Exhibit 1.01    Conflict Minerals Report

For the Year Ended December 31, 2019

This is the Conflict Minerals Report of TTM Technologies, Inc. (the “Company” or “TTM”) for the calendar year 2019 (ended December 31, 2019) in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”), and the instructions to Form SD. Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise defined herein.

Rule 13p-1 and Form SD require the disclosure of certain information if a company manufactures or contracts to manufacture products for which certain “Conflict Minerals” (as defined below) are present in the products and necessary to the functionality of such products. Form SD defines “Conflict Minerals” as: (i)(a) columbite-tantalite (or coltan, the metal ore from which tantalum is extracted), (b) cassiterite (the metal ore from which tin is extracted), (c) gold and (d) wolframite (the metal ore from which tungsten is extracted), or their derivatives, which are currently limited to tantalum, tin and tungsten; or (ii) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively, the “Covered Countries”).

 

(1)	Product Description

TTM is a leading global printed circuit board (“PCB”) manufacturer, focusing on quick-turn and volume production of technologically complex PCBs, backplane assemblies and electro-mechanical solutions (“E-M Solutions”), as well as a global designer and manufacturer of radio-frequency (“RF”) and microwave components and assemblies. The Company provides time-to-market and volume production of advanced technology products and offers a one-stop design, engineering and manufacturing solution to customers. This one-stop design and manufacturing solution enables the Company to align technology developments with the diverse needs of the Company’s customers and to enable them to reduce the time required to develop new products and bring them to market. The Company serves a diversified customer base in various markets throughout the world, including aerospace and defense, automotive components, smart phones and other mobile devices, high-end computing, medical, industrial and instrumentation related products, as well as networking/communications infrastructure products. The Company’s customers include both original equipment manufacturers (“OEMs”) and electronic manufacturing services (“EMS”) providers.

As a company whose business is electronics manufacturing and assembly, TTM is several levels removed from the actual mining and refining of Conflict Minerals. TTM does not purchase raw ore or unrefined Conflict Minerals and makes no direct purchases in the Covered Countries.

Our customers, who may also have a responsibility to conduct due diligence as to the source of Conflict Minerals used in their products, frequently specify the exact materials and components we use, and in many cases specify the suppliers from which we source these minerals and components. As a result, we are limited in our ability to exercise discretion in sourcing certain materials and components. Similarly, our ability to influence the supply chain practices of suppliers selected by our customers is limited. Thus, our ability to change the sourcing of our Conflict Minerals depends on our customers’ selections of suppliers and designs.

 

(2)	Due Diligence in Accordance with the Organization for Economic Cooperation and Development (the “OECD”) 5-Step Framework

TTM has processes in place for the purpose of exercising due diligence over its supply chain as it relates to minerals from conflict-affected and high risk areas. The design of the due diligence processes conforms substantially to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related supplements for gold, tin, tantalum and tungsten (the “OECD Guidance”) as it relates to “downstream” purchasers of products and components. The due diligence processes have been described below under sub-headings corresponding to the five-step framework of the OECD Guidance.

Step 1 – Establish and Maintain Strong Company Management Systems

 

1.1

TTM has adopted a Conflict Minerals Policy and Statement (the “Policy”). A copy of the Policy, together with a copy of this Form SD and Conflict Minerals Report, can be found on the Company’s website at https://investors.ttm.com/corporate-governance/highlights. The content of our website as referred to in this

 

Exhibit 1.01 – Page 1

Form SD and Report is included for general information only and is not incorporated by reference herein. In accordance with the Policy, TTM is continuing to review its suppliers’ declarations and has sought their cooperation and assistance in ensuring that the Conflict Minerals used in TTM products are sourced reliably and responsibly. However, as noted in the Policy and above, TTM’s purchasing decisions are limited by the level of cooperation it receives from suppliers in sourcing responsibly from non-conflict areas.

 

1.2	TTM has a Conflict Minerals Steering Committee to review and enhance the cross-functional working group (the “Working Group”) tasked with developing policies and procedures consistent with the OECD Guidance.

 

1.3

In accordance with the requirements of Rule 13p-1 and the instructions to Form SD, the Working Group annually reviews the Company’s products, almost all of which are manufactured to customer specifications, to determine if they contain Conflict Minerals necessary to the products’ generally expected functions, use, purpose or production.

 

1.4	The Working Group concluded that the bare PCBs may contain either gold or tin in surface finishes, and the E-M Solutions and RF/Microwave products manufactured in 2019 may contain any of the four Conflict Minerals in components.

Step 2 – Identify and Assess Risks in the Supply Chain

 

2.1

The Working Group has identified the suppliers of the materials and components that contain Conflict Minerals in TTM’s products and conducted a supply-chain survey to obtain source smelter identification from its suppliers of Conflict Minerals using the standard conflict minerals reporting template (“CMRT”) published by the Responsible Minerals Initiative (“RMI”) (formerly the Conflict Free Sourcing Initiative).

 

2.2

The CMRT was distributed to all identified suppliers of components or materials containing Conflict Minerals to determine the country of origin of the Conflict Minerals contained therein, and whether such Conflict Minerals were sourced from recycled or scrap materials. The CMRT requested information on Conflict Minerals in components or materials supplied to TTM for products manufactured during calendar year 2019 and contained representations as to the source and origin of the necessary Conflict Minerals contained in the relevant products.

 

2.3	In addition to identifying suppliers of Conflict Minerals to the Company and collecting supply-chain smelter information, TTM’s diligence measures included requesting suppliers to declare if any Conflict Minerals contained in their products originated in the Covered Countries.

 

2.4

The Company believes that complete information was received from all identified suppliers to its PCB products. However, many suppliers to TTM’s much smaller E-M Solutions and RF/Microwave businesses reported that their supply chain information was incomplete. TTM continues to seek complete and accurate information from its Conflict Minerals supply chain sources from relevant suppliers.

 

2.5	The Company renewed its membership in the RMI to retain its timely access to global Conflict Minerals smelter information.

 

2.6	Smelters and refiners identified in the supply-chain survey were checked against RMI-provided smelter information to confirm the status of their Conflict Minerals related sourcing activities.

Step 3 – Design and Implement a Strategy to Respond to Identified Risks

 

3.1

Changes to the status of the identified TTM PCB supply chain smelters were monitored regularly. All identified PCB sourcing concerns were addressed through outreach to the relevant members of TTM’s supply chain. There were cases during the reporting year where supply chain changes were related to Conflict Minerals sourcing. In such cases, TTM reached out to our direct supply chain and they reported modifying their sourcing in response.

 

3.2

Changes to the status of the identified TTM E-M Solutions supply chain smelters were only monitored for solder sourcing and there were no recorded cases where intervention occurred during the reporting year. All other raw materials used to manufacture customer parts are subject to strict controls from TTM’s customers, were not subject to TTM discretionary change, and were therefore not included in any ongoing monitoring or outreach program.

 

Exhibit 1.01 – Page 2

3.3	The status of the identified RF/Microwave supply chain smelters was updated at the end of 2019. No cases of intervention occurred during the reporting year.

 

3.4

After reviewing supply chain and other identified publicly available information, the Company believes that some portion of the tantalum, tin, tungsten and gold in our supply chain may have been mined in Covered Countries. Grouped by metal, the following is our best estimate of the smelter, and smelter location, that may have contributed Conflict Minerals from Covered Countries to our supply chain for products manufactured during the 2019 calendar year:

 

Metal		Smelter Name				Country
Gold		Emirates Gold DMCC		—		United Arab Emirates
Gold		L’Orfebre S.A.		—		Andorra
Gold		Metalurgica Met-Mex Penoles S.A. De C.V.		—		Mexico
Gold		Royal Canadian Mint		—		Canada
Gold		Shandong Zhaojin Gold & Silver Refinery Co., Ltd.		—		China
Gold		The Refinery of Shandong Gold Mining Co., Ltd.		—		China
Gold		Umicore Brasil Ltda.		—		Brazil
Tantalum		Changsha South Tantalum Niobium Co., Ltd.		—		China
Tantalum		D Block Metals, LLC		—		United States of America
Tantalum		Exotech Inc.		—		United States of America
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 of America
Tantalum		Guangdong Rising Rare Metals-EO Materials Ltd.		—		China
Tantalum		Guangdong Zhiyuan New Material Co., Ltd.		—		China
Tantalum		H.C. Starck Co., Ltd.		—		Thailand
Tantalum		H.C. Starck Inc.		—		United States of America
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		Jiangxi Dinghai Tantalum & Niobium Co., Ltd.		—		China
Tantalum		Jiangxi Tuohong New Raw Material		—		China
Tantalum		JiuJiang JinXin Nonferrous Metals Co., Ltd.		—		China
Tantalum		Jiujiang Janny New Material Co., Ltd.		—		China
Tantalum		Jiujiang Tanbre Co., Ltd.		—		China
Tantalum		KEMET Blue Metals		—		Mexico
Tantalum		KEMET Blue Powder		—		United States of America

 

Exhibit 1.01 – Page 3

Tantalum		Ningxia Orient Tantalum Industry Co., Ltd.		—		China
Tantalum		Power Resources Ltd.		—		North Macedonia, Republic of
Tantalum		Taki Chemical Co., Ltd.		—		Japan
Tantalum		Telex Metals		—		United States of America
Tantalum		Ulba Metallurgical Plant JSC		—		Kazakhstan
Tantalum		XinXing Haorong Electronic Material Co., Ltd.		—		China
Tantalum		Yanling Jincheng Tantalum & Niobium Co., Ltd.		—		China
Tin		Alpha		—		United States of America
Tin		Jiangxi New Nanshan Technology Ltd.		—		China
Tin		Malaysia Smelting Corporation (MSC)		—		Malaysia
Tin		Metallo Belgium N.V.		—		Belgium
Tin		Metallo Spain S.L.U.		—		Spain
Tin		Thaisarco		—		Thailand
Tin		Tin Technology & Refining		—		United States of America
Tin		Yunnan Tin Company Limited		—		China
Tungsten		A.L.M.T. TUNGSTEN Corp.		—		Japan
Tungsten		Asia Tungsten Products Vietnam Ltd.		—		Viet Nam
Tungsten		Global Tungsten & Powders Corp.		—		United States of America
Tungsten		H.C. Starck Smelting GmbH & Co. KG		—		Germany
Tungsten		Japan New Metals Co., Ltd.		—		Japan
Tungsten		Kennametal Fallon		—		United States of America
Tungsten		Masan Tungsten Chemical LLC (MTC)		—		Viet Nam
Tungsten		Niagara Refining LLC		—		United States of America
Tungsten		Wolfram Bergbau und Hutten AG		—		Austria
Tungsten		Xiamen Tungsten (H.C.) Co., Ltd.		—		China

Although we do not have complete source-smelter information from a number of our customer-specified suppliers, we obtained no affirmative information indicating that any of the Conflict Minerals from the smelters listed above were financed by or benefited armed groups that operate in the Covered Countries of the DRC region.

 

3.5

As noted above, the Company’s supply chain survey did not yield complete source-smelter information from a number of customer-specified suppliers of Conflict Minerals for TTM’s E-M Solutions and RF/Microwave products. The Company is continuing its efforts to work with such suppliers to ensure complete information is provided to the Company, including the country of origin of the relevant Conflict Minerals and the identity of the source smelters used to process the minerals. As additional information is obtained, the Company will undertake to determine whether such smelters have been listed by RMI as compliant with the “Responsible Minerals Assurance Process (RMAP)” or otherwise. In connection with such continuing diligence, the Company intends to continue education of and outreach to its suppliers as needed.

 

Exhibit 1.01 – Page 4

Step 4 – Carry Out Independent Third-Party Audit (“IPSA”) of Smelter/Refiner’s Due Diligence Practices

 

4.1

TTM supports the RMI conflict free smelter program as well as the development and implementation of due diligence practices and tools such as the CMRT. TTM analyzed the data received on smelters and refiners and compared such information against the list of facilities that were designated as Conformant by the RMI. However, due to the structure of the Company’s supply chain as noted in the Policy and above, there are generally multiple tiers of suppliers between TTM and the smelters and refiners in the supply chain, and TTM does not purchase raw ore or unrefined Conflict Minerals or make any direct purchases in the Covered Countries. Therefore, as contemplated by the OECD Guidance for “downstream” companies, TTM has not performed its own audits of smelters or refiners. TTM will obtain an IPSA as and when required by Form SD.

Step 5 – Report Annually on Supply Chain Due Diligence

 

5.1	TTM submitted its Form SD with Exhibit 1.01 to SEC and posted the same to TTM’s external website for each prior reporting period. The most recent prior reporting period ended December 31, 2018 and the relevant Form SD was submitted to SEC and posted on TTM’s external web site on May 24, 2019.

 

(3)

Products

The Company has identified the following products that may contain Conflict Minerals necessary to the functionality or production of products manufactured, or contracted to manufacture:

As noted in section (1) above, TTM products are the following:

 

1.

Bare PCBs fabricated to customer specifications, including procurement of heat sinks and their attachments, where applicable;

 

2.

E-M Solutions including printed circuit assemblies assembled to customer specified bills of materials using customer controlled components from customer approved vendor lists and any other products assembled to customer design and using customer specified suppliers; and

 

3.

Products manufactured at RF/Microwave manufacturing facilities that were fabricated to customer design and material specifications and RF/Microwave products manufactured in accordance with TTM designs.

Appendix I contains a listing of smelters provided by TTM’s PCB supply chain for products manufactured during the 2019 calendar year. With the exception of the smelters so indicated that were subsequently removed from TTM’s PCB supply chain, all are currently recognized as RMI conformant or DRC Conflict Free.

Appendix II is a listing of smelters reported by the Company’s E-M Solutions and RF/Microwave supply chain for products manufactured during the 2019 calendar year. The supply chain data quality associated with these parts appears to be significantly less robust. Some smelters names provided may not be actual smelters and some names provided are recognized as not currently participating in any internationally recognized RMAP. TTM will continue to encourage customers to choose known Conflict Free sources as opportunities allow.

 

(4)

Summary

TTM’s reasonable country of origin inquiry is based on third party audit information and, to the extent that audited information is not available, it draws on additional information that TTM and others have collected. To the extent reasonably possible, TTM has documented the country of origin of identified smelters and refiners based on information from the RMI, surveys of smelters and refiners, and/or third party reviews of publicly available information. However, some country of origin information has not been audited by a third party because, among other reasons, applicable smelters and refiners have gone out of operation before completing a third party audit, smelters and refiners have not gone through a third party audit, or the third party audit does not yet include reporting of country of origin information. Based on the information provided by TTM’s suppliers, smelters, and refiners, as well as from the RMI and other sources, TTM believes that the Conflict Minerals contained in its products were processed in the countries listed in the Appendices below and has indicated where the smelters have previously been audited by RMI and found to be sourcing conflict free, or are working with RMI to be audited in the future.

 

Exhibit 1.01 – Page 5

TTM’s customers, who may also have a responsibility to conduct due diligence as to the source of Conflict Minerals used in their products, frequently specify the exact materials, components and suppliers we use, which limits our ability to exercise discretion in sourcing certain materials and components, and our ability to influence the supply chain practices of suppliers. Accordingly, the Company’s success in making determinations about the potential presence of Conflict Minerals in its products depends upon various factors including, but not limited to, (i) the respective due diligence efforts of its suppliers and their supply chain; (ii) such suppliers’ respective willingness, whether public or private entities, to disclose such information to the Company; and (iii) the ability of the involved entities to make their determinations in accordance with nationally or internationally recognized standards, including the Guidance provided by the OECD. The failure to obtain reliable information from any level of TTM’s supply chain could have a material impact on the Company’s future ability to report on the presence of Conflict Minerals with any degree of certainty. There can be no assurance that the Company’s suppliers will continue to cooperate with diligence inquiries and requests for certifications or provide documentation or other evidence that TTM considers reliable or in a time frame sufficient to allow the Company to make its own assessment following appropriate further diligence measures, if any.

 

 

Appendix I

Conflict Minerals Sources to PCB Global Operations 2019

Appendix II

Conflict Minerals Sources to E-M Solutions and RF/Microwave Global Operations 2019

 

Exhibit 1.01 – Page 6

Appendix I

Conflict Minerals Sources to PCB Global Operations 2019

 

Metal

Metal Total

Smelter Name

Country

RMAP Conformant?

Gold

Advanced Chemical Company

United States of America

Y

Gold

Aida Chemical Industries Co., Ltd.

Japan

Y

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

Germany

Y

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

Brazil

Y

Gold

Argor-Heraeus S.A.

Switzerland

Y

Gold

Asahi Pretec Corp.

Japan

Y

Gold

Asahi Refining Canada Ltd.

Canada

Y

Gold

Asahi Refining USA Inc.

United States of America

Y

Gold

Aurubis AG

Germany

Y

Gold

Boliden AB

Sweden

Y

Gold

C. Hafner GmbH + Co. KG

Germany

Y

Gold

Chimet S.p.A.

Italy

Y

Gold

Dowa

Japan

Y

Gold

Geib Refining Corporation

United States of America

Y

Gold

Heimerle + Meule GmbH

Germany

Y

Gold

Heraeus Metals Hong Kong Ltd.

China

Y

Gold

Heraeus Precious Metals GmbH & Co. KG

Germany

Y

Gold

Ishifuku Metal Industry Co., Ltd.

Japan

Y

Gold

Istanbul Gold Refinery

Turkey

Y

Gold

JX Nippon Mining & Metals Co., Ltd.

Japan

Y

Gold

Kennecott Utah Copper LLC

United States of America

Y

Gold

Kojima Chemicals Co., Ltd.

Japan

Y

Gold

Matsuda Sangyo Co., Ltd.

Japan

Y

Gold

Metalor Technologies (Hong Kong) Ltd.

China

Y

Gold

Metalor Technologies (Singapore) Pte., Ltd.

Singapore

Y

Gold

Metalor Technologies (Suzhou) Ltd.

China

Y

Gold

Metalor Technologies S.A.

Switzerland

Y

Gold

Metalor USA Refining Corporation

United States of America

Y

Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

Mexico

Y

Gold

Mitsubishi Materials Corporation

Japan

Y

Gold

Mitsui Mining and Smelting Co., Ltd.

Japan

Y

Gold

Nihon Material Co., Ltd.

Japan

Y

Gold

PAMP S.A.

Switzerland

Y

Gold

Rand Refinery (Pty) Ltd.

South Africa

Y

Gold

Royal Canadian Mint

Canada

Y

Gold

SAXONIA Edelmetalle GmbH

Germany

Y

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

China

Y

 

Appendix I – Page1

Gold

Sumitomo Metal Mining Co., Ltd.

Japan

Y

Gold

Tanaka Kikinzoku Kogyo K.K.

Japan

Y

Gold

Tokuriki Honten Co., Ltd.

Japan

Y

Gold

Umicore Brasil Ltda.

Brazil

Y

Gold

Umicore S.A. Business Unit Precious Metals Refining

Belgium

Y

Gold

United Precious Metal Refining, Inc.

United States of America

Y

Gold

Valcambi S.A.

Switzerland

Y

Gold

WIELAND Edelmetalle GmbH

Germany

Y

Gold

Western Australian Mint (T/a The Perth Mint)

Australia

Y

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

China

Y

Gold

47

PCB Gold Source Smelters

Tin

Alpha

United States of America

Y

Tin

CV Ayi Jaya

Indonesia

Y

Tin

CV United Smelting

Indonesia

Y

Tin

CV Venus Inti Perkasa

Indonesia

Y

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

China

Y

Tin

China Tin Group Co., Ltd.

China

Y

Tin

Dowa

Japan

Y

Tin

EM Vinto

Bolivia

Y

Tin

Fenix Metals

Poland

Y

Tin

Gejiu Jinye Mineral Company

China

1

Tin

Gejiu Kai Meng Industry and Trade LLC

China

Y

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

China

Y

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

China

Y

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

China

Y

Tin

Huichang Jinshunda Tin Co., Ltd.

China

Y

Tin

Jiangxi New Nanshan Technology Ltd.

China

Y

Tin

Malaysia Smelting Corporation (MSC)

Malaysia

Y

Tin

Metallic Resources, Inc.

United States of America

Y

Tin

Metallo Belgium N.V.

Belgium

Y

Tin

Mineracao Taboca S.A.

Brazil

Y

Tin

Minsur

Peru

Y

Tin

Mitsubishi Materials Corporation

Japan

Y

Tin

Operaciones Metalurgicas S.A.

Bolivia

Y

Tin

PT ATD Makmur Mandiri Jaya

Indonesia

Y

Tin

PT Aries Kencana Sejahtera

Indonesia

Y

Tin

PT Artha Cipta Langgeng

Indonesia

Y

Tin

PT Babel Inti Perkasa

Indonesia

Y

Tin

PT Bangka Prima Tin

Indonesia

Y

Tin

PT Bangka Serumpun

Indonesia

Y

Tin

PT Bangka Tin Industry

Indonesia

Y

Tin

PT Belitung Industri Sejahtera

Indonesia

Y

Tin

PT Bukit Timah

Indonesia

Y

 

Appendix I – Page 2

Tin

PT DS Jaya Abadi

Indonesia

Y

Tin

PT Inti Stania Prima

Indonesia

Y

Tin

PT Menara Cipta Mulia

Indonesia

Y

Tin

PT Mitra Stania Prima

Indonesia

Y

Tin

PT Prima Timah Utama

Indonesia

Y

Tin

PT Rajehan Ariq

Indonesia

Y

Tin

PT Refined Bangka Tin

Indonesia

Y

Tin

PT Sariwiguna Binasentosa

Indonesia

Y

Tin

PT Stanindo Inti Perkasa

Indonesia

Y

Tin

PT Sukses Inti Makmur

Indonesia

Y

Tin

PT Timah Tbk Kundur

Indonesia

Y

Tin

PT Timah Tbk Mentok

Indonesia

Y

Tin

PT Tinindo Inter Nusa

Indonesia

Y

Tin

PT Tommy Utama

Indonesia

Y

Tin

Rui Da Hung

Taiwan, Province of China

Y

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

Viet Nam

Y

Tin

Thaisarco

Thailand

Y

Tin

Tin Technology & Refining

United States of America

Y

Tin

White Solder Metalurgia e Mineracao Ltda.

Brazil

Y

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

China

Y

Tin

Yunnan Tin Company Limited

China

Y

Tin

53

PCB Tin Source Smelters

100

Total PCB Source Smelters

¹ RMAP Conformant prior to ceasing operations.

 

Appendix I – Page 3

Appendix II

Conflict Minerals Sources to E-M Solutions and RF/Microwave Global Operations 2019

 

Metal

Metal Total

Smelter Name

Country

RMAP Conformant?

Gold

8853 S.p.A.

Italy

Y

Gold

ARY Aurum Plus

United Arab Emirates

Gold

AU Traders and Refiners

South Africa

Y

Gold

Abington Reldan Metals, LLC

United States of America

Gold

Advanced Chemical Company

United States of America

Y

Gold

African Gold Refinery

Uganda

Gold

Aida Chemical Industries Co., Ltd.

Japan

Y

Gold

Al Etihad Gold Refinery DMCC

United Arab Emirates

Y

Gold

Al Ghaith Gold

United Arab Emirates

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

Germany

Y

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

Uzbekistan

Y

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

Brazil

Y

Gold

Argor-Heraeus S.A.

Switzerland

Y

Gold

Asahi Pretec Corp.

Japan

Y

Gold

Asahi Refining Canada Ltd.

Canada

Y

Gold

Asahi Refining USA Inc.

United States of America

Y

Gold

Asaka Riken Co., Ltd.

Japan

Y

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

Turkey

Gold

Aurubis AG

Germany

Y

Gold

Bangalore Refinery

India

Y

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

Philippines

Y

Gold

Boliden AB

Sweden

Y

Gold

C. Hafner GmbH + Co. KG

Germany

Y

Gold

C.I Metales Procesados Industriales SAS

Colombia

Gold

CCR Refinery - Glencore Canada Corporation

Canada

Y

Gold

CGR Metalloys Pvt Ltd.

India

Gold

Caridad

Mexico

Gold

Cendres + Metaux S.A.

Switzerland

Y

Gold

Chimet S.p.A.

Italy

Y

Gold

Chugai Mining

Japan

Y

Gold

Colt Refining

United States of America

Gold

DODUCO Contacts and Refining GmbH

Germany

Y

Gold

DS PRETECH Co., Ltd.

Korea, Republic of

Y

Gold

DSC (Do Sung Corporation)

Korea, Republic of

Y

Gold

Daejin Indus Co., Ltd.

Korea, Republic of

Gold

DaeryongENC

Korea, Republic of

Gold

Daye Non-Ferrous Metals Mining Ltd.

China

Gold

Degussa Sonne / Mond Goldhandel GmbH

Germany

Gold

Dijllah Gold Refinery FZC

United Arab Emirates

 

Appendix II – Page 1

Gold

Dowa

Japan

Y

Gold

Eco-System Recycling Co., Ltd. East Plant

Japan

Y

Gold

Eco-System Recycling Co., Ltd. North Plant

Japan

Y

Gold

Eco-System Recycling Co., Ltd. West Plant

Japan

Y

Gold

Elemetal Refining, LLC

United States of America

Gold

Emirates Gold DMCC

United Arab Emirates

Y

Gold

Fidelity Printers and Refiners Ltd.

Zimbabwe

Gold

Fujairah Gold FZC

United Arab Emirates

Gold

GCC Gujrat Gold Centre Pvt. Ltd.

India

Gold

GUANGDONG JINXIAN GAOXIN CAI LIAO GONG SI

China

Gold

Geib Refining Corporation

United States of America

Y

Gold

Gold Coast Refinery

Ghana

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

China

Y

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

China

Gold

Guangdong Hua Jian Trade Co., Ltd.

China

Gold

Guangdong Jinding Gold Limited

China

Gold

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

China

Gold

Hang Seng Technology

China

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

China

Gold

Heimerle + Meule GmbH

Germany

Y

Gold

Henan Yuguang Gold & Lead Co., Ltd.

China

Gold

Heraeus Metals Hong Kong Ltd.

China

Y

Gold

Heraeus Precious Metals GmbH & Co. KG

Germany

Y

Gold

Hetai Gold Mineral Guangdong Co., Ltd.

China

Gold

Hop Hing electroplating factory Zhejiang

Unknown

Gold

Hunan Chenzhou Mining Co., Ltd.

China

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

China

Gold

Hung Cheong Metal Manufacturing Limited

China

Gold

HwaSeong CJ CO., LTD.

Korea, Republic of

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

China

Y

Gold

International Precious Metal Refiners

United Arab Emirates

Gold

Ishifuku Metal Industry Co., Ltd.

Japan

Y

Gold

Istanbul Gold Refinery

Turkey

Y

Gold

Italpreziosi

Italy

Y

Gold

JALAN & Company

India

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

Russian Federation

Gold

JSC Uralelectromed

Russian Federation

Y

Gold

JX Nippon Mining & Metals Co., Ltd.

Japan

Y

Gold

Japan Mint

Japan

Y

Gold

Jiangxi Copper Co., Ltd.

China

Y

Gold

Jin Jinyin Refining Co., Ltd.

China

Gold

Jinlong Copper Co., Ltd.

China

Gold

KGHM Polska Miedz Spolka Akcyjna

Poland

Y

Gold

Kaloti Precious Metals

United Arab Emirates

Gold

Kazakhmys Smelting LLC

Kazakhstan

 

Appendix II – Page 2

Gold

Kazzinc

Kazakhstan

Y

Gold

Kennecott Utah Copper LLC

United States of America

Y

Gold

Kojima Chemicals Co., Ltd.

Japan

Y

Gold

Korea Zinc Co., Ltd.

Korea, Republic of

Y

Gold

Kosak Seiren

Japan

Gold

Kundan Care Products Ltd.

India

Gold

Kyrgyzaltyn JSC

Kyrgyzstan

Y

Gold

Kyshtym Copper-Electrolytic Plant ZAO

Russian Federation

Gold

L’Orfebre S.A.

Andorra

Y

Gold

L’azurde Company For Jewelry

Saudi Arabia

Gold

LS-NIKKO Copper Inc.

Korea, Republic of

Y

Gold

LT Metal Ltd.

Korea, Republic of

Y

Gold

Lingbao Gold Co., Ltd.

China

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

China

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

China

Gold

MMTC-PAMP India Pvt., Ltd.

India

Y

Gold

Marsam Metals

Brazil

Y

Gold

Materion

United States of America

Y

Gold

Matsuda Sangyo Co., Ltd.

Japan

Y

Gold

Metalor Technologies (Hong Kong) Ltd.

China

Y

Gold

Metalor Technologies (Singapore) Pte., Ltd.

Singapore

Y

Gold

Metalor Technologies (Suzhou) Ltd.

China

Y

Gold

Metalor Technologies S.A.

Switzerland

Y

Gold

Metalor USA Refining Corporation

United States of America

Y

Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

Mexico

Y

Gold

Mitsubishi Materials Corporation

Japan

Y

Gold

Mitsui Mining and Smelting Co., Ltd.

Japan

Y

Gold

Modeltech Sdn Bhd

Malaysia

Gold

Morris and Watson

New Zealand

Gold

Morris and Watson Gold Coast

Australia

Gold

Moscow Special Alloys Processing Plant

Russian Federation

Y

Gold

NH Recytech Company

Korea, Republic of

Gold

Nadir Metal Rafineri San. Ve Tic. A.S.

Turkey

Y

Gold

Navoi Mining and Metallurgical Combinat

Uzbekistan

Gold

Nihon Material Co., Ltd.

Japan

Y

Gold

Nihon Superior Co., Ltd.

Japan

Gold

Nohon Material Corporation

Unknown

Gold

Nyrstar Metals

United States of America

Gold

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

Russian Federation

Y

Gold

OJSC Novosibirsk Refinery

Russian Federation

Y

Gold

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

Austria

Y

Gold

Ohura Precious Metal Industry Co., Ltd.

Japan

Y

Gold

PAMP S.A.

Switzerland

Y

Gold

PT Aneka Tambang (Persero) Tbk

Indonesia

Y

Gold

PX Precinox S.A.

Switzerland

Y

 

Appendix II – Page 3

Gold

Pease & Curren

United States of America

Gold

Penglai Penggang Gold Industry Co., Ltd.

China

Gold

Planta Recuperadora de Metales SpA

Chile

Y

Gold

Precious Metals Sales Corp.

United States of America

Gold

Prioksky Plant of Non-Ferrous Metals

Russian Federation

Y

Gold

QG Refining, LLC

United States of America

Gold

REMONDIS PMR B.V.

Netherlands

Y

Gold

Rand Refinery (Pty) Ltd.

South Africa

Y

Gold

Realized the Enterprise Co., Ltd.

Unknown

Gold

Refinery of Seemine Gold Co., Ltd.

China

Gold

Republic Metals Corporation

United States of America

Gold

Rio Tinto Group

Unknown

Gold

Royal Canadian Mint

Canada

Y

Gold

SAAMP

France

Y

Gold

SAFINA A.S.

Czechia

Active

Gold

SAXONIA Edelmetalle GmbH

Germany

Y

Gold

SEMPSA Joyeria Plateria S.A.

Spain

Y

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

Russian Federation

Y

Gold

Sabin Metal Corp.

United States of America

Gold

Safimet S.p.A

Italy

Y

Gold

Sai Refinery

India

Gold

Samduck Precious Metals

Korea, Republic of

Y

Gold

Samwon Metals Corp.

Korea, Republic of

Gold

Schone Edelmetaal B.V.

Netherlands

Gold

Shan Dong Huangjin

China

Gold

Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd.

China

Gold

Shandon Jin Jinyin Refining Limited

Unknown

Gold

Shandong Hengbang Smelter Co., Ltd.

China

Gold

Shandong Humon Smelting Co., Ltd.

China

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

China

Gold

Shandong Yanggu Xiangguang Co., Ltd.

China

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

China

Y

Gold

Shandong penglai gold smelter

Unknown

Gold

Shenzhen Heng Zhong Industry Co., Ltd.

China

Gold

Shenzhen Zhonghenglong Real Industry Co., Ltd.

China

Gold

Shirpur Gold Refinery Ltd.

India

Gold

Sichuan Tianze Precious Metals Co., Ltd.

China

Y

Gold

Singway Technology Co., Ltd.

Taiwan, Province of China

Y

Gold

Sino-Platinum Metals Co., Ltd.

China

Gold

So Accurate Group, Inc.

United States of America

Gold

Solar Applied Materials Technology Corp.

Taiwan, Province of China

Y

Gold

Sovereign Metals

India

Gold

State Research Institute Center for Physical Sciences and Technology

Lithuania

Gold

SuZhou ShenChuang recycling Ltd.

Unknown

Gold

Sudan Gold Refinery

Sudan

 

Appendix II – Page 4

Gold

Sumitomo Metal Mining Co., Ltd.

Japan

Y

Gold

SungEel HiMetal Co., Ltd.

Korea, Republic of

Y

Gold

Suntain Co., Ltd.

Unknown

Gold

Super Dragon Technology Co., Ltd.

China

Gold

T.C.A S.p.A

Italy

Y

Gold

TOO Tau-Ken-Altyn

Kazakhstan

Y

Gold

Tanaka Kikinzoku Kogyo K.K.

Japan

Y

Gold

The Refinery of Shandong Gold Mining Co., Ltd.

China

Y

Gold

Tokuriki Honten Co., Ltd.

Japan

Y

Gold

Tongling Nonferrous Metals Group Co., Ltd.

China

Gold

Tony Goetz NV

Belgium

Gold

Torecom

Korea, Republic of

Y

Gold

Tsai Brother industries

Unknown

Gold

Umicore Brasil Ltda.

Brazil

Y

Gold

Umicore Precious Metals Thailand

Thailand

Y

Gold

Umicore S.A. Business Unit Precious Metals Refining

Belgium

Y

Gold

United Precious Metal Refining, Inc.

United States of America

Y

Gold

Universal Precious Metals Refining Zambia

Zambia

Gold

Valcambi S.A.

Switzerland

Y

Gold

Viagra Di precious metals (Zhaoyuan) Co., Ltd.

China

Gold

WANG TING

Unknown

Gold

WIELAND Edelmetalle GmbH

Germany

Y

Gold

Western Australian Mint (T/a The Perth Mint)

Australia

Y

Gold

Wuzhong Group

China

Gold

Xiamen JInbo Metal Co., Ltd.

Unknown

Gold

Yamakin Co., Ltd.

Japan

Y

Gold

Yamato Denki Ind. Co., Ltd.

Unknown

Gold

Yokohama Metal Co., Ltd.

Japan

Y

Gold

Yunnan Copper Industry Co., Ltd.

China

Gold

Zhaojun Maifu

Unknown

Gold

Zhe Jiang Guang Yuan Noble Metal Smelting Factory

China

Gold

Zhongkuang Gold Industry Co., Ltd.

China

Gold

Zhongshan Hyper-Toxic Substance Monopolized Co., Ltd.

China

Gold

Zhongshan Poison Material Proprietary Co., Ltd.

China

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

China

Y

Gold

Zhuhai toxic materials Monopoly Ltd.

China

Gold

Zhuzhou Smelting Group Co., Ltd

China

Gold

211

E-M Solutions and RF/Microwave Gold Source Smelters

Tantalum

ANHUI HERRMAN IMPEX CO.

China

Tantalum

Asaka Riken Co., Ltd.

Japan

Y

Tantalum

CP Metals Inc.

United States of America

Y

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

China

Y

Tantalum

D Block Metals, LLC

United States of America

Y

Tantalum

Duoluoshan

China

Tantalum

Exotech Inc.

United States of America

Y

 

Appendix II – Page 5

Tantalum

F&X Electro-Materials Ltd.

China

Y

Tantalum

FIR Metals & Resource Ltd.

China

Y

Tantalum

Global Advanced Metals Aizu

Japan

Y

Tantalum

Global Advanced Metals Boyertown

United States of America

Y

Tantalum

Guangdong Rising Rare Metals-EO Materials Ltd.

China

Y

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

China

Y

Tantalum

H.C. Starck Co., Ltd.

Thailand

Y

Tantalum

H.C. Starck Hermsdorf GmbH

Germany

Y

Tantalum

H.C. Starck Inc.

United States of America

Y

Tantalum

H.C. Starck Ltd.

Japan

Y

Tantalum

H.C. Starck Smelting GmbH & Co. KG

Germany

Y

Tantalum

H.C. Starck Tantalum and Niobium GmbH

Germany

Y

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

China

Y

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

China

Y

Tantalum

Jiangxi Tuohong New Raw Material

China

Y

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

China

Y

Tantalum

Jiujiang Janny New Material Co., Ltd.

China

Tantalum

Jiujiang Tanbre Co., Ltd.

China

Y

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

China

Y

Tantalum

KEMET Blue Metals

Mexico

Y

Tantalum

KEMET Blue Powder

United States of America

Y

Tantalum

King-Tan Tantalum Industry Ltd.

China

Tantalum

LSM Brasil S.A.

Brazil

Y

Tantalum

Metallurgical Products India Pvt., Ltd.

India

Y

Tantalum

Mineracao Taboca S.A.

Brazil

Y

Tantalum

Mitsui Mining and Smelting Co., Ltd.

Japan

Y

Tantalum

NPM Silmet AS

Estonia

Y

Tantalum

Nantong Tongjie Electrical Co., Ltd.

Unknown

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

China

Y

Tantalum

PM Kalco Inc

Unknown

Tantalum

PRG Dooel

North Macedonia, Republic of

Y

Tantalum

Plansee SE

Austria

Tantalum

QuantumClean

United States of America

Y

Tantalum

Resind Industria e Comercio Ltda.

Brazil

Y

Tantalum

Shanghai Jiangxi Metals Co., Ltd.

China

Tantalum

Solikamsk Magnesium Works OAO

Russian Federation

Y

Tantalum

Taki Chemical Co., Ltd.

Japan

Y

Tantalum

Telex Metals

United States of America

Y

Tantalum

Ulba Metallurgical Plant JSC

Kazakhstan

Y

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

China

Y

Tantalum

Yanling Jincheng Tantalum & Niobium Co., Ltd.

China

Y

Tantalum

Yichun Jin Yang Rare Metal Co., Ltd.

China

Tantalum

Zhuzhou Cemented Carbide Group Co., Ltd.

China

Tantalum

50

E-M Solutions and RF/Microwave Tantalum Source Smelters

Tin

Alpha

United States of America

Y

 

Appendix II – Page 6

Tin

An Vinh Joint Stock Mineral Processing Company

Viet Nam

Tin

Arco Alloys

Unknown

Tin

CNMC (Guangxi) PGMA Co., Ltd.

China

Tin

CV Ayi Jaya

Indonesia

Y

Tin

CV Dua Sekawan

Indonesia

Y

Tin

CV Gita Pesona

Indonesia

Y

Tin

CV United Smelting

Indonesia

Y

Tin

CV Venus Inti Perkasa

Indonesia

Y

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

China

Y

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

China

Y

Tin

China Tin Group Co., Ltd.

China

Y

Tin

Chofu Works

Unknown

Tin

Cooperativa Metalurgica de Rondonia Ltda.

Brazil

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

China

Tin

Dongguan City Xida Soldering Tin Products Co.

China

Tin

Dowa

Japan

Y

Tin

EM Vinto

Bolivia

Y

Tin

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

Viet Nam

Tin

Estanho de Rondonia S.A.

Brazil

Tin

Fenix Metals

Poland

Y

Tin

Fuji Metal Mining Corp.

Japan

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.

China

Tin

Gejiu Fengming Metallurgy Chemical Plant

China

Y

Tin

Gejiu Jinye Mineral Company

China

Tin

Gejiu Kai Meng Industry and Trade LLC

China

Y

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

China

Y

Tin

Gejiu Yunxi Group Corp.

China

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

China

Y

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

China

Y

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

China

Y

Tin

Guangxi Nonferrous Metals Group

China

Tin

Guangxi Zhongshan Jin Yi Smelting Co., Ltd.

China

Tin

Guanyang Guida Nonferrous Metal Smelting Plant

China

Y

Tin

Hezhou Jinwei Tin Co., Ltd.

China

Tin

Hongqiao Metals (Kunshan) Co., Ltd.

China

Tin

HuiChang Hill Tin Industry Co., Ltd.

China

Y

Tin

Huichang Jinshunda Tin Co., Ltd.

China

Y

Tin

Hulterworth Smelter

Unknown

Tin

Jiang Jia Wang Technology Co.

Unknown

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

China

Tin

Jiangxi New Nanshan Technology Ltd.

China

Y

Tin

Jiangxi Yaosheng Tungsten Co., Ltd.

China

Tin

Ju Tai Industrial Co., Ltd.

China

Tin

LIAN JING

China

Tin

Luna Smelter, Ltd.

Rwanda

Y

 

Appendix II – Page 7