UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

TiVo Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-37870   61-1793262

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File No.)

 

(I.R.S. employer

identification number)

2160 Gold Street

San Jose, California 95002

(Address of principal executive offices, including zip code)

Pamela Sergeeff

(408) 562-8400

(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

 

ITEM 1.01

Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

This Form SD of TiVo Corporation (the “Company”) is filed pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 for the reporting period January 1 through December 31, 2019.

A copy of the Company’s Conflict Minerals Report is attached hereto as Exhibit 1.01 and is publicly available on the Company’s website at www.tivo.com in the “Investor Relations” section under “SEC Filings”.

 

ITEM 1.02

Exhibit

As specified in Section 2 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this report.

Section 2 — Exhibits

 

Exhibit
Number
   Description
1.01    Conflict Minerals Report of TiVo Corporation for the period January 1 – December 31, 2019


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.

 

   

TiVo Corporation

(Registrant)

Date: June 1, 2020     By:  

/s/ Pamela Sergeeff

      Pamela Sergeeff
      Executive Vice President and Chief Compliance Officer


EXHIBIT INDEX

 

Exhibit
Number
   Description
1.01    Conflict Minerals Report of TiVo Corporation for the period January 1 – December 31, 2019
EX-1.01

Exhibit 1.01

TiVo Corporation

Conflict Minerals Report

For the reporting period January 1, 2019 through December 31, 2019

We have made statements in this Conflict Minerals Report that may constitute forward-looking statements about our plans to take additional actions or to implement additional policies or procedures with respect to our due diligence efforts to determine the origin of conflict minerals contained in our products as well as our risk mitigation efforts and strategy. In some cases, these forward-looking statements can be identified by terminology such as “may,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “future,” “potential,” “intend,” or “continue,” and similar expressions. These statements are based on the beliefs and assumptions of our management and on information currently available to our management. These statements involve risks and uncertainties that may cause actual results and achievements to differ materially from those expressed or implied by the forward-looking statements. Risks and uncertainties that could cause actual results to differ include, without limitation, risks and uncertainties associated with the progress of industry and other supply chain transparency and smelter or refiner validation programs for conflict minerals, the possibility of inaccurate information, fraud and other irregularities, inadequate supplier education and knowledge, limitations on the ability or willingness of suppliers to provide more accurate, complete and detailed information and limitations on our ability to verify the accuracy or completeness of any supply chain information provided by suppliers, third-party audit programs or others. We undertake no obligation to publicly update or revise any forward-looking statement, whether as a result of new information, future events or otherwise. Our reporting obligations under the conflict minerals rules may change in the future and our ability to implement certain processes or obtain information from our suppliers may differ materially from those anticipated or implied in this report.

Introduction

This Conflict Minerals Report of TiVo Corporation (“TiVo,” “we,” “us” and “our”) has been prepared pursuant to Rule 13p-1 (the “Rule”) under the Securities Exchange Act of 1934, as amended, and Form SD promulgated pursuant thereto, for the reporting period from January 1, 2019 to December 31, 2019 (the “Reporting Period”). A copy of this report is publicly available on our website at www.tivo.com in the “Investor Relations” section under “SEC Filings.”

The Rule requires disclosure of certain information by companies that manufacture or contract to manufacture products containing conflict minerals when those conflict minerals are necessary to the functionality or production of those products. The term “conflict minerals” is defined to include gold, cassiterite, columbite-tantalite, wolframite and their derivatives, limited to tin, tantalum and tungsten.

As a company in the consumer electronics industry that does not manufacture its own products directly, TiVo is multiple levels removed from the actual mining of conflict minerals and purchases of conflict minerals from smelters and refiners. All of TiVo’s hardware products are contracted for manufacture through TiVo’s wholly-owned subsidiary, TiVo Solutions, Inc. (d/b/a and f/k/a TiVo Inc.). Statements in this report of actions taken or performed are reporting the actions of TiVo Solutions, Inc. TiVo does not make purchases of raw ore, unrefined or refined

 

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conflict minerals and makes no purchases in the Democratic Republic of the Congo (the “DRC”) or any country adjoining the DRC, including the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola (all defined in the Rule as the “Covered Countries”).

Company Description and Products Covered by this Report

TiVo is a global leader in entertainment technology and audience insights. From the interactive program guide to the DVR, TiVo delivers innovative products and licensable technologies that revolutionize how people find content across a changing media landscape. As part of these technologies and services, TiVo is a global provider of software for digital video recorders and other set-top box products for multichannel video programming distributors and consumers.

Although we design, engineer, and distribute the digital video recorders and other set-top box hardware products, TiVo does not manufacture any of those hardware products itself. TiVo outsources to third parties the manufacturing of its hardware products. In determining which products were in-scope for purposes of this Report, TiVo took into account the amount of influence TiVo has over the manufacture and design of the products. TiVo determined that there were one or more conflict minerals that were necessary to the functionality or production of the TiVo BOLT models of digital video recorders (the “Covered Products”). This Report relates to Covered Products the manufacture of which was completed during the Reporting Period.

Reasonable Country-of-Origin Inquiry

For the Reporting Period, TiVo conducted a reasonable country-of-origin inquiry to determine whether any of the conflict minerals that were necessary to the functionality or production of the Covered Products originated in a Covered Country or were from recycled or scrap sources.

To conduct its reasonable country-of-origin inquiry, the TiVo requested that its direct supplier of the Covered Product, the “Contract Manufacturer,” provide country-of-origin information for the conflict minerals included in the Covered Products. TiVo believes that the Contract Manufacturer evaluated data from its suppliers, including Conflict Minerals Reporting Templates of the Responsible Minerals Initiative (“RMI”). TiVo reviewed the response from its Contract Manufacturer, focusing on changes that had occurred in the supply chain from 2018 to 2019.

Based on the results of that country-of-origin inquiry, we had reason to believe that some of the conflict minerals contained in the Covered Products may have originated in one or more of the Covered Countries. Accordingly, we conducted due diligence on the source and chain of custody of those conflict minerals.

Due Diligence Process

TiVo has a complex supply chain. The supply chain involves many parties between the Contract Manufacturer of our Covered Products and the original sources of conflict minerals. TiVo does not directly purchase conflict minerals from mines, smelters, or refiners. We must therefore rely on our Contract Manufacturer and its suppliers to provide information regarding the origin of conflict minerals that may be included in our products and to identify the smelters and refiners of conflict minerals in our supply chain.

Our due diligence measures were originally designed to conform, in all material respects, with the “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition)” and the related supplements, published by the Organisation for Economic Co-operation and Development (the “OECD Guidance”), consistent with our position as a downstream company.

 

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We maintain a Conflict Minerals Team from relevant internal functions, including management personnel in our supply base management, manufacturing, and legal departments. The Conflict Minerals Team is supported by executive-level representatives.

We maintain and communicate to our suppliers and the public our Conflict Minerals Policy. The Conflict Minerals Policy can be found at: https://tivo.pactsafe.io/#conflict-minerals-policy.

We maintain contractual language in our current contracts with our Contract Manufacturer under which the Contract Manufacturer is required to provide information and supporting documentation regarding the use and sourcing of conflict minerals.

We maintain a grievance mechanism for concerned parties to report information regarding TiVo’s use of conflict minerals as further described in our Conflict Minerals Policy.

We assess our Covered Products and our suppliers in order to identify conflict minerals scope and risk. We request information regarding smelters and refiners in our supply chain from our Contract Manufacturer, and we review the list provided by our Contract Manufacturer; however, due to our location within the supply chain relative to the extraction, transport, smelting and refining of ore, our ability to verify the accuracy of information reported by suppliers is limited. In particular, we noted that one of the refiners identified by the Contract Manufacturer in the prior year had been identified as a high-risk refiner. During 2019, we requested further investigation and were able to determine that the refiner was not actually in our supply chain.

Our supplier contracts provide for responsible sourcing of conflict minerals, and we encourage our suppliers to use smelters and refiners that have been designated as conformant under the Responsible Minerals Assurance Process (“RMAP”) of RMI. Potential corrective actions depend on various factors, such as vendor size, risk level and vendor capabilities. Corrective actions may include actions ranging from encouraging the supplier to source responsibly to disengaging from the Contract Manufacturer.

We do not have any direct relationships with smelters or refiners that process conflict minerals, and we do not perform or direct audits of these entities within our supply chains. As an alternative, we consider information collected and provided by independent third-party audit programs, such as RMAP, the London Bullion Market Association Good Delivery Program and the Responsible Jewellery Council Chain-of-Custody Certification.

TiVo’s Due Diligence Measures Performed on Covered Products Manufactured During 2019

TiVo’s Contract Manufacturer identified suppliers of materials or components for the Covered Products the manufacture of which was completed during the Reporting Period. The Conflict Minerals Team reviewed the supplier list against internal manufacturing and procurement systems to verify completeness.

Our Contract Manufacturer confirmed to us a list of smelters and refiners that, according to its due diligence, were used in the processing of the conflict minerals necessary to the Covered Products. Our diligence inquiry regarding the supply chain also involved our review of the smelters and refiners identified to us as potentially active in our

 

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supply chain. The Conflict Minerals Team relied on the published lists of recognized programs, such as the RMAP, the London Bullion Market Association Good Delivery Program and the Responsible Jewellery Council Chain-of-Custody Certification, to identify which of the smelters and refiners had been certified as “conflict free.”

With respect to some of the smelters and refiners identified by our Contract Manufacturer but not certified by one of these programs, we sought to determine whether they actually were in our supply chain. In the 2019 reporting period, TiVo conducted follow-up inquiries with our Contract Manufacturer to determine whether the African Gold Refinery was part of our supply chain. After a parts-level match inquiry, we were able to determine that African Gold Refinery was in fact not a refiner source for the Covered Products.

Results of Due Diligence

Identified Smelters and Refiners. TiVo’s Contract Manufacturer confirmed to TiVo the lists of smelters and refiners for the reporting period. However, in most cases, TiVo’s information on the Contact Manufacturer’s identified smelters and refiners continued to be provided on a company-wide, aggregate-smelter basis with information across all of their products combined, rather than specific information regarding the smelters or refiners of the conflict minerals in the specific materials or components used in our Covered Products. Table 1 provides a list of smelters and refiners identified by our Contract Manufacturer. Because many of the responses were made on a company-level basis, rather than on a product-level basis, we were not, in many cases, able to identify which smelters or refiners listed actually processed the conflict minerals contained in the Covered Products. Therefore, the list of processing smelters and refiners disclosed may identify more facilities than actually processed the conflict minerals contained in the Covered Products.

As indicated above, we relied heavily on our Contract Manufacturer to provide the necessary sourcing information, which may be inaccurate or incomplete. As a downstream purchaser, our ability to verify the accuracy of information reported by our Contract Manufacturer is limited. As a result, our due diligence measures cannot yet provide assurance regarding the source and chain of custody of the conflict minerals in our Covered Products.

Identified Countries of Origin. Based on the information provided by the Contract Manufacturer pursuant to the due diligence process, TiVo does not have sufficient information with respect to the Covered Products to reliably determine the countries of origin of all the conflict minerals in the Covered Products or to determine if any of those conflict minerals from an identified country of origin were contained in the Covered Products. Based on information provided by the Contract Manufacturer, a list of potential countries of origin from which the reported smelters and refiners collectively sourced conflict minerals is also provided in Table 2. As with the list of smelters and refiners, many responses were provided at the company level and, therefore, this list of countries may identify more countries of origin than were actually the source of the conflict minerals in the Covered Products.

Future Risk Mitigation and Due Diligence Process Improvements

TiVo intends to continue to improve its due diligence and to further mitigate the risk that the use of conflict minerals in its products finances or benefits armed groups in the Covered Countries. In particular, we intend to continue to include provisions in our contracts with suppliers that encourage responsible sourcing of conflict minerals. In addition, through our contracts with suppliers, we encourage our supply chain to work with smelters and refiners that have been designated RMAP-conformant. We are also maintaining TiVo’s “grievance” process so that concerned persons can report any sourcing of conflict minerals in our supply chain suspected of financing or benefiting armed groups in a Covered Country.

 

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Table 1

 

Official Smelter Name

  

Metal

  

Smelter Country

A.L.M.T. TUNGSTEN Corp.    Tungsten    Japan
Abington Reldan Metals, LLC    Gold    United States of America
ACL Metais Eireli    Tungsten    Brazil
Advanced Chemical Company    Gold    United States of America
Aida Chemical Industries Co., Ltd.    Gold    Japan
Al Etihad Gold LLC    Gold    United Arab Emirates
Allgemeine Gold-und Silberscheideanstalt A.G.    Gold    Germany
Almalyk Mining and Metallurgical Complex (AMMC)    Gold    Uzbekistan
Alpha    Tin    United States of America
An Vinh Joint Stock Mineral Processing Company    Tin    Vietnam
AngloGold Ashanti Corrego do Sitio Mineracao    Gold    Brazil
Argor-Heraeus S.A.    Gold    Switzerland
Asahi Pretec Corp.    Gold    Japan
Asahi Refining Canada Ltd.    Gold    Canada
Asahi Refining USA Inc.    Gold    United States of America
Asaka Riken Co., Ltd.    Tantalum    Japan
Asaka Riken Co., Ltd.    Gold    Japan
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Gold    Turkey
AU Traders and Refiners    Gold    South Africa
Aurubis AG    Gold    Germany
Bangalore Refinery    Gold    India
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Gold    Philippines
Boliden AB    Gold    Sweden
C. Hafner GmbH + Co. KG    Gold    Germany
Caridad    Gold    Mexico
CCR Refinery - Glencore Canada Corporation    Gold    Canada
Cendres + Metaux S.A.    Gold    Switzerland
Changsha South Tantalum Niobium Co., Ltd.    Tantalum    China
Chenzhou Diamond Tungsten Products Co., Ltd.    Tungsten    China

 

5


Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    Tin    China
Chifeng Dajingzi Tin Industry Co., Ltd.    Tin    China
Chimet S.p.A.    Gold    Italy
China Tin Group Co., Ltd.    Tin    China
Chongyi Zhangyuan Tungsten Co., Ltd.    Tungsten    China
Chugai Mining    Gold    Japan
CV Ayi Jaya    Tin    Indonesia
CV Dua Sekawan    Tin    Indonesia
CV Gita Pesona    Tin    Indonesia
CV Tiga Sekawan    Tin    Indonesia
CV United Smelting    Tin    Indonesia
CV Venus Inti Perkasa    Tin    Indonesia
D Block Metals, LLC    Tantalum    United States of America
Daejin Indus Co., Ltd.    Gold    Korea, Republic of
Daye Non-Ferrous Metals Mining Ltd.    Gold    China
Degussa Sonne / Mond Goldhandel GmbH    Gold    Germany
DODUCO Contacts and Refining GmbH    Gold    Germany
Dowa    Gold    Japan
Dowa    Tin    Japan
DS PRETECH Co., Ltd.    Gold    Korea, Republic of
DSC (Do Sung Corporation)    Gold    Korea, Republic of
Eco-System Recycling Co., Ltd.    Gold    Japan
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Tin    Vietnam
EM Vinto    Tin    Bolivia
Emirates Gold DMCC    Gold    United Arab Emirates
Estanho de Rondonia S.A.    Tin    Brazil
Exotech Inc.    Tantalum    United States of America
F&X Electro-Materials Ltd.    Tantalum    China
Fenix Metals    Tin    Poland
Fidelity Printers and Refiners Ltd.    Gold    Zimbabwe
FIR Metals & Resource Ltd.    Tantalum    China
Fujian Jinxin Tungsten Co., Ltd.    Tungsten    China

 

6


Ganzhou Haichuang Tungsten Co., Ltd.    Tungsten    China
Ganzhou Huaxing Tungsten Products Co., Ltd.    Tungsten    China
Ganzhou Jiangwu Ferrotungsten Co., Ltd.    Tungsten    China
Ganzhou Seadragon W & Mo Co., Ltd.    Tungsten    China
GCC Gujrat Gold Centre Pvt. Ltd.    Gold    India
Geib Refining Corporation    Gold    United States of America
Gejiu Fengming Metallurgy Chemical Plant    Tin    China
Gejiu Jinye Mineral Company    Tin    China
Gejiu Kai Meng Industry and Trade LLC    Tin    China
Gejiu Non-Ferrous Metal Processing Co., Ltd.    Tin    China
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    Tin    China
Gejiu Zili Mining And Metallurgy Co., Ltd.    Tin    China
Global Advanced Metals Aizu    Tantalum    Japan
Global Advanced Metals Boyertown    Tantalum    United States of America
Global Tungsten & Powders Corp.    Tungsten    United States of America
Gold Refinery of Zijin Mining Group Co., Ltd.    Gold    China
Great Wall Precious Metals Co., Ltd. of CBPM    Gold    China
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    Tin    China
Guangdong Jinding Gold Limited    Gold    China
Guangdong Rising Rare Metals-EO Materials Ltd.    Tantalum    China
Guangdong Xianglu Tungsten Co., Ltd.    Tungsten    China
Guangdong Zhiyuan New Material Co., Ltd.    Tantalum    China
Guanyang Guida Nonferrous Metal Smelting Plant    Tin    China
Guoda Safina High-Tech Environmental Refinery Co., Ltd.    Gold    China
H.C. Starck Co., Ltd.    Tantalum    Thailand
H.C. Starck Hermsdorf GmbH    Tantalum    Germany
H.C. Starck Inc.    Tantalum    United States of America
H.C. Starck Ltd.    Tantalum    Japan
H.C. Starck Smelting GmbH & Co. KG    Tungsten    Germany
H.C. Starck Smelting GmbH & Co. KG    Tantalum    Germany
H.C. Starck Tantalum and Niobium GmbH    Tantalum    Germany
H.C. Starck Tungsten GmbH    Tungsten    Germany

 

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Hangzhou Fuchunjiang Smelting Co., Ltd.    Gold    China
HeeSung Metal Ltd.    Gold    Korea, Republic of
Heimerle + Meule GmbH    Gold    Germany
Hengyang King Xing Lifeng New Materials Co., Ltd.    Tantalum    China
Heraeus Metals Hong Kong Ltd.    Gold    China
Heraeus Precious Metals GmbH & Co. KG    Gold    Germany
HuiChang Hill Tin Industry Co., Ltd.    Tin    China
Huichang Jinshunda Tin Co., Ltd.    Tin    China
Hunan Chenzhou Mining Co., Ltd.    Tungsten    China
Hunan Chenzhou Mining Co., Ltd.    Gold    China
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    Tungsten    China
Hunan Chunchang Nonferrous Metals Co., Ltd.    Tungsten    China
Hunan Litian Tungsten Industry Co., Ltd.    Tungsten    China
HwaSeong CJ CO., LTD.    Gold    Korea, Republic of
Hydrometallurg, JSC    Tungsten    Russian Federation
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    Gold    China
Ishifuku Metal Industry Co., Ltd.    Gold    Japan
Istanbul Gold Refinery    Gold    Turkey
Italpreziosi    Gold    Italy
Japan Mint    Gold    Japan
Japan New Metals Co., Ltd.    Tungsten    Japan
Jiangwu H.C. Starck Tungsten Products Co., Ltd.    Tungsten    China
Jiangxi Copper Co., Ltd.    Gold    China
Jiangxi Dayu Longxintai Tungsten Co., Ltd.    Tungsten    China
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    Tantalum    China
Jiangxi Gan Bei Tungsten Co., Ltd.    Tungsten    China
Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    Tungsten    China
Jiangxi New Nanshan Technology Ltd.    Tin    China
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    Tungsten    China
Jiangxi Tuohong New Raw Material    Tantalum    China
Jiangxi Xinsheng Tungsten Industry Co., Ltd.    Tungsten    China

 

8


Jiangxi Yaosheng Tungsten Co., Ltd.    Tungsten    China
Jiujiang Janny New Material Co., Ltd.    Tantalum    China
JiuJiang JinXin Nonferrous Metals Co., Ltd.    Tantalum    China
Jiujiang Tanbre Co., Ltd.    Tantalum    China
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    Tantalum    China
JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Gold    Russian Federation
JSC Uralelectromed    Gold    Russian Federation
JX Nippon Mining & Metals Co., Ltd.    Gold    Japan
Kaloti Precious Metals    Gold    United Arab Emirates
Kazakhmys Smelting LLC    Gold    Kazakhstan
Kazzinc    Gold    Kazakhstan
KEMET Blue Metals    Tantalum    Mexico
KEMET Blue Powder    Tantalum    United States of America
Kennametal Fallon    Tungsten    United States of America
Kennametal Huntsville    Tungsten    United States of America
Kennecott Utah Copper LLC    Gold    United States of America
KGHM Polska Miedz Spolka Akcyjna    Gold    Poland
Kojima Chemicals Co., Ltd.    Gold    Japan
Korea Zinc Co., Ltd.    Gold    Korea, Republic of
Kyrgyzaltyn JSC    Gold    Kyrgyzstan
Kyshtym Copper-Electrolytic Plant ZAO    Gold    Russian Federation
L’azurde Company For Jewelry    Gold    Saudi Arabia
Lingbao Gold Co., Ltd.    Gold    China
Lingbao Jinyuan Tonghui Refinery Co., Ltd.    Gold    China
L’Orfebre S.A.    Gold    Andorra
LSM Brasil S.A.    Tantalum    Brazil
LS-NIKKO Copper Inc.    Gold    Korea, Republic of
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    Gold    China
Magnu’s Minerais Metais e Ligas Ltda.    Tin    Brazil
Malaysia Smelting Corporation (MSC)    Tin    Malaysia
Malipo Haiyu Tungsten Co., Ltd.    Tungsten    China
Marsam Metals    Gold    Brazil

 

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Materion    Gold    United States of America
Matsuda Sangyo Co., Ltd.    Gold    Japan
Melt Metais e Ligas S.A.    Tin    Brazil
Metallic Resources, Inc.    Tin    United States of America
Metallo Belgium N.V.    Tin    Belgium
Metallo Spain S.L.U.    Tin    Spain
Metallurgical Products India Pvt., Ltd.    Tantalum    India
Metalor Technologies (Hong Kong) Ltd.    Gold    China
Metalor Technologies (Singapore) Pte., Ltd.    Gold    Singapore
Metalor Technologies (Suzhou) Ltd.    Gold    China
Metalor Technologies S.A.    Gold    Switzerland
Metalor USA Refining Corporation    Gold    United States of America
Metalurgica Met-Mex Penoles S.A. De C.V.    Gold    Mexico
Mineracao Taboca S.A.    Tin    Brazil
Mineracao Taboca S.A.    Tantalum    Brazil
Minsur    Tin    Peru
Mitsubishi Materials Corporation    Gold    Japan
Mitsubishi Materials Corporation    Tin    Japan
Mitsui Mining and Smelting Co., Ltd.    Tantalum    Japan
Mitsui Mining and Smelting Co., Ltd.    Gold    Japan
MMTC-PAMP India Pvt., Ltd.    Gold    India
Modeltech Sdn Bhd    Tin    Malaysia
Modeltech Sdn Bhd    Gold    Malaysia
Moliren Ltd.    Tungsten    Russian Federation
Morris and Watson    Gold    New Aealand
Morris and Watson Gold Coast    Gold    Australia
Moscow Special Alloys Processing Plant    Gold    Russian Federation
Nadir Metal Rafineri San. Ve Tic. A.S.    Gold    Turkey
Navoi Mining and Metallurgical Combinat    Gold    Uzbekistan
Nghe Tinh Non-Ferrous Metals Joint Stock Company    Tin    Vietnam
NH Recytech Company    Gold    Korea, Republic of
Niagara Refining LLC    Tungsten    United States of America

 

10


Nihon Material Co., Ltd.    Gold    Japan
Ningxia Orient Tantalum Industry Co., Ltd.    Tantalum    China
NPM Silmet AS    Tantalum    Estonia
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    Tungsten    Vietnam
O.M. Manufacturing (Thailand) Co., Ltd.    Tin    Thailand
O.M. Manufacturing Philippines, Inc.    Tin    Philippines
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    Gold    Austria
Ohura Precious Metal Industry Co., Ltd.    Gold    Japan
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Gold    Russian Federation
OJSC Novosibirsk Refinery    Gold    Russian Federation
Operaciones Metalurgical S.A.    Tin    Bolivia
PAMP S.A.    Gold    Switzerland
Pease & Curren    Gold    United States of America
Penglai Penggang Gold Industry Co., Ltd.    Gold    China
Philippine Chuangxin Industrial Co., Inc.    Tungsten    Philippines
Planta Recuperadora de Metales SpA    Gold    Chile
Pongpipat Company Limited    Tin    Myanmar
Power Resources Ltd.    Tantalum    Macedonia
Prioksky Plant of Non-Ferrous Metals    Gold    Russian Federation
PT Aneka Tambang (Persero) Tbk    Gold    Indonesia
PT Aries Kencana Sejahtera    Tin    Indonesia
PT Artha Cipta Langgeng    Tin    Indonesia
PT ATD Makmur Mandiri Jaya    Tin    Indonesia
PT Babel Inti Perkasa    Tin    Indonesia
PT Bangka Prima Tin    Tin    Indonesia
PT Bangka Serumpun    Tin    Indonesia
PT Bangka Tin Industry    Tin    Indonesia
PT Belitung Industri Sejahtera    Tin    Indonesia
PT Bukit Timah    Tin    Indonesia
PT DS Jaya Abadi    Tin    Indonesia
PT Inti Stania Prima    Tin    Indonesia

 

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PT Karimun Mining    Tin    Indonesia
PT Kijang Jaya Mandiri    Tin    Indonesia
PT Menara Cipta Mulia    Tin    Indonesia
PT Mitra Stania Prima    Tin    Indonesia
PT Panca Mega Persada    Tin    Indonesia
PT Premium Tin Indonesia    Tin    Indonesia
PT Prima Timah Utama    Tin    Indonesia
PT Refined Bangka Tin    Tin    Indonesia
PT Sariwiguna Binasentosa    Tin    Indonesia
PT Stanindo Inti Perkasa    Tin    Indonesia
PT Sukses Inti Makmur    Tin    Indonesia
PT Sumber Jaya Indah    Tin    Indonesia
PT Timah (Persero) Tbk Kundur    Tin    Indonesia
PT Timah (Persero) Tbk Mentok    Tin    Indonesia
PT Tinindo Inter Nusa    Tin    Indonesia
PT Tommy Utama    Tin    Indonesia
PX Precinox S.A.    Gold    Switzerland
QuantumClean    Tantalum    United States of America
Rand Refinery (Pty) Ltd.    Gold    South Africa
Refinery of Seemine Gold Co., Ltd.    Gold    China
Remondis Argentia B.V.    Gold    Netherlands
Resind Industria e Comercio Ltda.    Tantalum    Brazil
Resind Industria e Comercio Ltda.    Tin    Brazil
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    Tantalum    China
Royal Canadian Mint    Gold    Canada
Rui Da Hung    Tin    Taiwan
SAAMP    Gold    France
Sabin Metal Corp.    Gold    United States of America
Safimet S.p.A    Gold    Italy
SAFINA A.S.    Gold    Czech republic
Sai Refinery    Gold    India
Samduck Precious Metals    Gold    Korea, Republic of

 

12


Samwon Metals Corp.    Gold    Korea, Republic of
SAXONIA Edelmetalle GmbH    Gold    Germany
SEMPSA Joyeria Plateria S.A.    Gold    Spain
Shandong Tiancheng Biological Gold Industrial Co., Ltd.    Gold    China
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    Gold    China
Sichuan Tianze Precious Metals Co., Ltd.    Gold    China
Singway Technology Co., Ltd.    Gold    Taiwan
SOE Shyolkovsky Factory of Secondary Precious Metals    Gold    Russian Federation
Soft Metais Ltda.    Tin    Brazil
Solar Applied Materials Technology Corp.    Gold    Taiwan
Solikamsk Magnesium Works OAO    Tantalum    Russian Federation
South-East Nonferrous Metal Company Limited of Hengyang City    Tungsten    China
State Research Institute Center for Physical Sciences and Technology    Gold    Lithuania
Sudan Gold Refinery    Gold    Sudan
Sumitomo Metal Mining Co., Ltd.    Gold    Japan
SungEel HiMetal Co., Ltd.    Gold    Korea, Republic of
Super Ligas    Tin    Brazil
T.C.A S.p.A    Gold    Italy
Taki Chemical Co., Ltd.    Tantalum    Japan
Tanaka Kikinzoku Kogyo K.K.    Gold    Japan
Tejing (Vietnam) Tungsten Co., Ltd.    Tungsten    Vietnam
Telex Metals    Tantalum    United States of America
Thaisarco    Tin    Thailand
The Refinery of Shandong Gold Mining Co., Ltd.    Gold    China
Tin Technology & Refining    Tin    United States of America
Tokuriki Honten Co., Ltd.    Gold    Japan
Tongling Nonferrous Metals Group Co., Ltd.    Gold    China
Tony Goetz NV    Gold    Belgium
TOO Tau-Ken-Altyn    Gold    Kazakhstan
Torecom    Gold    Korea, Republic of

 

13


Tuyen Quang Non-Ferrous Metals Joint Stock Company    Tin    Vietnam
Ulba Metallurgical Plant JSC    Tantalum    Kazakhstan
Umicore Brasil Ltda.    Gold    Brazil
Umicore Precious Metals Thailand    Gold    Thailand
Umicore S.A. Business Unit Precious Metals Refining    Gold    Belgium
Unecha Refractory metals plant    Tungsten    Russian Federation
United Precious Metal Refining, Inc.    Gold    United States of America
Universal Precious Metals Refining Zambia    Gold    Zambia
Valcambi S.A.    Gold    Switzerland
Western Australian Mint (T/a The Perth Mint)    Gold    Australia
White Solder Metalurgia e Mineracao Ltda.    Tin    Brazil
WIELAND Edelmetalle GmbH    Gold    Germany
Wolfram Bergbau und Hutten AG    Tungsten    Austria
Woltech Korea Co., Ltd.    Tungsten    Korea, Republic of
Xiamen Tungsten (H.C.) Co., Ltd.    Tungsten    China
Xiamen Tungsten Co., Ltd.    Tungsten    China
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    Tungsten    China
Xinhai Rendan Shaoguan Tungsten Co., Ltd.    Tungsten    China
XinXing HaoRong Electronic Material Co., Ltd.    Tantalum    China
Yamakin Co., Ltd.    Gold    Japan
Yokohama Metal Co., Ltd.    Gold    Japan
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    Tin    China
Yunnan Copper Industry Co., Ltd.    Gold    China
Yunnan Tin Company Limited    Tin    China
Zhongyuan Gold Smelter of Zhongjin Gold Corporation    Gold    China

 

14


Table 2

 

Country of Origin

Angola
Argentina
Armenia
Australia
Austria
Belarus
Belgium
Bermuda
Bolivia
Brazil
Burundi
Cambodia
Canada
Central African Republic
Chile
China
Colombia
Congo (Brazzaville)
Czech Republic
Djibouti
DRC- Congo (Kinshasa)
Ecuador
Egypt
Estonia

 

15


Ethiopia
Finland
France
Germany
Ghana
Guinea
Guyana
Hong Kong
Hungary
India
Indonesia
Ireland
Israel
Italy
Ivory Coast
Japan
Jersey
Kazakhstan
Kenya
Korea, Republic of
Kyrgyzstan
Laos
Luxembourg
Madagascar
Malaysia
Mali

 

16


Mexico
Mongolia
Morocco
Mozambique
Myanmar
Namibia
Netherlands
New Zealand
Niger
Nigeria
Papua New Guinea
Peru
Philippines
Poland
Portugal
Russian Federation
Rwanda
Saudi Arabia
Sierra Leone
Singapore
Slovakia
South Africa
South Sudan
Spain
Suriname
Sweden

 

17


Switzerland
Taiwan
Tajikistan
Tanzania
Thailand
Turkey
Uganda
United Arab Emirates
United Kingdom
United States
Uzbekistan
Vietnam
Zambia
Zimbabwe

 

18