SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

Specialized Disclosure Report

 

 

Analogic Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Massachusetts   0-6715   04-2454372
(State or other jurisdiction
of incorporation or organization)
  (Commission
File Number)
  (IRS Employer
Identification) No.
8 Centennial Drive, Peabody, Massachusetts   01960
(Address of principal executive offices)   (Zip code)

John J. Fry (978) 326-4000

(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 Disclosures and Report

In accordance with Rule 13p-1 under the Securities and Exchange Act of 1934 (“Rule 13p-1”), Analogic Corporation (“Analogic”) has filed this Specialized Disclosure Report (“Form SD”) and the associated Conflict Minerals Report and both reports are posted on the Company’s website (www.analogic.com/compliance.). Analogic has included its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

Item 1.02 Exhibit

ANALOGIC has included 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 Form SD.

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.

 

Analogic Corporation
By:   /s/ John J. Fry
Name:   John J. Fry
Title:   Senior Vice President, General Counsel and Secretary

Date: May 31, 2018

EX-1.01

Exhibit 1.01

ANALOGIC CORPORATION

CONFLICT MINERALS REPORT

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2017

Introduction

This Conflict Minerals Report of Analogic Corporation (herein referred to as “we”, “us”, “Analogic”, or the “Company”) is filed pursuant to Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934 for the reporting period from January 1, 2017 to December 31, 2017.

The term “conflict minerals” is defined in Section 13(p) of the Rule as (A) cassiterite, columbite-tantalite (coltan), gold, wolframite, and their derivatives, as limited by the Rule, tin, tantalum, tungsten, and gold (“3TG”); or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of Congo (“DRC”) or any adjoining country that shares an internationally recognized border with the DRC. The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products for which tin, tantalum, tungsten or gold are necessary to the functionality or the production of the company’s products. For the purposes of this report, tin, tantalum, tungsten and gold will collectively be referred to herein as the 3TGs.

Company Overview

Analogic Corporation designs, manufactures, and commercializes innovative real-time guidance, diagnostic imaging and threat detection technologies to advance the practice of medicine and save lives. We operate and report along three business segments: Medical Imaging, Ultrasound and Security and Detection. Our Medical Imaging segment provides critical enabling medical imaging systems and subsystems for computed tomography, or CT, magnetic resonance imaging, or MRI and high-resolution digital mammography. We sell our Medical Imaging products primarily through longstanding relationships with well-known multinational medical original equipment manufacturers, or OEMs, and new entrants in emerging markets. Our Ultrasound business provides real-time ultrasound procedure guidance systems for the urology, surgery and point of care markets. We sell our ultrasound products, under the BK Ultrasound brand, through our direct sales force in North America and Europe, as well as through a network of distributors to clinical practitioners throughout the world. Our Security and Detection segment designs and manufactures automated threat detection systems for aviation baggage inspection applications utilizing advanced medical CT technology and systems used for DNA analysis for law enforcement and government agencies. We sell our aviation threat detection and DNA systems through multinational partners. We were incorporated in the Commonwealth of Massachusetts in November 1967 and are headquartered in Peabody, Massachusetts.

Products Covered by this Report

This report relates to products (i) for which conflict minerals are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by the Company; and (iii) for which manufacture was completed during calendar year 2017.

We evaluated our product lines to identify the Covered Products. We also evaluated our purchased material categories to identify those purchased items that contain, or are reasonably likely to contain, conflict minerals.

These products (which we refer to as the “Covered Products”) consist of products in the areas of medical imaging, medical ultrasound, security technology, and motion control. Our medical imaging products comprise systems and subsystems used in computed tomography (“CT”), magnetic resonance imaging (“MRI”), and digital mammography. Our ultrasound products comprise medical ultrasound systems and probes. Our security technology products comprise threat detection systems for use in aviation security. Our motion control products comprise drives and controllers deployed in semiconductor, life sciences, automotive assembly, and other industries.


Conflict Minerals Program & Policy

We have actively engaged with our customers and suppliers for several years with respect to the use of conflict minerals. We adopted a Conflict Minerals Policy articulating our conflict minerals supply chain due diligence process and our commitment to our reporting obligations regarding conflict minerals. Our policy is available on our website www.analogic.com/compliance.

Our Reasonable Country of Origin Inquiry

We conducted a reasonable country of origin inquiry (“RCOI”) regarding the 3TGs in our products to determine whether any of the 3TGs necessary to our products originated in the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola (which we refer to herein as the “Covered Countries”) and whether any of the 3TGs were from recycled or scrap sources.

As part of our RCOI, we surveyed our principal suppliers of 3TGs in Covered Products using the Responsible Business Alliance (RBA) GESI Conflict Minerals reporting template (“CMRT”). This year we partnered with a third-party service provider, Assent Compliance (“Assent”) to assist us in reviewing our supply chain. We provided a list of suppliers associated with the Covered Products for Assent to upload into the Assent Compliance Manager Tool (the “ACM”). We contacted suppliers through the ACM, a SaaS platform provided by Assent that allows us to complete and track supplier communications as well as allows suppliers to upload their completed CMRTs directly into the tool for review. Assent engaged in follow up communications with those suppliers who did not respond to the survey or who provided information that was incomplete as determined by Assent’s automated data validation. We then reviewed the survey responses to identify the facilities used to process, and the countries of origin of, the Covered Products. At the end of this process, the Company had received a response rate of reasonably acceptable and complete surveys from over 81% of its suppliers surveyed, compared to over 79% of suppliers surveyed the prior year.

The CMRT eliminated irrelevant suppliers, i.e., suppliers that do not provide us with any products that contain 3TGs. Specifically, question 1 of the CMRT asks suppliers whether any of the 3TGs they use are necessary to the functionality or production of their products. We also periodically reviewed the supplier list to ensure that irrelevant suppliers were removed from the survey process. We conducted this analysis to screen out irrelevant suppliers based on the following criteria:

 

    The company supplies packaging only (excluding labels)

 

    The company supplies us with items that do not end up in our products (including equipment used to make our products)

 

    The company is a test lab

 

    The company is a service provider only

We believe the inquiry was reasonably designed to determine whether any of the 3TGs in the Covered Products originated in a Covered Country. Annex A lists the smelters and refiners identified by our suppliers and Annex B lists the countries of origin identified by our suppliers.

Due Diligence Process

We conducted due diligence on the source and chain of custody of the 3TGs in our products, and are reporting on the results of that due diligence in this Conflict Minerals Report.


Design of Due Diligence

Our due diligence measures were designed to conform to 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, Second Edition (2013), including the related supplements on gold, tungsten, and tantalum (which we refer to as the OECD guidance), in all material respects.

Our Conflict Minerals program followed the following five-step framework described in the OECD guidance, including, as applicable, with regard to our due diligence process:

 

    Step 1 – Establish strong management systems;

 

    Step 2 – Assess risk in the supply chain;

 

    Step 3 – Design and implement a strategy to respond to identified risk;

 

    Step 4 – Carry out independent third-party audit of supply chain; and

 

    Step 5 – Report on supply chain due diligence.

The OECD Guidance specifies that the requirements for compliance should reflect a company’s position in the supply chain. In particular, the OECD Guidance states that the implementation of due diligence should be tailored to a company’s activities and relationships and that the nature and extent of due diligence may vary based on a company’s size, products, relationships with suppliers and other factors. Due to practical difficulties associated with supply chain complexities, the OECD Guidance advises that downstream companies exercise due diligence primarily by establishing controls over their immediate suppliers. Accordingly, we rely primarily on our “tier 1” (direct) suppliers to provide information with respect to the origin of the conflict minerals contained in the components and materials supplied to us.

Due Diligence Performed

Step 1 – Establish strong management systems

Internal Team

In connection with our due diligence efforts, we established a management team that includes subject matter experts from relevant functions including operations, regulatory, finance and legal that is responsible for implementing our conflict minerals compliance strategy. Senior management was briefed on the results of our due diligence efforts on a regular basis.

As mentioned above, we also use Assent to assist us with evaluating supply chain information regarding 3TGs and in the development and implementation of the due diligence steps that we take with suppliers.

Control Systems

We also established a corporate policy emphasizing our commitment to compliance with the Rule, including our intention to conduct a reasonable country of origin inquiry and due diligence as required by the Rule. This corporate policy is available at our website, www.analogic.com/compliance.

Supplier Engagement

Analogic strongly encourages our suppliers to implement responsible sourcing and to have them encourage smelters and refiners to obtain a ‘conflict-free’ designation from an independent, third-party auditor.

Grievance Mechanisms

We also maintain a mechanism through which concerns and questions about our conflict minerals policy and use (and other compliance concerns) may be raised. Such questions and concerns may be directed to +1 770-810-1147.


Maintain Records

Analogic retains all conflict minerals related materials received by its suppliers. In addition, all CMRTs collected from our suppliers are maintained in Assent’s database.

Step 2 – Assess risk in the supply chain

We do not purchase 3TGs directly from mines, smelters or refiners. We must therefore rely on our suppliers to provide information regarding the origin of 3TGs that are included in the Covered Products. We surveyed our principal suppliers of materials that include conflict minerals using the Responsible Business Alliance (RBA) GESI Conflict Minerals reporting template. Risks are identified automatically in the ACM based on criteria established for supplier responses in the CMRT form. The primary risk we identified for the 2017 reporting year was due to the fact that most of the responses received were provided at a company or divisional level. In some cases, our suppliers were unable to specify the smelters or refiners used for the 3TGs that they supply to us.

We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. Assent compared these facilities listed in the responses to the list of smelters and refiners maintained by the Conflict-Free Sourcing Initiative (“RMI”) and, if a supplier indicated that the facility was certified as “Conflict-Free,” confirmed that the name was listed by RMI. Due to the provision of primarily supplier-level CMRTs, we cannot definitively determine their connection to the Covered Products

Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assigned a risk of high, medium or low based on 3 scoring criteria:

 

  1. Geographic proximity to the DRC and covered countries;

 

  2. Conflict-Free Smelter Program (RMAP) audit status;

 

  3. Known or plausible evidence of unethical or conflict sourcing.

When any facilities that have been deemed to be high-risk based on the above noted criteria appear on a CMRT submitted by one of our suppliers, Assent immediately instructs the supplier to take risk mitigation actions, including submission of a product-level CMRT to better identify if there is a connection between the products they supply to us and the high-risk smelters or refiners. In addition, suppliers are guided to Assent University, a learning management system, where they have access to educational materials on mitigating the risk of smelters or refiners in the supply chain.

Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). Evaluating and tracking the strength of the program meets the OECD Due Diligence Guidelines and can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the program are:

A. Have you established a conflict minerals sourcing policy?

E. Have you implemented due diligence measures for conflict-free sourcing?

G. Do you review due diligence information received from your suppliers?

H. Does your review process include corrective action management against your company’s expectations?

When suppliers meet or exceed those criteria (Yes to at least A, E, G, H), they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program.

Step 3 – Design and implement a strategy to respond to identified risk

The design of our due diligence process conforms to Step 3 of the OECD guidance as applicable to our circumstances and position in the supply chain as a “downstream” company with little to no direct influence on smelters/refiners. To the extent that we can influence our direct suppliers to provide minerals from conflict-free smelters or refiners, we seek to do so.


Step 4 – Carry out independent third-party audit of supply chain

We do not have direct relationships with smelters or refiners and, accordingly, we do not perform direct audits of these entities in our supply chain. Rather, we rely on the efforts of industry associations that administer independent third-party smelter and refiner audit programs. In this regard, we relied on the RMAP listing of conflict-free compliant sources.

Step 5 - Report on supply chain due diligence

We have prepared and filed a Form SD and this Conflict Minerals Report, and posted the required content on our website at www.analogic.com/compliance.

Due Diligence Results

After conducting the due diligence described above, we have been unable to determine whether our necessary conflict minerals finance or otherwise benefit armed groups in the covered countries, as defined in the Rule.

Our efforts to determine the mine or location of origin of the necessary conflict minerals consisted of the due diligence measures described above in this report. Based on the information provided by our suppliers, we determined that some, but not all, of the smelters that processed the necessary conflict minerals were included in the RMI RMAP listing of conflict-free compliant sources.

We surveyed all of our principal suppliers of the Covered Products and received responses from over 81% of suppliers surveyed. All final CMRT submissions were reviewed and validated to ensure that no inaccuracies or gaps were found. All suppliers were able to correct their CMRT and as such we have received no invalid submissions. We identified approximately 312 legitimate smelters or refiners (after elimination of duplicates) processing conflict minerals, of which approximately 253 have been designated conflict-free by the RMI. Annex A lists these legitimate smelters and refiners. In addition, Annex B lists the countries of origin identified by our suppliers. Some suppliers did not respond to our survey request, and some returned incomplete responses. In addition, some of those suppliers that responded to our survey returned company-level rather than product-level information. Some of our suppliers indicated that the smelters used to process, or the country of origin of, the conflict minerals contained in products supplied by them are currently undetermined pending the receipt of additional information from their suppliers. Therefore, we are unable to identify with certainty all of the smelters used to process, or all of the countries of origin of, the necessary conflict minerals.

Efforts to Mitigate Risk

The Company has taken, or expects to take in reporting year 2017, the following steps, to mitigate the risk that the necessary conflict minerals contained in the Company’s products finance or benefit armed groups in the covered countries:

 

  1) Continuing to engage with our suppliers to obtain current, accurate and complete information about the supply chain relevant to 3TGs.

 

  2) Strongly encouraging our direct suppliers to implement responsible sourcing and to have them encourage smelters and refiners to obtain a “conflict-free” designation from an independent, third-party auditor; and

 

  3) Engaging in industry initiatives encouraging “conflict-free” supply chains.

This Conflict Minerals Report contains forward-looking statements relating to actions that we may take in the future. The forward-looking statements included in this report release represent Analogic management’s views and expectations as of the date of this report. Analogic anticipates that subsequent events and developments may cause its views and expectations to change. Although Analogic may elect to update these forward-looking statements at some point in the future, it specifically disclaims any obligation to do so. These forward-looking statements should not be relied upon as representing Analogic’s views and expectations as of any date subsequent to the date of this report.


Annex A

 

Metal

  

Standard Smelter Name

  

Smelter

Facility

Location

  

Smelter ID

  

Conflict
Free?

Gold    Abington Reldan Metals, LLC    UNITED STATES    CID002708    Unknown
Gold    Advanced Chemical Company    UNITED STATES    CID000015    Yes
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    CID000019    Yes
Gold    Al Etihad Gold LLC    UNITED ARAB EMIRATES    CID002560    Yes
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    CID000035    Yes
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    CID000041    Yes
Gold    AngloGold Ashanti Córrego do Sítio Mineração    BRAZIL    CID000058    Yes
Gold    Argor-Heraeus S.A.    SWITZERLAND    CID000077    Yes
Gold    Asahi Pretec Corp.    JAPAN    CID000082    Yes
Gold    Asahi Refining Canada Ltd.    CANADA    CID000924    Yes
Gold    Asahi Refining USA Inc.    UNITED STATES    CID000920    Yes
Gold    Asaka Riken Co., Ltd.    JAPAN    CID000090    Yes
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    CID000103    Unknown
Gold    AU Traders and Refiners    SOUTH AFRICA    CID002850    Yes
Gold    Aurubis AG    GERMANY    CID000113    Yes
Gold    Bangalore Refinery    INDIA    CID002863    Unknown
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    CID000128    Yes
Gold    Boliden AB    SWEDEN    CID000157    Yes
Gold    C. Hafner GmbH + Co. KG    GERMANY    CID000176    Yes
Gold    Caridad    MEXICO    CID000180    Unknown
Gold    CCR Refinery—Glencore Canada Corporation    CANADA    CID000185    Yes
Gold    Cendres + Métaux S.A.    SWITZERLAND    CID000189    Yes
Gold    Chimet S.p.A.    ITALY    CID000233    Yes
Gold    Chugai Mining    JAPAN    CID000264    Unknown
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    CID000328    Yes
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA    CID000343    Unknown
Gold    Degussa Sonne / Mond Goldhandel GmbH    GERMANY    CID002867    Unknown
Gold    DODUCO Contacts and Refining GmbH    GERMANY    CID000362    Yes
Gold    Dowa    JAPAN    CID000401    Yes
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    CID000359    Yes


Gold    Eco-System Recycling Co., Ltd.    JAPAN    CID000425    Yes
Gold    Elemetal Refining, LLC    UNITED STATES    CID001322    Unknown
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    CID002561    Yes
Gold    Fidelity Printers and Refiners Ltd.    ZIMBABWE    CID002515    Unknown
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA    CID002852    Unknown
Gold    Geib Refining Corporation    UNITED STATES    CID002459    Yes
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    CID002243    Yes
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    CID001909    Unknown
Gold    Guangdong Jinding Gold Limited    CHINA    CID002312    Unknown
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    CID000651    Unknown
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    CID000671    Unknown
Gold    HeeSung    KOREA, REPUBLIC OF    CID000689    Yes
Gold    Heimerle + Meule GmbH    GERMANY    CID000694    Yes
Gold    Heraeus Metals Hong Kong Ltd.    CHINA    CID000707    Yes
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    CID000711    Yes
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000767    Unknown
Gold    Hwasung CJ Co., Ltd.    KOREA, REPUBLIC OF    CID000778    Unknown
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    CID000801    Yes
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    CID000807    Yes
Gold    Istanbul Gold Refinery    TURKEY    CID000814    Yes
Gold    Italpreziosi    ITALY    CID002765    Yes
Gold    Japan Mint    JAPAN    CID000823    Yes
Gold    Jiangxi Copper Co., Ltd.    CHINA    CID000855    Yes
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    CID000927    Yes
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    CID000929    Yes
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    CID000937    Yes
Gold    Kaloti Precious Metals    UNITED ARAB EMIRATES    CID002563    Unknown
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN    CID000956    Unknown
Gold    Kazzinc    KAZAKHSTAN    CID000957    Yes
Gold    Kennecott Utah Copper LLC    UNITED STATES    CID000969    Yes
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    CID002511    Unknown
Gold    Kojima Chemicals Co., Ltd.    JAPAN    CID000981    Yes
Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    CID002605    Yes
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    CID001029    Yes


Gold    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION    CID002865    Unknown
Gold    L’azurde Company For Jewelry    SAUDI ARABIA    CID001032    Unknown
Gold    Lingbao Gold Co., Ltd.    CHINA    CID001056    Unknown
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    CID001058    Unknown
Gold    L’Orfebre S.A.    ANDORRA    CID002762    Unknown
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    CID001078    Yes
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    CID001093    Unknown
Gold    Marsam Metals    BRAZIL    CID002606    Yes
Gold    Materion    UNITED STATES    CID001113    Yes
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    CID001119    Yes
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    CID001149    Yes
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    CID001152    Yes
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    CID001147    Yes
Gold    Metalor Technologies S.A.    SWITZERLAND    CID001153    Yes
Gold    Metalor USA Refining Corporation    UNITED STATES    CID001157    Yes
Gold    Metalúrgica Met-Mex Peñoles S.A. De C.V.    MEXICO    CID001161    Yes
Gold    Mitsubishi Materials Corporation    JAPAN    CID001188    Yes
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001193    Yes
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    CID002509    Yes
Gold    Modeltech Sdn Bhd    MALAYSIA    CID002857    Unknown
Gold    Morris and Watson    NEW ZEALAND    CID002282    Unknown
Gold    Morris and Watson Gold Coast    AUSTRALIA    CID002866    Unknown
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    CID001204    Yes
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY    CID001220    Yes
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    CID001236    Unknown
Gold    Nihon Material Co., Ltd.    JAPAN    CID001259    Yes
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    CID002779    Yes
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    CID001325    Yes
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    CID001326    Yes
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    CID000493    Yes
Gold    PAMP S.A.    SWITZERLAND    CID001352    Yes
Gold    Pease & Curren    UNITED STATES    CID002872    Unknown
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA    CID001362    Unknown


Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    CID001386    Yes
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    CID001397    Yes
Gold    PX Précinox S.A.    SWITZERLAND    CID001498    Yes
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    CID001512    Yes
Gold    Refinery of Seemine Gold Co., Ltd.    CHINA    CID000522    Unknown
Gold    Remondis Argentia B.V.    NETHERLANDS    CID002582    Unknown
Gold    Republic Metals Corporation    UNITED STATES    CID002510    Yes
Gold    Royal Canadian Mint    CANADA    CID001534    Yes
Gold    SAAMP    FRANCE    CID002761    Yes
Gold    Sabin Metal Corp.    UNITED STATES    CID001546    Unknown
Gold    Safimet S.p.A    Italy    CID002973    Yes
Gold    SAFINA A.S.    CZECH REPUBLIC    CID002290    Unknown
Gold    Sai Refinery    INDIA    CID002853    Unknown
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    CID001555    Yes
Gold    SAMWON Metals Corp.    KOREA, REPUBLIC OF    CID001562    Unknown
Gold    SAXONIA Edelmetalle GmbH    GERMANY    CID002777    Yes
Gold    Schone Edelmetaal B.V.    NETHERLANDS    CID001573    Yes
Gold    SEMPSA Joyería Platería S.A.    SPAIN    CID001585    Yes
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    CID001619    Unknown
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    CID001622    Yes
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    CID001736    Yes
Gold    Singway Technology Co., Ltd.    TAIWAN    CID002516    Yes
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    CID001756    Yes
Gold    Solar Applied Materials Technology Corp.    TAIWAN    CID001761    Yes
Gold    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    CID003153    Unknown
Gold    Sudan Gold Refinery    SUDAN    CID002567    Unknown
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    CID001798    Yes
Gold    SungEel HiTech    KOREA, REPUBLIC OF    CID002918    Yes
Gold    T.C.A S.p.A    ITALY    CID002580    Yes
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    CID001875    Yes
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    CID001916    Yes
Gold    Tokuriki Honten Co., Ltd.    JAPAN    CID001938    Yes
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    CID001947    Unknown


Gold    Tony Goetz NV    BELGIUM    CID002587    Unknown
Gold    TOO Tau-Ken-Altyn    KAZAKHSTAN    CID002615    Unknown
Gold    Torecom    KOREA, REPUBLIC OF    CID001955    Yes
Gold    Umicore Brasil Ltda.    BRAZIL    CID001977    Yes
Gold    Umicore Precious Metals Thailand    THAILAND    CID002314    Yes
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    CID001980    Yes
Gold    United Precious Metal Refining, Inc.    UNITED STATES    CID001993    Yes
Gold    Universal Precious Metals Refining Zambia    ZAMBIA    CID002854    Unknown
Gold    Valcambi S.A.    SWITZERLAND    CID002003    Yes
Gold    Western Australian Mint trading as The Perth Mint    AUSTRALIA    CID002030    Yes
Gold    WIELAND Edelmetalle GmbH    GERMANY    CID002778    Yes
Gold    Yamamoto Precious Metal Co., Ltd.    JAPAN    CID002100    Yes
Gold    Yokohama Metal Co., Ltd.    JAPAN    CID002129    Yes
Gold    Yunnan Copper Industry Co., Ltd.    CHINA    CID000197    Unknown
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    CID002224    Yes
Tantalum    Asaka Riken Co., Ltd.    JAPAN    CID000092    Yes
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    CID000211    Yes
Tantalum    D Block Metals, LLC    UNITED STATES    CID002504    Yes
Tantalum    Duoluoshan    CHINA    CID000410    Unknown
Tantalum    Exotech Inc.    UNITED STATES    CID000456    Yes
Tantalum    F&X Electro-Materials Ltd.    CHINA    CID000460    Yes
Tantalum    FIR Metals & Resource Ltd.    CHINA    CID002505    Yes
Tantalum    Global Advanced Metals Aizu    JAPAN    CID002558    Yes
Tantalum    Global Advanced Metals Boyertown    UNITED STATES    CID002557    Yes
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA    CID000291    Yes
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    CID000616    Yes
Tantalum    H.C. Starck Co., Ltd.    THAILAND    CID002544    Yes
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    CID002547    Yes
Tantalum    H.C. Starck Inc.    UNITED STATES    CID002548    Yes
Tantalum    H.C. Starck Ltd.    JAPAN    CID002549    Yes
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002550    Yes
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY    CID002545    Yes
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    CID002492    Yes
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    CID002512    Yes


Tantalum    Jiangxi Tuohong New Raw Material    CHINA    CID002842    Yes
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    CID000914    Yes
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    CID000917    Yes
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    CID002506    Yes
Tantalum    KEMET Blue Metals    MEXICO    CID002539    Yes
Tantalum    KEMET Blue Powder    UNITED STATES    CID002568    Yes
Tantalum    King-Tan Tantalum Industry Ltd.    CHINA    CID000973    Yes
Tantalum    LSM Brasil S.A.    BRAZIL    CID001076    Yes
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    CID001163    Yes
Tantalum    Mineracao Taboca S.A.    BRAZIL    CID001175    Yes
Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001192    Yes
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    CID001277    Yes
Tantalum    NPM Silmet AS    ESTONIA    CID001200    Yes
Tantalum    Power Resources Ltd.    MACEDONIA    CID002847    Yes
Tantalum    QuantumClean    UNITED STATES    CID001508    Yes
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL    CID002707    Yes
Tantalum    RFH Tantalum Smeltry Co., Ltd.    CHINA    CID001522    Yes
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    CID001769    Yes
Tantalum    Taki Chemicals    JAPAN    CID001869    Yes
Tantalum    Telex Metals    UNITED STATES    CID001891    Yes
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    CID001969    Yes
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    CID002508    Yes
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CHINA    CID002307    Yes
Tin    Alpha    UNITED STATES    CID000292    Yes
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM    CID002703    Unknown
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    CID000228    Yes
Tin    China Tin Group Co., Ltd.    CHINA    CID001070    Yes
Tin    CNMC (Guangxi) PGMA Co., Ltd.    CHINA    CID000278    Unknown
Tin    CV Ayi Jaya    INDONESIA    CID002570    Yes
Tin    CV Dua Sekawan    INDONESIA    CID002592    Yes
Tin    CV Gita Pesona    INDONESIA    CID000306    Yes
Tin    CV Tiga Sekawan    INDONESIA    CID002593    Yes
Tin    CV United Smelting    INDONESIA    CID000315    Yes
Tin    CV Venus Inti Perkasa    INDONESIA    CID002455    Yes
Tin    Dowa    JAPAN    CID000402    Yes


Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    CID002572    Unknown
Tin    EM Vinto    BOLIVIA    CID000438    Yes
Tin    Estanho de Rondônia S.A.    BRAZIL    CID000448    Unknown
Tin    Fenix Metals    POLAND    CID000468    Yes
Tin    Gejiu Fengming Metallurgy Chemical Plant    CHINA    CID002848    Yes
Tin    Gejiu Jinye Mineral Company    CHINA    CID002859    Yes
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    CID000942    Yes
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    CID000538    Yes
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    CID001908    Yes
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    CID000555    Unknown
Tin    Guangdong Hanhe Non-ferrous Metal Limited Company    CHINA    CID003116    Yes
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    CID002849    Yes
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    CID002844    Yes
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA    CID000760    Yes
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    CHINA    CID000244    Yes
Tin    Jiangxi New Nanshan Technology Ltd.    CHINA    CID001231    Yes
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    CID002468    Yes
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    CID001105    Yes
Tin    Melt Metais e Ligas S.A.    BRAZIL    CID002500    Yes
Tin    Metallic Resources, Inc.    UNITED STATES    CID001142    Yes
Tin    Metallo Belgium N.V.    BELGIUM    CID002773    Yes
Tin    Metallo Spain S.L.U.    SPAIN    CID002774    Yes
Tin    Mineracao Taboca S.A.    BRAZIL    CID001173    Yes
Tin    Minsur    PERU    CID001182    Yes
Tin    Mitsubishi Materials Corporation    JAPAN    CID001191    Yes
Tin    Modeltech Sdn Bhd    MALAYSIA    CID002858    Unknown
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    CID002573    Unknown
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314    Yes
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517    Yes
Tin    Operaciones Metalurgical S.A.    BOLIVIA    CID001337    Yes
Tin    PT Aries Kencana Sejahtera    INDONESIA    CID000309    Yes
Tin    PT Artha Cipta Langgeng    INDONESIA    CID001399    Yes
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    CID002503    Yes
Tin    PT Babel Inti Perkasa    INDONESIA    CID001402    Yes
Tin    PT Bangka Prima Tin    INDONESIA    CID002776    Yes
Tin    PT Bangka Tin Industry    INDONESIA    CID001419    Yes


Tin    PT Belitung Industri Sejahtera    INDONESIA    CID001421    Yes
Tin    PT Bukit Timah    INDONESIA    CID001428    Yes
Tin    PT DS Jaya Abadi    INDONESIA    CID001434    Yes
Tin    PT Eunindo Usaha Mandiri    INDONESIA    CID001438    Yes
Tin    PT Inti Stania Prima    INDONESIA    CID002530    Yes
Tin    PT Karimun Mining    INDONESIA    CID001448    Yes
Tin    PT Kijang Jaya Mandiri    INDONESIA    CID002829    Yes
Tin    PT Lautan Harmonis Sejahtera    INDONESIA    CID002870    Yes
Tin    PT Menara Cipta Mulia    INDONESIA    CID002835    Yes
Tin    PT Mitra Stania Prima    INDONESIA    CID001453    Yes
Tin    PT O.M. Indonesia    INDONESIA    CID002757    Yes
Tin    PT Panca Mega Persada    INDONESIA    CID001457    Yes
Tin    PT Premium Tin Indonesia    INDONESIA    CID000313    Yes
Tin    PT Prima Timah Utama    INDONESIA    CID001458    Yes
Tin    PT Refined Bangka Tin    INDONESIA    CID001460    Yes
Tin    PT Sariwiguna Binasentosa    INDONESIA    CID001463    Yes
Tin    PT Stanindo Inti Perkasa    INDONESIA    CID001468    Yes
Tin    PT Sukses Inti Makmur    INDONESIA    CID002816    Yes
Tin    PT Sumber Jaya Indah    INDONESIA    CID001471    Yes
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA    CID001477    Yes
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA    CID001482    Yes
Tin    PT Tinindo Inter Nusa    INDONESIA    CID001490    Yes
Tin    PT Tommy Utama    INDONESIA    CID001493    Yes
Tin    Resind Industria e Comercio Ltda.    BRAZIL    CID002706    Yes
Tin    Rui Da Hung    TAIWAN    CID001539    Yes
Tin    Soft Metais Ltda.    BRAZIL    CID001758    Yes
Tin    Super Ligas    Brazil    CID002756    Unknown
Tin    Thaisarco    THAILAND    CID001898    Yes
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    CID002574    Unknown
Tin    White Solder Metalurgia e Mineração Ltda.    BRAZIL    CID002036    Yes
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    CID002158    Yes
Tin    Yunnan Tin Company Limited    CHINA    CID002180    Yes
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN    CID000004    Yes
Tungsten    ACL Metais Eireli    BRAZIL    CID002833    Yes
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM    CID002502    Yes
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    CID002513    Yes
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    CID000258    Yes
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    CID000499    Yes
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    CID002645    Unknown


Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    CID000875    Yes
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    CID002315    Yes
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    CID002494    Yes
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CHINA    CID002536    Unknown
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES    CID000568    Yes
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218    Yes
Tungsten    H.C. Starck Smelting GmbH & Co.KG    GERMANY    CID002542    Yes
Tungsten    H.C. Starck Tungsten GmbH    GERMANY    CID002541    Yes
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000766    Yes
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    CID002579    Yes
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769    Yes
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    CID002649    Yes
Tungsten    Japan New Metals Co., Ltd.    JAPAN    CID000825    Yes
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    CID002551    Yes
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA    CID002647    Unknown
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    CID002321    Yes
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    CID002313    Unknown
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318    Yes
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317    Yes
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CHINA    CID002535    Yes
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CID002316    Yes
Tungsten    Kennametal Fallon    UNITED STATES    CID000966    Yes
Tungsten    Kennametal Huntsville    UNITED STATES    CID000105    Yes
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    CID002319    Yes
Tungsten    Moliren Ltd    RUSSIAN FEDERATION    CID002845    Yes
Tungsten    Niagara Refining LLC    UNITED STATES    CID002589    Yes
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM    CID002543    Yes
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    CID002827    Yes
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA    CID002815    Yes
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    CID001889    Yes
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    CID002724    Yes


Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    VIET NAM    CID002011    Yes
Tungsten    Wolfram Bergbau und Hütten AG    AUSTRIA    CID002044    Yes
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    CID002843    Yes
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    CID002320    Yes
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    CID002082    Yes
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    CID002830    Yes
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    CID002095    Yes

Annex B

The list below sets out possible countries of origin of 3TGs used in the manufacture of our products containing 3TGs. The list is based on publicly available information, our reasonable country of origin investigation, and other due diligence. However, for the reasons described in the CMR, these possible countries of origin cannot be linked to our products with reasonable certainty.

Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Cambodia, Canada, Chile, China, Columbia, Cote D’Ivoire, Czech Republic, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, France, Germany, Guyana, Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Laos, Luxembourg, Madagascar, Malaysia, Mongolia, Myanmar, Namibia, Netherlands, Nigeria, Peru, Portugal, Russia, Sierra Leone, Singapore, Slovakia, South Korea, Spain, Suriname, Switzerland, Taiwan, Thailand, United Kingdom, United States, Vietnam, Zimbabwe, Kenya, Mozambique, South Africa, Democratic Republic of the Congo, Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia.