UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
XEROX CORPORATION
(Exact name of registrant as specified in its charter)
| New York | 001-04471 | 16-0468020 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
P. O. Box 4505
45 Glover Avenue
Norwalk, Connecticut
06856-4505
Registrant’s telephone number, including area code: (203) 968-3000
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box to indicate the rule pursuant to which this form is being filed and provide the period to which the information in this form applies:
| x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015. |
Section 1 – Conflicts Minerals Disclosure
Items 1.01 and 1.02 – Conflicts Minerals Disclosure and Report, Exhibit
This Form SD and the Conflict Minerals Report, filed as Exhibit 1.01 hereto, are publicly available on our website under Supplier Relations – Conflict Minerals at www.xerox.com/corporate-citizenship-2015/business/supplier-relations.html as well as the SEC’s EDGAR database at www.sec.gov. The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.
Section 2 – Exhibits
Item 2.01 – Exhibits
Exhibit 1.01 – Conflict Minerals Report for the reporting period January 1, 2015 to December 31, 2015 as required by Items 1.01 and 1.02 of this Form.
Forward Looking Statements
This Specialized Disclosure Report on Form SD and any exhibits to this Report may contain “forward-looking statements” as defined in the Private Securities Litigation Reform Act of 1995. These forward-looking statements and other information are based on our beliefs as well as assumptions made by us using information currently available. The words “anticipate,” “believe,” “estimate,” “expect,” “intend,” “will,” “should,” and similar expressions, as they relate to us, are intended to identify forward-looking statements. These statements reflect our current views with respect to future events and are subject to certain risks, uncertainties and assumptions and are subject to a number of factors that may cause actual results to differ materially. These factors include, but are not limited to: changes in economic conditions, political conditions, trade protection measures, licensing requirements and tax matters in the United States and in the foreign countries in which we do business; changes in foreign currency exchange rates; our ability to successfully develop new products, technologies and service offerings and to protect our intellectual property rights; the risk that multi-year contracts with governmental entities could be terminated prior to the end of the contract term and that civil or criminal penalties and administrative sanctions could be imposed on us if we fail to comply with the terms of such contacts and applicable law; the risk that our bids do not accurately estimate the resources and costs required to implement and service very complex, multi-year governmental and commercial contracts, often in advance of the final determination of the full scope and design of such contracts or as a result of the scope of such contracts being changed during the life of such contracts; the risk that subcontractors, software vendors and utility and network providers will not perform in a timely, quality manner; service interruptions; actions of competitors and our ability to promptly and effectively react to changing technologies and customer expectations; our ability to obtain adequate pricing for our products and services and to maintain and improve cost efficiency of operations, including savings from restructuring actions and the relocation of our service delivery centers; the risk that individually identifiable information of customers, clients and employees could be inadvertently disclosed or disclosed as a result of a breach of our security systems; the risk in the hiring and retention of qualified personnel; the risk that unexpected costs will be incurred; our ability to recover capital investments; the risk that our Services business could be adversely affected if we are unsuccessful in managing the start-up of new contracts; the collectibility of our receivables for unbilled services associated with very large, multi-year contracts; reliance on third parties, including subcontractors, for manufacturing of products and provision of services; our ability to expand equipment placements; interest rates, cost of borrowing and access to credit markets; the risk that our products may not comply with applicable worldwide regulatory requirements, particularly environmental regulations and directives; the outcome of litigation and regulatory proceedings to which we may be a party; the possibility that the proposed separation of the Business Process Outsourcing (BPO) business from the Document Technology and Document Outsourcing business will not be consummated within the anticipated time period or at all, including as the result of regulatory, market or other factors; the potential for disruption to our business in connection with the proposed separation; the potential that the BPO and Document Technology and Document Outsourcing do not realize all of the expected benefits of the separation, and other factors that are set forth in the “Risk Factors” section, the “Legal Proceedings” section, the “Management’s Discussion and Analysis of Financial Condition and Results of Operations” section and other sections of our Quarterly Report on Form 10-Q for the quarter ended March 31, 2016 and our 2015 Annual Report on Form 10-K filed with the Securities and Exchange Commission as well as in our Current Reports on Form 8-K. Xerox assumes no obligation to update any forward-looking statements as a result of new information or future events or developments, except as required by law.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned duly authorized.
Date: May 13, 2016
| XEROX CORPORATION | ||
| By: | /s/ Hervé Tessler | |
| Hervé Tessler | ||
| Senior Vice President | ||
EXHIBIT INDEX
| Exhibit |
Description | |
| 1.01 | Conflict Minerals Report for the reporting period January 1, 2015 to December 31, 2015 | |
Exhibit 1.01
Conflict Minerals Report
Xerox Corporation
For the Year Ended December 31, 2015
This report for the year ended December 31, 2015 is made by Xerox Corporation and its subsidiaries (Xerox) in compliance with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule). The Rule was adopted by the Securities and Exchange Commission (SEC) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite and their derivatives, which are limited to tin, tantalum, tungsten and gold (3TG). These requirements apply to registrants regardless of the geographic origin of the conflict minerals and whether or not the trading in those minerals benefits armed groups.
If a registrant has reason to believe that any of the conflict minerals in their supply chain may have originated in the Democratic Republic of the Congo (DRC) or an adjoining country (the Covered Countries), or a registrant is unable to determine the country of origin of those conflict minerals, then the registrant must exercise due diligence on the source and chain of custody of those conflict minerals. The registrant must annually submit a specialized disclosure (Form SD) and Conflict Minerals Report (CMR) to the SEC that includes a description of those due diligence measures.
| 1. | COMPANY OVERVIEW |
Xerox is a leading enterprise for business process and document management solutions. Its two largest operating segments are Business Process Outsourcing and Document Technology. Xerox’s products include but are not limited to multifunction printers/copiers, scanners, and multifunction/all in one printers, digital printing equipment, production printers & digital presses, continuous feed printers, wide format printers and consumables (e.g., toner cartridges), ticket vending machines, parking payment stations, automated coin machines, in-vehicle units and media information displays. These products are more fully described on our Xerox website, which can be accessed at www.xerox.com.
The content of any website referred to in this CMR is included for general information only and is not incorporated by reference in this Report.
| 2. | OUR CONFLICT MINERALS PROGRAM |
2.1 Supply Chain – Reasonable Country of Origin Inquiry
Xerox is many steps removed from the mining of conflict minerals. The origin of conflict minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other conflict mineral containing derivatives. The 3TG smelters or refiners are consolidating points for raw ore and are in the best position in the total supply chain to know the origin of the ores. Xerox has conducted an analysis of our products and found that, although we do not directly purchase conflict minerals from our suppliers, Xerox purchases products, component parts and materials that contain metals, some of which contain conflict minerals. We rely on our Tier 1 suppliers to provide information on the origin of the conflict minerals contained in components that are included in our products by using the CFSI Conflict Minerals Reporting Template (CMRT), which allows us to perform our Reasonable Country of Origin Inquiry (RCOI).
2.2 Supplier Risk Assessment
Because of the size of our company, the complexity of our products and the depth and breadth of our supply chain, it is difficult to identify sources upstream from our direct suppliers. As a result, Xerox conducted a product review to determine products in scope and developed a supplier risk assessment process, through which the conflict minerals program is implemented, managed and monitored. With a goal of targeting 3TG minerals, this risk assessment process was developed to identify those suppliers whose products may contain the presence of tin, tantalum, tungsten and gold.
We conducted a survey of these suppliers to determine whether the conflict minerals in components contained in our products originated from the DRC or adjoining countries. This supply-chain survey was conducted with our Tier 1 production suppliers using the CMRT, which contains questions about the facilities used to process these minerals, as well
as supplier RCOI. The goal of this activity was to identify, where applicable, the 3TG smelters or refiners who contribute refined conflict minerals to Xerox components, assemblies and Original Equipment Manufacturer (OEM) Products. The CMRT was developed to facilitate disclosure and communication of information regarding smelters or refiners that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters or refiners the company and its suppliers use. Our supplier survey request also included the Conflict Free Sourcing Initiative (CFSI) informational links on available conflict mineral and smelter information. In 2015, Xerox surveyed 362 suppliers with a 60% response rate.
The responses contained varying degrees of information regarding the names and locations of 3TG smelters or refiners which process necessary conflict minerals used by our suppliers, which are ultimately incorporated into our products. We have designed and adopted a risk management plan that summarizes our risk mitigation efforts. Under our risk-assessment process, we perform due diligence reviews of supplier responses for their use of 3TG and conduct follow-up actions on suppliers, encouraging further requests for accurate, complete or missing template information where responses identified red flags based on our risk assessment of the level of risk of the commodities supplied to us.
In 2015, we further refined our process of evaluating the CMRTs to assist with our ongoing risk assessment by analyzing supplier responses and providing feedback to suppliers on errors and corrections. We also provide a hot-line for supplier communication. In addition, we provide monthly reports and quarterly management reviews to our senior management and elevate non-responsive issues as necessary.
2.3 Company Management Systems
Policy
Xerox has adopted a company policy which is posted on our website under Supplier Relations – Conflict Minerals at
www.xerox.com/corporate-citizenship-2015/business/supplier-relations.html.
Internal Team
Xerox has established a management system for conflict minerals. Our management system includes a Senior Management Steering Committee sponsored by the President of Corporate Operations, who reports directly to our CEO and who is responsible for signing the Form SD, as well as senior executives from Global Procurement, Environment Health Safety & Sustainability, Internal Controls and Legal. Our team of functional subject matter experts is responsible for implementing our conflict minerals compliance strategy. Senior management is provided with updates on the program and results of our conflict minerals program efforts on a regular basis.
2.4 Control Systems
Controls include, but are not limited to, our Code of Business Conduct for our employees, our Supplier Code of Conduct (adopted from the Electronic Industry Citizenship Coalition (EICC) code of conduct) and a conflict minerals contract clause incorporated in our Multi-National Master Purchasing Agreement for new contracts.
Xerox worked with the EICC in the early stages to support the CFSI and continues to be a member of the CFSI, a group assisting in the development of tools and processes to improve conflict minerals due diligence, which is an EICC and Global eSustainability initiative. As outlined in the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas; 2nd Edition (OECD 2013), the internationally recognized standard on which our company’s system is based, we support an industry initiative, the CFSI, that audits smelters’ and refiners’ due diligence activities. The data on which we relied for certain statements in this declaration was obtained through our membership in the CFSI, using the CFSI Compliant Smelter Sourcing Information Report created specifically for Xerox.
In addition, our current standard supplier contracts also require our suppliers to adopt a policy on the responsible sourcing of minerals, implement due diligence processes to support that policy, and complete and return to Xerox the CFSI CMRT.
2.5 Grievance Mechanism
We have multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of Xerox policies. This is communicated annually in our employee code of ethics training process and the supplier ethics letter. This mechanism helps us to identify and assess risk.
2
| 3. | DUE DILIGENCE |
3.1 Design of Due Diligence
Xerox designed its due diligence measures to be in conformity, in all material respects, with the nationally or internationally recognized due diligence framework in the OECD 2013.
3.2 Smelter or Refiner Results*
Our due diligence process includes participation in CFSI and following the OECD implementation framework. We requested that our suppliers complete the CMRT survey in order to obtain information about 3TG smelters or refiners in our supply chain. We have determined that these actions represent the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.
The majority of survey responses provided smelter and refiner data, although some responses did not completely list all the smelters or refiners used in their supply chain. We analyzed and compared all the 3TG smelter and refiner data we received against information obtained from the CFSI smelter database. For the calendar year 2015, our due diligence identified 463 smelters and refiners as potential sources of 3TG minerals that were reported to be in our supply chain.
In order to provide compliance status, we completed further analysis of the 463 smelters and refiners, of which 225 have been certified as conflict-free compliant by the CFSI approved program. An additional 78 are known to be legitimate smelters whom the CFSI outreach program is working to engage in their audit program, but have yet to be certified. The remaining 160 are alleged smelters which have been allocated a Smelter Identification CID number and are awaiting validation through the CFSI audit program.
| * | Note: The data above was obtained from the non-public (member only access) CFSI Data Exchange Forum as of 2/29/2016. |
Smelters or refiners verified as conflict-free or in the audit process**
| Tantalum |
47 of 55 (85%) | |||
| Tin |
84 of 172 (49%) | |||
| Tungsten |
43 of 60 (72%) | |||
| Gold |
129 of 176 (73%) | |||
|
|
|
|||
| Total |
303 of 463 (65%) | |||
|
|
|
| ** | Note: CFSI compliance results are as of 2/29/2016 (available at http://www.conflictfreesourcing.org). |
| 4. | DETERMINATION |
The information received from our due diligence efforts from suppliers or other sources is not sufficient to determine the origin of all 3TG our products contain, whether the 3TG come from recycled or scrap sources, the facilities used to process them, their country of origin, or their mine or location of origin. We have found no reasonable basis for concluding that these refiners, or the other smelters preparing to be audited, sourced 3TG minerals that directly or indirectly finance or benefit armed groups of the conflict region of the Covered Countries.
Based on the information provided by our suppliers, we believe that the facilities that may have been used to process the 3TG minerals in our products include the CFSI compliant smelters listed in Appendix I below. Based on our due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the 3TG minerals in our products or whether the 3TG minerals in our products are from recycled or scrap sources. However, based on the information provided by our suppliers, as well as from the CFSI and other sources, we believe that the countries of origin of the 3TG minerals contained in our products include the countries listed in Appendix II below as well as recycled and scrap sources. Pursuant to the Rule, this report is not subject to an independent private sector audit.
3
Through our participation in the CFSI, we continue to support independent third party audits through the CFSI or other third party certification schemes.
In accordance with the OECD Guidance and the Rule, this CMR is available on our website under Supplier Relations – Conflict Minerals at www.xerox.com/corporate-citizenship-2015/business/supplier-relations.html.
| 5. | STEPS TO BE TAKEN IN 2016 TO MITIGATE RISK |
Xerox plans to undertake the following steps during 2016 to improve the due diligence conducted in order to further mitigate the risk that the necessary conflict minerals in our products do not benefit armed groups in the DRC or adjoining countries, including:
| • | Continue to strengthen engagement with relevant suppliers and to provide training, as appropriate, to help them understand and satisfy Xerox requirements related to 3TG minerals under the Rule. |
| • | Continue using internal elevation process within our supply chain organization in working (or requiring) with suppliers to obtain required information. |
| • | Review third party programs to further improve our conflict mineral process in obtaining accurate and complete information about smelters/refiners. |
| • | Continue to provide ongoing feedback to suppliers on errors and corrections required in connection with the CMRT assessment. |
| • | Continue to participate as a member in the EICC and the CFSI, including Conflict Free Smelter Program smelter validation and supplier outreach. |
| • | Continue to work with the OECD and relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance. |
4
APPENDIX I
| Mineral |
Smelter or Refiner Name* |
Country Location of | ||
|
Gold |
Aida Chemical Industries Co., Ltd. | Japan | ||
| Gold |
Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | ||
| Gold |
AngloGold Ashanti Córrego do Sítio Mineração | Brazil | ||
| Gold |
Argor-Heraeus S.A. | Switzerland | ||
| Gold |
Asahi Pretec Corp. | Japan | ||
| Gold |
Asahi Refining Canada Ltd. | Canada | ||
| Gold |
Asahi Refining USA Inc. | USA | ||
| Gold |
Asaka Riken Co., Ltd. | Japan | ||
| Gold |
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | ||
| Gold |
Aurubis AG | Germany | ||
| Gold |
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | ||
| Gold |
Boliden AB | Sweden | ||
| Gold |
C. Hafner GmbH + Co. KG | Germany | ||
| Gold |
CCR Refinery – Glencore Canada Corporation | Canada | ||
| Gold |
Chimet S.p.A. | Italy | ||
| Gold |
DODUCO GmbH | Germany | ||
| Gold |
Dowa | Japan | ||
| Gold |
Eco-System Recycling Co., Ltd. | Japan | ||
| Gold |
Elemetal Refining, LLC | USA | ||
| Gold |
Emirates Gold DMCC | United Arab Emirates | ||
| Gold |
Heimerle + Meule GmbH | Germany, Austria | ||
| Gold |
Heraeus Ltd. Hong Kong | China | ||
| Gold |
Heraeus Precious Metals GmbH & Co. KG | Germany | ||
| Gold |
Ishifuku Metal Industry Co., Ltd. | Japan | ||
| Gold |
Istanbul Gold Refinery | Turkey | ||
| Gold |
Japan Mint | Japan | ||
| Gold |
Jiangxi Copper Co., Ltd. | China | ||
| Gold |
JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russia | ||
| Gold |
JSC Uralelectromed | Russia | ||
| Gold |
JX Nippon Mining & Metals Co., Ltd. | Japan | ||
| Gold |
Kazzinc | Kazakhstan | ||
| Gold |
Kennecott Utah Copper LLC | USA | ||
| Gold |
Kojima Chemicals Co., Ltd. | Japan | ||
| Gold |
L’ azurde Company For Jewelry | Japan | ||
| Gold |
LS-NIKKO Copper Inc. | Korea | ||
| Gold |
Materion | USA | ||
| Gold |
Matsuda Sangyo Co., Ltd. | Japan | ||
| Gold |
Metalor Technologies (Hong Kong) Ltd. | China | ||
| Gold |
Metalor Technologies (Singapore) Pte., Ltd. | Singapore | ||
| Gold |
Metalor Technologies S.A. | Switzerland |
A-1
| Mineral |
Smelter or Refiner Name* |
Country Location of | ||
| Gold |
Metalor USA Refining Corporation | USA | ||
| Gold |
Metalúrgica Met-Mex Peñoles S.A. De C.V. | Mexico | ||
| Gold |
Mitsubishi Materials Corporation | Japan | ||
| Gold |
Mitsui Mining and Smelting Co., Ltd. | Japan | ||
| Gold |
MMTC-PAMP India Pvt., Ltd. | India | ||
| Gold |
Moscow Special Alloys Processing Plant | Moscow | ||
| Gold |
Nadir Metal Rafineri San. Ve Tic. A.Ş. | Turkey | ||
| Gold |
Nihon Material Co., Ltd. | Japan | ||
| Gold |
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | Austria | ||
| Gold |
Ohura Precious Metal Industry Co., Ltd. | Japan | ||
| Gold |
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | Russia | ||
| Gold |
OJSC Novosibirsk Refinery | Russia | ||
| Gold |
PAMP S.A. | Switzerland | ||
| Gold |
Prioksky Plant of Non-Ferrous Metals | Russia | ||
| Gold |
PT Aneka Tambang (Persero) Tbk | Indonesia | ||
| Gold |
PX Précinox S.A. | Switzerland | ||
| Gold |
Rand Refinery (Pty) Ltd. | South Africa | ||
| Gold |
Republic Metals Corporation | USA | ||
| Gold |
Royal Canadian Mint | Canada | ||
| Gold |
Schone Edelmetaal B.V. | The Netherlands | ||
| Gold |
SEMPSA Joyería Platería S.A. | Spain | ||
| Gold |
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | ||
| Gold |
Sichuan Tianze Precious Metals Co., Ltd. | China | ||
| Gold |
Singway Technology Co., Ltd. | Taiwan | ||
| Gold |
SOE Shyolkovsky Factory of Secondary Precious Metals | Russia | ||
| Gold |
Solar Applied Materials Technology Corp. | Taiwan | ||
| Gold |
Sumitomo Metal Mining Co., Ltd. | Japan | ||
| Gold |
T.C.A S.p.A | Italy | ||
| Gold |
Tanaka Kikinzoku Kogyo K.K. | Japan | ||
| Gold |
The Refinery of Shandong Gold Mining Co., Ltd. | China | ||
| Gold |
Tokuriki Honten Co., Ltd. | Japan | ||
| Gold |
Umicore Brasil Ltda. | Brazil | ||
| Gold |
Umicore Precious Metals Thailand | Thailand | ||
| Gold |
Umicore S.A. Business Unit Precious Metals Refining | Belgium | ||
| Gold |
United Precious Metal Refining, Inc. | USA | ||
| Gold |
Valcambi S.A. | Switzerland | ||
| Gold |
Western Australian Mint trading as The Perth Mint | Australia | ||
| Gold |
Yamamoto Precious Metal Co., Ltd. | Japan | ||
| Gold |
Yokohama Metal Co., Ltd. | Japan | ||
| Gold |
Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | ||
|
Gold |
Zijin Mining Group Co., Ltd. Gold Refinery | China | ||
| Tantalum |
Changsha South Tantalum Niobium Co., Ltd. | China | ||
| Tantalum |
Conghua Tantalum and Niobium Smeltry | China |
A-2
| Mineral |
Smelter or Refiner Name* |
Country Location of | ||
| Tantalum |
D Block Metals, LLC | China | ||
| Tantalum |
Duoluoshan | China | ||
| Tantalum |
Exotech Inc. | USA | ||
| Tantalum |
F&X Electro-Materials Ltd. | China | ||
| Tantalum |
FIR Metals & Resource Ltd. | China | ||
| Tantalum |
Global Advanced Metals Aizu | Japan | ||
| Tantalum |
Global Advanced Metals Boyertown | USA | ||
| Tantalum |
Guangdong Zhiyuan New Material Co., Ltd. | China | ||
| Tantalum |
H.C. Starck Co., Ltd. | Thailand | ||
| Tantalum |
H.C. Starck GmbH Goslar | Germany | ||
| Tantalum |
H.C. Starck GmbH Laufenburg | Germany | ||
| Tantalum |
H.C. Starck Hermsdorf GmbH | Germany | ||
| Tantalum |
H.C. Starck Inc. | USA | ||
| Tantalum |
H.C. Starck Ltd. | Japan | ||
| Tantalum |
H.C. Starck Smelting GmbH & Co. KG | Germany | ||
| Tantalum |
Hengyang King Xing Lifeng New Materials Co., Ltd. | China | ||
| Tantalum |
Hi-Temp Specialty Metals, Inc. | USA | ||
| Tantalum |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | ||
| Tantalum |
JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | ||
| Tantalum |
Jiujiang Tanbre Co., Ltd. | China | ||
| Tantalum |
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | ||
| Tantalum |
KEMET Blue Metals | Mexico | ||
| Tantalum |
KEMET Blue Powder | USA | ||
| Tantalum |
King-Tan Tantalum Industry Ltd. | China | ||
| Tantalum |
LSM Brasil S.A. | Brazil | ||
| Tantalum |
Metallurgical Products India Pvt., Ltd. | India | ||
| Tantalum |
Mineração Taboca S.A. | Brazil | ||
| Tantalum |
Mitsui Mining & Smelting | Japan | ||
| Tantalum |
Molycorp Silmet A.S. | Estonia | ||
| Tantalum |
Ningxia Orient Tantalum Industry Co., Ltd. | China | ||
| Tantalum |
Plansee SE Liezen | Austria | ||
| Tantalum |
Plansee SE Reutte | Austria | ||
| Tantalum |
QuantumClean | USA | ||
| Tantalum |
Resind Indústria e Comércio Ltda. | Brazil | ||
| Tantalum |
RFH Tantalum Smeltry Co., Ltd. | China | ||
| Tantalum |
Solikamsk Magnesium Works OAO | Russia | ||
| Tantalum |
Taki Chemicals | Japan | ||
| Tantalum |
Telex Metals | USA | ||
| Tantalum |
Tranzact, Inc. | USA | ||
| Tantalum |
Ulba Metallurgical Plant JSC | Kazakhstan | ||
| Tantalum |
XinXing HaoRong Electronic Material Co., Ltd. | China | ||
| Tantalum |
Yichun Jin Yang Rare Metal Co., Ltd. | China | ||
| Tantalum |
Zhuzhou Cemented Carbide | China |
A-3
| Mineral |
Smelter or Refiner Name* |
Country Location of | ||
|
Tin |
Alpha | USA | ||
| Tin |
China Tin Group Co., Ltd. | China | ||
| Tin |
Cooperativa Metalurgica de Rondônia Ltda. | Brazil | ||
| Tin |
CV Ayi Jaya | Indonesia | ||
| Tin |
CV Gita Pesona | Indonesia | ||
| Tin |
CV Serumpun Sebalai | Indonesia | ||
| Tin |
CV United Smelting | Indonesia | ||
| Tin |
CV Venus Inti Perkasa | Indonesia | ||
| Tin |
Dowa | Japan | ||
| Tin |
Elmet S.L.U. (Metallo Group) | Spain | ||
| Tin |
EM Vinto | Bolivia | ||
| Tin |
Fenix Metals | Poland | ||
| Tin |
Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | ||
| Tin |
Jiangxi Ketai Advanced Material Co., Ltd. | China | ||
| Tin |
Magnu’s Minerais Metais e Ligas Ltda. | Brazil | ||
| Tin |
Malaysia Smelting Corporation (MSC) | Malaysia | ||
| Tin |
Melt Metais e Ligas S.A. | Brazil | ||
| Tin |
Metallic Resources, Inc. | USA | ||
| Tin |
Metallo-Chimique N.V. | Belgium | ||
| Tin |
Mineração Taboca S.A. | Brazil | ||
| Tin |
Minsur | Perú | ||
| Tin |
Mitsubishi Materials Corporation | Japan | ||
| Tin |
O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | ||
| Tin |
O.M. Manufacturing Philippines, Inc. | Philippines | ||
| Tin |
Operaciones Metalurgical S.A. | Bolivia | ||
| Tin |
PT Aries Kencana Sejahtera | Indonesia | ||
| Tin |
PT Artha Cipta Langgeng | Indonesia | ||
| Tin |
PT ATD Makmur Mandiri Jaya | Indonesia | ||
| Tin |
PT Babel Inti Perkasa | Indonesia | ||
| Tin |
PT Bangka Prima Tin | Indonesia | ||
| Tin |
PT Bangka Tin Industry | Indonesia | ||
| Tin |
PT Belitung Industri Sejahtera | Indonesia | ||
| Tin |
PT BilliTin Makmur Lestari | Indonesia | ||
| Tin |
PT Bukit Timah | Indonesia | ||
| Tin |
PT Cipta Persada Mulia | Indonesia | ||
| Tin |
PT DS Jaya Abadi | Indonesia | ||
| Tin |
PT Eunindo Usaha Mandiri | Indonesia | ||
| Tin |
PT Inti Stania Prima | Indonesia | ||
| Tin |
PT Justindo | Indonesia | ||
| Tin |
PT Mitra Stania Prima | Indonesia | ||
| Tin |
PT Panca Mega Persada | Indonesia | ||
| Tin |
PT Prima Timah Utama | Indonesia | ||
| Tin |
PT Refined Bangka Tin | Indonesia |
A-4
| Mineral |
Smelter or Refiner Name* |
Country Location of | ||
|
Tin |
PT Sariwiguna Binasentosa | Indonesia | ||
| Tin |
PT Stanindo Inti Perkasa | Indonesia | ||
| Tin |
PT Sukses Inti Makmur | Indonesia | ||
| Tin |
PT Sumber Jaya Indah | Indonesia | ||
| Tin |
PT Timah (Persero) Tbk Kundur | Indonesia | ||
| Tin |
PT Timah (Persero) Tbk Mentok | Indonesia | ||
| Tin |
PT Tinindo Inter Nusa | Indonesia | ||
| Tin |
PT Tommy Utama | Indonesia | ||
| Tin |
PT Wahana Perkit Jaya | Indonesia | ||
| Tin |
Resind Indústria e Comércio Ltda. | Brazil | ||
| Tin |
Rui Da Hung | Taiwan | ||
| Tin |
Soft Metais Ltda. | Brazil | ||
| Tin |
Thaisarco | Thailand | ||
| Tin |
VQB Mineral and Trading Group JSC | Vietnam | ||
| Tin |
White Solder Metalurgia e Mineração Ltda. | Brazil | ||
| Tin |
Yunnan Tin Company Limited | China | ||
| Tungsten |
A.L.M.T. TUNGSTEN Corp. | Japan | ||
| Tungsten |
Asia Tungsten Products Vietnam Ltd. | Vietnam | ||
| Tungsten |
Chenzhou Diamond Tungsten Products Co., Ltd. | China | ||
| Tungsten |
Chongyi Zhangyuan Tungsten Co., Ltd. | China | ||
| Tungsten |
Dayu Jincheng Tungsten Industry Co., Ltd. | China | ||
| Tungsten |
Dayu Weiliang Tungsten Co., Ltd. | China | ||
| Tungsten |
Fujian Jinxin Tungsten Co., Ltd. | China | ||
| Tungsten |
Ganzhou Huaxing Tungsten Products Co., Ltd. | China | ||
| Tungsten |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | ||
| Tungsten |
Ganzhou Non-ferrous Metals Smelting Co., Ltd. | China | ||
| Tungsten |
Ganzhou Seadragon W & Mo Co., Ltd. | China | ||
| Tungsten |
Ganzhou Yatai Tungsten Co., Ltd. | China | ||
| Tungsten |
Global Tungsten & Powders Corp. | USA | ||
| Tungsten |
Guangdong Xianglu Tungsten Co., Ltd. | China | ||
| Tungsten |
H.C. Starck GmbH | Germany | ||
| Tungsten |
H.C. Starck Smelting GmbH & Co.KG | Germany | ||
| Tungsten |
Hunan Chenzhou Mining Co., Ltd. | China | ||
| Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China | ||
| Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | China | ||
| Tungsten |
Hunan Chunchang Nonferrous Metals Co., Ltd. | China | ||
| Tungsten |
Hydrometallurg, JSC | Russia | ||
| Tungsten |
Japan New Metals Co., Ltd. | Japan | ||
| Tungsten |
Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | ||
| Tungsten |
Jiangxi Gan Bei Tungsten Co., Ltd. | China | ||
| Tungsten |
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | ||
| Tungsten |
Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | ||
| Tungsten |
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | China |
A-5
| Mineral |
Smelter or Refiner Name* |
Country Location of | ||
| Tungsten |
Jiangxi Yaosheng Tungsten Co., Ltd. | China | ||
| Tungsten |
Kennametal Fallon | USA | ||
| Tungsten |
Kennametal Huntsville | USA | ||
| Tungsten |
Malipo Haiyu Tungsten Co., Ltd. | China | ||
| Tungsten |
Niagara Refining LLC | USA | ||
| Tungsten |
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Vietnam | ||
| Tungsten |
Pobedit, JSC | Russia | ||
| Tungsten |
Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam | ||
| Tungsten |
Vietnam Youngsun Tungsten Industry Co., Ltd. | Vietnam | ||
| Tungsten |
Wolfram Bergbau und Hütten AG | Austria | ||
| Tungsten |
Xiamen Tungsten (H.C.) Co., Ltd. | China | ||
| Tungsten |
Xiamen Tungsten Co., Ltd. | China | ||
| Tungsten |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China |
| * | Smelter or refiner names as reported by the CFSI as of 02/29/2016. |
A-6
APPENDIX II
| Countries of origin of Smelters or Refiners are believed to include: | ||
| Angola |
Namibia | |
| Argentina |
Netherlands | |
| Australia |
Nigeria | |
| Austria |
Peru | |
| Belgium |
Portugal | |
| Bolivia |
Republic of Congo | |
| Brazil |
Russia | |
| Burundi |
Rwanda | |
| Cambodia |
Sierra Leone | |
| Canada |
Singapore | |
| Central African Republic |
Slovakia | |
| Chile |
South Africa | |
| China |
South Korea | |
| Colombia |
South Sudan | |
| Côte D’Ivoire |
Spain | |
| Czech Republic |
Suriname | |
| Democratic Republic of Congo |
Switzerland | |
| Djibouti |
Taiwan | |
| Ecuador |
Tanzania | |
| Egypt |
Thailand | |
| Estonia |
Uganda | |
| Ethiopia |
United Kingdom | |
| France |
United States of America | |
| Germany |
Vietnam | |
| Guyana |
Zambia | |
| Hungary |
Zimbabwe | |
| India |
||
| Indonesia |
||
| Ireland |
||
| Israel |
||
| Japan |
||
| Kazakhstan |
||
| Kenya |
||
| Laos |
||
| Luxembourg |
||
| Madagascar |
||
| Malaysia |
||
| Mongolia |
||
| Mozambique |
||
| Myanmar |
||
A-7