0001628280-16-016836.txt : 20160531 0001628280-16-016836.hdr.sgml : 20160531 20160531143324 ACCESSION NUMBER: 0001628280-16-016836 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20151231 1.02 20151231 FILED AS OF DATE: 20160531 DATE AS OF CHANGE: 20160531 FILER: COMPANY DATA: COMPANY CONFORMED NAME: POLARIS INDUSTRIES INC/MN CENTRAL INDEX KEY: 0000931015 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS TRANSPORTATION EQUIPMENT [3790] IRS NUMBER: 411790959 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-11411 FILM NUMBER: 161685211 BUSINESS ADDRESS: STREET 1: 2100 HIGHWAY 55 CITY: MEDINA STATE: MN ZIP: 55340 BUSINESS PHONE: (763) 542-0500 MAIL ADDRESS: STREET 1: 2100 HIGHWAY 55 STREET 2: NONE CITY: MEDINA STATE: MN ZIP: 55340 SD 1 formsd-2015.htm SD Document

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM SD
Specialized Disclosure Report

POLARIS INDUSTRIES INC.
(Exact name of registrant as specified in its charter)


Minnesota
1-11411
41-1790959
(State or other jurisdiction of
incorporation or organization)
(Commission File Number)
(I.R.S. Employer
Identification No.)
 
 
 
2100 Highway 55, Medina MN
 
55340
(Address of principal executive offices)
 
(Zip Code)
Stacy L. Bogart, (763) 542-0500
(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:

ý Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.


Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

Polaris Industries Inc. (the “Company,” “we,” “our”) has filed a Conflict Minerals Report for the reporting period from January 1, 2015 to December 31, 2015 (the “2015 Conflict Minerals Report”), which is referenced in Item 1.02 below, filed as an exhibit to this Form SD and publicly available on our website at www.polaris.com.

Through our Reasonable Country of Origin Inquiry described in our 2015 Conflict Minerals Report, some suppliers disclosed to us that scrap sources of tin, tantalum, tungsten and gold were identified in their supply chains and did not require due diligence. This determination is included in the conflict minerals information publicly available on our website at www.polaris.com.

Item 1.02 Exhibits

A copy of the Company’s 2015 Conflict Minerals Report is furnished as Exhibit 1.01 attached to this Form SD.

1




Section 2 – Exhibits

Item 2.01 Exhibits

The following exhibit is filed as part of this report:
Exhibit 1.01 — Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD.

2



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.

 
 
 
POLARIS INDUSTRIES INC.
(Registrant)
 
 
 
Date:
May 31, 2016
 
/S/ Stacy L. Bogart
 
 
 
Stacy L. Bogart
Senior Vice President – General Counsel, Compliance Officer and Secretary





3

 EX-1.01 2 conflictmineralsreport2015.htm EXHIBIT 1.01 Exhibit

Exhibit 1.01
Conflict Minerals Report of Polaris Industries Inc.
I.
Introduction
This is the Conflict Minerals Report of Polaris Industries Inc. (“Polaris,” the “Company”, “we” or “us”) for calendar year 2015 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”).
Certain Polaris products contain materials that use tin, tantalum, tungsten and/or gold (collectively “3TG”). Due to the depth of the supply chain, we are far removed from the sources of ore from which these metals are produced and the smelters/refiners that process those ores. Accordingly, the efforts we have undertaken to identify the countries of origin of those ores reflect our circumstances and position in the supply chain. The amount of information available globally on the traceability and sourcing of these ores is limited at this time. We have taken steps to identify the applicable smelters and refiners of such 3TG metals in our supply chain. The efforts were undertaken on the products manufactured by us in 2015. This report excludes products manufactured by companies that we do not consolidate into our consolidated financial statements and companies which we acquired after April 30, 2014.

II.
Reasonable Country of Origin Inquiry (RCOI)
Direct suppliers were asked to provide answers to the Electronic Industry Citizenship Coalition-Global e-Sustainability Initiative (EICC-GeSI) Conflict Minerals Common Reporting Template. The EICC-GeSI Conflict Minerals Common Reporting Template is regarded as the most common reporting tool for conflict minerals content and sourcing information worldwide, developed by several of the world’s leading consumer electronics brands.
We reviewed questionnaires we received from our direct suppliers for completeness and consistency of answers. Certain suppliers were requested to provide corrections and clarifications as needed. We identified a list of smelters/refiners, and their countries of origin, which may supply 3TG utilized in our manufactured products. As many of the responses received from our suppliers were at a level higher than only those products procured to us, it is possible that the list includes smelters/refiners which do not provide 3TG that are utilized in our manufactured products. While we believe our RCOI process was reasonably designed and performed in good faith, as we did not receive responses from all inquired suppliers the list of smelters/refiners set forth below may be incomplete.
Through our RCOI, certain suppliers identified Al Kaloti Jewelers Factory Limited (“Al Kaloti”), Fidelity Printers and Refiners, and Sudan Gold Refinery as sources of gold in their supply chains. These refineries are not audited by the CFSI and public information indicates the possibility that these are high-risk facilities. Because the conflict minerals information from these suppliers was presented to Polaris as “company-level” responses rather than Polaris product-specific responses, it is uncertain if these gold refineries are actually in our supply chain. If we determine that material sourced from these refineries is present in Polaris' supply chain, we will work with our suppliers to encourage third party audits of these facilities. Should the facilities decline to participate in an audit, we will evaluate our relationship with that supplier and explore alternatives, as appropriate. In addition, one Tin smelter (PT PelatTimah Nusantara Tbk) was reported by some suppliers in their supply chain; however, this smelter suspended operation prior to 2015 and tin originating from this smelter is not expected to reasonably be in our supply chain for 2015. The list of smelters/refiners, and their countries of origin, is listed in Section VIII of this Conflict Minerals Report. Through our RCOI process, some suppliers disclosed to us that scrap sources of 3TG were identified in their supply chains and did not require due diligence. These sources are excluded from the listing in Section VIII. Additionally, some of the processing facilities named by our suppliers are not verified or audited smelters/refiners. We will continue to monitor the status of these facilities, whether they should be listed as a Polaris processing facility and, if so, the associated countries of origin.



1


III.
Design of Due Diligence Measures
We designed our due diligence measures to conform in all material respects with the five step framework of OECD (2011), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the supplements on tin, tantalum, tungsten and gold.

IV.
Due Diligence Measures Performed
The due diligence measures performed includes, but are not limited to the following:
•
Reported to senior management on direct suppliers’ responses to our conflict minerals information requests, including updates on monitoring and tracking corrective action and risk mitigation efforts;
•
Communicated our policy on Conflict Minerals to direct suppliers;
•
Communicated the commitments and requirements expected of our suppliers;
•
Developed a risk mitigation plan that allows for continued trade with a supplier during the supplier’s risk mitigation efforts;
•
Supported the development and implementation of independent third party audits of smelter/refiner’s sourcing through our policy and procurement practices that encourage suppliers to purchase materials from audited smelters/refiners.

V.
Product Description
We design, engineer and manufacture Off-Road Vehicles, Snowmobiles, Motorcycles and Global Adjacent Market Vehicles, together with the related Parts, Garments and Accessories. Many of our products are manufactured utilizing similar processes and similar components. Our suppliers often supply parts and components that are utilized in multiple product categories. The products that we manufacture that are subject to the reporting obligation of Rule 13p-1 contain 3TG of unknown origin.

VI.
Steps to Improve Due Diligence
We have and will continue to communicate our expectations and information requirements to our direct suppliers. We have and will also continue to monitor changes in circumstances that may impact the facts or our determination. Over time, we anticipate that the amount of information globally on the traceability and sourcing of the applicable ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional fact and risk assessments where potentially relevant changes in facts or circumstances are identified. New suppliers will be reviewed for conflict minerals conformance during initial business reviews. If we become aware of a supplier whose due diligence needs improvement, we intend to continue the trade relationship while that supplier improves its performance. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.

VII.
Independent Private Sector Audit
In April 2014, the Securities and Exchange Commission provided written guidance that explained that only companies who elect to claim that their products are "Conflict Free" are subject to an independent private section audit. We are not making such a claim. Consequently, this report presented herein was not audited.



2


VIII.    List of Smelters/Refiners
Section II discusses the process we used to identify potential smelters/refiners within our supply chain. We identified the following smelters/refiners that have achieved Conflict Free designation by the Conflict Free Smelter Initiative (CFSI) or an audit program with which CFSI has mutual recognition, or are actively in the process of obtaining the designations:
Subject Mineral
Smelter or Refiner Name
Gold
A.L.M.T. TUNGSTEN Corp.
Gold
Aida Chemical Industries Co. Ltd.
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Gold
Alpha
Gold
AngloGold Ashanti Córrego do Sítio Minerção
Gold
Argor-Heraeus SA
Gold
Asahi Pretec Corporation
Gold
Asahi Refining Canada Limited
Gold
Asahi Refining USA Inc.
Gold
Asaka Riken Co Ltd
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Gold
Aurubis AG
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Gold
Boliden AB
Gold
C. Hafner GmbH + Co. KG
Gold
CCR Refinery - Glencore Canada Corporation
Gold
Chimet S.p.A.
Gold
China Tin Group Co., Ltd.
Gold
CV United Smelting
Gold
DODUCO GmbH
Gold
Dowa
Gold
Eco-System Recycling Co., Ltd.
Gold
Elemetal Refining, LLC
Gold
EM Vinto
Gold
Fenix Metals
Gold
Fujian Jinxin Tungsten Co., Ltd.
Gold
Ganzhou Huaxing Tungsten Products Co., Ltd.
Gold
Gejiu Kai Meng Industry and Trade LLC
Gold
Heimerle + Meule GmbH
Gold
Heraeus Ltd. Hong Kong
Gold
Heraeus Precious Metals GmbH & Co. KG
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
Gold
Ishifuku Metal Industry Co., Ltd.
Gold
Istanbul Gold Refinery
Gold
Japan Mint

3


Subject Mineral
Smelter or Refiner Name
Gold
Japan New Metals Co., Ltd.
Gold
Jiangxi Copper Company Limited
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Gold
JSC Uralelectromed
Gold
JX Nippon Mining & Metals Co., Ltd.
Gold
Kazzinc
Gold
Kennecott Utah Copper LLC
Gold
Kojima Chemicals Co., Ltd.
Gold
Kyrgyzaltyn JSC
Gold
L' azurde Company For Jewelry
Gold
LS-NIKKO Copper Inc.
Gold
Malaysia Smelting Corporation (MSC)
Gold
Materion
Gold
Matsuda Sangyo Co., Ltd.
Gold
Metallic Resources, Inc.
Gold
Metallo-Chimique N.V.
Gold
Metalor Technologies (Hong Kong) Ltd.
Gold
Metalor Technologies (Singapore) Pte., Ltd.
Gold
Metalor Technologies SA
Gold
Metalor USA Refining Corporation
Gold
Minsur
Gold
Mitsubishi Materials Corporation
Gold
Mitsui Mining & Smelting
Gold
MMTC-PAMP India Pvt., Ltd.
Gold
Moscow Special Alloys Processing Plant
Gold
Navoi Mining and Metallurgical Combinat
Gold
Nihon Material Co., Ltd.
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
Gold
Ohura Precious Metal Industry Co., Ltd.
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
Gold
OJSC Novosibirsk Refinery
Gold
Operaciones Metalurgical S.A.
Gold
PAMP SA
Gold
Prioksky Plant of Non-Ferrous Metals
Gold
PT Aneka Tambang (Persero) Tbk
Gold
PT Aries Kencana Sejahtera
Gold
PT Timah (Persero) Tbk Mentok
Gold
Rand Refinery (Pty) Ltd.
Gold
Republic Metals Corporation
Gold
Royal Canadian Mint
Gold
Rui Da Hung

4


Subject Mineral
Smelter or Refiner Name
Gold
Schone Edelmetaal B.V.
Gold
SEMPSA Joyería Platería SA
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
Gold
Sichuan Tianze Precious Metals Co., Ltd.
Gold
Singway Technology Co., Ltd.
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
Gold
Soft Metais Ltda.
Gold
Solar Applied Materials Technology Corp.
Gold
Solikamsk Magnesium Works OAO
Gold
Sumitomo Metal Mining Co., Ltd.
Gold
T.C.A S.p.A
Gold
Tanaka Kikinzoku Kogyo K.K.
Gold
The Great Wall Gold and Silver Refinery of China
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
Gold
Tokuriki Honten Co., Ltd.
Gold
Umicore Brasil Ltda.
Gold
Umicore Precious Metals Thailand
Gold
Umicore SA Business Unit Precious Metals Refining
Gold
United Precious Metal Refining, Inc.
Gold
Valcambi SA
Gold
Western Australian Mint trading as The Perth Mint
Gold
Yamamoto Precious Metal Co., Ltd.
Gold
Yichun Jin Yang Rare Metal Co., Ltd.
Gold
Yokohama Metal Co., Ltd.
Gold
Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.
Gold
Yunnan Tin Group (Holding) Company Limited
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
Tantalum
A.L.M.T. TUNGSTEN Corp.
Tantalum
Alpha
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
Tantalum
Conghua Tantalum and Niobium Smeltry
Tantalum
D Block Metals, LLC
Tantalum
Duoluoshan
Tantalum
Exotech Inc.
Tantalum
F&X Electro-Materials Ltd.
Tantalum
FIR Metals & Resource Ltd.
Tantalum
Fujian Jinxin Tungsten Co., Ltd.
Tantalum
Ganzhou Huaxing Tungsten Products Co., Ltd.
Tantalum
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
Tantalum
Ganzhou Seadragon W & Mo Co., Ltd.
Tantalum
Global Advanced Metals Aizu

5


Subject Mineral
Smelter or Refiner Name
Tantalum
Global Advanced Metals Boyertown
Tantalum
Global Tungsten & Powders Corp.
Tantalum
Guangdong Xianglu Tungsten Co., Ltd.
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
Tantalum
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
Tantalum
H.C. Starck Co., Ltd.
Tantalum
H.C. Starck GmbH
Tantalum
H.C. Starck GmbH Goslar
Tantalum
H.C. Starck GmbH Laufenburg
Tantalum
H.C. Starck Hermsdorf GmbH
Tantalum
H.C. Starck Inc.
Tantalum
H.C. Starck Ltd.
Tantalum
H.C. Starck Smelting GmbH & Co.KG
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
Tantalum
Hi-Temp Specialty Metals, Inc.
Tantalum
Japan New Metals Co., Ltd.
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
Tantalum
Jiujiang Tanbre Co., Ltd.
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
Tantalum
JX Nippon Mining & Metals Co., Ltd.
Tantalum
KEMET Blue Metals
Tantalum
Kemet Blue Powder
Tantalum
Kennametal Fallon
Tantalum
King-Tan Tantalum Industry Ltd.
Tantalum
LSM Brasil S.A.
Tantalum
Materion
Tantalum
Metallo-Chimique N.V.
Tantalum
Metallurgical Products India Pvt., Ltd.
Tantalum
Mitsubishi Materials Corporation
Tantalum
Mitsui Mining & Smelting
Tantalum
Molycorp Silmet A.S.
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
Tantalum
Plansee SE Liezen
Tantalum
Plansee SE Reutte
Tantalum
Pobedit, JSC
Tantalum
QuantumClean
Tantalum
Resind Indústria e Comércio Ltda.
Tantalum
RFH Tantalum Smeltry Co., Ltd.
Tantalum
Solikamsk Magnesium Works OAO
Tantalum
Sumitomo Metal Mining Co., Ltd.
Tantalum
Taki Chemicals

6


Subject Mineral
Smelter or Refiner Name
Tantalum
Telex Metals
Tantalum
Tranzact, Inc.
Tantalum
Ulba Metallurgical Plant JSC
Tantalum
Vietnam Youngsun Tungsten Industry Co., Ltd.
Tantalum
VQB Mineral and Trading Group JSC
Tantalum
Wolfram Bergbau und Hütten AG
Tantalum
Xiamen Tungsten Co., Ltd.
Tantalum
XinXing Haorong Electronic Material Co., Ltd.
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
Tantalum
Zhuzhou Cemented Carbide
Tin
A.L.M.T. TUNGSTEN Corp.
Tin
Allgemeine Gold-und Silberscheideanstalt A.G.
Tin
Alpha
Tin
An Thai Minerals Company Limited
Tin
Asahi Pretec Corporation
Tin
Aurubis AG
Tin
Changsha South Tantalum Niobium Co., Ltd.
Tin
China Tin Group Co., Ltd.
Tin
Conghua Tantalum and Niobium Smeltry
Tin
Cooperativa Metalúrgica de Rondônia Ltda.
Tin
CV Ayi Jaya
Tin
CV Gita Pesona
Tin
CV Serumpun Sebalai
Tin
CV United Smelting
Tin
CV Venus Inti Perkasa
Tin
Dowa
Tin
Duoluoshan
Tin
Elmet S.L.U. (Metallo Group)
Tin
EM Vinto
Tin
F&X Electro-Materials Ltd.
Tin
Fenix Metals
Tin
Ganzhou Huaxing Tungsten Products Co., Ltd.
Tin
Ganzhou Seadragon W & Mo Co., Ltd.
Tin
Gejiu Kai Meng Industry and Trade LLC
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
Tin
H.C. Starck Co., Ltd.
Tin
H.C. Starck Inc.
Tin
H.C. Starck Ltd.
Tin
Heimerle + Meule GmbH
Tin
Heraeus Ltd. Hong Kong
Tin
Heraeus Precious Metals GmbH & Co. KG
Tin
Hunan Chunchang Nonferrous Metals Co., Ltd.

7


Subject Mineral
Smelter or Refiner Name
Tin
Japan Mint
Tin
Japan New Metals Co., Ltd.
Tin
Jiangxi Copper Company Limited
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
Tin
Jiangxi Yaosheng Tungsten Co., Ltd.
Tin
JX Nippon Mining & Metals Co., Ltd.
Tin
Kennametal Fallon
Tin
Kennametal Huntsville
Tin
Kojima Chemicals Co., Ltd.
Tin
Magnu's Minerais Metais e Ligas Ltda.
Tin
Malaysia Smelting Corporation (MSC)
Tin
Melt Metais e Ligas S/A
Tin
Metallic Resources, Inc.
Tin
Metallo-Chimique N.V.
Tin
Metalor Technologies SA
Tin
Mineração Taboca S.A.
Tin
Minsur
Tin
Mitsubishi Materials Corporation
Tin
Mitsui Mining & Smelting
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
Tin
O.M. Manufacturing Philippines, Inc.
Tin
OJSC Novosibirsk Refinery
Tin
Operaciones Metalurgical S.A.
Tin
PT Aneka Tambang (Persero) Tbk
Tin
PT Aries Kencana Sejahtera
Tin
PT Artha Cipta Langgeng
Tin
PT ATD Makmur Mandiri Jaya
Tin
PT Babel Inti Perkasa
Tin
PT Bangka Prima Tin
Tin
PT Bangka Tin Industry
Tin
PT Belitung Industri Sejahtera
Tin
PT BilliTin Makmur Lestari
Tin
PT Bukit Timah
Tin
PT Cipta Persada Mulia
Tin
PT DS Jaya Abadi
Tin
PT Eunindo Usaha Mandiri
Tin
PT Inti Stania Prima
Tin
PT Justindo
Tin
PT Mitra Stania Prima
Tin
PT Panca Mega Persada
Tin
PT Prima Timah Utama
Tin
PT Refined Bangka Tin

8


Subject Mineral
Smelter or Refiner Name
Tin
PT Sariwiguna Binasentosa
Tin
PT Stanindo Inti Perkasa
Tin
PT Sukses Inti Makmur
Tin
PT Sumber Jaya Indah
Tin
PT Timah (Persero) Tbk Kundur
Tin
PT Timah (Persero) Tbk Mentok
Tin
PT Tinindo Inter Nusa
Tin
PT Tommy Utama
Tin
PT WAHANA PERKIT JAYA
Tin
Resind Indústria e Comércio Ltda.
Tin
Rui Da Hung
Tin
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
Tin
Soft Metais Ltda.
Tin
Solar Applied Materials Technology Corp.
Tin
Sumitomo Metal Mining Co., Ltd.
Tin
Tanaka Kikinzoku Kogyo K.K.
Tin
Thaisarco
Tin
Umicore Brasil Ltda.
Tin
Umicore SA Business Unit Precious Metals Refining
Tin
VQB Mineral and Trading Group JSC
Tin
Western Australian Mint trading as The Perth Mint
Tin
White Solder Metalurgia e Mineração Ltda.
Tin
Yokohama Metal Co., Ltd.
Tin
Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.
Tin
Yunnan Tin Group (Holding) Company Limited
Tin
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
Tin
Zijin Mining Group Co., Ltd. Gold Refinery
Tungsten
A.L.M.T. TUNGSTEN Corp.
Tungsten
Alpha
Tungsten
Asia Tungsten Products Vietnam Ltd.
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
Tungsten
CV United Smelting
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
Tungsten
Duoluoshan
Tungsten
Exotech Inc.
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.

9


Subject Mineral
Smelter or Refiner Name
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
Tungsten
Gejiu Kai Meng Industry and Trade LLC
Tungsten
Global Advanced Metals Boyertown
Tungsten
Global Tungsten & Powders Corp.
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
Tungsten
H.C. Starck GmbH
Tungsten
H.C. Starck Ltd.
Tungsten
H.C. Starck Smelting GmbH & Co.KG
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
Tungsten
Hydrometallurg, JSC
Tungsten
Japan New Metals Co., Ltd.
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
Tungsten
Jiangxi Copper Company Limited
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
Tungsten
Jiujiang Tanbre Co., Ltd.
Tungsten
JX Nippon Mining & Metals Co., Ltd.
Tungsten
Kennametal Fallon
Tungsten
Kennametal Huntsville
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
Tungsten
Materion
Tungsten
Metallo-Chimique N.V.
Tungsten
Mitsubishi Materials Corporation
Tungsten
Mitsui Mining & Smelting
Tungsten
Niagara Refining LLC
Tungsten
Ningxia Orient Tantalum Industry Co., Ltd.
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Tungsten
Pobedit, JSC
Tungsten
PT DS Jaya Abadi
Tungsten
Sanher Tungsten Vietnam Co., Ltd.
Tungsten
Solar Applied Materials Technology Corp.
Tungsten
Sumitomo Metal Mining Co., Ltd.
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
Tungsten
Wolfram Bergbau und Hütten AG
Tungsten
Xiamen Tungsten Co., Ltd.
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.

10


Subject Mineral
Smelter or Refiner Name
Tungsten
Zhuzhou Cemented Carbide

Countries of origin identified:
Angola, Argentina, Armenia, Australia, Austria, Belarus, Belgium, Bolivia, Brazil, Burundi, Canada, Chile, China, Czech Republic, Democratic Republic of Congo (Kinshasa), Egypt, Estonia, Ethiopia, Fiji, France, Germany, Ghana, Greece, Guinea, Guyana, Hong Kong, India, Indonesia, Italy, Japan, Jersey, Kazakhstan, Kyrgyzstan, Laos, Malaysia, Mali, Mexico, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Netherlands, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Romania, Russia, Rwanda, Saudi Arabia, Sierra Leone, Singapore, South Korea, Spain, Suriname, Sweden, Switzerland, Taiwan, Tajikistan, Thailand, Turkey, United Kingdom, United States, Uzbekistan, Vietnam, Zambia, Zimbabwe
We identified the following smelters/refiners that have been verified as a smelter/refiner, but have not been audited.
Subject Mineral
Smelter or Refiner Name
Gold
Advanced Chemical Company
Gold
Air Products
Gold
Aktyubinsk Copper Company TOO
Gold
Al Etihad Gold
Gold
AMG Advanced Metallurgical Group
Gold
Bauer Walser AG
Gold
BHP Billiton
Gold
Caridad
Gold
China Nonferrous Metal Mining (Group) Co., Ltd.
Gold
Chugai Mining
Gold
CNMC (Guangxi) PGMA Co. Ltd.
Gold
Codelco
Gold
Daejin Indus Co., Ltd.
Gold
Daye Non-Ferrous Metals Mining Ltd.
Gold
DSC (Do Sung Corporation)
Gold
Eldorado Gold Corporation
Gold
Emirates Gold DMCC
Gold
ESG Edelmetall-Service GmbH & Co. KG
Gold
Faggi Enrico S.p.A.
Gold
Feinhutte Halsbrucke GmbH
Gold
Fidelity Printers and Refiners Ltd.
Gold
Gansu Seemine Material Hi-Tech Co Ltd
Gold
Geib Refining Corporation
Gold
Gejiu Zi-Li
Gold
Golden Egret Special Alloy Co. Ltd
Gold
Guangdong Jinding Gold Limited
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
Gold
Heraeus Materials Technology GmbH & Co. KG

11


Subject Mineral
Smelter or Refiner Name
Gold
Huichang Jinshunda Tin Co. Ltd
Gold
Hunan Chenzhou Mining Co., Ltd.
Gold
Hwasung CJ Co. Ltd
Gold
Jinlong Copper Co., Ltd.
Gold
Kaloti Precious Metals
Gold
Kazakhmys plc
Gold
KGHM Polska Miedź Spółka Akcyjna
Gold
Korea Metal Co. Ltd
Gold
Korea Zinc Co. Ltd.
Gold
Lingbao Gold Company Ltd.
Gold
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
Gold
Linwu Xianggui Smelter Co
Gold
Luo yang Zijin Yinhui Metal Smelt Co Ltd
Gold
Materials Eco-Refining CO.,LTD
Gold
Metahub Industries Sdn. Bhd.
Gold
Metalor Technologies (Suzhou) Co Ltd
Gold
Morris and Watson
Gold
Nankang Nanshan Tin Co., Ltd.
Gold
Novosibirsk Integrated Tin Works
Gold
Nyrstar
Gold
OJSC Kolyma Refinery
Gold
Penglai Penggang Gold Industry Co Ltd
Gold
POSCO
Gold
PT Alam Lestari Kencana
Gold
Pure Technology
Gold
SAAMP
Gold
Sabin Metal Corp.
Gold
Samduck Precious Metals
Gold
SAMWON METALS Corp.
Gold
SAXONIA Edelmetalle GmbH
Gold
Senju Metal Industry Co., Ltd.
Gold
Shandong Gold Mining Co., Ltd.
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
Gold
So Accurate Group, Inc.
Gold
Sudan Gold Refinery
Gold
Super Dragon Technology Co., Ltd.
Gold
Technic Inc.
Gold
TongLing Nonferrous Metals Group Holdings Co., Ltd.
Gold
Tony Goetz NV
Gold
Torecom
Gold
WIELAND Edelmetalle GmbH
Gold
Yantai Guodasafina High-tech Environmental Refinery CO., Ltd.

12


Subject Mineral
Smelter or Refiner Name
Gold
Yunnan Copper Industry Co Ltd
Gold
Zhe Jiang Guang Yuan Noble Metal Smelting Factory
Tantalum
Air Products
Tantalum
AMG Advanced Metallurgical Group
Tantalum
Avon Specialty Metals Ltd
Tantalum
E.S.R. Electronics
Tantalum
Gannon & Scott
Tantalum
Golden Egret Special Alloy Co. Ltd
Tantalum
Hunan Chenzhou Mining Co., Ltd.
Tantalum
Jiangxi Tuohong New Raw Material
Tantalum
Nippon Mining & Metals Co. Ltd.
Tantalum
POSCO
Tantalum
PT Bangka Timah Utama Sejahtera
Tantalum
TongLing Nonferrous Metals Group Holdings Co., Ltd.
Tin
An Vinh Joint Stock Mineral Processing Company
Tin
Best Metais e Soldas SA
Tin
Cendres + Métaux SA
Tin
Chenzhou Yunxiang Mining and Metallurgy Company Limited
Tin
China Nonferrous Metal Mining (Group) Co., Ltd.
Tin
CNMC (Guangxi) PGMA Co. Ltd.
Tin
Codelco
Tin
Colonial Metals, Inc
Tin
Complejo Metalurgico Vinto S.A.
Tin
CSC Pure Technologies
Tin
CV Dua Sekawan
Tin
CV Duta Putra Bangka
Tin
CV Prima Timah Utama
Tin
CV Tiga Sekawan
Tin
EFD INC.
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
Tin
Electrology Metal Pte
Tin
Estanho de Rondônia S.A.
Tin
Feinhutte Halsbrucke GmbH
Tin
Geib Refining Corporation
Tin
Gejiu Fengming Metalurgy Chemical Plant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
Tin
Gejiu Zi-Li
Tin
Guangxi Non-ferrous Metals Group Company Limited
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
Tin
Heraeus Materials Technology GmbH & Co. KG
Tin
HuiChang Hill Tin Industry Co., Ltd.
Tin
Huichang Jinshunda Tin Co. Ltd

13


Subject Mineral
Smelter or Refiner Name
Tin
Hyundai-Steel
Tin
Jean Goldschmidt International SA
Tin
Kovohutê Pribram
Tin
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
Tin
Linwu Xianggui Smelter Co
Tin
Materials Eco-Refining CO.,LTD
Tin
Metahub Industries Sdn. Bhd.
Tin
Nankang Nanshan Tin Co., Ltd.
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Tin
Novosibirsk Integrated Tin Works
Tin
PBT
Tin
Phoenix Metal Ltd
Tin
POSCO
Tin
Primeyoung Metal Ind. (Zhuhai) Co., Ltd
Tin
PT Alam Lestari Kencana
Tin
PT Bangka Kudai Tin
Tin
PT Bangka Timah Utama Sejahtera
Tin
PT Fang Di MulTindo
Tin
PT Karimun Mining
Tin
PT Kijang Jaya Mandiri
Tin
PT Pelat Timah Nusantara Tbk
Tin
PT Seirama Tin investment
Tin
PT Tirus Putra Mandiri
Tin
Pure Technology
Tin
Senju Metal Industry Co., Ltd.
Tin
SGS
Tin
Shangrao Xuri Smelting Factory
Tin
Shenzhen Anchen Tin Co., Ltd
Tin
So Accurate Group, Inc.
Tin
Super Dragon Technology Co., Ltd.
Tin
Technic Inc.
Tin
TongLing Nonferrous Metals Group Holdings Co., Ltd.
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
Tin
Vale Inco, Ltd.
Tin
Xiamen Honglu Tungsten Molybdenum Industry Co.Ltd
Tin
Xianghualing Tin Co., Ltd.
Tungsten
ACL Metais Eireli
Tungsten
Air Products
Tungsten
Beijing Tian-Long Tungsten & Molybdenum Co., Ltd.
Tungsten
Ganxian Shirui New Material Co., Ltd.
Tungsten
Ganzhou Haichuang Tungsten Industry Co., Ltd.
Tungsten
Gejiu Zi-Li

14


Subject Mineral
Smelter or Refiner Name
Tungsten
Golden Egret Special Alloy Co. Ltd
Tungsten
Hunan Chenzhou Mining Co., Ltd.
Tungsten
Hunan Chuangda Metallurgy Group Co. Ltd.
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
Tungsten
Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd.
Tungsten
Moliren Ltd
Tungsten
Nippon Tungsten Co., Ltd.
Tungsten
North American Tungsten
Tungsten
Philippine Chuangin Industrial Co., Inc.
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
Tungsten
TaeguTec Ltd.
Tungsten
Tamano Smelter, Hibi Kyodo Smelting Co., Ltd
Tungsten
Voss Metals Company, Inc.
Tungsten
WIELAND Edelmetalle GmbH
Tungsten
Woltech Korea Co., Ltd.
Tungsten
Xiamen Honglu Tungsten Molybdenum Industry Co.Ltd
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
Tungsten
Zhangyuan Tungsten Co.,Ltd




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