SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

 

LOGO

XEROX CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

New York   001-04471   16-0468020

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

P. O. Box 4505

201 Merritt 7

Norwalk, Connecticut

06851-1056

Registrant’s telephone number, including area code: (203) 968-3000

Not Applicable

(Former name or former address, if changed since last report)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed and provide the period to which the information in this form applies:

 

X Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017.

 

 

 


Section 1 - Conflicts Minerals Disclosure

Items 1.01 and 1.02 Conflicts Minerals Disclosure and Report, Exhibit

This Form SD and the Conflict Minerals Report, filed as Exhibit 1.01 hereto, are publicly available on our website under Supplier Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance as well as the SEC’s EDGAR database at www.sec.gov. The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.

Xerox (Xerox) is a print technology and intelligent work solutions leader focused on helping people communicate and work better. We apply our expertise in imaging and printing, data analytics, and the development of secure and automated solutions to help our customers improve productivity and increase client satisfaction. In 2017, Xerox’s products included but were not limited to multifunction printers/copiers, scanners, and multifunction/all in one printers, digital printing equipment, production printers & digital presses, continuous feed printers, wide format printers and consumables (e.g., toner cartridges).

Section 2 - Exhibits

Item 2.01 - Exhibits

Exhibit 1.01 - Conflict Minerals Report for the reporting period January 1, 2017 to December 31, 2017 as required by Items 1.01 and 1.02 of this Form.

Forward Looking Statements

This Specialized Disclosure Report on Form SD and any exhibits to this Report may contain “forward-looking statements” as defined in the Private Securities Litigation Reform Act of 1995. The words “anticipate”, “believe”, “estimate”, “expect”, “intend”, “will”, “should” and similar expressions, as they relate to us, are intended to identify forward-looking statements. These statements reflect management’s current beliefs, assumptions and expectations and are subject to a number of factors that may cause actual results to differ materially. Such factors include but are not limited to: our ability to address our business challenges in order to reverse revenue declines, reduce costs and increase productivity so that we can invest in and grow our business; changes in economic and political conditions, trade protection measures, licensing requirements and tax laws in the United States and in the foreign countries in which we do business; changes in foreign currency exchange rates; our ability to successfully develop new products, technologies and service offerings and to protect our intellectual property rights; the risk that multi-year contracts with governmental entities could be terminated prior to the end of the contract term and that civil or criminal penalties and administrative sanctions could be imposed on us if we fail to comply with the terms of such contracts and applicable law; the risk that partners, subcontractors and software vendors will not perform in a timely, quality manner; actions of competitors and our ability to promptly and effectively react to changing technologies and customer expectations; our ability to obtain adequate pricing for our products and services and to maintain and improve cost efficiency of operations, including savings from restructuring actions; the risk that individually identifiable information of customers, clients and employees could be inadvertently disclosed or disclosed as a result of a breach of our security systems; reliance on third parties, including subcontractors, for manufacturing of products and provision of services; our ability to manage changes in the printing environment and expand equipment placements; interest rates, cost of borrowing and access to credit markets; funding requirements associated with our employee pension and retiree health benefit plans; the risk that our operations and products may not comply with applicable worldwide regulatory requirements, particularly environmental regulations and directives and anti-corruption laws; the outcome of litigation and regulatory proceedings to which we may be a party; the risk that we do not realize all of the expected strategic and financial benefits from the separation and spin-off of our Business Process Outsourcing business; the effects on our business resulting from actions of activist shareholders; the risks associated with the proposed transaction between Xerox and FUJIFILM Holdings Corporation; and other factors that are set forth in the “Risk Factors” section, the “Legal Proceedings” section, the “Management’s Discussion and Analysis of Financial Condition and Results of Operations” section and other sections of our 2017 Annual Report on Form 10-K, as well as in our Quarterly Reports on Form 10-Q and our Current Reports on Form 8-K filed with the SEC. Xerox assumes no obligation to update any forward looking statements as a result of new information or future events of development, except as required by law.

 

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 undersigned duly authorized.

Date: April 16, 2018

 

XEROX CORPORATION
By:  

/s/ Yehia Maaty Omar

 

Yehia Maaty Omar

Chief Delivery Officer

 

3


EXHIBIT INDEX

 

Exhibit
Number

  

Description

1.01    Conflict Minerals Report for the reporting period January 1, 2017 to December 31, 2017

 

4

EX-1.01

Exhibit 1.01

Conflict Minerals Report

 

LOGO

Xerox Corporation

For the Year Ended December 31, 2017

This report for the year ended December 31, 2017 is made by Xerox Corporation and its subsidiaries (Xerox) in compliance with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule).

The Rule was adopted by the Securities and Exchange Commission (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 (Dodd-Frank Act). The Rule imposes 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 defined as cassiterite, columbite-tantalite, gold, wolframite and their derivatives, which are limited to tin, tantalum, tungsten and gold (3TG). These requirements apply to registrants regardless of the geographic origin of the conflict minerals and whether or not the trading in those minerals benefits armed groups.

If a registrant has reason to believe that any of the conflict minerals in their supply chain may have originated in the Democratic Republic of the Congo (DRC) or an adjoining country (the Covered Countries), or a registrant is unable to determine the country of origin of those conflict minerals, then the registrant must exercise due diligence on the source and chain of custody of those conflict minerals. The registrant must annually submit a specialized disclosure (Form SD) and Conflict Minerals Report (CMR) to the SEC that includes a description of those due diligence measures.

1. COMPANY OVERVIEW

Xerox Corporation (Xerox) is a print technology and intelligent work solutions leader focused on helping people communicate and work better. We apply our expertise in imaging and printing, data analytics, and the development of secure and automated solutions to help our customers improve productivity and increase client satisfaction. In 2017, Xerox’s products included but were not limited to multifunction printers/copiers, scanners, and multifunction/all in one printers, digital printing equipment, production printers & digital presses, continuous feed printers, wide format printers and consumables (e.g., toner cartridges). Xerox products are more fully described on our Xerox website, which can be accessed at www.xerox.com

The content of any website referred to in this CMR is included for general information only and is not incorporated by reference in this Report.

2. OUR CONFLICT MINERALS PROGRAM

2.1 Supply Chain - Reasonable Country of Origin Inquiry

Xerox is many steps removed from the mining of conflict minerals. The origin of conflict minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other conflict mineral containing derivatives. The 3TG smelters or refiners are consolidating points for raw ore and are in the best position in the total supply chain to know the origin of the ores. Xerox has conducted an analysis of our products and found that, although we do not directly purchase conflict minerals from our suppliers, Xerox purchases products, component parts and materials that contain metals, some of which contain conflict minerals. We rely on our Tier 1 suppliers to provide information on the origin of the conflict minerals contained in components that are included in our products by using the RMI Conflict Minerals Reporting Template (CMRT), which allows us to perform our Reasonable Country of Origin Inquiry (RCOI).


2.2 Supplier Risk Assessment

Because of the size of our company, the complexity of our products and the depth and breadth of our supply chain, it is difficult to identify sources upstream from our direct suppliers. As a result, Xerox conducted a product review to determine products in scope and developed a supplier risk assessment process, through which the conflict minerals program is implemented, managed and monitored. With a goal of targeting 3TG minerals, this risk assessment process was developed to identify those suppliers whose products may contain the presence of tin, tantalum, tungsten and gold.

We conducted a survey of these suppliers to determine whether the conflict minerals in components contained in our products originated from the DRC or adjoining countries. This supply-chain survey was conducted with our Tier 1 production suppliers using the CMRT, which contains questions about the facilities used to process these minerals, as well as supplier RCOI. The goal of this activity was to identify, where applicable, the 3TG smelters or refiners who contribute refined conflict minerals to Xerox components, assemblies and Original Equipment Manufacturer (OEM) Products. The CMRT was developed to facilitate disclosure and communication of information regarding smelters or refiners that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters or refiners the company and its suppliers use. Our supplier survey request also included the Responsible Minerals Initiative (RMI), formerly Conflict Free Sourcing Initiative (CFSI), informational links on available conflict mineral and smelter information. In 2017, Xerox surveyed 306 suppliers with a 62% response rate, estimated to represent over 50% of our 2017 spend with production suppliers.

The responses contained varying degrees of information regarding the names and locations of 3TG smelters or refiners which process necessary conflict minerals used by our suppliers, which are ultimately incorporated into our products. We have designed and adopted a risk management plan that summarizes our risk mitigation efforts. Under our risk-assessment process, we perform due diligence reviews of supplier responses for their use of 3TG and conduct follow-up actions on suppliers, encouraging further requests for accurate, complete or missing template information where responses identified red flags based on our risk assessment of the level of risk of the commodities supplied to us.

In 2017, we continued to refine our process of evaluating the CMRTs to assist with our ongoing risk assessment by analyzing supplier responses and providing feedback to suppliers on errors and corrections. We also provide a hot-line for supplier communication. In addition, we provide monthly reports and systematic management reviews to our senior management and elevate non-responsive issues as necessary.

2.3 Company Management Systems

Policy

Xerox has adopted a company policy which is posted on our website under Supplier Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance.

Internal Team

Xerox has established a management system for conflict minerals. Our management system includes a Senior Management Steering Committee sponsored by the Chief Delivery Officer, who reports directly to our CEO and who is responsible for signing the Form SD, as well as senior executives from Global Procurement, Environment Health Safety & Sustainability, and Legal. Our team of functional subject matter experts is responsible for implementing our conflict minerals compliance strategy. Senior management is provided with updates on the program and results of our conflict minerals program efforts on a regular basis.

2.4 Control Systems

Controls include, but are not limited to, our Code of Business Conduct for our employees, our Supplier Code of Conduct (adopted from the Responsible Business Alliance (RBA), formerly Electronic Industry Citizenship

 

2


Coalition (EICC), code of conduct) and a conflict minerals contract clause incorporated in our Multi-National Master Purchasing Agreement for new contracts.

Xerox worked with the RBA in the early stages to support the RMI and continues to be a member of the RMI, a group assisting in the development of tools and processes to improve conflict minerals due diligence, which is an RBA and Global eSustainability initiative. As outlined 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, 3RD Edition, (OECD 2016), which is the internationally recognized standard on which our company’s system is based. We support the RMI, an industry initiative that audits smelters’ and refiners’ due diligence activities. The data on which we relied for certain statements in this declaration was obtained through our membership in the RMI, using the RMI Compliant Smelter Sourcing Information Report created specifically for Xerox.

In addition, our current standard supplier contracts also require our suppliers to adopt a policy on the responsible sourcing of minerals, implement due diligence processes to support that policy, and complete and return to Xerox the RMI CMRT.

2.5 Grievance Mechanism

We have multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of Xerox policies. This is communicated annually in our employee code of ethics training process and the supplier ethics letter. This mechanism helps us to identify and assess risk.

3. DUE DILIGENCE

3.1 Design of Due Diligence

Xerox designed its due diligence measures to be in conformity, in all material respects, with the nationally or internationally recognized due diligence framework in the OECD 2016.

3.2 Smelter or Refiner Results*

Our due diligence process includes participation in RMI and following the OECD implementation framework. We requested that our suppliers complete the CMRT survey in order to obtain information about 3TG smelters or refiners in our supply chain. We have determined that these actions represent the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.

The majority of survey responses provided smelter and refiner data, although some responses did not completely list all the smelters or refiners used in their supply chain. We analyzed and compared all the 3TG smelter and refiner data we received against information obtained from the RMI smelter database. For the calendar year 2017, our due diligence identified 405 smelters and refiners as potential sources of 3TG minerals that were reported to be in our supply chain.

In order to provide compliance status, we completed further analysis of the 405 smelters and refiners, of which 252 have been certified as conflict-free compliant by the RMI approved program. An additional 56 are known to be legitimate smelters whom the RMI outreach program is working to engage in their audit program, but have yet to be certified. Six additional smelters were determined to be “non-compliant” to the RMI audit protocol. Of these five smelter did not complete re-audit / corrective action plans within the required timeframe. Additionally one was assessed as non-compliant after review of their audit submission. We will advise our supply chain accordingly. The remaining 91 are alleged smelters which have been allocated a Smelter Identification CID number and are awaiting validation through the RMI audit program.

*Note: The data above was obtained from the non-public (member only access) RMI Data Exchange Forum as of 12/31/2017.

 

3


Smelters or refiners verified as conflict-free or in the audit process**

**Note: RMI compliance results are as of 12/31/2017 (available at http://www.conflictfreesourcing.org).

 

     2014     2015     2016     2017  

Tantalum

     34 of 45 (75%     47 of 55 (85%     47 of 53 (89%     41 of 45 (91%

Tin

     51 of 253 (20%     84 of 172 (49%     82 of 152 (54%     79 of 129 (61%

Tungsten

     32 of 51 (63%     43 of 60 (72%     43 of 49 (88%     45 of 51 (88%

Gold

     71 of 206 (34%     129 of 176 (73%     139 of 183 (76%     143 of 180 (79%

Total

     188 of 555 (34%     303 of 463 (65%     311 of 437 (71%     308 of 405 (76%

4. DETERMINATION

The information received from our due diligence efforts from suppliers or other sources is not sufficient to determine the origin of all 3TG our products contain, whether the 3TG come from recycled or scrap sources, the facilities used to process them, their country of origin, or their mine or location of origin. We have found no reasonable basis for concluding that these refiners, or the other smelters preparing to be audited, sourced 3TG minerals that directly or indirectly finance or benefit armed groups of the conflict region of the Covered Countries.

Based on the information provided by our suppliers, we believe that the facilities that may have been used to process the 3TG minerals in our products include the RMI compliant smelters listed in Appendix I below. Based on our due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the 3TG minerals in our products or whether the 3TG minerals in our products are from recycled or scrap sources. However, based on the information provided by our suppliers, as well as from the RMI and other sources, we believe that the countries of origin of the 3TG minerals contained in our products include the countries listed in Appendix II below as well as recycled and scrap sources. Pursuant to the Rule, this report is not subject to an independent private sector audit.

Through our participation in the RMI, we continue to support independent third party audits through the RMI or other third party certification schemes.

In accordance with the OECD Guidance and the Rule, this CMR is available on our website under Supplier Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance.

5. STEPS TO BE TAKEN IN 2018 TO MITIGATE RISK

Xerox plans to undertake the following steps during 2018 to improve the due diligence conducted in order to further mitigate the risk that the necessary conflict minerals in our products do not benefit armed groups in the DRC or adjoining countries, including:

 

    Continue to strengthen engagement with relevant suppliers and to provide training, as appropriate, to help them understand and satisfy Xerox requirements related to 3TG minerals under the Rule.

 

    Review process with distributors submitting CMRT’s and develop best practices in obtaining 3TG mineral data.

 

    Continue using internal escalation process within our supply chain organization when working with suppliers to obtain required information.

 

    Review third party programs to further improve our conflict mineral process in obtaining accurate and complete information about smelters/refiners.

 

    Continue to provide ongoing feedback to suppliers on errors and corrections required in connection with the CMRT assessment.

 

4


    Notify supplier of non-compliant smelter within their supply chain

 

    Continue to participate as a member in the RBA and the RMI, including Conflict Free Smelter Program smelter validation and supplier outreach.

 

    Continue to work with the OECD and relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance.

 

 

 

5


APPENDIX I

 

Mineral

  

Smelter or Refiner Name*

  

Country Location of

  Smelter or Refiner

Gold                

   Western Australian Mint (trading as The Perth Mint)    Australia

Gold

   Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    Austria

Gold

   Umicore S.A. Business Unit Precious Metals Refining    Belgium

Gold

   AngloGold Ashanti Corrego do Sitio Mineracao    Brazil

Gold

   Umicore Brasil Ltda.    Brazil

Gold

   Marsam Metals    Brazil

Gold

   CCR Refinery - Glencore Canada Corporation    Canada

Gold

   Asahi Refining Canada Ltd.    Canada

Gold

   Royal Canadian Mint    Canada

Gold

   Planta Recuperadora de Metales SpA    Chile

Gold

   Heraeus Metals Hong Kong Ltd.    China

Gold

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

Gold

   Jiangxi Copper Co., Ltd.    China

Gold

   Metalor Technologies (Suzhou) Ltd.    China

Gold

   Metalor Technologies (Hong Kong) Ltd.    China

Gold

   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China

Gold

   Sichuan Tianze Precious Metals Co., Ltd.    China

Gold

   The Refinery of Shandong Gold Mining Co., Ltd.    China

Gold

   Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China

Gold

   Gold Refinery of Zijin Mining Group Co., Ltd.    China

Gold

   SAAMP    France

Gold

   Allgemeine Gold-und Silberscheideanstalt A.G.    Germany

Gold

   Aurubis AG    Germany

Gold

   C. Hafner GmbH + Co. KG    Germany

Gold

   Doduco Contacts and Refining GmbH    Germany

Gold

   Heimerle + Meule GmbH    Germany

Gold

   Heraeus Precious Metals GmbH & Co. KG    Germany

Gold

   SAXONIA Edelmetalle GmbH    Germany

Gold

   Wieland Edelmetalle GmbH    Germany

Gold

   MMTC-PAMP India Pvt., Ltd.    India

Gold

   PT Aneka Tambang (Persero) Tbk    Indonesia

Gold

   Chimet S.p.A.    Italy

Gold

   T.C.A S.p.A    Italy

Gold

   Italpreziosi    Italy

Gold

   Safimet S.p.A    Italy

Gold

   Aida Chemical Industries Co., Ltd.    Japan

Gold

   Asahi Pretec Corp.    Japan

Gold

   Asaka Riken Co., Ltd.    Japan

 

A-2


Mineral

  

Smelter or Refiner Name*

  

Country Location of

  Smelter or Refiner

Gold

   Dowa    Japan

Gold

   Eco-System Recycling Co., Ltd.    Japan

Gold

   Ishifuku Metal Industry Co., Ltd.    Japan

Gold

   Japan Mint    Japan

Gold

   JX Nippon Mining & Metals Co., Ltd.    Japan

Gold

   Kojima Chemicals Co., Ltd.    Japan

Gold

   Matsuda Sangyo Co., Ltd.    Japan

Gold

   Mitsubishi Materials Corporation    Japan

Gold

   Mitsui Mining and Smelting Co., Ltd.    Japan

Gold

   Nihon Material Co., Ltd.    Japan

Gold

   Ohura Precious Metal Industry Co., Ltd.    Japan

Gold

   Sumitomo Metal Mining Co., Ltd.    Japan

Gold

   Tanaka Kikinzoku Kogyo K.K.    Japan

Gold

   Tokuriki Honten Co., Ltd.    Japan

Gold

   Yamakin Co., Ltd.    Japan

Gold

   Yokohama Metal Co., Ltd.    Japan

Gold

   Kazzinc    Kazakhstan

Gold

   Daejin Indus Co., Ltd.    Korea

Gold

   DSC (Do Sung Corporation)    Korea

Gold

   HeeSung Metal Ltd.    Korea

Gold

   LS-NIKKO Copper Inc.    Korea

Gold

   Samduck Precious Metals    Korea

Gold

   Torecom    Korea

Gold

   Korea Zinc Co., Ltd.    Korea

Gold

   SungEel HiMetal Co., Ltd.    Korea

Gold

   Kyrgyzaltyn JSC    Kyrgyzstan

Gold

   Metalúrgica Met-Mex Peñoles S.A. De C.V.    Mexico

Gold

   Schone Edelmetaal B.V.    Netherlands

Gold

   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines

Gold

   JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Russia

Gold

   JSC Uralelectromed    Russia

Gold

   Moscow Special Alloys Processing Plant    Russia

Gold

   OJSC Novosibirsk Refinery    Russia

Gold

   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Russia

Gold

   Prioksky Plant of Non-Ferrous Metals    Russia

Gold

   SOE Shyolkovsky Factory of Secondary Precious Metals    Russia

Gold

   Metalor Technologies (Singapore) Pte., Ltd.    Singapore

Gold

   Rand Refinery (Pty) Ltd.    South Africa

Gold

   AU Traders and Refiners    South Africa

 

A-3


Mineral

  

Smelter or Refiner Name*

  

Country Location of

  Smelter or Refiner

Gold

   SEMPSA Joyería Platería S.A.    Spain

Gold

   Boliden AB    Sweden

Gold

   Argor-Heraeus S.A.    Switzerland

Gold

   Cendres + Metaux S.A.    Switzerland

Gold

   Metalor Technologies S.A.    Switzerland

Gold

   PAMP S.A.    Switzerland

Gold

   PX Precinox S.A.    Switzerland

Gold

   Valcambi S.A.    Switzerland

Gold

   Solar Applied Materials Technology Corp.    Taiwan

Gold

   Singway Technology Co., Ltd.    Taiwan

Gold

   Umicore Precious Metals Thailand    Thailand

Gold

   Istanbul Gold Refinery    Turkey

Gold

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

Gold

   Al Etihad Gold LLC    United Arab Emirates

Gold

   Emirates Gold DMCC    United Arab Emirates

Gold

   Advanced Chemical Company    United States

Gold

   Asahi Refining USA Inc.    United States

Gold

   Kennecott Utah Copper LLC    United States

Gold

   Materion    United States

Gold

   Metalor United States Refining Corporation    United States

Gold

   United Precious Metal Refining, Inc.    United States

Gold

   Geib Refining Corporation    United States

Gold

   Republic Metals Corporation    United States

Gold

   Almalyk Mining and Metallurgical Complex (AMMC)    Uzbekistan

Tantalum

   LSM Brasil S.A.    Brazil

Tantalum

   Mineração Taboca S.A.    Brazil

Tantalum

   Resind Indústria e Comércio Ltda.    Brazil

Tantalum

   Changsha South Tantalum Niobium Co., Ltd.    China

Tantalum

   F&X Electro-Materials Ltd.    China

Tantalum

   FIR Metals & Resource Ltd.    China

Tantalum

   Guangdong Rising Rare Metals-EO Materials Ltd.    China

Tantalum

   Guangdong Zhiyuan New Material Co., Ltd.    China

Tantalum

   Hengyang King Xing Lifeng New Materials Co., Ltd.    China

Tantalum

   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China

Tantalum

   Jiangxi Tuohong New Raw Material    China

Tantalum

   JiuJiang JinXin Nonferrous Metals Co., Ltd.    China

Tantalum

   Jiujiang Nonferrous Metals Smelting Company Limited    China

Tantalum

   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China

Tantalum

   King-Tan Tantalum Industry Ltd.    China

Tantalum

   Ningxia Orient Tantalum Industry Co., Ltd.    China

 

A-4


Mineral

  

Smelter or Refiner Name*

  

Country Location of

  Smelter or Refiner

Tantalum

   RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    China

Tantalum

   XinXing HaoRong Electronic Material Co., Ltd.    China

Tantalum

   Yichun Jin Yang Rare Metal Co., Ltd.    China

Tantalum

   NPM Silmet AS    Estonia

Tantalum

   H.C. Starck Tantalum and Niobium GmbH    Germany

Tantalum

   H.C. Starck Hermsdorf GmbH    Germany

Tantalum

   H.C. Starck Smelting GmbH & Co. KG    Germany

Tantalum

   Metallurgical Products India Pvt., Ltd.    India

Tantalum

   Asaka Riken Co., Ltd.    Japan

Tantalum

   Global Advanced Metals Aizu    Japan

Tantalum

   H.C. Starck Ltd.    Japan

Tantalum

   Mitsui Mining and Smelting Co., Ltd.    Japan

Tantalum

   Taki Chemical Co., Ltd.    Japan

Tantalum

   Ulba Metallurgical Plant JSC    Kazakhstan

Tantalum

   Power Resources Ltd.    Macedonia

Tantalum

   Kemet Blue Metals    Mexico

Tantalum

   Solikamsk Magnesium Works OAO    Russia

Tantalum

   H.C. Starck Co., Ltd.    Thailand

Tantalum

   D Block Metals, LLC    United States

Tantalum

   Exotech Inc.    United States

Tantalum

   Global Advanced Metals Boyertown    United States

Tantalum

   H.C. Starck Inc.    United States

Tantalum

   Kemet Blue Powder    United States

Tantalum

   QuantumClean    United States

Tantalum

   Telex Metals    United States

Tin

   Metallo Belgium N.V.    Belgium

Tin

   EM Vinto    Bolivia

Tin

   Operaciones Metalurgical S.A.    Bolivia

Tin

   Magnu’s Minerais Metais e Ligas Ltda.    Brazil

Tin

   Melt Metais e Ligas S.A.    Brazil

Tin

   Mineração Taboca S.A.    Brazil

Tin

   Resind Industria e Comercio Ltda.    Brazil

Tin

   Soft Metais Ltda.    Brazil

Tin

   White Solder Metalurgia e Mineração Ltda.    Brazil

Tin

   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China

Tin

   Jiangxi Ketai Advanced Material Co., Ltd.    China

Tin

   Gejiu Non-Ferrous Metal Processing Co., Ltd.    China

Tin

   Huichang Jinshunda Tin Co., Ltd.    China

Tin

   Gejiu Kai Meng Industry and Trade LLC    China

 

A-5


Mineral

  

Smelter or Refiner Name*

  

Country Location of

  Smelter or Refiner

Tin

   China Tin Group Co., Ltd.    China

Tin

   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China

Tin

   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    China

Tin

   Yunnan Tin Company Limited    China

Tin

   Gejiu Fengming Metallurgy Chemical Plant    China

Tin

   Guanyang Guida Nonferrous Metal Smelting Plant    China

Tin

   Gejiu Jinye Mineral Company    China

Tin

   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    China

Tin

   CV Serumpun Sebalai    Indonesia

Tin

   CV Gita Pesona    Indonesia

Tin

   PT Aries Kencana Sejahtera    Indonesia

Tin

   CV United Smelting    Indonesia

Tin

   PT Artha Cipta Langgeng    Indonesia

Tin

   PT Babel Inti Perkasa    Indonesia

Tin

   PT Bangka Tin Industry    Indonesia

Tin

   PT Belitung Industri Sejahtera    Indonesia

Tin

   PT Bukit Timah    Indonesia

Tin

   PT DS Jaya Abadi    Indonesia

Tin

   PT Eunindo Usaha Mandiri    Indonesia

Tin

   PT Karimun Mining    Indonesia

Tin

   PT Mitra Stania Prima    Indonesia

Tin

   PT Panca Mega Persada    Indonesia

Tin

   PT Prima Timah Utama    Indonesia

Tin

   PT Refined Bangka Tin    Indonesia

Tin

   PT Sariwiguna Binasentosa    Indonesia

Tin

   PT Stanindo Inti Perkasa    Indonesia

Tin

   PT Sumber Jaya Indah    Indonesia

Tin

   PT Timah (Persero) Tbk Kundur    Indonesia

Tin

   PT Timah (Persero) Tbk Mentok    Indonesia

Tin

   PT Tinindo Inter Nusa    Indonesia

Tin

   PT Tommy Utama    Indonesia

Tin

   CV Venus Inti Perkasa    Indonesia

Tin

   PT ATD Makmur Mandiri Jaya    Indonesia

Tin

   PT Inti Stania Prima    Indonesia

Tin

   CV Ayi Jaya    Indonesia

Tin

   CV Dua Sekawan    Indonesia

Tin

   CV Tiga Sekawan    Indonesia

Tin

   PT O.M. Indonesia    Indonesia

Tin

   PT Bangka Prima Tin    Indonesia

Tin

   PT Sukses Inti Makmur    Indonesia

 

A-6


Mineral

  

Smelter or Refiner Name*

  

Country Location of

  Smelter or Refiner

Tin

   PT Kijang Jaya Mandiri    Indonesia

Tin

   PT Menara Cipta Mulia    Indonesia

Tin

   PT Lautan Harmonis Sejahtera    Indonesia

Tin

   Dowa    Japan

Tin

   Mitsubishi Materials Corporation    Japan

Tin

   Malaysia Smelting Corporation (MSC)    Malaysia

Tin

   Minsur    Peru

Tin

   O.M. Manufacturing Philippines, Inc.    Philippines

Tin

   Fenix Metals    Poland

Tin

   Metallo Spain S.L.U.    Spain

Tin

   Rui Da Hung    Taiwan

Tin

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

Tin

   Thaisarco    Thailand

Tin

   Alpha    United States

Tin

   Metallic Resources, Inc.    United States

Tungsten

   Wolfram Bergbau und Hutten AG    Austria

Tungsten

   ACL Metais Eireli    Brazil

Tungsten

   Chenzhou Diamond Tungsten Products Co., Ltd.    China

Tungsten

   Chongyi Zhangyuan Tungsten Co., Ltd.    China

Tungsten

   Fujian Jinxin Tungsten Co., Ltd.    China

Tungsten

   Guangdong Xianglu Tungsten Co., Ltd.    China

Tungsten

   Ganzhou Huaxing Tungsten Products Co., Ltd.    China

Tungsten

   Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China

Tungsten

   Ganzhou Seadragon W & Mo Co., Ltd.    China

Tungsten

   Hunan Chenzhou Mining Co., Ltd.    China

Tungsten

   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    China

Tungsten

   Hunan Chunchang Nonferrous Metals Co., Ltd.    China

Tungsten

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

Tungsten

   Jiangxi Gan Bei Tungsten Co., Ltd.    China

Tungsten

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

Tungsten

   Jiangxi Xinsheng Tungsten Industry Co., Ltd.    China

Tungsten

   Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    China

Tungsten

   Jiangxi Yaosheng Tungsten Co., Ltd.    China

Tungsten

   Malipo Haiyu Tungsten Co., Ltd.    China

Tungsten

   South-East Nonferrous Metal Company Limited of Hengyang City    China

Tungsten

   Xiamen Tungsten Co., Ltd.    China

Tungsten

   Xiamen Tungsten (H.C.) Co., Ltd.    China

Tungsten

   Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    China

Tungsten

   Xinhai Rendan Shaoguan Tungsten Co., Ltd.    China

Tungsten

   H.C. Starck Smelting GmbH & Co. KG    Germany

 

A-7


Mineral

  

Smelter or Refiner Name*

  

Country Location of

  Smelter or Refiner

Tungsten

   H.C. Starck Tungsten GmbH    Germany

Tungsten

   A.L.M.T. Tungsten Corp.    Japan

Tungsten

   Japan New Metals Co., Ltd.    Japan

Tungsten

   Woltech Korea Co., Ltd.    Korea

Tungsten

   Philippine Chuangxin Industrial Co., Inc.    Philippines

Tungsten

   Hydrometallurg, JSC    Russia

Tungsten

   Moliren Ltd.    Russia

Tungsten

   Unecha Refractory Metals Plant    Russia

Tungsten

   Global Tungsten & Powders Corp.    United States

Tungsten

   Kennametal Fallon    United States

Tungsten

   Kennametal Huntsville    United States

Tungsten

   Niagara Refining LLC    United States

Tungsten

   Asia Tungsten Products Vietnam Ltd.    Vietnam

Tungsten

   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    Vietnam

Tungsten

   Tejing (Vietnam) Tungsten Co., Ltd.    Vietnam

Tungsten

   Vietnam Youngsun Tungsten Industry Co., Ltd.    Vietnam

 

*Smelter or refiner names as reported by the RMI as of 1/10/18.

 

 

 

A-8


APPENDIX II

Countries of origin of the 3TG minerals contained in our products**

 

Gold

  

Tantalum

  

Tin

  

Tungsten

Benin

   Australia    Argentina    Australia

Bolivia

   Bolivia    Australia    Austria

Burkina Faso

   Brazil    Bolivia    Bolivia

Canada

   Burundi    Brazil    Brazil

Chile

   China    Burundi    Burundi

Colombia

   Colombia    China    Cambodia

Ecuador

   Democratic Republic of Congo    Colombia    Canada

Eritrea

   Ethiopia    Democratic Republic of Congo    China

Ghana

   France    Germany    Colombia

Guatemala

   Guinea       Democratic Republic of Congo

Guinea

   Guyana    Indonesia    Japan

Guyana

   India    Laos    Mexico
   Kazakhstan    Malaysia    Mongolia
   Madagascar    Mongolia    Nigeria
   Malaysia    Myanmar    Portugal
   Mozambique    Nigeria    Russia
   Namibia    Peru    Rwanda
   Nigeria    Portugal    Spain
   Russia    Russia    United Kingdom & Northern Ireland
   Rwanda    Rwanda    United States
   Sierra Leone    Thailand    Uzbekistan
   Thailand       Vietnam
   United States      
   Zimbabwe      

**As per RMI Compliant Smelter Sourcing RCOI information as of 1/12/18 update.

Note: RMI approved smelters certified via the LBMA and RJC have not disclosed country of origin details.

 

A-9