG in all in-scope products are from recycled or scrap sources.
However, Varian has so far identified the countries of origin shown in the following table:
| Conflict |
Countries of Origin | |
| Gold | Australia, Brazil, Chile, Kazakhstan, South Korea, Canada, Switzerland, Belgium, Bolivia, United States, China, France, Germany, Hong Kong, China, India, Indonesia, Papua New Guinea, Australia, Argentina, Peru, Italy, Japan, Kazakhstan, Mexico, Netherlands, Philippines, Poland, Russian Federation, Singapore, Taiwan, Thailand, Zimbabwe | |
| Tantalum | Australia, Canada, Bolivia, Brazil, Burundi, Ethiopia, India, Mozambique, Namibia, Nigeria, Rwanda, Sierra Leone, Zimbabwe, India, Austria, China, Germany, Japan, Thailand, Kazakhstan, Mexico, Russian Federation, United States, Estonia, Democratic Republic of the Congo* | |
| Tin | Australia, Belgium, Bolivia, Brazil, Canada, China, Indonesia, Malaysia, Peru, East Africa, Czech Republic, France, Germany, Hong Kong, Japan, Malaysia, Philippines, Russian Federation, Singapore, South Korea, Switzerland, Taiwan, Thailand, United Kingdom, United States, Vietnam, Democratic Republic of the Congo* | |
| Tungsten | Australia, Bolivia, Brazil, Canada, Colombia, United States, Mexico, Nigeria, Russian Federation, Rwanda, Spain, Thailand, Vietnam, Portugal, Austria, Peru, China, Germany, India, Japan, South Korea, Bolivia, Vietnam | |
| * | The reported tantalum from the DRC came from 8 smelters all of which have been audited and validated as “compliant” by the Conflict-Free Sourcing Initiative (CFSI), which is internationally recognized for conflict free validation audits. The reported tin from the DRC came from a smelter which has been audited and validated as “compliant” by the CFSI. |
Information about Efforts to Determine Mine or Location of Origin: The description of Varian’s due diligence exercise set forth above under the heading “Reasonable Country of Origin and Due Diligence Measures” covers Varian’s efforts to determine the mine or location of origin with the greatest possible specificity.
Appendix A: Smelter and Refiner List
| Metal |
Smelter Name |
Smelter Country |
CFSI Smelter ID | |||
| Gold |
Advanced Chemical Company | UNITED STATES | CID000015 | |||
| Gold |
Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | |||
| Gold |
Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | |||
| Gold |
Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | |||
| Gold |
AngloGold Ashanti Córrego do Sítio Mineração | 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 AB | SWEDEN | CID000157 | |||
| Gold |
C. Hafner GmbH + Co. KG | GERMANY | CID000176 | |||
| Gold |
Caridad | MEXICO | CID000180 | |||
| Gold |
CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | |||
| Gold |
Cendres + Métaux 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 |
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 | |||
| Gold |
DODUCO GmbH | GERMANY | CID000362 | |||
| Gold |
Dowa | JAPAN | CID000401 | |||
| Gold |
Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | |||
| Gold |
OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | |||
| Gold |
Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | CID000522 | |||
| Gold |
Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 | |||
| Gold |
Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | |||
| Gold |
Heimerle + Meule GmbH | GERMANY | CID000694 | |||
| Gold |
Heraeus Ltd. Hong Kong | CHINA | CID000707 | |||
| Gold |
Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | |||
| Gold |
Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 | |||
| Gold |
Hwasung 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 | 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 | |||
| Gold |
Kazzinc | KAZAKHSTAN | CID000957 | |||
| Gold |
Kennecott Utah Copper LLC | UNITED STATES | CID000969 | |||
| Gold |
Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | |||
| Gold |
Korea Metal Co., Ltd. | KOREA, REPUBLIC OF | CID000988 | |||
| 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-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | |||
| Gold |
Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 | |||
| Gold |
Materion | UNITED STATES | 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 | CID001157 | |||
| Gold |
Metalúrgica Met-Mex Peñoles 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.Ş. | TURKEY | CID001220 | |||
| Gold |
Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | |||
| Gold |
Nihon Material Co., Ltd. | JAPAN | CID001259 | |||
| Gold |
Elemetal Refining, LLC | UNITED STATES | CID001322 | |||
| Gold |
Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | |||
| Gold |
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | |||
| Gold |
PAMP S.A. | 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 Précinox S.A. | SWITZERLAND | CID001498 | |||
| Gold |
Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | |||
| Gold |
Royal Canadian Mint | CANADA | CID001534 | |||
| Gold |
Sabin Metal Corp. | UNITED STATES | CID001546 | |||
| Gold |
Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | |||
| Gold |
SAMWON Metals Corp. | KOREA, REPUBLIC OF | CID001562 | |||
| Gold |
Schone Edelmetaal B.V. | NETHERLANDS | CID001573 | |||
| Gold |
SEMPSA Joyería Platería 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 |
So Accurate Group, Inc. | UNITED STATES | CID001754 | |||
| Gold |
SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | |||
| Gold |
Solar Applied Materials Technology Corp. | TAIWAN | CID001761 | |||
| Gold |
Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | |||
| Gold |
Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | |||
| Gold |
Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 | |||
| Gold |
The Refinery of Shandong Gold Mining 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 Brasil Ltda. | BRAZIL | CID001977 | |||
| Gold |
Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | |||
| Gold |
United Precious Metal Refining, Inc. | UNITED STATES | CID001993 | |||
| Gold |
Valcambi S.A. | SWITZERLAND | CID002003 | |||
| Gold |
Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 | |||
| Gold |
Yamamoto Precious Metal Co., Ltd. | JAPAN | CID002100 | |||
| Gold |
Yokohama Metal Co., Ltd. | JAPAN | CID002129 | |||
| Gold |
Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | |||
| Gold |
Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | CID002243 | |||
| Gold |
Morris and Watson | NEW ZEALAND | CID002282 | |||
| Gold |
Guangdong Jinding Gold Limited | CHINA | CID002312 | |||
| Gold |
Umicore Precious Metals Thailand | THAILAND | CID002314 | |||
| Gold |
Faggi Enrico S.p.A. | ITALY | CID002355 | |||
| Gold |
Geib Refining Corporation | UNITED STATES | CID002459 | |||
| Gold |
MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | |||
| Gold |
Republic Metals Corporation | UNITED STATES | CID002510 | |||
| Gold |
KGHM Polska Miedź Spółka Akcyjna | POLAND | CID002511 | |||
| Gold |
Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 | |||
| Gold |
Singway Technology Co., Ltd. | TAIWAN | CID002516 | |||
| Gold |
Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | CID002560 | |||
| Gold |
Sudan Gold Refinery | SUDAN* | CID002567 | |||
| Gold |
T.C.A S.p.A | ITALY | CID002580 | |||
| Gold |
Tony Goetz NV | BELGIUM | CID002587 | |||
| Gold |
Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 | |||
| Gold |
SAAMP | FRANCE | CID002761 | |||
| Gold |
SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | |||
| Gold |
WIELAND Edelmetalle GmbH | GERMANY | CID002778 | |||
| Gold |
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | |||
| Tantalum |
Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | |||
| Tantalum |
Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 | |||
| Tantalum |
Duoluoshan | CHINA | CID000410 | |||
| Tantalum |
Exotech Inc. | UNITED STATES | CID000456 | |||
| Tantalum |
F&X Electro-Materials Ltd. | CHINA | CID000460 | |||
| Tantalum |
Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | |||
| Tantalum |
Hi-Temp Specialty Metals, Inc. | UNITED STATES | CID000731 | |||
| Tantalum |
JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | |||
| Tantalum |
Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | |||
| Tantalum |
King-Tan Tantalum Industry Ltd. | CHINA | CID000973 | |||
| Tantalum |
LSM Brasil S.A. | BRAZIL | CID001076 | |||
| Tantalum |
Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | |||
| Tantalum |
Mineração Taboca S.A. | BRAZIL | CID001175 | |||
| Tantalum |
Mitsui Mining & Smelting | JAPAN | CID001192 | |||
| * | The Company understands and is aware that Section 538.410 of the Sudanese Sanctions Regulations, 31 CFR Part 538, does not prohibit imports into the United States of products containing raw materials of Sudanese origin that have been either incorporated into manufactured products or otherwise substantially transformed in a third country. |
| Tantalum |
Molycorp Silmet A.S. | ESTONIA | CID001200 | |||
| Tantalum |
Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | |||
| Tantalum |
QuantumClean | UNITED STATES | CID001508 | |||
| Tantalum |
RFH Tantalum Smeltry Co., Ltd. | CHINA | CID001522 | |||
| Tantalum |
Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | |||
| Tantalum |
Taki Chemicals | JAPAN | CID001869 | |||
| Tantalum |
Telex Metals | UNITED STATES | CID001891 | |||
| Tantalum |
Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | |||
| Tantalum |
Zhuzhou Cemented Carbide | CHINA | CID002232 | |||
| Tantalum |
Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | |||
| Tantalum |
D Block Metals, LLC | UNITED STATES | CID002504 | |||
| Tantalum |
FIR Metals & Resource Ltd. | CHINA | CID002505 | |||
| Tantalum |
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | |||
| Tantalum |
XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | |||
| Tantalum |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | |||
| Tantalum |
KEMET Blue Metals | MEXICO | CID002539 | |||
| Tantalum |
Plansee SE Liezen | AUSTRIA | CID002540 | |||
| Tantalum |
H.C. Starck Co., Ltd. | THAILAND | CID002544 | |||
| Tantalum |
H.C. Starck GmbH Goslar | GERMANY | CID002545 | |||
| Tantalum |
H.C. Starck GmbH Laufenburg | GERMANY | CID002546 | |||
| Tantalum |
H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | |||
| Tantalum |
H.C. Starck Inc. | UNITED STATES | CID002548 | |||
| Tantalum |
H.C. Starck Ltd. | JAPAN | CID002549 | |||
| Tantalum |
H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 | |||
| Tantalum |
Plansee SE Reutte | AUSTRIA | CID002556 | |||
| Tantalum |
Global Advanced Metals Boyertown | UNITED STATES | CID002557 | |||
| Tantalum |
Global Advanced Metals Aizu | JAPAN | CID002558 | |||
| Tantalum |
KEMET Blue Powder | UNITED STATES | CID002568 | |||
| Tantalum |
Tranzact, Inc. | UNITED STATES | CID002571 | |||
| Tantalum |
E.S.R. Electronics | UNITED STATES | CID002590 | |||
| Tantalum |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002707 | |||
| Tantalum |
Jiangxi Tuohong New Raw Material | CHINA | CID002842 | |||
| Tin |
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | |||
| Tin |
Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 | |||
| Tin |
CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000278 | |||
| Tin |
Alpha | UNITED STATES | CID000292 | |||
| Tin |
Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | CID000295 | |||
| Tin |
CV Gita Pesona | INDONESIA | CID000306 | |||
| Tin |
PT Justindo | INDONESIA | CID000307 | |||
| Tin |
PT Aries Kencana Sejahtera | INDONESIA | CID000309 | |||
| Tin |
CV Serumpun Sebalai | INDONESIA | CID000313 | |||
| Tin |
CV United Smelting | INDONESIA | CID000315 | |||
| Tin |
Dowa | JAPAN | CID000402 | |||
| Tin |
EM Vinto | BOLIVIA | CID000438 | |||
| Tin |
Estanho de Rondônia S.A. | BRAZIL | CID000448 | |||
| Tin |
Feinhütte Halsbrücke GmbH | GERMANY | CID000466 | |||
| Tin |
Fenix Metals | POLAND | CID000468 | |||
| Tin |
Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | |||
| Tin |
Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | |||
| Tin |
Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 | |||
| Tin |
Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | |||
| Tin |
Linwu Xianggui Ore Smelting Co., Ltd. | CHINA | CID001063 | |||
| Tin |
China Tin Group Co., Ltd. | CHINA | CID001070 | |||
| Tin |
Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | |||
| Tin |
Metallic Resources, Inc. | UNITED STATES | CID001142 | |||
| Tin |
Mineração Taboca S.A. | BRAZIL | CID001173 | |||
| Tin |
Minsur | PERU | CID001182 | |||
| Tin |
Mitsubishi Materials Corporation | JAPAN | CID001191 | |||
| Tin |
Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | CID001231 | |||
| Tin |
O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | |||
| Tin |
Operaciones Metalurgical S.A. | BOLIVIA | CID001337 | |||
| Tin |
PT Alam Lestari Kencana | INDONESIA | CID001393 | |||
| Tin |
PT Artha Cipta Langgeng | INDONESIA | CID001399 | |||
| Tin |
PT Babel Inti Perkasa | INDONESIA | CID001402 | |||
| Tin |
PT Bangka Kudai Tin | INDONESIA | CID001409 | |||
| Tin |
PT Bangka Timah Utama Sejahtera | INDONESIA | CID001416 | |||
| Tin |
PT Bangka Tin Industry | INDONESIA | CID001419 | |||
| Tin |
PT Belitung Industri Sejahtera | INDONESIA | CID001421 | |||
| Tin |
PT BilliTin Makmur Lestari | INDONESIA | CID001424 | |||
| Tin |
PT Bukit Timah | INDONESIA | CID001428 | |||
| Tin |
PT DS Jaya Abadi | INDONESIA | CID001434 | |||
| Tin |
PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | |||
| Tin |
PT Fang Di MulTindo | INDONESIA | CID001442 | |||
| Tin |
PT Karimun Mining | INDONESIA | CID001448 | |||
| Tin |
PT Mitra Stania Prima | INDONESIA | CID001453 | |||
| Tin |
PT Panca Mega Persada | INDONESIA | CID001457 | |||
| Tin |
PT Prima Timah Utama | INDONESIA | CID001458 | |||
| Tin |
PT Refined Bangka Tin | INDONESIA | CID001460 | |||
| Tin |
PT Sariwiguna Binasentosa | INDONESIA | CID001463 | |||
| Tin |
PT Seirama Tin Investment | INDONESIA | CID001466 | |||
| Tin |
PT Stanindo Inti Perkasa | INDONESIA | CID001468 | |||
| Tin |
PT Sumber Jaya Indah | INDONESIA | CID001471 | |||
| Tin |
PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | |||
| Tin |
PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | |||
| Tin |
PT Pelat Timah Nusantara Tbk | INDONESIA | CID001486 | |||
| Tin |
PT Tinindo Inter Nusa | INDONESIA | CID001490 | |||
| Tin |
PT Tommy Utama | INDONESIA | CID001493 | |||
| Tin |
Rui Da Hung | TAIWAN | CID001539 | |||
| Tin |
Soft Metais Ltda. | BRAZIL | CID001758 | |||
| Tin |
Thaisarco | THAILAND | CID001898 | |||
| Tin |
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | |||
| Tin |
VQB Mineral and Trading Group JSC | VIET NAM | CID002015 | |||
| Tin |
White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 | |||
| Tin |
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | |||
| Tin |
Yunnan Tin Company Limited | CHINA | CID002180 | |||
| Tin |
CV Venus Inti Perkasa | INDONESIA | CID002455 | |||
| Tin |
Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | |||
| Tin |
PT Tirus Putra Mandiri | INDONESIA | CID002478 | |||
| Tin |
PT Wahana Perkit Jaya | INDONESIA | CID002479 | |||
| Tin |
Melt Metais e Ligas S.A. | BRAZIL | CID002500 | |||
| Tin |
PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | |||
| Tin |
Phoenix Metal Ltd. | RWANDA | CID002507 | |||
| Tin |
O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | |||
| Tin |
PT Inti Stania Prima | INDONESIA | CID002530 | |||
| Tin |
CV Ayi Jaya | INDONESIA | CID002570 | |||
| 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 | |||
| Tin |
CV Dua Sekawan | INDONESIA | CID002592 | |||
| Tin |
CV Tiga Sekawan | INDONESIA | CID002593 | |||
| Tin |
PT Cipta Persada Mulia | INDONESIA | CID002696 | |||
| Tin |
An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 | |||
| Tin |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002706 | |||
| Tin |
Metallo-Chimique N.V. | BELGIUM | CID002773 | |||
| Tin |
Elmet S.L.U. | SPAIN | CID002774 | |||
| Tin |
PT Bangka Prima Tin | INDONESIA | CID002776 | |||
| Tin |
PT Sukses Inti Makmur | INDONESIA | CID002816 | |||
| Tin |
An Thai Minerals Co., Ltd. | VIET NAM | CID002825 | |||
| Tin |
PT Kijang Jaya Mandiri | INDONESIA | CID002829 | |||
| Tin |
HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | |||
| Tin |
Gejiu Fengming Metallurgy Chemical Plant | CHINA | CID002848 | |||
| Tin |
Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 | |||
| Tungsten |
A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 | |||
| Tungsten |
Kennametal Huntsville | UNITED STATES | CID000105 | |||
| Tungsten |
Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | |||
| Tungsten |
Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | |||
| Tungsten |
Dayu Weiliang Tungsten Co., Ltd. | CHINA | CID000345 | |||
| Tungsten |
Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | |||
| Tungsten |
Global Tungsten & Powders Corp. | UNITED STATES | CID000568 | |||
| Tungsten |
Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | |||
| Tungsten |
Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | |||
| Tungsten |
Japan New Metals Co., Ltd. | JAPAN | CID000825 | |||
| Tungsten |
Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA | CID000868 | |||
| Tungsten |
Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | |||
| Tungsten |
Kennametal Fallon | UNITED STATES | CID000966 | |||
| Tungsten |
Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | |||
| Tungsten |
Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | CID002011 | |||
| Tungsten |
Wolfram Bergbau und Hütten AG | AUSTRIA | CID002044 | |||
| Tungsten |
Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | |||
| Tungsten |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | |||
| Tungsten |
Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 | |||
| Tungsten |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | |||
| Tungsten |
Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | |||
| Tungsten |
Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | |||
| Tungsten |
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | |||
| Tungsten |
Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | |||
| Tungsten |
Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | |||
| Tungsten |
Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | |||
| Tungsten |
Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | |||
| Tungsten |
Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | |||
| Tungsten |
Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | |||
| Tungsten |
Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA | CID002518 | |||
| Tungsten |
Ganxian Shirui New Material Co., Ltd. | CHINA | CID002531 | |||
| Tungsten |
Pobedit, JSC | RUSSIAN FEDERATION | CID002532 | |||
| Tungsten |
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 | |||
| Tungsten |
Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 | |||
| Tungsten |
Sanher Tungsten Vietnam Co., Ltd. | VIET NAM | CID002538 | |||
| Tungsten |
H.C. Starck GmbH | GERMANY | CID002541 | |||
| Tungsten |
H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 | |||
| Tungsten |
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | |||
| Tungsten |
Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | |||
| Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | CHINA | CID002578 | |||
| Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | |||
| Tungsten |
Niagara Refining LLC | UNITED STATES | CID002589 | |||
| Tungsten |
Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | CID002647 | |||
| Tungsten |
Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | |||
| Tungsten |
South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | CID002815 | |||
| Tungsten |
Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | |||
| Tungsten |
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | |||
| Tungsten |
ACL Metais Eireli | BRAZIL | CID002833 | |||
| Tungsten |
Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | CID002843 | |||
| Tungsten |
Moliren Ltd | RUSSIAN FEDERATION | CID002845 | |||