UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

__________________________________________________ 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

 __________________________________________________ 

INFINERA CORPORATION

(Exact name of registrant as specified in its charter)

 

__________________________________________________ 

Delaware

001-33486

77-0560433

(State or other jurisdiction of incorporation or organization)

(Commission File Number)

(IRS Employer Identification No.)

6373 San Ignacio Avenue, San Jose, CA						95119
(Address of principal executive offices)						(Zip Code)

Nicholas M. Janof						(408) 572-5200
(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:

x    Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2021.

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Introduction

Infinera Corporation (the “Company”) is a global supplier of networking solutions comprised of networking equipment, software and services. The Company’s portfolio of solutions includes optical transport platforms, converged packet-optical transport platforms, compact modular platforms, optical line systems, coherent optical subsystems, a suite of automation software offerings, and support and professional services.

The Company’s customers include operators of fixed line and mobile networks, including telecommunications service providers, internet content providers, cable providers, wholesale carriers, research and education institutions, large enterprises, utilities and government entities. The Company’s networking solutions enable its customers to deliver high-bandwidth business and consumer communications services and scale their transport networks as end-user services and applications continue to drive growth in demand for network bandwidth. These end-user services and applications include, but are not limited to, high-speed internet access, business ethernet services, 4G/5G mobile broadband, cloud-based services, high-definition video streaming services, virtual and augmented reality and the Internet of Things.

The Company’s products for the reporting period covered by this Form SD include the Company's (i) optical transport platforms; (ii) converged packet-optical transport platforms; (iii) compact modular platforms; (iv) optical line systems; and (v) coherent optical subsystems.

The Company's Conflict Minerals Policy is available on its website at www.infinera.com. The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.

Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

In accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended, the Company has filed this Form SD in respect of the reporting period January 1, 2021 to December 31, 2021, and the associated Conflict Minerals Report, which appears as Exhibit 1.01 hereto and is publicly available on the Company’s website at www.infinera.com.

Item 1.02 Exhibit    

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.

Section 2 - Exhibits

The following exhibit is filed as part of this report.

Item 2.01 Exhibits

Exhibit No.						Description
1.01						Conflict Minerals Report for the period January 1 to December 31, 2021 as required by Items 1.01 and 1.02 of this Form SD.

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

Infinera Corporation

Date:

May 27, 2022

By:

/s/ Nancy Erba

Nancy Erba

Chief Financial Officer

Exhibit 1.01

Infinera Corporation

Conflict Minerals Report

For the Reporting Period January 1, 2021 to December 31, 2021

Introduction

This is the Conflict Minerals Report of Infinera Corporation (“we,” “our,” “us,” or “Infinera”) prepared for calendar year 2021 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934, as amended (the “Act”). Rule 13p-1 imposes certain reporting obligations on registrants whose manufactured products contain certain conflict minerals that are necessary to the functionality or production of such products. The term “conflict minerals” is defined in Item 1.01(d) of Form SD as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted), or their derivatives (“3TG”); or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or adjoining countries, which are the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola (collectively with the DRC, the “Covered Countries”).

In conducting due diligence on our supply chain for purposes of complying with Rule 13p-1, we designed our efforts in conformity with the internationally recognized due diligence framework provided by the Organization for Economic Co-Operation and Development (“OECD”). Specifically, this is based on and designed to comply with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the related supplements on tantalum, tin, tungsten and gold (collectively, the “OECD Guidance”).

Overview

Company Profile

    

We are a global supplier of networking solutions comprised of networking equipment, software and services. Our portfolio of solutions includes optical transport platforms, converged packet-optical transport platforms, compact modular platforms, optical line systems, coherent optical subsystems, a suite of automation software offerings, and support and professional services.

Our customers include operators of fixed line and mobile networks, including telecommunications service providers, internet content providers, cable providers, wholesale carriers, research and education institutions, large enterprises, utilities and government entities. Our networking solutions enable our

1

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Exhibit 1.01

customers to deliver high-bandwidth business and consumer communications services and scale their transport networks as end-user services and applications continue to drive growth in demand for network bandwidth. These end-user services and applications include, but are not limited to, high-speed internet access, business ethernet services, 4G/5G mobile broadband, cloud-based services, high-definition video streaming services, virtual and augmented reality and the Internet of Things.

Our hardware products for the reporting period include our (i) optical transport platforms; (ii) converged packet-optical transport platforms; (iii) compact modular platforms; (iv) optical line systems; and (v) coherent optical subsystems, which are collectively referred to herein as the “Covered Products.” We have determined that certain hardware components of our Covered Products contain one or more conflict minerals and thus, the Covered Products are within the scope of Rule 13p-1.

Although most of the Covered Products contain conflict minerals, we do not directly source 3TG from mines or “mineral processors” (herein referred to as “smelters and refiners”). Instead, we source components and materials from suppliers, who source their components and materials from sub-tier suppliers. Our company is far removed from the upstream smelters and refiners in our supply chain, and we are therefore considered a “downstream company”, as described by the OECD Guidance. Due to our position in the supply chain, we rely on our direct suppliers that supply us with components and/or materials containing 3TG to provide information on the conflict minerals necessary to the functionality and production of our products. Relevant suppliers are requested to assist in our good faith reasonable country of origin inquiry (“RCOI”) and due diligence efforts, including the identification of the smelters and refiners for the conflict minerals used in the products supplied to us.

Reasonable Country of Origin Inquiry

We procure our components and materials from a variety of suppliers around the world and we have determined that during calendar year 2021 we manufactured (or contracted to manufacture) Covered Products as to which conflict minerals are necessary to the functionality or production of such products. In accordance with Rule 13p-1, we conducted our RCOI to determine whether the necessary conflict minerals may have originated in the Covered Countries or come from recycled or scrap sources.

Our RCOI process included conducting an inquiry of our direct suppliers using the Conflict Minerals Reporting Template (“CMRT”) developed by the Responsible Minerals Initiative (“RMI”). We do not have direct supply contracts with the providers of raw materials used in our Covered Products and we do not directly source 3TGs. We source components and materials from suppliers, which in turn, source materials, components and products from their suppliers. Our supply chain is extensive and complex with many layers of suppliers positioned between ourselves and 3TG smelters and refiners. Due to our

2

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Exhibit 1.01

extended supply chain, we leverage our suppliers to provide us with information concerning the sources and chains of custody of 3TGs necessary to the functionality or production of Covered Products.

We required our direct suppliers to query their upstream suppliers using the CMRT. We used the CMRT responses from our direct suppliers to gather information regarding the origin of the minerals in the components and materials they supplied to us, as well as to identify the smelters and refiners that may have processed the conflict minerals in our supply chain. We obtained additional country of origin information for the smelters identified as potentially being within our supply chain through our membership in the RMI. Based on the results of our RCOI, we determined that a number of smelters and/or refiners identified in our supply chain either do or may source 3TG from the Covered Countries, and we have exercised due diligence regarding the source and chain of custody of such conflict minerals.

Design of Conflict Minerals Program

We designed our conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Guidance, specifically as it relates to our position in the minerals supply chain as a “downstream” company:

Step 1:     Establish strong company management systems

Step 2:     Identify and assess risk in the supply chain

Step 3:     Design and implement a strategy to respond to identified risks

Step 4:    Support independent third-party audits of supply chain due diligence

Step 5:     Report on supply chain due diligence

Consistent with the OECD Guidance, we relied upon multi-stakeholder initiatives that provide verification processes for conflict-free minerals from smelters or refiners that may provide those minerals to companies in our supply chain. We, as a purchaser of components and materials, are many steps removed from the mining of conflict minerals, do not purchase raw ore or unrefined conflict minerals, do not purchase minerals directly from smelters or refiners, and do not conduct purchasing activities directly in any of the Covered Countries.

Due Diligence Measures Performed

        The following describes the measures taken to reasonably determine the country of origin of conflict minerals and to exercise due diligence regarding our supply chain in conformance with the OECD Guidance.

Step 1: Establish strong company management systems

3

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Exhibit 1.01

a.Conflict minerals team – We have a conflict minerals team that includes individuals from the appropriate business units and departments, including legal, finance, operations and procurement. The team is structured to ensure critical information, including our policies related to this subject matter, reach relevant employees and suppliers.

b.Conflict minerals policy – Together with our Supplier Code of Conduct, our Conflict Minerals Policy establishes our expectations of our suppliers. The Conflict Minerals Policy can be found on our website at https://www.infinera.com/wp-content/uploads/Conflict-Minerals-Policy-Grievance-06012021.pdf and the Supplier Code of Conduct can be found on our website at https://www.infinera.com/wp-content/uploads/Infinera-Supplier-Code-of-Conduct-2021-0277-SUP-RevC-0421.pdf. These documents are available via a link on our Corporate Social Responsibility webpage at https://www.infinera.com and are periodically reviewed and will be updated, if necessary.

c.Supplier engagement – We required our suppliers to fully disclose any materials found in components or products they supply to us that contain 3TG. In addition, we have incorporated requirements for compliance with conflict minerals disclosure into the periodic business reviews conducted with key suppliers. The periodic business reviews enable us to evaluate the performance and set goals for continuous improvement regarding supply chain issues including any issues related to conflict minerals.

d.Supply Chain System of Controls – We have a supply chain system of controls, which is based on the engagement of our direct suppliers and the disclosure by our suppliers of relevant 3TG sourcing information. The goal of this system is to collect the necessary information from suppliers to identify the smelters and refiners in our supply chain and to obtain the information necessary to meet legal and customer reporting requirements.

Our relevant suppliers provide us with information on the source of the 3TG used in their products with the use of tools such as the CMRT. We employ a third-party database to assess supplier responses for completeness.

e.Company level grievance mechanism – As recommended by the OECD Guidance, we have established a grievance mechanism, which is set forth in our Conflict Minerals Policy. Reports can be made anonymously and will be kept confidential to the fullest extent practicable and allowed by law.

f.Records management – We will continue to maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines.

Step 2: Identify and assess risk in the supply chain

We performed the following steps as part of our risk assessment process:

a.Identified Direct Suppliers – We identified all direct, or first tier, suppliers that may provide components and materials containing 3TG in the Covered Products during the calendar year 2021 reporting period. We relied on our direct suppliers to provide information on the origin

4

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Exhibit 1.01

of the conflict minerals contained in components and materials supplied to us – including sources of conflict minerals that are supplied to them by upstream suppliers.

b.Conducted RCOI – We utilized the industry-developed CMRT to query our direct suppliers for conflict minerals information, and we require our direct suppliers to query their upstream suppliers using the CMRT for the necessary conflict minerals information. We evaluated the information gathered from the CMRTs submitted by our direct suppliers to determine our due diligence and reporting obligations based on this RCOI.

c.Completed additional follow-up – We reviewed the CMRT submissions to validate if they were complete and to identify any contradictions or inconsistencies. We employ a third-party database to perform the analysis of supplier CMRT data based on criteria established by us in collaboration with the third-party. We also have worked with suppliers to secure updated responses where necessary.

d.Identified smelters and refiners – We collected a list of smelters and refiners that may have processed conflict minerals in our supply chain by utilizing the responses to the CMRT. We reconciled this list to the list of smelter and refiners designated as “conformant” by the RMI Responsible Minerals Assurance Process (“RMAP”). We have provided that list in this report.

Step 3: Design and implement a strategy to respond to identified risks

We performed the following steps as part of our risk management plan:

a.Designed and implemented a plan –We adopted and utilized the CMRT to monitor and mitigate supply chain risk.

b.Verified smelters – As part of the risk mitigation process, we reconciled the list of smelters collected from suppliers to the list of smelter facilities designated as “RMAP conformant” by the RMAP.

c.Supplier outreach – We followed up with suppliers that did not initially respond to our requests to complete the CMRT and followed up with questions to explain contradictions and inconsistencies.

d.Met with management – Members of the conflict minerals team periodically report to a designated committee of our senior management, including our Chief Financial Officer, our SVP of Global Operations and our Chief Legal Officer.

Step 4: Support independent third-party audits of supply chain due diligence

We utilized the RMI’s published lists to verify the status of smelters and refiners that source from Covered Countries as conformant with the RMAP assessment protocols for responsible sourcing of conflict minerals.

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Exhibit 1.01

We are a member of the RMI (INFI). As a member, we have supported the development of the RMAP and have utilized the RMAP to determine the country of origin of conflict minerals in our products. The RMAP uses independent third-party audits to certify smelters and refiners that can demonstrate that the 3TGs which they process do not originate from sources that may be directly or indirectly financing or benefitting armed groups in a Covered Country. The efforts to determine location of origin through the RMI is described on the RMI website at:

http://www.responsiblemineralsinitiative.org. We remain supportive of industry-wide efforts to expand smelter certification.

Step 5: Report on supply chain due diligence

This report and our Form SD will be filed with the Securities and Exchange Commission (“SEC”), and this report is publicly available on our website at www.infinera.com.

Results of RCOI and Due Diligence

We conducted a survey of the 662 direct suppliers we identified that may provide products or components containing 3TG and received a response to our inquiry from over 60 percent of our direct suppliers for calendar year 2021. We did receive, however, some incomplete responses from those surveyed, including responses that still contain incomplete smelter lists. As we do not directly purchase from any smelters and refiners, nor do the majority of our suppliers, we have very little influence over their sourcing. We rely, to a large extent, on the information provided by independent third-party audit programs. Such sources of information may contain incomplete or inaccurate data, and may be subject to fraud.

We have determined that a portion of the conflict minerals contained in the Covered Products originated from the Covered Countries, but we were unable to determine the origin of all the conflict minerals in our Covered Products. Because we have not described any of our products as “DRC conflict free,” an independent private sector audit is not required to be conducted under Rule 13p-1, based on guidance from the SEC’s staff, and therefore has not been conducted.

Smelters or Refineries

We present in this report a list of smelters and refiners provided by those of our suppliers that completed the smelter list on the CMRT, to the extent reasonably determinable, and that may have provided conflict minerals in any of the Covered Products. This table, included in Appendix 1, is as of May 20, 2022 and

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Exhibit 1.01

includes only facilities, to the extent known, that have been validated by the RMI as facilities that are currently listed in the RMAP or are listed in the CMRT as “known smelters or refiners.” For smelter and refiner identification, the vast majority of our suppliers provided data at a company or divisional level, or otherwise were unable to identify specific entities that had processed 3TGs contained in the materials, components, or products supplied to us. This was expected given the multiple tiers of suppliers and other entities that are positioned between our direct suppliers and 3TG smelters or refiners. Because of this, we are unable, at this time, to verify that any of the 3TG smelters or refiners that our suppliers identified were part of our raw materials supply chain.

Due Diligence Improvement Efforts

We will continue to communicate our expectations and information requirements to our direct suppliers and continue to work towards a conflict-free supply chain. In addition, we will continue to make inquiries of our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence process or reporting needs improvement, we currently intend to continue the trade relationship while that supplier improves its compliance program. We expect our direct suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.

In addition to the plans described above, we will undertake the following steps during the next reporting period:

•Continue to collect responses from suppliers using the CMRT, including the collection of more product-level responses.

•Continue to work directly with our suppliers to provide more complete responses as a number of suppliers have been unable to determine the origin of the 3TG in products or components supplied to us or to determine whether they come from recycled or scrap sources.

•Continue to support supply chain transparency efforts through our membership in RMI.

•Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the RMAP.

•Continue to allow verified conflict-free material from the Covered Countries to enter our supply chain.

Additional Information    

The statements above are based on the RCOI process and due diligence performed in good faith by Infinera. These statements are based on information available at the time. A number of factors could introduce errors or otherwise affect our status with respect to this Conflict Minerals Report. These factors

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Exhibit 1.01

include, but are not limited to, gaps in supplier data, gaps in smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, all instances of conflict minerals necessary to the functionality or manufacturing of our products possibly not yet having been identified, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, language barriers and translation, oversights or errors in conflict free smelter audits, Covered Countries sourced materials being declared secondary materials, companies in our supply chain going out of business, certification programs being not equally advanced for all industry segments and metals, updated guidance regarding the SEC final rules, and smuggling of conflict minerals from the Covered Countries to countries beyond the Covered Countries. Information contained on our website or any website referred to in this Conflict Minerals Report is not incorporated by reference unless expressly noted. 

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Exhibit 1.01

Appendix 1

Smelters and Refiners

Metal			Smelter			RMAP Status
Gold			8853 S.p.A.			Conformant
Gold			Abington Reldan Metals, LLC			Active
Gold			Advanced Chemical Company			Conformant
Gold			African Gold Refinery			Not RMAP Conformant or Active
Gold			Agosi AG			Conformant
Gold			Aida Chemical Industries Co., Ltd.			Conformant
Gold			Al Etihad Gold Refinery DMCC			Conformant
Gold			Alexy Metals			Active
Gold			Almalyk Mining and Metallurgical Complex (AMMC)			Conformant
Gold			AngloGold Ashanti Corrego do Sitio Mineracao			Conformant
Gold			Argor-Heraeus S.A.			Conformant
Gold			Asahi Pretec Corp.			Conformant
Gold			Asahi Refining Canada Ltd.			Conformant
Gold			Asahi Refining USA Inc.			Conformant
Gold			Asaka Riken Co., Ltd.			Conformant
Gold			Atasay Kuyumculuk Sanayi Ve Ticaret A.S.			Not RMAP Conformant or Active
Gold			AU Traders and Refiners			Not RMAP Conformant or Active
Gold			Augmont Enterprises Private Limited			Active
Gold			Aurubis AG			Conformant
Gold			Bangalore Refinery			Conformant
Gold			Bangko Sentral ng Pilipinas (Central Bank of the Philippines)			Conformant
Gold			Boliden AB			Conformant
Gold			C. Hafner GmbH + Co. KG			Conformant
Gold			C.I Metales Procesados Industriales SAS			Active
Gold			Caridad			Not RMAP Conformant or Active
Gold			CCR Refinery - Glencore Canada Corporation			Conformant
Gold			Cendres + Metaux S.A.			Conformant
Gold			Chemmanur Gold Refinery			Not RMAP Conformant or Active
Gold			Chimet S.p.A			Conformant
Gold			Chugai Mining			Conformant
Gold			Daye Non-Ferrous Metals Mining Ltd.			Not RMAP Conformant or Active
Gold			Degussa Sonne / Mond Goldhandel GmbH			Not RMAP Conformant or Active

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Exhibit 1.01

Gold			Dijllah Gold Refinery FZC			Not RMAP Conformant or Active
Gold			DODUCO Contacts and Refining GmbH			Conformant
Gold			Dowa			Conformant
Gold			DSC (Do Sung Corporation)			Conformant
Gold			Eco-System Recycling Co., Ltd. East Plant			Conformant
Gold			Eco-System Recycling Co., Ltd. North Plant			Conformant
Gold			Eco-System Recycling Co., Ltd. West Plant			Conformant
Gold			Emerald Jewel Industry India Limited (Unit 1)			Not RMAP Conformant or Active
Gold			Emerald Jewel Industry India Limited (Unit 2)			Not RMAP Conformant or Active
Gold			Emerald Jewel Industry India Limited (Unit 3)			Not RMAP Conformant or Active
Gold			Emirates Gold DMCC			Conformant
Gold			Emerald Jewel Industry India Limited (Unit 4)			Not RMAP Conformant or Active
Gold			Fidelity Printers and Refiners Ltd.			Not RMAP Conformant or Active
Gold			Fujairah Gold FZC			Not RMAP Conformant or Active
Gold			Geib Refining Corporation			Conformant
Gold			GGC Gujrat Gold Centre Pvt. Ltd			Active
Gold			Gold Coast Refinery			Not RMAP Conformant or Active
Gold			Gold Refinery of Zijin Mining Group Co., Ltd.			Conformant
Gold			Great Wall Precious Metals Co., Ltd. of CBPM			Not RMAP Conformant or Active
Gold			Guangdong Jinding Gold Limited			Not RMAP Conformant or Active
Gold			Guoda Safina High-Tech Environmental Refinery Co., Ltd.			Not RMAP Conformant or Active
Gold			Hangzhou Fuchunjiang Smelting Co., Ltd.			Not RMAP Conformant or Active
Gold			Heimerle + Meule GmbH			Conformant
Gold			Heraeus Germany GmbH Co. KG			Conformant
Gold			Heraeus Metals Hong Kong Ltd.			Conformant
Gold			Hunan Chenzhou Mining Co., Ltd.			Not RMAP Conformant or Active
Gold			Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.			Not RMAP Conformant or Active

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Exhibit 1.01

Gold			HwaSeong CJ CO., LTD.			Not RMAP Conformant or Active
Gold			Industrial Refining Company			Not RMAP Conformant or Active
Gold			Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.			Conformant
Gold			International Precious Metal Refiners			Not RMAP Conformant or Active
Gold			Ishifuku Metal Industry Co., Ltd.			Conformant
Gold			Istanbul Gold Refinery			Conformant
Gold			Italpreziosi			Conformant
Gold			JALAN & Company			Not RMAP Conformant or Active
Gold			Japan Mint			Conformant
Gold			Jiangxi Copper Co., Ltd.			Conformant
Gold			JSC Ekaterinburg Non-Ferrous Metal Processing Plant			Not RMAP Conformant or Active
Gold			JSC Novosibirsk Refinery			Not RMAP Conformant or Active
Gold			JSC Uralelectromed			Not RMAP Conformant or Active
Gold			JX Nippon Mining & Metals Co., Ltd.			Conformant
Gold			K.A. Rasmussen			Not RMAP Conformant or Active
Gold			Kaloti Precious Metals			Not RMAP Conformant or Active
Gold			Kazakhmys Smelting LLC			Not RMAP Conformant or Active
Gold			Kazzinc			Conformant
Gold			Kennecott Utah Copper LLC			Conformant
Gold			KGHM Polska Miedz Spolka Akcyjna			Conformant
Gold			Kojima Chemicals Co., Ltd.			Conformant
Gold			Korea Zinc Co., Ltd.			Conformant
Gold			Kundan Care Products Ltd.			Not RMAP Conformant or Active
Gold			Kyrgyzstand JSC			Not RMAP Conformant or Active
Gold			Kyshtym Copper-Electrolytic Plant ZAO			Not RMAP Conformant or Active
Gold			L'azurde Company for Jewelry			Not RMAP Conformant or Active
Gold			Lingbao Gold Co., Ltd.			Not RMAP Conformant or Active

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Exhibit 1.01

Gold			Lingbao Jinyuan Tonghui Refinery Co., Ltd.			Not RMAP Conformant or Active
Gold			L'Orfebre S.A.			Conformant
Gold			LS-NIKKO Copper Inc.			Conformant
Gold			LT Metal Ltd.			Conformant
Gold			Luoyang Zijin Yinhui Gold Refinery Co., Ltd.			Not RMAP Conformant or Active
Gold			Marsam Metals			Conformant
Gold			Materion			Conformant
Gold			Matsuda Sangyo Co., Ltd.			Conformant
Gold			MD Overseas			Not RMAP Conformant or Active
Gold			Metal Concentrators SA (Pty) Ltd.			Conformant
Gold			Metallix Refining Inc.			Not RMAP Conformant or Active
Gold			Metalor Technologies (Hong Kong) Ltd.			Conformant
Gold			Metalor Technologies (Singapore) Pte., Ltd.			Conformant
Gold			Metalor Technologies (Suzhou) Ltd.			Conformant
Gold			Metalor Technologies S.A.			Conformant
Gold			Metalor USA Refining Corporation			Conformant
Gold			Metalurgica Met-Mex Penoles S.A. De C.V.			Conformant
Gold			Mitsubishi Materials Corporation			Conformant
Gold			Mitsui Mining and Smelting Co., Ltd.			Conformant
Gold			MMTC-PAMP India Pvt., Ltd.			Conformant
Gold			Modeltech Sdn Bhd			Not RMAP Conformant or Active
Gold			Morris and Watson			Not RMAP Conformant or Active
Gold			Moscow Special Alloys Processing Plant			Not RMAP Conformant or Active
Gold			Nadir Metal Rafineri San. Ve Tic. A.S.			Conformant
Gold			Navoi Mining and Metallurgical Combinat			Conformant
Gold			NH Recytech Company			Conformant
Gold			Nihon Material Co., Ltd.			Conformant
Gold			Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH			Conformant
Gold			Ohura Precious Metal Industry Co., Ltd.			Conformant
Gold			OJSC Krastsvetmet			Not RMAP Conformant or Active
Gold			PAMP S.A.			Conformant
Gold			Pease & Curren			Not RMAP Conformant or Active
Gold			Penglai Penggang Gold Industry Co., Ltd.			Not RMAP Conformant or Active

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Exhibit 1.01

Gold			Planta Recuperadora de Metales SpA			Conformant
Gold			Prioksky Plant of Non-Ferrous Metals			Not RMAP Conformant or Active
Gold			PT Aneka Tambang (Persero) Tbk			Conformant
Gold			PX Precinox S.A.			Conformant
Gold			QG Refining, LLC			Not RMAP Conformant or Active
Gold			Rand Refinery (Pty) Lrd.			Conformant
Gold			Refinery of Seemine Gold Co., Ltd.			Not RMAP Conformant or Active
Gold			REMONDIS PMR B.V.			Conformant
Gold			Royal Canadian Mint			Conformant
Gold			SAAMP			Conformant
Gold			Sabin Metal Corp.			Not RMAP Conformant or Active
Gold			Safimet S.p.A			Conformant
Gold			SAFINA A.S.			Conformant
Gold			Sai Refinery			Not RMAP Conformant or Active
Gold			Samduck Precious Metals			Conformant
Gold			Samwon Metals Corp.			Not RMAP Conformant or Active
Gold			Sancus ZFS (L'Orfebre, SA)			Active
Gold			SAXONIA Edelmetalle GmbH			Not RMAP Conformant or Active
Gold			Sellem Industries Ltd.			Not RMAP Conformant or Active
Gold			SEMPSA Joyeria Plateria S.A.			Conformant
Gold			Shandong Gold Smelting Co., Ltd.			Conformant
Gold			Shandong Humon Smelting Co., Ltd.			Not RMAP Conformant or Active
Gold			Shandong Tiancheng Biological Gold Industrial Co., Ltd.			Not RMAP Conformant or Active
Gold			Shandong Zhaojin Gold & Silver Refinery Co., Ltd.			Conformant
Gold			Shenzhen Zhonghenglong Real Industry Co., Ltd.			Not RMAP Conformant or Active
Gold			Shirpur Gold Refinery Ltd.			Not RMAP Conformant or Active
Gold			Sichuan Tianze Precious Metals Co., Ltd.			Conformant
Gold			Singway Technology Co., Ltd.			Conformant
Gold			SOE Shyolkovsky Factory of Secondary Precious Metals			Not RMAP Conformant or Active
Gold			Solar Applied Materials Technology Corp.			Conformant

13

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Exhibit 1.01

Gold			Sovereign Metals			Not RMAP Conformant or Active
Gold			State Research Institute Center for Physical Sciences and Technology			Not RMAP Conformant or Active
Gold			Sudan Gold Refinery			Not RMAP Conformant or Active
Gold			Sumitomo Metal Mining Co., Ltd.			Conformant
Gold			SungEel HiMetal Co., Ltd.			Conformant
Gold			T.C.A S.p.A			Conformant
Gold			Tanaka Kikinzoku Kogyo K.K.			Conformant
Gold			Tokuriki Hoten Co., Ltd.			Conformant
Gold			Tongling Nonferrous Metals Group Co., Ltd.			Not RMAP Conformant or Active
Gold			TOO Tau-Ken-Altyn			Conformant
Gold			Torecom			Conformant
Gold			TSK Pretech			Not RMAP Conformant or Active
Gold			Umicore Precious Metals Thailand			Conformant
Gold			Umicore S.A. Business Unit Precious Metals Refining			Conformant
Gold			United Precious Metal Refining, Inc.			Conformant
Gold			Valcambi S.A.			Conformant
Gold			Value Trading			Not RMAP Conformant or Active
Gold			WEEEREFINING			Active
Gold			Western Australian Mint (T/a The Perth Mint)			Conformant
Gold			WIELAND Edelmetalle GmbH			Conformant
Gold			Yamakin Co., Ltd.			Conformant
Gold			Yokohama Metal Co., Ltd.			Conformant
Gold			Yunnan Copper Industry Co., Ltd.			Not RMAP Conformant or Active
Gold			Zhongyuan Gold Smelter of Zhongjin Gold Corporation			Conformant
Tantalum			AMG Brasil			Conformant
Tantalum			Asaka Riken Co., Ltd.			Conformant
Tantalum			Changsha South Tantalum Niobium Co., Ltd.			Conformant
Tantalum			D Block Metals, LLC			Conformant
Tantalum			Exotech Inc.			Not RMAP Conformant or Active
Tantalum			F&X Electro-Materials Ltd.			Conformant
Tantalum			FIR Metals & Resource Ltd.			Conformant
Tantalum			Global Advanced Metals Aizu			Conformant
Tantalum			Global Advanced Metals Boyertown			Conformant
Tantalum			H.C. Starck Hermsdorf GmbH			Conformant
Tantalum			Hengyang King Xing Lifeng New Materials Co., Ltd.			Conformant

14

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Exhibit 1.01

Tantalum			Jiangxi Dinghai Tantalum & Noibium Co., Ltd.			Conformant
Tantalum			Jiangxi Tuohong New Raw Material			Conformant
Tantalum			Jiujiang Tanbre Co., Ltd.			Conformant
Tantalum			JiuJinang JinXin Nonferrous Metals Co., Ltd.			Conformant
Tantalum			Juijiang Zhongao Tantalum & Niobium Co., Ltd.			Conformant
Tantalum			KEMET de Mexico			Conformant
Tantalum			Materion Newton Inc.			Conformant
Tantalum			Meta Materials			Conformant
Tantalum			Metallurgical Products India Pvt., Ltd.			Conformant
Tantalum			Mineracao Taboca S.A.			Conformant
Tantalum			Mitsui Mining and Smelting Co., Ltd.			Conformant
Tantalum			Ningxia Orient Tantalum Industry Co., Ltd.			Conformant
Tantalum			NPM Silmet AS			Conformant
Tantalum			QuantumClean			Conformant
Tantalum			Resind Industria e Comercio Ltda.			Conformant
Tantalum			RFH Yancheng Jinye New Material Technology Co., Ltd.			Conformant
Tantalum			Solikamsk Magnesium Works OAO			Conformant
Tantalum			Taki Chemical Co., Ltd.			Conformant
Tantalum			TANIOBIS Co., Ltd.			Conformant
Tantalum			TANIOBIS GmbH			Conformant
Tantalum			TANIOBIS Japan Co., Ltd.			Conformant
Tantalum			TANIOBIS Smelting GmbH & Co. KG			Conformant
Tantalum			Telex Metals			Conformant
Tantalum			Ulba Metallurgical Plant JSC			Conformant
Tantalum			XIMEI RESOURCES (GUANGDONG) LIMITED			Conformant
Tantalum			XinXing HaoRong Electronic Material Co., Ltd.			Conformant
Tantalum			Yanling Jincheng Tantalum & Niobium Co., Ltd.			Conformant
Tin			Alpha			Conformant
Tin			An Vinh Joint Stock Mineral Processing Company			Not RMAP Conformant or Active
Tin			Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.			Conformant
Tin			Chifeng Dajingzi Tin Industry Co., Ltd.			Conformant
Tin			China Tin Group Co., Ltd.			Conformant
Tin			CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda			Active
Tin			CRM Synergies			Conformant
Tin			CV Venus Inti Perkasa			Active
Tin			CY Ayi Jaya			Not RMAP Conformant or Active
Tin			Dongguan CiEXPO Environmental Engineering Co., Ltd.			Not RMAP Conformant or Active
Tin			Dowa			Conformant
Tin			Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company			Not RMAP Conformant or Active
Tin			EM Vinto			Conformant

15

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Exhibit 1.01

Tin			Estanho de Rondonia S.A.			Conformant
Tin			Fabrica Auricchio Industria e Comercio Ltda.			Conformant
Tin			Fenix Metals			Conformant
Tin			Gejiu City Fuxiang Industry and Trade Co., Ltd.			Not RMAP Conformant or Active
Tin			Gejiu Fengming Metallurgy Chemical Plant			Not RMAP Conformant or Active
Tin			Gejiu Kai Meng Industry and Trade LLC			Not RMAP Conformant or Active
Tin			Gejiu Non-Ferrous Metal Processing Co., Ltd.			Conformant
Tin			Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.			Conformant
Tin			Gejiu Zili Mining and Metallurgy Co., Ltd.			Conformant
Tin			Guangdong Hanhe Non-Ferrous Metal Co., Ltd.			Conformant
Tin			HuiChang Hill Tin Industry Co., Ltd.			Conformant
Tin			Jiangxi New Nanshan Technology Ltd.			Conformant
Tin			Luna Smelter, Ltd.			Conformant
Tin			Ma'anshan Weitai Tin Co., Ltd.			Conformant
Tin			Magnu's Minerais Metais e Ligas Ltda.			Conformant
Tin			Malaysia Smelting Corporation			Conformant
Tin			Melt Matais e Ligas S.A.			Not RMAP Conformant or Active
Tin			Metallic Resources, Inc.			Conformant
Tin			Metallo Belgium N.V.			Conformant
Tin			Metallo Spain S.L.U.			Conformant
Tin			Mineracao Taboca S.A.			Conformant
Tin			Minsur			Conformant
Tin			Mitsubishi Materials Corporation			Conformant
Tin			Modeltech Sdn Bhd			Not RMAP Conformant or Active
Tin			Nghe Tinh Non-Ferrous Metals Joint Stock Company			Not RMAP Conformant or Active
Tin			Novosibirsk Tin Combine			Conformant
Tin			O.M. Manufacturing (Thailand) Co., Ltd.			Conformant
Tin			O.M. Manufacturing Philippines, Inc.			Conformant
Tin			Operaciones Metalurgicas S.A.			Conformant
Tin			Pongpipat Copmany Limited			Not RMAP Conformant or Active
Tin			Precious Minerals and Smelting Limited			Not RMAP Conformant or Active
Tin			PT Aries Kencana Sejahtera			Active
Tin			PT Artha Cipta Langgeng			Conformant
Tin			PT ATD Makmur Mandiri Jaya			Conformant
Tin			PT Babel Surya Alam Lestari			Conformant

16

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Exhibit 1.01

Tin			PT Bangka Serumpun			Conformant
Tin			PT Lautan Harmonis Sejahtera			Not RMAP Conformant or Active
Tin			PT Menara Cipta Mulia			Conformant
Tin			PT Mitra Stania Prima			Conformant
Tin			PT Mitra Sukses Globalindo			Active
Tin			PT Prima Timah Utama			Conformant
Tin			PT Rajawali Rimba Perkasa			Conformant
Tin			PT Rajehan Ariq			Conformant
Tin			PT Refined Bangka Tin			Conformant
Tin			PT Stanindo Inti Perkasa			Conformant
Tin			PT Timah Nusantara			Active
Tin			PT Timah Tbk Kundur			Conformant
Tin			PT Timah Tbk Mentok			Conformant
Tin			PT Tinindo Inter Nusa			Conformant
Tin			Resind Industria e Comercio Ltda.			Conformant
Tin			Rui Da Hung			Conformant
Tin			Soft Metais Ltda.			Conformant
Tin			Super Ligas			Active
Tin			Thai Nguyen Mining and Metallurgy Co., Ltd.			Conformant
Tin			Thaisarco			Conformant
Tin			Tin Smelting Branch of Yunnan Tin Co., Ltd.			Conformant
Tin			Tin Technology & Refining			Conformant
Tin			Tuyen Quang Non-Ferrous Metals Joint Stock Company			Not RMAP Conformant or Active
Tin			VQB Mineral and Trading Group JSC			Not RMAP Conformant or Active
Tin			White Solder Metalurgia e Mineracao Ltda.			Conformant
Tin			Yunnan Chengfeng Non-ferrous Metals Co., Ltd.			Conformant
Tin			Yunnan Yunfan Non-ferrous Metals Co., Ltd.			Not RMAP Conformant or Active
Tungsten			A.L.M.T. Corp.			Conformant
Tungsten			ACL Metais Eireli			Conformant
Tungsten			Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.			Active
Tungsten			Artek LLC			Not RMAP Conformant or Active
Tungsten			Asia Tungsten Products Vietnam Ltd.			Conformant
Tungsten			Chenzhou Diamond Tungsten Products Co., Ltd.			Conformant
Tungsten			China Molybdenum Tungsten Co., Ltd.			Conformant
Tungsten			Chongyi Zhangyuan Tungsten Co., Ltd.			Conformant
Tungsten			CNMC (Guangxi) PGMA Co., Ltd.			Not RMAP Conformant or Active
Tungsten			Cronimet Brasil Ltda			Conformant
Tungsten			Fujian Ganmin RareMetal Co., Ltd.			Conformant

17

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Exhibit 1.01

Tungsten			Fujian Xinlu Tungsten			Conformant
Tungsten			Ganzhou Haichuang Tungsten Co., Ltd.			Conformant
Tungsten			Ganzhou Huaxing Tungsten Products Co., Ltd.			Conformant
Tungsten			Ganzhou Jiangwu Ferrotungsten Co., Ltd.			Conformant
Tungsten			Ganzhou Seadragon W & Mo Co., Ltd.			Conformant
Tungsten			GEM Co., Ltd.			Conformant
Tungsten			Global Tungsten & Powders Corp.			Conformant
Tungsten			Guangdong Xianglu Tungsten Co., Ltd.			Conformant
Tungsten			H.C. Starck Tungsten GmbH			Conformant
Tungsten			Hunan Chenzhou Mining Co., Ltd.			Conformant
Tungsten			Hunan Chunchang Nonferrous Metals Co., Ltd.			Conformant
Tungsten			Hunan Litian Tungsten Industry Co., Ltd.			Not RMAP Conformant or Active
Tungsten			Hydrometallurg, JSC			Conformant
Tungsten			Japan New Metals Co., Ltd.			Conformant
Tungsten			Jiangwu H.C. Starck Tungsten Products Co., Ltd.			Conformant
Tungsten			Jiangxi Gan Bei Tungsten Co., Ltd.			Conformant
Tungsten			Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.			Not RMAP Conformant or Active
Tungsten			Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.			Conformant
Tungsten			Jiangxi Xinsheng Tungsten Industry Co., Ltd.			Conformant
Tungsten			Jiangxi Yaosheng Tungsten Co., Ltd.			Conformant
Tungsten			JSC "Kirovgrad Hard Alloys Plant"			Conformant
Tungsten			Kennametal Fallon			Conformant
Tungsten			Kennametal Huntsville			Conformant
Tungsten			KGETS Co., Ltd.			Conformant
Tungsten			Lianyou Metals Co., Ltd.			Conformant
Tungsten			Malipo Haiyu Tungsten Co., Ltd.			Conformant
Tungsten			Masan High-Tech Materials			Conformant
Tungsten			Moliren Ltd.			Conformant
Tungsten			Niagara Refining LLC			Conformant
Tungsten			NPP Tyazhmetprom LLC			Active
Tungsten			OOO “Technolom” 1			Active
Tungsten			OOO “Technolom” 2			Active
Tungsten			Philippine Chuangxin Industrial Co., Inc.			Conformant
Tungsten			TANIOBIS Smelting GmbH & Co. KG			Conformant
Tungsten			Unecha Refractory metals plant			Conformant
Tungsten			Wolfram Bergbau und Hutten AG			Conformant
Tungsten			Woltech Korea Co., Ltd.			Conformant
Tungsten			Xiamen Tungsten (H.C.) Co., Ltd.			Conformant
Tungsten			Xiamen Tungsten Co., Ltd.			Conformant

18

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Exhibit 1.01

Tungsten			Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.			Conformant
Countries of origin of the conflict minerals these facilities process are believed to include: Andorra, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, Colombia, Czechia, Estonia, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Kyrgyzstan, Lithuania, Malaysia, Mauritania, Mexico, Myanmar, Netherlands, New Zealand, Norway, Peru, Philippines, Poland, Republic of North Macedonia, Russian Federation, Rwanda, Saudi Arabia, Singapore, South Africa, South Korea, Spain, Sudan, Sweden, Switzerland, Taiwan, Thailand, Turkey, Uganda, United Arab Emirates, United States of America, Uzbekistan, Vietnam, Zimbabwe

19