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, 2021.
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 25, 2022 | 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, 2021
The report for the year ended December 31, 2021 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 2021 AMETEK continued the previous year’s focus on suppliers providing at least $300K of parts annually. To determine whether necessary 3TGs in products originated in Covered Countries, AMETEK retained Assent Compliance (“Assent”), a third-party service provider, to assist us in reviewing the supply chain and identifying risks. AMETEK provided a list composed of suppliers and parts associated with the in-scope products to Assent for upload to the Assent Compliance Manager (“ACM”).
During the supplier survey, AMETEK contacted suppliers via the ACM, a software-as-a-service (SaaS) platform provided by Assent that enables users to complete and track supplier communications and allows suppliers to upload completed CMRTs directly to the platform for validation, assessment, and management. The ACM also provides functionality that meets the OECD Guidance process expectations
Exhibit 1.01
by evaluating the quality of each supplier response. Additionally, the metrics provided in this report, as well as the step-by-step process for supplier engagement and upstream due diligence investigations, are managed through this platform.
Via the Assent Compliance Manager and Assent team, AMETEK requested that all suppliers complete a CMRT. Training and education to guide suppliers on best practices and the use of this template was included. Assent monitored and tracked all communications in the ACM for future reporting and transparency. AMETEK directly contacted suppliers that were unresponsive to Assent’s communications during the diligence process and requested these suppliers complete the CMRT and submit it to Assent.
All submitted declaration forms are accepted so that data is retained. Suppliers are contacted regarding invalid forms and are encouraged to correct validated errors to resubmit a valid form. Suppliers are provided with guidance on how to correct these validation errors in the form of feedback to their CMRT submission, training courses, and direct engagement help through Assent’s multilingual Supplier Experience team. Since some suppliers may remain unresponsive to feedback, AMETEK tracks program gaps to account for future improvement opportunities. 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, 2021, our CFM efforts resulted in the following Conflict Minerals Metrics for our entire organization, regardless of supplier spend.
| 2021 CFM Status by Spend | |||||
| CONFLICT FREE | 6% | ||||
| EXEMPT | 63% | ||||
| UNDETERMINABLE | 24% | ||||
| UNKNOWN | 7% | ||||
For the next reporting year (2022 production), AMETEK’s focus will continue to be on increasing our suppliers’ response rates to our request for complete and accurate Templates with the 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 2021 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
Exhibit 1.01
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 156 factory locations. The Compliance Owner is tasked with ensuring responses from their supply base. For the 2021 production year, AMETEK continued to employ Assent, to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that AMETEK will undertake with suppliers and/or respective stakeholders in regard to conflict minerals.
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 2021 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 Assent 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 980 of our Tier 2 suppliers. For 2021, the key metrics from our Tier 2 group of suppliers are as follows:
| 2021 Tier 2 CFM Status by Spend | |||||
| CONFLICT FREE | 7% | ||||
| EXEMPT | 63% | ||||
| UNDETERMINABLE | 30% | ||||
| 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 a total of 333 legitimate and known smelters as potential sources of 3TG minerals furnished to AMETEK Suppliers during 2021 (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.
Exhibit 1.01
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 | CID000077 | Argor-Heraeus S.A. | ||||||||||||||
| 2 | Gold | CID000090 | Asaka Riken Co., Ltd. | ||||||||||||||
| 3 | Tungsten | CID000004 | A.L.M.T. Corp. | ||||||||||||||
| 4 | Tungsten | CID002641 | China Molybdenum Co., Ltd. | ||||||||||||||
| 5 | Tungsten | CID000769 | Hunan Chunchang Nonferrous Metals Co., Ltd. | ||||||||||||||
| 6 | Gold | CID000773 | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | ||||||||||||||
| 7 | Gold | CID000823 | Japan Mint | ||||||||||||||
| 8 | Gold | CID000058 | AngloGold Ashanti Corrego do Sitio Mineracao | ||||||||||||||
| 9 | Tin | CID000292 | Alpha | ||||||||||||||
| 10 | Tin | CID000309 | Smelter Not Listed | ||||||||||||||
| 11 | Gold | CID000937 | JX Nippon Mining & Metals Co., Ltd. | ||||||||||||||
| 12 | Gold | CID000343 | Daye Non-Ferrous Metals Mining Ltd. | ||||||||||||||
| 13 | Gold | CID000920 | Asahi Refining USA Inc. | ||||||||||||||
| 14 | Gold | CID000924 | Asahi Refining Canada Ltd. | ||||||||||||||
| 15 | Gold | CID001325 | Ohura Precious Metal Industry Co., Ltd. | ||||||||||||||
| 16 | Gold | CID001326 | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | ||||||||||||||
| 17 | Tin | CID000942 | Gejiu Kai Meng Industry and Trade LLC | ||||||||||||||
| 18 | Gold | CID000957 | Kazzinc | ||||||||||||||
| 19 | Gold | CID001362 | Penglai Penggang Gold Industry Co., Ltd. | ||||||||||||||
| 20 | Gold | CID001938 | Tokuriki Honten Co., Ltd. | ||||||||||||||
| 21 | Gold | CID000927 | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | ||||||||||||||
| 22 | Gold | CID001352 | PAMP S.A. | ||||||||||||||
| 23 | Gold | CID001386 | Prioksky Plant of Non-Ferrous Metals | ||||||||||||||
| 24 | Gold | CID001955 | Torecom | ||||||||||||||
| 25 | Tantalum | CID001969 | Ulba Metallurgical Plant JSC | ||||||||||||||
| 26 | Gold | CID001947 | Tongling Nonferrous Metals Group Co., Ltd. | ||||||||||||||
| 27 | Gold | CID002511 | KGHM Polska Miedz Spolka Akcyjna | ||||||||||||||
| 28 | Gold | CID000103 | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | ||||||||||||||
| 29 | Tungsten | CID000105 | Kennametal Huntsville | ||||||||||||||
| 30 | Tantalum | CID000914 | JiuJiang JinXin Nonferrous Metals Co., Ltd. | ||||||||||||||
| 31 | Gold | CID001916 | The Refinery of Shandong Gold Mining Co., Ltd. | ||||||||||||||
| 32 | Gold | CID001993 | United Precious Metal Refining, Inc. | ||||||||||||||
| 33 | Tungsten | CID002513 | Chenzhou Diamond Tungsten Products Co., Ltd. | ||||||||||||||
| 34 | Gold | CID002516 | Singway Technology Co., Ltd. | ||||||||||||||
| 35 | Tantalum | CID000917 | Jiujiang Tanbre Co., Ltd. | ||||||||||||||
| 36 | Tin | CID001337 | Operaciones Metalurgicas S.A. | ||||||||||||||
| 37 | Tantalum | CID002512 | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | ||||||||||||||
| 38 | Gold | CID002778 | WIELAND Edelmetalle GmbH | ||||||||||||||
| 39 | Tungsten | CID002845 | Moliren Ltd. | ||||||||||||||
| 40 | Tungsten | CID002542 | H.C. Starck Smelting GmbH & Co. KG | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 41 | Tantalum | CID002539 | KEMET Blue Metals | ||||||||||||||
| 42 | Tantalum | CID001508 | QuantumClean | ||||||||||||||
| 43 | Tin | CID001399 | PT Artha Cipta Langgeng | ||||||||||||||
| 44 | Gold | CID001980 | Umicore S.A. Business Unit Precious Metals Refining | ||||||||||||||
| 45 | Gold | CID002515 | Fidelity Printers and Refiners Ltd. | ||||||||||||||
| 46 | Gold | CID002525 | Shandong Humon Smelting Co., Ltd. | ||||||||||||||
| 47 | Gold | CID002527 | Shenzhen Zhonghenglong Real Industry Co., Ltd. | ||||||||||||||
| 48 | Gold | CID003185 | African Gold Refinery | ||||||||||||||
| 49 | Gold | CID003186 | Gold Coast Refinery | ||||||||||||||
| 50 | Tin | CID003190 | Chifeng Dajingzi Tin Industry Co., Ltd. | ||||||||||||||
| 51 | Gold | CID000082 | Asahi Pretec Corp. | ||||||||||||||
| 52 | Gold | CID000113 | Aurubis AG | ||||||||||||||
| 53 | Gold | CID000929 | JSC Uralelectromed | ||||||||||||||
| 54 | Tin | CID002816 | Smelter Not Listed | ||||||||||||||
| 55 | Tin | CID003205 | PT Bangka Serumpun | ||||||||||||||
| 56 | Tin | CID003208 | Pongpipat Company Limited | ||||||||||||||
| 57 | Tungsten | CID002541 | H.C. Starck Tungsten GmbH | ||||||||||||||
| 58 | Tungsten | CID002543 | Masan Tungsten Chemical LLC (MTC) | ||||||||||||||
| 59 | Tantalum | CID001277 | Ningxia Orient Tantalum Industry Co., Ltd. | ||||||||||||||
| 60 | Gold | CID000956 | Kazakhmys Smelting LLC | ||||||||||||||
| 61 | Gold | CID000015 | Advanced Chemical Company | ||||||||||||||
| 62 | Gold | CID000522 | Refinery of Seemine Gold Co., Ltd. | ||||||||||||||
| 63 | Gold | CID001236 | Navoi Mining and Metallurgical Combinat | ||||||||||||||
| 64 | Gold | CID001029 | Kyrgyzaltyn JSC | ||||||||||||||
| 65 | Gold | CID001032 | L'azurde Company For Jewelry | ||||||||||||||
| 66 | Tin | CID001477 | PT Timah Tbk Kundur | ||||||||||||||
| 67 | Tin | CID001482 | PT Timah Tbk Mentok | ||||||||||||||
| 68 | Tantalum | CID002544 | H.C. Starck Co., Ltd. | ||||||||||||||
| 69 | Tantalum | CID002545 | H.C. Starck Tantalum and Niobium GmbH | ||||||||||||||
| 70 | Tin | CID001305 | Novosibirsk Processing Plant Ltd. | ||||||||||||||
| 71 | Tin | CID001314 | O.M. Manufacturing (Thailand) Co., Ltd. | ||||||||||||||
| 72 | Tin | CID001457 | Smelter Not Listed | ||||||||||||||
| 73 | Gold | CID001798 | Sumitomo Metal Mining Co., Ltd. | ||||||||||||||
| 74 | Tantalum | CID002548 | H.C. Starck Inc. | ||||||||||||||
| 75 | Tungsten | CID002551 | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | ||||||||||||||
| 76 | Tantalum | CID002547 | H.C. Starck Hermsdorf GmbH | ||||||||||||||
| 77 | Tin | CID001486 | PT Timah Nusantara | ||||||||||||||
| 78 | Tin | CID001490 | PT Tinindo Inter Nusa | ||||||||||||||
| 79 | Gold | CID001498 | PX Precinox S.A. | ||||||||||||||
| 80 | Tungsten | CID002645 | Ganzhou Haichuang Tungsten Co., Ltd. | ||||||||||||||
| 81 | Tungsten | CID002827 | Philippine Chuangxin Industrial Co., Inc. | ||||||||||||||
| 82 | Tungsten | CID002830 | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 83 | Tin | CID002835 | PT Menara Cipta Mulia | ||||||||||||||
| 84 | Tin | CID001493 | Smelter Not Listed | ||||||||||||||
| 85 | Gold | CID001756 | SOE Shyolkovsky Factory of Secondary Precious Metals | ||||||||||||||
| 86 | Tin | CID001758 | Soft Metais Ltda. | ||||||||||||||
| 87 | Gold | CID002100 | Yamakin Co., Ltd. | ||||||||||||||
| 88 | Gold | CID002588 | Shirpur Gold Refinery Ltd. | ||||||||||||||
| 89 | Gold | CID001761 | Solar Applied Materials Technology Corp. | ||||||||||||||
| 90 | Tungsten | CID002833 | ACL Metais Eireli | ||||||||||||||
| 91 | Gold | CID000035 | Allgemeine Gold-und Silberscheideanstalt A.G. | ||||||||||||||
| 92 | Tin | CID003379 | Ma'anshan Weitai Tin Co., Ltd. | ||||||||||||||
| 93 | Gold | CID000694 | Heimerle + Meule GmbH | ||||||||||||||
| 94 | Tungsten | CID000766 | Hunan Chenzhou Mining Co., Ltd. | ||||||||||||||
| 95 | Gold | CID000019 | Aida Chemical Industries Co., Ltd. | ||||||||||||||
| 96 | Gold | CID001397 | PT Aneka Tambang (Persero) Tbk | ||||||||||||||
| 97 | Tin | CID001402 | Smelter Not Listed | ||||||||||||||
| 98 | Gold | CID002605 | Korea Zinc Co., Ltd. | ||||||||||||||
| 99 | Gold | CID002615 | TOO Tau-Ken-Altyn | ||||||||||||||
| 100 | Tungsten | CID002649 | Hydrometallurg, JSC | ||||||||||||||
| 101 | Gold | CID000767 | Hunan Chenzhou Mining Co., Ltd. | ||||||||||||||
| 102 | Tantalum | CID000211 | Changsha South Tantalum Niobium Co., Ltd. | ||||||||||||||
| 103 | Gold | CID000264 | Chugai Mining | ||||||||||||||
| 104 | Tin | CID000555 | Gejiu Zili Mining And Metallurgy Co., Ltd. | ||||||||||||||
| 105 | Tungsten | CID000568 | Global Tungsten & Powders Corp. | ||||||||||||||
| 106 | Tungsten | CID003388 | KGETS Co., Ltd. | ||||||||||||||
| 107 | Tin | CID003397 | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | ||||||||||||||
| 108 | Tungsten | CID003401 | Fujian Ganmin RareMetal Co., Ltd. | ||||||||||||||
| 109 | Tungsten | CID003407 | Lianyou Metals Co., Ltd. | ||||||||||||||
| 110 | Tungsten | CID003408 | JSC "Kirovgrad Hard Alloys Plant" | ||||||||||||||
| 111 | Tin | CID003409 | Precious Minerals and Smelting Limited | ||||||||||||||
| 112 | Tin | CID000228 | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | ||||||||||||||
| 113 | Gold | CID000233 | Chimet S.p.A. | ||||||||||||||
| 114 | Tin | CID000538 | Gejiu Non-Ferrous Metal Processing Co., Ltd. | ||||||||||||||
| 115 | Gold | CID000814 | Istanbul Gold Refinery | ||||||||||||||
| 116 | Tantalum | CID001869 | Taki Chemical Co., Ltd. | ||||||||||||||
| 117 | Gold | CID000041 | Almalyk Mining and Metallurgical Complex (AMMC) | ||||||||||||||
| 118 | Tantalum | CID002508 | XinXing HaoRong Electronic Material Co., Ltd. | ||||||||||||||
| 119 | Gold | CID002509 | MMTC-PAMP India Pvt., Ltd. | ||||||||||||||
| 120 | Tantalum | CID000460 | F&X Electro-Materials Ltd. | ||||||||||||||
| 121 | Tin | CID000448 | Estanho de Rondonia S.A. | ||||||||||||||
| 122 | Tin | CID000468 | Fenix Metals | ||||||||||||||
| 123 | Gold | CID000707 | Heraeus Metals Hong Kong Ltd. | ||||||||||||||
| 124 | Tin | CID002696 | Smelter Not Listed | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 125 | Tin | CID002706 | Resind Industria e Comercio Ltda. | ||||||||||||||
| 126 | Tin | CID002703 | An Vinh Joint Stock Mineral Processing Company | ||||||||||||||
| 127 | Tantalum | CID002707 | Resind Industria e Comercio Ltda. | ||||||||||||||
| 128 | Gold | CID000128 | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | ||||||||||||||
| 129 | Gold | CID001093 | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | ||||||||||||||
| 130 | Gold | CID001555 | Samduck Precious Metals | ||||||||||||||
| 131 | Gold | CID001562 | Samwon Metals Corp. | ||||||||||||||
| 132 | Gold | CID000711 | Heraeus Precious Metals GmbH & Co. KG | ||||||||||||||
| 133 | Gold | CID000778 | HwaSeong CJ CO., LTD. | ||||||||||||||
| 134 | Gold | CID001259 | Nihon Material Co., Ltd. | ||||||||||||||
| 135 | Tantalum | CID001891 | Telex Metals | ||||||||||||||
| 136 | Tin | CID001898 | Thaisarco | ||||||||||||||
| 137 | Tin | CID001460 | PT Refined Bangka Tin | ||||||||||||||
| 138 | Tin | CID001468 | PT Stanindo Inti Perkasa | ||||||||||||||
| 139 | Gold | CID000189 | Cendres + Metaux S.A. | ||||||||||||||
| 140 | Gold | CID000197 | Yunnan Copper Industry Co., Ltd. | ||||||||||||||
| 141 | Gold | CID000359 | DSC (Do Sung Corporation) | ||||||||||||||
| 142 | Gold | CID000425 | Eco-System Recycling Co., Ltd. East Plant | ||||||||||||||
| 143 | Gold | CID000651 | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | ||||||||||||||
| 144 | Gold | CID001534 | Royal Canadian Mint | ||||||||||||||
| 145 | Tin | CID001539 | Rui Da Hung | ||||||||||||||
| 146 | Gold | CID001152 | Metalor Technologies (Singapore) Pte., Ltd. | ||||||||||||||
| 147 | Gold | CID001153 | Metalor Technologies S.A. | ||||||||||||||
| 148 | Tin | CID002478 | Smelter Not Listed | ||||||||||||||
| 149 | Tantalum | CID002492 | Hengyang King Xing Lifeng New Materials Co., Ltd. | ||||||||||||||
| 150 | Gold | CID001810 | Smelter Not Listed | ||||||||||||||
| 151 | Gold | CID002129 | Yokohama Metal Co., Ltd. | ||||||||||||||
| 152 | Gold | CID002582 | REMONDIS PMR B.V. | ||||||||||||||
| 153 | Gold | CID002584 | Fujairah Gold FZC | ||||||||||||||
| 154 | Gold | CID002587 | Industrial Refining Company | ||||||||||||||
| 155 | Tantalum | CID001163 | Metallurgical Products India Pvt., Ltd. | ||||||||||||||
| 156 | Gold | CID001157 | Metalor USA Refining Corporation | ||||||||||||||
| 157 | Gold | CID001161 | Metalurgica Met-Mex Penoles S.A. De C.V. | ||||||||||||||
| 158 | Tin | CID001406 | PT Babel Surya Alam Lestari | ||||||||||||||
| 159 | Tin | CID001453 | PT Mitra Stania Prima | ||||||||||||||
| 160 | Gold | CID003421 | C.I Metales Procesados Industriales SAS | ||||||||||||||
| 161 | Gold | CID003424 | Eco-System Recycling Co., Ltd. North Plant | ||||||||||||||
| 162 | Gold | CID003425 | Eco-System Recycling Co., Ltd. West Plant | ||||||||||||||
| 163 | Tungsten | CID003427 | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | ||||||||||||||
| 164 | Gold | CID000176 | C. Hafner GmbH + Co. KG | ||||||||||||||
| 165 | Tin | CID002036 | White Solder Metalurgia e Mineracao Ltda. | ||||||||||||||
| 166 | Tungsten | CID002044 | Wolfram Bergbau und Hutten AG | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 167 | Gold | CID002606 | Marsam Metals | ||||||||||||||
| 168 | Tin | CID003381 | PT Rajawali Rimba Perkasa | ||||||||||||||
| 169 | Gold | CID003382 | CGR Metalloys Pvt Ltd. | ||||||||||||||
| 170 | Gold | CID003383 | Sovereign Metals | ||||||||||||||
| 171 | Tungsten | CID002316 | Jiangxi Yaosheng Tungsten Co., Ltd. | ||||||||||||||
| 172 | Gold | CID002314 | Umicore Precious Metals Thailand | ||||||||||||||
| 173 | Gold | CID002312 | Guangdong Jinding Gold Limited | ||||||||||||||
| 174 | Tantalum | CID000616 | Guangdong Zhiyuan New Material Co., Ltd. | ||||||||||||||
| 175 | Gold | CID000689 | LT Metal Ltd. | ||||||||||||||
| 176 | Tungsten | CID002319 | Malipo Haiyu Tungsten Co., Ltd. | ||||||||||||||
| 177 | Tantalum | CID002558 | Global Advanced Metals Aizu | ||||||||||||||
| 178 | Gold | CID002567 | Sudan Gold Refinery | ||||||||||||||
| 179 | Gold | CID003189 | NH Recytech Company | ||||||||||||||
| 180 | Tin | CID002574 | Tuyen Quang Non-Ferrous Metals Joint Stock Company | ||||||||||||||
| 181 | Gold | CID002560 | Al Etihad Gold Refinery DMCC | ||||||||||||||
| 182 | Gold | CID002561 | Emirates Gold DMCC | ||||||||||||||
| 183 | Tin | CID003387 | Luna Smelter, Ltd. | ||||||||||||||
| 184 | Tungsten | CID000218 | Guangdong Xianglu Tungsten Co., Ltd. | ||||||||||||||
| 185 | Tungsten | CID000281 | CNMC (Guangxi) PGMA Co., Ltd. | ||||||||||||||
| 186 | Tungsten | CID000825 | Japan New Metals Co., Ltd. | ||||||||||||||
| 187 | Tin | CID001070 | China Tin Group Co., Ltd. | ||||||||||||||
| 188 | Tantalum | CID001076 | LSM Brasil S.A. | ||||||||||||||
| 189 | Gold | CID001078 | LS-NIKKO Copper Inc. | ||||||||||||||
| 190 | Gold | CID001188 | Mitsubishi Materials Corporation | ||||||||||||||
| 191 | Tin | CID001191 | Mitsubishi Materials Corporation | ||||||||||||||
| 192 | Tantalum | CID001192 | Mitsui Mining and Smelting Co., Ltd. | ||||||||||||||
| 193 | Gold | CID001546 | Sabin Metal Corp. | ||||||||||||||
| 194 | Gold | CID001619 | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | ||||||||||||||
| 195 | Gold | CID001622 | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | ||||||||||||||
| 196 | Gold | CID001875 | Tanaka Kikinzoku Kogyo K.K. | ||||||||||||||
| 197 | Gold | CID002562 | International Precious Metal Refiners | ||||||||||||||
| 198 | Gold | CID002867 | Degussa Sonne / Mond Goldhandel GmbH | ||||||||||||||
| 199 | Gold | CID003348 | Dijllah Gold Refinery FZC | ||||||||||||||
| 200 | Gold | CID003497 | K.A. Rasmussen | ||||||||||||||
| 201 | Tungsten | CID003553 | Artek LLC | ||||||||||||||
| 202 | Tungsten | CID003612 | OOO “Technolom” 2 | ||||||||||||||
| 203 | Tungsten | CID003614 | OOO “Technolom” 1 | ||||||||||||||
| 204 | Tungsten | CID002317 | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | ||||||||||||||
| 205 | Tungsten | CID002589 | Niagara Refining LLC | ||||||||||||||
| 206 | Gold | CID001193 | Mitsui Mining and Smelting Co., Ltd. | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 207 | Tin | CID001463 | Smelter Not Listed | ||||||||||||||
| 208 | Gold | CID002003 | Valcambi S.A. | ||||||||||||||
| 209 | Tin | CID002517 | O.M. Manufacturing Philippines, Inc. | ||||||||||||||
| 210 | Gold | CID000493 | OJSC Novosibirsk Refinery | ||||||||||||||
| 211 | Gold | CID002224 | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | ||||||||||||||
| 212 | Tin | CID002455 | CV Venus Inti Perkasa | ||||||||||||||
| 213 | Tin | CID002572 | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | ||||||||||||||
| 214 | Tin | CID002573 | Nghe Tinh Non-Ferrous Metals Joint Stock Company | ||||||||||||||
| 215 | Tungsten | CID000966 | Kennametal Fallon | ||||||||||||||
| 216 | Gold | CID000969 | Kennecott Utah Copper LLC | ||||||||||||||
| 217 | Gold | CID002580 | T.C.A S.p.A | ||||||||||||||
| 218 | Gold | CID002893 | JALAN & Company | ||||||||||||||
| 219 | Gold | CID002850 | AU Traders and Refiners | ||||||||||||||
| 220 | Gold | CID000981 | Kojima Chemicals Co., Ltd. | ||||||||||||||
| 221 | Gold | CID001220 | Nadir Metal Rafineri San. Ve Tic. A.S. | ||||||||||||||
| 222 | Tin | CID002468 | Magnu's Minerais Metais e Ligas Ltda. | ||||||||||||||
| 223 | Gold | CID002459 | Geib Refining Corporation | ||||||||||||||
| 224 | Gold | CID002708 | Abington Reldan Metals, LLC | ||||||||||||||
| 225 | Tungsten | CID002724 | Unecha Refractory metals plant | ||||||||||||||
| 226 | Tin | CID001231 | Jiangxi New Nanshan Technology Ltd. | ||||||||||||||
| 227 | Gold | CID001512 | Rand Refinery (Pty) Ltd. | ||||||||||||||
| 228 | Tantalum | CID001522 | Yanling Jincheng Tantalum & Niobium Co., Ltd. | ||||||||||||||
| 229 | Tantalum | CID001769 | Solikamsk Magnesium Works OAO | ||||||||||||||
| 230 | Tungsten | CID002082 | Xiamen Tungsten Co., Ltd. | ||||||||||||||
| 231 | Gold | CID003461 | Augmont Enterprises Private Limited | ||||||||||||||
| 232 | Gold | CID002863 | Bangalore Refinery | ||||||||||||||
| 233 | Gold | CID003463 | Kundan Care Products Ltd. | ||||||||||||||
| 234 | Tin | CID003524 | CRM Synergies | ||||||||||||||
| 235 | Gold | CID003548 | MD Overseas | ||||||||||||||
| 236 | Gold | CID003615 | WEEEREFINING | ||||||||||||||
| 237 | Tungsten | CID003609 | Fujian Xinlu Tungsten | ||||||||||||||
| 238 | Gold | CID003617 | Value Trading | ||||||||||||||
| 239 | Tin | CID003410 | Gejiu City Fuxiang Industry and Trade Co., Ltd. | ||||||||||||||
| 240 | Tungsten | CID003416 | NPP Tyazhmetprom LLC | ||||||||||||||
| 241 | Tungsten | CID003417 | GEM Co., Ltd. | ||||||||||||||
| 242 | Tin | CID001428 | Smelter Not Listed | ||||||||||||||
| 243 | Tungsten | CID000258 | Chongyi Zhangyuan Tungsten Co., Ltd. | ||||||||||||||
| 244 | Gold | CID000801 | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | ||||||||||||||
| 245 | Gold | CID000807 | Ishifuku Metal Industry Co., Ltd. | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 246 | Gold | CID000855 | Jiangxi Copper Co., Ltd. | ||||||||||||||
| 247 | Tungsten | CID000875 | Ganzhou Huaxing Tungsten Products Co., Ltd. | ||||||||||||||
| 248 | Gold | CID001056 | Lingbao Gold Co., Ltd. | ||||||||||||||
| 249 | Gold | CID001058 | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | ||||||||||||||
| 250 | Tin | CID001105 | Malaysia Smelting Corporation (MSC) | ||||||||||||||
| 251 | Gold | CID001113 | Materion | ||||||||||||||
| 252 | Gold | CID001119 | Matsuda Sangyo Co., Ltd. | ||||||||||||||
| 253 | Gold | CID001585 | SEMPSA Joyeria Plateria S.A. | ||||||||||||||
| 254 | Gold | CID001909 | Great Wall Precious Metals Co., Ltd. of CBPM | ||||||||||||||
| 255 | Tin | CID001908 | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | ||||||||||||||
| 256 | Tin | CID002158 | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | ||||||||||||||
| 257 | Tin | CID002180 | Yunnan Tin Company Limited | ||||||||||||||
| 258 | Gold | CID002243 | Gold Refinery of Zijin Mining Group Co., Ltd. | ||||||||||||||
| 259 | Gold | CID003153 | State Research Institute Center for Physical Sciences and Technology | ||||||||||||||
| 260 | Gold | CID000157 | Boliden AB | ||||||||||||||
| 261 | Tin | CID000438 | EM Vinto | ||||||||||||||
| 262 | Tungsten | CID002494 | Ganzhou Seadragon W & Mo Co., Ltd. | ||||||||||||||
| 263 | Tin | CID002500 | Melt Metais e Ligas S.A. | ||||||||||||||
| 264 | Gold | CID000671 | Hangzhou Fuchunjiang Smelting Co., Ltd. | ||||||||||||||
| 265 | Tin | CID001173 | Mineracao Taboca S.A. | ||||||||||||||
| 266 | Tantalum | CID001175 | Mineracao Taboca S.A. | ||||||||||||||
| 267 | Tin | CID001182 | Minsur | ||||||||||||||
| 268 | Tungsten | CID002502 | Asia Tungsten Products Vietnam Ltd. | ||||||||||||||
| 269 | Tantalum | CID002504 | D Block Metals, LLC | ||||||||||||||
| 270 | Tantalum | CID002505 | FIR Metals & Resource Ltd. | ||||||||||||||
| 271 | Tin | CID002503 | PT ATD Makmur Mandiri Jaya | ||||||||||||||
| 272 | Tantalum | CID002506 | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | ||||||||||||||
| 273 | Tin | CID002773 | Metallo Belgium N.V. | ||||||||||||||
| 274 | Tin | CID002774 | Metallo Spain S.L.U. | ||||||||||||||
| 275 | Tin | CID001421 | Smelter Not Listed | ||||||||||||||
| 276 | Gold | CID001736 | Sichuan Tianze Precious Metals Co., Ltd. | ||||||||||||||
| 277 | Tungsten | CID002320 | Xiamen Tungsten (H.C.) Co., Ltd. | ||||||||||||||
| 278 | Tin | CID002756 | Super Ligas | ||||||||||||||
| 279 | Gold | CID002763 | 8853 S.p.A. | ||||||||||||||
| 280 | Gold | CID002762 | L'Orfebre S.A. | ||||||||||||||
| 281 | Gold | CID002761 | SAAMP | ||||||||||||||
| 282 | Gold | CID002765 | Italpreziosi | ||||||||||||||
| 283 | Tungsten | CID002313 | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | ||||||||||||||
| 284 | Tungsten | CID002315 | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | ||||||||||||||
| 285 | Tungsten | CID002318 | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | ||||||||||||||
| 286 | Tin | CID003116 | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 287 | Gold | CID000180 | Caridad | ||||||||||||||
| 288 | Gold | CID000185 | CCR Refinery - Glencore Canada Corporation | ||||||||||||||
| 289 | Tungsten | CID002321 | Jiangxi Gan Bei Tungsten Co., Ltd. | ||||||||||||||
| 290 | Gold | CID000401 | Dowa | ||||||||||||||
| 291 | Tin | CID000402 | Dowa | ||||||||||||||
| 292 | Tin | CID001142 | Metallic Resources, Inc. | ||||||||||||||
| 293 | Gold | CID001147 | Metalor Technologies (Suzhou) Ltd. | ||||||||||||||
| 294 | Gold | CID001149 | Metalor Technologies (Hong Kong) Ltd. | ||||||||||||||
| 295 | Tantalum | CID001200 | NPM Silmet AS | ||||||||||||||
| 296 | Gold | CID001204 | Moscow Special Alloys Processing Plant | ||||||||||||||
| 297 | Tin | CID001458 | PT Prima Timah Utama | ||||||||||||||
| 298 | Tin | CID002015 | VQB Mineral and Trading Group JSC | ||||||||||||||
| 299 | Gold | CID002030 | Western Australian Mint (T/a The Perth Mint) | ||||||||||||||
| 300 | Gold | CID002282 | Morris and Watson | ||||||||||||||
| 301 | Gold | CID002563 | Kaloti Precious Metals | ||||||||||||||
| 302 | Gold | CID002919 | Planta Recuperadora de Metales SpA | ||||||||||||||
| 303 | Gold | CID002918 | SungEel HiMetal Co., Ltd. | ||||||||||||||
| 304 | Tin | CID003356 | Dongguan CiEXPO Environmental Engineering Co., Ltd. | ||||||||||||||
| 305 | Gold | CID002290 | SAFINA A.S. | ||||||||||||||
| 306 | Tantalum | CID002549 | H.C. Starck Ltd. | ||||||||||||||
| 307 | Gold | CID002779 | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | ||||||||||||||
| 308 | Tantalum | CID002550 | H.C. Starck Smelting GmbH & Co. KG | ||||||||||||||
| 309 | Tantalum | CID002842 | Jiangxi Tuohong New Raw Material | ||||||||||||||
| 310 | Gold | CID002872 | Pease & Curren | ||||||||||||||
| 311 | Tantalum | CID002557 | Global Advanced Metals Boyertown | ||||||||||||||
| 312 | Gold | CID002973 | Safimet S.p.A | ||||||||||||||
| 313 | Gold | CID002852 | GCC Gujrat Gold Centre Pvt. Ltd. | ||||||||||||||
| 314 | Gold | CID002853 | Sai Refinery | ||||||||||||||
| 315 | Gold | CID002865 | Kyshtym Copper-Electrolytic Plant ZAO | ||||||||||||||
| 316 | Gold | CID003487 | Emerald Jewel Industry India Limited (Unit 1) | ||||||||||||||
| 317 | Gold | CID003488 | Emerald Jewel Industry India Limited (Unit 2) | ||||||||||||||
| 318 | Gold | CID003489 | Emerald Jewel Industry India Limited (Unit 3) | ||||||||||||||
| 319 | Gold | CID003490 | Emerald Jewel Industry India Limited (Unit 4) | ||||||||||||||
| 320 | Gold | CID003500 | Alexy Metals | ||||||||||||||
| 321 | Gold | CID003540 | Sellem Industries Ltd. | ||||||||||||||
| 322 | Gold | CID003557 | Metallix Refining Inc. | ||||||||||||||
| 323 | Gold | CID002857 | Modeltech Sdn Bhd | ||||||||||||||
| 324 | Tin | CID002858 | Modeltech Sdn Bhd | ||||||||||||||
| 325 | Gold | CID003324 | QG Refining, LLC | ||||||||||||||
| 326 | Tin | CID003325 | Tin Technology & Refining | ||||||||||||||
| 327 | Tin | CID003449 | PT Mitra Sukses Globalindo | ||||||||||||||
| 328 | Tungsten | CID003468 | Cronimet Brasil Ltda | ||||||||||||||
Exhibit 1.01
| # | Metal | Smelter Reference List | Smelter Name | ||||||||||||||
| 329 | Tin | CID003486 | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | ||||||||||||||
| 330 | Gold | CID003529 | Sancus ZFS (L’Orfebre, SA) | ||||||||||||||
| 331 | Gold | CID003575 | Metal Concentrators SA (Pty) Ltd. | ||||||||||||||
| 332 | Tantalum | CID003583 | Yancheng Jinye New Material Technology Co., Ltd. | ||||||||||||||
| 333 | Tin | CID003582 | Fabrica Auricchio Industria e Comercio Ltda. | ||||||||||||||