UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
Lockheed Martin Corporation
| Maryland | 1-11437 | 52-1893632 | ||
| (State or other jurisdiction of incorporation or organization) |
(Commission File Number) |
(IRS Employer Identification No.) |
| 6801 Rockledge Drive, Bethesda, Maryland | 20817 | |
| (Address of principal executive offices) | (Zip Code) |
Brian P. Colan, Vice President and Controller
(301) 897-6000
(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, 2016. |
Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
A copy of Lockheed Martin Corporation’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at http://www.lockheedmartin.com/content/dam/lockheed/data/corporate/documents/Sustainability/conflictminerals-cmr-2016.pdf.
Item 1.02 Exhibit
As specified in Section 2, Item 2.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.
Section 2 - Exhibits
Item 2.01 Exhibits
Exhibit 1.01 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.
SIGNATURE
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.
| Lockheed Martin Corporation | ||||||
| (Registrant) | ||||||
| Date: May 19, 2017 | By: | /s/ Brian P. Colan | ||||
| Brian P. Colan | ||||||
| Vice President and Controller | ||||||
Exhibit 1.01
Lockheed Martin Corporation
Conflict Minerals Report
For the Year Ended December 31, 2016
Introduction
This Conflict Minerals Report (the “Report”) was prepared by Lockheed Martin Corporation (hereinafter referred to as the “Company,” “we,” “us,” or “our”) pursuant to Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended. The term “Conflict Minerals” is defined in the Rule and refers to gold and columbite-tantalite (coltan), cassiterite, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten (the “Conflict Minerals” or “3TG”). The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products containing Conflict Minerals that are necessary to the functionality or production of those products if the company has reason to believe that the Conflict Minerals may have originated in the Democratic Republic of the Congo and the adjoining countries of Angola, Burundi, the Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia (the “Covered Countries”).
Company and Product Overview
We are a global security and aerospace company principally engaged in the research, design, development, manufacture, integration and sustainment of advanced technology systems, products and services. We also provide a broad range of management, engineering, technical, scientific, logistics, system integration and cybersecurity services. We operate in four business segments: Aeronautics, Missiles and Fire Control (MFC), Rotary and Mission Systems (RMS) and Space Systems. We organize our business segments based on the nature of the products and services offered:
| • | Aeronautics is engaged in the research, design, development, manufacture, integration, sustainment, support and upgrade of advanced military aircraft, including combat and air mobility aircraft, unmanned air vehicles and related technologies. |
| • | MFC provides air and missile defense systems; tactical missiles and air-to-ground precision strike weapon systems; logistics; fire control systems; mission operations support, readiness, engineering support and integration services; manned and unmanned ground vehicles and energy management solutions. |
| • | RMS provides design, manufacture, service and support for a variety of military and commercial helicopters; ship and submarine mission and combat systems; mission systems and sensors for rotary and fixed-wing aircraft; sea and land-based missile defense systems; radar systems; the Littoral Combat Ship (LCS); simulation and training services; and unmanned systems and technologies. In addition, RMS supports the needs of government customers in cybersecurity and delivers communications and command and control capabilities through complex mission solutions for defense applications. For 2016, our Conflict Minerals reasonable country of origin inquiry and due diligence activities included the Sikorsky Aircraft Corporation which was acquired in November 2015 and is aligned under our RMS business segment. |
| • | Space Systems is engaged in the research and development, design, engineering and production of satellites, strategic and defensive missile systems and space transportation systems. Space Systems provides network-enabled situational awareness and integrates complex space and ground global systems to help our customers gather, analyze and securely distribute critical intelligence data. Space Systems is also responsible for various classified systems and services in support of vital national security systems. |
1
Covered Products
We conducted an analysis on the products that we manufacture or contract to be manufactured and found that 3TG are in substantially all of our products (and generally are required for their functionality or production as specified under the Rule) included in the Company and Product Overview. These products are collectively referred to in this Report as the “Covered Products.” 3TG is not included in the services we provide to our customers.
Supply Chain Description
Our business depends on an extensive global network of suppliers to provide the materials, parts and services to make our final products. As a downstream company, generally there are multiple tiers between us and our suppliers and the source of raw materials that enter the manufacturing process. The composition of our supply chain makes it challenging to identify the origin of 3TG used in our products. Therefore, we must rely on our direct suppliers to work with their upstream suppliers to provide us with accurate information (e.g., through the reasonable country of origin inquiry described below) about the origin of 3TG in the materials and parts that we purchase.
Reasonable Country of Origin Inquiry (“RCOI”)
The elements of our RCOI were: (i) identification of relevant suppliers, (ii) data collection and (iii) assessment of data to determine whether further due diligence is required.
In 2016, we conducted business with approximately 16,000 active suppliers from 53 countries. Because of the complexity and size of our supply chain, we developed a risk-based approach that focused on our major direct suppliers identified as manufacturers (the “Supplier Group”). The Supplier Group represented more than 90 percent of our purchase order commitments in 2016. Our 2016 RCOI process considered majority-owned affiliates.
We collected information from the Supplier Group using the template developed by the Electronics Industry Citizenship Coalition (EICC) / Global e-Sustainment Initiative (GeSI) (the “EICC Template”). The EICC Template includes questions regarding a direct supplier’s conflict-free policy, its due diligence process and information about its supply chain such as the names and locations of smelters and refiners and the origin of 3TG used by those facilities. During 2016, we used a web-based survey tool to expedite supplier input and our management of the large number of survey responses.
Based on the RCOI, we do not have sufficient information from the Supplier Group to determine the source of the necessary 3TG contained in our products. Accordingly, we conducted due diligence on the source and chain of custody of 3TG in our products.
Design of Conflict Minerals Program
As required by the Rule, we conducted due diligence on the source and chain of custody of the necessary 3TG contained in the Covered Products. Our due diligence program is designed to conform, in all material respects, with the internationally recognized framework presented by the Organisation for Economic Cooperation and Development (OECD) in the publication OECD (2013) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing (OECD Guidance) and the related supplements for 3TG.
2
Description of Due Diligence Steps Performed
The due diligence steps we performed are set forth below according to the five-step framework established by the OECD:
Step 1: Establish Strong Company Management Systems
| • | We have a Conflict Minerals policy statement related to our commitment to responsible sourcing of materials for our products and our establishment of a compliance plan that is designed to follow the OECD framework. This statement is available on our website. |
| • | We have a management structure to support supply chain due diligence related to Conflict Minerals. This includes: (1) an executive steering committee led by our controller and global supply chain executive, which are briefed on our due diligence activities and review our Reports under the Rule; (2) a supply chain council, comprised of supply chain leaders from our four business segments, which are briefed on and review the process by which we distribute the EICC Template to the Supplier Group and the request of follow up information from suppliers; and (3) a multidisciplinary conflict minerals working group comprised of representatives from engineering, finance, legal, sustainability, contracts, communications and our four business segments. |
| • | We participate with other manufacturers in the Aerospace and Defense sector in the following industrywide groups and initiatives: the Aerospace Industries Association (AIA) Conflict Minerals Working Group (CMWG), the National Association of Manufacturers (NAM) Conflict Minerals Task Force, and the EICC/GeSI Conflict-Free Sourcing Initiative (CFSI). |
| • | We have a records retention policy that requires us to maintain records related to our Report (as one of our SEC filings). |
| • | Our Supplier Code of Conduct includes information regarding responsible sourcing of materials. We provide our Supplier Code of Conduct to suppliers through our new purchase orders and we maintain a Suppliers page on our website that includes the Supplier Code of Conduct. |
| • | We have an ethics helpline and dedicated ethics and conflict minerals e-mail addresses that provide employees and suppliers with a mechanism to ask questions or report concerns. This information is available on our website. Our ethics helpline information was included in our annual ethics letter to suppliers. |
| • | We brief management about the Company’s practices with respect to 3TG due diligence and supply chain. |
Step 2: Identify and Assess Risks in the Supply Chain
| • | We provide financial support to the EICC and GeSI’s CFSI, an industry initiative that audits smelters’ and refiners’ due diligence activities. As a downstream company, these initiatives give us access to information to be able to conduct risk assessment at the upstream level. |
| • | We reviewed the responses we received to the EICC Template that we distributed to the Supplier Group. |
3
| • | Unresponsive suppliers were issued follow-up requests and were categorized accordingly in our records. Survey responses were reviewed for completeness and red flags. Additional follow-up inquiries were conducted. |
| • | We worked with the AIA Conflict Minerals Working Group to distribute a letter to smelters, which stated our expectation that they should strive to become conflict-free. |
Step 3: Design and Implement a Strategy to Respond to Identified Risks
| • | We have a risk management plan to address concerns that a supplier may be providing us with products that contain 3TG sourced from the Covered Countries. |
| • | If a supplier indicates that it directly or indirectly sources 3TG from the Covered Countries, we request additional information. If it is confirmed that a supplier provides products or parts for Covered Products that contain 3TG sourced from the Covered Countries, we request confirmation from the supplier that the sources in the Covered Countries are validated as conflict-free. |
Step 4: Carry out Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices
| • | We do not perform or direct audits of 3TG smelters or refiners. We rely on audits conducted by third parties through our membership in the CFSI and supplier self-disclosures of certification status. In 2016, we made a contribution to the Conflict Free Smelter Initiative (CFSI) Smelter Audit Fund, which pays the costs of a smelter and refiner’s first conflict free smelter program audit and conflict-free validation. This contribution was directed to pay for the audits of three CFSI “active list” smelters. |
Step 5: Report Annually on Supply Chain Due Diligence
| • | During 2016, we filed our 2015 conflict minerals report with the SEC and posted that report to our website. This Report constitutes our 2016 annual report on our Conflict Minerals due diligence, and will also be available on our website at: http://www.lockheedmartin.com/content/dam/lockheed/data/corporate/documents/Sustainability/conflictminerals-cmr-2016.pdf and filed with the SEC. |
Results of Our Due Diligence Measures
Description of facilities used to process 3TG; information on country of origin and efforts to determine mine or location of origin
As previously discussed, we found that 3TG are in substantially all of our products and requested that the Supplier Group complete the EICC Template to determine the facilities used to process 3TG, the country of origin of the 3TG and the mines or locations of origin of the 3TG in our supply chain. The vast majority of the Supplier Group who responded to our EICC Template indicated in their response that the information provided was at a company or divisional level and did not include a list of smelters.
A minority of responses listed specific smelters and mines, with such responses collectively identifying 383 smelters and 248 mines (and in some cases the location of such mines) from which suppliers sourced 3TG. Of these smelters:
4
| • | The CFSI Smelter Information Exchange has recognized 312 of the 383 total smelters as 3TG smelters, and such recognized smelters are listed in Appendix A. |
| • | Of the recognized smelters listed in Appendix A, 245 were validated as conflict-free under the Conflict-Free Smelter Program as of February, 2017. However, we cannot confirm which of these smelters, if any, provided 3TG that may be contained in our products, as we are unable to determine the upstream chain of custody of raw materials in our supply chain. |
The survey data also identified 77 suppliers within the Supplier Group who indicated that they used smelters or mines from the Covered Countries that were included in their supply chain, but stated that they sourced from multiple smelters and mines, and also did not disclose a full product line that would enable us to tie a specific mine to one of our Covered Products.
During 2016, we did not identify any instance where it was necessary to implement risk mitigation efforts, temporarily suspend trade or disengage with a member of the Supplier Group. Because information was generally provided at a company or divisional level and was not tied to specific Covered Products, we did not have sufficient information to identify the facilities that sourced 3TG included in our Covered Products, or to identify the country of origin of such 3TG.
Steps We Have Taken, or Will Take, Since December 31, 2016 to Mitigate Risk that Conflict Minerals Benefit Armed Groups
Lockheed Martin supports the objective of preventing armed groups in the Covered Countries from benefitting from the sourcing of Conflict Minerals from that region. We are committed to responsible sourcing of materials for our products, including the sourcing of Conflict Minerals, and we expect that our suppliers are likewise committed to responsible sourcing. We expect our suppliers to take steps to determine if their products contain Conflict Minerals and if so, implement supply chain due diligence processes to identify sources of these minerals and support efforts to eradicate the use of Conflict Minerals which directly or indirectly finance or benefit armed groups in the Covered Countries. Accordingly, we intend to take the following steps to further mitigate the risk that the 3TG in our products finance or benefit armed groups in the Covered Countries:
| • | Continue to reference the Lockheed Martin Supplier Code of Conduct and reference the Defense Industry Initiative Supplier Code of Conduct in new purchase orders and direct suppliers to our Conflict Minerals Policy Statement and web page. |
| • | Survey suppliers representing greater than 90 percent of our purchase order commitments as part of our RCOI process (and communicate to our suppliers our expectations regarding improvement of the completeness of information provided over time). |
| • | Continue to participate in the CFSI and in 2017 contribute to the CFSI audit smelter fund with the goal of providing resources sufficient for additional smelter audits and conflict free validations. |
| • | Encourage suppliers and smelters to participate in the Conflict-Free Smelter Program developed by the CFSI. |
| • | Engage with our direct suppliers to encourage them to impose requirements on their upstream suppliers to have programs to eliminate from their supply chain 3TG from conflict mines and become validated as conflict-free through the Conflict-Free Smelter Program or a similar program. |
5
Appendix A
The table below lists the CFSI Smelter Information Exchange validated smelters identified in our EICC Template responses for 2016. The information below includes smelter facility names and smelter facility locations as reported by the CFSI as of February, 2017. However, we cannot confirm which of these smelters, if any, provided 3TG that may be contained in our products as we are unable to determine the upstream chain of custody of raw materials in our supply chain.
| Metal |
Standard Smelter Name |
Smelter Facility Location | ||
| Gold | Advanced Chemical Company | UNITED STATES | ||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | ||
| Gold | Al Etihad Gold LLC | 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 Refining Canada Ltd. | 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 | Bangalore Refinery | INDIA | ||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | ||
| 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 | Chimet S.p.A. | ITALY | ||
| Gold | Chugai Mining | JAPAN | ||
| Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | ||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | ||
| Gold | DODUCO GmbH | GERMANY | ||
| Gold | Dowa | JAPAN | ||
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | ||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | ||
| Gold | Elemetal Refining, LLC | UNITED STATES |
A-1
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | ||
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | ||
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | ||
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | ||
| Gold | Geib Refining Corporation | UNITED STATES | ||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | ||
| Gold | Guangdong Jinding Gold Limited | CHINA | ||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | ||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | ||
| Gold | HeeSung Metal Ltd. | KOREA, REPUBLIC OF | ||
| Gold | Heimerle + Meule GmbH | GERMANY | ||
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | ||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | ||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||
| Gold | HwaSeong 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 | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | ||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | ||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | ||
| 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 Zinc Co., Ltd. | KOREA, REPUBLIC OF | ||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | ||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | ||
| Gold | L’azurde Company For Jewelry | SAUDI ARABIA | ||
| Gold | Lingbao Gold Co., Ltd. | CHINA | ||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA |
A-2
| 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 | ||
| 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 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 |
A-3
| 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 Zhaojin Gold & Silver Refinery 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 |
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 |
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 | GERMANY | ||
| Gold |
Yamamoto Precious Metal Co., Ltd. | JAPAN | ||
| Gold |
Yokohama Metal Co., Ltd. | JAPAN | ||
| Gold |
Yunnan Copper Industry Co., Ltd. | CHINA | ||
| Gold |
Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | ||
| Gold |
Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | ||
| Tantalum |
Changsha South Tantalum Niobium Co., Ltd. | CHINA | ||
| Tantalum |
Conghua Tantalum and Niobium Smeltry | CHINA | ||
| Tantalum |
D Block Metals, LLC | UNITED STATES | ||
| Tantalum |
Duoluoshan | CHINA | ||
| Tantalum |
Exotech Inc. | UNITED STATES |
A-4
| Tantalum |
F&X Electro-Materials Ltd. | CHINA | ||
| Tantalum |
FIR Metals & Resource Ltd. | CHINA | ||
| Tantalum |
Global Advanced Metals Aizu | JAPAN | ||
| Tantalum |
Global Advanced Metals Boyertown | UNITED STATES | ||
| Tantalum |
Guangdong Zhiyuan New Material Co., Ltd. | CHINA | ||
| Tantalum |
H.C. Starck Co., Ltd. | THAILAND | ||
| 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 |
H.C. Starck Tantalum and Niobium GmbH | GERMANY | ||
| Tantalum |
Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | ||
| Tantalum |
Hi-Temp Specialty Metals, Inc. | 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 Nonferrous Metals Smelting Company Limited | 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 and Smelting Co., Ltd. | JAPAN | ||
| Tantalum |
Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | ||
| Tantalum |
NPM Silmet AS | ESTONIA | ||
| Tantalum |
Plansee SE Liezen | AUSTRIA | ||
| Tantalum |
Plansee SE Reutte | AUSTRIA | ||
| Tantalum |
Power Resources Ltd. | MACEDONIA, REPUBLIC OF | ||
| Tantalum |
QuantumClean | UNITED STATES | ||
| Tantalum |
Resind Indústria e Comércio Ltda. | BRAZIL | ||
| Tantalum |
Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | ||
| Tantalum |
Taki Chemical Co., Ltd. | 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 |
Yanling Jincheng Tantalum Co., Ltd. | CHINA |
A-5
| Tantalum |
Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | ||
| Tantalum |
Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | ||
| Tin |
Alpha | UNITED STATES | ||
| Tin |
An Thai Minerals Co., Ltd. | VIET NAM | ||
| Tin |
An Vinh Joint Stock Mineral Processing Company | VIET NAM | ||
| Tin |
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | ||
| Tin |
China Tin Group Co., Ltd. | CHINA | ||
| Tin |
CNMC (Guangxi) PGMA Co., Ltd. | CHINA | ||
| Tin |
Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | ||
| Tin |
CV Ayi Jaya | INDONESIA | ||
| Tin |
CV Dua Sekawan | INDONESIA | ||
| Tin |
CV Gita Pesona | 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. | SPAIN | ||
| Tin |
EM Vinto | BOLIVIA | ||
| Tin |
Estanho de Rondônia S.A. | BRAZIL | ||
| Tin |
Fenix Metals | POLAND | ||
| Tin |
Gejiu Fengming Metallurgy Chemical Plant | CHINA | ||
| Tin |
Gejiu Jinye Mineral Company | CHINA | ||
| 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 |
Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | ||
| Tin |
HuiChang Hill Tin Industry Co., Ltd. | CHINA | ||
| Tin |
Huichang Jinshunda Tin Co., Ltd. | CHINA | ||
| Tin |
Jiangxi Ketai Advanced Material 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 |
Metallic Resources, Inc. | UNITED STATES | ||
| Tin |
Metallo-Chimique N.V. | BELGIUM | ||
| Tin |
Mineração Taboca S.A. | BRAZIL | ||
| Tin |
Minsur | PERU | ||
| Tin |
Mitsubishi Materials Corporation | JAPAN |
A-6
| 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 |
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 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 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 Justindo | 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 Prima Timah Utama | INDONESIA | ||
| Tin |
PT Refined Bangka Tin | INDONESIA | ||
| Tin |
PT Sariwiguna Binasentosa | INDONESIA | ||
| Tin |
PT Stanindo Inti Perkasa | INDONESIA | ||
| Tin |
PT Sukses Inti Makmur | INDONESIA | ||
| Tin |
PT Sumber Jaya Indah | INDONESIA | ||
| Tin |
PT Timah (Persero) Tbk Kundur | INDONESIA | ||
| Tin |
PT Timah (Persero) Tbk Mentok | INDONESIA | ||
| Tin |
PT Tinindo Inter Nusa | INDONESIA | ||
| Tin |
PT Tommy Utama | INDONESIA | ||
| Tin |
PT Wahana Perkit Jaya | INDONESIA | ||
| Tin |
Resind Indústria e Comércio Ltda. | BRAZIL | ||
| Tin |
Rui Da Hung | TAIWAN | ||
| Tin |
Soft Metais Ltda. | BRAZIL |
A-7
| Tin | Thaisarco | THAILAND | ||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | ||
| Tin | VQB Mineral and Trading Group JSC | VIET NAM | ||
| Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | ||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | ||
| Tin | Yunnan Tin Company Limited | CHINA | ||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | ||
| Tungsten | ACL Metais Eireli | BRAZIL | ||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | ||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Jiangwu Ferrotungsten 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 | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | ||
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | ||
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | ||
| 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 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 | Malipo Haiyu Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Moliren Ltd | RUSSIAN FEDERATION | ||
| Tungsten | Niagara Refining LLC | UNITED STATES |
A-8
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | ||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | ||
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | ||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | ||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | ||
| Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | ||
| 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 |
A-9