SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

 

LOGO

CONDUENT INCORPORATED

(Exact name of registrant as specified in its charter)

 

 

 

New York   001-37817   81-298362

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

100 Campus Drive, Suite 200

Florham Park, New Jersey

07932

Registrant’s telephone number, including area code: (844) 663-2638

Not Applicable

(Former name or former address, if changed since last report)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.

 

 

 


Section 1 – Conflicts Minerals Disclosure

Items 1.01 Conflicts Minerals Disclosure and Report; Item 1.02 Exhibit

This Form SD and the Conflict Minerals Report, filed as Exhibit 1.01 hereto, are publicly available on our Conduent Investor Relations Website, as well as the SEC’s EDGAR database at www.sec.gov. The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.

Conduent creates digital platforms and services for businesses and governments to manage millions of interactions every day for those they serve. We are leveraging the power of cloud, mobile and IoT, combined with technologies such as automation, cognitive and block chain to elevate every constituent interaction, driving modern digital experiences that are more efficient, helpful and satisfying.

Section 2 – Exhibits

Item 2.01 – Exhibits

Exhibit 1.01 – Registrant’s Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018 as required by Item 1.01 and 1.02 of this Form.

Forward Looking Statements

This Specialized Disclosure Report on Form SD and any exhibits to this Report may contain “forward-looking statements” as defined in the Private Securities Litigation Reform Act of 1995.

The words “anticipate,” “believe,” “estimate,” “expect,” “intend,” “will,” “should” and similar expressions, as they relate to us, are intended to identify forward-looking statements. These statements reflect management’s current beliefs, assumptions and expectations and are subject to a number of factors that may cause actual results to differ materially. Such factors include, but are not limited to: government appropriations and termination rights contained in our government contracts; our ability to renew commercial and government contracts awarded through competitive bidding processes; our ability to recover capital and other investments in connection with our contracts; our ability to attract and retain necessary technical personnel and qualified subcontractors; our ability to deliver on our contractual obligations properly and on time; competitive pressures; our significant indebtedness; changes in interest in outsourced business process services; our ability to obtain adequate pricing for our services and to improve our cost structure; claims of infringement of third-party intellectual property rights; the failure to comply with laws relating to individually identifiable information, and personal health information and laws relating to processing certain financial transactions, including payment card transactions and debit or credit card transactions; breaches of our information systems or security systems or any service interruptions; our ability to estimate the scope of work or the costs of performance in our contracts; our continuing emphasis on and shift toward technology-led digital transactions; customer decision-making cycles and lead time for customer commitments; our ability to collect our receivables for unbilled services; a decline in revenues from or a loss or failure of significant clients; fluctuations in our non-recurring revenue; our failure to maintain a satisfactory credit rating; our ability to attract and retain key employees; increases in the cost of telephone and data services or significant interruptions in such services; our failure to develop new service offerings; our ability to modernize our information technology infrastructure and consolidate data centers; our ability to comply with data security standards; our ability to receive dividends or other payments from our subsidiaries; changes in tax and other laws and regulations; changes in government regulation and economic, strategic, political and social conditions; changes in U.S. GAAP or other applicable accounting policies; and other factors that are set forth in the “Risk Factors” section, the “Legal Proceedings” section, the “Management’s Discussion and Analysis of Financial Condition and Results of Operations” section and other sections in our 2017 Annual Report on Form 10-K, as well as in our Quarterly Reports on Form 10-Q and Current Reports on Form 8-K filed with the Securities and Exchange Commission. Any forward-looking statements made by us in this report speak only as of the date on which they are made. We are under no obligation to, and expressly disclaim any obligation to, update or alter our forward-looking statements, whether as a result of new information, subsequent events or otherwise.

 

2


SIGNATURES

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

Date: February 11, 2019

 

CONDUENT INCORPORATED
By:   /s/ J. Michael Peffer
 

J. Michael Peffer

Secretary

 

3


EXHIBIT INDEX

 

Exhibit

Number

  

Description

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

 

4

EX-1.01

Exhibit 1.01

Conflict Minerals Report

 

LOGO

Conduent Incorporated

For the Year Ended December 31, 2018

This report for the year ended December 31, 2018 is made by Conduent Incorporated (Conduent) in compliance with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule).

The Rule was adopted by the Securities and Exchange Commission (SEC) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite and their derivatives, which are limited to tin, tantalum, tungsten and gold (3TG). These requirements apply to registrants regardless of the geographic origin of the conflict minerals and whether or not the trading in those minerals benefits armed groups. References in this report to “we,” “us” or “our” refer to Conduent Incorporated and its consolidated subsidiaries.

If a registrant has reason to believe that any of the conflict minerals in their supply chain may have originated in the Democratic Republic of the Congo (DRC) or an adjoining country (the Covered Countries), or a registrant is unable to determine the country of origin of those conflict minerals, then the registrant must exercise due diligence on the source and chain of custody of those conflict minerals. The registrant must annually submit a specialized disclosure (Form SD) and Conflict Minerals Report (CMR) to the SEC that includes a description of those due diligence measures.

1. COMPANY OVERVIEW

Conduent creates digital platforms and services for businesses and governments to manage millions of interactions every day for those they serve. We are leveraging the power of cloud, mobile and IoT, combined with technologies such as automation, cognitive and block chain to elevate every constituent interaction, driving modern digital experiences that are more efficient, helpful and satisfying.

The content of any website referred to in this CMR is included for general information only and is not incorporated by reference in this Report.

2. OUR CONFLICT MINERALS PROGRAM

2.1 Supply Chain – Reasonable Country of Origin Inquiry

Conduent is many steps removed from the mining of conflict minerals. The origin of conflict minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other conflict mineral containing derivatives. The 3TG smelters or refiners are consolidating points for raw ore and are in the best position in the total supply chain to know the origin of the ores. Conduent has conducted an analysis of our products and found that, although we do not directly purchase conflict minerals from our suppliers, Conduent purchases products, component parts and materials that contain metals, some of which contain conflict minerals. We rely on our Tier 1 suppliers to provide information on the origin of the conflict minerals contained in components that are included in our products by using the Responsible Minerals Initiative (RMI) Conflict Minerals Reporting Template (CMRT).

2.2 Supplier Risk Assessment

Conduent conducted a product review to determine products in scope with supply managers, with the ultimate goal of identifying and targeting 3TG minerals. This process was developed to identify those suppliers whose products may contain the presence of tin, tantalum, tungsten and gold.


We conducted a survey of these suppliers to determine whether the conflict minerals in components contained in our products originated from the DRC or adjoining countries. This supply-chain survey was conducted with our Tier 1 suppliers using the CMRT, which contains questions about the facilities used to process these minerals, as well as supplier RCOI. The goal of this activity was to identify, where applicable, the 3TG smelters or refiners who contribute refined conflict minerals to Conduent components, assemblies and Original Equipment Manufacturer (OEM) Products. The CMRT was developed to facilitate disclosure and communication of information regarding smelters or refiners that provide material to a company’s supply chain. In 2018, Conduent surveyed 33 suppliers with a 24% response rate.

The responses contained varying degrees of information regarding the names and locations of 3TG smelters or refiners which process necessary conflict minerals used by our suppliers, which are ultimately incorporated into our products. We continued our risk-assessment process that includes a questionnaire that helps us assess the risk of inaccuracies or omissions in supplier responses regarding their use of 3TG so that we can conduct follow-up actions with suppliers, encouraging further requests for accurate, complete or missing template information where we identified red flags in responses, based on our assessment of the level of risk for the commodities supplied.

2.3 Company Management Systems

Policy

Conduent created a Supplier Code of Conduct which addresses Conduent’s expectations for suppliers in regards to conflict minerals and has posted a statement on the supplier governance website at https://www.conduent.com/supplier-relations/governance/.

Internal Team

Conduent has a team that created a management system for conflict minerals. This team includes Global Procurement, Legal, and other key individuals who have functional subject matter expertise and that assist in seeking to have Conduent and our suppliers adhere and implement our conflict minerals compliance strategy.

2.4 Control Systems

Controls include, but are not limited to, our Code of Business Conduct for our employees, Supplier Code of Conduct and a conflict minerals contract clause incorporated in our Master Purchasing Agreements.

2.5 Grievance Mechanism

Conduent has a Global Ethics and Compliance Program whereby employees and suppliers can report violations of Conduent policies. This is communicated annually in our employee ethics training.

3. DUE DILIGENCE

3.1 Design of Due Diligence

Conduent has developed due diligence measures, which include a Supplier Code of Conduct that is intended to be in material conformity with the nationally or internationally recognized due diligence framework in the OECD 2016.

3.2 Smelter or Refiner Results*

Our due diligence process requires following the OECD implementation framework. We request that our suppliers complete the CMRT survey in order to obtain information about 3TG smelters or refiners in our supply chain. We have determined that these actions represent the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.

The majority of survey responses provided smelter and refiner data, although some responses did not list all the smelters or refiners used in their supply chain. We analyzed and compared all the 3TG smelter and refiner data we received against information obtained from the RMI smelter database. For the calendar year 2018, our due diligence identified 272 smelters and refiners as potential sources of 3TG minerals that were reported to be in our supply chain.

 

2


In order to provide compliance status, we conducted further analysis of the 272 smelters and refiners against The Responsible Minerals Assurance Process (RMAP), which is managed by the RMI. The results are in the table below:

 

     
Audit Status    Definition    # of Smelter and
Refiners (1)
 
     

Conformant

   Audited and found conformant with the relevant RMAP standard      242  
     

Outreach Required

   Outreach needed by RMI member companies to contact entity and encourage their participation in RMAP audit      14  
     

Active

   Engaged in the program but not yet conformant      1  
     

Communication

Suspended

   Temporarily Ceased Operations – facility has temporarily ceased operations      4  
     

Non Conformant

   Audited but found not conformant with the relevant RMAP standard      0  
     

In Communication

   Not yet active but in communication with RMAP and/or member company      2  
     

RMI Due Diligence

Review

   For facilities that have not met the threshold for Due Diligence Vetting Process after a period of 6 months. Status may change if additional information is submitted      2  
     

Due Diligence Vetting Pro

   Facility does not meet RMI’s requirements for participation according to the due diligence vetting process      1  
     

Not Applicable

   Not eligible for the RMAP      6  
     

TOTAL

          272  

 

(1)

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

    

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

4. DETERMINATION

The information garnered from our due diligence efforts from suppliers or other sources is not sufficient to determine the origin of all 3TG our products contain, whether the 3TG come from recycled or scrap sources, the facilities used to process them, their country of origin, or their mine or location of origin. We have found no reasonable basis for concluding that these refiners, or the other smelters preparing to be audited, sourced 3TG minerals that directly or indirectly finance or benefit armed groups of the conflict region of the Covered Countries.

Based on the information provided by our suppliers, we believe that the facilities that may have been used to process the 3TG minerals in our products include the RMI smelters listed in Appendix I below. Based on our due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the 3TG minerals in our products or whether the 3TG minerals in our products are from recycled or scrap sources. Due to the fact that we have not voluntarily elected to describe any of our products as “DRC conflict free,” an independent private sector audit of the report presented herein has not been conducted.

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

In accordance with the OECD Guidance and the Rule, this CMR is available on our Conduent Investor Relations Website.

5. STEPS TO BE TAKEN IN 2019 TO MITIGATE RISK

Conduent expects to undertake the following steps during 2019 to improve the due diligence conducted in order to further mitigate the risk that the necessary conflict minerals in our products do not benefit armed groups in the DRC or adjoining countries, including:

 

3


   

Strengthen engagement with relevant suppliers and to provide training, as appropriate, to help them understand and satisfy Conduent requirements related to 3TG minerals under the Rule.

 

   

Enhance our review process with distributors submitting CMRT’s and develop appropriate practices in obtaining 3TG mineral data.

 

   

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

 

   

Enhance our process for ongoing feedback to suppliers on errors and corrections required in connection with the CMRT assessment.

 

4


APPENDIX I

 

Mineral

  

Smelter or Refiner Name*

  

Country Location of Smelter or Refiner

Gold

  

Advanced Chemical Company

  

UNITED STATES OF AMERICA

Gold

  

Aida Chemical Industries Co., Ltd.

  

JAPAN

Gold

  

Al Etihad Gold Refinery DMCC

  

UNITED ARAB EMIRATES

Gold

  

Allgemeine Gold-und Silberscheideanstalt A.G.

  

GERMANY

Gold

  

Almalyk Mining and Metallurgical Complex (AMMC)

  

UZBEKISTAN

Gold

  

AngloGold Ashanti Corrego do Sitio Mineracao

  

BRAZIL

Gold

  

Argor-Heraeus S.A.

  

SWITZERLAND

Gold

  

Asahi Pretec Corp.

  

JAPAN

Gold

  

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

  

Aurubis AG

  

GERMANY

Gold

  

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

  

PHILIPPINES

Gold

  

Boliden AB

  

SWEDEN

Gold

  

C. Hafner GmbH + Co. KG

  

GERMANY

Gold

  

Caridad

  

MEXICO

Gold

  

CCR Refinery – Glencore Canada Corporation

  

CANADA

Gold

  

Cendres + Metaux S.A.

  

SWITZERLAND

Gold

  

Chimet S.p.A.

  

ITALY

Gold

  

Chugai Mining

  

JAPAN

Gold

  

Daejin Indus Co., Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Daye Non-Ferrous Metals Mining Ltd.

  

CHINA

Gold

  

DODUCO Contacts and Refining GmbH

  

GERMANY

Gold

  

Dowa

  

JAPAN

Gold

  

DSC (Do Sung Corporation)

  

KOREA, REPUBLIC OF

Gold

  

Eco-System Recycling Co., Ltd.

  

JAPAN

Gold

  

Elemetal Refining, LLC

  

UNITED STATES OF AMERICA

Gold

  

Emirates Gold DMCC

  

UNITED ARAB EMIRATES

Gold

  

Geib Refining Corporation

  

UNITED STATES OF AMERICA

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

  

HeeSung Metal Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Heimerle + Meule GmbH

  

GERMANY

Gold

  

Heraeus Metals Hong Kong Ltd.

  

CHINA

Gold

  

Heraeus Precious Metals GmbH & Co. KG

  

GERMANY

 

A-2


Mineral

  

Smelter or Refiner Name*

  

Country Location of Smelter or Refiner

Gold

  

Hunan Chenzhou Mining Co., Ltd.

  

CHINA

Gold

  

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

  

CHINA

Gold

  

Ishifuku Metal Industry Co., Ltd.

  

JAPAN

Gold

  

Istanbul Gold Refinery

  

TURKEY

Gold

  

Italpreziosi

  

ITALY

Gold

  

Japan Mint

  

JAPAN

Gold

  

Jiangxi Copper Co., Ltd.

  

CHINA

Gold

  

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

  

RUSSIAN FEDERATION

Gold

  

JSC Uralelectromed

  

RUSSIAN FEDERATION

Gold

  

JX Nippon Mining & Metals Co., Ltd.

  

JAPAN

Gold

  

Kazzinc

  

KAZAKHSTAN

Gold

  

Kennecott Utah Copper LLC

  

UNITED STATES OF AMERICA

Gold

  

Kojima Chemicals Co., Ltd.

  

JAPAN

Gold

  

Korea Zinc Co., Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Kyrgyzaltyn JSC

  

KYRGYZSTAN

Gold

  

L’azurde Company For Jewelry

  

SAUDI ARABIA

Gold

  

Lingbao Gold Co., Ltd.

  

CHINA

Gold

  

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

  

CHINA

Gold

  

LS-NIKKO Copper Inc.

  

KOREA, REPUBLIC OF

Gold

  

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

  

CHINA

Gold

  

Materion

  

UNITED STATES OF AMERICA

Gold

  

Matsuda Sangyo Co., Ltd.

  

JAPAN

Gold

  

Metalor Technologies (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

  

MMTC-PAMP India Pvt., Ltd.

  

INDIA

Gold

  

Moscow Special Alloys Processing Plant

  

RUSSIAN FEDERATION

Gold

  

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

  

TURKEY

Gold

  

Navoi Mining and Metallurgical Combinat

  

UZBEKISTAN

Gold

  

Nihon Material Co., Ltd.

  

JAPAN

Gold

  

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

 

A-3


Mineral

  

Smelter or Refiner Name*

  

Country Location of Smelter or Refiner

Gold

  

OJSC Novosibirsk Refinery

  

RUSSIAN FEDERATION

Gold

  

PAMP S.A.

  

SWITZERLAND

Gold

  

Penglai Penggang Gold Industry Co., Ltd.

  

CHINA

Gold

  

Planta Recuperadora de Metales SpA

  

CHILE

Gold

  

Prioksky Plant of Non-Ferrous Metals

  

RUSSIAN FEDERATION

Gold

  

PT Aneka Tambang (Persero) Tbk

  

INDONESIA

Gold

  

PX Precinox S.A.

  

SWITZERLAND

Gold

  

Rand Refinery (Pty) Ltd.

  

SOUTH AFRICA

Gold

  

REMONDIS PMR B.V.

  

NETHERLANDS

Gold

  

Republic Metals Corporation

  

UNITED STATES OF AMERICA

Gold

  

Royal Canadian Mint

  

CANADA

Gold

  

SAAMP

  

FRANCE

Gold

  

Sabin Metal Corp.

  

UNITED STATES OF AMERICA

Gold

  

Safimet S.p.A

  

ITALY

Gold

  

Samduck Precious Metals

  

KOREA, REPUBLIC OF

Gold

  

Samwon Metals Corp.

  

KOREA, REPUBLIC OF

Gold

  

SAXONIA Edelmetalle GmbH

  

GERMANY

Gold

  

Schone Edelmetaal B.V.

  

NETHERLANDS

Gold

  

SEMPSA Joyeria Plateria S.A.

  

SPAIN

Gold

  

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

  

CHINA

Gold

  

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

  

CHINA

Gold

  

Sichuan Tianze Precious Metals Co., Ltd.

  

CHINA

Gold

  

Singway Technology Co., Ltd.

  

TAIWAN, PROVINCE OF CHINA

Gold

  

So Accurate Group, Inc.

  

UNITED STATES OF AMERICA

Gold

  

SOE Shyolkovsky Factory of Secondary Precious Metals

  

RUSSIAN FEDERATION

Gold

  

Solar Applied Materials Technology Corp.

  

TAIWAN, PROVINCE OF CHINA

Gold

  

Sumitomo Metal Mining Co., Ltd.

  

JAPAN

Gold

  

T.C.A S.p.A

  

ITALY

Gold

  

Tanaka Kikinzoku Kogyo K.K.

  

JAPAN

Gold

  

The Refinery of Shandong Gold Mining Co., Ltd.

  

CHINA

Gold

  

Tokuriki Honten Co., Ltd.

  

JAPAN

Gold

  

Tongling Nonferrous Metals Group Co., Ltd.

  

CHINA

Gold

  

Torecom

  

KOREA, REPUBLIC OF

Gold

  

Umicore Brasil Ltda.

  

BRAZIL

Gold

  

Umicore Precious Metals Thailand

  

THAILAND

Gold

  

Umicore S.A. Business Unit Precious Metals Refining

  

BELGIUM

 

A-4


Mineral

  

Smelter or Refiner Name*

  

Country Location of Smelter or Refiner

Gold

  

United Precious Metal Refining, Inc.

  

UNITED STATES OF AMERICA

Gold

  

Valcambi S.A.

  

SWITZERLAND

Gold

  

Western Australian Mint (T/a The Perth Mint)

  

AUSTRALIA

Gold

  

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

Tantalum

  

Changsha South Tantalum Niobium Co., Ltd.

  

CHINA

Tantalum

  

D Block Metals, LLC

  

UNITED STATES OF AMERICA

Tantalum

  

Duoluoshan

  

CHINA

Tantalum

  

Exotech Inc.

  

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

  

Guangdong Zhiyuan New Material Co., Ltd.

  

CHINA

Tantalum

  

H.C. Starck Co., Ltd.

  

THAILAND

Tantalum

  

H.C. Starck Hermsdorf GmbH

  

GERMANY

Tantalum

  

H.C. Starck Inc.

  

UNITED STATES OF AMERICA

Tantalum

  

H.C. Starck Ltd.

  

JAPAN

Tantalum

  

H.C. Starck Smelting GmbH & Co. KG

  

GERMANY

Tantalum

  

H.C. Starck Tantalum and Niobium GmbH

  

GERMANY

Tantalum

  

Hengyang King Xing Lifeng New Materials 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

  

KEMET Blue Metals

  

MEXICO

Tantalum

  

KEMET Blue Powder

  

UNITED STATES OF AMERICA

Tantalum

  

King-Tan Tantalum Industry Ltd.

  

CHINA

Tantalum

  

LSM Brasil S.A.

  

BRAZIL

Tantalum

  

Metallurgical Products India Pvt., Ltd.

  

INDIA

Tantalum

  

Mineracao Taboca S.A.

  

BRAZIL

Tantalum

  

Mitsui Mining and Smelting Co., Ltd.

  

JAPAN

Tantalum

  

Ningxia Orient Tantalum Industry Co., Ltd.

  

CHINA

Tantalum

  

NPM Silmet AS

  

ESTONIA

Tantalum

  

QuantumClean

  

UNITED STATES OF AMERICA

Tantalum

  

Resind Industria e Comercio Ltda.

  

BRAZIL

Tantalum

  

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

  

CHINA

 

A-5


Mineral

  

Smelter or Refiner Name*

  

Country Location of Smelter or Refiner

Tantalum

  

Solikamsk Magnesium Works OAO

  

RUSSIAN FEDERATION

Tantalum

  

Taki Chemical Co., Ltd.

  

JAPAN

Tantalum

  

Telex Metals

  

UNITED STATES OF AMERICA

Tantalum

  

Ulba Metallurgical Plant JSC

  

KAZAKHSTAN

Tantalum

  

XinXing HaoRong Electronic Material Co., Ltd.

  

CHINA

Tantalum

  

Yichun Jin Yang Rare Metal Co., Ltd.

  

CHINA

Tin

  

Alpha

  

UNITED STATES OF AMERICA

Tin

  

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

  

CHINA

Tin

  

China Tin Group Co., Ltd.

  

CHINA

Tin

  

CNMC (Guangxi) PGMA Co., Ltd.

  

CHINA

Tin

  

CV Ayi Jaya

  

INDONESIA

Tin

  

CV Dua Sekawan

  

INDONESIA

Tin

  

CV Gita Pesona

  

INDONESIA

Tin

  

CV United Smelting

  

INDONESIA

Tin

  

CV Venus Inti Perkasa

  

INDONESIA

Tin

  

Dowa

  

JAPAN

Tin

  

EM Vinto

  

BOLIVIA (PLURINATIONAL STATE OF)

Tin

  

Estanho de Rondonia S.A.

  

BRAZIL

Tin

  

Fenix Metals

  

POLAND

Tin

  

Gejiu Fengming Metallurgy Chemical Plant

  

CHINA

Tin

  

Gejiu Jinye Mineral Company

  

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

  

Guanyang Guida Nonferrous Metal Smelting Plant

  

CHINA

Tin

  

HuiChang Hill Tin Industry Co., Ltd.

  

CHINA

Tin

  

Huichang Jinshunda Tin Co., Ltd.

  

CHINA

Tin

  

Jiangxi Ketai Advanced Material Co., Ltd.

  

CHINA

Tin

  

Jiangxi New Nanshan Technology Ltd.

  

CHINA

Tin

  

Magnu’s Minerais Metais e Ligas Ltda.

  

BRAZIL

Tin

  

Malaysia Smelting Corporation (MSC)

  

MALAYSIA

Tin

  

Melt Metais e Ligas S.A.

  

BRAZIL

Tin

  

Metallic Resources, Inc.

  

UNITED STATES OF AMERICA

Tin

  

Metallo Belgium N.V.

  

BELGIUM

Tin

  

Metallo Spain S.L.U.

  

SPAIN

Tin

  

Mineracao Taboca S.A.

  

BRAZIL

Tin

  

Minsur

  

PERU

 

A-6


Mineral

  

Smelter or Refiner Name*

  

Country Location of Smelter or Refiner

Tin

  

Mitsubishi Materials Corporation

  

JAPAN

Tin

  

Modeltech Sdn Bhd

  

MALAYSIA

Tin

  

Nghe Tinh Non-Ferrous Metals Joint Stock Company

  

VIET NAM

Tin

  

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

  

THAILAND

Tin

  

O.M. Manufacturing Philippines, Inc.

  

PHILIPPINES

Tin

  

Operaciones Metalurgical S.A.

  

BOLIVIA (PLURINATIONAL STATE OF)

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 Bangka Prima Tin

  

INDONESIA

Tin

  

PT Bangka Tin Industry

  

INDONESIA

Tin

  

PT Belitung Industri Sejahtera

  

INDONESIA

Tin

  

PT Bukit Timah

  

INDONESIA

Tin

  

PT DS Jaya Abadi

  

INDONESIA

Tin

  

PT Eunindo Usaha Mandiri

  

INDONESIA

Tin

  

PT Inti Stania Prima

  

INDONESIA

Tin

  

PT Karimun Mining

  

INDONESIA

Tin

  

PT Kijang Jaya Mandiri

  

INDONESIA

Tin

  

PT Lautan Harmonis Sejahtera

  

INDONESIA

Tin

  

PT Menara Cipta Mulia

  

INDONESIA

Tin

  

PT Mitra Stania Prima

  

INDONESIA

Tin

  

PT Panca Mega Persada

  

INDONESIA

Tin

  

PT Premium Tin Indonesia

  

INDONESIA

Tin

  

PT Prima Timah Utama

  

INDONESIA

Tin

  

PT Rajehan Ariq

  

INDONESIA

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 Sumber Jaya Indah

  

INDONESIA

Tin

  

PT Timah Tbk Kundur

  

INDONESIA

Tin

  

PT Timah Tbk Mentok

  

INDONESIA

Tin

  

PT Tinindo Inter Nusa

  

INDONESIA

Tin

  

PT Tommy Utama

  

INDONESIA

Tin

  

Resind Industria e Comercio Ltda.

  

BRAZIL

Tin

  

Rui Da Hung

  

TAIWAN, PROVINCE OF CHINA

Tin

  

Soft Metais Ltda.

  

BRAZIL

Tin

  

Thaisarco

  

THAILAND

Tin

  

White Solder Metalurgia e Mineracao Ltda.

  

BRAZIL

Tin

  

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

  

CHINA

 

A-7


Mineral

  

Smelter or Refiner Name*

  

Country Location of Smelter or Refiner

Tin

  

Yunnan Tin Company Limited

  

CHINA

Tungsten

  

A.L.M.T. Corp.

  

JAPAN

Tungsten

  

Asia Tungsten Products Vietnam Ltd.

  

VIET NAM

Tungsten

  

Chenzhou Diamond Tungsten Products Co., Ltd.

  

CHINA

Tungsten

  

Chongyi Zhangyuan Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Fujian Jinxin Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Ganzhou Huaxing Tungsten Products Co., Ltd.

  

CHINA

*Smelter or refiner names as reported by the RMI as of 12/31/2018.

 

A-8