UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

_______________________________

FORM SD

_______________________________

Specialized Disclosure Report

_______________________________

SIGMATRON INTERNATIONAL, INC

(Exact name of registrant as specified in its charter)

_______________________________

Delaware

000-23248

36-3918470

(State or other jurisdiction

(Commission

(IRS Employer

of incorporation or organization)

File Number)

Identification No.)



2201 Landmeier Road, Elk Grove Village, Illinois

60007

(Address of principal executive offices)

(Zip Code)



Linda K. Frauendorfer  847-956-8000

(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, 2019.





 

 


 

Section 1 - Conflict Minerals Disclosure



SigmaTron International, Inc. (herein referred to as “SII,” “we” or “our”) evaluated its products and determined that all products we manufacture or contract to manufacture contain tin, tungsten, tantalum, and/or gold.  A survey of our suppliers determined that our supply chain is DRC conflict undeterminable. 



Item 1.01 Conflict Minerals Disclosure and Report



A copy of SII’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available as a link on http://sigmatronintl.com/quality/compliance-sustainability/.  



Item 1.02 Exhibits



Section 2 – Exhibits



Item 2.01  Exhibits



The following exhibit is filed as part of this report:



Exhibit 1.01 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.





 

 


 



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.





SigmaTron International, Inc.

 

 

(Registrant)

 

 

 

 

 

/s/ Linda K. Frauendorfer 

 

May 27,  2020

By Linda K. Frauendorfer

 

(Date)

Its: Chief Financial Officer, Secretary and Treasurer

 

 



 


Exhibit 101



 

 

 

 

 

 

 

 



SIGMATRON  INTERNATIONAL, INC.

2201 Landmeier Road

Elk Grove Village, Illinois 60007

TEL  (847) 956-8000

FAX  (847) 956-9801

 

www.sigmatronintl.com

 

image1.jpeg

 



Exhibit 1.01



SigmaTron International, Inc.

Conflict Minerals Report

For The Year Ended December 31, 2019



This Conflict Minerals Report of SigmaTron International, Inc. (herein referred to as "we," "our" or "us") (this "CMR") is presented in compliance with Rule 13p-1 ("Rule 13p-1") of the Securities Exchange Act of 1934 (the "1934 Act") for the year ended December 31, 2019. Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this CMR, unless otherwise defined herein.



Rule 13p-1 requires disclosure of certain information when a company manufactures or contracts to manufacture products and the minerals specified in Rule 13p-1 are necessary to the functionality or production of these products.  The specified minerals referred to as “Conflict Minerals” are gold, cassiterite, columbite-tantalite (coltan) and wolframite, including their derivatives tantalum, tin and tungsten.  The “Covered Countries” for purposes of Rule 13p-1 and this CMR are the Democratic Republic of Congo, the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.



As described in this CMR, we have determined that certain Conflict Minerals, namely tantalum, tin, tungsten and gold are necessary to the functionality or production of products manufactured or contracted to be manufactured by us during the calendar year 2019.  As a result, we conducted a reasonable country of origin inquiry (“RCOI”) as set forth below.



Our Due Diligence Process



1. Establish strong company management systems 



a.

We have a Conflict Minerals Policy. It is distributed to necessary internal personnel as well as to all suppliers for the purpose of determining their compliance with Rule 13p-1. In addition, the Conflict Minerals Policy is posted on our website at sigmatronintl.com/quality/compliance-sustainability/ under the heading “View SigmaTron International, Inc. Conflict Minerals Report for the Year Ended December 31, 2019 (Exhibit 1.01)”.



b.

A cross-functional team of senior staff under the Vice President of Materials is charged with overseeing our compliance with Rule 13p-1 and our responsible sourcing of Conflict Minerals. This team consists of people from Quality, Purchasing and Materials Management, Information Technology and Finance. We utilize legal counsel to assist us with our compliance. 



c.

We have a records retention policy providing for the maintenance on a computerized database of business records relating to Conflict Minerals due diligence, including records of findings, for at least seven (7) years.    



2. Identify and assess risk in the supply chain    



a.

We survey our supply chain to gather information and confirm whether Conflict Minerals used in our products are procured from the Covered Countries. This survey was conducted using the Responsible Minerals Initiative (RMI) (formerly the Electronic Industry Citizenship Coalition (“EICC”)/Global e-Sustainability Initiative (“GeSI”) Conflict Free Smelter Initiative) Reporting Template (the “CMRT Template”).



b.

Utilizing the CMRT Template, a RCOI (see below for additional information regarding our RCOI process) was conducted across our supply chain to determine the sourcing of the Conflict Minerals used in our products. To date, we have received responses from 100% of our supply chain.

 

c.

We compiled a list of all smelters and refiners used by our suppliers that have provided responses, including all smelters and refiners which have not completed certification under the RMI Responsible Minerals Assurance Process (“RMAP”) (formerly the EICC/GeSI Conflict Free Smelter Program).  375 unique smelters or refiners were reported by our suppliers. Of these 375 smelters and refiners, 272 are certified as conformant by the RMAP.  

1


 

d.

In the future, as we have in the past, we will continue to encourage our current and new suppliers to use only conformant smelters. Additionally, we will continue to assess our suppliers with respect to our compliance requirements referenced above. 



e.

We have instituted policies and procedures requiring suppliers to provide affirmative notification if they begin sourcing Conflict Minerals from any facilities which have not been identified as conformant by the RMAP. We have included Conflict Minerals flow-down clauses in all new and renewing supplier contracts. And, we are working with trade associations and industry groups to continuously improve our due diligence and best practices.



3. Design and implement a strategy to respond to identified risks    



a.

Risk mitigation includes follow-up with the supplier, supplier support or education and putting the supplier on a “do not buy” list. If any supplier still does not comply, increasing levels of escalation will be done by specified internal personnel and our customer in the event we are directed to source from the supplier by the customer. Risk mitigation allows for a flexible response that is commensurate with the risks identified. 



b.

As part of our risk mitigation we have recommunicated to any supplier who is not compliant that they must submit responses and become compliant. These suppliers are told that they must (i) familiarize themselves and comply with the regulations set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (as amended, the “Dodd-Frank Act”); (ii) implement Conflict Mineral policies that are consistent with our policy; (iii) provide us with all necessary declarations; (iv) pass all of the requirements set forth in the Dodd-Frank Act on to their supply chain if they don't source directly from smelters or refiners; (v) determine the source of the Conflict Minerals they use; and (vi) maintain reviewable business records for not less than seven (7) years supporting the source of Conflict Minerals. We affirmatively notified suppliers that those who are found to be non-compliant to the requirements imposed by the Dodd-Frank Act and our policy shall be reviewed to determine suitability for future business.



4. Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain 



a.

In connection with our due diligence, we utilize information made available by the RMI concerning independent third-party audits of smelters and refiners. We believe that our utilization of RMI data is the most effective method.



b.

The use of the CMRT Template provided by RMI and our other due diligence steps conform in material aspects to the standards set forth by the third edition of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD 2016).



5. Report on supply chain due diligence 



We report on our supply chain due diligence through our Form SD filings, and the related Conflict Minerals Reports.



Product Description/Overview



We manufacture electronic assemblies made up of printed circuit boards, semiconductors and passive electronic components soldered together utilizing tin-based alloys for a wide variety of customers that use electronics in the products they design, manufacture and sell. Our customers serve many different industries. Most of the electronic components we purchase to build the assemblies we manufacture contain one or more of the Conflict Minerals.



As a result of the aforementioned in-depth due diligence measures, we have determined that, at this time we do not have sufficient information to conclusively identify whether any of the Conflict Minerals contained in our products originated in the Covered Countries and, if so, whether such Conflict Minerals were from recycle or scrap sources, the facilities used to process them, their country of origin, or their mine or location of origin.  This being said, after conducting the aforementioned due diligence and reviewing the final report of the UN Group of Experts on the Democratic Republic of Congo (S/2019/469), the midterm report of the UN Group of Experts on the Democratic Republic of Congo (S/2019/974) and other publications, we found no reasonable basis for concluding that the uncertified smelters and refiners sourced Conflict Minerals that directly or indirectly finance or benefit armed groups of the conflict region of the Covered Countries. 

2


 



Based on the responses received from our suppliers to-date and our due diligence efforts, we believe that the following is a list of smelter facilities and associated countries used to process the necessary Conflict Minerals in our products.



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

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

Caridad

MEXICO

Gold

CCR Refinery - Glencore Canada Corporation

CANADA

Gold

Cendres + Metaux S.A.

SWITZERLAND

Gold

Yunnan Copper Industry Co., Ltd.

CHINA

Gold

Chimet S.p.A.

ITALY

Gold

Chugai Mining

JAPAN

Gold

Daejin Indus Co., Ltd.

KOREA, REPUBLIC OF

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

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

Refinery of Seemine Gold Co., Ltd.

CHINA

Gold

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

CHINA

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

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

Hunan Chenzhou Mining Co., Ltd.

CHINA

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

CHINA

Gold

HwaSeong CJ CO., LTD.

KOREA, REPUBLIC OF

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 Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

Gold

Kazakhmys Smelting LLC

KAZAKHSTAN

Gold

Kazzinc

KAZAKHSTAN

3


 

Gold

Kennecott Utah Copper LLC

UNITED STATES OF AMERICA

Gold

Kojima Chemicals Co., Ltd.

JAPAN

Gold

Korea Metal Co., Ltd.

KOREA, REPUBLIC OF

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

Gold

L'azurde Company For Jewelry

SAUDI ARABIA

Gold

Lingbao Gold Co., Ltd.

CHINA

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CHINA

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CHINA

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

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

Gold

Nihon Material Co., Ltd.

JAPAN

Gold

Elemetal Refining, LLC

UNITED STATES

Gold

Ohura Precious Metal Industry Co., Ltd.

JAPAN

Gold

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

RUSSIAN FEDERATION

Gold

OJSC Kolyma Refinery

RUSSIAN FEDERATION

Gold

PAMP S.A.

SWITZERLAND

Gold

Penglai Penggang Gold Industry Co., Ltd.

CHINA

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

Sabin Metal Corp.

UNITED STATES OF AMERICA

Gold

Samduck Precious Metals

KOREA, REPUBLIC OF

Gold

Samwon Metals Corp.

KOREA, REPUBLIC OF

Gold

Schone Edelmetaal B.V.

NETHERLANDS

Gold

SEMPSA Joyeria Plateria S.A.

SPAIN

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CHINA

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CHINA

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

Gold

So Accurate Group, Inc.

UNITED STATES

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

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

Gold

The Refinery of Shandong Gold Mining Co., Ltd.

CHINA

Gold

Tokuriki Honten Co., Ltd.

JAPAN

4


 

Gold

Tongling Nonferrous Metals Group Co., Ltd.

CHINA

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

Western Australian Mint (T/a The Perth Mint)

AUSTRALIA

Gold

Yamakin Co., Ltd.

JAPAN

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

Morris and Watson

NEW ZEALAND

Gold

SAFINA A.S.

CZECHIA

Gold

Guangdong Jinding Gold Limited

CHINA

Gold

Umicore Precious Metals Thailand

THAILAND

Gold

Faggi Enrico S.p.A.

ITALY

Gold

Geib Refining Corporation

UNITED STATES OF AMERICA

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

Gold

Republic Metals Corporation

UNITED STATES OF AMERICA

Gold

KGHM Polska Miedz Spolka Akcyjna

POLAND

Gold

Fidelity Printers and Refiners Ltd.

ZIMBABWE

Gold

Singway Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

Gold

Shandong Humon Smelting Co., Ltd.

CHINA

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB EMIRATES

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

Gold

International Precious Metal Refiners

UNITED ARAB EMIRATES

Gold

Kaloti Precious Metals

UNITED ARAB EMIRATES

Gold

Sudan Gold Refinery

SUDAN

Gold

T.C.A S.p.A

ITALY

Gold

REMONDIS PMR B.V.

NETHERLANDS

Gold

Fujairah Gold FZC

UNITED ARAB EMIRATES

Gold

Tony Goetz NV

BELGIUM

Gold

Korea Zinc Co., Ltd.

KOREA, REPUBLIC OF

Gold

Marsam Metals

BRAZIL

Gold

TOO Tau-Ken-Altyn

KAZAKHSTAN

Gold

Abington Reldan Metals, LLC

UNITED STATES OF AMERICA

Gold

SAAMP

FRANCE

Gold

L'Orfebre S.A.

ANDORRA

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

AURA-II

UNITED STATES OF AMERICA

Gold

GCC Gujrat Gold Centre Pvt. Ltd.

INDIA

Gold

Sai Refinery

INDIA

Gold

Universal Precious Metals Refining Zambia

ZAMBIA

Gold

Modeltech Sdn Bhd

MALAYSIA

Gold

Bangalore Refinery

INDIA

5


 

Gold

Kyshtym Copper-Electrolytic Plant ZAO

RUSSIAN FEDERATION

Gold

Morris and Watson Gold Coast

AUSTRALIA

Gold

Degussa Sonne / Mond Goldhandel GmbH

GERMANY

Gold

Pease & Curren

UNITED STATES OF AMERICA

Gold

SungEel HiMetal Co., Ltd.

KOREA, REPUBLIC OF

Gold

Planta Recuperadora de Metales SpA

CHILE

Gold

Safimet S.p.A

ITALY

Gold

State Research Institute Center for Physical Sciences and Technology

LITHUANIA

Gold

African Gold Refinery

UGANDA

Gold

NH Recytech Company

KOREA, REPUBLIC OF

Gold

DS PRETECH Co., Ltd.

KOREA, REPUBLIC OF

Gold

QG Refining, LLC

UNITED STATES OF AMERICA

Gold

Dijllah Gold Refinery FZC

UNITED ARAB EMIRATES

Gold

CGR Metalloys Pvt Ltd.

INDIA

Gold

Sovereign Metals

INDIA

Gold

Eco-System Recycling Co., Ltd. North Plant

JAPAN

Gold

Eco-System Recycling Co., Ltd. West Plant

JAPAN

Tantalum

Asaka Riken Co., Ltd.

JAPAN

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

Tantalum

Guangdong Rising Rare Metals-EO Materials Ltd.

CHINA

Tantalum

Duoluoshan

CHINA

Tantalum

Exotech Inc.

UNITED STATES OF AMERICA

Tantalum

F&X Electro-Materials Ltd.

CHINA

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

Tantalum

Hi-Temp Specialty Metals, Inc.

UNITED STATES

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

Tantalum

Jiujiang Tanbre Co., Ltd.

CHINA

Tantalum

King-Tan Tantalum Industry 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

Zhuzhou Cemented Carbide Group Co., Ltd.

CHINA

Tantalum

Yichun Jin Yang Rare Metal Co., Ltd.

CHINA

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

6


 

Tantalum

Plansee SE Liezen

AUSTRIA

Tantalum

H.C. Starck Co., Ltd.

THAILAND

Tantalum

H.C. Starck Tantalum and Niobium GmbH

GERMANY

Tantalum

H.C. Starck GmbH Laufenburg

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

Plansee SE Reutte

AUSTRIA

Tantalum

Global Advanced Metals Boyertown

UNITED STATES OF AMERICA

Tantalum

Global Advanced Metals Aizu

JAPAN

Tantalum

KEMET Blue Powder

UNITED STATES OF AMERICA

Tantalum

Tranzact, Inc.

UNITED STATES

Tantalum

Resind Industria e Comercio Ltda.

BRAZIL

Tantalum

Jiangxi Tuohong New Raw Material

CHINA

Tantalum

Power Resources Ltd.

MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

Tantalum

Jiujiang Janny New Material Co., Ltd.

CHINA

Tantalum

CP Metals Inc.

UNITED STATES OF AMERICA

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

CHINA

Tin

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

Tin

Alpha

UNITED STATES OF AMERICA

Tin

Cooperative Metalurgica de Rondonia Ltda.

BRAZIL

Tin

CV Gita Pesona

INDONESIA

Tin

PT Justindo

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

Estanho de Rondonia S.A.

BRAZIL

Tin

Fenix Metals

POLAND

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

CHINA

Tin

Huichang Jinshunda Tin Co., Ltd.

CHINA

Tin

Gejiu Kai Meng Industry and Trade LLC

CHINA

Tin

Linwu Xianggui Ore Smelting Co., Ltd.

CHINA

Tin

China Tin Group Co., Ltd.

CHINA

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

Tin

Metallic Resources, Inc.

UNITED STATES OF AMERICA

Tin

Metallo Belgium N.V.

BELGIUM

Tin

Mineracao Taboca S.A.

BRAZIL

Tin

Minsur

PERU

Tin

Mitsubishi Materials Corporation

JAPAN

Tin

Jiangxi New Nanshan Technology Ltd.

CHINA

Tin

Novosibirsk Processing Plant Ltd.

RUSSIAN FEDERATION

Tin

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

THAILAND

Tin

Operaciones Metalurgicas S.A.

BOLIVIA (PLURINATIONAL STATE OF)

Tin

PT Artha Cipta Langgeng

INDONESIA

Tin

PT Babel Inti Perkasa

INDONESIA

7


 

Tin

PT Babel Surya Alam Lestari

INDONESIA

Tin

PT Bangka Putra Karya

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 Pelat Timah Nusantara

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

VQB Mineral and Trading Group JSC

VIET NAM

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

PT Tirus Putra Mandiri

INDONESIA

Tin

PT Wahana Perkit Jaya

INDONESIA

Tin

Melt Metais e Ligas S.A.

BRAZIL

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

Tin

Phoenix Metal Ltd.

RWANDA

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

Tin

PT Inti Stania Prima

INDONESIA

Tin

CV Ayi Jaya

INDONESIA

Tin

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

VIET NAM

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIET NAM

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIET NAM

Tin

CV Dua Sekawan

INDONESIA

Tin

PT Rajehan Ariq

INDONESIA

Tin

PT Cipta Persada Mulia

INDONESIA

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

Tin

Resind Industria e Comercio Ltda.

BRAZIL

Tin

Super Ligas

BRAZIL

Tin

PT O.M. Indonesia

INDONESIA

Tin

Metallo Belgium N.V.

BELGIUM

Tin

Metallo Spain S.L.U.

SPAIN

8


 

Tin

PT Bangka Prima Tin

INDONESIA

Tin

PT Sukses Inti Makmur

INDONESIA

Tin

An Thai Minerals Co., Ltd.

VIET NAM

Tin

PT Kijang Jaya Mandiri

INDONESIA

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

VIET NAM

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

Tin

Pongpipat Company Limited

MYANMAR

Tin

Tin Technology & Refining

UNITED STATES OF AMERICA

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

CHINA

Tin

Ma'anshan Weitai Tin Co., Ltd.

CHINA

Tin

PT Rajawali Rimba Perkasa

INDONESIA

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

CHINA

Tin

Precious Minerals and Smelting Limited

INDIA

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.”

CHINA

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

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

Tungsten

Dayu Weiliang 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

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

CHINA

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

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

9


 

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

Tungsten

Pobedit, JSC

RUSSIAN FEDERATION

Tungsten

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

CHINA

Tungsten

Ganzhou Yatai Tungsten Co., Ltd.

CHINA

Tungsten

H.C. Starck Tungsten GmbH

GERMANY

Tungsten

H.C. Starck Smelting GmbH & Co. KG

GERMANY

Tungsten

Masan Tungsten Chemical LLC (MTC)

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

China Molybdenum Tungsten Co., Ltd.

CHINA

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

CHINA

Tungsten

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

CHINA

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

Tungsten

Hunan Litian Tungsten Industry Co., Ltd.

CHINA

Tungsten

KGETS Co., Ltd.

KOREA, REPUBLIC OF

Tungsten

Fujian Ganmin RareMetal Co., Ltd.

CHINA

Tungsten

Lianyou Metals Co., Ltd.

TAIWAN, PROVINCE OF CHINA

Tungsten

JSC "Kirovgrad Hard Alloys Plant"

RUSSIAN FEDERATION



Our approach to the RCOI for where the mines are located is as follows:



For products manufactured during the 2019 reporting period, we performed an RCOI on our Conflict Minerals. We utilized the RMI’s CMRT Template to ask suppliers from what smelters they get the identified Conflict Minerals in the products they supply to us. After collecting these responses to our CMRT queries from suppliers, we evaluated the responses for completeness and accuracy. We engaged in follow-up communications with suppliers as appropriate.



From all this information and with the information provided on the RMI website, we learned that the smelters generally consider the names and locations of the mines confidential. Because of that we have not determined in what specific countries the mines are located. However, the 272 smelters that are certified as conformant by the RMAP, are getting their ores from mines that are not contributing to conflict. We will continue to work with our supply chain to get the non-conformant smelters to meet the same conflict free criteria.



The statements above are based on our due diligence and available information. A number of factors could affect our conclusions, including: gaps in supplier and/or smelter and refinery data, errors or omissions by suppliers and/or smelters and refiners, errors in public data, language barriers and translation, illegally tagged Conflict Minerals being introduced into our supply chain, etc.



Forward-Looking Statements



This CMR includes forward-looking statement within the meaning of the Private Securities Litigation Reform Act of 1995 that involve various risks and uncertainties. All statements in this CMR other than statements of historical fact are statements that are, or could be, deemed forward-looking statements within the meaning of such Act. Words such as “may,” “intent,” “will,” “believe” and “expect,” and other terms of similar meaning indicate future events and trends are also generally intended to identify forward-looking statements. Forward-looking statements are not guarantees of future performance. Except as required by applicable law, we assume no obligation, and disclaim any obligation, to update forward-looking statements whether as a result of new information, events or otherwise.



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