SD
ON SEMICONDUCTOR CORP filed this Form SD on 05/30/2017
Entire Document
 
SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D. C. 20549

 

 

FORM SD

 

 

Specialized Disclosure Report

 

 

ON Semiconductor Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Delaware    000-30419    36-3840979

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification No.)

 

ON Semiconductor Corporation

5005 East McDowell Road

  
Phoenix, Arizona    85008
(Address of principal executive offices)    (Zip Code)

George H. Cave

ON Semiconductor Corporation

(602) 244-6600

(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, 2016.

 

 

 


SECTION 1. CONFLICT MINERALS DISCLOSURE

Item 1.01. Conflict Minerals Disclosure and Report

Pursuant to Rule 13p-1 and Section 13(p) of the Securities Exchange Act of 1934, as amended, which implements Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Conflict Regulations”), ON Semiconductor Corporation (the “Company”) was required to make certain inquiries and perform certain due diligence with respect to any “conflict minerals” (as defined by paragraph (d)(3) of Item 1.01 of Form SD) that are necessary to the functionality or production of a product manufactured (or contracted to be manufactured) by the Company or any of its subsidiaries.

Conflict minerals are necessary to the functionality of certain of the Company’s products. As required in the Conflict Regulations, the Company has conducted a reasonable country of origin inquiry (“RCOI”) designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or an adjoining country or are from recycled or scrap sources. Based on its RCOI, the Company has determined that certain of the conflict minerals contained in its products may have originated in the Democratic Republic of the Congo or an adjoining country and may not be from recycled or scrap sources. Therefore, the Company was required to exercise due diligence on the source and chain of custody of its conflict minerals in accordance with the Conflict Regulations and Form SD and to file a Conflict Minerals Report.

Conflict Minerals Disclosure

The Company has filed a Conflict Minerals Report which is attached hereto as Exhibit 1.01 and is incorporated herein by reference. Such report is also publicly available on the Company’s website at the following link: http://www.onsemi.com/social-responsibility.

Item 1.02. Exhibit

Information concerning conflict minerals required by the Conflict Regulations is included in Exhibit 1.01 to this Specialized Disclosure Report on Form SD.

SECTION 2. EXHIBITS

Item 2.01. Exhibits

 

Exhibit No.

  

Description

1.01    Conflict Minerals Report for the year ended December 31, 2016 as required by Items 1.01 and 1.02 of this Form.

 

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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.

 

  ON SEMICONDUCTOR CORPORATION
  (Registrant)

Date: May 30, 2017

 

By:

 

/s/ GEORGE H. CAVE

 

Name:  

 

George H. Cave

 

Title:

 

Executive Vice President, General Counsel,

Chief Compliance & Ethics Officer,

Chief Risk Officer and Secretary

 

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EXHIBIT INDEX

 

Exhibit No.

  

Description

1.01    Conflict Minerals Report for the year ended December 31, 2016 as required by Items 1.01 and 1.02 of this Form.

 

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EX-1.01

Exhibit 1.01

 

 

LOGO

CONFLICTS MINERALS REPORT

This unaudited Conflict Minerals Report (this “Report”) of ON Semiconductor Corporation (the “Company,” “ON Semiconductor,” “we” or “us”) is attached as Exhibit 1.01 to the Form SD for the year ended December 31, 2016. This Report is also publicly available on the Company’s website at the following link: http://www.onsemi.com/social-responsibility. The content of any website referred to in this Report is included for general information only and is not incorporated by reference in this Report.

Pursuant to Rule 13p-1 and Section 13(p) of the Securities Exchange Act of 1934, as amended, which implements Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Conflict Regulations”), the Company was required to make certain inquiries and perform certain due diligence with respect to any “conflict minerals” (as defined by paragraph (d)(3) of Item 1.01 of Form SD) that are necessary to the functionality or production of a product manufactured (or contracted to be manufactured) by the Company or any of its subsidiaries.

The Company is a broad-based supplier of semiconductor components that serve a variety of end markets, including automotive, communications, computing, consumer, industrial, medical, networking and aerospace/defense. Our extensive portfolio of sensors, power and signal management, logic, system on chip, analog, connectivity, timing, discrete and custom devices helps customers efficiently solve their design challenges in advanced electronic systems and products.

As a purchaser of products containing the minerals tantalum, tin, tungsten or gold (collectively, “3TG”) from suppliers for use in our manufacturing process, the Company continues to be concerned about the reports of violence and human rights violations resulting from the sourcing of such minerals from the Democratic Republic of the Congo and adjoining countries (“Covered Countries”). The Company’s Corporate Social Responsibility Report is available at http://www.onsemi.com/social-responsibility.

For purposes of this Report, the term “products” is used to describe products manufactured (or contracted to be manufactured) by the Company or any of its subsidiaries. As a result, when conducting its conflict minerals analysis as required by the Conflict Regulations, the Company has considered its sole product to be semiconductor components.

This Report describes the process undertaken for products that were manufactured, or contracted to be manufactured, during calendar year 2016 and that contain conflict minerals. We completed our acquisition of Fairchild Semiconductor International, Inc. (“Fairchild”) on September 19, 2016, and Fairchild products are included within the scope of this Report. This Report is unaudited, as an independent private sector audit is not required pursuant to guidance provided by the Securities and Exchange Commission.


As a result of its inquiry, the Company determined that conflict minerals are necessary to the functionality of the Company’s products. In particular, these minerals provide internal electrically conductive connections to the various circuit elements required to manufacture a working semiconductor device and/or provide an electrically conductive path to connect the semiconductor device to the electronic application in which it is utilized.

Conflict minerals are obtained from sources worldwide, and the Company does not desire to eliminate those originating in Covered Countries. However, the Company is committed to ensuring conflict free sourcing of minerals from our supply chain through collaboration with our suppliers, including through our activities as a member of the Electronic Industry Citizenship Coalition (“EICC”) and a participant in the Conflict Free Sourcing Initiative (“CFSI”), which began as a joint effort between the EICC and Global e-Sustainability Initiative (“GeSI”). As a member of the CFSI, we are required to engage in reasonable due diligence with respect to our supply chain to assure such minerals are not being sourced from entities supporting armed conflict within the Covered Countries. The Company also recognizes the importance of supporting responsible mineral sourcing from the Covered Countries so as not to negatively impact the economies of those countries.

Due Diligence

Based on the Company’s reasonable country of origin inquiry (“RCOI”), the Company was unable to reasonably conclude that all of its conflict minerals did not originate in a Covered Country or come from recycled or scrap sources, and the Company continues its diligence on the source and chain of custody of its conflict minerals. In connection with this supply chain diligence, the Company used the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Second Edition, OECD 2013) and the related Supplements on tantalum, tin, tungsten and gold (collectively, the “OECD Guidance”) and, among other actions, implemented the following:

 

   

OECD: Step 1: Established a strong management system

 

   

The Company continually reviews and updates policies as appropriate to reflect the procedures by which the Company and its suppliers should conduct conflict minerals related due diligence.

 

   

The Company established an internal management team to support supply chain due diligence. The internal management team includes appropriate employees within the Company’s quality, supply chain, finance, operations and legal departments. Regular reports generated as a result of this internal management team’s efforts were provided to the Audit Committee of the Company.

 

   

The Company utilized the form conflicts minerals reporting template (“CMRT”), standardized by the EICC, to collect sourcing information from its suppliers to identify whether (i) conflict minerals sourced by such suppliers originated in Covered Countries and (ii) whether or not smelters and refiners (collectively, “smelters”) used by such suppliers (or such suppliers’ suppliers) have been validated as compliant in

 

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accordance with the Conflict Free Smelter Program (“CFSP”). Appendix A sets forth a list of smelters, provided by the Company’s suppliers, from which the Company obtains product, including mineral type, standard smelter names, and whether the smelter is on the CFSI Compliant Smelter List (“Conflict Free Smelter List”). In addition, a summary of conflict minerals and countries of origin information, collected in connection with our RCOI efforts, is attached hereto as Appendix B.

 

   

The CFSI developed an audit protocol for verification of entities as compliant with the CFSP in accordance with the OECD Guidance and in conjunction with complementary traceability schemes in the Covered Countries. The Conflict Free Smelter List is composed of entities that were determined to be compliant with the CFSP and that have been subject to an independent third party audit to assess whether the entity employed policies, practices, and procedures to source conflict free minerals. ON Semiconductor uses the Conflict Free Smelter List and any other lists that have been recognized by the CFSI, including the London Bullion Metal Association (LBMA) and Responsible Jewelry Council (RJC) lists for gold, for making conflict minerals determinations with respect to conflict minerals sourced by the Company. We are a member of CFSI and have access to CFSI country of origin information for entities on the Conflict Free Smelter List.

 

   

The Company utilizes an internal compliance audit to assess and confirm that the due diligence approach followed by the Company was in accordance with OECD Guidance.

 

   

The Company established communication channels with customers and suppliers to inquire about conflict minerals, alert such entities about the risk of using non-CFSP sources and about the grievance mechanisms for our conflict minerals program.

 

   

OECD: Step 2: Risk Identification and Assessment / Identified supply chain risk

 

   

The Company believes that it has identified 100% of the suppliers who provide it with 3TG through its supply chain diligence. As of December 31, 2016, the Company received declaration from 100% of its suppliers of conflict minerals using the CMRT.

 

   

The Company employs a third party web-based software platform to collect, manage and aggregate the CMRT declarations received from its suppliers and to report the results to its customers. This software ensures the Company has an auditable “chain of custody” regarding receipt of declarations and information received from suppliers.

 

   

The Company’s conflict mineral team reviews all CMRT responses for completeness and consistency with the latest CMRT revision.

 

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OECD Step 3: Strategy to respond to Identified risks / Implemented strategy to address that risk

 

   

The Company’s conflict mineral team reviews and updates the company level CMRT on a monthly basis to identify any risks in the supply chain for non-CFSP compliant smelters reported by suppliers in their submitted CMRT’s.

 

   

Outreach or encouragement letters will be sent to suppliers to remove or replace non-CFSP compliant smelters. The Company contacts suppliers and continuously sends out reminder emails to request responses or updates.

 

   

As part of the CFSI Smelter Engagement Team campaign, outreach or encouragement letters are also sent directly by the Company’s conflict minerals coordinator to non-CFSP compliant smelters-.

 

   

The Company conducts a risk assessment of all suppliers and suppliers are rated using the internally-developed risk matrix system based on the CMRT submitted. Risk levels are No Risk, Low Risk, Medium Risk, High Risk and Critical Risk.

 

   

No Risk or Low Risk means that a supplier is using 100% CFSP compliant smelters with a publicly-posted conflict minerals policy and that such supplier submitted a product level CMRT.

 

   

Medium Risk means that a supplier has a rating between Low Risk and High Risk.

 

   

High Risk or Critical Risk means that a supplier is either using unknown/alleged smelters or has no conflict minerals policy.

 

   

As of December 31, 2016, 86% of our suppliers are in the “No Risk” or “Low Risk” levels.

 

   

The Company has developed a date and version controlled document and conflict minerals audit checklist for use in auditing its major suppliers of conflict minerals and has incorporated this checklist into its ongoing supplier audit process.

 

   

All suppliers receive a letter through a third party solution provider requesting them to:

 

   

adopt a policy to reasonably assure that the conflict minerals in their products do not directly or indirectly finance or benefit armed groups in the Covered Countries;

 

   

identify all conflict minerals smelters in their supply chain; and

 

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report back to the Company by filling in the latest CMRT.

 

   

The status of suppliers is discussed internally in monthly reviews with the conflict minerals team and reported to senior management.

 

   

OECD Step 4: Smelter audits / Independent auditing of smelters

 

   

The Company’s conflict mineral coordinators are members of the CFSI working teams that continue to encourage smelters to participate in the CFSP. To that end, the Company approaches, through direct communication and smelter outreach, both the smelters and their customers (the Company’s suppliers) in our supply chain. The Company also contributes to thought leadership and participates in the relevant workgroups and taskforces within industry organizations and industry mechanisms.

 

   

OECD Step 5: Report on supply chain due diligence. Inherent limitations on due diligence measures

 

   

The Company is an indirect purchaser of conflict minerals, and its due diligence measures provide reasonable, not absolute, assurance regarding the source and chain of custody of conflict minerals. The Company’s due diligence processes seek data from its direct suppliers and those suppliers seek similar information within their supply chains to identify the original sources of the conflict minerals. We also rely, to a large extent, on information collected and provided by independent third party audit programs. Such sources of information may produce inaccurate or incomplete information and may be subject to fraud.

 

   

The Company prepares and submits a Conflict Minerals Report to the Securities Exchange Commission on an annual basis. This report is made available and posted publicly on the Company’s website.

Due Diligence Results

As a result of its continuous due diligence with suppliers and smelters through CFSI’s smelter engagement team, the Company has determined that approximately 98% of our smelters are CFSP compliant as of December 31, 2016 compared to 89% at the end of 2015 and 53% at the end of 2014.

Smelter or refiner statuses are defined as follows:

 

   

Compliant means that a smelter has been audited and found compliant with the relevant CFSP protocol and is included in the CMRT Standard Smelter List.

 

   

Active means that a smelter has engaged in the CFSP program but has not yet been determined to be compliant and included in the CMRT Standard Smelter List.

 

   

Eligible means that a smelter meets the definition of a smelter or refiner and is included in the CMRT Standard Smelter List.

 

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Not Eligible means that a smelter does not meet the definition of a smelter or refiner or is otherwise ineligible for the program and is not included in the CMRT Standard Smelter List.

 

   

Alleged means that it is unknown whether the entity is a smelter or refiner. More research is needed and the entity is not included in the CMRT Standard Smelter List.

 

 

LOGO

Products

As indicated above in the Due Diligence section, the Company has been unable to determine the origins of certain of the conflict minerals contained in its products.

Mitigation of Risk Related to Benefiting Armed Groups

The Company continues to improve its processes and procedures to mitigate the risk that its necessary conflict minerals benefit armed groups. In particular, the Company has taken the following steps to improve its due diligence processes:

 

   

The Company has incorporated conflict minerals compliance requirements into its supplier handbook for all suppliers.

 

   

The Company has incorporated conflict minerals requirements and checkpoints into its business processes for new product introduction, new supplier qualification and change management.

 

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APPENDIX A

CONFLICT MINERALS SOURCING INFORMATION

(as of December 31, 2016)

 

SN       METAL    CID        STANDARD SMELTER/REFINER NAME    Country
1     Gold    CID000019      Aida Chemical Industries Co., Ltd.    JAPAN
2     Gold    CID000035      Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY
3     Gold    CID000058      AngloGold Ashanti Córrego do Sítio Mineração    BRAZIL
4     Gold    CID000077      Argor-Heraeus S.A.    SWITZERLAND
5     Gold    CID000082      Asahi Pretec Corp.    JAPAN
6     Gold    CID000924      Asahi Refining Canada Ltd.    CANADA
7     Gold    CID000920      Asahi Refining USA Inc.    USA
8     Gold    CID000090      Asaka Riken Co., Ltd.    JAPAN
9     Gold    CID000113      Aurubis AG    GERMANY
10     Gold    CID000128      Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES
11     Gold    CID000157      Boliden AB    SWEDEN
12     Gold    CID000176      C. Hafner GmbH + Co. KG    GERMANY
13     Gold    CID000185      CCR Refinery - Glencore Canada Corporation    CANADA
14     Gold    CID000189      Cendres + Métaux S.A.    SWITZERLAND
15     Gold    CID000233      Chimet S.p.A.    ITALY
16     Gold    CID000362      DODUCO GmbH    GERMANY
17     Gold    CID000401      Dowa    JAPAN
18     Gold    CID000425      Eco-System Recycling Co., Ltd.    JAPAN
19     Gold    CID001322      Elemetal Refining, LLC    USA
20     Gold    CID000694      Heimerle + Meule GmbH    GERMANY
21     Gold    CID000707      Heraeus Ltd. Hong Kong    CHINA
22     Gold    CID000711      Heraeus Precious Metals GmbH & Co. KG    GERMANY
23     Gold    CID000807      Ishifuku Metal Industry Co., Ltd.    JAPAN
24     Gold    CID000814      Istanbul Gold Refinery    TURKEY
25     Gold    CID000855      Jiangxi Copper Co., Ltd.    CHINA
26     Gold    CID000937      JX Nippon Mining & Metals Co., Ltd.    JAPAN
27     Gold    CID000969      Kennecott Utah Copper LLC    USA
28     Gold    CID000981      Kojima Chemicals Co., Ltd.    JAPAN
29     Gold    CID001078      LS-NIKKO Copper Inc.    KOREA (REPUBLIC OF)
30     Gold    CID001113      Materion    USA
31     Gold    CID001119      Matsuda Sangyo Co., Ltd.    JAPAN
32     Gold    CID001149      Metalor Technologies (Hong Kong) Ltd.    CHINA
33     Gold    CID001152      Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE
34     Gold    CID001153      Metalor Technologies S.A.    SWITZERLAND
35     Gold    CID001157      Metalor USA Refining Corporation    USA
36     Gold    CID001161      Metalúrgica Met-Mex Peñoles S.A. De C.V.    MEXICO
37     Gold    CID001188      Mitsubishi Materials Corporation    JAPAN

 

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SN       METAL    CID        STANDARD SMELTER/REFINER NAME    Country
38     Gold    CID001193      Mitsui Mining and Smelting Co., Ltd.    JAPAN
39     Gold    CID001220      Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY
40     Gold    CID001259      Nihon Material Co., Ltd.    JAPAN
41     Gold    CID002779      Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA
42     Gold    CID001325      Ohura Precious Metal Industry Co., Ltd.    JAPAN
43     Gold    CID001352      PAMP S.A.    SWITZERLAND
44     Gold    CID001397      PT Aneka Tambang (Persero) Tbk    INDONESIA
45     Gold    CID001498      PX Précinox S.A.    SWITZERLAND
46     Gold    CID001512      Rand Refinery (Pty) Ltd.    SOUTH AFRICA
47     Gold    CID002510      Republic Metals Corporation    USA
48     Gold    CID001534      Royal Canadian Mint    CANADA
49     Gold    CID002777      SAXONIA Edelmetalle GmbH    GERMANY
50     Gold    CID001573      Schone Edelmetaal B.V.    NETHERLANDS
51     Gold    CID001585      SEMPSA Joyería Platería S.A.    SPAIN
52     Gold    CID001622      Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA
53     Gold    CID001736      Sichuan Tianze Precious Metals Co., Ltd.    CHINA
54     Gold    CID001756      SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION
55     Gold    CID001761      Solar Applied Materials Technology Corp.    TAIWAN
56     Gold    CID001798      Sumitomo Metal Mining Co., Ltd.    JAPAN
57     Gold    CID001875      Tanaka Kikinzoku Kogyo K.K.    JAPAN
58     Gold    CID001916      The Refinery of Shandong Gold Mining Co., Ltd.    CHINA
59     Gold    CID001938      Tokuriki Honten Co., Ltd.    JAPAN
60     Gold    CID001977      Umicore Brasil Ltda.    BRAZIL
61     Gold    CID002314      Umicore Precious Metals Thailand    THAILAND
62     Gold    CID001980      Umicore S.A. Business Unit Precious Metals Refining    BELGIUM
63     Gold    CID001993      United Precious Metal Refining, Inc.    USA
64     Gold    CID002003      Valcambi S.A.    SWITZERLAND
65     Gold    CID002030      Western Australian Mint trading as The Perth Mint    AUSTRALIA
66     Gold    CID002778      WIELAND Edelmetalle GmbH    GERMANY
67     Gold    CID002100      Yamamoto Precious Metal Co., Ltd.    JAPAN
68     Gold    CID002129      Yokohama Metal Co., Ltd.    JAPAN
69     Gold    CID002224      Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA
70     Gold    CID002243      Zijin Mining Group Co., Ltd. Gold Refinery    CHINA
71     Tantalum    CID000211      Changsha South Tantalum Niobium Co., Ltd.    CHINA
72     Tantalum    CID000291      Conghua Tantalum and Niobium Smeltry    CHINA
73     Tantalum    CID002504      D Block Metals, LLC    USA
74     Tantalum    CID000410      Duoluoshan    CHINA
75     Tantalum    CID000456      Exotech Inc.    USA
76     Tantalum    CID000460      F&X Electro-Materials Ltd.    CHINA
77     Tantalum    CID002505      FIR Metals & Resource Ltd.    CHINA
78     Tantalum    CID002558      Global Advanced Metals Aizu    JAPAN
79     Tantalum    CID002557      Global Advanced Metals Boyertown    USA

 

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SN       METAL    CID        STANDARD SMELTER/REFINER NAME    Country
80     Tantalum    CID000616      Guangdong Zhiyuan New Material Co., Ltd.    CHINA
81     Tantalum    CID002544      H.C. Starck Co., Ltd.    THAILAND
82     Tantalum    CID002545      H.C. Starck GmbH Goslar    GERMANY
83     Tantalum    CID002546      H.C. Starck GmbH Laufenburg    GERMANY
84     Tantalum    CID002547      H.C. Starck Hermsdorf GmbH    GERMANY
85     Tantalum    CID002548      H.C. Starck Inc.    USA
86     Tantalum    CID002549      H.C. Starck Ltd.    JAPAN
87     Tantalum    CID002550      H.C. Starck Smelting GmbH & Co. KG    GERMANY
88     Tantalum    CID002492      Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA
89     Tantalum    CID000731      Hi-Temp Specialty Metals, Inc.    USA
90     Tantalum    CID000914      JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA
91     Tantalum    CID000917      Jiujiang Tanbre Co., Ltd.    CHINA
92     Tantalum    CID002539      KEMET Blue Metals    MEXICO
93     Tantalum    CID002568      KEMET Blue Powder    USA
94     Tantalum    CID001076      LSM Brasil S.A.    BRAZIL
95     Tantalum    CID001163      Metallurgical Products India Pvt., Ltd.    INDIA
96     Tantalum    CID001175      Mineração Taboca S.A.    BRAZIL
97     Tantalum    CID001192      Mitsui Mining and Smelting Co., Ltd.    JAPAN
98     Tantalum    CID001277      Ningxia Orient Tantalum Industry Co., Ltd.    CHINA
99     Tantalum    CID001200      Molycorp Silmet A.S.    ESTONIA
100     Tantalum    CID002540      Plansee SE Liezen    AUSTRIA
101     Tantalum    CID002556      Plansee SE Reutte    AUSTRIA
102     Tantalum    CID001769      Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION
103     Tantalum    CID001869      Taki Chemical Co., Ltd.    JAPAN
104     Tantalum    CID001891      Telex Metals    USA
105     Tantalum    CID001969      Ulba Metallurgical Plant JSC    KAZAKHSTAN
106     Tantalum    CID002307      Yichun Jin Yang Rare Metal Co., Ltd.    CHINA
107     Tantalum    CID002232      Zhuzhou Cemented Carbide Group Co., Ltd.    CHINA
108     Tin    CID000292      Alpha    USA
109     Tin    CID001070      China Tin Group Co., Ltd.    CHINA
110     Tin    CID000295      Cooperativa Metalurgica de Rondônia Ltda.    BRAZIL
111     Tin    CID002570      CV Ayi Jaya    INDONESIA
112     Tin    CID000306      CV Gita Pesona    INDONESIA
113     Tin    CID000313      CV Serumpun Sebalai    INDONESIA
114     Tin    CID000315      CV United Smelting    INDONESIA
115     Tin    CID002455      CV Venus Inti Perkasa    INDONESIA
116     Tin    CID000402      Dowa    JAPAN
117     Tin    CID002774      Elmet S.L.U.    SPAIN
118     Tin    CID000438      EM Vinto    BOLIVIA
119     Tin    CID000468      Fenix Metals    POLAND
120     Tin    CID000538      Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA
121     Tin    CID000244      Jiangxi Ketai Advanced Material Co., Ltd.    CHINA

 

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SN       METAL    CID        STANDARD SMELTER/REFINER NAME    Country
122     Tin    CID002468      Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL
123     Tin    CID001105      Malaysia Smelting Corporation (MSC)    MALAYSIA
124     Tin    CID002500      Melt Metais e Ligas S.A.    BRAZIL
125     Tin    CID001142      Metallic Resources, Inc.    USA
126     Tin    CID002773      Metallo-Chimique N.V.    BELGIUM
127     Tin    CID001173      Mineração Taboca S.A.    BRAZIL
128     Tin    CID001182      Minsur    PERU
129     Tin    CID001191      Mitsubishi Materials Corporation    JAPAN
130     Tin    CID001314      O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND
131     Tin    CID002517      O.M. Manufacturing Philippines, Inc.    PHILIPPINES
132     Tin    CID001337      Operaciones Metalurgical S.A.    BOLIVIA
133     Tin    CID000309      PT Aries Kencana Sejahtera    INDONESIA
134     Tin    CID001399      PT Artha Cipta Langgeng    INDONESIA
135     Tin    CID002503      PT ATD Makmur Mandiri Jaya    INDONESIA
136     Tin    CID001402      PT Babel Inti Perkasa    INDONESIA
137     Tin    CID002776      PT Bangka Prima Tin    INDONESIA
138     Tin    CID001419      PT Bangka Tin Industry    INDONESIA
139     Tin    CID001421      PT Belitung Industri Sejahtera    INDONESIA
140     Tin    CID001428      PT Bukit Timah    INDONESIA
141     Tin    CID002696      PT Cipta Persada Mulia    INDONESIA
142     Tin    CID001434      PT DS Jaya Abadi    INDONESIA
143     Tin    CID001438      PT Eunindo Usaha Mandiri    INDONESIA
144     Tin    CID002530      PT Inti Stania Prima    INDONESIA
145     Tin    CID000307      PT Justindo    INDONESIA
146     Tin    CID001453      PT Mitra Stania Prima    INDONESIA
147     Tin    CID001457      PT Panca Mega Persada    INDONESIA
148     Tin    CID001458      PT Prima Timah Utama    INDONESIA
149     Tin    CID001460      PT Refined Bangka Tin    INDONESIA
150     Tin    CID001463      PT Sariwiguna Binasentosa    INDONESIA
151     Tin    CID001468      PT Stanindo Inti Perkasa    INDONESIA
152     Tin    CID002816      PT Sukses Inti Makmur    INDONESIA
153     Tin    CID001471      PT Sumber Jaya Indah    INDONESIA
154     Tin    CID001477      PT Timah (Persero) Tbk Kundur    INDONESIA
155     Tin    CID001482      PT Timah (Persero) Tbk Mentok    INDONESIA
156     Tin    CID001490      PT Tinindo Inter Nusa    INDONESIA
157     Tin    CID002479      PT Wahana Perkit Jaya    INDONESIA
158     Tin    CID002706      Resind Indústria e Comércio Ltda.    BRAZIL
159     Tin    CID001539      Rui Da Hung    TAIWAN
160     Tin    CID001758      Soft Metais Ltda.    BRAZIL
161     Tin    CID001898      Thaisarco    THAILAND
162     Tin    CID002015      VQB Mineral and Trading Group JSC    VIET NAM
163     Tin    CID002036      White Solder Metalurgia e Mineração Ltda.    BRAZIL

 

10


SN       METAL    CID        STANDARD SMELTER/REFINER NAME    Country
164     Tin    CID002158      Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA
165     Tin    CID002180      Yunnan Tin Company Limited    CHINA
166     Tungsten    CID000004      A.L.M.T. TUNGSTEN Corp.    JAPAN
167     Tungsten    CID002513      Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA
168     Tungsten    CID000258      Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA
169     Tungsten    CID000499      Fujian Jinxin Tungsten Co., Ltd.    CHINA
170     Tungsten    CID000875      Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA
171     Tungsten    CID002315      Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA
172     Tungsten    CID002494      Ganzhou Seadragon W & Mo Co., Ltd.    CHINA
173     Tungsten    CID000568      Global Tungsten & Powders Corp.    USA
174     Tungsten    CID000218      Guangdong Xianglu Tungsten Co., Ltd.    CHINA
175     Tungsten    CID002541      H.C. Starck GmbH    GERMANY
176     Tungsten    CID002542      H.C. Starck Smelting GmbH & Co.KG    GERMANY
177     Tungsten    CID000766      Hunan Chenzhou Mining Co., Ltd.    CHINA
178     Tungsten    CID002579      Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA
179     Tungsten    CID000769      Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA
180     Tungsten    CID002649      Hydrometallurg, JSC    RUSSIAN FEDERATION
181     Tungsten    CID000825      Japan New Metals Co., Ltd.    JAPAN
182     Tungsten    CID002551      Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA
183     Tungsten    CID002321      Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA
184     Tungsten    CID002318      Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA
185     Tungsten    CID002317      Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA
186     Tungsten    CID000966      Kennametal Fallon    USA
187     Tungsten    CID000105      Kennametal Huntsville    USA
188     Tungsten    CID002589      Niagara Refining LLC    USA
189     Tungsten    CID002543      Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM
190     Tungsten    CID001889      Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM
191     Tungsten    CID002044      Wolfram Bergbau und Hütten AG    AUSTRIA
192     Tungsten    CID002320      Xiamen Tungsten (H.C.) Co., Ltd.    CHINA
193     Tungsten    CID002082      Xiamen Tungsten Co., Ltd.    CHINA

 

11


APPENDIX B

Below is a summary of the minerals used in our products and country of origin information, collected as a result of the Company’s RCOI and due diligence from all the suppliers.

 

CONFLICT
MINERALS

  

SMELTER COUNTRY

TANTALUM

  

AUSTRIA, BRAZIL, CHINA, ESTONIA, GERMANY, INDIA, JAPAN, KAZAKHSTAN, MEXICO, RUSSIAN FEDERATION, THAILAND, UNITED STATES

* Bolivia, Ethiopia, France, Guinea, Guyana, Madagascar, Malaysia, Namibia, Nigeria, Sierra Leone, Zimbabwe, Mozambique, Burundi, Congo (Democratic Republic of), Rwanda

TIN

  

BELGIUM, BOLIVIA, BRAZIL, CHINA, INDONESIA, JAPAN, MALAYSIA, PERU, PHILIPPINES, POLAND, SPAIN, TAIWAN, THAILAND, UNITED STATES, VIETNAM

*Australia, Colombia, Laos, Mongolia, Myanmar, Nigeria, Portugal, Russia, Burundi, Congo (Democratic Republic of), Rwanda,

Uganda

TUNGSTEN

  

AUSTRIA, CHINA, GERMANY, JAPAN, RUSSIAN FEDERATION, UNITED STATES, VIETNAM

* Australia, Cambodia, Canada, Colombia, Mexico, Mongolia, Nigeria, Portugal, Russia, Uzbekistan, Zimbabwe, Burundi

Congo (Democratic Republic of), Rwanda

GOLD

  

AUSTRALIA, AUSTRIA, BELGIUM, BRAZIL, CANADA, CHINA, GERMANY, INDONESIA, ITALY, JAPAN, KOREA (REPUBLIC OF), MEXICO, NETHERLANDS, PHILIPPINES, RUSSIAN FEDERATION, SINGAPORE, SOUTH AFRICA, SPAIN, SWEDEN, SWITZERLAND, TAIWAN, THAILAND, TURKEY, UNITED STATES

 

*

As referenced from CSFI’s RCOI data, some smelters are sourcing directly and indirectly from these countries where tantalum, tin and tungsten from the Democratic Republic of the Congo region have been validated by CFSI as “compliant” with CFSP protocols.