EX-1.01 2 d769769dex101.htm EX-1.01 EX-1.01

Exhibit 1.01 to Form SD




This Conflict Minerals Report has been prepared by Symantec Corporation (herein referred to, alternatively, as “Symantec,” “we” and “our”). This Conflict Minerals Report for the reporting period January 1 to December 31, 2018 is presented to comply with the final Conflict Minerals implementing rules (the “Conflict Minerals Rules”) promulgated by the Securities and Exchange Commission (“SEC”), as modified by SEC guidance issued on April 29, 2014 and the SEC order issued on May 2, 2014. The Conflict Minerals Rules were adopted by the SEC to implement reporting and disclosure requirements related to Conflict Minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as codified in Section 13(p) of the Securities Exchange Act of 1934. The Conflict Minerals Rules impose certain reporting obligations on SEC registrants whose manufactured products contain Conflict Minerals that are necessary to the functionality or production of their products. “Conflict Minerals” are currently defined by the SEC as cassiterite, columbite-tantalite (coltan), gold, wolframite, or their derivatives, which the SEC has currently limited to tin, tantalum, tungsten and gold (“3TG”).

To comply with the Conflict Minerals Rules, we conducted due diligence on the origin, source and chain of custody of the Conflict Minerals that were necessary to the functionality or production of the products that we manufactured or contracted to manufacture to ascertain whether these Conflict Minerals originated in the Democratic Republic of Congo (“DRC”) or adjoining countries (collectively, the “Covered Countries”) and financed or benefited armed groups (as defined in Section 1, Item 1.01(d)(2) of Form SD) in any of these countries.

Pursuant to SEC guidance issued April 29, 2014 and the SEC order issued May 2, 2014, Symantec is not required to describe any of its products as “DRC conflict free” (as defined in Section 1, Item 1.01(d)(4) of Form SD), “DRC conflict undeterminable” (as defined in Section 1, Item 1.01(d)(5) of Form SD) or “having not been found to be ‘DRC conflict free,’” and therefore makes no conclusion in this regard in the report presented herein. Furthermore, given that Symantec has not voluntarily elected to describe any of its products as “DRC conflict free,” an independent private sector audit of the report presented herein has not been conducted.



Company Overview

Founded in 1982, Symantec has evolved to become a global leader in cyber security, with more than 11,000 employees in over 35 countries. Symantec provides cyber security products, services, and solutions to more than 350,000 organizations and 50 million individuals worldwide.

Other than the information expressly set forth in this report, the information contained or referred to on our website is not part of this report.


Products Overview

Symantec’s Integrated Cyber Defense Platform helps enterprise, business, and government customers unify cloud and on-premises security to protect against threats and safeguard information across every control point and attack vector. Symantec’s Digital Safety solutions (delivered via Norton and LifeLock brands) help consumers protect their information, identity, devices, and networks at home and online.

Symantec product overviews can be found at https://www.symantec.com/products.

All tier one suppliers of physical products that Symantec contracts to manufacture are considered suppliers. These suppliers manufacture products in the following categories: (i) software, (ii) appliances and (iii) tokens.



Supply Chain Overview

All of Symantec’s product manufacturing is outsourced to Subcontract Manufacturing and Logistic Partners. Our suppliers are located in North America, South America, EMEA, Russia and Asia. As of April 30, 2019, there were 338 verified 3TG smelter or refiner facilities reported by Symantec’s 18 direct suppliers, 311 of which are in conformance with the assessment protocols of the Responsible Minerals Initiative’s (“RMI”) Responsible Minerals Assurance Program (“RMAP’). Four of Symantec’s 18 direct suppliers did not manufacture products that contain Conflict Minerals or 3TGs.



Conflict Minerals Analysis and Reasonable Country of Origin Inquiry

Based upon a review of our product categories and our reasonable country of origin inquiry (“RCOI”), we have concluded that:



Our appliance and token products contain Conflict Minerals that are necessary to the production or functionality of such products; and



We are unable to determine whether the Conflict Minerals present in such products originate in the Covered Countries.

We are therefore required pursuant to the Conflict Minerals Rules to file with the SEC a Form SD and a Conflict Minerals Report as an exhibit thereto.



Design of Due Diligence Measures

Symantec designed its due diligence with respect to the source and chain of custody of the Conflict Minerals contained in its products based on the five-step framework set forth in the Third Edition of the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- affected and High-Risk Areas and the supplements thereto.



Due Diligence Measures Performed by Symantec

Step #1: Establish Strong Company Management Systems



Symantec maintains a policy on Conflict Minerals (the “Policy”). The Policy can be viewed at https://www.symantec.com/content/dam/symantec/docs/other-resources/sym-conflict-minerals-policy-en.pdf. The Policy has been communicated to relevant personnel, and it is available to all Symantec employees and the public via Symantec’s website.


Symantec’s Conflict Minerals Team (the “Team”) is responsible for Conflict Minerals due diligence, governance and reporting. The Team consists of representatives from Global Supply Chain Management, Finance, Legal and Corporate Responsibility, all of whom have experience and expertise with respect to the requirements of the Conflict Minerals Rules, and is supported by external consultants. Oversight of Symantec’s Conflict Minerals due diligence, governance and reporting is exercised by the Disclosure Committee and the Nominating and Governance Committee of the Company’s Board of Directors. The Team is supported by a member of Symantec’s Senior Management Team.



To make training regarding Conflict Minerals compliance available to suppliers, Symantec refers suppliers to the Responsible Minerals Initiative’s (“RMI”) website at http://www.responsiblemineralsinitiative.org/training-and-resources, which contains Conflict Minerals training materials and resources for suppliers.



Symantec’s Policy is available to existing suppliers, and was made available to new suppliers as part of the “new supplier” onboarding process. In addition, Symantec incorporated a provision requiring compliance with the Conflict Minerals Rules and the Policy into (i) new supplier agreements and (ii) existing supplier agreements when such agreements were negotiated for renewal.



Pursuant to the Policy, concerned parties may contact Symantec regarding complaints related to Conflict Minerals compliance by contacting Symantec’s Ethics Line online at SymantecEthicsLine.EthicsPoint.com, via telephone by choosing a number from https://secure.ethicspoint.com/domain/media/en/gui/28771/phone.html or by sending an e-mail to the Office of Ethics and Compliance at ethicsandcompliance@symantec.com. Suppliers may also contact their supply chain representative in their region.



All documentation and records, including all material communications with suppliers, are retained electronically for a period of five (5) years.

Step #2: Identify and Assess Risk in the Supply Chain



Symantec maintains a Conflict Minerals Compliance Program (the “Program”) that outlines the process for supplier due diligence and engagement.



The Program includes the identification of the suppliers that provide inputs to Symantec’s products that may contain Conflict Minerals. This analysis is performed on an annual basis, as well as through the ongoing supplier approval and onboarding process, with data pulled from the global supplier database.



The Corporate Responsibility Team works with Global Supply Chain Management, Legal and Finance to determine the enterprise reporting entity for compliance purposes. This includes the determination of whether any of Symantec’s subsidiaries, joint ventures, or acquired companies are in-scope or out-of-scope for the respective reporting year pursuant to the Conflict Minerals Rules.


For out-of-scope entities, if the entity supplies Symantec in-scope entities with products Symantec contracts to manufacture, then the entity is considered a supplier and is surveyed as part of the RCOI process.



The RMI’s Conflict Minerals Reporting Template (the “Survey”) is emailed annually by the Global Supply Chain Team to all in-scope suppliers along with an introductory email.



On an annual basis, any new subsidiaries and joint ventures are evaluated for inclusion as an in-scope entity for the purposes of compliance with the Conflict Minerals Rules.



For acquisitions, due diligence is conducted to determine whether the newly acquired organization is subject to the Conflict Minerals Rules.

Step #3: Design and Implement a Strategy to Respond to Identified Risks



Symantec has designed a Due Diligence Decision Tree that sets forth steps to be taken to mitigate risk based on a supplier’s Survey responses. Suppliers are ranked for risk, ranging from Low to High, based upon red flags and issues raised by suppliers’ Survey responses (the “Risk Levels”).



All suppliers regardless of Risk Level in 2018 were contacted via email with follow-up questions, comments and/or requests.

Step #4: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain



As a downstream actor in the supply chain, we do not have a direct relationship with the smelters and refiners that process the Conflict Minerals that are present in our products, and for this reason we rely on the RMI to conduct third-party audits of smelters and refiners.

Step #5: Report on Supply Chain Due Diligence



As required by the Conflict Minerals Rules, we have filed a Form SD and a Conflict Minerals Report as an exhibit thereto for the 2018 reporting year. The Form SD and Conflict Minerals Report are also available on our website at https://www.symantec.com/about/corporate-responsibility/the-world/supply-chain-responsibility.



Supplier Survey Responses and Smelter and Refiner Information

The supplier Survey results were as follows:



100% of in-scope suppliers responded using the Survey.



83% of in-scope suppliers who responded provide products that contain Conflict Minerals.



65% of in-scope suppliers who responded source from the Covered Countries.


93% of in-scope suppliers who responded have a Conflict Minerals policy in place, and 71% of such in-scope suppliers have made their policy available to the public.



86% of in-scope suppliers who responded require their direct suppliers to be DRC conflict-free (as defined in the Survey).



93% of in-scope suppliers who responded have implemented due diligence measures for conflict-free sourcing.



93% of in-scope suppliers who responded collect conflict minerals due diligence information from their suppliers that is in conformance with the IPC-1755 Conflict Minerals Data Exchange Standard (e.g., the RMI Conflict Minerals Reporting Template).



71% of in-scope suppliers who responded only require their direct suppliers to source the 3TG from smelters whose due diligence practices have been validated by an independent third-party audit program.



86% of in-scope suppliers who responded review due diligence information received from their suppliers against their company’s expectations.



79% of in-scope suppliers who responded have a review process in place that includes corrective action management.



50% of in-scope suppliers who responded are subject to the Conflict Minerals Rules.

In addition, Addendum A to this Conflict Minerals Report contains smelter eligibility, audit and location information and a list of those smelters reported by our direct suppliers that appear on the RMI’s Standard Smelter List.



Steps to Mitigate Risk

Symantec intends to take the following steps to mitigate the risk that its necessary Conflict Minerals benefit armed groups:



Follow up with suppliers to improve the quality of their Surveys and continue to engage with them to obtain complete Surveys in a timely manner;



Support the development of supplier capabilities to perform Conflict Minerals-related due diligence by means of the implementation of risk mitigation measures, as appropriate; and



provide ongoing training regarding emerging best practices and other relevant topics to personnel responsible for Conflict Minerals compliance.


Statements relating to due diligence improvements and certain other statements herein are forward-looking in nature and are based on Symantec’s management’s current expectations or beliefs. These forward-looking statements are not a guarantee of performance and are subject to a number of uncertainties and other factors that may be outside of Symantec’s control and that could cause actual events to differ materially from those expressed or implied by the statements made herein.


Unless otherwise stated herein, any documents, third-party materials or references to websites (including Symantec’s) are not incorporated by reference in, or considered to be a part of, this Conflict Minerals Report, unless expressly incorporated by reference herein.

Addendum A

With the exception of one supplier, the smelter information below was reported by Symantec suppliers using the Conflict Minerals Reporting Template, Revision 5.11.

Data collection was completed between February 2019 and May 2019.

For more detail and the most current status of each smelter, please visit the RMAP website at www.responsiblemineralsinitiative.org.

For the purposes of the table and chart immediately below, smelter eligibility status refers to whether or not the entity fits the definition of a smelter / refiner under the RMAP standards and is subsequently eligible for an audit, please refer to http://www.responsiblemineralsinitiative.org/members/database-field-definitions.


Smelter Eligibility Status



Alleged    Unknown if entity is a smelter / refiner; more research is needed; not included in the CMRT Standard Smelter List
Eligible    Meets the definition of a smelter / refiner; included in the CMRT Standard Smelter List
Not Eligible    Does not meet the definition of a smelter / refiner or is otherwise ineligible for the program; not included in the CMRT Standard Smelter List



Smelter Audit Status    Definition
Active    Engaged in the RMAP but not yet conformant
Communication Suspended—Not Interested    Facility has strongly communicated a lack of interest in participation in the RMAP
Communication Suspended— Temporarily Ceased Operation    Facility has temporarily ceased operations
Conformant    Audited and found conformant with the relevant RMAP standard
Due Diligence Vetting Process    Facility does not meet RMI’s requirements for participation according to the due diligence vetting process
In Communication    Not yet active but in communication with RMAP and/or member company
Non-Conformant    Audited but found not conformant with the relevant RMAP standard
Not Applicable    Not eligible for the RMAP
Outreach Required    Outreach needed by RMI member companies to contact entity and encourage its participation in RMAP audit
RMI Due Diligence Review—Unable to Proceed    For facilities that have not met the threshold for Due Diligence Vetting Process after a period of six months. Status may change if additional information is submitted.






Smelter List—GOLD


Smelter ID    Smelter Name    Smelter Country
CID000015    Advanced Chemical Company    USA
CID000019    Aida Chemical Industries Co., Ltd.    JAPAN
CID000035    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY
CID000041    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN
CID000058    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL
CID000077    Argor-Heraeus S.A.    SWITZERLAND
CID000082    Asahi Pretec Corp.    JAPAN
CID000090    Asaka Riken Co., Ltd.    JAPAN
CID000103    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY
CID000113    Aurubis AG    GERMANY
CID000128    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES
CID000157    Boliden AB    SWEDEN
CID000176    C. Hafner GmbH + Co. KG    GERMANY
CID000180    Caridad    MEXICO
CID000185    CCR Refinery—Glencore Canada Corporation    CANADA
CID000189    Cendres + Metaux S.A.    SWITZERLAND
CID000197    Yunnan Copper Industry Co., Ltd.    CHINA
CID000233    Chimet S.p.A.    ITALY
CID000264    Chugai Mining    JAPAN
CID000328    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF
CID000343    Daye Non-Ferrous Metals Mining Ltd.    CHINA
CID000359    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF
CID000362    DODUCO Contacts and Refining GmbH    GERMANY
CID000401    Dowa    JAPAN
CID000425    Eco-System Recycling Co., Ltd.    JAPAN
CID000493    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION
CID000522    Refinery of Seemine Gold Co., Ltd.    CHINA
CID000651    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA
CID000671    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA
CID000689    HeeSung Metal Ltd.    KOREA, REPUBLIC OF
CID000694    Heimerle + Meule GmbH    GERMANY
CID000707    Heraeus Metals Hong Kong Ltd.    CHINA
CID000711    Heraeus Precious Metals GmbH & Co. KG    GERMANY
CID000767    Hunan Chenzhou Mining Co., Ltd.    CHINA
CID000773    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA
CID000778    HwaSeong CJ CO., LTD.    KOREA, REPUBLIC OF
CID000801    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA
CID000807    Ishifuku Metal Industry Co., Ltd.    JAPAN
CID000814    Istanbul Gold Refinery    TURKEY
CID000823    Japan Mint    JAPAN
CID000855    Jiangxi Copper Co., Ltd.    CHINA
CID000920    Asahi Refining USA Inc.    USA
CID000924    Asahi Refining Canada Ltd.    CANADA
CID000927    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION
CID000929    JSC Uralelectromed    RUSSIAN FEDERATION
CID000937    JX Nippon Mining & Metals Co., Ltd.    JAPAN
CID000956    Kazakhmys Smelting LLC    KAZAKHSTAN
CID000957    Kazzinc    KAZAKHSTAN
CID000969    Kennecott Utah Copper LLC    USA

CID000981    Kojima Chemicals Co., Ltd.    JAPAN
CID001029    Kyrgyzaltyn JSC    KYRGYZSTAN
CID001032    L’azurde Company For Jewelry    SAUDI ARABIA
CID001056    Lingbao Gold Co., Ltd.    CHINA
CID001058    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA
CID001078    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF
CID001093    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA
CID001113    Materion    USA
CID001119    Matsuda Sangyo Co., Ltd.    JAPAN
CID001147    Metalor Technologies (Suzhou) Ltd.    CHINA
CID001149    Metalor Technologies (Hong Kong) Ltd.    CHINA
CID001152    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE
CID001153    Metalor Technologies S.A.    SWITZERLAND
CID001157    Metalor USA Refining Corporation    USA
CID001161    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO
CID001188    Mitsubishi Materials Corporation    JAPAN
CID001193    Mitsui Mining and Smelting Co., Ltd.    JAPAN
CID001204    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION
CID001220    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY
CID001236    Navoi Mining and Metallurgical Combinat    UZBEKISTAN
CID001259    Nihon Material Co., Ltd.    JAPAN
CID001325    Ohura Precious Metal Industry Co., Ltd.    JAPAN
CID001326    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION
CID001362    Penglai Penggang Gold Industry Co., Ltd.    CHINA
CID001386    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION
CID001397    PT Aneka Tambang (Persero) Tbk    INDONESIA
CID001498    PX Precinox S.A.    SWITZERLAND
CID001512    Rand Refinery (Pty) Ltd.    SOUTH AFRICA
CID001534    Royal Canadian Mint    CANADA
CID001546    Sabin Metal Corp.    USA
CID001555    Samduck Precious Metals    KOREA, REPUBLIC OF
CID001562    Samwon Metals Corp.    KOREA, REPUBLIC OF
CID001585    SEMPSA Joyeria Plateria S.A.    SPAIN
CID001619    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA
CID001622    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA
CID001736    Sichuan Tianze Precious Metals Co., Ltd.    CHINA
CID001756    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION
CID001761    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA
CID001798    Sumitomo Metal Mining Co., Ltd.    JAPAN
CID001875    Tanaka Kikinzoku Kogyo K.K.    JAPAN
CID001909    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA
CID001916    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA
CID001938    Tokuriki Honten Co., Ltd.    JAPAN
CID001947    Tongling Nonferrous Metals Group Co., Ltd.    CHINA
CID001955    Torecom    KOREA, REPUBLIC OF
CID001977    Umicore Brasil Ltda.    BRAZIL
CID001980    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM
CID001993    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA

CID002003    Valcambi S.A.    SWITZERLAND
CID002030    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA
CID002100    Yamakin Co., Ltd.    JAPAN
CID002129    Yokohama Metal Co., Ltd.    JAPAN
CID002224    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA
CID002243    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA
CID002282    Morris and Watson    NEW ZEALAND
CID002312    Guangdong Jinding Gold Limited    CHINA
CID002314    Umicore Precious Metals Thailand    THAILAND
CID002459    Geib Refining Corporation    USA
CID002509    MMTC-PAMP India Pvt., Ltd.    INDIA
CID002511    KGHM Polska Miedz Spolka Akcyjna    POLAND
CID002515    Fidelity Printers and Refiners Ltd.    ZIMBABWE
CID002516    Singway Technology Co., Ltd.    TAIWAN
CID002525    Shandong Humon Smelting Co., Ltd.    CHINA
CID002560    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES
CID002561    Emirates Gold DMCC    UNITED ARAB EMIRATES
CID002562    International Precious Metal Refiners    UNITED ARAB EMIRATES
CID002563    Kaloti Precious Metals    UNITED ARAB EMIRATES
CID002567    Sudan Gold Refinery    SUDAN
CID002580    T.C.A S.p.A    ITALY
CID002584    Fujairah Gold FZC    UNITED ARAB EMIRATES
CID002587    Tony Goetz NV    BELGIUM
CID002605    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF
CID002606    Marsam Metals    BRAZIL
CID002615    TOO Tau-Ken-Altyn    KAZAKHSTAN
CID002708    Abington Reldan Metals, LLC    USA
CID002761    SAAMP    FRANCE
CID002762    L’Orfebre S.A.    ANDORRA
CID002763    8853 S.p.A.    ITALY
CID002765    Italpreziosi    ITALY
CID002777    SAXONIA Edelmetalle GmbH    GERMANY
CID002778    WIELAND Edelmetalle GmbH    GERMANY
CID002779    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA
CID002850    AU Traders and Refiners    SOUTH AFRICA
CID002852    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA
CID002853    Sai Refinery    INDIA
CID002854    Universal Precious Metals Refining Zambia    ZAMBIA
CID002857    Modeltech Sdn Bhd    MALAYSIA
CID002863    Bangalore Refinery    INDIA
CID002865    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION
CID002866    Morris and Watson Gold Coast    AUSTRALIA
CID002867    Degussa Sonne / Mond Goldhandel GmbH    GERMANY
CID002872    Pease & Curren    USA
CID002918    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF
CID002919    Planta Recuperadora de Metales SpA    CHILE
CID002973    Safimet S.p.A    ITALY
CID003153    State Research Institute Center for Physical Sciences and Technology    LITHUANIA
CID003185    African Gold Refinery    UGANDA
CID003189    NH Recytech Company    KOREA, REPUBLIC OF
CID003324    QG Refining, LLC    USA
CID003348    Dijllah Gold Refinery FZC    UNITED ARAB EMIRATES

Smelter List—TANTALUM


Smelter ID    Smelter Name    Smelter Country
CID000092    Asaka Riken Co., Ltd.    JAPAN
CID000211    Changsha South Tantalum Niobium Co., Ltd.    CHINA
CID000291    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA
CID000456    Exotech Inc.    USA
CID000460    F&X Electro-Materials Ltd.    CHINA
CID000616    Guangdong Zhiyuan New Material Co., Ltd.    CHINA
CID000914    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA
CID000917    Jiujiang Tanbre Co., Ltd.    CHINA
CID001076    LSM Brasil S.A.    BRAZIL
CID001163    Metallurgical Products India Pvt., Ltd.    INDIA
CID001175    Mineracao Taboca S.A.    BRAZIL
CID001192    Mitsui Mining and Smelting Co., Ltd.    JAPAN
CID001200    NPM Silmet AS    ESTONIA
CID001277    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA
CID001508    QuantumClean    USA
CID001522    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA
CID001769    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION
CID001869    Taki Chemical Co., Ltd.    JAPAN
CID001891    Telex Metals    USA
CID001969    Ulba Metallurgical Plant JSC    KAZAKHSTAN
CID002492    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA
CID002504    D Block Metals, LLC    USA
CID002505    FIR Metals & Resource Ltd.    CHINA
CID002506    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA
CID002508    XinXing HaoRong Electronic Material Co., Ltd.    CHINA
CID002512    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA
CID002539    KEMET Blue Metals    MEXICO
CID002544    H.C. Starck Co., Ltd.    THAILAND
CID002545    H.C. Starck Tantalum and Niobium GmbH    GERMANY
CID002547    H.C. Starck Hermsdorf GmbH    GERMANY
CID002548    H.C. Starck Inc.    USA
CID002549    H.C. Starck Ltd.    JAPAN
CID002550    H.C. Starck Smelting GmbH & Co. KG    GERMANY
CID002557    Global Advanced Metals Boyertown    USA
CID002558    Global Advanced Metals Aizu    JAPAN
CID002568    KEMET Blue Powder    USA
CID002707    Resind Industria e Comercio Ltda.    BRAZIL
CID002842    Jiangxi Tuohong New Raw Material    CHINA
CID002847    Power Resources Ltd.    MACEDONIA
CID003191    Jiujiang Janny New Material Co., Ltd.    CHINA

Smelter List—TIN


Smelter ID    Smelter Name    Smelter Country
CID000228    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA
CID000292    Alpha    USA
CID000306    CV Gita Pesona    INDONESIA
CID000309    PT Aries Kencana Sejahtera    INDONESIA
CID000313    PT Premium Tin Indonesia    INDONESIA
CID000315    CV United Smelting    INDONESIA
CID000402    Dowa    JAPAN
CID000438    EM Vinto    BOLIVIA
CID000448    Estanho de Rondonia S.A.    BRAZIL
CID000468    Fenix Metals    POLAND
CID000538    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA
CID000555    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA
CID000760    Huichang Jinshunda Tin Co., Ltd.    CHINA
CID000942    Gejiu Kai Meng Industry and Trade LLC    CHINA
CID001070    China Tin Group Co., Ltd.    CHINA
CID001105    Malaysia Smelting Corporation (MSC)    MALAYSIA
CID001142    Metallic Resources, Inc.    USA
CID001173    Mineracao Taboca S.A.    BRAZIL
CID001182    Minsur    PERU
CID001191    Mitsubishi Materials Corporation    JAPAN
CID001231    Jiangxi New Nanshan Technology Ltd.    CHINA
CID001314    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND
CID001337    Operaciones Metalurgicas S.A.    BOLIVIA
CID001399    PT Artha Cipta Langgeng    INDONESIA
CID001402    PT Babel Inti Perkasa    INDONESIA
CID001406    PT Babel Surya Alam Lestari    INDONESIA
CID001419    PT Bangka Tin Industry    INDONESIA
CID001421    PT Belitung Industri Sejahtera    INDONESIA
CID001428    PT Bukit Timah    INDONESIA
CID001434    PT DS Jaya Abadi    INDONESIA
CID001448    PT Karimun Mining    INDONESIA



PT Mitra Stania Prima





PT Panca Mega Persada





PT Prima Timah Utama





PT Refined Bangka Tin



CID001463    PT Sariwiguna Binasentosa    INDONESIA
CID001468    PT Stanindo Inti Perkasa    INDONESIA
CID001471    PT Sumber Jaya Indah    INDONESIA
CID001477    PT Timah Tbk Kundur    INDONESIA
CID001482    PT Timah Tbk Mentok    INDONESIA
CID001490    PT Tinindo Inter Nusa    INDONESIA
CID001493    PT Tommy Utama    INDONESIA
CID001539    Rui Da Hung    TAIWAN
CID001758    Soft Metais Ltda.    BRAZIL
CID001898    Thaisarco    THAILAND
CID001908    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA
CID002036    White Solder Metalurgia e Mineracao Ltda.    BRAZIL
CID002158    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA
CID002180    Yunnan Tin Company Limited    CHINA

CID002455    CV Venus Inti Perkasa    INDONESIA
CID002468    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL
CID002478    PT Tirus Putra Mandiri    INDONESIA
CID002500    Melt Metais e Ligas S.A.    BRAZIL
CID002503    PT ATD Makmur Mandiri Jaya    INDONESIA
CID002517    O.M. Manufacturing Philippines, Inc.    PHILIPPINES
CID002530    PT Inti Stania Prima    INDONESIA
CID002570    CV Ayi Jaya    INDONESIA
CID002572    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM
CID002573    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM
CID002574    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM
CID002592    CV Dua Sekawan    INDONESIA
CID002593    PT Rajehan Ariq    INDONESIA
CID002703    An Vinh Joint Stock Mineral Processing Company    VIET NAM
CID002706    Resind Industria e Comercio Ltda.    BRAZIL
CID002756    Super Ligas    BRAZIL
CID002773    Metallo Belgium N.V.    BELGIUM
CID002774    Metallo Spain S.L.U.    SPAIN
CID002776    PT Bangka Prima Tin    INDONESIA
CID002816    PT Sukses Inti Makmur    INDONESIA
CID002829    PT Kijang Jaya Mandiri    INDONESIA
CID002835    PT Menara Cipta Mulia    INDONESIA
CID002844    HuiChang Hill Tin Industry Co., Ltd.    CHINA
CID002848    Gejiu Fengming Metallurgy Chemical Plant    CHINA
CID002849    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA
CID002858    Modeltech Sdn Bhd    MALAYSIA



Guangdong Hanhe Non-Ferrous Metal Co., Ltd.



CID003190    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA
CID003205    PT Bangka Serumpun    INDONESIA
CID003208    Pongpipat Company Limited    MYANMAR
CID003325    Tin Technology & Refining    USA

Smelter List—TUNGSTEN


Smelter ID    Smelter Name    Smelter Country
CID000004    A.L.M.T. Corp.    JAPAN
CID000105    Kennametal Huntsville    USA
CID000218    Guangdong Xianglu Tungsten Co., Ltd.    CHINA
CID000258    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA
CID000499    Fujian Jinxin Tungsten Co., Ltd.    CHINA
CID000568    Global Tungsten & Powders Corp.    USA
CID000766    Hunan Chenzhou Mining Co., Ltd.    CHINA
CID000769    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA
CID000825    Japan New Metals Co., Ltd.    JAPAN
CID000875    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA
CID000966    Kennametal Fallon    USA
CID001889    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM
CID002044    Wolfram Bergbau und Hutten AG    AUSTRIA
CID002082    Xiamen Tungsten Co., Ltd.    CHINA
CID002095    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA
CID002313    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA
CID002315    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA
CID002316    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA
CID002317    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA
CID002318    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA
CID002319    Malipo Haiyu Tungsten Co., Ltd.    CHINA
CID002320    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA
CID002321    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA
CID002494    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA
CID002513    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA
CID002541    H.C. Starck Tungsten GmbH    GERMANY
CID002542    H.C. Starck Smelting GmbH & Co. KG    GERMANY
CID002543    Masan Tungsten Chemical LLC (MTC)    VIET NAM
CID002551    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA
CID002579    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA
CID002589    Niagara Refining LLC    USA
CID002645    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA
CID002647    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA
CID002649    Hydrometallurg, JSC    RUSSIAN FEDERATION
CID002724    Unecha Refractory metals plant    RUSSIAN FEDERATION
CID002815    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA
CID002827    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES
CID002830    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA
CID002833    ACL Metais Eireli    BRAZIL
CID002843    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF
CID002845    Moliren Ltd.    RUSSIAN FEDERATION
CID003182    Hunan Litian Tungsten Industry Co., Ltd.    CHINA