UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM SD
Specialized Disclosure Report
AMETEK, Inc.
(Exact name of registrant as specified in its charter)
Delaware (State or other jurisdiction of incorporation) | 1-12981 (Commission File Number) | 14-1682544 (IRS Employer Identification No.) | ||||||
1100 Cassatt Road, Berwyn, Pennsylvania (Address of principal executive offices) | 19312 - 1177 (Zip Code) | |||||||
Matthew M. Fuss (610) 647-2121 | ||||||||
| (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:
☒ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
AMETEK, Inc. (the “Company”) has evaluated its current product lines and determined that certain products the Company manufactures or contracts to manufacture contain tin, tungsten, tantalum and/or gold (3TG). As a result, the Company has filed a Conflict Minerals Report, which appears as Exhibit 1.01.
The Conflicts Mineral Report is available at www.AMETEK.com/conflictmineralsreport. 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.
Item 1.02 Exhibits
AMETEK, Inc. Conflict Minerals Report as required by Item 1.01 of this Form. | ||
Section 2 - Exhibits
Item 2.01 Exhibits
| Exhibit No. | Description | |||||||
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.
| AMETEK, Inc. | ||||||||
| Date: May 26, 2021 | By: | /s/ RONALD J. OSCHER | ||||||
| Name: Ronald J. Oscher | ||||||||
| Title: Chief Administrative Officer | ||||||||
Exhibit 1.01
AMETEK, Inc.
Conflict Minerals Report
For the Year Ended December 31, 2020
The report for the year ended December 31, 2020 is presented to comply with Rule 13p-1 under the Securities and 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 or contracted to manufacture products contain conflict minerals which 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 whatever the geographic origin of the conflict minerals and whether or not they fund armed conflict.
If a registrant can establish that the conflict minerals originated from sources other than the Democratic Republic of the Congo (“DRC”) or an adjoining country (the “Covered Countries”), or from recycled and scrap sources, they must submit a Form SD which describes the Reasonable Country of Origin Inquiry (“RCOI”) completed.
AMETEK’s products are “DRC Conflict Undeterminable.” The report presented herein is not audited.
Overview
AMETEK consists of two business groups: Electronic Instruments Group and Electromechanical Group. Electronic Instruments is in the design and manufacture of advanced instruments for the aerospace, power, process, and industrial markets. Electromechanical is a differentiated supplier of electrical interconnects, precision motion control solutions, specialty metals, thermal management systems, and floor care and specialty motors.
The electronic instruments and electromechanical products we manufacture are numerous and many are complex, from direct and indirect suppliers. AMETEK has relationships with a vast network of suppliers (over 17,000 direct and indirect suppliers) throughout the world and there are generally multiple tiers between the 3TG mines and our direct suppliers. Based on our downstream position in the supply chain, we must rely on our direct suppliers that may themselves procure these minerals far removed from the actual source making it difficult to determine the 3TG country of origin, chain of custody, and whether these minerals directly or indirectly financed or benefited armed groups in the DRC or covered countries.
In 2020 AMETEK continued the previous year’s focus on suppliers providing at least $300K of parts annually. The data collection process was supported with the use of an outside consultant to assist with data collection and collation efforts. Although most of our suppliers provided the information requested, some did not. Some suppliers responded with a specific Conflict Free Mineral (“CFM”) status without providing supporting details. AMETEK will continue to diligently pursue receipt of satisfactory and conclusive details regarding the supply chain of conflict minerals our Suppliers are providing to us. For the period ending December 31, 2020, our CFM efforts resulted in the following Conflict Minerals Metrics for our entire organization, regardless of supplier spend.
Exhibit 1.01
| 2020 CFM Status by Spend | |||||
| CONFLICT FREE | 12% | ||||
| EXEMPT | 67% | ||||
| UNDETERMINABLE | 16% | ||||
| UNKNOWN | 5% | ||||
For the next reporting year (2021 production), AMETEK’s focus will continue to be on increasing our suppliers’ response rates to our request for complete and accurate Templates with the ultimate goal of achieving a conflict-free supply chain. The remainder of this report will provide the supporting details of our Conflict-free Minerals due diligence approach and results for the 2020 production year.
Conflict-free Minerals Due Diligence Program
Pursuant to the Rule, we performed due diligence on the source and origin of 3TG in our products, including the Components we purchase from suppliers. Our due diligence measures have been designed to conform to The Organisation of Economic Co-operation and Development (“OECD”) due diligence framework. This risk-based due diligence process is based on the following OECD Guidance:
1.Establish strong company management systems
2.Identify and assess risk in the supply chain
3.Design and implement a strategy to respond to identified risk
4.Carry out independent 3rd party audit of the supply chain (e.g., audit high risk suppliers or smelters)
5.Report on supply chain due diligence internally to management
In order to identify and assess risks associated with CFM we begin with careful filtering of our products to isolate those that may contain 3TG that is necessary to the functionality or manufacture of our products. A categorization of suppliers and individual components purchased is in place that results in every purchased item having a CFM status assigned. We are then able to identify and engage relevant suppliers by initiating a RCOI to determine whether supplied parts containing 3TG originated in the DRC or one of the covered countries or are from recycled or scrap sources.
Given the number of products impacted and the complexity of the associated supply chains, our RCOI involves numerous telephone and email inquiries along with the exchange of thousands of CFM Templates and other supporting documents. To effectively manage this process, a CFM compliance owner has been identified for each of our 153 factory locations. The Compliance Owner is tasked with ensuring responses from their supply base. For the 2020 production year, AMETEK continued to employ an outside consultant to load the targeted suppliers and their contacts, validate, and review submissions.
An additional data gathering challenge has been to obtain complete CFM data from companies that currently are not part of the direct SEC reporting regulations. Included in this Group are Smelters/Refiners, Distributors, and private or internationally based companies. For the 2020 production year, AMETEK chose to continue to focus on our Tier 2 supply, defined as suppliers providing at least $300K of parts annually. This allowed us to strategically align our efforts to a controlled number of companies in the best position to participate in our CFM data gathering efforts. Our process to address non-responders contained specific escalation procedures including business unit meetings with corporate management until an appropriate supplier response was received. Additionally, AMETEK employed
Exhibit 1.01
outside consultants to assist with gathering supplier CFM Templates and confirmation of the validity of their Smelter lists. After considerable effort, we have received CFM responses from 735 of our Tier 2 suppliers. For 2020, the key metrics from our Tier 2 group of suppliers are as follows:
| 2020 Tier 2 CFM Status by Spend | |||||
| CONFLICT FREE | 15% | ||||
| EXEMPT | 71% | ||||
| UNDETERMINABLE | 14% | ||||
| UNKNOWN | 0% | ||||
Conclusions and Expected Next Steps
To the extent reasonably possible, AMETEK has documented the country of origin of identified smelters and refiners based on information received through the Conflict-Free Smelter Program (“CFSP”), surveys of smelters and refiners, the validation of outside consultants, and/or reviews of publicly available information. We have identified a total of 328 legitimate and known smelters as potential sources of 3TG minerals furnished to AMETEK Suppliers during 2020 (see Appendix I). AMETEK, Inc. intends to continue to evaluate and improve our due diligence program and engage with our suppliers to identify the origin and chain of custody of 3TG minerals in our products with an aim to achieve a Conflict Free Supply Base.
Caution Concerning Forward-looking Statements
Certain statements in this report maybe "forward-looking" within the meaning of the Private Securities Litigation Reform Act of 1995. When used in this report, the words “believes,” “anticipates,” “may,” “expect,” “intend,” “estimate,” “project” and similar expressions are intended to identify forward-looking statements, although not all forward-looking statements contain such words. Examples of forward-looking statements include statements relating to our future plans, and any other statement that does not directly relate to any historical or current fact. Forward-looking statements are subject to various factors and uncertainties that may cause actual results to differ significantly from expectations. A detailed discussion of other factors that may affect our future results is contained in AMETEK’s filings with the U.S. Securities and Exchange Commission, including its most recent reports on Form 10-K, 10-Q and 8-K. AMETEK disclaims any intention or obligation to update or revise any forward-looking statements.
Exhibit 1.01
Appendix I: Smelter List
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 1 | Gold | CID002763 | 8853 S.p.A. | ||||||||||||||
| 2 | Gold | CID002708 | Abington Reldan Metals, LLC | ||||||||||||||
| 3 | Gold | CID000015 | Advanced Chemical Company | ||||||||||||||
| 4 | Gold | CID000019 | Aida Chemical Industries Co., Ltd. | ||||||||||||||
| 5 | Gold | CID002560 | Al Etihad Gold Refinery DMCC | ||||||||||||||
| 6 | Gold | CID003500 | Alexy Metals | ||||||||||||||
| 7 | Gold | CID000035 | Allgemeine Gold-und Silberscheideanstalt A.G. | ||||||||||||||
| 8 | Gold | CID000041 | Almalyk Mining and Metallurgical Complex (AMMC) | ||||||||||||||
| 9 | Gold | CID000058 | AngloGold Ashanti Corrego do Sitio Mineracao | ||||||||||||||
| 10 | Gold | CID000077 | Argor-Heraeus S.A. | ||||||||||||||
| 11 | Gold | CID000082 | Asahi Pretec Corp. | ||||||||||||||
| 12 | Gold | CID000924 | Asahi Refining Canada Ltd. | ||||||||||||||
| 13 | Gold | CID000920 | Asahi Refining USA Inc. | ||||||||||||||
| 14 | Gold | CID000090 | Asaka Riken Co., Ltd. | ||||||||||||||
| 15 | Gold | CID000103 | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | ||||||||||||||
| 16 | Gold | CID002850 | AU Traders and Refiners | ||||||||||||||
| 17 | Gold | CID003461 | Augmont Enterprises Private Limited | ||||||||||||||
| 18 | Gold | CID000113 | Aurubis AG | ||||||||||||||
| 19 | Gold | CID002863 | Bangalore Refinery | ||||||||||||||
| 20 | Gold | CID000128 | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | ||||||||||||||
| 21 | Gold | CID000157 | Boliden AB | ||||||||||||||
| 22 | Gold | CID000176 | C. Hafner GmbH + Co. KG | ||||||||||||||
| 23 | Gold | CID003421 | C.I Metales Procesados Industriales SAS | ||||||||||||||
| 24 | Gold | CID000180 | Caridad | ||||||||||||||
| 25 | Gold | CID000185 | CCR Refinery - Glencore Canada Corporation | ||||||||||||||
| 26 | Gold | CID000189 | Cendres + Metaux S.A. | ||||||||||||||
| 27 | Gold | CID003382 | CGR Metalloys Pvt Ltd. | ||||||||||||||
| 28 | Gold | CID000233 | Chimet S.p.A. | ||||||||||||||
| 29 | Gold | CID000264 | Chugai Mining | ||||||||||||||
| 30 | Gold | CID000343 | Daye Non-Ferrous Metals Mining Ltd. | ||||||||||||||
| 31 | Gold | CID002867 | Degussa Sonne / Mond Goldhandel GmbH | ||||||||||||||
| 32 | Gold | CID003348 | Dijllah Gold Refinery FZC | ||||||||||||||
| 33 | Gold | CID000362 | DODUCO Contacts and Refining GmbH | ||||||||||||||
| 34 | Gold | CID000401 | Dowa | ||||||||||||||
| 35 | Gold | CID003195 | DS PRETECH Co., Ltd. | ||||||||||||||
| 36 | Gold | CID000359 | DSC (Do Sung Corporation) | ||||||||||||||
| 37 | Gold | CID000425 | Eco-System Recycling Co., Ltd. East Plant | ||||||||||||||
| 38 | Gold | CID003424 | Eco-System Recycling Co., Ltd. North Plant | ||||||||||||||
| 39 | Gold | CID003425 | Eco-System Recycling Co., Ltd. West Plant | ||||||||||||||
| 40 | Gold | CID003487 | Emerald Jewel Industry India Limited (Unit 1) | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 41 | Gold | CID003488 | Emerald Jewel Industry India Limited (Unit 2) | ||||||||||||||
| 42 | Gold | CID003489 | Emerald Jewel Industry India Limited (Unit 3) | ||||||||||||||
| 43 | Gold | CID003490 | Emerald Jewel Industry India Limited (Unit 4) | ||||||||||||||
| 44 | Gold | CID002561 | Emirates Gold DMCC | ||||||||||||||
| 45 | Gold | CID002584 | Fujairah Gold FZC | ||||||||||||||
| 46 | Gold | CID002852 | GCC Gujrat Gold Centre Pvt. Ltd. | ||||||||||||||
| 47 | Gold | CID002459 | Geib Refining Corporation | ||||||||||||||
| 48 | Gold | CID003186 | Gold Coast Refinery | ||||||||||||||
| 49 | Gold | CID002243 | Gold Refinery of Zijin Mining Group Co., Ltd. | ||||||||||||||
| 50 | Gold | CID001909 | Great Wall Precious Metals Co., Ltd. of CBPM | ||||||||||||||
| 51 | Gold | CID002312 | Guangdong Jinding Gold Limited | ||||||||||||||
| 52 | Gold | CID000651 | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | ||||||||||||||
| 53 | Gold | CID000671 | Hangzhou Fuchunjiang Smelting Co., Ltd. | ||||||||||||||
| 54 | Gold | CID000694 | Heimerle + Meule GmbH | ||||||||||||||
| 55 | Gold | CID000707 | Heraeus Metals Hong Kong Ltd. | ||||||||||||||
| 56 | Gold | CID000711 | Heraeus Precious Metals GmbH & Co. KG | ||||||||||||||
| 57 | Gold | CID000767 | Hunan Chenzhou Mining Co., Ltd. | ||||||||||||||
| 58 | Gold | CID000773 | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | ||||||||||||||
| 59 | Gold | CID000778 | HwaSeong CJ CO., LTD. | ||||||||||||||
| 60 | Gold | CID000801 | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | ||||||||||||||
| 61 | Gold | CID002562 | International Precious Metal Refiners | ||||||||||||||
| 62 | Gold | CID000807 | Ishifuku Metal Industry Co., Ltd. | ||||||||||||||
| 63 | Gold | CID000814 | Istanbul Gold Refinery | ||||||||||||||
| 64 | Gold | CID002765 | Italpreziosi | ||||||||||||||
| 65 | Gold | CID002893 | JALAN & Company | ||||||||||||||
| 66 | Gold | CID000823 | Japan Mint | ||||||||||||||
| 67 | Gold | CID000855 | Jiangxi Copper Co., Ltd. | ||||||||||||||
| 68 | Gold | CID000927 | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | ||||||||||||||
| 69 | Gold | CID000929 | JSC Uralelectromed | ||||||||||||||
| 70 | Gold | CID000937 | JX Nippon Mining & Metals Co., Ltd. | ||||||||||||||
| 71 | Gold | CID003497 | K.A. Rasmussen | ||||||||||||||
| 72 | Gold | CID000956 | Kazakhmys Smelting LLC | ||||||||||||||
| 73 | Gold | CID000957 | Kazzinc | ||||||||||||||
| 74 | Gold | CID000969 | Kennecott Utah Copper LLC | ||||||||||||||
| 75 | Gold | CID002511 | KGHM Polska Miedz Spolka Akcyjna | ||||||||||||||
| 76 | Gold | CID000981 | Kojima Chemicals Co., Ltd. | ||||||||||||||
| 77 | Gold | CID002605 | Korea Zinc Co., Ltd. | ||||||||||||||
| 78 | Gold | CID003463 | Kundan Care Products Ltd. | ||||||||||||||
| 79 | Gold | CID001029 | Kyrgyzaltyn JSC | ||||||||||||||
| 80 | Gold | CID002865 | Kyshtym Copper-Electrolytic Plant ZAO | ||||||||||||||
| 81 | Gold | CID001032 | L'azurde Company For Jewelry | ||||||||||||||
| 82 | Gold | CID001056 | Lingbao Gold Co., Ltd. | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 83 | Gold | CID003488 | Emerald Jewel Industry India Limited (Unit 2) | ||||||||||||||
| 84 | Gold | CID003489 | Emerald Jewel Industry India Limited (Unit 3) | ||||||||||||||
| 85 | Gold | CID003490 | Emerald Jewel Industry India Limited (Unit 4) | ||||||||||||||
| 86 | Gold | CID002561 | Emirates Gold DMCC | ||||||||||||||
| 87 | Gold | CID002584 | Fujairah Gold FZC | ||||||||||||||
| 88 | Gold | CID002852 | GCC Gujrat Gold Centre Pvt. Ltd. | ||||||||||||||
| 89 | Gold | CID002459 | Geib Refining Corporation | ||||||||||||||
| 90 | Gold | CID003186 | Gold Coast Refinery | ||||||||||||||
| 91 | Gold | CID002243 | Gold Refinery of Zijin Mining Group Co., Ltd. | ||||||||||||||
| 92 | Gold | CID001909 | Great Wall Precious Metals Co., Ltd. of CBPM | ||||||||||||||
| 93 | Gold | CID002312 | Guangdong Jinding Gold Limited | ||||||||||||||
| 94 | Gold | CID000651 | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | ||||||||||||||
| 95 | Gold | CID000671 | Hangzhou Fuchunjiang Smelting Co., Ltd. | ||||||||||||||
| 96 | Gold | CID000694 | Heimerle + Meule GmbH | ||||||||||||||
| 97 | Gold | CID000707 | Heraeus Metals Hong Kong Ltd. | ||||||||||||||
| 98 | Gold | CID000711 | Heraeus Precious Metals GmbH & Co. KG | ||||||||||||||
| 99 | Gold | CID000767 | Hunan Chenzhou Mining Co., Ltd. | ||||||||||||||
| 100 | Gold | CID000773 | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | ||||||||||||||
| 101 | Gold | CID000778 | HwaSeong CJ CO., LTD. | ||||||||||||||
| 102 | Gold | CID000801 | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | ||||||||||||||
| 103 | Gold | CID002562 | International Precious Metal Refiners | ||||||||||||||
| 104 | Gold | CID000807 | Ishifuku Metal Industry Co., Ltd. | ||||||||||||||
| 105 | Gold | CID000814 | Istanbul Gold Refinery | ||||||||||||||
| 106 | Gold | CID002765 | Italpreziosi | ||||||||||||||
| 107 | Gold | CID002893 | JALAN & Company | ||||||||||||||
| 108 | Gold | CID000823 | Japan Mint | ||||||||||||||
| 109 | Gold | CID000855 | Jiangxi Copper Co., Ltd. | ||||||||||||||
| 110 | Gold | CID000927 | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | ||||||||||||||
| 111 | Gold | CID000929 | JSC Uralelectromed | ||||||||||||||
| 112 | Gold | CID000937 | JX Nippon Mining & Metals Co., Ltd. | ||||||||||||||
| 113 | Gold | CID003497 | K.A. Rasmussen | ||||||||||||||
| 114 | Gold | CID000956 | Kazakhmys Smelting LLC | ||||||||||||||
| 115 | Gold | CID000957 | Kazzinc | ||||||||||||||
| 116 | Gold | CID000969 | Kennecott Utah Copper LLC | ||||||||||||||
| 117 | Gold | CID002511 | KGHM Polska Miedz Spolka Akcyjna | ||||||||||||||
| 118 | Gold | CID000981 | Kojima Chemicals Co., Ltd. | ||||||||||||||
| 119 | Gold | CID002605 | Korea Zinc Co., Ltd. | ||||||||||||||
| 120 | Gold | CID003463 | Kundan Care Products Ltd. | ||||||||||||||
| 121 | Gold | CID001029 | Kyrgyzaltyn JSC | ||||||||||||||
| 122 | Gold | CID002865 | Kyshtym Copper-Electrolytic Plant ZAO | ||||||||||||||
| 123 | Gold | CID001032 | L'azurde Company For Jewelry | ||||||||||||||
| 124 | Gold | CID001056 | Lingbao Gold Co., Ltd. | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 125 | Gold | CID001534 | Royal Canadian Mint | ||||||||||||||
| 126 | Gold | CID002761 | SAAMP | ||||||||||||||
| 127 | Gold | CID001546 | Sabin Metal Corp. | ||||||||||||||
| 128 | Gold | CID002973 | Safimet S.p.A | ||||||||||||||
| 129 | Gold | CID002290 | SAFINA A.S. | ||||||||||||||
| 130 | Gold | CID002853 | Sai Refinery | ||||||||||||||
| 131 | Gold | CID001555 | Samduck Precious Metals | ||||||||||||||
| 132 | Gold | CID001562 | Samwon Metals Corp. | ||||||||||||||
| 133 | Gold | CID003529 | Sancus ZFS (L’Orfebre, SA) | ||||||||||||||
| 134 | Gold | CID002777 | SAXONIA Edelmetalle GmbH | ||||||||||||||
| 135 | Gold | CID003540 | Sellem Industries Ltd. | ||||||||||||||
| 136 | Gold | CID001585 | SEMPSA Joyeria Plateria S.A. | ||||||||||||||
| 137 | Gold | CID002525 | Shandong Humon Smelting Co., Ltd. | ||||||||||||||
| 138 | Gold | CID001619 | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | ||||||||||||||
| 139 | Gold | CID001622 | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | ||||||||||||||
| 140 | Gold | CID002527 | Shenzhen Zhonghenglong Real Industry Co., Ltd. | ||||||||||||||
| 141 | Gold | CID002588 | Shirpur Gold Refinery Ltd. | ||||||||||||||
| 142 | Gold | CID001736 | Sichuan Tianze Precious Metals Co., Ltd. | ||||||||||||||
| 143 | Gold | CID002516 | Singway Technology Co., Ltd. | ||||||||||||||
| 144 | Gold | CID001810 | Smelter Not Listed | ||||||||||||||
| 145 | Gold | CID001756 | SOE Shyolkovsky Factory of Secondary Precious Metals | ||||||||||||||
| 146 | Gold | CID001761 | Solar Applied Materials Technology Corp. | ||||||||||||||
| 147 | Gold | CID003383 | Sovereign Metals | ||||||||||||||
| 148 | Gold | CID003153 | State Research Institute Center for Physical Sciences and Technology | ||||||||||||||
| 149 | Gold | CID001798 | Sumitomo Metal Mining Co., Ltd. | ||||||||||||||
| 150 | Gold | CID002918 | SungEel HiMetal Co., Ltd. | ||||||||||||||
| 151 | Gold | CID002580 | T.C.A S.p.A | ||||||||||||||
| 152 | Gold | CID001875 | Tanaka Kikinzoku Kogyo K.K. | ||||||||||||||
| 153 | Gold | CID001916 | The Refinery of Shandong Gold Mining Co., Ltd. | ||||||||||||||
| 154 | Gold | CID001938 | Tokuriki Honten Co., Ltd. | ||||||||||||||
| 155 | Gold | CID001947 | Tongling Nonferrous Metals Group Co., Ltd. | ||||||||||||||
| 156 | Gold | CID002615 | TOO Tau-Ken-Altyn | ||||||||||||||
| 157 | Gold | CID001955 | Torecom | ||||||||||||||
| 158 | Gold | CID002314 | Umicore Precious Metals Thailand | ||||||||||||||
| 159 | Gold | CID001980 | Umicore S.A. Business Unit Precious Metals Refining | ||||||||||||||
| 160 | Gold | CID001993 | United Precious Metal Refining, Inc. | ||||||||||||||
| 161 | Gold | CID002003 | Valcambi S.A. | ||||||||||||||
| 162 | Gold | CID002030 | Western Australian Mint (T/a The Perth Mint) | ||||||||||||||
| 163 | Gold | CID002778 | WIELAND Edelmetalle GmbH | ||||||||||||||
| 164 | Gold | CID002100 | Yamakin Co., Ltd. | ||||||||||||||
| 165 | Gold | CID002129 | Yokohama Metal Co., Ltd. | ||||||||||||||
| 166 | Gold | CID000197 | Yunnan Copper Industry Co., Ltd. | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 167 | Gold | CID002224 | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | ||||||||||||||
| 168 | Tantalum | CID000092 | Asaka Riken Co., Ltd. | ||||||||||||||
| 169 | Tantalum | CID000211 | Changsha South Tantalum Niobium Co., Ltd. | ||||||||||||||
| 170 | Tantalum | CID002504 | D Block Metals, LLC | ||||||||||||||
| 171 | Tantalum | CID000456 | Exotech Inc. | ||||||||||||||
| 172 | Tantalum | CID000460 | F&X Electro-Materials Ltd. | ||||||||||||||
| 173 | Tantalum | CID002505 | FIR Metals & Resource Ltd. | ||||||||||||||
| 174 | Tantalum | CID002558 | Global Advanced Metals Aizu | ||||||||||||||
| 175 | Tantalum | CID002557 | Global Advanced Metals Boyertown | ||||||||||||||
| 176 | Tantalum | CID000616 | Guangdong Zhiyuan New Material Co., Ltd. | ||||||||||||||
| 177 | Tantalum | CID002544 | H.C. Starck Co., Ltd. | ||||||||||||||
| 178 | Tantalum | CID002547 | H.C. Starck Hermsdorf GmbH | ||||||||||||||
| 179 | Tantalum | CID002548 | H.C. Starck Inc. | ||||||||||||||
| 180 | Tantalum | CID002549 | H.C. Starck Ltd. | ||||||||||||||
| 181 | Tantalum | CID002550 | H.C. Starck Smelting GmbH & Co. KG | ||||||||||||||
| 182 | Tantalum | CID002545 | H.C. Starck Tantalum and Niobium GmbH | ||||||||||||||
| 183 | Tantalum | CID002492 | Hengyang King Xing Lifeng New Materials Co., Ltd. | ||||||||||||||
| 184 | Tantalum | CID002512 | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | ||||||||||||||
| 185 | Tantalum | CID002842 | Jiangxi Tuohong New Raw Material | ||||||||||||||
| 186 | Tantalum | CID000914 | JiuJiang JinXin Nonferrous Metals Co., Ltd. | ||||||||||||||
| 187 | Tantalum | CID000917 | Jiujiang Tanbre Co., Ltd. | ||||||||||||||
| 188 | Tantalum | CID002506 | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | ||||||||||||||
| 189 | Tantalum | CID002539 | KEMET Blue Metals | ||||||||||||||
| 190 | Tantalum | CID001076 | LSM Brasil S.A. | ||||||||||||||
| 191 | Tantalum | CID001163 | Metallurgical Products India Pvt., Ltd. | ||||||||||||||
| 192 | Tantalum | CID001175 | Mineracao Taboca S.A. | ||||||||||||||
| 193 | Tantalum | CID001192 | Mitsui Mining and Smelting Co., Ltd. | ||||||||||||||
| 194 | Tantalum | CID001277 | Ningxia Orient Tantalum Industry Co., Ltd. | ||||||||||||||
| 195 | Tantalum | CID001200 | NPM Silmet AS | ||||||||||||||
| 196 | Tantalum | CID002847 | Power Resources Ltd. | ||||||||||||||
| 197 | Tantalum | CID001508 | QuantumClean | ||||||||||||||
| 198 | Tantalum | CID002707 | Resind Industria e Comercio Ltda. | ||||||||||||||
| 199 | Tantalum | CID001769 | Solikamsk Magnesium Works OAO | ||||||||||||||
| 200 | Tantalum | CID001869 | Taki Chemical Co., Ltd. | ||||||||||||||
| 201 | Tantalum | CID001891 | Telex Metals | ||||||||||||||
| 202 | Tantalum | CID001969 | Ulba Metallurgical Plant JSC | ||||||||||||||
| 203 | Tantalum | CID002508 | XinXing HaoRong Electronic Material Co., Ltd. | ||||||||||||||
| 204 | Tantalum | CID001522 | Yanling Jincheng Tantalum & Niobium Co., Ltd. | ||||||||||||||
| 205 | Tin | CID000292 | Alpha | ||||||||||||||
| 206 | Tin | CID002703 | An Vinh Joint Stock Mineral Processing Company | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 207 | Tin | CID000228 | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | ||||||||||||||
| 208 | Tin | CID003190 | Chifeng Dajingzi Tin Industry Co., Ltd. | ||||||||||||||
| 209 | Tin | CID001070 | China Tin Group Co., Ltd. | ||||||||||||||
| 210 | Tin | CID003486 | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | ||||||||||||||
| 211 | Tin | CID003524 | CRM Synergies | ||||||||||||||
| 212 | Tin | CID002570 | CV Ayi Jaya | ||||||||||||||
| 213 | Tin | CID002455 | CV Venus Inti Perkasa | ||||||||||||||
| 214 | Tin | CID003356 | Dongguan CiEXPO Environmental Engineering Co., Ltd. | ||||||||||||||
| 215 | Tin | CID000402 | Dowa | ||||||||||||||
| 216 | Tin | CID002572 | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | ||||||||||||||
| 217 | Tin | CID000438 | EM Vinto | ||||||||||||||
| 218 | Tin | CID000448 | Estanho de Rondonia S.A. | ||||||||||||||
| 219 | Tin | CID000468 | Fenix Metals | ||||||||||||||
| 220 | Tin | CID003410 | Gejiu City Fuxiang Industry and Trade Co., Ltd. | ||||||||||||||
| 221 | Tin | CID002848 | Gejiu Fengming Metallurgy Chemical Plant | ||||||||||||||
| 222 | Tin | CID000942 | Gejiu Kai Meng Industry and Trade LLC | ||||||||||||||
| 223 | Tin | CID000538 | Gejiu Non-Ferrous Metal Processing Co., Ltd. | ||||||||||||||
| 224 | Tin | CID001908 | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | ||||||||||||||
| 225 | Tin | CID000555 | Gejiu Zili Mining And Metallurgy Co., Ltd. | ||||||||||||||
| 226 | Tin | CID003116 | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | ||||||||||||||
| 227 | Tin | CID002844 | HuiChang Hill Tin Industry Co., Ltd. | ||||||||||||||
| 228 | Tin | CID001231 | Jiangxi New Nanshan Technology Ltd. | ||||||||||||||
| 229 | Tin | CID003387 | Luna Smelter, Ltd. | ||||||||||||||
| 230 | Tin | CID003379 | Ma'anshan Weitai Tin Co., Ltd. | ||||||||||||||
| 231 | Tin | CID002468 | Magnu's Minerais Metais e Ligas Ltda. | ||||||||||||||
| 232 | Tin | CID001105 | Malaysia Smelting Corporation (MSC) | ||||||||||||||
| 233 | Tin | CID002500 | Melt Metais e Ligas S.A. | ||||||||||||||
| 234 | Tin | CID001142 | Metallic Resources, Inc. | ||||||||||||||
| 235 | Tin | CID002773 | Metallo Belgium N.V. | ||||||||||||||
| 236 | Tin | CID002774 | Metallo Spain S.L.U. | ||||||||||||||
| 237 | Tin | CID001173 | Mineracao Taboca S.A. | ||||||||||||||
| 238 | Tin | CID001182 | Minsur | ||||||||||||||
| 239 | Tin | CID001191 | Mitsubishi Materials Corporation | ||||||||||||||
| 240 | Tin | CID002858 | Modeltech Sdn Bhd | ||||||||||||||
| 241 | Tin | CID002573 | Nghe Tinh Non-Ferrous Metals Joint Stock Company | ||||||||||||||
| 242 | Tin | CID001305 | Novosibirsk Processing Plant Ltd. | ||||||||||||||
| 243 | Tin | CID001314 | O.M. Manufacturing (Thailand) Co., Ltd. | ||||||||||||||
| 244 | Tin | CID002517 | O.M. Manufacturing Philippines, Inc. | ||||||||||||||
| 245 | Tin | CID001337 | Operaciones Metalurgicas S.A. | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 246 | Tin | CID003208 | Pongpipat Company Limited | ||||||||||||||
| 247 | Tin | CID003409 | Precious Minerals and Smelting Limited | ||||||||||||||
| 248 | Tin | CID000309 | PT Aries Kencana Sejahtera | ||||||||||||||
| 249 | Tin | CID001399 | PT Artha Cipta Langgeng | ||||||||||||||
| 250 | Tin | CID002503 | PT ATD Makmur Mandiri Jaya | ||||||||||||||
| 251 | Tin | CID001406 | PT Babel Surya Alam Lestari | ||||||||||||||
| 252 | Tin | CID003205 | PT Bangka Serumpun | ||||||||||||||
| 253 | Tin | CID002870 | PT Lautan Harmonis Sejahtera | ||||||||||||||
| 254 | Tin | CID002835 | PT Menara Cipta Mulia | ||||||||||||||
| 255 | Tin | CID001453 | PT Mitra Stania Prima | ||||||||||||||
| 256 | Tin | CID003449 | PT Mitra Sukses Globalindo | ||||||||||||||
| 257 | Tin | CID001458 | PT Prima Timah Utama | ||||||||||||||
| 258 | Tin | CID003381 | PT Rajawali Rimba Perkasa | ||||||||||||||
| 259 | Tin | CID002593 | PT Rajehan Ariq | ||||||||||||||
| 260 | Tin | CID001460 | PT Refined Bangka Tin | ||||||||||||||
| 261 | Tin | CID001468 | PT Stanindo Inti Perkasa | ||||||||||||||
| 262 | Tin | CID001486 | PT Timah Nusantara | ||||||||||||||
| 263 | Tin | CID001477 | PT Timah Tbk Kundur | ||||||||||||||
| 264 | Tin | CID001482 | PT Timah Tbk Mentok | ||||||||||||||
| 265 | Tin | CID001490 | PT Tinindo Inter Nusa | ||||||||||||||
| 266 | Tin | CID002706 | Resind Industria e Comercio Ltda. | ||||||||||||||
| 267 | Tin | CID001539 | Rui Da Hung | ||||||||||||||
| 268 | Tin | CID002816 | Smelter Not Listed | ||||||||||||||
| 269 | Tin | CID001402 | Smelter Not Listed | ||||||||||||||
| 270 | Tin | CID002696 | Smelter Not Listed | ||||||||||||||
| 271 | Tin | CID001428 | Smelter Not Listed | ||||||||||||||
| 272 | Tin | CID001758 | Soft Metais Ltda. | ||||||||||||||
| 273 | Tin | CID002756 | Super Ligas | ||||||||||||||
| 274 | Tin | CID002834 | Thai Nguyen Mining and Metallurgy Co., Ltd. | ||||||||||||||
| 275 | Tin | CID001898 | Thaisarco | ||||||||||||||
| 276 | Tin | CID003325 | Tin Technology & Refining | ||||||||||||||
| 277 | Tin | CID002574 | Tuyen Quang Non-Ferrous Metals Joint Stock Company | ||||||||||||||
| 278 | Tin | CID002015 | VQB Mineral and Trading Group JSC | ||||||||||||||
| 279 | Tin | CID002036 | White Solder Metalurgia e Mineracao Ltda. | ||||||||||||||
| 280 | Tin | CID002158 | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | ||||||||||||||
| 281 | Tin | CID002180 | Yunnan Tin Company Limited | ||||||||||||||
| 282 | Tin | CID003397 | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | ||||||||||||||
| 283 | Tungsten | CID000004 | A.L.M.T. Corp. | ||||||||||||||
| 284 | Tungsten | CID002833 | ACL Metais Eireli | ||||||||||||||
| 285 | Tungsten | CID003427 | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | ||||||||||||||
| 286 | Tungsten | CID003553 | Artek LLC | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 287 | Tungsten | CID002502 | Asia Tungsten Products Vietnam Ltd. | ||||||||||||||
| 288 | Tungsten | CID002513 | Chenzhou Diamond Tungsten Products Co., Ltd. | ||||||||||||||
| 289 | Tungsten | CID002641 | China Molybdenum Co., Ltd. | ||||||||||||||
| 290 | Tungsten | CID000258 | Chongyi Zhangyuan Tungsten Co., Ltd. | ||||||||||||||
| 291 | Tungsten | CID000281 | CNMC (Guangxi) PGMA Co., Ltd. | ||||||||||||||
| 292 | Tungsten | CID003468 | Cronimet Brasil Ltda | ||||||||||||||
| 293 | Tungsten | CID003401 | Fujian Ganmin RareMetal Co., Ltd. | ||||||||||||||
| 294 | Tungsten | CID002645 | Ganzhou Haichuang Tungsten Co., Ltd. | ||||||||||||||
| 295 | Tungsten | CID000875 | Ganzhou Huaxing Tungsten Products Co., Ltd. | ||||||||||||||
| 296 | Tungsten | CID002315 | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | ||||||||||||||
| 297 | Tungsten | CID002494 | Ganzhou Seadragon W & Mo Co., Ltd. | ||||||||||||||
| 298 | Tungsten | CID003417 | GEM Co., Ltd. | ||||||||||||||
| 299 | Tungsten | CID000568 | Global Tungsten & Powders Corp. | ||||||||||||||
| 300 | Tungsten | CID000218 | Guangdong Xianglu Tungsten Co., Ltd. | ||||||||||||||
| 301 | Tungsten | CID002542 | H.C. Starck Smelting GmbH & Co. KG | ||||||||||||||
| 302 | Tungsten | CID002541 | H.C. Starck Tungsten GmbH | ||||||||||||||
| 303 | Tungsten | CID000766 | Hunan Chenzhou Mining Co., Ltd. | ||||||||||||||
| 304 | Tungsten | CID000769 | Hunan Chunchang Nonferrous Metals Co., Ltd. | ||||||||||||||
| 305 | Tungsten | CID002649 | Hydrometallurg, JSC | ||||||||||||||
| 306 | Tungsten | CID000825 | Japan New Metals Co., Ltd. | ||||||||||||||
| 307 | Tungsten | CID002551 | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | ||||||||||||||
| 308 | Tungsten | CID002321 | Jiangxi Gan Bei Tungsten Co., Ltd. | ||||||||||||||
| 309 | Tungsten | CID002313 | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | ||||||||||||||
| 310 | Tungsten | CID002318 | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | ||||||||||||||
| 311 | Tungsten | CID002317 | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | ||||||||||||||
| 312 | Tungsten | CID002316 | Jiangxi Yaosheng Tungsten Co., Ltd. | ||||||||||||||
| 313 | Tungsten | CID003408 | JSC "Kirovgrad Hard Alloys Plant" | ||||||||||||||
| 314 | Tungsten | CID000966 | Kennametal Fallon | ||||||||||||||
| 315 | Tungsten | CID000105 | Kennametal Huntsville | ||||||||||||||
| 316 | Tungsten | CID003388 | KGETS Co., Ltd. | ||||||||||||||
| 317 | Tungsten | CID003407 | Lianyou Metals Co., Ltd. | ||||||||||||||
| 318 | Tungsten | CID002319 | Malipo Haiyu Tungsten Co., Ltd. | ||||||||||||||
| 319 | Tungsten | CID002543 | Masan Tungsten Chemical LLC (MTC) | ||||||||||||||
| 320 | Tungsten | CID002845 | Moliren Ltd. | ||||||||||||||
| 321 | Tungsten | CID002589 | Niagara Refining LLC | ||||||||||||||
| 322 | Tungsten | CID003416 | NPP Tyazhmetprom LLC | ||||||||||||||
| 323 | Tungsten | CID002827 | Philippine Chuangxin Industrial Co., Inc. | ||||||||||||||
| 324 | Tungsten | CID002724 | Unecha Refractory metals plant | ||||||||||||||
| 325 | Tungsten | CID002044 | Wolfram Bergbau und Hutten AG | ||||||||||||||
| 326 | Tungsten | CID002320 | Xiamen Tungsten (H.C.) Co., Ltd. | ||||||||||||||
| 327 | Tungsten | CID002082 | Xiamen Tungsten Co., Ltd. | ||||||||||||||
| 328 | Tungsten | CID002830 | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | ||||||||||||||