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) | |||||||
Gene Hahnenberg (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, 2022.
☐ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the fiscal year ended _____________.
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 https://investors.ametek.com/corporate-governance/highlights. 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 - Resource Extraction Issuer Disclosure
Item 2.01 Resource Extraction Issuer Disclosure and Report
Not applicable.
Section 3 - Exhibits
Item 3.01 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 15, 2023 | 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, 2022
The report for the year ended December 31, 2022 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 who’s 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 Businesses
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.
AMETEK Products Covered by this Report
This report relates to AMETEK Products: (i) for which 3TG are necessary to the functionality or production of that product: (ii) that were manufactured by AMETEK or contracted to be manufactured on behalf of AMETEK; (iii) for which the manufacture of was completed during the 2022 calendar year.
Reasonable Country of Origin Inquiry
AMETEK conducted a good faith RCOI to determine whether the 3TG found in our products may have originated in the covered countries. The electronic instruments and electromechanical products we manufacture, and sell are numerous and 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.
Exhibit 1.01
In 2022 AMETEK focused on targeted suppliers providing at least $500K 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 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 platform 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 platform also provides functionality that meets the OECD Guidance process expectations by evaluating the quality of each supplier response.
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.
Based on responses received from the Company’s RCOI, we were unable to determine that all the conflict minerals contained in our products do not originate from the covered countries. For the period ending December 31, 2022, AMETEK’s products are “DRC Conflict Undeterminable.”
For the next reporting year (2023 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.
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
Exhibit 1.01
4.Carry out audit of the supply chain (e.g., audit high risk suppliers/smelters)
5.Report on supply chain due diligence internally to management
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. 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 factory locations. The Compliance Owner is tasked with ensuring responses from their supply base. For the 2022 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. The company’s standard global terms and conditions and procurement contracts include a conflict minerals clause.
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 344 legitimate and known smelters as potential sources of 3TG minerals furnished to AMETEK Suppliers during 2022 (see Appendix I) of which 224 are validated as conformant. 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 may be "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 Name | Smelter Facility Location | Smelter ID | |||||||||||
| Tungsten | A.L.M.T. Corp. | Japan | CID000004 | |||||||||||
| Gold | Advanced Chemical Company | United States Of America | CID000015 | |||||||||||
| Gold | Aida Chemical Industries Co., Ltd. | Japan | CID000019 | |||||||||||
| Gold | Agosi AG | Germany | CID000035 | |||||||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | CID000041 | |||||||||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | CID000058 | |||||||||||
| Gold | Argor-Heraeus S.A. | Switzerland | CID000077 | |||||||||||
| Gold | Asahi Pretec Corp. | Japan | CID000082 | |||||||||||
| Gold | Asaka Riken Co., Ltd. | Japan | CID000090 | |||||||||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | CID000103 | |||||||||||
| Tungsten | Kennametal Huntsville | United States Of America | CID000105 | |||||||||||
| Gold | Aurubis AG | Germany | CID000113 | |||||||||||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | CID000128 | |||||||||||
| Gold | Boliden AB | Sweden | CID000157 | |||||||||||
| Gold | C. Hafner GmbH + Co. KG | Germany | CID000176 | |||||||||||
| Gold | Caridad | Mexico | CID000180 | |||||||||||
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | CID000185 | |||||||||||
| Gold | Cendres + Metaux S.A. | Switzerland | CID000189 | |||||||||||
| Gold | Yunnan Copper Industry Co., Ltd. | China | CID000197 | |||||||||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | CID000211 | |||||||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | CID000218 | |||||||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | CID000228 | |||||||||||
| Gold | Chimet S.p.A. | Italy | CID000233 | |||||||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | CID000258 | |||||||||||
| Gold | Chugai Mining | Japan | CID000264 | |||||||||||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | CID000281 | |||||||||||
| Tin | Alpha | United States Of America | CID000292 | |||||||||||
| Tin | PT Aries Kencana Sejahtera | Indonesia | CID000309 | |||||||||||
| Tin | PT Premium Tin Indonesia | Indonesia | CID000313 | |||||||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | CID000343 | |||||||||||
| Gold | DSC (Do Sung Corporation) | Korea, Republic Of | CID000359 | |||||||||||
| Gold | Dowa | Japan | CID000401 | |||||||||||
| Tin | Dowa | Japan | CID000402 | |||||||||||
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | CID000425 | |||||||||||
| Tin | EM Vinto | Bolivia (Plurinational State Of) | CID000438 | |||||||||||
| Tin | Estanho de Rondonia S.A. | Brazil | CID000448 | |||||||||||
| Tantalum | F&X Electro-Materials Ltd. | China | CID000460 | |||||||||||
| Tin | Fenix Metals | Poland | CID000468 | |||||||||||
| Gold | JSC Novosibirsk Refinery | Russian Federation | CID000493 | |||||||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | China | CID000522 | |||||||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Facility Location | Smelter ID | |||||||||||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | CID000538 | |||||||||||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | CID000555 | |||||||||||
| Tungsten | Global Tungsten & Powders LLC | United States Of America | CID000568 | |||||||||||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | China | CID000616 | |||||||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | CID000651 | |||||||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | CID000671 | |||||||||||
| Gold | LT Metal Ltd. | Korea, Republic Of | CID000689 | |||||||||||
| Gold | Heimerle + Meule GmbH | Germany | CID000694 | |||||||||||
| Gold | Heraeus Metals Hong Kong Ltd. | China | CID000707 | |||||||||||
| Gold | Heraeus Germany GmbH Co. KG | Germany | CID000711 | |||||||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | CID000766 | |||||||||||
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | CID000767 | |||||||||||
| Tungsten | Hunan Jintai New Material Co., Ltd. | China | CID000769 | |||||||||||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | CID000773 | |||||||||||
| Gold | HwaSeong CJ CO., LTD. | Korea, Republic Of | CID000778 | |||||||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | CID000801 | |||||||||||
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | CID000807 | |||||||||||
| Gold | Istanbul Gold Refinery | Turkey | CID000814 | |||||||||||
| Gold | Japan Mint | Japan | CID000823 | |||||||||||
| Tungsten | Japan New Metals Co., Ltd. | Japan | CID000825 | |||||||||||
| Gold | Jiangxi Copper Co., Ltd. | China | CID000855 | |||||||||||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | CID000875 | |||||||||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | CID000914 | |||||||||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | CID000917 | |||||||||||
| Gold | Asahi Refining USA Inc. | United States Of America | CID000920 | |||||||||||
| Gold | Asahi Refining Canada Ltd. | Canada | CID000924 | |||||||||||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | CID000927 | |||||||||||
| Gold | JSC Uralelectromed | Russian Federation | CID000929 | |||||||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | CID000937 | |||||||||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | CID000942 | |||||||||||
| Gold | Kazakhmys Smelting LLC | Kazakhstan | CID000956 | |||||||||||
| Gold | Kazzinc | Kazakhstan | CID000957 | |||||||||||
| Tungsten | Kennametal Fallon | United States Of America | CID000966 | |||||||||||
| Gold | Kennecott Utah Copper LLC | United States Of America | CID000969 | |||||||||||
| Gold | Kojima Chemicals Co., Ltd. | Japan | CID000981 | |||||||||||
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | CID001029 | |||||||||||
| Gold | L'azurde Company For Jewelry | Saudi Arabia | CID001032 | |||||||||||
| Gold | Lingbao Gold Co., Ltd. | China | CID001056 | |||||||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | CID001058 | |||||||||||
| Tin | China Tin Group Co., Ltd. | China | CID001070 | |||||||||||
| Tantalum | AMG Brasil | Brazil | CID001076 | |||||||||||
| Gold | LS-NIKKO Copper Inc. | Korea, Republic Of | CID001078 | |||||||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Facility Location | Smelter ID | |||||||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | CID001093 | |||||||||||
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | CID001105 | |||||||||||
| Gold | Materion | United States Of America | CID001113 | |||||||||||
| Gold | Matsuda Sangyo Co., Ltd. | Japan | CID001119 | |||||||||||
| Tin | Metallic Resources, Inc. | United States Of America | CID001142 | |||||||||||
| Gold | Metalor Technologies (Suzhou) Ltd. | China | CID001147 | |||||||||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | CID001149 | |||||||||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | CID001152 | |||||||||||
| Gold | Metalor Technologies S.A. | Switzerland | CID001153 | |||||||||||
| Gold | Metalor USA Refining Corporation | United States Of America | CID001157 | |||||||||||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | CID001161 | |||||||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | CID001163 | |||||||||||
| Tin | Mineracao Taboca S.A. | Brazil | CID001173 | |||||||||||
| Tantalum | Mineracao Taboca S.A. | Brazil | CID001175 | |||||||||||
| Tin | Minsur | Peru | CID001182 | |||||||||||
| Gold | Mitsubishi Materials Corporation | Japan | CID001188 | |||||||||||
| Tin | Mitsubishi Materials Corporation | Japan | CID001191 | |||||||||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001192 | |||||||||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001193 | |||||||||||
| Tantalum | NPM Silmet AS | Estonia | CID001200 | |||||||||||
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | CID001204 | |||||||||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | CID001220 | |||||||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | China | CID001231 | |||||||||||
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | CID001236 | |||||||||||
| Gold | Nihon Material Co., Ltd. | Japan | CID001259 | |||||||||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | CID001277 | |||||||||||
| Tin | Novosibirsk Tin Combine | Russian Federation | CID001305 | |||||||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | CID001314 | |||||||||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | CID001325 | |||||||||||
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | CID001326 | |||||||||||
| Tin | Operaciones Metalurgicas S.A. | Bolivia (Plurinational State Of) | CID001337 | |||||||||||
| Gold | MKS PAMP SA | Switzerland | CID001352 | |||||||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | CID001362 | |||||||||||
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | CID001386 | |||||||||||
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | CID001397 | |||||||||||
| Tin | PT Artha Cipta Langgeng | Indonesia | CID001399 | |||||||||||
| Tin | PT Babel Inti Perkasa | Indonesia | CID001402 | |||||||||||
| Tin | PT Babel Surya Alam Lestari | Indonesia | CID001406 | |||||||||||
| Tin | PT Bangka Tin Industry | Indonesia | CID001419 | |||||||||||
| Tin | PT Belitung Industri Sejahtera | Indonesia | CID001421 | |||||||||||
| Tin | PT Bukit Timah | Indonesia | CID001428 | |||||||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Facility Location | Smelter ID | |||||||||||
| Tin | PT Mitra Stania Prima | Indonesia | CID001453 | |||||||||||
| Tin | PT Panca Mega Persada | Indonesia | CID001457 | |||||||||||
| Tin | PT Prima Timah Utama | Indonesia | CID001458 | |||||||||||
| Tin | PT Refined Bangka Tin | Indonesia | CID001460 | |||||||||||
| Tin | PT Sariwiguna Binasentosa | Indonesia | CID001463 | |||||||||||
| Tin | PT Stanindo Inti Perkasa | Indonesia | CID001468 | |||||||||||
| Tin | PT Timah Tbk Kundur | Indonesia | CID001477 | |||||||||||
| Tin | PT Timah Tbk Mentok | Indonesia | CID001482 | |||||||||||
| Tin | PT Timah Nusantara | Indonesia | CID001486 | |||||||||||
| Tin | PT Tinindo Inter Nusa | Indonesia | CID001490 | |||||||||||
| Tin | PT Tommy Utama | Indonesia | CID001493 | |||||||||||
| Gold | PX Precinox S.A. | Switzerland | CID001498 | |||||||||||
| Tantalum | QuantumClean | United States Of America | CID001508 | |||||||||||
| Gold | Rand Refinery (Pty) Ltd. | South Africa | CID001512 | |||||||||||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | CID001522 | |||||||||||
| Gold | Royal Canadian Mint | Canada | CID001534 | |||||||||||
| Tin | Rui Da Hung | Taiwan, Province Of China | CID001539 | |||||||||||
| Gold | Sabin Metal Corp. | United States Of America | CID001546 | |||||||||||
| Gold | Samduck Precious Metals | Korea, Republic Of | CID001555 | |||||||||||
| Gold | Samwon Metals Corp. | Korea, Republic Of | CID001562 | |||||||||||
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | CID001585 | |||||||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | CID001619 | |||||||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | CID001622 | |||||||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | CID001736 | |||||||||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | CID001756 | |||||||||||
| Gold | Solar Applied Materials Technology Corp. | Taiwan, Province Of China | CID001761 | |||||||||||
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | CID001769 | |||||||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | CID001798 | |||||||||||
| Gold | Super Dragon Technology Co., Ltd. | Taiwan, Province Of China | CID001810 | |||||||||||
| Tantalum | Taki Chemical Co., Ltd. | Japan | CID001869 | |||||||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | CID001875 | |||||||||||
| Tantalum | Telex Metals | United States Of America | CID001891 | |||||||||||
| Tin | Thaisarco | Thailand | CID001898 | |||||||||||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | CID001908 | |||||||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | CID001909 | |||||||||||
| Gold | Shandong Gold Smelting Co., Ltd. | China | CID001916 | |||||||||||
| Gold | Tokuriki Honten Co., Ltd. | Japan | CID001938 | |||||||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | CID001947 | |||||||||||
| Gold | Torecom | Korea, Republic Of | CID001955 | |||||||||||
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | CID001969 | |||||||||||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | CID001980 | |||||||||||
| Gold | United Precious Metal Refining, Inc. | United States Of America | CID001993 | |||||||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Facility Location | Smelter ID | |||||||||||
| Gold | Valcambi S.A. | Switzerland | CID002003 | |||||||||||
| Tin | VQB Mineral and Trading Group JSC | Viet Nam | CID002015 | |||||||||||
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | CID002030 | |||||||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | CID002036 | |||||||||||
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | CID002044 | |||||||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | China | CID002082 | |||||||||||
| Gold | Yamakin Co., Ltd. | Japan | CID002100 | |||||||||||
| Gold | Yokohama Metal Co., Ltd. | Japan | CID002129 | |||||||||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | CID002158 | |||||||||||
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | China | CID002180 | |||||||||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | CID002224 | |||||||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | CID002243 | |||||||||||
| Gold | Morris and Watson | New Zealand | CID002282 | |||||||||||
| Gold | SAFINA A.S. | Czechia | CID002290 | |||||||||||
| Gold | Guangdong Jinding Gold Limited | China | CID002312 | |||||||||||
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | CID002313 | |||||||||||
| Gold | Umicore Precious Metals Thailand | Thailand | CID002314 | |||||||||||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | CID002315 | |||||||||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | CID002316 | |||||||||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | CID002317 | |||||||||||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | CID002318 | |||||||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | CID002319 | |||||||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | CID002320 | |||||||||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | CID002321 | |||||||||||
| Tin | CV Venus Inti Perkasa | Indonesia | CID002455 | |||||||||||
| Gold | Geib Refining Corporation | United States Of America | CID002459 | |||||||||||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | CID002468 | |||||||||||
| Tin | PT Tirus Putra Mandiri | Indonesia | CID002478 | |||||||||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | CID002492 | |||||||||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | CID002494 | |||||||||||
| Tin | Melt Metais e Ligas S.A. | Brazil | CID002500 | |||||||||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | CID002502 | |||||||||||
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | CID002503 | |||||||||||
| Tantalum | D Block Metals, LLC | United States Of America | CID002504 | |||||||||||
| Tantalum | FIR Metals & Resource Ltd. | China | CID002505 | |||||||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | CID002506 | |||||||||||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | CID002508 | |||||||||||
| Gold | MMTC-PAMP India Pvt., Ltd. | India | CID002509 | |||||||||||
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | CID002511 | |||||||||||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | CID002512 | |||||||||||
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | China | CID002513 | |||||||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Facility Location | Smelter ID | |||||||||||
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | CID002515 | |||||||||||
| Gold | Singway Technology Co., Ltd. | Taiwan, Province Of China | CID002516 | |||||||||||
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | CID002517 | |||||||||||
| Gold | Shandong Humon Smelting Co., Ltd. | China | CID002525 | |||||||||||
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | CID002527 | |||||||||||
| Tantalum | KEMET de Mexico | Mexico | CID002539 | |||||||||||
| Tungsten | H.C. Starck Tungsten GmbH | Germany | CID002541 | |||||||||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002542 | |||||||||||
| Tungsten | Masan High-Tech Materials | Viet Nam | CID002543 | |||||||||||
| Tantalum | TANIOBIS Co., Ltd. | Thailand | CID002544 | |||||||||||
| Tantalum | TANIOBIS GmbH | Germany | CID002545 | |||||||||||
| Tantalum | Materion Newton Inc. | United States Of America | CID002548 | |||||||||||
| Tantalum | TANIOBIS Japan Co., Ltd. | Japan | CID002549 | |||||||||||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002550 | |||||||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | CID002551 | |||||||||||
| Tantalum | Global Advanced Metals Boyertown | United States Of America | CID002557 | |||||||||||
| Tantalum | Global Advanced Metals Aizu | Japan | CID002558 | |||||||||||
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | CID002560 | |||||||||||
| Gold | Emirates Gold DMCC | United Arab Emirates | CID002561 | |||||||||||
| Gold | International Precious Metal Refiners | United Arab Emirates | CID002562 | |||||||||||
| Gold | Kaloti Precious Metals | United Arab Emirates | CID002563 | |||||||||||
| Gold | Sudan Gold Refinery | Sudan | CID002567 | |||||||||||
| Tin | CV Ayi Jaya | Indonesia | CID002570 | |||||||||||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | CID002572 | |||||||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002573 | |||||||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002574 | |||||||||||
| Gold | T.C.A S.p.A | Italy | CID002580 | |||||||||||
| Gold | REMONDIS PMR B.V. | Netherlands | CID002582 | |||||||||||
| Gold | Fujairah Gold FZC | United Arab Emirates | CID002584 | |||||||||||
| Gold | Industrial Refining Company | Belgium | CID002587 | |||||||||||
| Gold | Shirpur Gold Refinery Ltd. | India | CID002588 | |||||||||||
| Tungsten | Niagara Refining LLC | United States Of America | CID002589 | |||||||||||
| Tin | PT Rajehan Ariq | Indonesia | CID002593 | |||||||||||
| Gold | Korea Zinc Co., Ltd. | Korea, Republic Of | CID002605 | |||||||||||
| Gold | Marsam Metals | Brazil | CID002606 | |||||||||||
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | CID002615 | |||||||||||
| Tungsten | China Molybdenum Tungsten Co., Ltd. | China | CID002641 | |||||||||||
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | China | CID002645 | |||||||||||
| Tungsten | Hydrometallurg, JSC | Russian Federation | CID002649 | |||||||||||
| Tin | PT Cipta Persada Mulia | Indonesia | CID002696 | |||||||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | CID002703 | |||||||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Facility Location | Smelter ID | |||||||||||
| Tin | Resind Industria e Comercio Ltda. | Brazil | CID002706 | |||||||||||
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | CID002707 | |||||||||||
| Gold | Abington Reldan Metals, LLC | United States Of America | CID002708 | |||||||||||
| Tungsten | Unecha Refractory metals plant | Russian Federation | CID002724 | |||||||||||
| Tin | Super Ligas | Brazil | CID002756 | |||||||||||
| Gold | SAAMP | France | CID002761 | |||||||||||
| Gold | L'Orfebre S.A. | Andorra | CID002762 | |||||||||||
| Gold | 8853 S.p.A. | Italy | CID002763 | |||||||||||
| Gold | Italpreziosi | Italy | CID002765 | |||||||||||
| Tin | Aurubis Beerse | Belgium | CID002773 | |||||||||||
| Tin | Aurubis Berango | Spain | CID002774 | |||||||||||
| Tin | PT Bangka Prima Tin | Indonesia | CID002776 | |||||||||||
| Gold | WIELAND Edelmetalle GmbH | Germany | CID002778 | |||||||||||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | CID002779 | |||||||||||
| Tin | PT Sukses Inti Makmur | Indonesia | CID002816 | |||||||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | CID002827 | |||||||||||
| Tungsten | ACL Metais Eireli | Brazil | CID002833 | |||||||||||
| Tin | PT Menara Cipta Mulia | Indonesia | CID002835 | |||||||||||
| Tantalum | Jiangxi Tuohong New Raw Material | China | CID002842 | |||||||||||
| Tungsten | Moliren Ltd. | Russian Federation | CID002845 | |||||||||||
| Gold | AU Traders and Refiners | South Africa | CID002850 | |||||||||||
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | India | CID002852 | |||||||||||
| Gold | Sai Refinery | India | CID002853 | |||||||||||
| Gold | Modeltech Sdn Bhd | Malaysia | CID002857 | |||||||||||
| Tin | Modeltech Sdn Bhd | Malaysia | CID002858 | |||||||||||
| Gold | Bangalore Refinery | India | CID002863 | |||||||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | CID002865 | |||||||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | CID002867 | |||||||||||
| Gold | Pease & Curren | United States Of America | CID002872 | |||||||||||
| Gold | JALAN & Company | India | CID002893 | |||||||||||
| Gold | SungEel HiMetal Co., Ltd. | Korea, Republic Of | CID002918 | |||||||||||
| Gold | Planta Recuperadora de Metales SpA | Chile | CID002919 | |||||||||||
| Gold | Safimet S.p.A | Italy | CID002973 | |||||||||||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | CID003116 | |||||||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | CID003153 | |||||||||||
| Gold | African Gold Refinery | Uganda | CID003185 | |||||||||||
| Gold | Gold Coast Refinery | Ghana | CID003186 | |||||||||||
| Gold | NH Recytech Company | Korea, Republic Of | CID003189 | |||||||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | CID003190 | |||||||||||
| Tin | PT Bangka Serumpun | Indonesia | CID003205 | |||||||||||
| Tin | Pongpipat Company Limited | Myanmar | CID003208 | |||||||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Facility Location | Smelter ID | |||||||||||
| Gold | QG Refining, LLC | United States Of America | CID003324 | |||||||||||
| Tin | Tin Technology & Refining | United States Of America | CID003325 | |||||||||||
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | CID003348 | |||||||||||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | CID003356 | |||||||||||
| Tin | PT Rajawali Rimba Perkasa | Indonesia | CID003381 | |||||||||||
| Gold | CGR Metalloys Pvt Ltd. | India | CID003382 | |||||||||||
| Gold | Sovereign Metals | India | CID003383 | |||||||||||
| Tin | Luna Smelter, Ltd. | Rwanda | CID003387 | |||||||||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | CID003397 | |||||||||||
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | CID003401 | |||||||||||
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan, Province Of China | CID003407 | |||||||||||
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | CID003408 | |||||||||||
| Tin | Precious Minerals and Smelting Limited | India | CID003409 | |||||||||||
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | CID003410 | |||||||||||
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | CID003416 | |||||||||||
| Tungsten | Hubei Green Tungsten Co., Ltd. | China | CID003417 | |||||||||||
| Gold | C.I Metales Procesados Industriales SAS | Colombia | CID003421 | |||||||||||
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | CID003424 | |||||||||||
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | CID003425 | |||||||||||
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | CID003427 | |||||||||||
| Tin | PT Mitra Sukses Globalindo | Indonesia | CID003449 | |||||||||||
| Gold | Augmont Enterprises Private Limited | India | CID003461 | |||||||||||
| Gold | Kundan Care Products Ltd. | India | CID003463 | |||||||||||
| Tungsten | Cronimet Brasil Ltda | Brazil | CID003468 | |||||||||||
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | CID003486 | |||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 1) | India | CID003487 | |||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 2) | India | CID003488 | |||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 3) | India | CID003489 | |||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 4) | India | CID003490 | |||||||||||
| Gold | K.A. Rasmussen | Norway | CID003497 | |||||||||||
| Gold | Alexy Metals | United States Of America | CID003500 | |||||||||||
| Tin | CRM Synergies | Spain | CID003524 | |||||||||||
| Gold | Sancus ZFS (L’Orfebre, SA) | Colombia | CID003529 | |||||||||||
| Gold | Sellem Industries Ltd. | Mauritania | CID003540 | |||||||||||
| Gold | MD Overseas | India | CID003548 | |||||||||||
| Tungsten | Artek LLC | Russian Federation | CID003553 | |||||||||||
| Gold | Metallix Refining Inc. | United States Of America | CID003557 | |||||||||||
| Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | CID003575 | |||||||||||
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | CID003582 | |||||||||||
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | China | CID003583 | |||||||||||
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | China | CID003609 | |||||||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Facility Location | Smelter ID | |||||||||||
| Tungsten | OOO “Technolom” 2 | Russian Federation | CID003612 | |||||||||||
| Tungsten | OOO “Technolom” 1 | Russian Federation | CID003614 | |||||||||||
| Gold | WEEEREFINING | France | CID003615 | |||||||||||
| Tin | PT Putera Sarana Shakti (PT PSS) | Indonesia | CID003868 | |||||||||||
| Gold | Shenzhen CuiLu Gold Co., Ltd. | China | CID002750 | |||||||||||
| Gold | Albino Mountinho Lda. | Portugal | CID002760 | |||||||||||
| Gold | ABC Refinery Pty Ltd. | Australia | CID002920 | |||||||||||
| Gold | Gold by Gold Colombia | Colombia | CID003641 | |||||||||||
| Tungsten | LLC Vostok | Russian Federation | CID003643 | |||||||||||
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | China | CID003662 | |||||||||||
| Gold | Dongwu Gold Group | China | CID003663 | |||||||||||
| Tin | DS Myanmar | Myanmar | CID003831 | |||||||||||
| Tantalum | 5D Production OU | Estonia | CID003926 | |||||||||||
| Tungsten | HANNAE FOR T Co., Ltd. | Korea, Republic Of | CID003978 | |||||||||||
| Tungsten | Tungsten Vietnam Joint Stock Company | Viet Nam | CID003993 | |||||||||||