Form SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D. C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

Dana Incorporated

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   1-1063   26-1531856

(State or other jurisdiction

of incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

3939 Technology Drive,

Maumee, Ohio 43537

(Address of principal executive offices) (Zip Code)

Christopher J. Dawson (519) 437-0329

(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:

 

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

A copy of Dana Incorporated’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at www.dana.com. The website and information accessible through it are not incorporated into this Form SD.

 

Item 1.02 Exhibit

As specified in Section 2, Item 2.01 of this Form SD, the registrant is hereby 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 Dana Incorporated

 

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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.

 

      DANA INCORPORATED
Date: May 30, 2018     By:   /s/ Jonathan M. Collins
      Name:   Jonathan M. Collins
      Title:   Executive Vice President and Chief Financial Officer

 

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EX-1.01

EXHIBIT 1.01

DANA INCORPORATED

Conflict Minerals Report

For the Year Ended December 31, 2017

Overview

Dana Incorporated (Dana) is a global provider of high technology drive and motion products, sealing solutions, thermal-management technologies and fluid-power products and our customer base includes virtually every major vehicle and engine manufacturer in the global light vehicle, medium/heavy vehicle and off-highway markets. As of December 31, 2017, we employed approximately 30,100 people, operated in 33 countries and had 139 major facilities around the world.

As described in further detail below, we rely on our direct suppliers to provide information on the origins of tin, tantalum, tungsten and gold (3TG) contained in components and materials supplied to us, including sources of 3TG that are supplied to them from lower tier suppliers. To obtain this information, in accordance with the OECD Guidance (as defined below), we sent a Request For Information (RFI) to direct suppliers representing approximately 2% of our supplier shipping locations for direct components. In addition, all of our supply agreements require our suppliers to provide information about the source of 3TG and smelters.

We have adopted the following Conflict Minerals Policy:

As a company with sales and manufacturing operations throughout the world, we support the sourcing of minerals responsibly, as set out in our Standards of Business Conduct. We support ending the violence and human rights violations in the mining of certain minerals from a location described as the “Conflict Region,” which is in the Democratic Republic of the Congo (DRC) and neighboring countries. The U.S. Securities and Exchange Commission (SEC) adopted final rules to implement reporting and disclosure requirements related to “conflict minerals,” as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The rules require manufacturers who file certain reports with the SEC to disclose whether the products they manufacture or contract to manufacture contain “conflict minerals” that are “necessary to the functionality or production” of those products.

The definition of “conflict minerals” refers to gold, as well as tin, tantalum, and tungsten, the derivatives of cassiterite, columbite-tantalite, and wolframite, regardless of where they are sourced, processed or sold. The U.S. Secretary of State may designate other minerals in the future. We support these requirements to further the humanitarian goal of ending violent conflict in the DRC and in surrounding countries, which has been partially financed by the exploitation and trade of “conflict minerals”.

 

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OUR COMMITMENT:

 

1. Support the aims and objectives of the U.S. legislation on the supply of “conflict minerals”

 

2. Do not knowingly procure specified metals that originate from facilities in the “Conflict Region” that are not certified as “conflict free”

 

3. Ensure compliance with these requirements, and ask our suppliers to undertake reasonable due diligence within their supply chains to assure that specified metals are being sourced only from:

 

    Mines and smelters outside the “Conflict Region” or

 

    Mines and smelters which have been certified by an independent third party as “conflict free” if sourced within the “Conflict Region”

Dana has based its due diligence processes, in part, on the guidance provided by the Organization for Economic Co-operation and Development (OECD). The framework of the OECD provides practical guidance to companies on a set of actions that can be taken throughout the supply chain to ensure responsible due diligence. Dana has established a global team, reporting to executive leadership, to work through the OECD framework and develop a plan to address each of its focus areas.

This due diligence includes requiring our 3TG suppliers to provide written evidence documenting that raw materials used to produce gold, tin, tantalum and tungsten, used in the materials to manufacture components and products supplied to Dana, originate from outside the “Conflict Region” or, if they originate from within the “Conflict Region,” that the mines or smelters be certified as “conflict free” by an independent third party. The aim is to ensure that only “conflict free” materials and components are used in products that we procure.

If we discover the use of these minerals produced in facilities that are considered to be “non-conflict free” in any material, parts or components we procure, we will take appropriate actions to transition the product to be “conflict free.”

 

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Due Diligence Process

Our due diligence measures have been designed to conform, in all material respects, with the framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance) and the related Supplements for 3TG. As described above, Dana has adopted a policy which is posted on our website at www.dana.com.

Management System

Dana has established a management system for conflict minerals. Our management system is led by a Senior Manager of Purchasing who acts as the executive conflict minerals program manager. That individual is supported by other Dana employees, including internal legal counsel. Management is briefed about the results of our due diligence efforts on a regular basis.

Control Systems

As we do not have a direct relationship with 3TG smelters or refiners, we are engaged and cooperate with other major manufacturers in our industry. Controls include, but are not limited to, our Standards of Business Conduct which outlines expected behaviors for all of our employees, our Standards of Business Conduct for Suppliers, and obligations contained in agreements with our suppliers.

Supplier Engagement

We utilize our own internal supplier management software (Dana1Source) as a part of engaging with our suppliers. In particular, Dana1Source helps us to identify suppliers that provide direct components that might contain 3TG. Those suppliers identified must complete an RFI. Taking the information provided in completed RFIs, we are able to determine which suppliers should then receive a Conflict Minerals Reporting Template (CMRT) survey form to complete. Feedback from this exercise has allowed us to analyze and refine which suppliers require further analysis. Further, responses to initial RFIs have allowed us to further rationalize the suppliers that may use conflict minerals in their products and take a more targeted approach to define if any products contain minerals on a forward-looking basis.

All of our supply agreements require suppliers to provide information about sources of conflict minerals as well as smelters and refiners. These requirements set an expected level of reporting to facilitate engagement and the due diligence process.

Identification and Assessment of Risks

Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, we are unable to identify all parties that supply our direct suppliers. Accordingly, we participate in a number of industry-wide initiatives. We have identified 77 direct suppliers whose components may contain 3TG, and we rely on these suppliers to provide us with information about the source of minerals contained

 

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in the components supplied to us. In particular, we rely on these suppliers to provide us with information about the source of minerals contained in the components supplied to us. Our direct suppliers are similarly reliant upon information provided by their suppliers. Similar to Dana, many of these suppliers are also subject to Rule 13p-1 under the Securities Exchange Act of 1934.

Products

In determining which of our products might contain 3TG, all of our direct suppliers are given a commodity classification for the type of materials they supply to us and the suppliers for those commodities where included. Additionally, each supplier in Dana1Source is given a regulatory compliance checklist to complete. The results from this checklist enable us to determine which suppliers require further inquiry in addition to the commodity classification.

We cross-reference a list of parts from our International Material Data System (IMDS) database where suppliers identify the products containing 3TG. IMDS is the automobile industry’s material data system. In IMDS, all materials used for automobile manufacturing are collected, maintained, analyzed and archived. We sent an RFI to each of these suppliers even if 3TG had no product fit or function.

Suppliers with a prior RFI with no 3TG were excluded from the survey unless otherwise identified by the IMDS database or such a supplier provided a new product identified to contain 3TG.

Standard Operating Procedures

We have adopted comprehensive Standard Operating Procedures through which our conflict minerals program is implemented, managed, and monitored. Updates are provided regularly to senior management.

As described above, we participate in industry-wide initiatives to identify parties in the supply chain. In particular, we are a member and have been actively engaged with the Automotive Industry Action Group (AIAG).

As part of our risk management plan, to ensure suppliers understand our expectations, we have provided supplier training documents through Dana1Source. Dana1Source allows us, among other benefits, to conduct real-time communications with all our suppliers. Conflict minerals information has been incorporated into our supplier information scorecard that documents and retains supplier information used to prevent and reduce risk. RFIs were sent to 77 direct supplier locations.

As described in our conflict minerals policy, we engage any supplier whom we have reason to believe is supplying us with 3TG from sources that may support conflict in the DRC or any adjoining country to establish an alternative source of 3TG that does not support such conflict, as provided in the OECD guidance. We have found no instances where it was necessary to terminate a contract or find a replacement supplier.

 

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Independent Third Party Audit of Supply Chain Due Diligence at Smelters and Refiners

We do not typically have a direct relationship with 3TG smelters or refiners and do not perform or direct audits of these entities within our supply chain.

Due Diligence Results

Requested Information

As described above, we sent RFIs to applicable direct suppliers using the RFI template developed by the Electronic Industry Citizenship Coalition (EICC). The RFI was developed to facilitate disclosure and communication of information regarding smelters that provides material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of smelters Dana and its suppliers use. In addition, the RFI contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool is available on EICC’s website. The RFI is used by many companies in their conflict mineral due diligence processes.

During the reporting period, we sent RFIs to 77 suppliers. After reviewing the completed RFIs, we requested additional information from those suppliers where the nature of the component, or the location of the supplier, suggested that those components were likely to contain 3TG and the annual spend was greater than $100,000. This resulted in us requesting additional information from 41 of the 77 suppliers representing approximately 1.3% of our 2017 supplier shipping locations for direct components.

RFI Responses

We received responses from suppliers asked to complete the RFI and reviewed them to determine which suppliers required further engagement. The criteria used to determine whether to follow up with a supplier included untimely or incomplete responses as well as inconsistencies within data reported in the completed RFI we received. We worked directly with these suppliers to obtain revised responses.

Ten suppliers provided information at a part number level. A majority of responses we received provided data at a company or division level or, as described above, the supplier indicated it was unable to identify the smelters or refiners used in components its supplied. As a result, we are unable to determine whether any of the conflict minerals reported by suppliers were contained in components or parts supplied to us or to validate that any of these smelters or refiners are in our supply chain. Three supplier responses were from “off-shelf distributors,” and accordingly, these suppliers have no direct contact with their supply chain.

 

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Efforts to Determine Mine or Location of Origin

Through OECD and our RFI process, we have determined that seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of 3TG in our supply chain.

Smelters or Refiners

Based on the information we received during our due diligence process, we believe that the smelters and refiners listed in Annex I to this Conflicts Mineral Report may have been used to process 3TG in our products.

Future Due Diligence Measures

In the next compliance period, we intend to implement steps to improve the information gathered from our due diligence process. The steps include:

 

    Refine the number of suppliers that complete an RFI and determine the part number of the component that those suppliers provide to attain a part number level report.

 

    Engage with any supplier found to be supplying Dana with 3TG from sources that support conflict in the Covered Countries to establish an alternative source of 3TG that does not support such conflict.

 

    Work with the OECD and relevant trade associations to define and improve best practices as well as build leverage over our supply chain in accordance with the OECD Guidance to provide better reporting.

 

    Establish a Corporate Social Responsibility Scorecard to directly score suppliers based on their corporate and social responsibility, including conflict minerals.

 

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ANNEX I

SMELTERS AND REFINERS

 

Metal (*)

  

Smelter/Refiner Name (*)

  

Smelter/Refiner Country (*)

Gold    Abington Reldan Metals, LLC    UNITED STATES OF AMERICA
Gold    Acade Noble Metal (Zhao Yuan) Corporation    CHINA
Gold    Academy Precious Metals (China) Co.,Ltd    CHINA
Gold    Advanced Chemical Company    UNITED STATES OF AMERICA
Gold    Aida Chemical Industries Co., Ltd.    JAPAN
Gold    Al Etihad Gold LLC    UNITED ARAB EMIRATES
Gold    Allgemeine Gold- und Silberscheideanstalt A.G.    GERMANY
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    UNITED STATES OF AMERICA
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL
Gold    AngloGold Ashanti Córrego do Sítio Mineração    PERU
Gold    Argor-Heraeus S.A.    SWITZERLAND
Gold    Asahi Pretec Corp.    JAPAN
Gold    Asahi Refining Canada Ltd.    CANADA
Gold    Asahi Refining USA Inc.    UNITED STATES OF AMERICA
Gold    Asaka Riken Co Ltd    JAPAN
Gold    Asarco    UNITED STATES OF AMERICA
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY
Gold    AU Traders and Refiners    SOUTH AFRICA
Gold    AURA-II    UNITED STATES OF AMERICA
Gold    Aurubis AG    GERMANY
Gold    Baiyin Nonferrous Metals Corporation (BNMC)    CHINA
Gold    Bangalore Refinery    INDIA
Gold    Bangalore Refinery Pvt Ltd    INDIA
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES
Gold    Bangkok Assay    THAILAND
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 S.A.    SWITZERLAND
Gold    CHANGCHENG GOLD AND SILVER REFINERY CO., LTD.    CHINA
Gold    Chimet    ITALY
Gold    Chimet S.p.A.    CHINA
Gold    China Gold Deal Investment Co., Ltd.    CHINA
Gold    China National Gold Group Corporation    CHINA
Gold    Chugai Mining    JAPAN
Gold    Codelco - Ventanas Smelter & Refinery    CHILE
Gold    Colt Refining    UNITED STATES OF AMERICA
Gold    Cookson Sempsa    SPAIN
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF
Gold    DaeryongENC    KOREA, REPUBLIC OF
Gold    DAERYOUNG E&C    KOREA, REPUBLIC OF
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA
Gold    Degussa Sonne / Mond Goldhandel GmbH    GERMANY
Gold    DODUCO GmbH    GERMANY
Gold    Dongguan Cheng Xu Hardware Products Co., Ltd.    CHINA
Gold    Dongguanshi Sutande Dianzi Cailiao Youxiangongsi    CHINA
Gold    Dowa    JAPAN
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF
Gold    ECHEMEMI ENTERPRISE CORP.(FUTURES EXCHANGE)    CHINA
Gold    Eco-System Recycling Co., Ltd.    JAPAN
Gold    Ekaterinburg    RUSSIAN FEDERATION
Gold    Elemetal Refining, LLC    UNITED STATES OF AMERICA
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES
Gold    ESG Edelmetallservice GmbH & Co. KG    GERMANY
Gold    Ethiopian Minerals Development Share Company    ETHIOPIA
Gold    Faggi Enrico S.p.A.    ITALY
Gold    Fidelity Printers and Refiners Ltd.    ZIMBABWE

 

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Gold    Gansu Seemine Material Hi-Tech Co., Ltd.    CHINA
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA
Gold    Geib Refining Corporation    CHINA
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA
Gold    Guangdong Hua Jian Trade Co., Ltd.    CHINA
Gold    Guangdong Jinding Gold Limited    CHINA
Gold    GUANGDONG JINXIAN GAOXIN CAI LIAO GONG SI    CHINA
Gold    GuangZHou Jin Ding    CHINA
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA
Gold    Hang Seng Technology    CHINA
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA
Gold    Harima Smelter    JAPAN
Gold    HeeSung Metal Ltd.    KOREA, REPUBLIC OF
Gold    Heimerle + Meule GmbH    GERMANY
Gold    Henan Lingbao Gold Co., Ltd.    CHINA
Gold    Henan Province Sanmenxia City Gold Smelter    CHINA
Gold    Henan Yuguang Gold and Lead Co., Ltd    CHINA
Gold    Heraeus Hong Kong,Heraeus limited,Heraeus Technology Center    HONG KONG
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY
Gold    Heraeus Precious Metals North America    UNITED STATES OF AMERICA
Gold    Heraeus Zhaoyuan Precious Metal Materials Co.,Ltd.    China
Gold    HeTai Gold Mineral GuangDong Co., Ltd.    CHINA
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA
Gold    Hung Cheong Metal Manufacturing Limited    CHINA
Gold    HwaSeong CJ Co., Ltd.    KOREA, REPUBLIC OF
Gold    Hwasung CJ Co., Ltd.    CHINA
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN
Gold    Istanbul Gold Refinery    TURKEY
Gold    Italpreziosi    ITALY
Gold    Japan Mint    JAPAN
Gold    Jiangxi Copper Co., Ltd.    CHINA
Gold    Jin Jinyin Refining Co., Ltd.    CHINA
Gold    Jinlong Copper Co., Ltd.    CHINA
Gold    Johnson Matthey Inc    UNITED STATES OF AMERICA
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    CHINA
Gold    JSC Uralelectromed    CHINA
Gold    JX Nippon Mining & Metals Co., Ltd    JAPAN
Gold    JX Nippon Mining & Metals Co., Ltd.    CHINA
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 OF AMERICA
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND
Gold    KGHM Polska Miedź Spółka Akcyjna    UNITED STATES OF AMERICA
Gold    Kojima Chemicals Co. Ltd    JAPAN
Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF
Gold    Kosaka Seiren    JAPAN
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN
Gold    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION
Gold    L’ azurde    SAUDI ARABIA
Gold    Lingbao Gold Co., Ltd.    CHINA
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA
Gold    L’Orfebre S.A.    ANDORRA
Gold    LS-Nikko Copper Inc    KOREA, REPUBLIC OF
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA
Gold    Marsam Metals    BRAZIL
Gold    Materion    UNITED STATES OF AMERICA
Gold    Matsuda Sangyo Co. Ltd    JAPAN
Gold    Matsuda Sangyo Co., Ltd.    MALAYSIA
Gold    Metalor Technologies (Hong Kong) Ltd    HONG KONG
Gold    Metalor Technologies (Hong Kong) Ltd.    BELGIUM
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA
Gold    Metalor Technologies S.A.    SWITZERLAND

 

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Gold    Metalor USA Refining Corporation    UNITED STATES OF AMERICA
Gold    Metalúrgica Met-Mex Peñoles S.A. De C.V.    MEXICO
Gold    Mining & Chemical Products Ltd.    UNITED KINGDOM
Gold    Mitsubishi Materials Corporation    BRAZIL
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    Morris and Watson Gold Coast    AUSTRALIA
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    ESTONIA
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN
Gold    Nihon Material Co. LTD    JAPAN
Gold    Ningbo Kangqiang    CHINA
Gold    Nohon Material Corporation    JAPAN
Gold    Novosibirsk    RUSSIAN FEDERATION
Gold    Nyrstar Metals    UNITED STATES OF AMERICA
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    VIET NAM
Gold    Ohura Precious Metal Industry Co., Ltd.    THAILAND
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION
Gold    OJSC Kolyma Refinery    RUSSIAN FEDERATION
Gold    OJSC Novosibirsk Refinery    POLAND
Gold    PAMP S.A.    SWITZERLAND
Gold    Pease & Curren    UNITED STATES OF AMERICA
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA
Gold    Planta Recuperadora de Metales SpA    CHILE
Gold    Precious Metals Sales Corp.    UNITED STATES OF AMERICA
Gold    Prioksky    RUSSIAN FEDERATION
Gold    Prioksky Plant of Non-Ferrous Metals    AUSTRIA
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA
Gold    PX Precinox S.A.    SWITZERLAND
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA
Gold    Remondis Argentia B.V.    NETHERLANDS
Gold    Republic Metals Corporation    UNITED STATES OF AMERICA
Gold    Royal Canadian Mint    CANADA
Gold    SAAMP    FRANCE
Gold    Sabin Metal Corp.    CHINA
Gold    Safimet S.p.A    ITALY
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 Joyeria Plateria S.A.    SPAIN
Gold    Shan Dong Huangjin    CHINA
Gold    Shandon Jin Jinyin Refining Limited    CHINA
Gold    Shandong GUODA gold CO.,LTD.    CHINA
Gold    Shandong Hengbang Smelter Co., Ltd.    CHINA
Gold    Shandong Humon Smelting Co., Ltd.    CHINA
Gold    Shandong penglai gold smelter    CHINA
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    Shenzhen Heng Zhong Industry Co., Ltd.    CHINA
Gold    Shenzhen Zhonghenglong Real Industry Co., Ltd.    CHINA
Gold    Shyolkovsky    RUSSIAN FEDERATION
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA
Gold    Singway Technology Co., Ltd.    CHINA
Gold    SINO-PLATINUM METALS Co., Ltd.    CHINA
Gold    So Accurate Group, Inc.    UNITED STATES OF AMERICA
Gold    Solar Applied Materials Technology Corp.    TAIWAN
Gold    Sudan Gold Refinery    SUDAN

 

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Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN
Gold    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF
Gold    Super Dragon Technology Co., Ltd.    CHINA
Gold    Suzhou Xingrui Noble    CHINA
Gold    T.C.A S.p.A    RUSSIAN FEDERATION
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN
Gold    The Hutti Gold Mines Co Ltd    INDIA
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA
Gold    Tokuriki Honten Co., Ltd    Japan
Gold    Tokuriki Honten Co., Ltd.    VIET NAM
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA
Gold    Tony Goetz NV    BELGIUM
Gold    TOO Tau-Ken-Altyn    KAZAKHSTAN
Gold    Torecom    THAILAND
Gold    Umicore Brasil Ltda    BRAZIL
Gold    Umicore Brasil Ltda.    UNITED STATES OF AMERICA
Gold    Umicore Precious Metals Thailand    KAZAKHSTAN
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM
Gold    United Precious Metal Refining Inc.    UNITED STATES OF AMERICA
Gold    Universal Precious Metals Refining Zambia    ZAMBIA
Gold    Valcambi S.A.    SWITZERLAND
Gold    Western Australian Mint trading as The Perth Mint    AUSTRALIA
Gold    WIELAND Edelmetalle GmbH    AUSTRIA
Gold    Wuzhong Group    CHINA
Gold    YAMAKIN CO., LTD.    JAPAN
Gold    Yamamoto Precious Metal Co., Ltd.    CHINA
Gold    Yantai Guodasafina High-Tech Environmental Refinery Co. Ltd.    CHINA
Gold    Yantai Zhaojin Precious Metals Co., Ltd.    CHINA
Gold    Yokohama Metal Co Ltd    JAPAN
Gold    Yokohama Metal Co., Ltd.    CHINA
Gold    Yunnan Copper Industry Co., Ltd.    CHINA
Gold    Yunnan Gold Mining Group Co., Ltd.    CHINA
Gold    Zhaojin Gold & Silver Refinery Co.    CHINA
Gold    Zhe Jiang Guang Yuan Noble Metal Smelting Factory    CHINA
Gold    Zhongkuang Gold Industry Co., Ltd.    CHINA
Gold    Zhongshan Hyper-Toxic Substance Monopolized Co., Ltd.    CHINA
Gold    Zhongshan Poison Material Proprietary Co., Ltd.    CHINA
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA
Gold    Zhuhai toxic materials Monopoly Ltd.    CHINA
Gold    Zhuzhou Smelting Group Co., Ltd.    CHINA
Gold    Zijin Mining Group Co., Ltd. Gold Refinery    CHINA
Tantalum    Advanced Metallurgical Group N.V. (AMG)    UNITED STATES OF AMERICA
Tantalum    ANHUI HERRMAN IMPEX CO.    CHINA
Tantalum    Asaka Riken Co., Ltd.    JAPAN
Tantalum    Avon Specialty Metals Ltd    UNITED KINGDOM
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA
Tantalum    Conghua Tantalum and Niobium Smeltry    CHINA
Tantalum    D Block Metals, LLC    INDONESIA
Tantalum    Duoluoshan    CHINA
Tantalum    E.S.R. Electronics    UNITED STATES OF AMERICA
Tantalum    Exotech Inc.    UNITED STATES OF AMERICA
Tantalum    F&X Electro-Materials Ltd.    CHINA
Tantalum    FIR Metals & Resource Ltd.    GERMANY
Tantalum    Global Advanced Metals Aizu    CHINA
Tantalum    Global Advanced Metals Boyertown    CHINA
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    UNITED STATES OF AMERICA
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 Hermsdorf GmbH    GERMANY
Tantalum    H.C. Starck Inc.    UNITED STATES OF AMERICA
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA
Tantalum    Heraeus Hanau    DENMARK
Tantalum    Hi-Temp Specialty Metals, Inc.    UNITED STATES OF AMERICA
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA
Tantalum    Jiangxi Tuohong New Raw Material    CHINA

 

10


Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA
Tantalum    King-Tan Tantalum Industry Ltd.    UNITED STATES OF AMERICA
Tantalum    LSM Brasil S.A.    BRAZIL
Tantalum    Mitsui Mining & Smelting    JAPAN
Tantalum    Nantong Tongjie Electrical Co., Ltd.    CHINA
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA
Tantalum    Plansee SE Liezen    AUSTRIA
Tantalum    Plansee SE Reutte    AUSTRIA
Tantalum    Power Resources Ltd.    MACEDONIA, REPUBLIC OF
Tantalum    QuantumClean    INDONESIA
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL
Tantalum    Shanghai Jiangxi Metals Co. Ltd    CHINA
Tantalum    Taki Chemical Co., Ltd.    JAPAN
Tantalum    Taki Chemicals    CHINA
Tantalum    Tantalite Tantalite Resources (Pty) Ltd.    SOUTH AFRICA
Tantalum    Telex Metals    UNITED STATES OF AMERICA
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CHINA
Tantalum    Zhuzhou Cemented Carbide    CHINA
Tantalum    Zhuzhou Decheng Non Ferrous Metals Industies Co., Ltd.    CHINA
Tin    Amalgamated Metal Corp PLC    PERU
Tin    Ampere Polska Sp. z o.o. (trader)    GERMANY
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM
Tin    An Xin Xuan Xin Yue You Se Jin Shu Co. Ltd.    CHINA
Tin    Arco Alloys    UNITED STATES OF AMERICA
Tin    Astic (Nippon Tanshi)    JAPAN
Tin    ASUKA Industries Inc.    JAPAN
Tin    Bangka    INDONESIA
Tin    CFC Cooperativa dos Fundidores de Cassiterita da Amazônia Ltda.    BRAZIL
Tin    China Rare Metal Materials Company    CHINA
Tin    China Tin Group Co., Ltd.    CHINA
Tin    Chofu Works    JAPAN
Tin    CNMC (Guangxi) PGMA Co., Ltd.    CHINA
Tin    Cooérativa Produtores de Cassiterita    BRAZIL
Tin    Cookson Alpha Metals(Shenzhen)Co.Ltd    China
Tin    Cooper Santa    BRAZIL
Tin    COOPERMETAL - Cooperativa Metalúrgica de Rondônia Ltda.    BRAZIL
Tin    CV Ayi Jaya    BOLIVIA
Tin    CV DS Jaya Abadi PT    INDONESIA
Tin    CV Dua Sekawan    INDONESIA
Tin    CV Duta Putra Bangka    INDONESIA
Tin    CV Gita Pesona    INDONESIA
Tin    CV JusTindo    INDONESIA
Tin    CV Makmur Jaya    INDONESIA
Tin    CV Nurjanah    INDONESIA
Tin    CV Prima Timah Utama    INDONESIA
Tin    CV Serumpun Sebalai    INDONESIA
Tin    CV United Smelting    INDONESIA
Tin    Da Nang Processing Import and Export Joint Stock    VIET NAM
Tin    Dae Kil Metal Co., Ltd    CHINA
Tin    Dongguan City Xida Soldering Tin Products Co.    CHINA
Tin    Dongguan lason metel materials co,.ltd    CHINA
Tin    EM Vinto    CHINA
Tin    Empresa Metalúrgica Vinto (Government, 100%)    BOLIVIA
Tin    Eximetal S.A.    ARGENTINA
Tin    Feinhütte Halsbrücke GmbH    GERMANY
Tin    First copper Technology Co. Ltd.    TAIWAN
Tin    Fuji Metal Mining Corp.    JAPAN
Tin    GE JIU CITY DATUN CHENGFENG SMELTER    CHINA
Tin    Gejiu Fengming Metallurgy Chemical Plant    CHINA
Tin    Gejiu Jinye Mineral Company    CHINA
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA
Tin    Gejiu Yunxi Group Corp.    CHINA
Tin    Gejiu Zi-Li    CHINA

 

11


Tin    Gold Bell Group    SINGAPORE
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA
Tin    Guangxi Nonferrous Metals Group    CHINA
Tin    Guangxi Zhongshan Gold Bell Smelting Corp.Ltd    CHINA
Tin    Guangxi Zhongshan Jin Yi Smelting Co., Ltd.    CHINA
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA
Tin    Hayes Metals    NEW ZEALAND
Tin    Hongqiao Metals (Kunshan) Co., Ltd.    CHINA
Tin    Huaxi Guangxi Group    CHINA
Tin    Huichang Jinshunda Tin Co. Ltd    CHINA
Tin    Hulterworth Smelter    JAPAN
Tin    Imperial Zinc    UNITED STATES OF AMERICA
Tin    Indonesian State Tin Corporation Mentok Smelter    INDONESIA
Tin    Jean Goldschmidt International    BELGIUM
Tin    Jiangxi Nanshan    CHINA
Tin    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA
Tin    Ju Tai Industrial Co., Ltd.    CHINA
Tin    Kaimeng(Gejiu) Industry and Trade Co., Ltd.    CHINA
Tin    KOVOHUTĚ PŘÍBRAM NÁSTUPNICKÁ, A.S.    CZECH REPUBLIC
Tin    Kupol    RUSSIAN FEDERATION
Tin    Linwu Xianggui Ore Smelting Co., Ltd.    CHINA
Tin    Liuzhou China Tin    CHINA
Tin    Materials Eco-Refining CO,.LTD    JAPAN
Tin    MCP Mining & Chemical Products Ltd UK    UNITED KINGDOM
Tin    Melt Metais e Ligas S.A.    BRAZIL
Tin    Metahub Industries Sdn. Bhd.    MALAYSIA
Tin    Metallic Resources, Inc.    UNITED STATES OF AMERICA
Tin    Metallo Chimique    BELGIUM
Tin    Minchali Metal Industry Co., Ltd.    TAIWAN
Tin    Mineracao Taboca S.A.    BRAZIL
Tin    Ming Li Jia smelt Metal Factory    CHINA
Tin    Minmetals Ganzhou Tin Co. Ltd.    CHINA
Tin    Ney Metals and Alloys    INDONESIA
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES
Tin    OMODEO A. E S. METALLEGHE SRL    ITALY
Tin    OMSA    BOLIVIA
Tin    Pan Light Corporation    TAIWAN
Tin    PT Artha Cipta Langgeng    INDONESIA
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA
Tin    PT Babel Inti Perkasa    INDONESIA
Tin    PT Bangka Prima Tin    INDONESIA
Tin    PT Bangka Tin Industry    INDONESIA
Tin    PT Belitung Industri Sejahtera    INDONESIA
Tin    PT Bukit Timah    INDONESIA
Tin    PT Cipta Persada Mulia    INDONESIA
Tin    PT DS Jaya Abadi    INDONESIA
Tin    PT Eunindo Usaha Mandiri    INDONESIA
Tin    PT Inti Stania Prima    INDONESIA
Tin    PT Karimun Mining    INDONESIA
Tin    PT Kijang Jaya Mandiri    INDONESIA
Tin    PT Lautan Harmonis Sejahtera    INDONESIA
Tin    PT Menara Cipta Mulia    INDONESIA
Tin    PT Mitra Stania Prima    INDONESIA
Tin    PT O.M. Indonesia    INDONESIA
Tin    PT Panca Mega Persada    INDONESIA
Tin    PT Sariwiguna Binasentosa    INDONESIA
Tin    PT Seirama Tin Investment    INDONESIA
Tin    PT Stanindo Inti Perkasa    INDONESIA
Tin    PT Sukses Inti Makmur    INDONESIA
Tin    PT Sumber Jaya Indah    INDONESIA
Tin    PT Timah    INDONESIA
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA
Tin    PT Tinindo Inter Nusa    INDONESIA
Tin    Pure Technology    RUSSIAN FEDERATION
Tin    Samhwa non-ferrorus Metal ind.co.ltd    KOREA, REPUBLIC OF

 

12


Tin    Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co. Ltd.    CHINA
Tin    Shenzhen Hong Chang Metal Manufacturing Factory    CHINA
Tin    Sichuan Guanghan Jiangnan casting smelters    CHINA
Tin    SIGMA TIN ALLOY CO., LTD.    CHINA
Tin    Singapore Asahi Chemical & Solder Industries    Singapore
Tin    Sizer Metals PTE    SINGAPORE
Tin    Soft Metais Ltda.    BRAZIL
Tin    Solder Court Ltd.    CHINA
Tin    Spectro Alloys Corp.    UNITED STATES OF AMERICA
Tin    Stretti    MALAYSIA
Tin    Süddeutsche Metallhandels-gesellschaft mbH    GERMANY
Tin    Sundwiger Messingwerk GmbH & Co.KG    Germany
Tin    Super Ligas    BRAZIL
Tin    SUZHOU NUONENGDA CHEMICAL Co., Ltd.    CHINA
Tin    Taicang City Nancang Metal Material Co., Ltd.    CHINA
Tin    Taiwan high-tech Co., Ltd.    TAIWAN
Tin    Taiwan Huanliang    INDONESIA
Tin    Taiwan’s lofty Enterprises Ltd.    TAIWAN
Tin    Tamura    JAPAN
Tin    Thailand Mine Factory    THAILAND
Tin    Thailand Smelting & Refining Co Ltd    Thailand
Tin    Three green surface technology limited company    CHINA
Tin    Tianshui ling bo technology co., Ltd.    CHINA
Tin    Timah Indonesian State Tin Corporation    INDONESIA
Tin    Tin Plating Gejiu    CHINA
Tin    Top-Team Technology (Shenzhen) Ltd.    CHINA
Tin    Traxys    FRANCE
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM
Tin    UNIFORCE METAL INDUSTRIAL CORP.    TAIWAN
Tin    Untracore Co., Ltd.    THAILAND
Tin    VQB Mineral and Trading Group JSC    VIET NAM
Tin    WELLEY    TAIWAN
Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL
Tin    Wu Xi Shi Yi Zheng Ji Xie She Bei Company    CHINA
Tin    Wujiang City luxe Tin Factory    CHINA
Tin    Xianghualing Tin Industry Co., Ltd.    CHINA
Tin    Xin Furukawa Metal ( Wuxi ) Co., Ltd.    CHINA
Tin    XURI    CHINA
Tin    Yao Zhang    CHINA
Tin    Yifeng Tin Industry (Chenzhou) Co Ltd    China
Tin    Yiquan Manufacturing    CHINA
Tin    Yuecheng Tin Co., Ltd.    CHINA
Tin    Yunnan Chengo Electric Smelting Plant    CHINA
Tin    Yunnan Geiju Zili Metallurgy Co. Ltd.    CHINA
Tin    Yunnan Gejiu Jinye Minerals    CHINA
Tin    Yunnan Industrial Co., Ltd.    CHINA
Tin    Zhejiang Huangyan Xinqian Electrical Parts Factory    CHINA
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN
Tungsten    Alldyne Powder Technologies    UNITED STATES OF AMERICA
Tungsten    Alluter Technology (Shenzhen) Co., Ltd    CHINA
Tungsten    Alta Group    UNITED STATES OF AMERICA
Tungsten    Altlantic Metals    UNITED STATES OF AMERICA
Tungsten    Asha Enterprise    INDIA
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM
Tungsten    ATI Metalworking Products    UNITED STATES OF AMERICA
Tungsten    Chunbao Carbide Science & Technology Co., Ltd.    TAIWAN
Tungsten    DAIDO STEEL    JAPAN
Tungsten    Dayu Jincheng Tungsten Industry Co., Ltd.    CHINA
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA
Tungsten    Ganxian Shirui New Material Co., Ltd.    CHINA
Tungsten    Ganzhou BESEEM Ferrotungsten Co. Ltd.    CHINA
Tungsten    Ganzhou Beseem Ferrotungsten Co., Ltd.    CHINA
Tungsten    Ganzhou Grand Sea W & Mo Group Co Ltd    CHINA
Tungsten    Ganzhou Haichuang Tungsten Industry Co., Ltd.    CHINA
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA

 

13


Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CHINA
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    CHINA
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 Rare Earth & Rare Metals Tungsten Group Corp    CHINA
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA
Tungsten    Kanto Denka Kogyo Co., Ltd.    JAPAN
Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA
Tungsten    Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd    CHINA
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA
Tungsten    Moliren Ltd    RUSSIAN FEDERATION
Tungsten    Nanchang Cemented Carbide Limited Liability Company    CHINA
Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA
Tungsten    NingHua XingLuoKeng TungSten Mining CO.,LID    CHINA
Tungsten    Plansee    UNITED STATES OF AMERICA
Tungsten    Pobedit, JSC    RUSSIAN FEDERATION
Tungsten    TeaguTec    KOREA, REPUBLIC OF
Tungsten    Toshiba Material Co., Ltd.    CHINA
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    VIET NAM
Tungsten    Wolfram Company CJSC    RUSSIAN FEDERATION
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF
Tungsten    Xiamen Honglu Tungsten Molybdenum Industry Co., Ltd.    CHINA
Tungsten    Zhangzhou Chuen Bao Apt Smeltery Co., Ltd.    CHINA

 

14