Document


 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
_______________________________
 
FORM SD
Specialized Disclosure Report
 
_______________________________
 
SYNNEX CORPORATION
(Exact name of registrant as specified in its charter)
 
_______________________________



Delaware
 

001-31892
 

94-2703333
(State or other jurisdiction of
incorporation or organization)
 
(Commission
File Number)
 
(I.R.S. Employer
Identification No.)


44201 Nobel Drive
Fremont, California
 
94538
(Address of principal executive offices)
 
(Zip Code)

Simon Y. Leung
Senior Vice President, General Counsel and Secretary
(510) 656-3333
(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, 2017.

 
 






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 http://ir.synnex.com/financial-information/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 – Exhibits 

Item 2.01
Exhibits

Exhibit No.
 
Description
 
 
1.01
 
 






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.
 

 
 
 
SYNNEX CORPORATION
 
 
By:    /s/ Simon Y. Leung
Dated:
May 31, 2018
Simon Y. Leung
Senior Vice President, General Counsel and
Corporate Secretary
 


 



 


Exhibit



Exhibit 1.01

CONFLICT MINERALS REPORT

OVERVIEW
This report for the reporting period from January 1, 2017 to December 31, 2017 has been prepared by SYNNEX Corporation (the “Company,” “we,” “us” or “our”) pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). As used herein and consistent with the Conflict Minerals Rule, “Conflict Minerals” or “3TG” are columbite-tantalite (coltan), cassiterite, gold, wolframite and the derivatives tantalum, tin and tungsten, without regard to the location of origin of the minerals or derivative metals.
We are a leading business process services company, providing a comprehensive range of distribution, logistics and integration services for the technology industry and providing outsourced services focused on customer engagement strategy to a broad range of enterprises. We provide our products and services through two reportable business segments: Technology Solutions and Concentrix. Our Technology Solutions segment distributes peripherals, IT systems including data center server and storage solutions, system components, software, networking, communications and security equipment, consumer electronics, or CE, and complementary products. Within our Technology Solutions segment, we also provide systems design and integration solutions. Our Concentrix segment offers a portfolio of strategic solutions and end-to-end global business services focused on customer engagement, process optimization, technology innovation, front and back-office automation and business transformation to clients in ten identified industry verticals. Our revenues for 2017 largely were from distribution and global business services that were not in-scope for purposes of our compliance with the Conflict Minerals Rule.






PRODUCT SCOPING; REASONABLE COUNTRY OF ORIGIN INQUIRY; DUE DILIGENCE DETERMINATION
For 2017, a portion of the systems design and integration business within our Technology Solutions segment involved our manufacture, through assembly or integration, of data center servers and storage products. 3TG were necessary to the functionality or production of these manufactured products. Accordingly, these products were in-scope for purposes of our compliance with the Conflict Minerals Rule. Taken as a whole, our in-scope products contained all four 3TG, but each individual product did not contain all four 3TG.
We purchase only finished components and do not purchase 3TG directly from any smelter, refiner or mine. We have relationships with an extensive network of suppliers throughout the world, and we believe that there are generally multiple tiers between the mines, smelters, refiners and our direct suppliers. Therefore, we have requested our direct suppliers to work with their upstream suppliers so that they may provide us with information about the origin of 3TG in the components we purchase for inclusion in the products that we manufacture.
To determine whether any of the 3TG in the components contained in our data center servers and storage products originated in the Democratic Republic of the Congo or an adjoining country (the “Covered Countries”), or were from recycled or scrap sources, we conducted a “reasonable country of origin inquiry” (“RCOI”) within the meaning of the Conflict Minerals Rule, requesting that suppliers of the components we included in our manufactured products for 2017 complete the Responsible Minerals Initiative’s (“RMI;” formerly known as the Conflict-Free Sourcing Initiative) Conflict Minerals Reporting Template (“CMRT”), which includes questions regarding identified smelters and refiners in the supplier’s supply chain and the supplier’s compliance procedures. We determined that requesting that our suppliers complete the CMRT represented our reasonable best efforts to determine the mines or locations of origin of 3TG in our supply chain. Our RCOI utilized the processes and procedures contemplated by Steps 1 and 2 of the OECD Guidance (as defined below). Selected elements of those steps are discussed under “Due Diligence.”
Most of the suppliers that completed CMRTs provided data at the company level, with a small minority reporting at a level specific to the category of components that we purchased from them. Some suppliers indicated that 3TG contained in their components were not sourced from the Covered Countries, and some





suppliers indicated that their products contain 3TG sourced from the Covered Countries but from smelters which were certified as “Conformant” by an independent third party. There were also suppliers that indicated they used some recycled or scrap 3TG content in the types of components they sell.
After conducting an RCOI and exercising the due diligence described in this Conflict Minerals Report, as applicable, and in light of the limited information specific to our products provided to us by our suppliers, we concluded for 2017 that each of our data center servers and storage products contained 3TG of undetermined origin. Based on the information provided by the suppliers that completed CMRTs, we believe that the facilities that may have been used to process necessary 3TG contained in our in-scope products include the smelters and refiners listed in the Annex at the end of this Conflict Minerals Report and we believe that the countries of origin of the 3TG processed by such smelters and refiners may include the countries listed in the Annex. We endeavored to determine the mine or location of origin of the necessary 3TG contained in our in-scope products by requesting that the suppliers provide us with a completed CMRT and through the other procedures followed by us that are described in this Conflict Minerals Report.

DUE DILIGENCE
Our due diligence measures have been designed to conform, in all material respects, with the due diligence framework presented by the Organisation for Economic Co-operation and Development in the publication OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition), including the related Supplements for gold and for tin, tantalum and tungsten (the “OECD Guidance”). 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. Our implementation of the OECD Guidance in respect of 2017 is discussed below, but these were not all of the discrete measures that we took in furtherance of our conflict minerals policy (which is discussed below) or pursuant to the Conflict Minerals Rule and the OECD Guidance.







1.
Establish Strong Company Management Systems
Our 3TG due diligence team was led by our Senior Vice President, General Counsel and Corporate Secretary, and our President, Hyve Solutions, and included subject matter experts from legal, finance, product management, and sales. We also retained specialist outside counsel to assist us with our compliance efforts.
We used the CMRT to identify smelters and refiners that were possibly in our supply chain. We maintain business records relating to 3TG due diligence in respect of 2017, including records of due diligence processes, findings and resulting decisions, on a computerized database, and relevant materials are preserved for appropriate periods consistent with the OECD Guidance.
We have a conflict minerals policy, which is available on our website at http://files.shareholder.com/downloads/SNX/0x0x758243/a29e58d8-4c8f-4ec3-a297-27eb9ac6c2cf/SNX_Conflict_Minerals_Policy_Statement05-23-14fnl.pdf (the “Conflict Minerals Policy”). The Conflict Minerals Policy sets forth our expectation that the suppliers in our supply chain procure 3TG responsibly and avoid sourcing that funds armed conflict contributing to the crisis in the Covered Countries. Our Conflict Minerals Policy also sets forth our expectation that our suppliers facilitate our efforts by providing us with appropriate information when we request, and conduct the necessary due diligence to identify smelters and refiners, from which the 3TG in their respective supply chains originate. We have a public email address (conflictmineralsinquiries@synnex.com) available on our website for general inquiries and grievances regarding our 3TG program and sources of 3TG. This mechanism serves as our grievance mechanism.
We do not support the embargo of 3TG from the Covered Countries and are supportive of suppliers continuing to source from responsible sources in those countries.
To further our efforts in identifying and assessing 3TG sourcing risks in our supply chain, we have included a 3TG flow-down clause in new supplier contracts that requires suppliers to provide us with information about the source of 3TG.
2.
Identify and Assess Risks in the Supply Chain
To determine whether any of the necessary 3TG contained in our in-scope products originated in the Covered Countries, we requested that direct suppliers of the components we used in the in-scope products





complete the CMRT. We requested our suppliers’ cooperation in gathering information from their respective suppliers.
We reviewed the completed CMRTs received from our suppliers. To the extent that a CMRT identified a smelter or refiner, we reviewed that information against the Smelter Look-up tab list of the CMRT and the list of “Conformant” and “Active” smelters and refiners published by the RMI. We also used the CMRT responses to review our direct suppliers’ due diligence activities, such as whether they had a conflict minerals policy and required their own suppliers to source from Conformant sources.
3.
Design and Implement a Strategy to Respond to Identified Risks
Senior management was briefed about our due diligence efforts. We have a risk management plan that outlines our responses in general terms to identified risks.
4.
Carry Out Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
In connection with our due diligence, we utilized and relied on information made available by the RMI concerning independent third-party audits of smelters and refiners. We do not have a direct relationship with any smelters or refiners and do not perform or direct audits of those entities within our supply chain.
5.
Report on Supply Chain Due Diligence
This Conflict Minerals Report and our Form SD are available on our website and are filed with the Securities and Exchange Commission. Based on the information provided by our suppliers, we believe that the facilities that may have been used to process the 3TG in our products include the smelters and refiners listed in the Annex below.











ANNEX
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 (1) 
The following list includes smelters and refiners in user-defined “product-category” level CMRTs that we received. The list may not include all of the smelters and refiners that processed 3TG in the products that we manufactured for 2017 and may include smelters and refiners that processed 3TG in the general category of components a supplier sells but were not in the individual components we purchased from the supplier, as (i) the list contains only smelters and refiners confirmed as smelters and refiners by the RMI and their compliance status as confirmed by the RMI, (ii) not all of our suppliers completed CMRTs, (iii) many of the suppliers indicated that they only identified a portion of the smelters and refiners in their supply chain, and (iv) not all of our suppliers confirmed to us that their CMRTs were limited to only the individual components we purchased.
Mineral
Smelter or Refiner Name
Smelter or Refiner Location
Compliance Status
Gold
Advanced Chemical Company
United States
Conformant
Gold
Aida Chemical Industries Co., Ltd.
Japan
Conformant
Gold
Al Etihad Gold Refinery DMCC
United Arab Emirates
Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
Germany
Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Uzbekistan
Conformant
Gold
AngloGold Ashanti Córrego do Sítio Mineração
Brazil
Conformant
Gold
Argor-Heraeus SA
Switzerland
Conformant
Gold
Asahi Pretec Corporation
Japan
Conformant
Gold
Asahi Refining Canada Ltd.
Canada
Conformant
Gold
Asahi Refining USA Inc.
United States
Conformant
Gold
Asaka Riken Co., Ltd.
Japan
Conformant
Gold
AU Traders and Refiners
South Africa
Conformant
Gold
Aurubis AG
Germany
Conformant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Philippines
Conformant
Gold
Boliden AB
Sweden
Conformant
Gold
C. Hafner GmbH + Co. KG
Germany
Conformant
Gold
CCR Refinery - Glencore Canada Corporation
Canada
Conformant
Gold
Chimet S.p.A.
Italy
Conformant
Gold
Daejin Indus Co., Ltd.
Republic of Korea
Conformant
Gold
Do Sung Corporation
Republic of Korea
Conformant
Gold
DODUCO GmbH
Germany
Conformant

A-1


Mineral
Smelter or Refiner Name
Smelter or Refiner Location
Compliance Status
Gold
Dowa
Japan
Conformant
Gold
Eco-System Recycling Co., Ltd.
Japan
Conformant
Gold
Emirates Gold DMCC
United Arab Emirates
Conformant
Gold
Geib Refining Corporation
United States of America
Conformant
Gold
Gold Refinery of Zijing Mining Group Co., Ltd.
China
Conformant
Gold
Heesung Metal Ltd.
Republic of Korea
Conformant
Gold
Heimerle + Meule GmbH
Germany
Conformant
Gold
Heraeus Metals Hong Kong Ltd.
China
Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
Germany
Conformant
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
China
Conformant
Gold
Ishifuku Metal Industry Co., Ltd.
Japan
Conformant
Gold
Istanbul Gold Refinery
Turkey
Conformant
Gold
Italpreziosi
Italy
Conformant
Gold
Japan Mint
Japan
Conformant
Gold
Jiangxi Copper Company Limited
China
Conformant
Gold
JSC Uralelectromed
Russian Federation
Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
Japan
Conformant
Gold
Kazzinc
Kazakhstan
Conformant
Gold
Kennecott Utah Copper LLC
United States
Conformant
Gold
Kojima Chemicals Co., Ltd.
Japan
Conformant
Gold
Korea Zinc Co., Ltd.
Republic of Korea
Conformant
Gold
Kyrgyzaltyn JSC
Kyrgystan
Conformant
Gold
LS-NIKKO Copper Inc.
Republic of Korea
Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
India
Conformant
Gold
Materion
United States
Conformant
Gold
Matsuda Sangyo Co., Ltd.
Japan
Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
China
Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
Singapore
Conformant
Gold
Metalor Technologies SA
Switzerland
Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
China
Conformant
Gold
Metalor USA Refining Corporation
United States
Conformant
Gold
Metalurgica Met-Mex Penoles S.A. de CV
Mexico
Conformant
Gold
Mitsubishi Materials Corporation
Japan
Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
Japan
Conformant
Gold
Moscow Special Alloys Processing Plant
Russian Federation
Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
Turkey
Conformant
Gold
Nihon Material Co., Ltd.
Japan
Conformant
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
Austria
Conformant
Gold
Ohura Precious Metal Industry Co., Ltd.
Japan
Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
Russian Federation
Conformant
Gold
OJSC Novosibirsk Refinery
Russian Federation
Conformant
Gold
PAMP SA
Switzerland
Conformant
Gold
Prioksky Plant of Non-Ferrous Metals
Russian Federation
Conformant
Gold
PT Aneka Tambang (Persero) Tbk
Indonesia
Conformant

A-2


Mineral
Smelter or Refiner Name
Smelter or Refiner Location
Compliance Status
Gold
PX Précinox SA
Switzerland
Conformant
Gold
Rand Refinery (Pty) Ltd.
South Africa
Conformant
Gold
Republic Metals Corporation
United States
Conformant
Gold
Royal Canadian Mint
Canada
Conformant
Gold
SAAMP
France
Conformant
Gold
Samduck Precious Metals
Republic of Korea
Conformant
Gold
SAXONIA Edelmetalle GmbH
Germany
Conformant
Gold
SEMPSA Joyería Platería SA
Spain
Conformant
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
China
Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
China
Conformant
Gold
Singway Technology Co., Ltd.
Taiwan
Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
Russian Federation
Conformant
Gold
Solar Applied Materials Technology Corp.
Taiwan
Conformant
Gold
Sumitomo Metal Mining Co., Ltd.
Japan
Conformant
Gold
SungEel HiMetal Co., Ltd.
Republic of Korea
Conformant
Gold
T.C.A S.p.A
Italy
Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
Japan
Conformant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
China
Conformant
Gold
Tokuriki Honten Co., Ltd.
Japan
Conformant
Gold
Torecom
Republic of Korea
Conformant
Gold
Umicore Brasil Ltda.
Brazil
Conformant
Gold
Umicore Precious Metals Thailand
Thailand
Conformant
Gold
Umicore S.A. Business Unit Precious Metals Refining
Belgium
Conformant
Gold
United Precious Metal Refining, Inc.
United States
Conformant
Gold
Valcambi SA
Switzerland
Conformant
Gold
Western Australian Mint trading as The Perth Mint
Australia
Conformant
Gold
WIELAND Edelmetalle GmbH
Germany
Conformant
Gold
Yamakin Co., Ltd.
Japan
Conformant
Gold
Yokohama Metal Co., Ltd.
Japan
Conformant
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
China
Conformant
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
China
Conformant
Gold
Elemetal Refining, LLC
United States
On Smelter Look-up Tab List Only
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Russian Federation
On Smelter Look-up Tab List Only
Gold
Schone Edelmetaal B.V.
Netherlands
On Smelter Look-up Tab List Only
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
China
Conformant
Tantalum
D Block Metals, LLC
United States
Conformant
Tantalum
Duoluoshan
China
Conformant
Tantalum
Exotech Inc.
United States
Conformant
Tantalum
F&X Electro-Materials Ltd.
China
Conformant
Tantalum
FIR Metals & Resource Ltd.
China
Conformant
Tantalum
Global Advanced Metals Aizu
Japan
Conformant
Tantalum
Global Advanced Metals Boyertown
United States
Conformant
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
China
Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
China
Conformant

A-3


Mineral
Smelter or Refiner Name
Smelter or Refiner Location
Compliance Status
Tantalum
H.C. Starck Co., Ltd.
Thailand
Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
Germany
Conformant
Tantalum
H.C. Starck Inc.
United States
Conformant
Tantalum
H.C. Starck Ltd.
Japan
Conformant
Tantalum
H.C. Starck Smelting GmbH & Co.KG
Germany
Conformant
Tantalum
H.C. Starck Tantalum and Niobium GmbH
Germany
Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
China
Conformant
Tantalum
Hi-Temp Specialty Metals, Inc.
United States
Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
China
Conformant
Tantalum
Jiangxi Tuohong New Raw Material
China
Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
China
Conformant
Tantalum
Jiujiang Nonferrous Metals Smelting Company Limited
China
Conformant
Tantalum
KEMET Blue Metals
Mexico
Conformant
Tantalum
KEMET Blue Powder
United States
Conformant
Tantalum
LSM Brasil S.A.
Brazil
Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
India
Conformant
Tantalum
Mineração Taboca S.A.
Brazil
Conformant
Tantalum
Mitsui Mining & Smelting
Japan
Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
China
Conformant
Tantalum
NPM Silmet AS
Estonia
Conformant
Tantalum
Power Resources Ltd.
Macedonia, The former Yugoslav Republic of
Conformant
Tantalum
QuantumClean
United States
Conformant
Tantalum
RFH Tantalum Smeltry Co., Ltd.
China
Conformant
Tantalum
Resind Industria e Comercio Ltda.
Brazil
Conformant
Tantalum
Solikamsk Magnesium Works OAO
Russian Federation
Conformant
Tantalum
Taki Chemicals
Japan
Conformant
Tantalum
Telex Metals
United States
Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
China
Conformant
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
China
On Smelter Look-up Tab List Only
Tin
Alpha
United States
Conformant
Tin
China Tin Group Co., Ltd.
China
Conformant
Tin
CV Ayi Jaya
Indonesia
Conformant
Tin
CV Dua Sekawan
Indonesia
Conformant
Tin
CV Gita Pesona
Indonesia
Conformant
Tin
CV Venus Inti Perkasa
Indonesia
Conformant
Tin
Dowa
Japan
Conformant
Tin
EM Vinto
Bolivia
Conformant
Tin
Fenix Metals
Poland
Conformant
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
China
Conformant
Tin
Gejiu Fengming Metallurgy Chemical Plant
China
Conformant
Tin
Geiju Jinye Mineral Company
China
Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
China
Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
China
Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
China
Conformant

A-4


Mineral
Smelter or Refiner Name
Smelter or Refiner Location
Compliance Status
Tin
HuiChang Hill Tin Industry Co., Ltd.
China
Conformant
Tin
Magnu's Minerais Metais e Ligas Ltda.
Brazil
Conformant
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Conformant
Tin
Metallo Belgium N.V.
Belgium
Conformant
Tin
Melt Metais e Ligas S.A.
Brazil
Conformant
Tin
Metallo Spain S.L.U.
Spain
Conformant
Tin
Mineração Taboca S.A.
Brazil
Conformant
Tin
Minsur
Peru
Conformant
Tin
Mitsubishi Materials Corporation
Japan
Conformant
Tin
Operaciones Metalurgical S.A.
Bolivia
Conformant
Tin
PT ATD Makmur Mandiri Jaya
Indonesia
Conformant
Tin
PT Aries Kencana Sejahtera
Indonesia
Conformant
Tin
PT Artha Cipta Langgeng
Indonesia
Conformant
Tin
PT Babel Inti Perkasa
Indonesia
Conformant
Tin
PT Bangka Prima Tin
Indonesia
Conformant
Tin
PT Bangka Tin Industry
Indonesia
Conformant
Tin
PT Belitung Industri Sejahtera
Indonesia
Conformant
Tin
PT Bukit Timah
Indonesia
Conformant
Tin
PT DS Jaya Abadi
Indonesia
Conformant
Tin
PT Eunindo Usaha Mandiri
Indonesia
Conformant
Tin
PT Inti Stania Prima
Indonesia
Conformant
Tin
PT Karimun Mining
Indonesia
Conformant
Tin
PT Kijang Jaya Mandiri
Indonesia
Conformant
Tin
PT Lautan Harmonis Sejahtera
Indonesia
Conformant
Tin
PT Menara Cipta Mulia
Indonesia
Conformant
Tin
PT Mitra Stania Prima
Indonesia
Conformant
Tin
PT Panca Mega Persada
Indonesia
Conformant
Tin
PT Prima Timah Utama
Indonesia
Conformant
Tin
PT Refined Bangka Tin
Indonesia
Conformant
Tin
PT Sariwiguna Binasentosa
Indonesia
Conformant
Tin
PT Stanindo Inti Perkasa
Indonesia
Conformant
Tin
PT Sukses Inti Makmur
Indonesia
Conformant
Tin
PT Sumber Jaya Indah
Indonesia
Conformant
Tin
PT Timah (Persero) Tbk Kundur
Indonesia
Conformant
Tin
PT Timah (Persero) Tbk Mentok
Indonesia
Conformant
Tin
PT Tinindo Inter Nusa
Indonesia
Conformant
Tin
PT Tommy Utama
Indonesia
Conformant
Tin
Resind Indústria e Comércio Ltda.
Brazil
Conformant
Tin
Rui Da Hung
Taiwan
Conformant
Tin
Soft Metais Ltda.
Brazil
Conformant
Tin
Thaisarco
Thailand
Conformant
Tin
White Solder Metalurgia e Mineração Ltda.
Brazil
Conformant
Tin
Yunnan Tin Company Limited
China
Conformant
Tin
Modeltech Sdn Bhd
Malaysia
Active
Tin
CV Tiga Sekawan
Indonesia
On Smelter Look-up Tab List Only

A-5


Mineral
Smelter or Refiner Name
Smelter or Refiner Location
Compliance Status
Tin
CV Serumpun Sebalai
Indonesia
On Smelter Look-up Tab List Only
Tin
Gejiu Kai Meng Industry and Trade LLC
China
On Smelter Look-up Tab List Only
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
China
On Smelter Look-up Tab List Only
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
China
On Smelter Look-up Tab List Only
Tungsten
A.L.M.T. TUNGSTEN Corp.
Japan
Conformant
Tungsten
ACL Metais Eireli
Brazil
Conformant
Tungsten
Asia Tungsten Products Vietnam Ltd.
Vietnam
Conformant
Tungsten
Chenzhou Diamond Tungsten Product s Co., Ltd.
China
Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
China
Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
China
Conformant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
China
Conformant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
China
Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
China
Conformant
Tungsten
Global Tungsten & Powders Corp.
United States
Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
China
Conformant
Tungsten
H.C. Starck Tungsten GmbH
Germany
Conformant
Tungsten
H.C. Starck Smelting GmbH & Co.KG
Germany
Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
China
Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd.
China
Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
China
Conformant
Tungsten
Hydrometallurg, JSC
Russian Federation
Conformant
Tungsten
Japan New Metals Co., Ltd.
Japan
Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
China
Conformant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
China
Conformant
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
China
Conformant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
China
Conformant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
China
Conformant
Tungsten
Kennametal Fallon
United States
Conformant
Tungsten
Kennametal Huntsville
United States
Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
China
Conformant
Tungsten
Moliren Ltd.
Russian Federation
Conformant
Tungsten
Niagara Refining LLC
United States
Conformant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Vietnam
Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
Vietnam
Conformant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
Vietnam
Conformant
Tungsten
Wolfram Bergbau und Hütten AG
Austria
Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
China
Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
China
Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
China
Conformant
Tungsten
Philippine Chuangxin Industrial Co., Inc.
Philippines
Conformant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
China
Conformant
Tungsten
Unecha Refractory metals plant
Russian Federation
Conformant

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Mineral
Smelter or Refiner Name
Smelter or Refiner Location
Compliance Status
Tungsten
Woltech Korea Co., Ltd.
Republic of Korea
Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
China
Conformant
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
China
On Smelter Look-up Tab List Only

(1) We note the following in connection with the information contained in the foregoing table:
(a) All compliance status information in the table is as of May 24, 2018.
(b) “Conformant” means that a smelter or refiner was listed as Conformant with the Responsible Minerals Assurance Process’s (the “RMAP”) assessment protocols, including through mutual recognition. Smelters and refiners that are listed as “Re-audit in process” by the RMAP are considered to be Conformant by the RMAP. Included smelters and refiners were not necessarily Conformant for all or part of 2017 and may not continue to be Conformant for any future period. We do not have any information on the origin of the 3TG processed by any of the Conformant smelters and refiners prior to their respective compliance dates.
(c) “Active” is a RMAP designation that means that the smelter or refiner is a participant in the RMAP and has committed to undergo an audit or is participating in a cross-recognized certification program.
(d) “On Smelter Look-up Tab List Only” means that a smelter or refiner is listed on the Smelter Look-up tab list of the CMRT, but is not listed as “Conformant” or “Active.”
(e) The compliance status indicated in the table is based solely on information made publicly available by the RMI, without independent verification by us.
(f) “Country Location” is the location of the smelter or refiner and is based solely on information made publicly available by the RMI, without independent verification by us.

Country of Origin
The countries of origin of the 3TG processed by the smelters and refiners listed in the table above are believed to have potentially included the countries in the categories listed below. The categories are organized by risk. These may not be all of the countries from which the identified smelters and refiners have sourced, and the identified smelters and refiners may not have sourced from all of these countries.

L1 - Countries that are not identified as conflict regions or plausible areas of smuggling or export from the Covered Countries: Argentina, Australia, Austria, Benin, Bolivia, Brazil, Burkina Faso, Cambodia, Canada, Chile,

A-7


China, Colombia, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Senegal, Sierra Leone, Spain, Thailand, Togo, United Kingdom, United States of America, Uzbekistan, Vietnam and Zimbabwe.

L2 - Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Mozambique and South Africa.

L3 - The DRC and its adjoining countries: Burundi, Rwanda and Uganda.

DRC - Democratic Republic of the Congo.

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



A-8