Ultratech, Inc.
ULTRATECH INC (Form: SD, Received: 05/22/2017 15:52:58)
 
 
 


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM SD
Specialized Disclosure Report

——————————————————
ULTRATECH, INC.
(Exact name of registrant as specified in its charter)
——————————————————


DELAWARE
 0-22248
94-3169580
(State or other jurisdiction of
incorporation or organization)
(Commission
File Number)
(I.R.S. Employer Identification No.)
 
 
3050 Zanker Road, San Jose, California
 
95134
(Address of principal executive offices)
 
(Zip Code)

Bruce Wright (408) 321-8835
—————————————————————————————————————————
(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:

ý  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

This Form SD of Ultratech, Inc. (the “Company”) is filed pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”) for the reporting period from January 1, 2016 to December 31, 2016.
The Company has determined that certain Conflict Minerals (as defined in paragraph (d)(3) of Item 1.01) are necessary to the functionality or production of certain products manufactured or contracted to be manufactured by the Company and has reason to believe that, during the period covered by this report, certain of such conflict minerals originated in the Democratic Republic of the Congo (the “DRC”) and/or one or more of the countries that share an internationally recognized border with the DRC. Accordingly, the Company has prepared a Conflict Minerals Report, a copy of which is attached hereto as Exhibit 1.01. The Conflict Minerals Report is also publicly available on the Company’s website at www.ultratech.com.
Item 1.02 Exhibit

As noted in item 1.01, the Company is filing its Conflict Minerals Report as Exhibit 1.01 to this report.
SECTION 2 – EXHIBITS
 
Item 2.01 Exhibits

The following exhibit is filed as part of this report:
Exhibit No.
Description
1.01
Conflict Minerals Report of Ultratech, Inc.

 
 







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.

ULTRATECH, INC.
 
 
(Registrant)
 
 
 
 
 
 
By:
/s/ BRUCE WRIGHT
 
May 22, 2017
 
Name: Bruce Wright
 
(Date)
 
Chief Financial Officer
 
 




Exhibit 1.01



Conflict Minerals Report of Ultratech, Inc. for Calendar Year 2016
in Accordance with Rule 13p-1 Under Securities Exchange Act of 1934
   

Introduction
Ultratech, Inc. (the “Company”), prepared this Conflict Minerals Report (“Report”) in accordance with Rule 13p-1 (“Rule 13p-1” or the “Rule”), under the Securities Exchange Act of 1934 (“the 1934 Act”), for determining the source of conflict minerals in the Company’s supply chain for products manufactured in calendar year 2016.

The Rule requires disclosure of certain information when a registrant manufactures or contracts to manufacture products for which the minerals specified in the Rule are necessary to the functionality or production of those products. The specified minerals, which are collectively referred to in this Report as “Conflict Minerals,” are gold, columbitetantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten. The “Covered Countries” for the purposes of the Rule and this Report are the Democratic Republic of the Congo (the “DRC”), the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola. As further described in this Report, certain of the Company’s operations manufacture, or contract to manufacture, products for which certain Conflict Minerals are necessary to the functionality or production of those products.

The Company and its Products
Ultratech, Inc. (referred to herein as “Ultratech,” the “Company,” “we,” “our” or “us”) develops, manufactures and markets photolithography, laser thermal processing, and inspection equipment designed to reduce the cost of ownership for manufacturers of semiconductor devices, including advanced packaging processes and various nanotechnology components such as thin film head magnetic recording devices (“thin film heads” or “TFHs”), laser diodes, high-brightness light emitting diodes , as well as atomic layer deposition systems for customers located throughout North America, Europe, Singapore, Japan, Taiwan, Korea and the rest of Asia. Ultratech was incorporated in the state of Delaware in 1992.
Covered Products
During calendar 2016, the Company identified four products that contain conflict minerals that are necessary to their functionality or production (the “Covered Products”), that the Company manufactures or contracts to manufacture. Covered Products are as follows:

i.
Photolithography equipment,
ii.
Laser thermal processing equipment,
iii.
Atomic layer deposition systems,
iv.
Inspection equipment.
Program development - Reasonable Country of Origin Inquiry (“RCOI”) Process
The Company conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the conflict minerals used in, or in connection with, the production of the Covered Products. The RCOI was designed to reasonably determine whether any conflict minerals originated in the Covered Countries and whether any conflict minerals may have come from recycled or scrap sources. In accordance with the Rule, we followed internationally and nationally recognized guidance for reasonable practices to identify sources of conflict minerals, i.e., guidance provided by the Organisation for Economic Co-operation and Development (“OECD”) and the Electronics Industry Citizenship Coalition (“EICC”). Ultratech is an EICC member company.

The Company organized a conflict minerals management team (the “Team”). The Team engaged experts from engineering and manufacturing for technical input regarding the conflict minerals content of our products. The Team is comprised of experts from purchasing, internal audit, legal, finance disciplines and as mentioned above, relies on technical support from engineering, manufacturing, IT and risk management.

The Company’s approach to this effort included an initial planning phase that incorporated a review of the requirements under Rule 13p-1 with outside legal counsel. The Team concluded that the development of an effective conflict minerals framework for supply chain due diligence was required to proceed to the data collection phase. The resulting framework adopted by the Company



Exhibit 1.01


is based upon the conflict minerals template, procedures and tools provided by the EICC. The template also has been tailored to the Company’s particular supplier circumstances. Utilizing the customized template, the Company began working to identify the source of conflict minerals in our supply chain with the greatest possible specificity.

The Company then identified the relevant Tier 1 suppliers to be queried. A Tier 1 supplier is defined as a provider that delivers materials or services directly to the Company for incorporation into its final products. These are the immediate upstream companies in the supply chain. Ultratech has 216 such suppliers.

The Company continues to perform reasonable due diligence follow up with suppliers on questionnaire responses to obtain missing information and updated RCOI results.

Ultratech Conflict Minerals Program
The Company’s program for calendar year 2016 has been a continuation and refinement of the Team’s calendar year 2015 supply chain efforts. In particular, 2016 efforts reflect changes to our 2015 supplier scoping process, which slightly reduced the number of Tier1 suppliers to be queried. The Company adopted an approach that focuses on a core group of Tier1 supply chain members which account for more than 90% of the Company’s purchased material going into the Company’s finished products delivered to customers.

For calendar year 2016, the Company supplier certification survey was updated for conflict minerals necessary to the functionality or production of the four products mentioned above. The Company survey was then sent out to 21 suppliers determined to be most relevant based on the team’s review of calendar year 2015 responses (including the 16 suppliers identified in 2015 as containing conflict minerals in their products sold to Ultratech). The Team received responses back from 95% or 20 members of the Company supply chain who were sent the survey request for 2016. The Company is continuing to follow up with one supplier, to obtain survey response.

RCOI Survey Summary Update
Supplier questionnaire response :

2015
2016
Ÿ Number of Surveys sent out:          

24
21
Ÿ Number of Responses received:     

23
20
Ÿ Responses Open:
1
1
For 2016, the Company continues to engage with itsTier1 suppliers to obtain responses for questionnaires that remain open. Of the 20 Tier1 suppliers’ who responded to Question No. 1, 16 answered “yes” that parts and materials supplied contain conflict minerals. Of the suppliers who responded to Question No. 2, 16suppliers answered there was “no reason to believe” that parts supplied include conflict minerals from covered countries, 4 suppliers answered “still in the RCOI process”. Of the suppliers who responded to Question No. 3, 16 suppliers responded that no parts are derived from scrap or recycled sources and 1 supplier responded “undeterminable” or “still in the RCOI process”. Of the suppliers who responded to Question No. 4, of the 16 suppliers who answered yes to Question No. 1, 12 suppliers answered “known/partially-known” as to the mine or facility that was used to mine or process conflict minerals or that the mine or facility has been identified as “conflict free” by an independent third party. 4 suppliers answered, “Unknown”.
 
Supplier questionnaire results:
2015
2016
 
Ÿ Number of suppliers reporting conflict minerals in products:
19
16
 
Ÿ Number of suppliers reporting from DRC or covered countries:
 
Ÿ Number of suppliers reporting from scrap or recycled sources:
 
Ÿ Number of suppliers reporting Smelter or Refiner (SOR,) unknown:
9
4
 
Ÿ Number of suppliers reporting SOR names & CFS*:
10
12
 
 
 
 
 
*(CFS refers to a SOR identified as certified conflict free smelter by Independent Third Party audit)
 
The smelter or refiners identified by the 10 suppliers reporting SOR names in our supply chain are listed in at the end of the report (ANNEX I).     

 



Exhibit 1.01


In 2016, there were 12 suppliers, (or 75% of the 16 answering yes to Question No. 1) that reported the identification of the smelter or refiner names and reported a CFS status (Conflict free smelter) certification by an independent third party. All 12 suppliers of these SOR data responses were provided to the Company using an EICC conflict minerals reporting template (CMRT - revision.4.01b). The 4 remaining suppliers reported that SOR names are unknown, and have responded they are “still in the RCOI process” with their supply chains members.

Due Diligence Process was performed with 21 Suppliers who responded affirmatively to Question #1.
On the basis of the findings in the RCOI survey process, the Team conducted a broader investigation regarding the source and chain of custody of the conflict minerals used in the Covered Products. The Company’s due diligence measures have been designed to conform to the framework in the OECD Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High Risk Areas: Second Edition, including the related supplements on gold, tin, tantalum and tungsten (the “OECD Guidance”). The OECD Guidance specifies the following five-step framework for riskbased due diligence for responsible supply chains of minerals sourced from conflict-affected and high risk areas.

1.
Establish company management systems;
Company policy on conflict minerals is reflected in our corporate governance policies and in the Company’s materials management and purchasing supplier management policies.
As noted previously, the Company has established a robust management team from appropriate corporate functional areas and for advisory support on matters of legal guidance.
The Company’s contract terms and conditions include the requirement for suppliers to be compliant with the Dodd-Frank Act section 1502 regulations on conflict minerals.
2.
Identify and assess risk in the supply chain;
The Company has established a process to do this identification and assessment annually for in scope suppliers. This process is in place and works to provide visibility of risks for the Team to evaluate.
3.
Design and implement a strategy to respond to risks identified.
The Company is in the process of developing this strategy.
4.
Carry out independent third-party audit of supply chain due diligence;
The Company is still in the process of developing a mechanism for the independent third party audit of supply chain due diligence.
5.
Report on supply chain due diligence.
As of December 31, 2016, the 16 Tier1 suppliers of Ultratech’s Covered Products have responded that the name of the facilities used to produce the conflict minerals, the country of origin for those minerals and the mine identity and country location are known (75%) with respect to smelter name, country and certified, not from covered countries. Ultratech is working with each of the 16 suppliers to obtain the mine, location, and facilities used to process and the country of origin. 4 of the 16 conflict mineral suppliers reported that they are “still in the process of completing” their supply chain search for country of origin data. Twelve (12) of the conflict mineral suppliers have responded in their questionnaire, mine/smelter or refiner is “known” and was identified as (CFS) conflict free smelters as of December 31, 2016.

The Company’s due diligence follow up efforts conducted with the 16 Tier 1 conflict mineral suppliers have indicated that suppliers have reported increased visibility of the country of origin of the conflict minerals in calendar year 2016. The Team is continuing to perform supplier follow-up inquiries and research potential inaccuracies in the supplier data and incomplete information to clarify the supplier certification statements on the conflict minerals source. The Team has continued to pursue the suppliers who remain still in the process, pending the completion of their RCOI efforts. From the follow-up questions and evaluation of the supplier responses with both large and small entities, the identity of the country of origin and chain of custody of conflict minerals, remain the primary focus of the supplier RCOI processes.

Conclusion
On the basis of the due diligence process conducted by the Company and described in this Report, Ultratech has concluded that some of the conflict minerals contained in our Covered Products originated or may have originated in the Covered Countries. Based on the finding from our RCOI and our due diligence, the Company has been unable to determine whether the conflict



Exhibit 1.01


minerals that originated or may have originated in the Covered Countries directly or indirectly benefited or financed armed groups in the Covered Countries. The Covered Products manufactured by the Company identify the Company as a downstream purchaser of conflict minerals. As such, the Company is capable of providing only reasonable assurance that the source and chain of custody of necessary conflict minerals is accurate and reliable. The immediate supply chain contacts are the Company’s Tier 1 direct suppliers. The Company must place 5 reliance for information about the country of origin and chain of custody of conflict minerals upon the results of Tier 1 suppliers search efforts in their supply chains. The Company’s due diligence efforts are predicated on the need to rely on our Tier 1 supplier and upstream supply chain members to provide reliable quality and quantity of information available on the country of origin and chain of custody of conflict minerals. As of December 31, 2016, the Company does not have sufficient information from suppliers or other sources regarding smelters or refiners that processed the necessary conflict minerals to determine the facilities used to process or the mine or the location of the origin with the greatest possible specificity.
  
Continuous Improvement Efforts
During the reporting period for the calendar year ended December 31, 2016, Ultratech has continued to engage in activities that will improve the quality of the information gathered from its due diligence efforts described in this report. Some of these activities include:


Investigate dedicated software solutions for conflict minerals program management to automate supplier data collection archiving and provide real time reports. The Company has begun using existing data reporting and archive software applications to store and track conflict minerals supply chain data during 2016.
Leverage existing software to search and analyze raw material purchases. We have leveraged the Company’s main business system reporting capability for raw materials purchasing analysis on in scope manufactured products during 2016.
Circulate a supplemental questionnaire/certification request to the 16 suppliers reporting conflict minerals, to expand our inquiry for our RCOI data available on Country of Origin, smelter name and country location by conflict mineral. The Company due diligence process included sending an expanded questionnaire/certification request to the Tier 1 suppliers of its Covered Products during 2016. The 16 suppliers, who responded “yes“ to Question No. 1, were asked to supply:
The name of the facilities used to produce the conflict mineral;
The country of origin for those minerals; and                     
The mine identity and country location.
As of December 31, 2016, the Company had received and evaluated supplier responses. The Company has completed and reported the results of 2016 survey questionnaire above, with the result of increased visibility reported by the 12 suppliers mentioned as to SOR’s, known and not from covered countries.
Join a Conflict Free Smelter (CFS) program to gain access to certified conflict free smelter listings, to validate the information obtained from the Company’s Supply Chain. This CFS program affiliation targeted for completion in calendar 2015, became effective during calendar 2015.
Increase the core group of Tier1 supply chain members surveyed to account for more than 90% of the Company’s purchased material going into finished products, delivered to customers. This became effective with the Company’s most recent supply chain certification survey completed during calendar 2016.
Independent Private Sector Audit (IPSA)
An IPSA is not required to be obtained by the Company.
This is based on the SEC public comment following the U.S. Court Of Appeals decision, that an IPSA of the Company’s Conflict Minerals Report will not be required unless a company voluntarily elects to describe products as “DRC conflict free” in its Conflict Minerals Report.
.





Exhibit 1.01


ANNEX I
    
Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Gold
 
Abington Reldan Metals, LLC
 
UNITED STATES
Gold
 
Acada Metals Co., LTD
 
CHINA
Gold
 
Advanced Chemical Company
 
UNITED STATES
Gold
 
Aida Chemical Industries Co., Ltd.
 
JAPAN
Gold
 
Aktyubinsk Copper Company TOO
 
KAZAKHSTAN
Gold
 
Al Etihad Gold Refinery DMCC
 
UNITED ARAB EMIRATES
Gold
 
Allgemeine Gold-und Silberscheideanstalt A.G.
 
GERMANY
Gold
 
Almalyk Mining and Metallurgical Complex (AMMC)
 
UZBEKISTAN
Gold
 
AngloGold Ashanti Córrego do Sítio Mineração
 
BRAZIL
Gold
 
Argor-Heraeus S.A.
 
SWITZERLAND
Gold
 
Asahi Pretec Corp.
 
JAPAN
Gold
 
Asahi Pretec Corporation
 
JAPAN
Gold
 
Asahi Refining Canada Limited
 
CANADA
Gold
 
Asahi Refining USA Inc.
 
UNITED STATES
Gold
 
Asaka Riken Co., Ltd.
 
JAPAN
Gold
 
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
 
TURKEY
Gold
 
AU Traders and Refiners
 
SOUTH AFRICA
Gold
 
AURA - II
 
UNITED STATES
Gold
 
Aurubis AG
 
GERMANY
Gold
 
Aurubis, Norddeutsche Affinererir AG
 
GERMANY
Gold
 
Bangalore Refinery (P) Ltd.
 
INDIA
Gold
 
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
 
PHILIPPINES
Gold
 
Bauer Walser AG
 
GERMANY
Gold
 
Boliden AB
 
SWEDEN
Gold
 
C. Hafner GmbH + Co. KG
 
GERMANY
Gold
 
Caridad
 
MEXICO
Gold
 
CCR Refinery - Glencore Canada Corporation
 
CANADA
Gold
 
Cendres + Métaux SA
 
SWITZERLAND
Gold
 
Chimet S.p.A.
 
ITALY
Gold
 
China National Gold Group Corporation
 
CHINA
Gold
 
Chugai Mining
 
JAPAN
Gold
 
Codelco
 
CHILE
Gold
 
Colt Refining
 
UNITED STATES
Gold
 
Daejin Indus Co., Ltd.
 
KOREA, REPUBLIC OF
Gold
 
DaeryongENC
 
KOREA, REPUBLIC OF
Gold
 
Daye Non-Ferrous Metals Mining Ltd.
 
CHINA
Gold
 
Do Sung Corporation
 
KOREA, REPUBLIC OF
Gold
 
DODUCO GmbH
 
GERMANY
Gold
 
Dowa
 
JAPAN
Gold
 
DSC (Do Sung Corporation)
 
KOREA, REPUBLIC OF
Gold
 
Eco-System Recycling Co., Ltd.
 
JAPAN



Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Gold
 
Elemetal Refining, LLC
 
UNITED STATES
Gold
 
Emirates Gold DMCC
 
UNITED ARAB EMIRATES
Gold
 
Faggi Enrico S.p.A.
 
ITALY
Gold
 
Gansu Seemine Material Hi-Tech Co., Ltd.
 
CHINA
Gold
 
Geib Refining Corporation
 
UNITED STATES
Gold
 
Great Wall Precious Metals Co., Ltd. of CBPM
 
CHINA
Gold
 
Guangdong Jinding Gold Limited
 
CHINA
Gold
 
Gujarat Gold Centre
 
INDIA
Gold
 
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
 
CHINA
Gold
 
Hangzhou Fuchunjiang Smelting Co., Ltd.
 
CHINA
Gold
 
Heimerle + Meule GmbH
 
GERMANY
Gold
 
Henan Yuguang Gold & Lead Co., Ltd.
 
CHINA
Gold
 
Heraeus Ltd. Hong Kong
 
CHINA
Gold
 
Heraeus Precious Metals GmbH & Co. KG
 
GERMANY
Gold
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
Gold
 
Hwasung CJ Co., Ltd.
 
KOREA, REPUBLIC OF
Gold
 
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
 
CHINA
Gold
 
Ishifuku Metal Industry Co., Ltd.
 
JAPAN
Gold
 
Istanbul Gold Refinery
 
TURKEY
Gold
 
Japan Mint
 
JAPAN
Gold
 
Jiangxi Copper Co., Ltd.
 
CHINA
Gold
 
Johnson Matthey Limited
 
CANADA
Gold
 
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
 
RUSSIAN FEDERATION
Gold
 
JSC Uralelectromed
 
RUSSIAN FEDERATION
Gold
 
JX Nippon Mining & Metals Co., Ltd.
 
JAPAN
Gold
 
K.A.Rasmussen as
 
NORWAY
Gold
 
Kaloti Precious Metals
 
UNITED ARAB EMIRATES
Gold
 
Kazakhmys Smelting LLC
 
KAZAKHSTAN
Gold
 
Kazzinc
 
KAZAKHSTAN
Gold
 
Kennecott Utah Copper LLC
 
UNITED STATES
Gold
 
KGHM Polska Miedź Spółka Akcyjna
 
POLAND
Gold
 
Kojima Chemicals Co., Ltd.
 
JAPAN
Gold
 
Korea Metal Co., Ltd.
 
KOREA, REPUBLIC OF
Gold
 
Kyrgyzaltyn JSC
 
KYRGYZSTAN
Gold
 
L' azurde Company For Jewelry
 
SAUDI ARABIA
Gold
 
Lingbao Gold Company Limited
 
CHINA
Gold
 
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
 
CHINA
Gold
 
LS-NIKKO Copper Inc.
 
KOREA, REPUBLIC OF
Gold
 
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
 
CHINA
Gold
 
Materion
 
UNITED STATES
Gold
 
Matsuda Sangyo Co., Ltd.
 
JAPAN



Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Gold
 
Metalor Switzerland
 
SWITZERLAND
Gold
 
Metalor Technologies (Hong Kong) Ltd.
 
CHINA
Gold
 
Metalor Technologies (Singapore) Pte., Ltd.
 
SINGAPORE
Gold
 
Metalor Technologies (Suzhou) Ltd.
 
CHINA
Gold
 
Metalor Technologies S.A.
 
SWITZERLAND
Gold
 
Metalor USA Refining Corporation
 
UNITED STATES
Gold
 
METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V
 
MEXICO
Gold
 
Mitsubishi Materials Corporation
 
JAPAN
Gold
 
Mitsui Mining and Smelting Co., Ltd.
 
JAPAN
Gold
 
MMTC-PAMP India Pvt., Ltd.
 
INDIA
Gold
 
Modeltech Sdn Bhd
 
MALAYSIA
Gold
 
Morris and Watson
 
NEW ZEALAND
Gold
 
Moscow Special Alloys Processing Plant
 
RUSSIAN FEDERATION
Gold
 
Nadir Metal Rafineri San. Ve Tic. A.Ş.
 
TURKEY
Gold
 
Navoi Mining and Metallurgical Combinat
 
UZBEKISTAN
Gold
 
Nihon Material Co., Ltd.
 
JAPAN
Gold
 
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
 
AUSTRIA
Gold
 
Ohura Precious Metal Industry Co., Ltd.
 
JAPAN
Gold
 
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
 
RUSSIAN FEDERATION
Gold
 
OJSC Kolyma Refinery
 
RUSSIAN FEDERATION
Gold
 
OJSC Novosibirsk Refinery
 
RUSSIAN FEDERATION
Gold
 
PAMP S.A.
 
SWITZERLAND
Gold
 
Penglai Penggang Gold Industry Co., Ltd.
 
CHINA
Gold
 
Prioksky Plant of Non-Ferrous Metals
 
RUSSIAN FEDERATION
Gold
 
PT Aneka Tambang (Persero) Tbk
 
INDONESIA
Gold
 
PX Précinox S.A.
 
SWITZERLAND
Gold
 
Rand Refinery (Pty) Ltd.
 
SOUTH AFRICA
Gold
 
Remondis Argentia, B.V.
 
NETHERLANDS
Gold
 
Republic Metals Corporation
 
UNITED STATES
Gold
 
Royal Canadian Mint
 
CANADA
Gold
 
SAAMP
 
FRANCE
Gold
 
Sabin Metal Corp.
 
UNITED STATES
Gold
 
SAFINA A.S.
 
CZECH REPUBLIC
Gold
 
Sai Refinery
 
INDIA
Gold
 
Samduck Precious Metals
 
KOREA, REPUBLIC OF
Gold
 
SAMWON Metals Corp.
 
KOREA, REPUBLIC OF
Gold
 
SAXONIA Edelmetalle GmbH
 
GERMANY
Gold
 
Schone Edelmetaal B.V.
 
NETHERLANDS
Gold
 
SEMPSA Joyería Platería S.A.
 
SPAIN
Gold
 
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
 
CHINA
Gold
 
Shandong Yanggu Xiangguang Co. Ltd.
 
CHINA
Gold
 
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
 
CHINA
Gold
 
Shandong Humon Smelting Co., Ltd. Co., Ltd.
 
CHINA



Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Gold
 
Shenzhen Zhonghenglong Real Industry Co., Ltd
 
CHINA
Gold
 
Sichuan Tianze Precious Metals Co., Ltd.
 
CHINA
Gold
 
Singway Technology Co., Ltd.
 
TAIWAN
Gold
 
So Accurate Group, Inc.
 
UNITED STATES
Gold
 
SOE Shyolkovsky Factory of Secondary Precious Metals
 
RUSSIAN FEDERATION
Gold
 
Solar Applied Materials Technology Corp.
 
TAIWAN
Gold
 
Sudan Gold Refinery
 
SUDAN
Gold
 
Sumitomo Metal Mining Co., Ltd.
 
JAPAN
Gold
 
Super Dragon Technology Co., Ltd.
 
TAIWAN
Gold
 
T.C.A S.p.A
 
ITALY
Gold
 
Tanaka Kikinzoku Kogyo K.K.
 
JAPAN
Gold
 
The Refinery of Shandong Gold Mining Co., Ltd.
 
CHINA
Gold
 
Tokuriki Honten Co., Ltd.
 
JAPAN
Gold
 
Tongling Nonferrous Metals Group Co., Ltd.
 
CHINA
Gold
 
Tony Goetz NV
 
BELGIUM
Gold
 
TOO Tau-Ken-Altyn
 
KAZAKHSTAN
Gold
 
Torecom
 
KOREA, REPUBLIC OF
Gold
 
Umicore Brasil Ltda.
 
BRAZIL
Gold
 
Umicore Precious Metals Thailand
 
THAILAND
Gold
 
Umicore S.A. Business Unit Precious Metals Refining
 
BELGIUM
Gold
 
United Precious Metal Refining, Inc.
 
UNITED STATES
Gold
 
Valcambi S.A.
 
SWITZERLAND
Gold
 
Western Australian Mint trading as The Perth Mint
 
AUSTRALIA
Gold
 
WIELAND Edelmetalle GmbH
 
GERMANY
Gold
 
Yamamoto Precious Metal Co., Ltd.
 
JAPAN
Gold
 
Yokohama Metal Co., Ltd.
 
JAPAN
Gold
 
Yunnan Copper Industry Co., Ltd.
 
CHINA
Gold
 
Zhongkuang Gold Industry Co., Ltd.
 
CHINA
Gold
 
Zhongshan Public Security Bureau, Guangdong Province ,China

 
CHINA
Gold
 
Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 
CHINA
Gold
 
Zijin Mining Group Co., Ltd. Gold Refinery
 
CHINA
Tantalum
 
Advanced Metallurgical Group N.V. (AMG)

 
UNITED STATES

Tantalum
 
Avon Specialty Metals Ltd
 
UNITED KINGDOM
Tantalum
 
Changsha South Tantalum Niobium Co., Ltd.
 
CHINA
Tantalum
 
Conghua Tantalum and Niobium Smeltry
 
CHINA
Tantalum
 
Conghua Tantalum and Niobium Smeltry
 
CHINA
Tantalum
 
D Block Metals, LLC
 
UNITED STATES
Tantalum
 
Duoluoshan
 
CHINA
Tantalum
 
E.S.R. Electronics

 
UNITED STATES
UNITED STATES

Tantalum
 
E.S.R. Electronics

 
UNITED STATES
UNITED STATES

Tantalum
 
Exotech Inc.
 
UNITED STATES
Tantalum
 
F&X Electro-Materials Ltd.
 
CHINA
Tantalum
 
FIR Metals & Resource Ltd.
 
CHINA
Tantalum
 
Global Advanced Metals
 
UNITED STATES
UNITED STATES




Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Tantalum
 
Global Advanced Metals Aizu
 
JAPAN
Tantalum
 
Global Advanced Metals Boyertown
 
UNITED STATES
Tantalum
 
Guangdong Zhiyuan New Material Co., Ltd.
 
CHINA
Tantalum
 
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
 
CHINA
Tantalum
 
H.C. Starck Co., Ltd.
 
THAILAND
Tantalum
 
H.C. Starck GmbH Goslar
 
GERMANY
Tantalum
 
H.C. Starck GmbH Laufenburg
 
GERMANY
Tantalum
 
H.C. Starck Group
 
GERMANY
Tantalum
 
H.C. Starck Hermsdorf GmbH
 
GERMANY
Tantalum
 
H.C. Starck Inc.
 
UNITED STATES
Tantalum
 
H.C. Starck Ltd.
 
JAPAN
Tantalum
 
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
Tantalum
 
Hengyang King Xing Lifeng New Materials Co., Ltd.
 
CHINA
Tantalum
 
Hi-Temp
 
UNITED STATES
Tantalum
 
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
 
CHINA
Tantalum
 
Jiangxi Tuohong New Raw Material
 
CHINA
Tantalum
 
JiuJiang JinXin Nonferrous Metals Co., Ltd.
 
CHINA
Tantalum
 
Jiujiang Tanbre Co., Ltd.
 
CHINA
Tantalum
 
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
 
CHINA
Tantalum
 
KEMET Blue Metals
 
MEXICO
Tantalum
 
KEMET Blue Powder
 
UNITED STATES
Tantalum
 
King-Tan Tantalum Industry Ltd.
 
CHINA
Tantalum
 
LSM Brasil S.A.
 
BRAZIL
Tantalum
 
Metallurgical Products India Pvt., Ltd.
 
INDIA
Tantalum
 
Mineração Taboca S.A.
 
BRAZIL
Tantalum
 
Mitsui Mining & Smelting
 
JAPAN
Tantalum
 
Molycorp Silmet A.S.
 
ESTONIA
Tantalum
 
Ningxia Non-ferrous Metal Smeltery
 
CHINA
Tantalum
 
Ningxia Orient Tantalum Industry Co., Ltd.
 
CHINA
Tantalum
 
Plansee
 
AUSTRIA
Tantalum
 
Plansee SE Liezen
 
AUSTRIA
Tantalum
 
Plansee SE Reutte
 
AUSTRIA
Tantalum
 
QuantumClean
 
UNITED STATES
Tantalum
 
Resind Indústria e Comércio Ltda.
 
BRAZIL
Tantalum
 
RFH Tantalum Smeltry Co., Ltd.
 
CHINA
Tantalum
 
Shanghai Jiangxi Metals Co. Ltd
 
CHINA
Tantalum
 
Solikamsk Magnesium Works OAO
 
RUSSIAN FEDERATION
Tantalum
 
Taki Chemicals
 
JAPAN
Tantalum
 
Telex Metals
 
UNITED STATES
Tantalum
 
Tranzact, Inc.
 
UNITED STATES
Tantalum
 
Ulba Metallurgical Plant JSC
 
KAZAKHSTAN
Tantalum
 
XinXing HaoRong Electronic Material Co., Ltd.
 
CHINA
Tantalum
 
Yichun Jin Yang Rare Metal Co., Ltd.
 
CHINA
Tantalum
 
Zhuzhou Cemented Carbide
 
CHINA



Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Tin
 
Alpha
 
UNITED STATES
Tin
 
An Thai Minerals Company Limited
 
VIET NAM
Tin
 
An Vinh Joint Stock Mineral Processing Company
 
VIET NAM
Tin
 
Brautmeier GmbH
 
GERMANY
Tin
 
Chenzhou Yunxiang Mining and Metallurgy Company Limited
 
CHINA
Tin
 
China Tin Group Co., Ltd.
 
CHINA
Tin
 
CINTAS METALICAS S.A.
 
SPAIN
Tin
 
CNMC (Guangxi) PGMA Co., Ltd.
 
CHINA
Tin
 
Cooper Santa
 
BRAZIL
Tin
 
Cooperativa Metalurgica de Rondônia Ltda.

 
BRAZIL
Tin
 
CV Ayi Jaya
 
INDONESIA
Tin
 
CV Dua Sekawan
 
INDONESIA
Tin
 
CV Gita Pesona
 
INDONESIA
Tin
 
CV Makmur Jaya
 
INDONESIA
Tin
 
CV Serumpun Sebalai
 
INDONESIA
Tin
 
CV Tiga Sekawan
 
INDONESIA
Tin
 
CV United Smelting
 
INDONESIA
Tin
 
CV Venus Inti Perkasa
 
INDONESIA
Tin
 
Dowa
 
JAPAN
Tin
 
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
 
VIET NAM
Tin
 
Elmet S.L.U. (Metallo Group)
 
SPAIN
Tin
 
EM Vinto
 
BOLIVIA
Tin
 
Estanho de Rondônia S.A.

 
BRAZIL
Tin
 
Feinhütte Halsbrücke GmbH
 
GERMANY
Tin
 
Fenix Metals
 
POLAND
Tin
 
Gejiu Kai Meng Industry and Trade LLC
 
CHINA
Tin
 
Gejiu Non-Ferrous Metal Processing Co., Ltd.
 
CHINA
Tin
 
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
 
CHINA
Tin
 
Gejiu Zili Mining And Metallurgy Co., Ltd.

 
CHINA
Tin
 
Global Advanced Metals Pty Ltd

 
AUSTRALIA
Tin
 
Gold Bell Group
 
CHINA
Tin
 
Guang Guida Nonferrous Metal Smelting Plant
 
CHINA
Tin
 
Hezhou Jinwei Tin Co., Ltd
 
CHINA
Tin
 
HuiChang Hill Tin Industry Co., Ltd.
 
CHINA
Tin
 
Huichang Jinshunda Tin Co., Ltd.
 
CHINA
Tin
 
Jia Tian
 
CHINA
Tin
 
Jiangxi Ketai Advanced Material Co., Ltd.
 
CHINA
Tin
 
Jiangxi Nanshan
 
CHINA
Tin
 
Linwu Xianggui Ore Smelting Co., Ltd.
 
CHINA
Tin
 
Magnu's Minerais Metais e Ligas Ltda.
 
BRAZIL
Tin
 
Malaysia Smelting Corporation (MSC)
 
MALAYSIA
Tin
 
Melt Metais e Ligas S.A.
 
BRAZIL
Tin
 
Metahub Industries Sdn. Bhd.
 
MALAYSIA



Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Tin
 
Metallic Resources, Inc.
 
UNITED STATES
Tin
 
Metallo-Chimique
 
BELGIUM
Tin
 
Metallo-Chimique N.V.
 
BELGIUM
Tin
 
Mineração Taboca S.A.
 
BRAZIL
Tin
 
Minmetals Ganzhou Tin Co. Ltd.
 
CHINA
Tin
 
Minsur
 
PERU
Tin
 
Mitsubishi Materials Corporation
 
JAPAN
Tin
 
Modeltech Sdn Bhd
 
MALAYSIA
Tin
 
Nankang Nanshan Tin Manufactory Co., Ltd.
 
CHINA
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
 
VIET NAM
Tin
 
Novosibirsk Integrated Tin Works
 
RUSSIAN FEDERATION
Tin
 
O.M. Manufacturing (Thailand) Co., Ltd.
 
THAILAND
Tin
 
O.M. Manufacturing Philippines, Inc.
 
PHILIPPINES
Tin
 
Operaciones Metalurgical S.A.
 
BOLIVIA
Tin
 
Phoenix Metal Ltd.
 
RWANDA
Tin
 
PT Alam Lestari Kencana
 
INDONESIA
Tin
 
PT Aries Kencana Sejahtera
 
INDONESIA
Tin
 
PT Artha Cipta Langgeng
 
INDONESIA
Tin
 
PT ATD Makmur Mandiri Jaya
 
INDONESIA
Tin
 
PT Babel Inti Perkasa
 
INDONESIA
Tin
 
PT Bangka Kudai Tin
 
INDONESIA
Tin
 
PT Bangka Putra Karya
 
INDONESIA
Tin
 
PT Bangka Timah Utama Sejahtera
 
INDONESIA
Tin
 
PT Bangka Tin Industry
 
INDONESIA
Tin
 
PT Belitung Industri Sejahtera
 
INDONESIA
Tin
 
PT BilliTin Makmur Lestari
 
INDONESIA
Tin
 
PT Bukit Timah
 
INDONESIA
Tin
 
PT Cipta Persada Mulia
 
INDONESIA
Tin
 
PT Donna Kembara Jaya
 
INDONESIA
Tin
 
PT DS Jaya Abadi
 
INDONESIA
Tin
 
PT Eunindo Usaha Mandiri
 
INDONESIA
Tin
 
PT Fang Di MulTindo
 
INDONESIA
Tin
 
PT HANJAYA PERKASA METALS
 
INDONESIA
Tin
 
PT HP Metals Indonesia
 
INDONESIA
Tin
 
PT Inti Stania Prima
 
INDONESIA
Tin
 
PT JusTindo
 
INDONESIA
Tin
 
PT Karimun Mining
 
INDONESIA
Tin
 
PT Kijang Jaya Mandiri
 
INDONESIA
Tin
 
PT Koba Tin
 
INDONESIA
Tin
 
PT Menara Cipta Mulia
 
INDONESIA
Tin
 
PT Mitra Stania Prima
 
INDONESIA
Tin
 
PT O.M. Indonesia
 
INDONESIA
Tin
 
PT Panca Mega Persada
 
INDONESIA
Tin
 
PT Pelat Timah Nusantara Tbk
 
INDONESIA



Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Tin
 
PT Prima Timah Utama
 
INDONESIA
Tin
 
PT Rajwa International
 
INDONESIA
Tin
 
PT Refined Bangka Tin
 
INDONESIA
Tin
 
PT Sariwiguna Binasentosa
 
INDONESIA
Tin
 
PT Seirama Tin Investment
 
INDONESIA
Tin
 
PT Singkep Times Utama
 
INDONESIA
Tin
 
PT Stanindo Inti Perkasa
 
INDONESIA
Tin
 
PT Sukses Inti Makmur
 
INDONESIA
Tin
 
PT Sumber Jaya Indah
 
INDONESIA
Tin
 
PT Supra Sukses Trinusa
 
INDONESIA
Tin
 
PT Timah (Persero) Tbk Kundur
 
INDONESIA
Tin
 
PT Timah (Persero) Tbk Kundur
 
INDONESIA
Tin
 
PT Tinindo Inter Nusa
 
INDONESIA
Tin
 
PT Tirus Putra Mandiri
 
INDONESIA
Tin
 
PT Tommy Utama
 
INDONESIA
Tin
 
PT Wahana Perkit Jaya
 
INDONESIA
Tin
 
PT Yinchendo Mining Industry
 
INDONESIA
Tin
 
Resind Indústria e Comércio Ltda.
 
BRAZIL
Tin
 
Rui Da Hung
 
TAIWAN
Tin
 
Senju Metal Industry Co., Ltd.
 
MALAYSIA
Tin
 
Soft Metais Ltda.
 
BRAZIL
Tin
 
Soft Metais Ltda.
 
BRAZIL
Tin
 
Super Ligas
 
BRAZIL
Tin
 
Thaisarco
 
THAILAND
Tin
 
Tuyen Quang Non-Ferrous Metals Joint Stock Company
 
VIET NAM
Tin
 
VQB Mineral and Trading Group JSC
 
VIET NAM
Tin
 
VQB Mineral and Trading Group JSC
 
VIET NAM
Tin
 
WC Heraeus Hanau
 
GERMANY
Tin
 
White Solder Metalurgia e Mineração Ltda.
 
BRAZIL
Tin
 
Wilhelm Westmetall
 
GERMANY
Tin
 
Xianghualing Tin Industry Co., Ltd.
 
CHINA
Tin
 
Xianghualing Tin Industry Co., Ltd.
 
CHINA
Tin
 
Xinmao Xiye (Tin Company)
 
CHINA
Tin
 
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
 
CHINA
Tin
 
Yunnan Geiju Zili Metallurgy Co. Ltd.
 
CHINA
Tin
 
Yunnan Gejiu Jinye Minerals
 
CHINA
Tin
 
Yunnan Tin Company, Ltd.
 
CHINA
Tin
 
Yunnan Tin Group (Holding) Company Limited
 
CHINA
Tin
 
Zhongshan Jinye Smelting Co., Ltd
 
CHINA
Tungsten
 
A.L.M.T. TUNGSTEN Corp.
 
JAPAN
Tungsten
 
ACL Metais Eireli
 
BRAZIL
Tungsten
 
Air Products
 
UNITED STATES
Tungsten
 
Asia Tungsten Products Vietnam Ltd.
 
VIET NAM
Tungsten
 
Chenzhou Diamond Tungsten Products Co., Ltd.
 
CHINA



Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Tungsten
 
Chongyi Zhangyuan Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Dayu Jincheng Tungsten Industry Co., Ltd.
 
CHINA
Tungsten
 
Dayu Weiliang Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Fujian Jinxin Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Ganxian Shirui New Material Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Haichuang Tungsten Industry Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Huaxing Tungsten Products Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Seadragon W & Mo Co., Ltd.
 
CHINA
Tungsten
 
Ganzhou Yatai Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Global Tungsten & Powders Corp.
 
UNITED STATES
Tungsten
 
Golden Egret Special Allloy Coop.
 
CHINA
Tungsten
 
Guangdong Xianglu Tungsten Co., Ltd.
 
CHINA
Tungsten
 
H.C. Starck GmbH
 
GERMANY
Tungsten
 
H.C. Starck Smelting GmbH & Co.KG
 
GERMANY
Tungsten
 
Hitachi Metals, Ltd.

 
JAPAN
Tungsten
 
Hi-Temp Specialty Metal Incorporated
 
UNITED STATES
Tungsten
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
Tungsten
 
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
 
CHINA
Tungsten
 
Hunan Chunchang Nonferrous Metals Co., Ltd.
 
CHINA
Tungsten
 
Hydrometallurg, JSC
 
RUSSIAN FEDERATION
Tungsten
 
Japan New Metals Co., Ltd.
 
JAPAN
Tungsten
 
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Gan Bei Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Richsea New Materials Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
 
CHINA
Tungsten
 
Jiangxi Yaosheng Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Kennametal Fallon
 
UNITED STATES
Tungsten
 
Kennametal Huntsville
 
UNITED STATES
Tungsten
 
Luoyang Mudu Tungsten & Molybdenum Tech. Co., Ltd
 
CHINA
Tungsten
 
Malipo Haiyu Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Moliren Ltd
 
CHINA
Tungsten
 
Niagara Refining LLC
 
UNITED STATES
Tungsten
 
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
 
VIET NAM
Tungsten
 
Philippine Chuangxin Industrial Co., Inc.
 
PHILIPPINES
Tungsten
 
Pobedit, JSC
 
RUSSIAN FEDERATION
Tungsten
 
Sanher Tungsten Vietnam Co., Ltd.
 
VIET NAM
Tungsten
 
South-East Nonferrous Metal Company Limited of Hengyang City
 
CHINA



Exhibit 1.01


Subject Mineral
 
Smelter or Refiner Name
 
Country Location of Smelter or Refiner
Tungsten
 
Tejing (Vietnam) Tungsten Co., Ltd.
 
VIET NAM
Tungsten
 
Unecha Refractory metals plant
 
RUSSIAN FEDERATION
Tungsten
 
Vietnam Youngsun Tungsten Industry Co., Ltd.
 
VIET NAM
Tungsten
 
Wolfram Bergbau und Hütten AG
 
AUSTRIA
Tungsten
 
Wolfram Company CJSC
 
RUSSIAN FEDERATION
Tungsten
 
Woltech Korea Co., Ltd.
 
KOREA, REPUBLIC OF
Tungsten
 
Xiamen Tungsten (H.C.) Co., Ltd.
 
CHINA
Tungsten
 
Xiamen Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
 
CHINA
Tungsten
 
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
 
CHINA
Tungsten
 
Zhuzhou Cemented Carbide Group Co Ltd
 
CHINA