UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM SD
Specialized Disclosure Report
CSW INDUSTRIALS, INC.
(Exact Name Of Registrant As Specified in Charter)
| Delaware | 001-37454 | 47-2266942 | ||||||||||||
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||||||||||||
5420 Lyndon B. Johnson Freeway, Suite 500
Dallas, Texas 75240
(Address of Principal Executive Offices) (Zip Code)
Luke E. Alverson
Senior Vice President, General Counsel & Secretary
(214) 884-3777
(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, 2020.
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
CSW Industrials, Inc. (including its consolidated subsidiaries, the “Company”) is filing this Form SD pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934 (the “Rule”) for the reporting period from January 1 to December 31, 2020 (the “Reporting Period”).
The Company manufactures or contracts to manufacture “products” that may contain certain “conflict minerals” (as defined below) that are necessary to the functionality or production of such products. The term “conflict mineral” is defined in Form SD as (i)(a) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); (b) cassiterite (the metal ore from which tin is extracted); (c) gold; and (d) wolframite (the metal ore from which tungsten is extracted), or their derivatives; or (ii) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”).
In accordance with the Rule and Form SD, the Company has conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the conflict minerals included in its products during the Reporting Period to determine whether any of such conflict minerals originated in the Covered Countries and/or whether any of such conflict minerals may be from recycled or scrap sources.
In accordance with the Rule, the Company has filed this Form SD and the associated Conflict Minerals Report, which appears as Exhibit 1.01 hereto and is publicly available on the Company’s website at www.cswindustrials.com.
Item 1.02 Exhibit
A description of the RCOI and the measures the Company took to exercise due diligence on the source and chain of custody of certain of its conflict minerals is provided in the Conflict Minerals Report attached hereto as Exhibit 1.01. The content on, or accessible through, any website referred to in this Form SD is not incorporated by reference into this Form SD unless expressly noted.
Section 2 – Exhibits
Item 2.01 Exhibits
The following exhibit is filed as part of this Form SD.
Exhibit No. Description
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 hereunto duly authorized.
Dated: May 27, 2021
| By: | /s/ Luke E. Alverson | |||||||
| Name: | Luke E. Alverson | |||||||
| Title: | Senior Vice President, General Counsel & Secretary | |||||||
Exhibit 1.01
Conflict Minerals Report of CSW Industrials, Inc.
In Accordance with Rule 13p-1 and Form SD under the Securities Exchange Act of 1934
For the year ended December 31, 2020
This Conflict Minerals Report (“Report”) of CSW Industrials, Inc. (including its consolidated subsidiaries, the “Company”) for the period from January 1 to December 31, 2020 (the “Reporting Period”) is presented to comply with Rule 13p1 (the “Rule”) under the Securities Exchange Act of 1934. Please refer to the Rule and Form SD for definitions of terms used in this Report, unless otherwise defined herein.
The Company manufactures or contracts to manufacture “products” that may contain certain “conflict minerals” (as defined below) that are necessary to the functionality or production of such products. The term “conflict mineral” is defined in Form SD as (i)(a) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); (b) cassiterite (the metal ore from which tin is extracted; (c) gold; and (d) wolframite (the metal ore from which tungsten is extracted), or their derivatives; or (ii) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”).
In accordance with the Rule and Form SD, the Company has conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the conflict minerals included in its products during the Reporting Period to determine whether any of such conflict minerals originated in the Covered Countries and/or whether any of such conflict minerals may be from recycled or scrap sources.
The results of the Company’s RCOI regarding conflict minerals, as well as the Company’s additional due diligence regarding the sources of the conflict minerals, are contained in this Report.
1. Introduction
CSW Industrials, Inc. is a diversified industrial growth company with well-established, scalable platforms and domain expertise across two segments: Industrials Products and Specialty Chemicals. The Company’s products include mechanical products for heating, ventilation, air conditioning and refrigeration (“HVAC/R”), grilles, registers and diffusers, building safety solutions and high-performance specialty lubricants and sealants. End markets that the Company serves include HVAC/R, architecturally-specified building products, plumbing, energy, rail, mining and general industrial.
The Company manufactures, or contracts for the manufacture of, a wide range of products, some of which contain conflict minerals. The Company does not purchase ore or unrefined conflict minerals directly from mines, smelters or refiners, and as such the Company is many steps removed from these market participants and the sources of ore from which conflict minerals are produced. For this reason, the Company relies on its direct suppliers, many of which are not subject to the Rule, to investigate their upstream suppliers to provide information on the origin of the conflict minerals in the components and materials that the Company purchases and incorporates into its product lines. Along with this, the Company conducts due diligence processes reflecting the Company’s circumstances and position in the supply chain to ensure that its sourcing practices, and the sourcing practices of the Company’s suppliers, are consistent with its guiding principles on responsibly sourcing conflict minerals.
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2. Reasonable Country of Origin Inquiry
The Company’s RCOI for the Reporting Period began with an identification of all the Company’s direct suppliers that, due to the nature of their business or the products they supply to the Company, utilize conflict minerals. The Company then contacted each supplier and requested completion of the Responsible Minerals Initiative (“RMI”) Conflict Minerals Reporting Template (“CMRT”), which is a commonly accepted worldwide reporting tool for conflict minerals content and sourcing information. The CMRT asked the suppliers, among other things, to disclose the origin of any conflict minerals used in their manufacturing processes and to identify the conflict minerals processing facilities within their respective supply chains.
In total, the Company surveyed 28 of its suppliers, which were all of the suppliers the Company identified as providing components for its products that may contain conflict minerals. The Company received responses from 82% of the suppliers surveyed.
As the Company is a downstream purchaser of products that may contain conflict minerals, the Company’s due diligence measures can provide only reasonable assurance regarding the country of origin of the conflict minerals. Despite having conducted a good faith RCOI, there are inherent limitations in the information provided by third parties, including the possibility of information being inaccurate, incomplete or falsified, despite the Company’s efforts to validate and confirm the information. Based on the survey results obtained, at this time the Company is unable to determine with any reasonable degree of certainty the origin of the conflict minerals in its product lines, and therefore cannot exclude the possibility that some may have originated in the Covered Countries.
3. Due Diligence
The Company’s due diligence procedures are designed to conform, in all material respects, to the Organization for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the related supplements for gold, tin, tantalum and tungsten (the “OECD Guidance”). In accordance with the OECD Guidance, the Company takes the following measures as part of its due diligence process:
i.Maintains an Established Company Management System
1.Adopted and maintains a Conflict Minerals Policy
2.Established and maintains an internal conflict minerals management committee
3.Communicates with its direct suppliers through the above-described RCOI
4.Maintains conflict-free sourcing requirements in standard terms and conditions for suppliers
5.Maintains supplier qualification processes that include, among other compliance inquiries, questions regarding conflict minerals programs
ii.Identifies and Assesses Supply Chain Risks
1.Maintains a process to review all the individual components of the Company’s current products to identify which products may contain conflict minerals and categorize such materials by commodity
2.Through its procurement center of excellence, identifies the suppliers through which components that may contain conflict minerals are sourced
3.Conducts the RCOI described above to identify the smelters and refiners that contribute conflict minerals to the Company’s products
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4.Reviews and compares the smelters and refiners identified by suppliers against the list of facilities that are in compliance with the Responsible Minerals Assurance Process assessment protocols (“RMAP”) established by the RMI
iii.Implements a Designed Strategy to Respond to Risks
1.Conducts follow up with direct suppliers who do not respond to the survey request or provide incomplete responses
2.Collaborate with our direct suppliers to investigate any smelter that does not have a conflict free designation or is not in the process of recertifying for such designation
The Company does not have a direct relationship with smelters or refiners and does not perform audits of these entities within its supply chain.
4. Due Diligence Results
The Company solicited 28 direct suppliers and received a response from 82% of them. Despite our follow up efforts with our direct suppliers, we believe that staffing and logistical challenges for certain of our direct suppliers resulting from the COVID-19 pandemic impacted our survey response rate for this Reporting Period. 78% of the responding suppliers stated that the material they supply to the Company either does not contain conflict minerals that originated from Covered Countries or that 100% of the conflict minerals originated from recycled or scrap sources.
From the information provided to the Company from its suppliers, 321 smelters or refiners were identified in the Company’s supply chain. 306 (95%) are participating in the RMAP and are either in compliance with the RMAP or are active in the application process. The Company continues to monitor and evaluate all its direct suppliers and the smelters and refiners they report with the goal of full compliance with the RMAP.
Below are the smelters or refiners participating in the RMAP, as reported by the Company’s suppliers:
| Metal | Smelter Name | Smelter Country | Smelter ID # | ||||||||
| Gold | 8853 S.p.A. | ITALY | CID002763 | ||||||||
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | CID002708 | ||||||||
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 | ||||||||
| Gold | African Gold Refinery | UGANDA | CID003185 | ||||||||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | ||||||||
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | CID002560 | ||||||||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | ||||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | ||||||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 | ||||||||
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | ||||||||
| Gold | Asahi Pretec Corp. | JAPAN | CID000082 | ||||||||
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | ||||||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | ||||||||
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| Gold | AU Traders and Refiners | SOUTH AFRICA | CID002850 | ||||||||
| Gold | Aurubis AG | GERMANY | CID000113 | ||||||||
| Gold | Bangalore Refinery | INDIA | CID002863 | ||||||||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | ||||||||
| Gold | Boliden AB | SWEDEN | CID000157 | ||||||||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | ||||||||
| Gold | Caridad | MEXICO | CID000180 | ||||||||
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | ||||||||
| Gold | Cendres + Metaux S.A. | SWITZERLAND | CID000189 | ||||||||
| Gold | Chimet S.p.A. | ITALY | CID000233 | ||||||||
| Gold | Chugai Mining | JAPAN | CID000264 | ||||||||
| Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | CID000328 | ||||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 | ||||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 | ||||||||
| Gold | DODUCO Contacts and Refining GmbH | GERMANY | CID000362 | ||||||||
| Gold | Dowa | JAPAN | CID000401 | ||||||||
| Gold | DS PRETECH Co., Ltd. | KOREA, REPUBLIC OF | CID003195 | ||||||||
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 | ||||||||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | ||||||||
| Gold | Elemetal Refining, LLC | UNITED STATES OF AMERICA | CID001322 | ||||||||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | ||||||||
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 | ||||||||
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 | ||||||||
| Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | CID002459 | ||||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | ||||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 | ||||||||
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 | ||||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 | ||||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | ||||||||
| Gold | HeeSung Metal Ltd. | KOREA, REPUBLIC OF | CID000689 | ||||||||
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | ||||||||
| Gold | Heraeus Ltd. Hong Kong | CHINA | CID000707 | ||||||||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | ||||||||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 | ||||||||
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | CID000778 | ||||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | ||||||||
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| Gold | Italpreziosi | ITALY | CID002765 | ||||||||
| Gold | Japan Mint | JAPAN | CID000823 | ||||||||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | ||||||||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | ||||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | ||||||||
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | CID002563 | ||||||||
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 | ||||||||
| Gold | Kazzinc | KAZAKHSTAN | CID000957 | ||||||||
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | ||||||||
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 | ||||||||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | ||||||||
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 | ||||||||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | ||||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 | ||||||||
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | CID001032 | ||||||||
| Gold | Lingbao Gold Co., Ltd. | CHINA | CID001056 | ||||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | CID001058 | ||||||||
| Gold | L'Orfebre S.A. | ANDORRA | CID002762 | ||||||||
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | ||||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 | ||||||||
| Gold | Marsam Metals | BRAZIL | CID002606 | ||||||||
| Gold | Materion | UNITED STATES OF AMERICA | CID001113 | ||||||||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | ||||||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | ||||||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | ||||||||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | ||||||||
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | ||||||||
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | ||||||||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 | ||||||||
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | ||||||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | ||||||||
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | ||||||||
| Gold | Modeltech Sdn Bhd | MALAYSIA | CID002857 | ||||||||
| Gold | Morris and Watson | NEW ZEALAND | CID002282 | ||||||||
| Gold | Morris and Watson Gold Coast | AUSTRALIA | CID002866 | ||||||||
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| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | ||||||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 | ||||||||
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | ||||||||
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | CID003189 | ||||||||
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | ||||||||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | ||||||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | ||||||||
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | ||||||||
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | ||||||||
| Gold | PAMP S.A. | SWITZERLAND | CID001352 | ||||||||
| Gold | Pease & Curren | UNITED STATES OF AMERICA | CID002872 | ||||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 | ||||||||
| Gold | Planta Recuperadora de Metales SpA | CHILE | CID002919 | ||||||||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | ||||||||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | ||||||||
| Gold | PX Precinox S.A. | SWITZERLAND | CID001498 | ||||||||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | ||||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | CID000522 | ||||||||
| Gold | REMONDIS PMR B.V. | NETHERLANDS | CID002582 | ||||||||
| Gold | Republic Metals Corporation | UNITED STATES OF AMERICA | CID002510 | ||||||||
| Gold | Royal Canadian Mint | CANADA | CID001534 | ||||||||
| Gold | SAAMP | FRANCE | CID002761 | ||||||||
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | CID001546 | ||||||||
| Gold | Safimet S.p.A | ITALY | CID002973 | ||||||||
| Gold | SAFINA A.S. | CZECHIA | CID002290 | ||||||||
| Gold | Sai Refinery | INDIA | CID002853 | ||||||||
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | ||||||||
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | CID001562 | ||||||||
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | ||||||||
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 | ||||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 | ||||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | ||||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | ||||||||
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | ||||||||
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| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | ||||||||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | ||||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 | ||||||||
| Gold | Sudan Gold Refinery | SUDAN | CID002567 | ||||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | ||||||||
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | CID002918 | ||||||||
| Gold | T.C.A S.p.A | ITALY | CID002580 | ||||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | ||||||||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 | ||||||||
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | ||||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 | ||||||||
| Gold | Tony Goetz NV | BELGIUM | CID002587 | ||||||||
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | CID002615 | ||||||||
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | ||||||||
| Gold | Umicore Brasil Ltda. | BRAZIL | CID001977 | ||||||||
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | ||||||||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | ||||||||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 | ||||||||
| Gold | Universal Precious Metals Refining Zambia | ZAMBIA | CID002854 | ||||||||
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 | ||||||||
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 | ||||||||
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 | ||||||||
| Gold | Yamakin Co., Ltd. | JAPAN | CID002100 | ||||||||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | ||||||||
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | CID000197 | ||||||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | ||||||||
| Tantalum | Asaka Riken Co., Ltd. | JAPAN | CID000092 | ||||||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | ||||||||
| Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 | ||||||||
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | ||||||||
| Tantalum | Duoluoshan | CHINA | CID000410 | ||||||||
| Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | CID000456 | ||||||||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | ||||||||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | ||||||||
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| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | ||||||||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | ||||||||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | ||||||||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 | ||||||||
| Tantalum | H.C. Starck Goslar | GERMANY | CID002545 | ||||||||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | ||||||||
| Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | CID002548 | ||||||||
| Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 | ||||||||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 | ||||||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | ||||||||
| Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES OF AMERICA | CID000731 | ||||||||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | ||||||||
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 | ||||||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | ||||||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | ||||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | ||||||||
| Tantalum | KEMET Blue Metals | MEXICO | CID002539 | ||||||||
| Tantalum | KEMET Blue Powder | UNITED STATES OF AMERICA | CID002568 | ||||||||
| Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 | ||||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | ||||||||
| Tantalum | Mineração Taboca S.A. | BRAZIL | CID001175 | ||||||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | ||||||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | ||||||||
| Tantalum | NPM Silmet AS | ESTONIA | CID001200 | ||||||||
| Tantalum | Power Resources Ltd. | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | CID002847 | ||||||||
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | CID001508 | ||||||||
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 | ||||||||
| Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 | ||||||||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | ||||||||
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 | ||||||||
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | CID001891 | ||||||||
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | ||||||||
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| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | ||||||||
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | CID002232 | ||||||||
| Tin | Alpha | UNITED STATES OF AMERICA | CID000292 | ||||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 | ||||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | ||||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | CID003190 | ||||||||
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | ||||||||
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000278 | ||||||||
| Tin | CV Ayi Jaya | INDONESIA | CID002570 | ||||||||
| Tin | CV Dua Sekawan | INDONESIA | CID002592 | ||||||||
| Tin | CV Gita Pesona | INDONESIA | CID000306 | ||||||||
| Tin | CV United Smelting | INDONESIA | CID000315 | ||||||||
| Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 | ||||||||
| Tin | Dowa | JAPAN | CID000402 | ||||||||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 | ||||||||
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | ||||||||
| Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 | ||||||||
| Tin | Fenix Metals | POLAND | CID000468 | ||||||||
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | CID002848 | ||||||||
| Tin | Gejiu Jinye Mineral Company | CHINA | CID002859 | ||||||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | ||||||||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | ||||||||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | ||||||||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | ||||||||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CID003116 | ||||||||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 | ||||||||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | ||||||||
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 | ||||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | CID001231 | ||||||||
| Tin | Ma'anshan Weitai Tin Co., Ltd. | CHINA | CID003379 | ||||||||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | ||||||||
9
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | ||||||||
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | ||||||||
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 | ||||||||
| Tin | Metallo Belgium N.V. | BELGIUM | CID002773 | ||||||||
| Tin | Metallo Spain S.L.U. | SPAIN | CID002774 | ||||||||
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 | ||||||||
| Tin | Minsur | PERU | CID001182 | ||||||||
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | ||||||||
| Tin | Modeltech Sdn Bhd | MALAYSIA | CID002858 | ||||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 | ||||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | ||||||||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | ||||||||
| Tin | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | ||||||||
| Tin | Pongpipat Company Limited | MYANMAR | CID003208 | ||||||||
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 | ||||||||
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | ||||||||
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | ||||||||
| Tin | PT Babel Surya Alam Lestari | INDONESIA | CID001406 | ||||||||
| Tin | PT Bangka Prima Tin | INDONESIA | CID002776 | ||||||||
| Tin | PT Bangka Serumpun | INDONESIA | CID003205 | ||||||||
| Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | ||||||||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | ||||||||
| Tin | PT Bukit Timah | INDONESIA | CID001428 | ||||||||
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | ||||||||
| Tin | PT Inti Stania Prima | INDONESIA | CID002530 | ||||||||
| Tin | PT Karimun Mining | INDONESIA | CID001448 | ||||||||
| Tin | PT Kijang Jaya Mandiri | INDONESIA | CID002829 | ||||||||
| Tin | PT Lautan Harmonis Sejahtera | INDONESIA | CID002870 | ||||||||
| Tin | PT Menara Cipta Mulia | INDONESIA | CID002835 | ||||||||
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | ||||||||
| Tin | PT Panca Mega Persada | INDONESIA | CID001457 | ||||||||
| Tin | PT Premium Tin Indonesia | INDONESIA | CID000313 | ||||||||
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 | ||||||||
| Tin | PT Rajawali Rimba Perkasa | INDONESIA | CID003381 | ||||||||
| Tin | PT Rajehan Ariq | INDONESIA | CID002593 | ||||||||
| Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | ||||||||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | ||||||||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | ||||||||
| Tin | PT Sukses Inti Makmur | INDONESIA | CID002816 | ||||||||
| Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 | ||||||||
| Tin | PT Timah Tbk Kundur | INDONESIA | CID001477 | ||||||||
| Tin | PT Timah Tbk Mentok | INDONESIA | CID001482 | ||||||||
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | ||||||||
| Tin | PT Tirus Putra Mandiri | INDONESIA | CID002478 | ||||||||
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| Tin | PT Tommy Utama | INDONESIA | CID001493 | ||||||||
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | ||||||||
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | ||||||||
| Tin | Soft Metais Ltda. | BRAZIL | CID001758 | ||||||||
| Tin | Super Ligas | BRAZIL | CID002756 | ||||||||
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | VIET NAM | CID002834 | ||||||||
| Tin | Thaisarco | THAILAND | CID001898 | ||||||||
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | CID003325 | ||||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 | ||||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 | ||||||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | ||||||||
| Tin | Yunnan Tin Company Limited | CHINA | CID002180 | ||||||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | CID003397 | ||||||||
| Tungsten | A.L.M.T. Corp. | JAPAN | CID000004 | ||||||||
| Tungsten | ACL Metais Eireli | BRAZIL | CID002833 | ||||||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | ||||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | ||||||||
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | CHINA | CID003401 | ||||||||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | ||||||||
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CID002645 | ||||||||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | ||||||||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | ||||||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | ||||||||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 | ||||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | ||||||||
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002542 | ||||||||
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 | ||||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | ||||||||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | ||||||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | ||||||||
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CHINA | CID003182 | ||||||||
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | ||||||||
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| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | ||||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | ||||||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | ||||||||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | ||||||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | ||||||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | ||||||||
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | ||||||||
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | ||||||||
| Tungsten | KGETS Co., Ltd. | KOREA, REPUBLIC OF | CID003388 | ||||||||
| Tungsten | Lianyou Metals Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID003407 | ||||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | ||||||||
| Tungsten | Masan Tungsten Chemical LLC (MTC) | VIET NAM | CID002543 | ||||||||
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 | ||||||||
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | ||||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | ||||||||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | ||||||||
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | ||||||||
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 | ||||||||
| Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | CID002843 | ||||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | ||||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | ||||||||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | ||||||||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | ||||||||
5. Future Mitigation Strategy
The Company will continue to communicate its expectations with respect to sourcing of conflict minerals to its direct suppliers. The Company will also continue to make inquiries to its direct suppliers and provide training and guidance regarding such expectations as appropriate. If the Company determines that any supplier is, or a reasonable risk exists that a supplier may be, sourcing conflict minerals from smelters that are not participating in the RMAP, the Company will require the supplier to devise and undertake suitable corrective action to move to a RMAP compliant source. If appropriate action is not taken by the supplier, the Company will look to alternative sources for the product.
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Forward-Looking Statements
This Report contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements reflect the current views of the Company with respect to current expectations or forecasts of future events. These statements include, but are not limited to, forward-looking statements with respect to the Company’s intended additional steps to mitigate the risk that its necessary conflict minerals finance or benefit armed groups in the Covered Countries. Statements that include the words “may,” “expects,” “plans,” “anticipates,” “estimates,” “believes,” “potential,” “projects,” “forecasts,” “intends,” or the negative thereof or other comparable terminology and similar statements of a future or forward-looking nature identify forward-looking statements for purposes of the federal securities laws or otherwise.
Such forward-looking statements are subject to risks and uncertainties that are often difficult to predict, are beyond the Company’s control and could cause 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 compliance measures by the Company’s suppliers on a timely basis or at all, (2) whether market participants responsibly source subject metals, and (3) political and regulatory developments, whether in the Covered Countries or elsewhere. Readers are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of filing of this report. The Company undertakes no obligation to update or revise forward-looking statements except as required by law.
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