UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form SD
Specialized Disclosure Report
___________________________________________________________________________________________________________________
ACUITY BRANDS, INC.
(Exact name of registrant as specified in its charter)
___________________________________________________________________________________________________________________
| Delaware | 001-16583 | 58-2632672 | ||||||
| (State or other jurisdiction of incorporation or organization) | (Commission File Number) | (I.R.S. Employer Identification Number) | ||||||
1170 Peachtree Street, N.E., Suite 1200, Atlanta, Georgia (Address of principal executive offices) | 30309-7676 (Zip Code) | |||||||
Karen J. Holcom, (404) 853-1400
(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 submitted, and provide the period to which the information in this Form applies:
| þ | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2022. | ||||
| ☐ | Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended August 31, 2022. | ||||
___________________________________________________________________________________________________________________
Introduction
This Specialized Disclosure Report on Form SD ("Form SD") for Acuity Brands, Inc. ("Acuity Brands," the "Company," "we," or "us") for the year ended December 31, 2022 is submitted to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the "Rule") related to conflict minerals. Conflict minerals are defined by the Securities and Exchange Commission ("SEC") as columbite-tantalite (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted), gold, and wolframite (the metal ore from which tungsten is extracted) as well as their derivatives (collectively, the "Subject Minerals"). The Rule requires certain registrants to conduct a reasonable country of origin inquiry ("RCOI") designed to determine whether any of the Subject Minerals originated in the Democratic Republic of the Congo ("DRC") or an adjoining country (collectively, the "Covered Countries").
Company Overview
We are a market-leading industrial technology company. We use technology to solve problems in spaces and light. Through our two business segments, Acuity Brands Lighting and Lighting Controls and the Intelligent Spaces Group, we design, manufacture, and bring to market products and services that make a valuable difference in people's lives. We achieve growth through the development of innovative new products and services, including lighting, lighting controls, building management solutions, and location-aware applications.
We manufacture or procure lighting and building technology devices primarily in North America, Europe, and Asia. The production or functionality of certain of our devices requires components such as circuit boards, capacitors, metal wires, electrodes, and other electronic components that contain the Subject Minerals. Consequently, we are subject to the disclosure and reporting requirements of the Rule.
Supply Chain Description
We utilize a blend of internal and outsourced manufacturing processes and capabilities to fulfill a variety of customer needs in the most cost-effective manner. We operate manufacturing facilities in North America and Europe and also purchase certain components and finished goods from a broad network of suppliers located primarily in the United States of America, Mexico, Asia, and Europe. While some of our products contain the Subject Minerals, we do not procure ore or unrefined minerals directly from mines, and we are many steps removed from the mining of the Subject Minerals. The origin of the Subject Minerals cannot be determined with any certainty once the ores are smelted, refined, and converted to ingots, bullion, or other mineral derivatives. The smelters and refiners are consolidating points for ore and, therefore, are in the best position to identify the origin of the ore. We rely on our suppliers to provide accurate information, including the identification of smelters and refiners, during our RCOI and due diligence procedures.
SECTION 1 - CONFLICT MINERALS DISCLOSURE
Item 1.01 Conflict Minerals Disclosure and Report
Description of Reasonable Country of Origin Inquiry Efforts
For the 2022 reporting year, we conducted a supply chain survey with direct suppliers to determine the origin of the Subject Minerals using the Conflict Minerals Reporting Template. Specifically, the survey requests direct suppliers to identify the smelters and refiners as well as the countries of origin for Subject Minerals contained in the products they sell to us. We reviewed the responses and compared the smelters and refiners identified in the surveys against the lists of facilities with a "conflict-free" designation by the Responsible Minerals Assurance Process ("RMAP") or other independent third-party audit program. Our procedures for the RCOI and due diligence process are overlapping in nature; therefore, this report should be read in conjunction with our Conflict Minerals Report filed as Exhibit 1.01 to this Form SD.
Conclusion Based on Reasonable Country of Origin Inquiry
Based on our RCOI, we believe it is possible that certain of the Subject Minerals used in our products may have originated in the Covered Countries and may not be from recycled or scrap sources. As discussed in the attached Conflict Minerals Report, we have insufficient information from suppliers and other sources regarding all of the smelters and refiners that processed the Subject Minerals to conclude whether the Subject Minerals originated in the Covered Countries.
Conflict Minerals Disclosure
The Conflict Minerals Report for the calendar year ended December 31, 2022, filed herewith as Exhibit 1.01, is publicly available at www.acuitybrands.com, but the contents of that site are not incorporated by reference into, and are not otherwise a part of, this Form SD.
This Form SD and the Conflict Minerals Report filed as Exhibit 1.01 contain statements that are forward looking, as that term is defined by the Private Securities Litigation Reform Act of 1995 or by the SEC in its rules, regulations, and releases. Forward-looking statements also include any statement that is not based on historical fact, including statements containing the words "believe," "may," "plan," "will," "could," "should," "estimate," "continue," "anticipate," "intend," "expect," and similar expressions. We intend that such forward-looking statements be subject to the safe harbors created thereby. All forward-looking statements are based on current expectations regarding important risk factors and should not be regarded as a representation by us or any other person that the results expressed therein will be achieved. We assume no obligation to revise or update any forward-looking statements for any reason, except as required by law. Important factors that could cause actual outcomes to differ materially from those contained in any forward-looking statement include those described in our reports, including our Form 10-K for the fiscal year ended August 31, 2022, Form 10-Q for the fiscal period ended February 28, 2023, and other forms we filed with the SEC.
Item 1.02 Exhibit
The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.
SECTION 2 - RESOURCE EXTRACTION ISSUER DISCLOSURE
Not Applicable
SECTION 3 - EXHIBITS
Item 3.01 Exhibits
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.
Date: May 26, 2023
| ACUITY BRANDS, INC. | ||||||||
| By: | /S/ KAREN J. HOLCOM | |||||||
| Karen J. Holcom | ||||||||
| Senior Vice President and Chief Financial Officer | ||||||||
Exhibit 1.01
Acuity Brands, Inc.
Conflict Minerals Report
For Calendar Year Ended December 31, 2022
This Conflict Minerals Report of Acuity Brands, Inc. ("Acuity Brands," the "Company," "we," or "us") for the year ended December 31, 2022 is filed to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the "Rule") related to conflict minerals. Conflict minerals are defined by the Securities and Exchange Commission ("SEC") as columbite-tantalite (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted), gold, and wolframite (the metal ore from which tungsten is extracted) as well as their derivatives (collectively, the "Subject Minerals"). The Rule requires certain registrants to conduct a reasonable country of origin inquiry ("RCOI") designed to determine whether any of the Subject Minerals originated in the Democratic Republic of the Congo ("DRC") or an adjoining country (collectively, the "Covered Countries").
Pursuant to the Rule, we performed due diligence procedures on the source and chain of custody of the Subject Minerals that are included in our products and for which, based on our RCOI, we believe it is possible that some may have originated from the Covered Countries and may not be from recycled or scrap sources. In addition, our review of the conflict minerals surveys received from our suppliers and related conflict minerals reports for the year ended December 31, 2022 found information indicating that some of the smelters in our supply chain identified the Russian Federation as a possible sourcing location. The information regarding these Russian-origin metals came from third-party suppliers, which in turn obtained the information through their own suppliers in these highly-attenuated, multi-tiered global supply chains. We remain committed to compliance with U.S. and other applicable trade law and sanctions programs, including those targeting Russian parties.
Design of Due Diligence
We implemented a due diligence framework consistent with the Organization of Economic Co-Operation and Development's ("OECD") Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplement on Tin, Tantalum, and Tungsten and Supplement on Gold (collectively, "OECD Guidance"). Summarized below are the design components of our procedures as they relate to the five-step framework set forth in the OECD Guidance:
1) Establish strong company management systems:
•Publish and maintain a conflict minerals policy, which is available at https://www.acuitybrands.com/about-us/conflict-minerals-policy.
•Assign roles and responsibilities to associates who possess the skill set, experience, and knowledge as well as the capacity required to operate and monitor our conflict minerals processes.
•Periodically review conflict minerals procedures with the Chief Financial Officer and the Audit Committee of the Board of Directors.
•Utilize a conflict minerals compliance process, including the RCOI procedures described in the Form SD.
•Incorporate requirements related to conflict minerals in our standard supplier agreements and purchase order terms and conditions to obligate current and future suppliers to comply with our conflict minerals policy, including participation in the supply chain survey and related due diligence activities.
•Maintain records related to the RCOI and due diligence procedures in accordance with our retention policy.
•Facilitate employee, supplier, or other stakeholder grievance reporting through our website.
2) Identify and assess risks in our supply chain:
•Identify raw material components that may contain one or more of the Subject Minerals.
•Identify finished goods that may contain one or more of the Subject Minerals for which we contracted to manufacture the finished goods.
•Identify the direct suppliers that provided the raw material components and finished goods that may contain one or more of the Subject Minerals.
1
•Conduct a supply chain survey using the Conflict Minerals Reporting Template ("CMRT"), requesting direct suppliers to identify smelters and refiners as well as the country of origin of the Subject Minerals in the products they sell to us.
•Follow up with non-responsive suppliers by requesting compliance with our request for information.
•Review all responses received from suppliers based on our conflict minerals compliance process and request supplemental information from suppliers providing responses that are deemed implausible, incomplete, inaccurate, or otherwise require clarification.
•Compare smelters and refiners identified by the supply chain survey against the list of facilities that have received a "conflict-free" designation from the Responsible Minerals Assurance Process ("RMAP") or other independent third party audit program; these designations also provide country of origin and due diligence information on the Subject Minerals sourced by such facilities.
3) Design and implement a strategy to respond to identified risks:
•Publish and maintain a conflict minerals policy.
•Assess and address conflict minerals as part of our global risk management process.
•Assess risk mitigation efforts and respond as appropriate to bring suppliers into conformity with our conflict minerals policy.
•Provide, on a periodic basis, progress reports to the Chief Financial Officer and the Audit Committee of the Board of Directors summarizing risk mitigation efforts.
•When required by the Rule, obtain an independent private sector audit of this Report.
4) Support the development and implementation of independent third party audits of smelters' and refiners' sourcing:
•Utilize multi-industry due diligence initiatives, including RMAP, to evaluate the procurement practices of the smelters and refiners that process and provide the Subject Minerals used in our products.
5) Report on supply chain due diligence:
•Communicate our conflict minerals policy publicly on our website at https://www.acuitybrands.com/about-us/conflict-minerals-policy.
•Annually file a Conflict Minerals Report with the SEC and publish on our website at http://www.acuitybrands.com.
The content of any website referred to in this report is included for general information only and is not incorporated by reference in this filing.
Due Diligence Measures Performed
Below is a description of the measures performed for the 2022 reporting period to exercise due diligence on the source and chain of custody of the Subject Minerals contained in our products that we believe may have originated from the Covered Countries and may not be from recycled or scrap sources:
•Assessed and addressed conflict minerals as part of our global risk management process.
•Followed up with non-responsive suppliers by requesting compliance with our request for information.
•Reviewed all responses received from suppliers based on our conflict minerals compliance process and requested supplemental information from suppliers providing responses that were deemed implausible, incomplete, inaccurate, or otherwise required clarification.
•Compared smelters and refiners identified by the supply chain survey against the list of facilities that have received a "conflict-free" designation from the RMAP or other independent third party audit program; these designations provide country of origin and due diligence information on the Subject Minerals sourced by such facilities.
•Assessed risk mitigation efforts and responded as appropriate to bring suppliers into conformity with our conflict minerals policy.
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•Provided periodic progress reports to the Chief Financial Officer and the Audit Committee of the Board of Directors summarizing risk mitigation efforts.
•Reviewed and assessed for improvement opportunities within our conflict minerals compliance process.
Results of Due Diligence Measures
Inherent Limitations on Due Diligence Measures
As an indirect purchaser of the Subject Minerals, our due diligence efforts can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the Subject Minerals. We are dependent on the data obtained from direct suppliers and in turn, the data those suppliers obtain from within their supply chains to identify sources of the Subject Minerals. In addition, we rely on the information collected by independent third party audit programs. These sources of information may yield incomplete or inaccurate data and may be subject to fraud.
Product Determination
Based on due diligence procedures performed in this report, we do not have sufficient information to conclusively confirm the country of origin or chain of custody of the Subject Minerals used in our products. We received company-level responses from certain of our suppliers with extensive lists of smelters without product-based information. As a result, we were unable to verify whether Subject Minerals from these smelters were used in our products. Based on the information provided by our suppliers, we believe some subset of the smelters and refiners listed in Table I produced certain of the Subject Minerals contained in our products. Based on the information from suppliers and the information available from the Responsible Minerals Initiative, we believe the origin of the Subject Minerals processed by these smelters and refiners includes the countries listed in Table II.
Independent Private Sector Audit
This report is not subject to an independent private sector audit based on current SEC guidance.
Future Due Diligence Measures
We intend to implement steps to mitigate the risk that the Subject Minerals benefit armed groups and to improve the RCOI and due diligence processes. These include, but are not limited to, the following:
•Modifying the conflict minerals compliance process with the intent to increase the supplier response rate and to improve the quality of supplier responses;
•Monitoring industry efforts to identify additional resources to facilitate compliance;
•Conducting an annual review of our conflict minerals policy, conflict minerals compliance process and the related procedure documentation and risks for any updates; and
•Discussing the results of our annual RCOI with executive management and our sourcing department.
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Table I
Listing of Smelters Potentially Producing Subject Minerals in Company Products
| Metal | Smelter | Country of Smelter | ||||||
| Gold | 8853 S.p.A. | Italy | ||||||
| Gold | Abington Reldan Metals, LLC | United States | ||||||
| Gold | Advanced Chemical Company | United States | ||||||
| Gold | African Gold Refinery | Uganda | ||||||
| Gold | Aida Chemical Industries Co., Ltd. | Japan | ||||||
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | ||||||
| Gold | Alexy Metals | United States | ||||||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | ||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | ||||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | 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 | Augmont Enterprises Private Limited | India | ||||||
| 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 | C.I Metales Procesados Industriales SAS | Colombia | ||||||
| Gold | Caridad | Mexico | ||||||
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | ||||||
| Gold | Cendres + Metaux S.A. | Switzerland | ||||||
| Gold | CGR Metalloys Pvt Ltd. | India | ||||||
| Gold | Chimet S.p.A. | Italy | ||||||
| Gold | Chugai Mining | Japan | ||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | ||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | ||||||
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | ||||||
| Gold | Dowa | Japan | ||||||
| Gold | DSC (Do Sung Corporation) | Republic of Korea | ||||||
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | ||||||
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | ||||||
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 1) | India | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 2) | India | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 3) | India | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 4) | India | ||||||
| Gold | Emirates Gold DMCC | United Arab Emirates | ||||||
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | ||||||
| Gold | Fujairah Gold FZC | United Arab Emirates | ||||||
4
| Metal | Smelter | Country of Smelter | ||||||
| Gold | Geib Refining Corporation | United States | ||||||
| Gold | Gold Coast Refinery | Ghana | ||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | ||||||
| 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 | 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 | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | ||||||
| Gold | HwaSeong CJ CO., LTD. | Republic of Korea | ||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | ||||||
| Gold | International Precious Metal Refiners | United Arab Emirates | ||||||
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | ||||||
| Gold | Istanbul Gold Refinery | Turkey | ||||||
| Gold | Italpreziosi | Italy | ||||||
| Gold | JALAN & Company | India | ||||||
| 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 | K.A. Rasmussen | Norway | ||||||
| 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 Miedz Spolka Akcyjna | Poland | ||||||
| Gold | Kojima Chemicals Co., Ltd. | Japan | ||||||
| Gold | Korea Zinc Co., Ltd. | Republic of Korea | ||||||
| Gold | Kundan Care Products Ltd. | India | ||||||
| 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 | ||||||
| Gold | L'Orfebre S.A. | Andorra | ||||||
| Gold | LS-NIKKO Copper Inc. | Republic of Korea | ||||||
| Gold | LT Metal Ltd. | Republic of Korea | ||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | ||||||
| Gold | Marsam Metals | Brazil | ||||||
| Gold | Materion | United States | ||||||
| Gold | Matsuda Sangyo Co., Ltd. | Japan | ||||||
| Gold | MD Overseas | India | ||||||
| Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | ||||||
| Gold | Metallix Refining Inc. | United States | ||||||
5
| Metal | Smelter | Country of Smelter | ||||||
| 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 | Metalurgica Met-Mex Penoles 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.S. | Turkey | ||||||
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | ||||||
| Gold | NH Recytech Company | Republic of Korea | ||||||
| Gold | Nihon Material Co., Ltd. | Japan | ||||||
| Gold | Ogussa Osterreichische 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 | Pease & Curren | United States | ||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | ||||||
| Gold | Planta Recuperadora de Metales SpA | Chile | ||||||
| Gold | Prioksky Plant of Non-Ferrous Metals (1) | Russian Federation | ||||||
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | ||||||
| Gold | PX Precinox S.A. | Switzerland | ||||||
| Gold | QG Refining, LLC | United States | ||||||
| Gold | Rand Refinery (Pty) Ltd. | South Africa | ||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | China | ||||||
| Gold | REMONDIS PMR B.V. | Netherlands | ||||||
| Gold | Royal Canadian Mint | Canada | ||||||
| Gold | SAAMP | France | ||||||
| Gold | Sabin Metal Corp. | United States | ||||||
| Gold | Safimet S.p.A | Italy | ||||||
| Gold | SAFINA A.S. | Czech Republic | ||||||
| Gold | Sai Refinery | India | ||||||
| Gold | Samduck Precious Metals (1) | Republic of Korea | ||||||
| Gold | SAMWON METALS Corp. | Republic of Korea | ||||||
| Gold | Sancus ZFS (L’Orfebre, SA) | Colombia | ||||||
| Gold | Sellem Industries Ltd. | Mauritania | ||||||
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | ||||||
| Gold | Shandong Humon Smelting Co., Ltd. | China | ||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | ||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | ||||||
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | ||||||
| Gold | Shirpur Gold Refinery Ltd. | India | ||||||
6
| Metal | Smelter | Country of Smelter | ||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | ||||||
| Gold | Singway Technology Co., Ltd. | Taiwan | ||||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | ||||||
| Gold | Solar Applied Materials Technology Corp. | Taiwan | ||||||
| Gold | Sovereign Metals | India | ||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | ||||||
| Gold | Sudan Gold Refinery | Sudan | ||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | ||||||
| Gold | SungEel HiMetal Co., Ltd. | Republic of Korea | ||||||
| Gold | T.C.A S.p.A | Italy | ||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | ||||||
| Gold | Tokuriki Honten Co., Ltd. | Japan | ||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | ||||||
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | ||||||
| Gold | Torecom | Republic of Korea | ||||||
| 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 | Valcambi S.A. | Switzerland | ||||||
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | ||||||
| Gold | WIELAND Edelmetalle GmbH | Germany | ||||||
| Gold | Yamakin 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 | Industrial Refining Company | Belgium | ||||||
| Gold | Shandong Gold Smelting Co., Ltd. | China | ||||||
| Gold | Super Dragon Technology Co., Ltd. | Taiwan | ||||||
| Gold | WEEEREFINING | France | ||||||
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | India | ||||||
| Gold | ABC Refinery Pty Ltd. | Australia | ||||||
| Gold | Shenzhen CuiLu Gold Co., Ltd. | China | ||||||
| Gold | Albino Mountinho Lda. | Portugal | ||||||
| Gold | Dongwu Gold Group | China | ||||||
| Gold | Gold by Gold Colombia | Colombia | ||||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | ||||||
| Tantalum | D Block Metals, LLC | United States | ||||||
| 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 | H.C. Starck Inc. | United States | ||||||
| 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 Tanbre Co., Ltd. | China | ||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | ||||||
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| Metal | Smelter | Country of Smelter | ||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | ||||||
| Tantalum | Mineracao 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 | QuantumClean | United States | ||||||
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | ||||||
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | ||||||
| Tantalum | Taki Chemical Co., Ltd. | Japan | ||||||
| Tantalum | TANIOBIS Co., Ltd. | Thailand | ||||||
| Tantalum | TANIOBIS GmbH | Germany | ||||||
| Tantalum | TANIOBIS Japan Co., Ltd. | Japan | ||||||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | Germany | ||||||
| Tantalum | Telex Metals | United States | ||||||
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | ||||||
| Tantalum | XinXing Haorong Electronic Material Co., Ltd. | China | ||||||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | ||||||
| Tantalum | AMG Brasil | Brazil | ||||||
| Tantalum | KEMET de Mexico | Mexico | ||||||
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | China | ||||||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | China | ||||||
| Tantalum | 5D Production OU | Estonia | ||||||
| Tin | Alpha | United States | ||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | Vietnam | ||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | ||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | ||||||
| Tin | China Tin Group Co., Ltd. | China | ||||||
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | ||||||
| Tin | CRM Synergies | Spain | ||||||
| Tin | CV Venus Inti Perkasa | Indonesia | ||||||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | ||||||
| Tin | Dowa | Japan | ||||||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Vietnam | ||||||
| Tin | EM Vinto | Bolivia | ||||||
| Tin | Estanho de Rondonia S.A. | Brazil | ||||||
| Tin | Fenix Metals | Poland | ||||||
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | 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 | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | ||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | China | ||||||
| Tin | Luna Smelter, Ltd. | Rwanda | ||||||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | ||||||
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | ||||||
| Tin | Melt Metais e Ligas S.A. | Brazil | ||||||
8
| Metal | Smelter | Country of Smelter | ||||||
| Tin | Metallic Resources, Inc. | United States | ||||||
| Tin | Metallo Belgium N.V. | Belgium | ||||||
| Tin | Metallo Spain S.L.U. | Spain | ||||||
| Tin | Mineracao Taboca S.A. | Brazil | ||||||
| Tin | Minsur | Peru | ||||||
| Tin | Mitsubishi Materials Corporation | Japan | ||||||
| Tin | Modeltech Sdn Bhd | Malaysia | ||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam | ||||||
| Tin | Novosibirsk Processing Plant Ltd. | Russian Federation | ||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | ||||||
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | ||||||
| Tin | Operaciones Metalurgicas S.A. | Bolivia | ||||||
| Tin | Pongpipat Company Limited | Myanmar | ||||||
| Tin | Precious Minerals and Smelting Limited | India | ||||||
| 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 Babel Surya Alam Lestari | Indonesia | ||||||
| Tin | PT Bangka Serumpun | Indonesia | ||||||
| Tin | PT Bukit Timah | Indonesia | ||||||
| Tin | PT Menara Cipta Mulia | Indonesia | ||||||
| Tin | PT Mitra Stania Prima | Indonesia | ||||||
| Tin | PT Mitra Sukses Globalindo | Indonesia | ||||||
| Tin | PT Prima Timah Utama | Indonesia | ||||||
| Tin | PT Rajawali Rimba Perkasa | Indonesia | ||||||
| Tin | PT Refined Bangka Tin | Indonesia | ||||||
| Tin | PT Stanindo Inti Perkasa | Indonesia | ||||||
| Tin | PT Timah Nusantara | Indonesia | ||||||
| Tin | PT Timah Tbk Kundur | Indonesia | ||||||
| Tin | PT Timah Tbk Mentok | Indonesia | ||||||
| Tin | PT Tinindo Inter Nusa (1) | Indonesia | ||||||
| Tin | Resind Industria e Comercio Ltda. | Brazil | ||||||
| Tin | Rui Da Hung | Taiwan | ||||||
| Tin | Super Ligas | Brazil | ||||||
| Tin | Thaisarco | Thailand | ||||||
| Tin | Tin Technology & Refining | United States | ||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam | ||||||
| Tin | VQB Mineral and Trading Group JSC (1) | Vietnam | ||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | ||||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | ||||||
| Tin | Yunnan Tin Company Limited | China | ||||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | ||||||
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | ||||||
| Tin | PT Belitung Industri Sejahtera | Indonesia | ||||||
| Tin | PT Cipta Persada Mulia | Indonesia | ||||||
| Tin | PT Panca Mega Persada | Indonesia | ||||||
| Tin | PT Sariwiguna Binasentosa | Indonesia | ||||||
9
| Metal | Smelter | Country of Smelter | ||||||
| Tin | PT Sukses Inti Makmur | Indonesia | ||||||
| Tin | PT Tirus Putra Mandiri | Indonesia | ||||||
| Tin | PT Tommy Utama | Indonesia | ||||||
| Tin | PT Bangka Prima Tin | Indonesia | ||||||
| Tin | PT Bangka Tin Industry | Indonesia | ||||||
| Tin | CV Ayi Jaya | Indonesia | ||||||
| Tin | PT Premium Tin Indonesia | Indonesia | ||||||
| Tin | DS Myanmar | Myanmar | ||||||
| Tin | PT Putera Sarana Shakti (PT PSS) | Indonesia | ||||||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | Japan | ||||||
| Tungsten | ACL Metais Eireli | Brazil | ||||||
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | ||||||
| Tungsten | Artek LLC | Russian Federation | ||||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Vietnam | ||||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | ||||||
| Tungsten | China Molybdenum Co., Ltd. | China | ||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | ||||||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | ||||||
| Tungsten | Cronimet Brasil Ltda | Brazil | ||||||
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | ||||||
| Tungsten | Ganzhou Haichuang 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 | Global Tungsten & Powders Corp. | United States | ||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | ||||||
| Tungsten | H.C. Starck Tungsten GmbH | Germany | ||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | ||||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | ||||||
| Tungsten | Hydrometallurg, JSC (1) | Russian Federation | ||||||
| Tungsten | Japan New Metals Co., Ltd. | Japan | ||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products 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 Yaosheng Tungsten Co., Ltd. | China | ||||||
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | ||||||
| Tungsten | Kennametal Fallon | United States | ||||||
| Tungsten | Kennametal Huntsville | United States | ||||||
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan | ||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | ||||||
| Tungsten | Moliren Ltd. | Russian Federation | ||||||
| Tungsten | Niagara Refining LLC | United States | ||||||
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | ||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | ||||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | ||||||
| Tungsten | Unecha Refractory Metals Plant | Russian Federation | ||||||
10
| Metal | Smelter | Country of Smelter | ||||||
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | ||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | ||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | China | ||||||
| Tungsten | Fujian Xinlu Tungsten | China | ||||||
| Tungsten | Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd. | China | ||||||
| Tungsten | LLC Vostok | Russian Federation | ||||||
| Tungsten | Masan High-Tech Materials | Vietnam | ||||||
| Tungsten | OOO “Technolom” 1 | Russian Federation | ||||||
| Tungsten | OOO “Technolom” 2 | Russian Federation | ||||||
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | China | ||||||
| Tungsten | HANNAE FOR T Co., Ltd. | Republic of Korea | ||||||
| Tungsten | Tungsten Vietnam Joint Stock Company | Vietnam | ||||||
| Tungsten | DONGKUK INDUSTRIES CO., LTD. | Republic of Korea | ||||||
_______________________________
(1) This smelter is believed to source the Subject Minerals from the Covered Countries and is not included on the Responsible Minerals Initiative's list of certified or active smelters. The Company received company-level responses from suppliers sourcing from this smelter; therefore, the Company is unable to conclusively determine whether components or finished goods sourced from those suppliers contain Subject Minerals from this smelter.
11
Table II
Listing of Subject Minerals' Countries of Origin
| Angola | Hong Kong | Peru | ||||||
| Argentina | Hungary | Philippines | ||||||
| Armenia | India | Poland | ||||||
| Australia | Indonesia | Portugal | ||||||
| Austria | Ireland | Republic of the Congo | ||||||
| Belarus | Israel | Russian Federation | ||||||
| Belgium | Italy | Rwanda | ||||||
| Bermuda | Ivory Coast | Saudi Arabia | ||||||
| Bolivia | Japan | Sierra Leone | ||||||
| Brazil | Jersey | Singapore | ||||||
| Burundi | Kazakhstan | Slovakia | ||||||
| Cambodia | Kenya | South Africa | ||||||
| Canada | Republic of Korea | South Sudan | ||||||
| Central African Republic | Kyrgyzstan | Spain | ||||||
| Chile | Laos | Suriname | ||||||
| China | Luxembourg | Sweden | ||||||
| Colombia | Madagascar | Switzerland | ||||||
| Democratic Republic of the Congo | Malaysia | Taiwan | ||||||
| Czech Republic | Mali | Tajikistan | ||||||
| Djibouti | Mexico | Tanzania | ||||||
| Ecuador | Mongolia | Thailand | ||||||
| Egypt | Morocco | Turkey | ||||||
| Estonia | Mozambique | Uganda | ||||||
| Ethiopia | Myanmar | United Arab Emirates | ||||||
| Finland | Namibia | United Kingdom | ||||||
| France | Netherlands | United States | ||||||
| Germany | New Zealand | Uzbekistan | ||||||
| Ghana | Niger | Vietnam | ||||||
| Guinea | Nigeria | Zambia | ||||||
| Guyana | Papua New Guinea | Zimbabwe | ||||||
12