Form SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

 

 

LOGO

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

201 Merritt 7

Norwalk, Connecticut

06851-1056

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, 2018.

 

 

 


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 Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance 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.

Xerox Corporation (Xerox) is a print technology and intelligent work solutions leader focused on helping people communicate and work better. We apply our expertise in imaging and printing, data analytics, and the development of secure and automated solutions to help our customers improve productivity and increase client satisfaction. In 2018, Xerox’s products included but were 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).

Section 2 - Exhibits

Item 2.01 - Exhibits

Exhibit 1.01 - Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018 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. The words “anticipate”, “believe”, “estimate”, “expect”, “intend”, “will”, “should”, “targeting”, “projecting”, “driving” and similar expressions, as they relate to us, our performance and/or our technology, are intended to identify forward-looking statements. These statements reflect management’s current beliefs, assumptions and expectations and are subject to a number of factors that may cause actual results to differ materially. Such factors include but are not limited to: our ability to address our business challenges in order to reverse revenue declines, reduce costs and increase productivity so that we can invest in and grow our business; our ability to attract and retain key personnel; changes in economic and political conditions, trade protection measures, licensing requirements and tax laws in the United States and in the foreign countries in which we do business; the imposition of new or incremental trade protection measures such as tariffs and import or export restrictions; 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 contracts and applicable law; the risk that partners, subcontractors and software vendors will not perform in a timely, quality manner; 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; the risk that confidential and/or individually identifiable information of ours, our customers, clients and employees could be inadvertently disclosed or disclosed as a result of a breach of our security systems due to cyber attacks or other intentional acts; reliance on third parties, including subcontractors, for manufacturing of products and provision of services; the exit of the United Kingdom from the European Union; our ability to manage changes in the printing environment and expand equipment placements; interest rates, cost of borrowing and access to credit markets; funding requirements associated with our employee pension and retiree health benefit plans; the risk that our operations and products may not comply with applicable worldwide regulatory requirements, particularly environmental regulations and directives and anti-corruption laws; the outcome of litigation and regulatory proceedings to which we may be a party; any potential termination or restructuring of our relationship with Fujifilm Holdings Corporation; the proposed holding company reorganization; the occurrence and timing of any closing of the proposed holding

 

2


company reorganization; the shared services arrangements entered into by the Company as part of Project Own It; any potential strategic transaction involving our customer financing business and/or related assets; 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 Reports on Form 10-Q and our 2018 Annual Report on Form 10-K, as well as our Current Reports on Form 8-K filed with the Securities and Exchange Commission (SEC). Our forward-looking statements are also subject to the factors and other information set forth in the “Summary of the Holding Company Reorganization Proposal” section, the “Risk Factors” section and the “Proposal 1 - Approval of the Holding Company Reorganization” section of our definitive Joint Proxy Statement/Prospectus dated April 22, 2019 filed on Schedule 14A with the SEC. These forward-looking statements speak only as of the date of this Report or as of the date to which they refer, and 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.

 

3


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 17, 2019

 

XEROX CORPORATION
By:  

/s/ Steven J. Bandrowczak

 

Steven J. Bandrowczak

President and Chief Operations Officer

 

4


EXHIBIT INDEX

 

Exhibit

Number

  

Description

1.01    Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018

 

5

Exhibit 1.01

Exhibit 1.01

Conflict Minerals Report

 

 

LOGO

Xerox Corporation

For the Year Ended December 31, 2018

This report for the year ended December 31, 2018 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 Corporation (Xerox) is a print technology and intelligent work solutions leader focused on helping people communicate and work better. We apply our expertise in imaging and printing, data analytics, and the development of secure and automated solutions to help our customers improve productivity and increase client satisfaction. In 2018, Xerox’s products included but were 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). Xerox 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 RMI 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 Responsible Minerals Initiative (RMI), informational links on available conflict mineral and smelter information. In 2018, Xerox surveyed 216 suppliers with a 61% response rate, estimated to represent over 58% of our 2018 spend with production suppliers.

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 2018, we continued to refine 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 systematic 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 Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance

Internal Team

Xerox has established a management system for conflict minerals. Our management system includes a Senior Management Steering Committee sponsored by the Chief Operations Officer 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, and Legal. Our team of functional subject matter experts is responsible for implementing our conflict minerals compliance strategy. Senior management is provided with updates and results of our conflict minerals program efforts on a regular basis.

 

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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 Responsible Business Alliance (RBA), and a conflict minerals contract clause incorporated in our Multi-National Master Purchasing Agreement for new contracts.

Xerox worked with the RBA in the early stages to support the RMI and continues to be a member of the RMI, a group assisting in the development of tools and processes to improve conflict minerals due diligence, which is an RBA 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, 3RD Edition, (OECD 2016), which is the internationally recognized standard on which our company’s system is based. We support the RMI, an industry initiative 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 RMI, using the RMI 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 RMI 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.

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 2016.

3.2 Smelter or Refiner Results*

Our due diligence process includes participation in RMI 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 RMI smelter database. For the calendar year 2018, our due diligence identified 397 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 397 smelters and refiners, of which 254 have been certified as conflict-free compliant by the RMI approved program. An additional 61 are known to be legitimate smelters whom the RMI outreach program is working to engage in their audit program but have yet to be certified. Four additional smelters were determined to be “non-compliant” to the RMI audit protocol. Of these three smelter did not complete re-audit / corrective action plans within the required timeframe. Additionally, one was assessed as non-compliant after review of their audit submission. We will advise our supply chain accordingly. The remaining 78 are alleged smelters which have been allocated a Smelter Identification CID number and are awaiting validation through the RMI audit program.

*Note: The data above was obtained from the non-public (member only access) RMI Data Exchange Forum as of 12/31/2018.

 

3


Smelters or refiners verified as conflict-free or in the audit process**

**Note: RMI compliance results are as of 12/31/2018 (available at http://www.responsiblemineralsinitiative.org/).

 

     2014     2015     2016     2017     2018  

Tantalum

     34 of 45 (75%     47 of 55 (85%     47 of 53 (89%     41 of 45 (91%     40 of 43 (93%

Tin

     51 of 253 (20%     84 of 172 (49%     82 of 152 (54%     79 of 129 (61%     84 of 124 (68%

Tungsten

     32 of 51 (63%     43 of 60 (72%     43 of 49 (88%     45 of 51 (88%     44 of 49 (90%

Gold

     71 of 206 (34%     129 of 176 (73%     139 of 183 (76%     143 of 180 (79%     147 of 181 (81%

Total

     188 of 555 (34%     303 of 463 (65%     311 of 437 (71%     308 of 405 (76%     315 of 397 (79%

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 RMI 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 RMI 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.

Through our participation in the RMI, we continue to support independent third party audits through the RMI or other third party certification schemes.

In accordance with the OECD Guidance and the Rule, this CMR is available on our website under Supplier Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance.

5. STEPS TO BE TAKEN IN 2019 TO MITIGATE RISK

Xerox plans to undertake the following steps during 2019 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 to review the process with distributors submitting CMRT’s and develop best practices in obtaining 3TG mineral data.

 

   

Continue using internal escalation process within our supply chain organization when working with suppliers to obtain required information.

 

   

Benchmark third party programs and selected industry leader to assist in obtaining accurate and complete information about smelters/refiners in 2019.

 

   

Continue to provide ongoing feedback to suppliers on errors and corrections required in connection with the CMRT assessment.

 

4


   

Notify supplier of non-compliant smelter within their supply chain

 

   

Continue to participate as a member in the RBA and the RMI, including Conflict Free Smelter Program smelter validation and supplier outreach.

 

   

Engage suppliers reporting the use of unique alleged smelters in 2018. This is where only one supplier is listing the use of a smelter in the Xerox supply chain, and request they review to validate this is an active smelter / refiner.

 

   

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.

 

 

 

5


APPENDIX 1

 

Mineral

  

Smelter or Refiner Name*

 

Country location of

 Smelter or Refiner

Gold                

  

Advanced Chemical Company

 

UNITED STATES OF AMERICA

Gold

  

Aida Chemical Industries Co., Ltd.

 

JAPAN

Gold

  

Allgemeine Gold-und Silberscheideanstalt A.G.

 

GERMANY

Gold

  

Almalyk Mining and Metallurgical Complex (AMMC)

 

UZBEKISTAN

Gold

  

AngloGold Ashanti Corrego do Sitio Mineracao

 

BRAZIL

Gold

  

Argor-Heraeus S.A.

 

SWITZERLAND

Gold

  

Asahi Pretec Corp.

 

JAPAN

Gold

  

Asaka Riken Co., Ltd.

 

JAPAN

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

  

Cendres + Metaux S.A.

 

SWITZERLAND

Gold

  

Chimet S.p.A.

 

ITALY

Gold

  

Daejin Indus Co., Ltd.

 

KOREA, REPUBLIC OF

Gold

  

DSC (Do Sung Corporation)

 

KOREA, REPUBLIC OF

Gold

  

DODUCO Contacts and Refining GmbH

 

GERMANY

Gold

  

Dowa

 

JAPAN

Gold

  

Eco-System Recycling Co., Ltd.

 

JAPAN

Gold

  

OJSC Novosibirsk Refinery

 

RUSSIAN FEDERATION

Gold

  

HeeSung Metal Ltd.

 

KOREA, REPUBLIC OF

Gold

  

Heimerle + Meule GmbH

 

GERMANY

Gold

  

Heraeus Metals Hong Kong Ltd.

 

CHINA

Gold

  

Heraeus Precious Metals GmbH & Co. KG

 

GERMANY

Gold

  

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

 

CHINA

Gold

  

Ishifuku Metal Industry Co., Ltd.

 

JAPAN

Gold

  

Istanbul Gold Refinery

 

TURKEY

Gold

  

Japan Mint

 

JAPAN

Gold

  

Jiangxi Copper Co., Ltd.

 

CHINA

Gold

  

Asahi Refining USA Inc.

 

UNITED STATES OF AMERICA

Gold

  

Asahi Refining Canada Ltd.

 

CANADA

Gold

  

JSC Uralelectromed

 

RUSSIAN FEDERATION

Gold

  

JX Nippon Mining & Metals Co., Ltd.

 

JAPAN

Gold

  

Kazzinc

 

KAZAKHSTAN

Gold

  

Kennecott Utah Copper LLC

 

UNITED STATES OF AMERICA

Gold

  

Kojima Chemicals Co., Ltd.

 

JAPAN

Gold

  

Kyrgyzaltyn JSC

 

KYRGYZSTAN


Mineral

  

Smelter or Refiner Name*

 

Country location of

 Smelter or Refiner

Gold

  

LS-NIKKO Copper Inc.

 

KOREA, REPUBLIC OF

Gold

  

Materion

 

UNITED STATES OF AMERICA

Gold

  

Matsuda Sangyo Co., Ltd.

 

JAPAN

Gold

  

Metalor Technologies (Suzhou) Ltd.

 

CHINA

Gold

  

Metalor Technologies (Hong Kong) Ltd.

 

CHINA

Gold

  

Metalor Technologies (Singapore) Pte., Ltd.

 

SINGAPORE

Gold

  

Metalor Technologies S.A.

 

SWITZERLAND

Gold

  

Metalor USA Refining Corporation

 

UNITED STATES OF AMERICA

Gold

  

Metalurgica Met-Mex Penoles S.A. De C.V.

 

MEXICO

Gold

  

Mitsubishi Materials Corporation

 

JAPAN

Gold

  

Mitsui Mining and Smelting Co., Ltd.

 

JAPAN

Gold

  

Moscow Special Alloys Processing Plant

 

RUSSIAN FEDERATION

Gold

  

Nadir Metal Rafineri San. Ve Tic. A.S.

 

TURKEY

Gold

  

Nihon Material Co., Ltd.

 

JAPAN

Gold

  

Ohura Precious Metal Industry Co., Ltd.

 

JAPAN

Gold

  

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

 

RUSSIAN FEDERATION

Gold

  

PAMP S.A.

 

SWITZERLAND

Gold

  

Prioksky Plant of Non-Ferrous Metals

 

RUSSIAN FEDERATION

Gold

  

PT Aneka Tambang (Persero) Tbk

 

INDONESIA

Gold

  

PX Precinox S.A.

 

SWITZERLAND

Gold

  

Rand Refinery (Pty) Ltd.

 

SOUTH AFRICA

Gold

  

Royal Canadian Mint

 

CANADA

Gold

  

Samduck Precious Metals

 

KOREA, REPUBLIC OF

Gold

  

SEMPSA Joyeria Plateria S.A.

 

SPAIN

Gold

  

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

CHINA

Gold

  

Sichuan Tianze Precious Metals Co., Ltd.

 

CHINA

Gold

  

SOE Shyolkovsky Factory of Secondary Precious Metals

 

RUSSIAN FEDERATION

Gold

  

Solar Applied Materials Technology Corp.

 

TAIWAN, PROVINCE OF CHINA

Gold

  

Sumitomo Metal Mining Co., Ltd.

 

JAPAN

Gold

  

Tanaka Kikinzoku Kogyo K.K.

 

JAPAN

Gold

  

The Refinery of Shandong Gold Mining Co., Ltd.

 

CHINA

Gold

  

Tokuriki Honten Co., Ltd.

 

JAPAN

Gold

  

Torecom

 

KOREA, REPUBLIC OF

Gold

  

Umicore Brasil Ltda.

 

BRAZIL

Gold

  

Umicore S.A. Business Unit Precious Metals Refining

 

BELGIUM

Gold

  

United Precious Metal Refining, Inc.

 

UNITED STATES OF AMERICA

Gold

  

Valcambi S.A.

 

SWITZERLAND

Gold

  

Western Australian Mint (T/a The Perth Mint)

 

AUSTRALIA

Gold

  

Yamakin Co., Ltd.

 

JAPAN

 

A-2


Mineral

  

Smelter or Refiner Name*

 

Country location of

 Smelter or Refiner

Gold

  

Yokohama Metal Co., Ltd.

 

JAPAN

Gold

  

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

CHINA

Gold

  

Gold Refinery of Zijin Mining Group Co., Ltd.

 

CHINA

Gold

  

Umicore Precious Metals Thailand

 

THAILAND

Gold

  

Geib Refining Corporation

 

UNITED STATES OF AMERICA

Gold

  

MMTC-PAMP India Pvt., Ltd.

 

INDIA

Gold

  

Republic Metals Corporation

 

UNITED STATES OF AMERICA

Gold

  

Singway Technology Co., Ltd.

 

TAIWAN, PROVINCE OF CHINA

Gold

  

Al Etihad Gold Refinery DMCC

 

UNITED ARAB EMIRATES

Gold

  

Emirates Gold DMCC

 

UNITED ARAB EMIRATES

Gold

  

T.C.A S.p.A

 

ITALY

Gold

  

REMONDIS PMR B.V.

 

NETHERLANDS

Gold

  

Korea Zinc Co., Ltd.

 

KOREA, REPUBLIC OF

Gold

  

Marsam Metals

 

BRAZIL

Gold

  

SAAMP

 

FRANCE

Gold

  

8853 S.p.A.

 

ITALY

Gold

  

Italpreziosi

 

ITALY

Gold

  

SAXONIA Edelmetalle GmbH

 

GERMANY

Gold

  

WIELAND Edelmetalle GmbH

 

GERMANY

Gold

  

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

 

AUSTRIA

Gold

  

AU Traders and Refiners

 

SOUTH AFRICA

Gold

  

SungEel HiMetal Co., Ltd.

 

KOREA, REPUBLIC OF

Gold

  

Planta Recuperadora de Metales SpA

 

CHILE

Gold

  

Safimet S.p.A

 

ITALY

Tantalum

  

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

CHINA

Tantalum

  

D Block Metals, LLC

 

UNITED STATES OF AMERICA

Tantalum

  

FIR Metals & Resource Ltd.

 

CHINA

Tantalum

  

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

CHINA

Tantalum

  

XinXing HaoRong Electronic Material Co., Ltd.

 

CHINA

Tantalum

  

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

CHINA

Tantalum

  

KEMET Blue Metals

 

MEXICO

Tantalum

  

H.C. Starck Co., Ltd.

 

THAILAND

Tantalum

  

H.C. Starck Tantalum and Niobium GmbH

 

GERMANY

Tantalum

  

H.C. Starck Hermsdorf GmbH

 

GERMANY

Tantalum

  

H.C. Starck Inc.

 

UNITED STATES OF AMERICA

Tantalum

  

H.C. Starck Ltd.

 

JAPAN

Tantalum

  

H.C. Starck Smelting GmbH & Co. KG

 

GERMANY

Tantalum

  

Global Advanced Metals Boyertown

 

UNITED STATES OF AMERICA

Tantalum

  

Global Advanced Metals Aizu

 

JAPAN

 

A-3


Mineral

  

Smelter or Refiner Name*

 

Country location of

 Smelter or Refiner

Tantalum

  

KEMET Blue Powder

 

UNITED STATES OF AMERICA

Tantalum

  

Resind Industria e Comercio Ltda.

 

BRAZIL

Tantalum

  

Jiangxi Tuohong New Raw Material

 

CHINA

Tantalum

  

Jiujiang Janny New Material Co., Ltd.

 

CHINA

Tantalum

  

Asaka Riken Co., Ltd.

 

JAPAN

Tantalum

  

Changsha South Tantalum Niobium Co., Ltd.

 

CHINA

Tantalum

  

Guangdong Rising Rare Metals-EO Materials Ltd.

 

CHINA

Tantalum

  

Exotech Inc.

 

UNITED STATES OF AMERICA

Tantalum

  

F&X Electro-Materials Ltd.

 

CHINA

Tantalum

  

Guangdong Zhiyuan New Material Co., Ltd.

 

CHINA

Tantalum

  

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

CHINA

Tantalum

  

Jiujiang Tanbre Co., Ltd.

 

CHINA

Tantalum

  

LSM Brasil S.A.

 

BRAZIL

Tantalum

  

Metallurgical Products India Pvt., Ltd.

 

INDIA

Tantalum

  

Mineracao Taboca S.A.

 

BRAZIL

Tantalum

  

Mitsui Mining and Smelting Co., Ltd.

 

JAPAN

Tantalum

  

NPM Silmet AS

 

ESTONIA

Tantalum

  

Ningxia Orient Tantalum Industry Co., Ltd.

 

CHINA

Tantalum

  

QuantumClean

 

UNITED STATES OF AMERICA

Tantalum

  

RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.

 

CHINA

Tantalum

  

Solikamsk Magnesium Works OAO

 

RUSSIAN FEDERATION

Tantalum

  

Taki Chemical Co., Ltd.

 

JAPAN

Tantalum

  

Telex Metals

 

UNITED STATES OF AMERICA

Tantalum

  

Ulba Metallurgical Plant JSC

 

KAZAKHSTAN

Tantalum

  

Power Resources Ltd.

 

MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

Tin

  

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

CHINA

Tin

  

Jiangxi Ketai Advanced Material Co., Ltd.

 

CHINA

Tin

  

Alpha

 

UNITED STATES OF AMERICA

Tin

  

CV Gita Pesona

 

INDONESIA

Tin

  

PT Aries Kencana Sejahtera

 

INDONESIA

Tin

  

PT Premium Tin Indonesia

 

INDONESIA

Tin

  

CV United Smelting

 

INDONESIA

Tin

  

Dowa

 

JAPAN

Tin

  

EM Vinto

 

BOLIVIA (PLURINATIONAL STATE OF)

Tin

  

Fenix Metals

 

POLAND

Tin

  

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

CHINA

Tin

  

Huichang Jinshunda Tin Co., Ltd.

 

CHINA

 

A-4


Mineral

  

Smelter or Refiner Name*

 

Country location of

 Smelter or Refiner

Tin

  

Gejiu Kai Meng Industry and Trade LLC

 

CHINA

Tin

  

China Tin Group Co., Ltd.

 

CHINA

Tin

  

Malaysia Smelting Corporation (MSC)

 

MALAYSIA

Tin

  

Metallic Resources, Inc.

 

UNITED STATES OF AMERICA

Tin

  

Mineracao Taboca S.A.

 

BRAZIL

Tin

  

Minsur

 

PERU

Tin

  

Mitsubishi Materials Corporation

 

JAPAN

Tin

  

Jiangxi New Nanshan Technology Ltd.

 

CHINA

Tin

  

O.M. Manufacturing (Thailand) Co., Ltd.

 

THAILAND

Tin

  

Operaciones Metalurgical S.A.

 

BOLIVIA (PLURINATIONAL STATE OF)

Tin

  

PT Artha Cipta Langgeng

 

INDONESIA

Tin

  

PT Babel Inti Perkasa

 

INDONESIA

Tin

  

PT Bangka Tin Industry

 

INDONESIA

Tin

  

PT Belitung Industri Sejahtera

 

INDONESIA

Tin

  

PT Bukit Timah

 

INDONESIA

Tin

  

PT DS Jaya Abadi

 

INDONESIA

Tin

  

PT Eunindo Usaha Mandiri

 

INDONESIA

Tin

  

PT Karimun Mining

 

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

Tin

  

PT Sariwiguna Binasentosa

 

INDONESIA

Tin

  

PT Stanindo Inti Perkasa

 

INDONESIA

Tin

  

PT Sumber Jaya Indah

 

INDONESIA

Tin

  

PT Timah Tbk Kundur

 

INDONESIA

Tin

  

PT Timah Tbk Mentok

 

INDONESIA

Tin

  

PT Tinindo Inter Nusa

 

INDONESIA

Tin

  

PT Tommy Utama

 

INDONESIA

Tin

  

Rui Da Hung

 

TAIWAN, PROVINCE OF CHINA

Tin

  

Soft Metais Ltda.

 

BRAZIL

Tin

  

Thaisarco

 

THAILAND

Tin

  

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

CHINA

Tin

  

White Solder Metalurgia e Mineracao Ltda.

 

BRAZIL

Tin

  

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

CHINA

Tin

  

Yunnan Tin Company Limited

 

CHINA

Tin

  

CV Venus Inti Perkasa

 

INDONESIA

Tin

  

Magnu’s Minerais Metais e Ligas Ltda.

 

BRAZIL

Tin

  

Melt Metais e Ligas S.A.

 

BRAZIL

 

A-5


Mineral

  

Smelter or Refiner Name*

 

Country location of

 Smelter or Refiner

Tin

  

PT ATD Makmur Mandiri Jaya

 

INDONESIA

Tin

  

O.M. Manufacturing Philippines, Inc.

 

PHILIPPINES

Tin

  

PT Inti Stania Prima

 

INDONESIA

Tin

  

CV Ayi Jaya

 

INDONESIA

Tin

  

CV Dua Sekawan

 

INDONESIA

Tin

  

PT Rajehan Ariq

 

INDONESIA

Tin

  

Resind Industria e Comercio Ltda.

 

BRAZIL

Tin

  

Metallo Belgium N.V.

 

BELGIUM

Tin

  

Metallo Spain S.L.U.

 

SPAIN

Tin

  

PT Bangka Prima Tin

 

INDONESIA

Tin

  

PT Sukses Inti Makmur

 

INDONESIA

Tin

  

PT Kijang Jaya Mandiri

 

INDONESIA

Tin

  

PT Menara Cipta Mulia

 

INDONESIA

Tin

  

HuiChang Hill Tin Industry Co., Ltd.

 

CHINA

Tin

  

Gejiu Fengming Metallurgy Chemical Plant

 

CHINA

Tin

  

Guanyang Guida Nonferrous Metal Smelting Plant

 

CHINA

Tin

  

Modeltech Sdn Bhd

 

MALAYSIA

Tin

  

Gejiu Jinye Mineral Company

 

CHINA

Tin

  

PT Lautan Harmonis Sejahtera

 

INDONESIA

Tin

  

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

 

CHINA

Tin

  

Chifeng Dajingzi Tin Industry Co., Ltd.

 

CHINA

Tin

  

PT Bangka Serumpun

 

INDONESIA

Tungsten

  

A.L.M.T. Corp.

 

JAPAN

Tungsten

  

Kennametal Huntsville

 

UNITED STATES OF AMERICA

Tungsten

  

Guangdong Xianglu Tungsten Co., Ltd.

 

CHINA

Tungsten

  

Chongyi Zhangyuan Tungsten Co., Ltd.

 

CHINA

Tungsten

  

Fujian Jinxin Tungsten Co., Ltd.

 

CHINA

Tungsten

  

Global Tungsten & Powders Corp.

 

UNITED STATES OF AMERICA

Tungsten

  

Hunan Chenzhou Mining Co., Ltd.

 

CHINA

Tungsten

  

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

CHINA

Tungsten

  

Japan New Metals Co., Ltd.

 

JAPAN

Tungsten

  

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

CHINA

Tungsten

  

Kennametal Fallon

 

UNITED STATES OF AMERICA

Tungsten

  

Tejing (Vietnam) Tungsten Co., Ltd.

 

VIET NAM

Tungsten

  

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

VIET NAM

Tungsten

  

Wolfram Bergbau und Hutten AG

 

AUSTRIA

Tungsten

  

Xiamen Tungsten Co., Ltd.

 

CHINA

Tungsten

  

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

CHINA

Tungsten

  

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

CHINA

Tungsten

  

Jiangxi Yaosheng Tungsten Co., Ltd.

 

CHINA

 

A-6


Mineral

  

Smelter or Refiner Name*

 

Country location of

 Smelter or Refiner

Tungsten

  

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

CHINA

Tungsten

  

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

 

CHINA

Tungsten

  

Malipo Haiyu Tungsten Co., Ltd.

 

CHINA

Tungsten

  

Xiamen Tungsten (H.C.) Co., Ltd.

 

CHINA

Tungsten

  

Jiangxi Gan Bei Tungsten Co., Ltd.

 

CHINA

Tungsten

  

Ganzhou Seadragon W & Mo Co., Ltd.

 

CHINA

Tungsten

  

Asia Tungsten Products Vietnam Ltd.

 

VIET NAM

Tungsten

  

Chenzhou Diamond Tungsten Products Co., Ltd.

 

CHINA

Tungsten

  

H.C. Starck Tungsten GmbH

 

GERMANY

Tungsten

  

H.C. Starck Smelting GmbH & Co. KG

 

GERMANY

Tungsten

  

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

VIET NAM

Tungsten

  

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

 

CHINA

Tungsten

  

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

CHINA

Tungsten

  

Niagara Refining LLC

 

UNITED STATES OF AMERICA

Tungsten

  

Hydrometallurg, JSC

 

RUSSIAN FEDERATION

Tungsten

  

Unecha Refractory metals plant

 

RUSSIAN FEDERATION

Tungsten

  

South-East Nonferrous Metal Company Limited of Hengyang City

 

CHINA

Tungsten

  

Philippine Chuangxin Industrial Co., Inc.

 

PHILIPPINES

Tungsten

  

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

 

CHINA

Tungsten

  

ACL Metais Eireli

 

BRAZIL

Tungsten

  

Woltech Korea Co., Ltd.

 

KOREA, REPUBLIC OF

Tungsten

  

Moliren Ltd.

 

RUSSIAN FEDERATION

 

*Smelter

or refiner names as reported by the RMI as of 1/10/19.

 

 

 

A-7


APPENDIX II

Known countries of origin from which conformant 3TG minerals refiners source**

 

Gold

  

Tin

  

Tungsten

  

Tantalum

Known countries from which Conformant Gold Refiners Source         

Benin

  

Australia

  

Australia

  

Australia

Bolivia

  

Bolivia

  

Bolivia

  

Austria

Brazil

  

Brazil

  

Brazil

  

Bolivia

Chile

  

China

  

China

  

Brazil

Colombia

  

Colombia

  

Colombia

  

China

Ecuador

  

Guinea

  

Guinea

  

Colombia

Eritrea

  

Indonesia

  

Indonesia

  

Ethiopia

Ghana

  

Laos

  

Laos

  

Guinea

Guinea

  

Malaysia

  

Malaysia

  

India

Guyana

  

Mongolia

  

Mongolia

  

Madagascar

Mali

  

Myanmar

  

Myanmar

  

Malaysia

Mauritania

  

Nigeria

  

Nigeria

  

Nigeria

Nicaragua

  

Peru

  

Peru

  

Russian Federation

Niger

  

Portugal

  

United Kingdom of Great Britain and Northern Ireland

  

Sierra Leone

Peru

  

Russian Federation

  

Russian Federation

  

Thailand

Swaziland

  

Taiwan

  

Taiwan

  

Mozabique

Togo

  

Thailand

  

Thailand

  

Burundi

South Africa

  

United Kingdom of Great Britain and Northern Ireland

  

Burundi

  

Rwanda

Tanzania

  

Venezuela

  

Rwanda

  

Democratic Republic of Congo

  

Burundi

  

Democratic Republic of Congo

  
  

Rwanda

     
  

Uganda

     
  

Democratic Republic of Congo

     

 

A-8


Known countries from which LBMA Good Delivery List Refiners Source Gold - Mined Material
(Provided by LBMA) **

 

Argentina

  

Ethiopia

  

Mali

  

Solomon Islands

Armenia

  

Finland

  

Mauritius

  

Spain

Australia

  

Georgia

  

Mexico

  

Suriname

Azerbaijan

  

Ghana

  

Mongolia

  

Sweden

Bolivia

  

Guatemala

  

Morocco

  

Thailand

Botswana

  

Guinea

  

Namibia

  

Turkey

Brazil

  

Guyana

  

Nicaragua

  

Uruguay

Burkina Faso

  

Honduras

  

Niger

  

United States of America

Canada

  

Indonesia

  

Papua New Guinea

  

Uzbekistan

Chile

  

Iran

  

Peru

  

Zimbabwe

China

  

Ivory Coast

  

Phillipines

  

Kenya

Colombia

  

Kazakhstan

  

Puerto Rico

  

South Africa

Cyprus

  

Kyrgyzstan

  

Russian Federation

  

Tananiza

Dominican Republic

  

Laos

  

Saudi Arabia

  

Zambia

Ecuador

  

Lebanon

  

Senegal

  

Democratic Republic of Congo

Egypt

  

Malaysia

  

Slovakia

  

** As per RMI Compliant Smelter Sourcing RCOI information as of 1/25/19 update.

 

A-9