SYNNEX Corporation
SYNNEX CORP (Form: SD, Received: 05/31/2017 14:28:52)


 
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, 2016.
 
 






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/sec.cfm. 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
 
Conflict Minerals Report for the calendar year ended December 31, 2016.
 






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, 2017
Simon Y. Leung
Senior Vice President, General Counsel and
Corporate Secretary
 







EXHIBIT INDEX
 

Exhibit No.
 
Description
 
1.01
 
Conflict Minerals Report for the calendar year ended December 31, 2016.
 



 






Exhibit 1.01
CONFLICT MINERALS REPORT
OVERVIEW
This report for the reporting period from January 1, 2016 to December 31, 2016 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 are organized to 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/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 business services focused on customer engagement strategy, process optimization, technology innovation, front and back-office automation and business transformation to clients in ten identified industry verticals. Our revenues for 2016 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 2016, 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

1



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 2016 complete the Conflict-Free Sourcing Initiative (“CFSI”) 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 minerals sourced from the Covered Countries but from smelters which were certified as “compliant” 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 2016 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

2



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 2016 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 2016, 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.

3



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 Reference List tab of the CMRT and the list of “compliant” and “active” smelters and refiners published by the CFSI. 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 compliant 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 CFSI 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 Annex A below.


4


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 “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 2016 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 CFSI and their compliance status as confirmed by the CFSI, (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) no supplier confirmed to us that its CMRT was limited to only the individual components we purchased from the supplier.
Mineral
Smelter or Refiner Name
Smelter of Refiner Location
Status
Gold
Advanced Chemical Company
United States
Compliant
Gold
Aida Chemical Industries Co., Ltd.
Japan
Compliant
Gold
Al Etihad Gold Refinery DMCC
United Arab Emirates
Compliant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
Germany
Compliant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Uzbekistan
Compliant
Gold
AngloGold Ashanti Córrego do Sítio Mineração
Brazil
Compliant
Gold
Argor-Heraeus SA
Switzerland
Compliant
Gold
Asahi Pretec Corporation
Japan
Compliant
Gold
Asaka Riken Co., Ltd.
Japan
Compliant
Gold
AU Traders and Refiners
South Africa
Compliant
Gold
Aurubis AG
Germany
Compliant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Philippines
Compliant
Gold
Boliden AB
Sweden
Compliant
Gold
C. Hafner GmbH + Co. KG
Germany
Compliant
Gold
CCR Refinery - Glencore Canada Corporation
Canada
Compliant
Gold
Chimet S.p.A.
Italy
Compliant
Gold
Daejin Indus Co., Ltd.
Republic of Korea
Compliant
Gold
Do Sung Corporation
Republic of Korea
Compliant
Gold
DODUCO GmbH
Germany
Compliant
Gold
Dowa
Japan
Compliant
Gold
Eco-System Recycling Co., Ltd.
Japan
Compliant
Gold
Emirates Gold DMCC
United Arab Emirates
Compliant
Gold
Geib Refining Corporation
United States of America
Compliant
Gold
Heimerle + Meule GmbH
Germany
Compliant
Gold
Heraeus Ltd. Hong Kong
China
Compliant

A- 1


Mineral
Smelter or Refiner Name
Smelter of Refiner Location
Status
Gold
Heraeus Precious Metals GmbH & Co. KG
Germany
Compliant
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
China
Compliant
Gold
Ishifuku Metal Industry Co., Ltd.
Japan
Compliant
Gold
Istanbul Gold Refinery
Turkey
Compliant
Gold
Japan Mint
Japan
Compliant
Gold
Jiangxi Copper Company Limited
China
Compliant
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Russian Federation
Compliant
Gold
JSC Uralelectromed
Russian Federation
Compliant
Gold
JX Nippon Mining & Metals Co., Ltd.
Japan
Compliant
Gold
Kazzinc
Kazakhstan
Compliant
Gold
Kennecott Utah Copper LLC
United States
Compliant
Gold
Kojima Chemicals Co., Ltd.
Japan
Compliant
Gold
Korea Zinc Co., Ltd.
Republic of Korea
Compliant
Gold
Kyrgyzaltyn JSC
Kyrgystan
Compliant
Gold
LS-NIKKO Copper Inc.
Republic of Korea
Compliant
Gold
Materion
United States
Compliant
Gold
Matsuda Sangyo Co., Ltd.
Japan
Compliant
Gold
Metalor Technologies (Hong Kong) Ltd.
China
Compliant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
Singapore
Compliant
Gold
Metalor Technologies SA
Switzerland
Compliant
Gold
Metalor Technologies (Suzhou) Ltd.
China
Compliant
Gold
Metalor USA Refining Corporation
United States
Compliant
Gold
Metalurgica Met-Mex Penoles S.A. de CV
Mexico
Compliant
Gold
Mitsubishi Materials Corporation
Japan
Compliant
Gold
Mitsui Mining and Smelting Co., Ltd.
Japan
Compliant
Gold
MMTC-PAMP India Pvt., Ltd.
India
Compliant
Gold
Moscow Special Alloys Processing Plant
Russian Federation
Compliant
Gold
Nadir Metal Rafineri San. Ve Tic. A.Ş.
Turkey
Compliant
Gold
Nihon Material Co., Ltd.
Japan
Compliant
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
Austria
Compliant
Gold
Ohura Precious Metal Industry Co., Ltd.
Japan
Compliant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
Russian Federation
Compliant
Gold
OJSC Novosibirsk Refinery
Russian Federation
Compliant
Gold
PAMP SA
Switzerland
Compliant
Gold
JX Nippon Mining & Metals Co., KLtd.
Japan
Compliant
Gold
Prioksky Plant of Non-Ferrous Metals
Russian Federation
Compliant
Gold
PT Aneka Tambang (Persero) Tbk
Indonesia
Compliant
Gold
PX Précinox SA
Switzerland
Compliant
Gold
Rand Refinery (Pty) Ltd.
South Africa
Compliant
Gold
Republic Metals Corporation
United States
Compliant
Gold
Royal Canadian Mint
Canada
Compliant
Gold
SAAMP
France
Compliant

A- 2


Mineral
Smelter or Refiner Name
Smelter of Refiner Location
Status
Gold
Samduck Precious Metals
Republic of Korea
Compliant
Gold
SAXONIA Edelmetalle GmBH
Germany
Compliant
Gold
Schone Edelmetaal B.V.
Netherlands
Compliant
Gold
SEMPSA Joyería Platería SA
Spain
Compliant
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
China
Compliant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
China
Compliant
Gold
Singway Technology Co., Ltd.
Taiwan
Compliant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
Russian Federation
Compliant
Gold
Solar Applied Materials Technology Corp.
Taiwan
Compliant
Gold
Sumitomo Metal Mining Co., Ltd.
Japan
Compliant
Gold
T.C.A S.p.A
Italy
Compliant
Gold
Tanaka Kikinzoku Kogyo K.K.
Japan
Compliant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
China
Compliant
Gold
Tokuriki Honten Co., Ltd.
Japan
Compliant
Gold
Torecom
Republic of Korea
Compliant
Gold
Umicore Brasil Ltda.
Brazil
Compliant
Gold
Umicore Precious Metals Thailand
Thailand
Compliant
Gold
Umicore S.A. Business Unit Precious Metals Refining
Belgium
Compliant
Gold
United Precious Metal Refining, Inc.
United States
Compliant
Gold
Valcambi SA
Switzerland
Compliant
Gold
Western Australian Mint trading as The Perth Mint
Australia
Compliant
Gold
WIELAND Edelmetalle GmbH
Germany
Compliant
Gold
Yamamoto Precious Metal Co., Ltd.
Japan
Compliant
Gold
Yokohama Metal Co., Ltd.
Japan
Compliant
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
China
Compliant
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
China
Compliant
Gold
Bangalore Refinery
India
Active
Gold
KGHM Polska Miedz Spolka Akcyjna
Poland
Active
Gold
Navoi Mining and Metallurgical Combinat
Uzbekistan
Active
Gold
SAFINA A.S.
Czech Republic
Active
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Turkey
Reference List
Gold
Bauer Walser AG
Germany
Reference List
Gold
Caridad
Mexico
Reference List
Gold
Cendres + Métaux SA
Switzerland
Reference List
Gold
Chugai Mining
Japan
Reference List
Gold
Daye Non-Ferrous Metals Mining Ltd.
China
Reference List
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
China
Reference List
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
China
Reference List
Gold
Guangdong Jinding Gold Limited
China
Reference List
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
China
Reference List
Gold
Hunan Chenzhou Mining Co., Ltd.
China
Reference List
Gold
Hwasung CJ Co., Ltd.
Republic of Korea
Reference List
Gold
Johnson Matthey Inc. (USA)
United States
Reference List

A- 3


Mineral
Smelter or Refiner Name
Smelter of Refiner Location
Status
Gold
Kazakhmys Smelting LLC
 Kazakhstan
Reference List
Gold
L' azurde Company For Jewelry
Saudi Arabia
Reference List
Gold
Lingbao Gold Company Limited
China
Reference List
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
China
Reference List
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
China
Reference List
Gold
Morris and Watson
New Zealand
Reference List
Gold
Ohio Precious Metals [Elemetal Refining]
United States
Reference List
Gold
Penglai Penggang Gold Industry Co., Ltd.
China
Reference List
Gold
Remondis Argentia B.V.
Netherlands
Reference List
Gold
Sabin Metal Corp.
United States
Reference List
Gold
SAMWON Metals Corp.
Republic of Korea
Reference List
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
China
Reference List
Gold
So Accurate Group, Inc.
United States
Reference List
Gold
Tongling Nonferrous Metals Group Co., Ltd.
China
Reference List
Gold
Xstrata Canada Corporation
Canada
Reference List
Gold
Yunnan Copper Industry Co., Ltd.
China
Reference List
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
China
Compliant
Tantalum
Conghua Tantalum and Niobium Smeltry
China
Compliant
Tantalum
D Block Metals, LLC
United States
Compliant
Tantalum
Duoluoshan
China
Compliant
Tantalum
Exotech Inc.
United States
Compliant
Tantalum
F&X Electro-Materials Ltd.
China
Compliant
Tantalum
FIR Metals & Resource Ltd.
China
Compliant
Tantalum
Global Advanced Metals Aizu
Japan
Compliant
Tantalum
Global Advanced Metals Boyertown
United States
Compliant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
China
Compliant
Tantalum
H.C. Starck Co., Ltd.
Thailand
Compliant
Tantalum
H.C. Starck GmbH Goslar
Germany
Compliant
Tantalum
H.C. Starck GmbH Laufenburg
Germany
Compliant
Tantalum
H.C. Starck Hermsdorf GmbH
Germany
Compliant
Tantalum
H.C. Starck Inc.
United States
Compliant
Tantalum
H.C. Starck Ltd.
Japan
Compliant
Tantalum
H.C. Starck Smelting GmbH & Co.KG
Germany
Compliant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
China
Compliant
Tantalum
Hi-Temp Specialty Metals, Inc.
United States
Compliant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
China
Compliant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
China
Compliant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
China
Compliant
Tantalum
KEMET Blue Metals
Mexico
Compliant
Tantalum
KEMET Blue Powder
United States
Compliant
Tantalum
King-Tan Tantalum Industry Ltd.
China
Compliant
Tantalum
LSM Brasil S.A.
Brazil
Compliant
Tantalum
Metallurgical Products India Pvt., Ltd.
India
Compliant

A- 4


Mineral
Smelter or Refiner Name
Smelter of Refiner Location
Status
Tantalum
Mineração Taboca S.A.
Brazil
Compliant
Tantalum
Mitsui Mining & Smelting
Japan
Compliant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
China
Compliant
Tantalum
QuantumClean
United States
Compliant
Tantalum
RFH Tantalum Smeltry Co., Ltd.
China
Compliant
Tantalum
Solikamsk Magnesium Works OAO
Russian Federation
Compliant
Tantalum
Taki Chemicals
Japan
Compliant
Tantalum
Telex Metals
United States
Compliant
Tantalum
Ulba Metallurgical Plant JSC
Kazakhstan
Compliant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
China
Compliant
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
China
Compliant
Tantalum
Zhuzhou Cemented Carbide
China
Compliant
Tantalum
Jiangxi Tuohong New Raw Material
China
Reference List
Tantalum
Jiujiang Tanbre Co., Ltd.
China
Reference List
Tantalum
Molycorp Silmet A.S.
Estonia
Reference List
Tantalum
Plansee SE Liezen
Austria
Reference List
Tantalum
Plansee SE Reutte
Austria
Reference List
Tantalum
Power Resources Ltd
Macedonia
Reference List
Tantalum
Resind Industria e Comercio Ltda
Brazil
Reference List
Tantalum
Tranzact, Inc.
United States
Reference List
Tin
Alpha
United States
Compliant
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
China
Compliant
Tin
China Tin Group Co., Ltd.
China
Compliant
Tin
Cooperativa Metalurgica de Rondônia Ltda.
Brazil
Compliant
Tin
CV Ayi Jaya
Indonesia
Compliant
Tin
CV Dua Sekawan
Indonesia
Compliant
Tin
CV Tiga Sekawan
Indonesia
Compliant
Tin
CV Gita Pesona
Indonesia
Compliant
Tin
CV Serumpun Sebalai
Indonesia
Compliant
Tin
CV United Smelting
Indonesia
Compliant
Tin
CV Venus Inti Perkasa
Indonesia
Compliant
Tin
Dowa
Japan
Compliant
Tin
EM Vinto
Bolivia
Compliant
Tin
Fenix Metals
Poland
Compliant
Tin
Gejiu Fengming Metallurgy Chemical Plant
China
Compliant
Tin
Geiju Jinye Mineral Company
China
Compliant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
China
Compliant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
China
Compliant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
China
Compliant
Tin
HuiChang Hill Tin Industry Co., Ltd.
China
Compliant
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
China
Compliant
Tin
Magnu's Minerais Metais e Ligas Ltda.
Brazil
Compliant
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Compliant

A- 5


Mineral
Smelter or Refiner Name
Smelter of Refiner Location
Status
Tin
Melt Metais e Ligas S/A
Brazil
Compliant
Tin
Metallic Resources, Inc.
United States
Compliant
Tin
Mineração Taboca S.A.
Brazil
Compliant
Tin
Minsur
Peru
Compliant
Tin
Mitsubishi Materials Corporation
Japan
Compliant
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
Thailand
Compliant
Tin
O.M. Manufacturing Philippines, Inc.
Philippines
Compliant
Tin
Operaciones Metalurgical S.A.
Bolivia
Compliant
Tin
PT Aries Kencana Sejahtera
Indonesia
Compliant
Tin
PT Artha Cipta Langgeng
Indonesia
Compliant
Tin
PT ATD Makmur Mandiri Jaya
Indonesia
Compliant
Tin
PT Babel Inti Perkasa
Indonesia
Compliant
Tin
PT Bangka Prima Tin
Indonesia
Compliant
Tin
PT Bangka Tin Industry
Indonesia
Compliant
Tin
PT Belitung Industri Sejahtera
Indonesia
Compliant
Tin
PT Bukit Timah
Indonesia
Compliant
Tin
PT DS Jaya Abadi
Indonesia
Compliant
Tin
PT Eunindo Usaha Mandiri
Indonesia
Compliant
Tin
PT Inti Stania Prima
Indonesia
Compliant
Tin
PT Kijang Jaya Mandiri
Indonesia
Compliant
Tin
PT Mitra Stania Prima
Indonesia
Compliant
Tin
PT O.M. Indonesia
Indonesia
Compliant
Tin
PT Panca Mega Persada
Indonesia
Compliant
Tin
PT Prima Timah Utama
Indonesia
Compliant
Tin
PT Refined Bangka Tin
Indonesia
Compliant
Tin
PT Sariwiguna Binasentosa
Indonesia
Compliant
Tin
PT Stanindo Inti Perkasa
Indonesia
Compliant
Tin
PT Sukses Inti Makmur
Indonesia
Compliant
Tin
PT Sumber Jaya Indah
Indonesia
Compliant
Tin
PT Timah (Persero) Tbk Kundur
Indonesia
Compliant
Tin
PT Timah (Persero) Tbk Mentok
Indonesia
Compliant
Tin
PT Tinindo Inter Nusa
Indonesia
Compliant
Tin
PT Tommy Utama
Indonesia
Compliant
Tin
Resind Indústria e Comércio Ltda.
Brazil
Compliant
Tin
Rui Da Hung
Taiwan
Compliant
Tin
Soft Metais Ltda.
Brazil
Compliant
Tin
Thaisarco
Thailand
Compliant
Tin
VQB Mineral and Trading Group JSC
Vietnam
Compliant
Tin
White Solder Metalurgia e Mineração Ltda.
Brazil
Compliant
Tin
Yunnan Tin Company Limited
China
Compliant
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
Vietnam
Active
Tin
Gejiu Kai Meng Industry and Trade LLC
China
Active
Tin
Huichang Jinshunda Tin Co., Ltd.
China
Active

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Mineral
Smelter or Refiner Name
Smelter of Refiner Location
Status
Tin
Modeltech Sdn Bhd
Malaysia
Active
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
China
Active
Tin
PT Karimun Mining
Indonesia
Active
Tin
An Thai Minerals Co., Ltd.
Vietnam
Reference List
Tin
An Vinh Joint Stock Mineral Processing Company
Vietnam
Reference List
Tin
CNMC (Guangxi) PGMA Co., Ltd.
China
Reference List
Tin
Elmet S.L.U. (Metallo Group)
Spain
Reference List
Tin
Estanho de Rondônia S.A.
Brazil
Reference List
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
China
Reference List
Tin
Linwu Xianggui Ore Smelting Co., Ltd.
China
Reference List
Tin
Metallo-Chimique N.V.
Belgium
Reference List
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Vietnam
Reference List
Tin
PT Alam Lestari Kencana
Indonesia
Reference List
Tin
PT Bangka Kudai Tin
Indonesia
Reference List
Tin
PT Bangka Timah Utama Sejahtera
Indonesia
Reference List
Tin
PT BilliTin Makmur Lestari
Indonesia
Reference List
Tin
PT Cipta Persada Mulia
Indonesia
Reference List
Tin
PT Fang Di MulTindo
Indonesia
Reference List
Tin
PT Justindo
Indonesia
Reference List
Tin
PT Pelat Timah Nusantara Tbk
Indonesia
Reference List
Tin
PT Seirama Tin Investment
Indonesia
Reference List
Tin
PT Tirus Putra Mandiri
Indonesia
Reference List
Tin
PT Wahana Perkit Jaya
Indonesia
Reference List
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
Vietnam
Reference List
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
China
Reference List
Tungsten
A.L.M.T. TUNGSTEN Corp.
Japan
Compliant
Tungsten
Asia Tungsten Products Vietnam Ltd.
Vietnam
Compliant
Tungsten
Chenzhou Diamond Tungsten Product s Co., Ltd.
China
Compliant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
China
Compliant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
China
Compliant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
China
Compliant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
China
Compliant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
China
Compliant
Tungsten
Global Tungsten & Powders Corp.
United States
Compliant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
China
Compliant
Tungsten
H.C. Starck GmbH
Germany
Compliant
Tungsten
H.C. Starck Smelting GmbH & Co.KG
Germany
Compliant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
China
Compliant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
China
Compliant
Tungsten
Hydrometallurg, JSC
Russian Federation
Compliant
Tungsten
Japan New Metals Co., Ltd.
Japan
Compliant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
China
Compliant
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
China
Compliant

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Mineral
Smelter or Refiner Name
Smelter of Refiner Location
Status
Tungsten
Kennametal Huntsville
United States
Compliant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
China
Compliant
Tungsten
Niagara Refining LLC
United States
Compliant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Vietnam
Compliant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
Vietnam
Compliant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
Vietnam
Compliant
Tungsten
Wolfram Bergbau und Hütten AG
Austria
Compliant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
China
Compliant
Tungsten
Xiamen Tungsten Co., Ltd.
China
Compliant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
China
Compliant
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
China
Active
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
China
Active
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
China
Active
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
China
Active
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
China
Active
Tungsten
Kennametal Fallon
United States
Active
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
China
Reference List
Tungsten
Ganxian Shirui New Material Co., Ltd.
China
Reference List
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
China
Reference List
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
China
Reference List
Tungsten
Hunan Chuangda Vanadium Tungsten Col, Ltd. Wuji
China
Reference List
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
China
Reference List
Tungsten
Moliren Ltd
Russian Federation
Reference List
Tungsten
Philippine Chuangxin Industrial Co., Inc.
Philippines
Reference List
Tungsten
Pobedit, JSC
Russian Federation
Reference List
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
China
Reference List
Tungsten
Unecha Refractory metals plant
Russian Federation
Reference List
Tungsten
Woltech Korea Co., Ltd.
Republic of Korea
Reference List
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
China
Reference List
(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 22, 2017.
(b) “Compliant” means that a smelter or refiner was listed as compliant with the Conflict-Free Smelter Program’s (“CSFP”) assessment protocols, including through mutual recognition and those indicated as “Re-audit in process.” Included smelters and refiners were not necessarily Compliant for all or part of 2016 and may not continue to be Compliant for any future period. We do not have any information on the origin of the 3TG processed by any of the Compliant smelters and refiners prior to their respective compliance dates.
(c) “Active” means that the smelter or refiner was listed as having submitted a signed Agreement for the Exchange of Confidential Information and Auditee Agreement contracts to the CFSP or, according to information published

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by the CFSI, the smelter has agreed to complete a CFSP validation audit within two years of membership issuance by the Tungsten Industry - Council Minerals Council.
(d) A smelter or refiner is listed as “Reference List” if it was not Compliant or Active.
(e) The compliance status indicated in the table is based solely on information made publicly available by the CFSI, 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 CFSI, without independent verification by us.

Country of Origin
The identified countries of origin of the 3TG processed by the Compliant smelters and refiners listed in the table above may have included the countries in the categories listed below. We have not been able to reliably determine the country of origin of the 3TG processed by any of the other smelters and refiners listed in the table. The countries below are categorized by risk.
L1 - Countries that are not identified as conflict regions or plausible areas of smuggling or export from the Covered Countries: Australia, Austria, Benin, Bolivia, Brazil, Burkina Faso, Cambodia, Canada, Chile, China, Colombia, Ecuador, Eritrea, Ethiopia, France, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Senegal, Sierra Leone, Spain, Thailand, Togo, United States of America, Uzbekistan, Vietnam, 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 nine adjoining countries: Burundi, Rwanda and Uganda.
DRC - The Democratic Republic of the Congo.
In addition, some of the Compliant smelters and refiners may have sourced in whole or in part from recycled or scrap sources.


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