UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
SOTERA HEALTH COMPANY
(Exact name of registrant as specified in its charter)
| Delaware | 001-39729 | 47-3531161 | ||||||
(State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||||||
9100 South Hills Blvd., Suite 300
Broadview Heights, Ohio 44147
(Address of principal executive offices)
Alexander Dimitrief
Senior Vice President, General Counsel and Secretary
Registrant’s telephone number, including area code: (440) 262-1410
(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, 2023. | ||||
| o | Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the reporting period from January 1 to December 31, 2023. | ||||
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
Sotera Health Company is filing this Form SD pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1 through December 31, 2023.
We have evaluated our current product lines and determined that certain products we manufacture or contract to manufacture may contain tin, tungsten, tantalum and/or gold.
The brief description of our reasonable country of origin inquiry (“RCOI”) process, the results of our inquiry, and the determination we reached as a result of our RCOI process are included in our Conflict Minerals Report. A copy of our Conflict Minerals Report is filed as Exhibit 1.01 to this Form SD and is publicly available at: https://www.investors.soterahealth.com/sec-filings. The content on or connected to the website referred to in this Form SD is not incorporated by reference in this Form SD (other than the Conflict Minerals Report, which is incorporated herein by reference).
Item 1.02 Exhibit
A copy of the Company’s Conflict Minerals Report as required by Item 1.01 is filed as Exhibit 1.01 hereto.
Section 2 – Resource Extraction Issuer Disclosure
Item 2.01 Resource Extraction Issuer Disclosure and Report
Not Applicable
Section 3 – Exhibits
Item 3.01 Exhibits
The following exhibit is filed as part of this report.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
| Sotera Health Company | ||||||||||||||
| By: | /s/ Alexander Dimitrief | May 31, 2024 | ||||||||||||
| Alexander Dimitrief | ||||||||||||||
| Senior Vice President, General Counsel and Secretary | ||||||||||||||
Exhibit 1.01
Sotera Health Company
Conflict Minerals Report for the Reporting Period from January 1, 2023 to December 31, 2023
Introduction
This Conflict Minerals Report (“Report”) is filed by Sotera Health Company (“Sotera Health”) for the reporting period from January 1, 2023 to December 31, 2023 (the “Reporting Period”) as Exhibit 1.01 to Sotera Health’s Form SD pursuant to the requirements of Rule 13p-1 of the Securities Exchange Act of 1934, as amended (the “Rule”), which was promulgated pursuant to the requirements of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
The Rule requires the annual filing with the Securities and Exchange Commission (“SEC”) of a Form SD, together with this Report (if relevant) as an Exhibit to Form SD, regarding the sourcing of those Conflict Minerals (as defined below) contained in the products that Sotera Health and its subsidiaries (collectively, the “Company”, “us” or “we”) manufacture or contract to manufacture if the Conflict Minerals are necessary to the production or functionality of such products. Conflict minerals are defined as gold, columbite-tantalite (coltan), cassiterite, and wolframite, or their derivatives, which are currently limited to tin, tantalum and tungsten (“3TG” or “Conflict Minerals”). The “Covered Countries” for purposes of the Rule and this Report are the Democratic Republic of the Congo and its adjoining countries (Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia).
This Report has not been audited, nor is an independent private sector audit required for this Report under the Rule, the SEC partial stay of the Rule, or existing SEC guidance. The content on or connected to any website referred to in this Report is not incorporated by reference in this Report.
Overview
Sotera Health is a leading global provider of mission-critical end-to-end sterilization solutions and lab testing and advisory services for the healthcare industry. The Company goes to market through its three businesses -- Sterigenics, Nordion, and Nelson Labs. We determined that certain Nordion products are the only products of the Company that may contain 3TGs given that Sterigenics and Nelson Labs are service-only businesses.
Nordion is the leading global provider of Cobalt-60 (“Co-60”) used in the sterilization and irradiation processes for the medical device, pharmaceutical, food safety, and high-performance materials industries, as well as in the treatment of cancer. Co-60 is a radioactive isotope that emits gamma radiation that sterilizes items by reducing or eliminating contaminating micro-organisms. In addition to selling Co-60 sources for sterilization purposes, Nordion also sells high specific activity Co-60 for health applications including uses in stereotactic radiosurgery as a radiation source for oncology applications.
Nordion provides our customers with high quality, reliable, safe and secure Co-60 source supply and services at each stage of the source’s life cycle. It also provides regulatory and technical service expertise to enhance the efficacy and safety of gamma processing operations.
Nordion also designs, manufactures, installs and maintains gamma irradiation systems, which include radiation shielding, and a series of conveyors and control systems that are designed to expose products to the correct gamma radiation dosage in a safe and efficient manner.
We analyzed the products we manufacture or contract to manufacture and have determined that Nordion’s gamma irradiation systems and their respective components and/or spare or replacement parts may contain one or more 3TGs.
Supply Chain
The Company expects that our suppliers will act in accordance with Sotera Health’s Conflict Minerals Policy and Supplier Code of Business Ethics and Conduct, each of which may be found at https://www.soterahealth.com/responsibility and https://investors.soterahealth.com/governance/governance-overview, respectively. Nordion manufactures its products from parts, components, and raw materials purchased from third-party suppliers. These direct suppliers are primarily located in North America. Nordion’s supply chain is large and complex, consisting of numerous direct suppliers, and these suppliers in turn often have many sub-suppliers. We do not have direct relationships with, and do not purchase any Conflict Minerals from, mines, smelters or refiners. We rely on our direct suppliers to provide information about the origin of any Conflict Minerals contained in the parts, components and materials supplied to us, including the origin of any Conflict Minerals supplied to them from their suppliers and sub-suppliers.
Reasonable Country of Origin Inquiry
We conducted in good faith a reasonable country of origin inquiry (“RCOI”). Our RCOI was reasonably designed to determine whether any of the necessary Conflict Minerals in our products originated in a Covered Country or came from recycled or scrap sources. Our RCOI process began by using Nordion purchasing data to determine products we manufactured or contracted with others to manufacture during the Reporting Period. This analysis resulted in an in-scope list of suppliers that we determined potentially supplied us with products or materials containing 3TG (our “in-scope suppliers”).
We engaged Assent Compliance, an experienced third-party advisor (“Advisor”), to assist with our RCOI, supplier engagement, and due diligence. We sent each of our in-scope suppliers an introductory communication describing our Conflict Minerals compliance program requirements and introducing them to our Advisor. Our Advisor then engaged with those in-scope suppliers and asked them to provide and/or update their RCOI information. We used the Conflict Minerals Reporting Template (“CMRT”) developed by the Responsible Minerals Initiative (“RMI”) (Revision 6.31) to conduct a survey of all our in-scope suppliers.
Our Advisor requested our suppliers complete the CMRT and offered suppliers online educational materials intended to guide them on best practices related to use of the CMRT. All submitted forms were accepted and classified as valid or invalid. We continued to engage with our suppliers throughout the RCOI process, including by providing suppliers feedback on any named smelters and refiners, reminders to any non-responsive suppliers, and detailed reasoning and recommendations for those whose data did not meet our Advisor’s validity-check expectations. As necessary, our Advisor and/or representatives of Nordion followed-up with suppliers about Nordion’s CMRT request. To determine the country of origin of 3TGs with the greatest possible specificity, our Advisor compared data obtained from our suppliers’ responses to data collected and verified by third parties, including information in our Advisor’s database. In all, 69 percent of our in-scope suppliers responded to our request for information and responding in-scope suppliers represented 88 percent of our in-scope products.
In the CMRTs provided to us, our suppliers identified 344 verified smelters and refiners. Based on the information available to us through our Advisor, 77 of those smelters and refiners were reported to have some sourcing from Covered Countries. During the course of our RCOI process, we were not able to confirm the country of origin for 100 percent of 3TGs that may be contained in the materials or products we purchased from our suppliers or to determine whether those 3TGs were from recycled or scrap sources. Therefore, we have concluded that some of our products manufactured during the Reporting Period may contain necessary 3TGs that may have originated in the Covered Countries or may not be from recycled or scrap sources. Accordingly, we performed due diligence to determine the source and chain of custody of these necessary 3TGs.
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Due Diligence
Design of Due Diligence Measures
The Company’s due diligence measures were designed to conform in all material respects with the due diligence framework in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict–Affected and High-Risk Areas, and the related supplements for tin, tantalum, tungsten and for gold, Third Edition, 2016 (“OECD Guidance”).
Due Diligence Measures Performed
Due diligence measures performed for the Reporting Period consisted of the following:
1. OECD Step #1: Establish and Maintain Strong Company Management Systems. The Company has established a cross-functional conflict minerals compliance team led by the purchasing group (the “Compliance Team”) to lead and oversee our Conflict Minerals compliance program. The Compliance Team reviews and analyzes information about our products and supply chains to determine which product components and materials might be reasonably likely to contain necessary 3TGs.
The Company will retain supplier responses and other communications and information relating to Conflict Minerals in electronic form for at least 5 years.
Based on our engagement with suppliers, we believe many of our direct suppliers may have limited experience providing CMRT responses to their customers and may be unfamiliar with the conflict minerals due diligence process. During 2023, we continued to emphasize supplier education related to sourcing and the origin of Conflict Minerals, including by making available access to our Advisor’s Help Center which helped increase our response rate from the response rate we reported for calendar year 2022.
The Company’s existing global ethics helpline, the Sotera Health Ethics Line, has been designated as a grievance mechanism whereby interested parties can report concerns or ask questions about our supply chain or Conflict Minerals Policy. Reports may be made online at https://www.soterahealth.ethicspoint.com or via telephone at 1-888-288-1841 in the United States. Information on how to make a report via telephone from outside of the United States is available at https://www.soterahealth.ethicspoint.com.
2. OECD Step #2: Identify and Assess Supply Chain Risk. Our Advisor reviewed all responses received from our in-scope suppliers and followed-up with them regarding incomplete responses and responses that appeared to contain inaccuracies. Our Advisor reviewed the lists of smelters and refiners provided by our suppliers and validated and cross-referenced such smelter and refiner information against information available through the RMI website. Our Advisor further analyzed the aggregate results of this review and provided us with their analysis. We provided information to our direct suppliers about their identified smelters and refiners, including whether or not they had been audited and had a status of “conformant” with the Responsible Minerals Assurance Process (“RMAP”) or by RMAP-recognized programs (including the London Bullion Market Association Responsible Gold Guidance and the Responsible Jewelry Council).
3. OECD Step #3: Design and Implement a Strategy to Respond to Identified Risks. Our Compliance Team periodically briefed Nordion senior management and Sotera Health General Counsel about the Company’s Conflict Minerals due diligence and compliance activities and the results of our due diligence measures. Also as noted above, we followed-up with non-responding suppliers and suppliers who provided incomplete responses or responses we believed to be inaccurate. We provided information to certain suppliers about the Rule and explained the goals and objectives of RMI.
Suppliers who disclosed a smelter or refiner that we determined was “high-risk” for Conflict Minerals issues were flagged following completion of the CMRT campaign. When our supplier responses included any of these high-risk facilities, our Advisor instructed that supplier to take certain risk mitigation actions, from providing additional,
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product specific information relevant to the Company via additional due diligence, escalating up to removal of these high-risk smelters from its supply chain. Based on instructions from Sotera Health, our Advisor has provided these suppliers with FAQ’s about Conflict Minerals compliance and clear performance objectives to be accomplished within reasonable timeframes with the ultimate goal of progressive elimination of these high risk smelters and refiners from their supply chain. Our Advisor also requested that these high-risk smelters engage with the Responsible Minerals Audit Process and become conformant with the conflict-free assessment protocol.
Any grievances reported to the Sotera Health Ethics Line with respect to Conflict Minerals will be investigated and reported to the Audit Committee of the Sotera Health Board of Directors.
To enhance the quality of our relationships within our supply chains, we aim to establish long-term relationships with our suppliers. Our standard terms and conditions contain provisions that require contract counterparties to provide responses to our inquiries about the sourcing of products containing Conflict Minerals.
4. OECD Step #4: Carry Out Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices. Because we do not have direct relationships with smelters or refiners of Conflict Minerals, we do not carry out audits of smelters or refiners identified by our suppliers as being in their supply chains. However, we are supportive of the audits conducted by third parties as a part of the RMI process.
5. OECD Step #5: Report Annually on Supply Chain Due Diligence. We are making our Form SD and this Conflict Minerals Report publicly available on our website at https://investors.soterahealth.com/sec-filings, and we intend to report on our Conflict Minerals due diligence annually.
Results of Due Diligence
Suppliers provided us with names of smelters and refiners that may have processed the necessary 3TGs in their supply chains. Based on the information available to us on RMI’s website and our Advisor’s database, as of May 9, 2024, our Advisor identified a total of 344 smelters and refiners. Of those 344, 222 (or 65 percent) of the smelters and refiners identified by our in-scope suppliers for calendar year 2023 were designated by RMI as conformant; 4 (or 1 percent) were designated by RMI as active; and 29 (or 8 percent) were designated by RMI as non-conformant. The remaining 89 (or 26 percent) of the smelters and refiners identified by our in-scope suppliers were designated by our Advisor as “not enrolled” in the RMI process. Based on responses provided by our suppliers as reviewed against our Advisor’s database, as of May 9, 2024, we have concluded that some of the 3TG contained in our products may have originated in certain of the countries listed in Appendix B.
1. Facilities Used to Process Necessary Conflict Minerals. As a result of our due diligence, we obtained information from approximately 69 percent of our in-scope suppliers about the smelters and refiners that processed the necessary Conflict Minerals in their supply chains. We reviewed our suppliers’ responses and compared the names of the smelters and refiners they disclosed to the information included on the RMI website and in our Advisor’s database. Because most of our suppliers provided Company-level CMRTs, we were unable to determine whether any particular smelters or refiners named in their responses actually processed the necessary 3TGs in our products. However, based on our review of our suppliers’ CMRT responses, the facilities that may have been used to process the 3TGs contained in our products include, but may not be limited to, the smelters and refiners listed in Appendix A. Because most of our suppliers provided Company-level CMRTs, we have not determined which of these smelters and refiners processed the 3TG in our products.
Our supplier responses included conformant, active, and non-conformant smelters and refiners and others that were unknown or that were not participating in the RMAP process. Only the conformant, active, and non-conformant smelters and refiners have been listed in Appendix A.
2. Countries of Origin of Our Necessary Conflict Minerals. Our Advisor reviewed the lists of smelters and refiners provided by our direct suppliers and validated and cross-referenced that information against our Advisor’s database. Based on this information, as of May 9, 2024, the possible countries of origin of the necessary Conflict Minerals in our products include, but may not be limited to, those countries listed in Appendix B.
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3. Efforts to Determine Mine or Location of Origin. To identify the specific mines or locations of origin of our necessary Conflict Minerals, it was determined that the most reasonable course of action was to seek information from our direct suppliers, and request they seek information from their respective suppliers, about the smelters and refiners and countries of origin of the necessary Conflict Minerals in our supply chain. As noted above, upon receipt of supplier-provided data, we worked with our Advisor to determine the possible countries of origin by cross-referencing suppliers’ CMRT data against both RMI’s list of recognized conformant smelters and refiners, and our Advisor’s database.
Steps Taken and Being Taken to Mitigate Risk and Improve Due Diligence
During the reporting year 2024, Sotera Health has taken or expects to take the following steps to continuously improve our due diligence and supplier engagement:
•Continue engagement with relevant suppliers, including by providing additional background and educational information with respect to the RMI process.
•Focus on suppliers who did not provide a CMRT response for 2023 with the goal of increasing the overall response rate for calendar year 2024.
•Continue to encourage suppliers to establish and conduct their own due diligence regarding countries of origin and smelter and refiners of 3TG in their supply chains.
Cautionary Note Regarding Forward-Looking Statements
This Report, including the section “Steps Taken and Being Taken to Mitigate Risk and Improve Due Diligence”, contains forward-looking statements that reflect management’s expectations about future events and the Company’s operating plans and performance and speak only as of the date hereof. These forward-looking statements are subject to various risks and uncertainties. For information on certain factors that could cause actual events or results to differ materially from our expectations, please refer to the Company’s filings with the SEC, such as its annual and quarterly reports. Sotera Health undertakes no obligation to publicly update or revise these forward-looking statements, except as otherwise required by law.
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APPENDIX A
Based on our review of our suppliers’ CMRT responses, the facilities that may have been used to process the 3TGs contained in our products include, but may not be limited to, the smelters and refiners listed below. We have listed all confirmed smelters and refiners provided by our suppliers, but given the nature of our suppliers’ CMRT responses, we have not determined which of these smelters and refiners processed the 3TG in our products.
| Metal | Smelter Name | Smelter ID | ||||||
| Gold | Advanced Chemical Company | CID000015 | ||||||
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 | ||||||
| Gold | Agosi AG | CID000035 | ||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | ||||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | CID000058 | ||||||
| Gold | Argor-Heraeus S.A. | CID000077 | ||||||
| Gold | Asahi Pretec Corp. | CID000082 | ||||||
| Gold | Asaka Riken Co., Ltd. | CID000090 | ||||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 | ||||||
| Gold | Aurubis AG | CID000113 | ||||||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | ||||||
| Gold | Boliden AB | CID000157 | ||||||
| Gold | C. Hafner GmbH + Co. KG | CID000176 | ||||||
| Gold | Caridad | CID000180 | ||||||
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | ||||||
| Gold | Cendres + Metaux S.A. | CID000189 | ||||||
| Gold | Yunnan Copper Industry Co., Ltd. | CID000197 | ||||||
| Gold | Chimet S.p.A. | CID000233 | ||||||
| Gold | Chugai Mining | CID000264 | ||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | ||||||
| Gold | DSC (Do Sung Corporation) | CID000359 | ||||||
| Gold | Dowa | CID000401 | ||||||
| Gold | Eco-System Recycling Co., Ltd. East Plant | CID000425 | ||||||
| Gold | JSC Novosibirsk Refinery | CID000493 | ||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | CID000522 | ||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | ||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | ||||||
| Gold | LT Metal Ltd. | CID000689 | ||||||
| Gold | Heimerle + Meule GmbH | CID000694 | ||||||
| Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | ||||||
| Gold | Heraeus Germany GmbH Co. KG | CID000711 | ||||||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | ||||||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CID000773 | ||||||
| Gold | HwaSeong CJ CO., LTD. | CID000778 | ||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | ||||||
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | ||||||
| Gold | Istanbul Gold Refinery | CID000814 | ||||||
| Gold | Japan Mint | CID000823 | ||||||
| Gold | Jiangxi Copper Co., Ltd. | CID000855 | ||||||
| Gold | Asahi Refining USA Inc. | CID000920 | ||||||
| Gold | Asahi Refining Canada Ltd. | CID000924 | ||||||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | ||||||
| Gold | JSC Uralelectromed | CID000929 | ||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | ||||||
| Gold | Kazakhmys Smelting LLC | CID000956 | ||||||
| Gold | Kazzinc | CID000957 | ||||||
| Gold | Kennecott Utah Copper LLC | CID000969 | ||||||
| Gold | Kojima Chemicals Co., Ltd. | CID000981 | ||||||
| Gold | Kyrgyzaltyn JSC | CID001029 | ||||||
A-1
| Metal | Smelter Name | Smelter ID | ||||||
| Gold | L'azurde Company For Jewelry | CID001032 | ||||||
| Gold | Lingbao Gold Co., Ltd. | CID001056 | ||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | ||||||
| Gold | LS-NIKKO Copper Inc. | CID001078 | ||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | ||||||
| Gold | Materion | CID001113 | ||||||
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 | ||||||
| Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 | ||||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 | ||||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | ||||||
| Gold | Metalor Technologies S.A. | CID001153 | ||||||
| Gold | Metalor USA Refining Corporation | CID001157 | ||||||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | CID001161 | ||||||
| Gold | Mitsubishi Materials Corporation | CID001188 | ||||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | ||||||
| Gold | Moscow Special Alloys Processing Plant | CID001204 | ||||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | CID001220 | ||||||
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 | ||||||
| Gold | Nihon Material Co., Ltd. | CID001259 | ||||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | ||||||
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | ||||||
| Gold | MKS PAMP SA | CID001352 | ||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | ||||||
| Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | ||||||
| Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | ||||||
| Gold | PX Precinox S.A. | CID001498 | ||||||
| Gold | Rand Refinery (Pty) Ltd. | CID001512 | ||||||
| Gold | Royal Canadian Mint | CID001534 | ||||||
| Gold | Sabin Metal Corp. | CID001546 | ||||||
| Gold | Samduck Precious Metals | CID001555 | ||||||
| Gold | Samwon Metals Corp. | CID001562 | ||||||
| Gold | SEMPSA Joyeria Plateria S.A. | CID001585 | ||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | ||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | ||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | ||||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | ||||||
| Gold | Solar Applied Materials Technology Corp. | CID001761 | ||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | ||||||
| Gold | Super Dragon Technology Co., Ltd. | CID001810 | ||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | ||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | ||||||
| Gold | Shandong Gold Smelting Co., Ltd. | CID001916 | ||||||
| Gold | Tokuriki Honten Co., Ltd. | CID001938 | ||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 | ||||||
| Gold | Torecom | CID001955 | ||||||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | ||||||
| Gold | United Precious Metal Refining, Inc. | CID001993 | ||||||
| Gold | Valcambi S.A. | CID002003 | ||||||
| Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 | ||||||
| Gold | Yamakin Co., Ltd. | CID002100 | ||||||
| Gold | Yokohama Metal Co., Ltd. | CID002129 | ||||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | ||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | ||||||
| Gold | Morris and Watson | CID002282 | ||||||
| Gold | SAFINA A.S. | CID002290 | ||||||
| Gold | Guangdong Jinding Gold Limited | CID002312 | ||||||
A-2
| Metal | Smelter Name | Smelter ID | ||||||
| Gold | Umicore Precious Metals Thailand | CID002314 | ||||||
| Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | ||||||
| Gold | KGHM Polska Miedz Spolka Akcyjna | CID002511 | ||||||
| Gold | Fidelity Printers and Refiners Ltd. | CID002515 | ||||||
| Gold | Singway Technology Co., Ltd. | CID002516 | ||||||
| Gold | Shandong Humon Smelting Co., Ltd. | CID002525 | ||||||
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CID002527 | ||||||
| Gold | Al Etihad Gold Refinery DMCC | CID002560 | ||||||
| Gold | Emirates Gold DMCC | CID002561 | ||||||
| Gold | International Precious Metal Refiners | CID002562 | ||||||
| Gold | Kaloti Precious Metals | CID002563 | ||||||
| Gold | Sudan Gold Refinery | CID002567 | ||||||
| Gold | T.C.A S.p.A | CID002580 | ||||||
| Gold | REMONDIS PMR B.V. | CID002582 | ||||||
| Gold | Fujairah Gold FZC | CID002584 | ||||||
| Gold | Industrial Refining Company | CID002587 | ||||||
| Gold | Shirpur Gold Refinery Ltd. | CID002588 | ||||||
| Gold | Korea Zinc Co., Ltd. | CID002605 | ||||||
| Gold | Marsam Metals | CID002606 | ||||||
| Gold | TOO Tau-Ken-Altyn | CID002615 | ||||||
| Gold | Abington Reldan Metals, LLC | CID002708 | ||||||
| Gold | Shenzhen CuiLu Gold Co., Ltd. | CID002750 | ||||||
| Gold | Albino Mountinho Lda. | CID002760 | ||||||
| Gold | SAAMP | CID002761 | ||||||
| Gold | L'Orfebre S.A. | CID002762 | ||||||
| Gold | 8853 S.p.A. | CID002763 | ||||||
| Gold | Italpreziosi | CID002765 | ||||||
| Gold | WIELAND Edelmetalle GmbH | CID002778 | ||||||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | ||||||
| Gold | AU Traders and Refiners | CID002850 | ||||||
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | CID002852 | ||||||
| Gold | Sai Refinery | CID002853 | ||||||
| Gold | Modeltech Sdn Bhd | CID002857 | ||||||
| Gold | Bangalore Refinery | CID002863 | ||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 | ||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | ||||||
| Gold | Pease & Curren | CID002872 | ||||||
| Gold | JALAN & Company | CID002893 | ||||||
| Gold | SungEel HiMetal Co., Ltd. | CID002918 | ||||||
| Gold | Planta Recuperadora de Metales SpA | CID002919 | ||||||
| Gold | ABC Refinery Pty Ltd. | CID002920 | ||||||
| Gold | Safimet S.p.A | CID002973 | ||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 | ||||||
| Gold | African Gold Refinery | CID003185 | ||||||
| Gold | Gold Coast Refinery | CID003186 | ||||||
| Gold | NH Recytech Company | CID003189 | ||||||
| Gold | QG Refining, LLC | CID003324 | ||||||
| Gold | Dijllah Gold Refinery FZC | CID003348 | ||||||
| Gold | CGR Metalloys Pvt Ltd. | CID003382 | ||||||
| Gold | Sovereign Metals | CID003383 | ||||||
| Gold | Eco-System Recycling Co., Ltd. North Plant | CID003424 | ||||||
| Gold | Eco-System Recycling Co., Ltd. West Plant | CID003425 | ||||||
| Gold | Augmont Enterprises Private Limited | CID003461 | ||||||
| Gold | Kundan Care Products Ltd. | CID003463 | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 1) | CID003487 | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 2) | CID003488 | ||||||
A-3
| Metal | Smelter Name | Smelter ID | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 3) | CID003489 | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 4) | CID003490 | ||||||
| Gold | K.A. Rasmussen | CID003497 | ||||||
| Gold | Alexy Metals | CID003500 | ||||||
| Gold | MD Overseas | CID003548 | ||||||
| Gold | Metallix Refining Inc. | CID003557 | ||||||
| Gold | Metal Concentrators SA (Pty) Ltd. | CID003575 | ||||||
| Gold | WEEEREFINING | CID003615 | ||||||
| Gold | Gold by Gold Colombia | CID003641 | ||||||
| Gold | Dongwu Gold Group | CID003663 | ||||||
| Gold | Sam Precious Metals | CID003666 | ||||||
| Gold | Coimpa Industrial LTDA | CID004010 | ||||||
| Tantalum | F&X Electro-Materials Ltd. | CID000460 | ||||||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CID000616 | ||||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | ||||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 | ||||||
| Tantalum | AMG Brasil | CID001076 | ||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | ||||||
| Tantalum | Mineracao Taboca S.A. | CID001175 | ||||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 | ||||||
| Tantalum | NPM Silmet AS | CID001200 | ||||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | ||||||
| Tantalum | QuantumClean | CID001508 | ||||||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 | ||||||
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 | ||||||
| Tantalum | Taki Chemical Co., Ltd. | CID001869 | ||||||
| Tantalum | Telex Metals | CID001891 | ||||||
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 | ||||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | ||||||
| Tantalum | D Block Metals, LLC | CID002504 | ||||||
| Tantalum | FIR Metals & Resource Ltd. | CID002505 | ||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | ||||||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 | ||||||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | ||||||
| Tantalum | KEMET de Mexico | CID002539 | ||||||
| Tantalum | TANIOBIS Co., Ltd. | CID002544 | ||||||
| Tantalum | TANIOBIS GmbH | CID002545 | ||||||
| Tantalum | Materion Newton Inc. | CID002548 | ||||||
| Tantalum | TANIOBIS Japan Co., Ltd. | CID002549 | ||||||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | CID002550 | ||||||
| Tantalum | Global Advanced Metals Boyertown | CID002557 | ||||||
| Tantalum | Global Advanced Metals Aizu | CID002558 | ||||||
| Tantalum | Resind Industria e Comercio Ltda. | CID002707 | ||||||
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | ||||||
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CID003583 | ||||||
| Tantalum | 5D Production OU | CID003926 | ||||||
| Tantalum | PowerX Ltd. | CID004054 | ||||||
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 | ||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | ||||||
| Tin | Alpha | CID000292 | ||||||
| Tin | PT Aries Kencana Sejahtera | CID000309 | ||||||
| Tin | PT Premium Tin Indonesia | CID000313 | ||||||
| Tin | Dowa | CID000402 | ||||||
| Tin | EM Vinto | CID000438 | ||||||
| Tin | Estanho de Rondonia S.A. | CID000448 | ||||||
| Tin | Fenix Metals | CID000468 | ||||||
A-4
| Metal | Smelter Name | Smelter ID | ||||||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | ||||||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | ||||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | ||||||
| Tin | China Tin Group Co., Ltd. | CID001070 | ||||||
| Tin | Malaysia Smelting Corporation (MSC) | CID001105 | ||||||
| Tin | Metallic Resources, Inc. | CID001142 | ||||||
| Tin | Mineracao Taboca S.A. | CID001173 | ||||||
| Tin | Minsur | CID001182 | ||||||
| Tin | Mitsubishi Materials Corporation | CID001191 | ||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 | ||||||
| Tin | Novosibirsk Tin Combine | CID001305 | ||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | ||||||
| Tin | Operaciones Metalurgicas S.A. | CID001337 | ||||||
| Tin | PT Artha Cipta Langgeng | CID001399 | ||||||
| Tin | PT Babel Inti Perkasa | CID001402 | ||||||
| Tin | PT Babel Surya Alam Lestari | CID001406 | ||||||
| Tin | PT Bangka Tin Industry | CID001419 | ||||||
| Tin | PT Belitung Industri Sejahtera | CID001421 | ||||||
| Tin | PT Bukit Timah | CID001428 | ||||||
| Tin | PT Mitra Stania Prima | CID001453 | ||||||
| Tin | PT Panca Mega Persada | CID001457 | ||||||
| Tin | PT Prima Timah Utama | CID001458 | ||||||
| Tin | PT Refined Bangka Tin | CID001460 | ||||||
| Tin | PT Sariwiguna Binasentosa | CID001463 | ||||||
| Tin | PT Stanindo Inti Perkasa | CID001468 | ||||||
| Tin | PT Timah Tbk Kundur | CID001477 | ||||||
| Tin | PT Timah Tbk Mentok | CID001482 | ||||||
| Tin | PT Timah Nusantara | CID001486 | ||||||
| Tin | PT Tinindo Inter Nusa | CID001490 | ||||||
| Tin | PT Tommy Utama | CID001493 | ||||||
| Tin | Rui Da Hung | CID001539 | ||||||
| Tin | Thaisarco | CID001898 | ||||||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | ||||||
| Tin | VQB Mineral and Trading Group JSC | CID002015 | ||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | CID002036 | ||||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 | ||||||
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CID002180 | ||||||
| Tin | CV Venus Inti Perkasa | CID002455 | ||||||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 | ||||||
| Tin | PT Tirus Putra Mandiri | CID002478 | ||||||
| Tin | Melt Metais e Ligas S.A. | CID002500 | ||||||
| Tin | PT ATD Makmur Mandiri Jaya | CID002503 | ||||||
| Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | ||||||
| Tin | CV Ayi Jaya | CID002570 | ||||||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | ||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | ||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | ||||||
| Tin | PT Cipta Persada Mulia | CID002696 | ||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | ||||||
| Tin | Resind Industria e Comercio Ltda. | CID002706 | ||||||
| Tin | Super Ligas | CID002756 | ||||||
| Tin | Aurubis Beerse | CID002773 | ||||||
| Tin | Aurubis Berango | CID002774 | ||||||
| Tin | PT Bangka Prima Tin | CID002776 | ||||||
| Tin | PT Sukses Inti Makmur | CID002816 | ||||||
| Tin | PT Menara Cipta Mulia | CID002835 | ||||||
A-5
| Metal | Smelter Name | Smelter ID | ||||||
| Tin | Modeltech Sdn Bhd | CID002858 | ||||||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 | ||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 | ||||||
| Tin | PT Bangka Serumpun | CID003205 | ||||||
| Tin | Pongpipat Company Limited | CID003208 | ||||||
| Tin | Tin Technology & Refining | CID003325 | ||||||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CID003356 | ||||||
| Tin | PT Rajawali Rimba Perkasa | CID003381 | ||||||
| Tin | Luna Smelter, Ltd. | CID003387 | ||||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CID003397 | ||||||
| Tin | Precious Minerals and Smelting Limited | CID003409 | ||||||
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CID003410 | ||||||
| Tin | PT Mitra Sukses Globalindo | CID003449 | ||||||
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | CID003486 | ||||||
| Tin | CRM Synergies | CID003524 | ||||||
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | CID003582 | ||||||
| Tin | DS Myanmar | CID003831 | ||||||
| Tin | PT Putera Sarana Shakti (PT PSS) | CID003868 | ||||||
| Tin | PT Rajehan Ariq | CID002593 | ||||||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | ||||||
| Tin | Ma'anshan Weitai Tin Co., Ltd. | CID003379 | ||||||
| Tungsten | A.L.M.T. Corp. | CID000004 | ||||||
| Tungsten | Kennametal Huntsville | CID000105 | ||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | ||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | ||||||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CID000281 | ||||||
| Tungsten | Global Tungsten & Powders LLC | CID000568 | ||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 | ||||||
| Tungsten | Hunan Jintai New Material Co., Ltd. | CID000769 | ||||||
| Tungsten | Japan New Metals Co., Ltd. | CID000825 | ||||||
| Tungsten | Kennametal Fallon | CID000966 | ||||||
| Tungsten | Wolfram Bergbau und Hutten AG | CID002044 | ||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | ||||||
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 | ||||||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | ||||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | ||||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | ||||||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | ||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | ||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | ||||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | ||||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | ||||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | ||||||
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CID002513 | ||||||
| Tungsten | H.C. Starck Tungsten GmbH | CID002541 | ||||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | CID002542 | ||||||
| Tungsten | Masan High-Tech Materials | CID002543 | ||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | ||||||
| Tungsten | Niagara Refining LLC | CID002589 | ||||||
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CID002641 | ||||||
| Tungsten | Hydrometallurg, JSC | CID002649 | ||||||
| Tungsten | Unecha Refractory metals plant | CID002724 | ||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | ||||||
| Tungsten | ACL Metais Eireli | CID002833 | ||||||
| Tungsten | Moliren Ltd. | CID002845 | ||||||
| Tungsten | Lianyou Metals Co., Ltd. | CID003407 | ||||||
A-6
| Metal | Smelter Name | Smelter ID | ||||||
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | CID003408 | ||||||
| Tungsten | NPP Tyazhmetprom LLC | CID003416 | ||||||
| Tungsten | Hubei Green Tungsten Co., Ltd. | CID003417 | ||||||
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | CID003427 | ||||||
| Tungsten | Cronimet Brasil Ltda | CID003468 | ||||||
| Tungsten | Artek LLC | CID003553 | ||||||
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CID003609 | ||||||
| Tungsten | OOO “Technolom” 2 | CID003612 | ||||||
| Tungsten | OOO “Technolom” 1 | CID003614 | ||||||
| Tungsten | LLC Vostok | CID003643 | ||||||
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CID003662 | ||||||
| Tungsten | HANNAE FOR T Co., Ltd. | CID003978 | ||||||
| Tungsten | Tungsten Vietnam Joint Stock Company | CID003993 | ||||||
| Tungsten | Nam Viet Cromit Joint Stock Company | CID004034 | ||||||
| Tungsten | DONGKUK INDUSTRIES CO., LTD. | CID004060 | ||||||
A-7
APPENDIX B
Based on our Advisor’s review of the lists of smelters and refiners provided by our direct suppliers, as of May 9, 2024, the possible countries of origin of the necessary Conflict Minerals in our products include, but may not be limited to, those countries listed below.
Possible Countries of Origin – Tin
| Belgium | Malaysia | Rwanda | ||||||
| Bolivia | Myanmar | Spain | ||||||
| Brazil | Peru | Taiwan, Province of China | ||||||
| China | Philippines | Thailand | ||||||
| India | Poland | United States of America | ||||||
| Indonesia | Russian Federation | Vietnam | ||||||
| Japan | Rwanda | |||||||
Possible Countries of Origin – Tantalum
| Brazil | India | Russian Federation | ||||||
| China | Japan | Rwanda | ||||||
| Estonia | Kazakhstan | Thailand | ||||||
| Germany | Mexico | United States of America | ||||||
Possible Countries of Origin – Tungsten
| Austria | Japan | Taiwan, Province of China | ||||||
| Brazil | Korea, Republic of | United States of America | ||||||
| China | Philippines | Vietnam | ||||||
| Germany | Russian Federation | |||||||
Possible Countries of Origin – Gold
| Andorra | Japan | Saudi Arabia | ||||||
| Australia | Kazakhstan | Singapore | ||||||
| Austria | Korea, Republic Of | South Africa | ||||||
| Belgium | Kyrgyzstan | Spain | ||||||
| Brazil | Lithuania | Sudan | ||||||
| Canada | Malaysia | Sweden | ||||||
| Chile | Mexico | Switzerland | ||||||
| China | Netherlands | Taiwan, Province of China | ||||||
| Colombia | New Zealand | Thailand | ||||||
| Czechia | Norway | Turkey | ||||||
| France | Philippines | Uganda | ||||||
| Germany | Poland | United Arab Emirates | ||||||
| Ghana | Portugal | United States of America | ||||||
| India | Russian Federation | Uzbekistan | ||||||
| Indonesia | Zimbabwe | |||||||
| Italy | ||||||||
B-1