SD

 

 

United States

Securities and Exchange Commission

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

Enovis Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-34045

(State or other jurisdiction

of incorporation)

 

(Commission

file number)

 

2711 Centerville Road, Suite 400  
Wilmington, DE 19808   20701
(Address of principal executive offices)   (Zip code)

Bradley J. Tandy, Senior Vice President and Chief Legal Officer

(302) 252-9160

(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:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2023.

 

Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended    .

 

 

 


Section 1 – Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

As provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD, a Conflict Minerals Report is provided as an exhibit to this Form SD and is available at the following Internet website: https://ir.enovis.com/sec-filings. The information contained on our website is not incorporated by reference into this Form SD or our Conflict Minerals Report and should not be considered part of this Form SD or the Conflict Minerals Report.

Item 1.02 Exhibit

The Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.

Section 2 – Resource Extraction Issuer Disclosure

Item 2.01 Resource Extraction Issuer Disclosure and Report

Not applicable.

Section 3 – Exhibits

Item 3.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report for the calendar year ended December 31, 2023

 

1


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.

 

ENOVIS CORPORATION      
(Registrant)      
By:   

/s/ Bradley J. Tandy

           Date: May 31, 2024
Name:    Bradley J. Tandy      
Title:    Senior Vice President and Chief Legal Officer      

 

2


EXHIBIT INDEX

 

Exhibit   

Description

1.01    Conflict Minerals Report for the calendar year ended December 31, 2023

 

3

EX-1.01

Exhibit 1.01

Conflict Minerals Report

Enovis Corporation has included this Conflict Minerals Report as an exhibit to its Form SD for the period from January 1, 2023 to December 31, 2023 as provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). Unless the context indicates otherwise, the terms “Enovis,” “we,” “its,” “us,” and “our” refer to Enovis Corporation and its consolidated subsidiaries. As used herein, “Conflict Minerals” or “3TG” is defined as, consistent with the Conflict Minerals Rule, cassiterite, columbite-tantalite (coltan), gold, wolframite and the derivatives tin, tantalum and tungsten.

Forward-Looking Statements

This document contains forward-looking statements within the meaning of the federal securities laws. Any statements that do not relate to historical or current facts or matters are forward-looking statements. You can identify some of the forward-looking statements by the use of forward-looking words, such as “intend” and the like, or the use of future tense. Statements concerning current conditions may also be forward-looking if they imply a continuation of current conditions. Examples of forward-looking statements include, but are not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG benefit armed groups.

Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties include, but are not limited to, (1) the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all, (2) whether smelters and refiners and other market participants responsibly source 3TG, and (3) political, regulatory and economic developments, whether in the Democratic Republic of the Congo (“DRC”) region (the “Covered Countries”), the United States or elsewhere. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of filing of this document. We do not intend, and undertake no obligation, to publish revised forward-looking statements to reflect events or circumstances after the date of filing of this document or to reflect the occurrence of unanticipated events.

Company and Product Information

Enovis Corporation is an innovation-driven medical technology growth company dedicated to developing clinically differentiated solutions that generate measurably better patient outcomes and transform workflows. Powered by a culture of continuous improvement, global talent and innovation, our extensive range of products, services and integrated technologies fuels active lifestyles in orthopedics and beyond.

Our continuing in-scope product categories for 2023 were orthopedic devices. For a further discussion of our products, see our Annual Report on Form 10-K for the year ended December 31, 2023. The information contained in our Form 10-K and other external materials referenced herein, including our website, is not incorporated by reference into this Conflict Minerals Report or our Form SD and should not be considered part of this Conflict Minerals Report or the Form SD.

Applicability of the Conflict Minerals Rule to Our Company

We are subject to the Conflict Minerals Rule because some of the products that we manufacture contain 3TG that are necessary to their functionality or production. Our in-scope products contain tin, tantalum, tungsten and gold, although no in-scope product contains all four 3TG.

We generally do not source 3TG from smelters or refiners and have no direct relationships with mines, and we believe that we are in most cases many levels removed from all of these market participants. However, through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with our Conflict Minerals Policy, which is described below, and encourage conflict free sourcing in our supply chain.

 

1


Product, smelter and refiner information in respect of 2023 is described under “Product Information” below and on Annex A. For 2023, we were unable to determine the origin of 3TG contained in each of our in-scope products. None of the necessary 3TG contained in our in-scope products were determined by us to directly or indirectly finance or benefit armed groups in the DRC or an adjoining country. However, we did not conclude that any of our products were “DRC conflict free.” The terms “adjoining country,” “armed group” and “DRC conflict free” have the meanings contained in the Conflict Minerals Rule.

Our Conflict Minerals Policy

We are committed to being a responsible corporate citizen and are opposed to human rights abuses such as are occurring in the DRC. To this end, we have adopted and communicated to our suppliers and the public a company policy (the “Conflict Minerals Policy”) for the supply chain of 3TG.

The Conflict Minerals Policy includes, but is not limited to, our expectations that:

 

  1.

The components, parts and products supplied to us are DRC conflict free within the meaning of the Conflict Minerals Rule;

 

  2.

Our suppliers define, implement and communicate to sub-suppliers their own 3TG policy consistent with our Conflict Minerals Policy and the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”); and

 

  3.

Our suppliers require that their direct and indirect sub-suppliers implement policies, procedures and frameworks that are consistent with the OECD Guidance, and that our suppliers otherwise work with sub-suppliers to ensure traceability of 3TG.

We do not embargo responsibly sourced 3TG from the Covered Countries or other conflict-affected and high-risk areas and encourage our suppliers to continue to source responsibly from the Covered Countries or other conflict-affected and high-risk areas, from sources that do not support conflict.

Our policy is available on our website at https://ir.enovis.com/static-files/5f7e2a02-e1de-4317-aa11-f1a284e476c0.

Reasonable Country of Origin Inquiry Information

As required by the Conflict Minerals Rule, for 2023, we conducted a “reasonable country of origin inquiry” (“RCOI”). For our RCOI, to the extent applicable, we utilized the same processes and procedures as for our due diligence, in particular Steps 1 and 2 of the OECD Guidance, which are discussed below.

Our inquiry included approximately 209 suppliers (the “Suppliers”) that we identified as having provided us with components, parts or products that contain 3TG or that we believe may have provided us with components, parts or products that contain 3TG. For 2023, the Suppliers identified to us 350 smelters and refiners that processed or may have processed the necessary 3TG contained in our in-scope products, as shown and described under Annex A below. These smelters and refiners include 225 smelters and refiners identified as “Conformant” and 6 identified as “Active,” each as defined in Annex A. This information is based primarily on company-level declarations from Suppliers. Accordingly, many of these smelters and refiners may not be part of our supply chain, as we generally were not able to collect data at the product-level.

Based on the results of our RCOI, we exercised due diligence for 2023. These due diligence efforts are discussed below.

Due Diligence Program

Design Framework

We designed our due diligence measures relating to 3TG to conform with, in all material respects, the criteria set forth in the OECD Guidance, Third Edition, including the related Supplements for tin, tantalum and tungsten and for gold (hereinafter referred to as the “OECD Guidance”).

 

2


Selected Elements of our Due Diligence Program

The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. Selected elements of our due diligence program are discussed below. However, these are not all of the elements of the program that we have put in place to help ensure that the 3TG contained in our in-scope products are responsibly sourced. The headings below conform to the headings used in the OECD Guidance for each of the five steps.

 

  1.

OECD Guidance Step One: “Establish strong company management systems”

 

  a.

We have a Conflict Minerals Policy. We communicate the policy internally to our sourcing teams and to selected suppliers. The Conflict Minerals Policy also is posted on our website at https://ir.enovis.com/static-files/5f7e2a02-e1de-4317-aa11-f1a284e476c0.

 

  b.

We have a team of senior staff under the Senior Vice President, Supply Chain and Senior Vice President and Chief Legal Officer charged with managing our 3TG compliance strategy. We supplement our compliance efforts with specialist outside counsel.

 

  c.

Selected internal personnel are educated on the Conflict Minerals Rule, the OECD Guidance, our compliance plan and the procedures for reviewing and validating supplier responses to our inquiries.

 

  d.

We utilize the Conflict Minerals Reporting Template (the “CMRT”) developed by the Responsible Minerals Initiative (the “RMI”) to identify smelters and refiners in our supply chain. The CMRT requests suppliers to provide information concerning the usage and source of 3TG in their products, as well as information concerning their related compliance efforts. We utilize a third-party service provider (the “Service Provider”) to conduct our supplier outreach and follow-up, as well as for the review and validation of supplier responses.

 

  e.

We maintain business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions, for at least five years.

 

  f.

The Service Provider provides training and educational materials to suppliers to enhance the quality of responses.

 

  g.

We have contractual terms relating to 3TG, which are incorporated into selected supplier contracts.

 

  h.

We have a mechanism for employees, suppliers and other interested parties to report violations of our Conflict Minerals Policy. The contact information for our grievance mechanism is www.enovis.ethicspoint.com.

 

  2.

OECD Guidance Step Two: “Identify and assess risk in the supply chain”

 

  a.

We requested in writing, through the Service Provider, that the Suppliers provide us with a completed CMRT. The Service Provider followed up by email or phone on our behalf with Suppliers that did not respond to the request within the specified time frame. The Service Provider followed up with non-responsive Suppliers.

 

  b.

The Service Provider, on our behalf, reviewed Supplier responses against its written review criteria to identify incomplete responses, potential errors and inaccuracies in the CMRTs. The Service Provider followed up by email with Suppliers that submitted a response that triggered specific quality issues relating to completeness and accuracy.

 

3


  c.

Smelter and refiner information provided by Suppliers was reviewed by the Service Provider against the RMI’s list of known smelters and refiners. To the extent that a smelter or refiner identified by a Supplier is not on that list, the Service Provider may take additional steps to attempt to determine whether the listed entity is a smelter or refiner. Smelter and refiner information also was reviewed against the lists of Conformant and Active smelters and refiners published by the RMI. 225 of the identified smelters and refiners were listed as Conformant by the RMI and 6 were listed as Active, as of April 30, 2023. Please see Annex A below for further information regarding the smelters and refiners identified to us through our RCOI and due diligence.

The Service Provider bases its country of origin determinations on publicly available information, its outreach to smelters and refiners and information provided by suppliers in their completed CMRTs. Consistent with the foregoing, to the extent that a smelter or refiner identified by a Supplier was not listed as Conformant by the RMI, the Service Provider undertook an additional review to attempt to determine whether that smelter or refiner obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the Covered Countries.

The Service Provider attempted to reach out to the smelter or refiner directly and conducted research to gain more information about the smelter’s or refiner’s sourcing practices, including the countries of origin of the minerals that it processes, the transit and transfer of the minerals that it processes and whether it has in place internal due diligence procedures or other processes to track the chain-of-custody of its 3TG.

 

  d.

The Service Provider evaluated Suppliers’ due diligence processes and policies based on the Suppliers’ responses to certain of the questions in the CMRT. These questions ask suppliers about their internal processes regarding 3TG.

 

  e.

We take steps to gather additional information from suppliers whose responses lead us to believe additional information is warranted to help ensure that our supply chain is responsibly sourcing 3TG. This may include requesting product-specific CMRTs or other information.

 

  3.

OECD Guidance Step Three: “Design and implement a strategy to respond to identified risks”

 

  a.

Our 3TG compliance team reviewed the reports and evaluations prepared by the Service Provider and liaised with appropriate members of senior management in our legal and supply chain teams, including our Senior Vice President, Supply Chain and Senior Vice President and Chief Legal Officer, regarding the results of our Supplier outreach.

 

  b.

We undertake additional internal reviews with our legal and supply chain teams on a periodic basis using the information provided by the Service Provider, our suppliers and our independent inquiries, and respond via supplier follow-up, commercial escalation or other commensurate means to the risks identified via these reviews.

 

  4.

OECD Guidance Step Four: “Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain”

In connection with our due diligence, we utilize and rely on information made available by the RMI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence.

 

  5.

OECD Guidance Step Five: “Report on supply chain due diligence”

We file a Form SD and Conflict Minerals Report with the Securities and Exchange Commission and make these filings available on our website at http://ir.enovis.com/sec-filings.

 

4


Identified Smelters and Refiners

In connection with our RCOI or due diligence, as applicable, the Suppliers identified to us the smelters and refiners listed on Annex A below either as part of our supply chain or as potentially having processed the necessary 3TG contained in our in-scope products in 2023. Due to our position in the supply chain, which is discussed earlier in this Conflict Minerals Report, we rely on our suppliers for accurate smelter and refiner information and our due diligence measures do not provide absolute certainty regarding the source and chain of custody of the necessary 3TG contained in our in-scope products.

We endeavored to determine the mine or location of origin of the 3TG contained in our in-scope products by requesting that the Suppliers provide us or our Service Provider with a completed CMRT, and through the other activities described herein that were taken by us or the Service Provider.

Future Risk Mitigation Efforts

We intend to take the following additional steps to mitigate the risk that the necessary 3TG in our in-scope products benefit armed groups in the Covered Countries. These steps are in addition to the steps that we took in respect of 2023 described in this Conflict Minerals Report, which we intend to continue to take in respect of 2024 to the extent applicable.

 

  1.

Engage with applicable Suppliers that provided non-Conformant smelters and refiners, incomplete responses or that did not provide responses for 2023 to help ensure that they provide requested information for 2024.

 

   

Engage in additional outreach to Suppliers with non-Conformant responses;

 

   

Conduct further training for Suppliers; and

 

   

Work to identify improved contacts for non-respondents.

 

  2.

Encourage the continuing development and progress of traceability measures at Suppliers that indicated for 2023 that the source of 3TG was unknown or undeterminable.

 

  3.

Continue communicating to suppliers our sourcing expectations, including through the dissemination of the Conflict Minerals Policy to them and required adherence to contractual sourcing requirements.

 

5


Annex A

Capitalized terms used and not otherwise defined in this Annex have the meanings set forth in the Conflict Minerals Report of which this Annex is a part.

Smelters and Refiners

In connection with our RCOI or due diligence, as applicable, the Suppliers identified to us the smelters and refiners listed below as either being part of our supply chain or as potentially having processed the necessary 3TG contained in our in-scope products in 2023. Please see the accompanying notes for additional information concerning the tables.

Smelter and Refiner Names and Status

 

Metal

  

Standard Smelter Name

  

Smelter Facility

Location

Gold    8853 S.p.A.    Italy
Gold    ABC Refinery Pty Ltd.    Australia
Gold    Abington Reldan Metals, LLC    United States Of America
Gold    Advanced Chemical Company    United States Of America
Gold    African Gold Refinery    Uganda
Gold    Agosi AG    Germany
Gold    Aida Chemical Industries Co., Ltd.    Japan
Gold    Al Etihad Gold Refinery DMCC    United Arab Emirates
Gold    Albino Mountinho Lda.    Portugal
Gold    Alexy Metals    United States Of America
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    Asahi Refining Canada Ltd.    Canada
Gold    Asahi Refining USA Inc.    United States Of America
Gold    Asaka Riken Co., Ltd.    Japan
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Turkey
Gold    AU Traders and Refiners    South Africa
Gold    Augmont Enterprises Private Limited    India
Gold    Aurubis AG    Germany
Gold    Bangalore Refinery    India

 

A-1


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    CGR Metalloys Pvt Ltd.    India
Gold    Chimet S.p.A.    Italy
Gold    Chugai Mining    Japan
Gold    Coimpa Industrial LTDA    Brazil
Gold    Daye Non-Ferrous Metals Mining Ltd.    China
Gold    Degussa Sonne / Mond Goldhandel GmbH    Germany
Gold    Dijllah Gold Refinery FZC    United Arab Emirates
Gold    Dongwu Gold Group    China
Gold    Dowa    Japan
Gold    DSC (Do Sung Corporation)    Korea, Republic Of
Gold    Eco-System Recycling Co., Ltd. East Plant    Japan
Gold    Eco-System Recycling Co., Ltd. North Plant    Japan
Gold    Eco-System Recycling Co., Ltd. West Plant    Japan
Gold    Emerald Jewel Industry India Limited (Unit 1)    India
Gold    Emerald Jewel Industry India Limited (Unit 2)    India
Gold    Emerald Jewel Industry India Limited (Unit 3)    India
Gold    Emerald Jewel Industry India Limited (Unit 4)    India
Gold    Emirates Gold DMCC    United Arab Emirates
Gold    Fidelity Printers and Refiners Ltd.    Zimbabwe
Gold    Fujairah Gold FZC    United Arab Emirates
Gold    GG Refinery Ltd.    Tanzania, United Republic Of
Gold    GGC Gujrat Gold Centre Pvt. Ltd.    India
Gold    Gold by Gold Colombia    Colombia
Gold    Gold Coast Refinery    Ghana
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    China
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    China
Gold    Guangdong Jinding Gold Limited    China
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    China

 

A-2


Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    China
Gold    Heimerle + Meule GmbH    Germany
Gold    Heraeus Germany GmbH Co. KG    Germany
Gold    Heraeus Metals Hong Kong Ltd.    China
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    Industrial Refining Company    Belgium
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China
Gold    International Precious Metal Refiners    United Arab Emirates
Gold    Ishifuku Metal Industry Co., Ltd.    Japan
Gold    Istanbul Gold Refinery    Turkey
Gold    Italpreziosi    Italy
Gold    JALAN & Company    India
Gold    Japan Mint    Japan
Gold    Jiangxi Copper Co., Ltd.    China
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Russian Federation
Gold    JSC Novosibirsk Refinery    Russian Federation
Gold    JSC Uralelectromed    Russian Federation
Gold    JX Nippon Mining & Metals Co., Ltd.    Japan
Gold    K.A. Rasmussen    Norway
Gold    Kaloti Precious Metals    United Arab Emirates
Gold    Kazakhmys Smelting LLC    Kazakhstan
Gold    Kazzinc    Kazakhstan
Gold    Kennecott Utah Copper LLC    United States Of America
Gold    KGHM Polska Miedz Spolka Akcyjna    Poland
Gold    Kojima Chemicals Co., Ltd.    Japan
Gold    Korea Zinc Co., Ltd.    Korea, Republic Of
Gold    Kundan Care Products Ltd.    India
Gold    Kyrgyzaltyn JSC    Kyrgyzstan
Gold    Kyshtym Copper-Electrolytic Plant ZAO    Russian Federation
Gold    L’azurde Company For Jewelry    Saudi Arabia
Gold    Lingbao Gold Co., Ltd.    China
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China

 

A-3


Gold    L’Orfebre S.A.    Andorra
Gold    LS-NIKKO Copper Inc.    Korea, Republic Of
Gold    LT Metal Ltd.    Korea, Republic Of
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    China
Gold    Marsam Metals    Brazil
Gold    Materion    United States Of America
Gold    Matsuda Sangyo Co., Ltd.    Japan
Gold    MD Overseas    India
Gold    Metal Concentrators SA (Pty) Ltd.    South Africa
Gold    Metallix Refining Inc.    United States Of America
Gold    Metalor Technologies (Hong Kong) Ltd.    China
Gold    Metalor Technologies (Singapore) Pte., Ltd.    Singapore
Gold    Metalor Technologies (Suzhou) Ltd.    China
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    MKS PAMP SA    Switzerland
Gold    MMTC-PAMP India Pvt., Ltd.    India
Gold    Modeltech Sdn Bhd    Malaysia
Gold    Morris and Watson    New Zealand
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    NH Recytech Company    Korea, Republic Of
Gold    Nihon Material Co., Ltd.    Japan
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    Austria
Gold    Ohura Precious Metal Industry Co., Ltd.    Japan
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Russian Federation
Gold    Pease & Curren    United States Of America
Gold    Penglai Penggang Gold Industry Co., Ltd.    China
Gold    Planta Recuperadora de Metales SpA    Chile
Gold    Prioksky Plant of Non-Ferrous Metals    Russian Federation

 

A-4


Gold    PT Aneka Tambang (Persero) Tbk    Indonesia
Gold    PX Precinox S.A.    Switzerland
Gold    QG Refining, LLC    United States Of America
Gold    Rand Refinery (Pty) Ltd.    South Africa
Gold    Refinery of Seemine Gold Co., Ltd.    China
Gold    REMONDIS PMR B.V.    Netherlands
Gold    Royal Canadian Mint    Canada
Gold    SAAMP    France
Gold    Sabin Metal Corp.    United States Of America
Gold    Safimet S.p.A    Italy
Gold    SAFINA A.S.    Czechia
Gold    Sai Refinery    India
Gold    Sam Precious Metals    United Arab Emirates
Gold    Samduck Precious Metals    Korea, Republic Of
Gold    Samwon Metals Corp.    Korea, Republic Of
Gold    SEMPSA Joyeria Plateria S.A.    Spain
Gold    Shandong Gold Smelting Co., Ltd.    China
Gold    Shandong Humon Smelting Co., Ltd.    China
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China
Gold    Shenzhen CuiLu Gold Co., Ltd.    China
Gold    Shenzhen Zhonghenglong Real Industry Co., Ltd.    China
Gold    Shirpur Gold Refinery Ltd.    India
Gold    Sichuan Tianze Precious Metals Co., Ltd.    China
Gold    Singway Technology Co., Ltd.    Taiwan, Province Of China
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    Russian Federation
Gold    Solar Applied Materials Technology Corp.    Taiwan, Province Of China
Gold    Sovereign Metals    India
Gold    State Research Institute Center for Physical Sciences and Technology    Lithuania
Gold    Sudan Gold Refinery    Sudan
Gold    Sumitomo Metal Mining Co., Ltd.    Japan
Gold    SungEel HiMetal Co., Ltd.    Korea, Republic Of

 

A-5


Gold    Super Dragon Technology Co., Ltd.    Taiwan, Province Of China
Gold    T.C.A S.p.A    Italy
Gold    Tanaka Kikinzoku Kogyo K.K.    Japan
Gold    Tokuriki Honten Co., Ltd.    Japan
Gold    Tongling Nonferrous Metals Group Co., Ltd.    China
Gold    TOO Tau-Ken-Altyn    Kazakhstan
Gold    Torecom    Korea, Republic Of
Gold    Umicore Precious Metals Thailand    Thailand
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    WEEEREFINING    France
Gold    Western Australian Mint (T/a The Perth Mint)    Australia
Gold    WIELAND Edelmetalle GmbH    Germany
Gold    Yamakin Co., Ltd.    Japan
Gold    Yokohama Metal Co., Ltd.    Japan
Gold    Yunnan Copper Industry Co., Ltd.    China
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China

 

A-6


Tantalum    5D Production OU    Estonia
Tantalum    AMG Brasil    Brazil
Tantalum    D Block Metals, LLC    United States Of America
Tantalum    F&X Electro-Materials Ltd.    China
Tantalum    FIR Metals & Resource Ltd.    China
Tantalum    Global Advanced Metals Aizu    Japan
Tantalum    Global Advanced Metals Boyertown    United States Of America
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    China
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    China
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China
Tantalum    Jiangxi Tuohong New Raw Material    China
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    China
Tantalum    Jiujiang Tanbre Co., Ltd.    China
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China
Tantalum    KEMET de Mexico    Mexico
Tantalum    Materion Newton Inc.    United States Of America
Tantalum    Metallurgical Products India Pvt., Ltd.    India
Tantalum    Mineracao Taboca S.A.    Brazil
Tantalum    Mitsui Mining and Smelting Co., Ltd.    Japan
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    China
Tantalum    NPM Silmet AS    Estonia
Tantalum    PowerX Ltd.    Rwanda
Tantalum    QuantumClean    United States Of America
Tantalum    Resind Industria e Comercio Ltda.    Brazil
Tantalum    RFH Yancheng Jinye New Material Technology Co., Ltd.    China
Tantalum    Solikamsk Magnesium Works OAO    Russian Federation
Tantalum    Taki Chemical Co., Ltd.    Japan
Tantalum    TANIOBIS Co., Ltd.    Thailand
Tantalum    TANIOBIS GmbH    Germany
Tantalum    TANIOBIS Japan Co., Ltd.    Japan
Tantalum    TANIOBIS Smelting GmbH & Co. KG    Germany
Tantalum    Telex Metals    United States Of America
Tantalum    Ulba Metallurgical Plant JSC    Kazakhstan
Tantalum    XIMEI RESOURCES (GUANGDONG) LIMITED    China
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    China

 

A-7


Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    China
Tin    Alpha    United States Of America
Tin    An Vinh Joint Stock Mineral Processing Company    Viet Nam
Tin    Aurubis Beerse    Belgium
Tin    Aurubis Berango    Spain
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    China
Tin    China Tin Group Co., Ltd.    China
Tin    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    Brazil
Tin    CRM Synergies    Spain
Tin    CV Ayi Jaya    Indonesia
Tin    CV Venus Inti Perkasa    Indonesia
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    China
Tin    Dowa    Japan
Tin    DS Myanmar    Myanmar
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Viet Nam
Tin    EM Vinto    Bolivia (Plurinational State Of)
Tin    Estanho de Rondonia S.A.    Brazil
Tin    Fabrica Auricchio Industria e Comercio Ltda.    Brazil
Tin    Fenix Metals    Poland
Tin    Gejiu City Fuxiang Industry and Trade Co., Ltd.    China
Tin    Gejiu Kai Meng Industry and Trade LLC    China
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    China
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    China
Tin    HuiChang Hill Tin Industry Co., Ltd.    China
Tin    Jiangxi New Nanshan Technology Ltd.    China
Tin    Luna Smelter, Ltd.    Rwanda
Tin    Ma’anshan Weitai Tin Co., Ltd.    China
Tin    Magnu’s Minerais Metais e Ligas Ltda.    Brazil
Tin    Malaysia Smelting Corporation (MSC)    Malaysia
Tin    Malaysia Smelting Corporation Berhad (Port Klang)    Malaysia

 

A-8


Tin    Melt Metais e Ligas S.A.    Brazil
Tin    Metallic Resources, Inc.    United States Of America
Tin    Mineracao Taboca S.A.    Brazil
Tin    Mining Minerals Resources SARL    Congo, Democratic Republic Of The
Tin    Minsur    Peru
Tin    Mitsubishi Materials Corporation    Japan
Tin    Modeltech Sdn Bhd    Malaysia
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    Viet Nam
Tin    Novosibirsk Tin Combine    Russian Federation
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    Thailand
Tin    O.M. Manufacturing Philippines, Inc.    Philippines
Tin    Operaciones Metalurgicas S.A.    Bolivia (Plurinational State Of)
Tin    Pongpipat Company Limited    Myanmar
Tin    Precious Minerals and Smelting Limited    India
Tin    PT Aries Kencana Sejahtera    Indonesia
Tin    PT Artha Cipta Langgeng    Indonesia
Tin    PT ATD Makmur Mandiri Jaya    Indonesia
Tin    PT Babel Inti Perkasa    Indonesia
Tin    PT Babel Surya Alam Lestari    Indonesia
Tin    PT Bangka Prima Tin    Indonesia
Tin    PT Bangka Serumpun    Indonesia
Tin    PT Bangka Tin Industry    Indonesia
Tin    PT Belitung Industri Sejahtera    Indonesia
Tin    PT Bukit Timah    Indonesia
Tin    PT Cipta Persada Mulia    Indonesia
Tin    PT Menara Cipta Mulia    Indonesia
Tin    PT Mitra Stania Prima    Indonesia
Tin    PT Mitra Sukses Globalindo    Indonesia
Tin    PT Panca Mega Persada    Indonesia
Tin    PT Premium Tin Indonesia    Indonesia
Tin    PT Prima Timah Utama    Indonesia
Tin    PT Putera Sarana Shakti (PT PSS)    Indonesia
Tin    PT Rajawali Rimba Perkasa    Indonesia
Tin    PT Rajehan Ariq    Indonesia

 

A-9


Tin    PT Refined Bangka Tin    Indonesia
Tin    PT Sariwiguna Binasentosa    Indonesia
Tin    PT Stanindo Inti Perkasa    Indonesia
Tin    PT Sukses Inti Makmur    Indonesia
Tin    PT Timah Nusantara    Indonesia
Tin    PT Timah Tbk Kundur    Indonesia
Tin    PT Timah Tbk Mentok    Indonesia
Tin    PT Tinindo Inter Nusa    Indonesia
Tin    PT Tirus Putra Mandiri    Indonesia
Tin    PT Tommy Utama    Indonesia
Tin    Resind Industria e Comercio Ltda.    Brazil
Tin    Rui Da Hung    Taiwan, Province Of China
Tin    Super Ligas    Brazil
Tin    Thaisarco    Thailand
Tin    Tin Smelting Branch of Yunnan Tin Co., Ltd.    China
Tin    Tin Technology & Refining    United States Of America
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    Viet Nam
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 Yunfan Non-ferrous Metals Co., Ltd.    China
Tungsten    A.L.M.T. Corp.    Japan
Tungsten    ACL Metais Eireli    Brazil
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    Brazil
Tungsten    Artek LLC    Russian Federation
Tungsten    Asia Tungsten Products Vietnam Ltd.    Viet Nam
Tungsten    China Molybdenum Tungsten Co., Ltd.    China
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    China
Tungsten    CNMC (Guangxi) PGMA Co., Ltd.    China
Tungsten    Cronimet Brasil Ltda    Brazil
Tungsten    DONGKUK INDUSTRIES CO., LTD.    Korea, Republic Of
Tungsten    Fujian Xinlu Tungsten Co., Ltd.    China
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    China

 

A-10


Tungsten    Global Tungsten & Powders LLC    United States Of America
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    China
Tungsten    H.C. Starck Tungsten GmbH    Germany
Tungsten    HANNAE FOR T Co., Ltd.    Korea, Republic Of
Tungsten    Hubei Green Tungsten Co., Ltd.    China
Tungsten    Hunan Chenzhou Mining Co., Ltd.    China
Tungsten    Hunan Jintai New Material Co., Ltd.    China
Tungsten    Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch    China
Tungsten    Hydrometallurg, JSC    Russian Federation
Tungsten    Japan New Metals Co., Ltd.    Japan
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    China
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    China
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    China
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    China
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    China
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    Russian Federation
Tungsten    Kenee Mining Corporation Vietnam    Viet Nam
Tungsten    Kennametal Fallon    United States Of America
Tungsten    Kennametal Huntsville    United States Of America
Tungsten    Lianyou Metals Co., Ltd.    Taiwan, Province Of China
Tungsten    Lianyou Resources Co., Ltd.    Taiwan, Province Of China
Tungsten    LLC Vostok    Russian Federation
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    China
Tungsten    Masan High-Tech Materials    Viet Nam
Tungsten    Moliren Ltd.    Russian Federation
Tungsten    Nam Viet Cromit Joint Stock Company    Viet Nam
Tungsten    Niagara Refining LLC    United States Of America
Tungsten    NPP Tyazhmetprom LLC    Russian Federation
Tungsten    OOO “Technolom” 1    Russian Federation
Tungsten    OOO “Technolom” 2    Russian Federation
Tungsten    Philippine Chuangxin Industrial Co., Inc.    Philippines

 

A-11


Tungsten    Shinwon Tungsten (Fujian Shanghang) Co., Ltd.    China
Tungsten    TANIOBIS Smelting GmbH & Co. KG    Germany
Tungsten    Tungsten Vietnam Joint Stock Company    Viet Nam
Tungsten    Unecha Refractory metals plant    Russian Federation
Tungsten    Wolfram Bergbau und Hutten AG    Austria
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    China
Tungsten    Xiamen Tungsten Co., Ltd.    China
Tungsten    YUDU ANSHENG TUNGSTEN CO., LTD.    China

We note the following in connection with the information contained in the foregoing tables:

 

  (a)

The smelters and refiners reflected in the table were identified by the Suppliers to us as potentially being part of our 2023 supply chain. However, not all of the included smelters and refiners are believed by us to have processed the necessary 3TG contained in our in-scope products, since most Suppliers reported to us at a “company level” the 3TG contained in all of their products, not just those in the products that they sold to us. Some Suppliers also may have reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. The smelters and refiners reflected above may not be all of the smelters and refiners in our supply chain, since many Suppliers were unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in our in-scope products and not all of the Suppliers responded to our inquiries.

 

  (b)

All compliance status information in the tables is as of April 30, 2024. Compliance status is based on information published by the RMI, without independent verification by us.

 

  (c)

The table includes only entities that are listed as verified smelters on the Smelter Look-up list tab of the CMRT.

 

  (d)

Smelter and refiner country location and status is based on information published by the RMI, without independent verification by us.

Country of Origin Information

The identified countries of origin of the 3TG processed by the smelters and refiners listed in the table above may have included the countries below, based on publicly available information, our RCOI and due diligence and other information gathered by the Service Provider. These may not be all of the countries of origin from which the smelters and refiners listed above may have sourced 3TG.

 

Albania    Dominican Republic    Kenya    Russian Federation
Andorra    Ecuador    Korea    Rwanda*
Angola*    Egypt    Kyrgyzstan    Saudi Arabia
Argentina    El Salvador    Liberia    Senegal
Armenia    Eritrea    Liechtenstein    Serbia
Australia    Estonia    Lithuania    Sierra Leone
Austria    Ethiopia    Luxembourg    Singapore

 

A-12


Azerbaijan    Fiji    Madagascar    Slovakia
Belarus    Finland    Malaysia    Solomon Islands
Belgium    France    Mali    South Africa
Benin    Georgia    Mauritania    South Sudan*
Bermuda    Germany    Mexico    Spain
Bolivia (Plurinational State of)    Ghana    Mongolia    Sudan
Botswana    Guam    Morocco    Suriname
Brazil    Guatemala    Mozambique    Sweden
Bulgaria    Guinea    Myanmar    Switzerland
Burkina Faso    Guyana    Namibia    Taiwan
Burundi*    Honduras    Netherlands    Tajikistan
Cambodia    Hong Kong    New Zealand    Tanzania*
Canada    Hungary    Nicaragua    Thailand
Central African Republic*    India    Niger    Togo
Chile    Indonesia    Nigeria    Turkey
China    Ireland    Norway    Uganda*
Colombia    Israel    Oman    United Arab Emirates
Republic of the Congo*    Italy    Panama    United Kingdom
Cyprus    Ivory Coast    Papua New Guinea    United States
Democratic Republic of the Congo*    Japan    Peru    Uruguay
Djibouti    Jersey    Philippines    Uzbekistan
Dominica    Kazakhstan    Poland    Viet Nam
      Portugal    Zambia*

 

*

Covered Country.

Alternatively, or in addition, some of the smelters and refiners may have sourced from recycled or scrap sources.

 

A-13