Form SD

 

 

 







UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM SD

Specialized Disclosure Report

 

 



ATRICURE, INC.

(Exact name of registrant as specified in charter)

 

 



 



 

 

 

 

Delaware

 

000-51470

 

34-1940305

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)





 

 



 

 

7555 Innovation Way

Mason, OH

 

45040

(Address of principal executive offices)

 

(Zip Code)



 

 

M. Andrew Wade

 

(513) 755-4100

(Name and telephone number, including area code, of the person to contact in connection with this report.)

 







Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

  X        Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.

 

 

 


 

 

 

Section 1.     Conflict Minerals Disclosure

Item 1.01.     Conflict Minerals Disclosure and Report

AtriCure, Inc. (AtriCure or the Company) evaluated its products during the year ended December 31, 2015 and determined that certain products manufactured or contracted to be manufactured by the Company contain conflict minerals which are necessary to the functionality or production of such products.  As is required, the Company has conducted a good faith reasonable country of origin inquiry (RCOI) reasonably designed to determine whether the necessary conflict minerals originated in the Democratic Republic of the Congo (DRC) or an adjoining country or came from recycled or scrap sources.

AtriCure’s RCOI process included conducting an inquiry of our direct suppliers using the Conflict-Free Sourcing Initiative’s Conflict Minerals Reporting Template. We relied upon our suppliers’ representations regarding the origin of their minerals and their smelter data to determine the source of the conflict minerals within our supply chain. Based on the results of our RCOI, we exercised due diligence on the source and chain of custody of the conflict minerals.

The Company has filed a Conflict Minerals Report (CMR). A copy of the Company’s CMR is furnished as Exhibit 1.01 to this Form SD and is incorporated herein by reference. A copy of the Company’s CMR is also available on the Company’s website at www.atricure.com.

Item 1.02      Exhibit

A copy of the Company’s Conflict Minerals Report required by Item 1.01 is provided as Exhibit 1.01 hereto.

Section 2.      Exhibits

Item 2.01      Exhibits

(d)  Exhibits

No.Description

1.01Conflict Minerals Report as required by Items 1.01 and 1.02 of this 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 undersigned hereunto duly authorized.





 

 

 

 



 

ATRICURE, INC.

 



 

 

 

 



 

 

 

 

Dated:  

May 26, 2016

By:  

/s/ M. Andrew Wade

 



 

 

M. Andrew Wade

 



 

 

Senior Vice President and Chief Financial Officer

 




Exhibit 101

Exhibit 1.01

AtriCure, Inc.

Conflict Minerals Report

For The Year Ended December 31, 2015



This report for the year ended December 31, 2015 (the Reporting Period) is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule) and the Public Statement on the Effect of the Recent Court of Appeals Decision on the Conflict Minerals Rule issued by the Director of the Division of Corporation Finance of the Securities and Exchange Commission on April 24, 2014 (the SEC Statement). The Rule was adopted by the Securities and Exchange Commission (SEC) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (collectively, 3TG) for the purposes of this assessment. These requirements apply to all registrants, whatever the geographic origin of the conflict minerals and whether or not they fund armed conflict.



If a registrant can establish that the conflict minerals originated from sources other than the Democratic Republic of the Congo (DRC) or an adjoining country (the Covered Countries),or from recycled and scrap sources, it must submit a Form SD which describes the Reasonable Country of Origin Inquiry (RCOI) completed.



If a registrant has reason to believe that any of the conflict minerals in its supply chain may have originated in the Covered Countries, or if it is unable to determine the country of origin of those conflict minerals, then the issuer must exercise due diligence on the conflict minerals’ source and chain of custody. The registrant must annually submit a Conflict Minerals Report (CMR) to the SEC that includes a description of those due diligence measures.



1.

Company Overview



AtriCure, Inc. (the Company, AtriCure, we, or our) was incorporated in the State of Delaware on October 31, 2000. The Company is a medical device company providing innovative atrial fibrillation (Afib) solutions designed to produce superior outcomes that reduce the economic and social burden of atrial fibrillation. The Company sells cardiac tissue ablation and left atrial appendage exclusion devices to hospitals globally through a direct sales force and distributors. An analysis of AtriCure products found that 3TG can be found in certain AtriCure devices. Therefore, certain products that AtriCure manufactures are subject to the reporting obligations of Rule 13p-1.



2.

Products and Facilities Overview



AtriCure’s product lines are classified as follows:



Radio Frequency (RF) Ablation Devices. Our Isolator Synergy System and related RF devices, such as our multifunctional pens, represent our primary product line and generate a significant portion of our revenue. Physicians use the Isolator Synergy System and related RF devices in both open and minimally invasive procedures.



Cryoablation System. Our cryoablation offering consists of our cryoICE BOX generator along with a range of cryoICE single use and reusable cryosurgery probes. The cryoICE cryoablation system is used to ablate cardiac tissue for the treatment of cardiac arrhythmias, and to provide temporary pain relief to thoracic surgery patients via ablation of peripheral nerves.  



AtriClip System. Our AtriClip system is designed to exclude the left atrial appendage by mechanically clamping the appendage from the outside, eliminating blood flow between the left atrial appendage and the atrium while avoiding contact with circulating blood.



We manufacture a substantial majority of the disposable and implantable products we sell and generally purchase items that would be deemed capital equipment. Throughout 2015, we inspected, assembled, tested and packaged our products in West Chester, Ohio. Our products are sterilized by third-party sterilizers at their facilities.


 

 

 

3.

Conflict Minerals Program



The Company designed its conflict minerals program to conform, in all material respects, to the five-step framework of the 2nd edition of The Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as they relate to our position in the minerals supply chain as a "downstream" company:



Step 1: Establish strong company management systems

Step 2: Identify and assess risks in the supply chain

Step 3: Design and implement a strategy to respond to identified risks

Step 4: Carry out independent third-party audit of smelter/refiner due diligence practices

Step 5: Report annually on supply chain due diligence. 



The Company relied upon multi-stakeholder initiatives that provide verification processes for conflict-free minerals from smelters or refiners who may provide those minerals to companies in our supply chain. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. The Company does not purchase raw ore or unrefined conflict minerals and conducts no purchasing activities directly in the Covered Countries.



The statements below are based on the activities performed to date and in good faith by AtriCure and are based on the information available at the time of this filing. Factors that could affect the accuracy of these statements include, but are not limited to, the complexity of the supply chain, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, the ability of suppliers to identify smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules and other factors.



4.

Due Diligence Process



The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.



Step 1:  Establish strong company management systems



a.

Conflict minerals team – AtriCure established a conflict minerals team that includes individuals from the appropriate departments. The team was structured to ensure critical information reached relevant employees and suppliers.

b.

Supplier engagement – AtriCure provided informational materials to our queried suppliers related to the conflict minerals disclosure requirements and conflict minerals compliance.

c.

Company level grievance mechanism – AtriCure has established a grievance mechanism as a risk-awareness system for issues, including conflict minerals issues. Stakeholders can communicate directly and confidentially with our compliance officer.

d.

Records management – AtriCure will maintain records relating to our conflict minerals program in accordance with the recommended five-year record retention guidelines.



Step 2:  Identify and assess risks in the supply chain



a.

Identify products in scope – The conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope.

b.

Conduct Reasonable Country of Origin Inquiry (RCOI) – AtriCure utilized the industry-developed Conflict Minerals Reporting Template (CMRT) to query suppliers for conflict minerals information. The Company requested this information from the Tier 1 suppliers who provide material and components for the products deemed in-scope by the conflict minerals team. The responses from the templates submitted by our suppliers were evaluated to determine the Company’s reporting obligation based on this RCOI.

c.

Completed additional follow-up – AtriCure contacted direct suppliers to ensure they responded to the request for conflict minerals information by the requested date. AtriCure also worked to clarify and validate the information provided by certain suppliers, such as distributors.

d.

Identify smelters/processors – AtriCure compiled a list of smelters/processors in our supply chain using supplier responses in their CMRTs. The Company reconciled this list to the list of smelter facilities designated by the Conflict-Free Sourcing Initiative's (CFSI) Conflict-Free Smelter Program. We have provided the listing within this report.




 

 

 

Step 3:  Design and implement a strategy to respond to identified risks



As part of the risk mitigation process, the Company reconciled the list of smelters collected from suppliers to the list of smelter facilities designated as "conflict free" by the CFSI's Conflict-Free Smelter Program.



Step 4:  Carry out independent third-party audit of smelter/refiner due diligence practices



AtriCure is relying on the CFSI's published lists to verify the conflict-free status of smelters/processors that source from Covered Countries. The Company has not been subject to an independent private sector audit in accordance with the SEC Statement.



Step 5:  Report annually on supply chain due diligence



AtriCure has determined that a portion of the conflict minerals used to manufacture our products may have originated from the Covered Countries. Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at http://www.atricure.com/.



5.

Determination



Based on the information received from our suppliers, the facilities listed in the table below may have been used to process conflict minerals used in certain AtriCure products.



On the basis of the due diligence measures described above, including the RCOI process, the Company does not have sufficient information to conclusively determine the countries of origin of all of the 3TG necessary to the Company’s product functionality or production or whether the 3TG used in its products were from recycled or scrap sources or whether or not any conflict minerals may have, in fact, directly or indirectly financed or benefitted any armed groups in a Covered Country.





 

 

Metal

Facility Name

Facility Location

Gold

AGR Matthey

AUSTRALIA

Gold

Aida Chemical Industries Co., Ltd.

JAPAN

Gold

Aktyubinsk Copper Company TOO

KAZAKHSTAN

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB
EMIRATES

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

Gold

AngloGold Ashanti Córrego do Sítio Mineração

BRAZIL

Gold

ANZ

AUSTRALIA

Gold

Argor-Heraeus SA

SWITZERLAND

Gold

Asahi Pretec Corporation

JAPAN

Gold

Asahi Refining Canada Limited

CANADA

Gold

Asahi Refining USA Inc.

UNITED STATES

Gold

Asaka Riken Co., Ltd.

JAPAN

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

Gold

Aurubis AG

GERMANY

Gold

B.R.Industries

INDIA

Gold

Bangalore Refinery Pvt Ltd

INDIA

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

Gold

Bauer Walser AG

GERMANY

Gold

Boliden AB

SWEDEN

Gold

C. Hafner GmbH + Co. KG

GERMANY

Gold

Caridad

MEXICO




 

 

 

Gold

CCR Refinery - Glencore Canada Corporation

CANADA

Gold

Cendres + Métaux SA

SWITZERLAND

Gold

Chimet S.p.A.

ITALY

Gold

China National Gold Group Corporation

CHINA

Gold

Chugai Mining Co.,Ltd

JAPAN

Gold

Codelco

CHILE

Gold

Colt Refining

UNITED STATES

Gold

Cookson Sempsa

SPAIN

Gold

Daejin Indus Co., Ltd.

KOREA, REPUBLIC OF

Gold

DaeryungENC

KOREA, REPUBLIC OF

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

Gold

DODUCO GmbH

GERMANY

Gold

Dowa

JAPAN

Gold

DSC (Do Sung Corporation)

KOREA, REPUBLIC OF

Gold

ECHEMI ENTERPRISE CORP.

CHINA

Gold

Eco-System Recycling Co., Ltd.

JAPAN

Gold

Elemetal Refining, LLC

UNITED STATES

Gold

EM Vinto

BOLIVIA

Gold

ESG Edelmetallservice GmbH & Co. KG

GERMANY

Gold

Faggi Enrico S.p.A.

ITALY

Gold

Fidelity Printers and Refiners Ltd.

ZIMBABWE

Gold

Gansu Seemine Material Hi-Tech Co., LTD

CHINA

Gold

Geib Refining Corporation

UNITED STATES

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

Gold

Guangdong Jinding Gold Limited

CHINA

Gold

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

CHINA

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

Gold

Harmony Gold Refinery

SOUTH AFRICA

Gold

Heimerle + Meule GmbH

GERMANY

Gold

Heraeus Ltd. Hong Kong

CHINA

Gold

Heraeus Precious Metals GmbH & Co. KG

GERMANY

Gold

Heraeus Precious Metals North America

UNITED STATES

Gold

Hunan Chenzhou Mining Group Co., Ltd.

CHINA

Gold

Hwasung CJ Co., Ltd.

KOREA, REPUBLIC OF

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

CHINA

Gold

Inovan gmbh

GERMANY

Gold

Ishifuku Metal Industry Co., Ltd.

JAPAN

Gold

Istanbul Gold Refinery

TURKEY

Gold

Japan Mint

JAPAN

Gold

Jiangxi Copper Company Limited

CHINA

Gold

Johnson Matthey Inc

UNITED STATES

Gold

Johnson Matthey Ltd

CANADA

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 as

NORWAY

Gold

Kazakhmys Smelting LLC

KAZAKHSTAN

Gold

Kazzinc Ltd

KAZAKHSTAN

Gold

Kennecott Utah Copper LLC

UNITED STATES

Gold

Kojima Chemicals Co., Ltd.

JAPAN

Gold

Korea Metal Co., Ltd.

KOREA, REPUBLIC OF

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

Gold

L' azurde Company For Jewelry

SAUDI ARABIA

Gold

Lingbao Gold Company Limited

CHINA

Gold

Lingbao Jinyuan Tonghui Refinery Co. Ltd.

CHINA

Gold

London Bullion Market Association

UNITED KINGDOM

Gold

London Bullion Market Association

UNITED STATES

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

Gold

Luoyang Zijin Yinhui Metal Smelt Co Ltd

CHINA

Gold

Materion

UNITED STATES

Gold

Materion Advanced Metals

CHINA

Gold

Matsuda Sangyo Co., Ltd.

JAPAN

Gold

Mead Metals

UNITED STATES

Gold

Metalor Technologies (Hong Kong) Ltd.

CHINA

Gold

Metalor Technologies (Singapore) Pte. Ltd.

SINGAPORE

Gold

Metalor Technologies (Suzhou) Ltd.

CHINA

Gold

Metalor Technologies SA

SWITZERLAND

Gold

Metalor USA Refining Corporation

UNITED STATES

Gold

Metalurgica Met-Mex Peñoles, S.A. de C.V.

MEXICO

Gold

Mitsubishi Materials Corporation

JAPAN

Gold

Mitsui Mining and Smelting Co., Ltd.

JAPAN

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

Gold

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

TURKEY

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

Gold

Nihon Material Co. LTD

JAPAN

Gold

Ningbo Kangqiang

CHINA

Gold

Ohio Precious Metals, LLC

UNITED STATES

Gold

Ohura Precious Metal Industry Co., Ltd.

JAPAN

Gold

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastvetmet)

RUSSIAN FEDERATION

Gold

OJSC Kolyma Refinery

RUSSIAN FEDERATION

Gold

OJSC Novosibirsk Refinery

RUSSIAN FEDERATION

Gold

PAMP SA

SWITZERLAND

Gold

Pan Pacific Copper Co Ltd.,

JAPAN

Gold

Penglai Penggang Gold Industry Co., Ltd.

CHINA

Gold

Perth Mint

AUSTRALIA




 

 

 

Gold

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

Gold

PT Aneka Tambang (Persero) Tbk

INDONESIA

Gold

PT Tambang Timah

INDONESIA

Gold

PX Précinox SA

SWITZERLAND

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

Gold

Republic Metals Corporation

UNITED STATES

Gold

Royal Canadian Mint

CANADA

Gold

Sabin Metal Corp.

UNITED STATES

Gold

Samduck Precious Metals

KOREA, REPUBLIC OF

Gold

SAMWON Metals Corp.

KOREA, REPUBLIC OF

Gold

Sanmenxia HengSheng

CHINA

Gold

SAXONIA Edelmetalle GmbH

GERMANY

Gold

Schone Edelmetaal B.V.

NETHERLANDS

Gold

Scotia Mocatta

HONG KONG

Gold

SD(Samdok) Metal

KOREA

Gold

SEMPSA Joyería Platería SA

SPAIN

Gold

Sendi (Japan): Kyocera Corporation

JAPAN

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CHINA

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CHINA

Gold

Shandong Zhaoyuan Gold Argentine refining company

CHINA

Gold

Shanghai Gold Exchange

CHINA

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

Gold

Singway Technology Co., Ltd.

TAIWAN

Gold

So Accurate Group, Inc.

UNITED STATES

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

Gold

Solar Applied Materials Technology Corp.

TAIWAN

Gold

Sumitomo Metal Mining Co., Ltd.

JAPAN

Gold

Super Dragon technology Co., Ltd

TAIWAN

Gold

Suzhou xingrui

CHINA

Gold

Suzhou Xingrui Noble

CHINA

Gold

Tanaka Denshi Kogyo K.K.

JAPAN

Gold

Tanaka Kikinzoku Kogyo K.K.

JAPAN

Gold

TECHNIC INC.

UNITED STATES

Gold

The Great Wall Gold and Silver Refinery of China

CHINA

Gold

The Hutti Gold Company

INDIA

Gold

The Refinery of Shandong Gold Mining Co., Ltd.

CHINA

Gold

Timah Company

INDONESIA

Gold

Tokuriki Honten Co., Ltd.

JAPAN

Gold

Tongling Nonferrous Metals Group Co., Ltd.

CHINA

Gold

Torecom

KOREA, REPUBLIC OF

Gold

Toyo Smelter & Refinery, Japan

JAPAN

Gold

UBS AG Bahnhofstr.

SWITZERLAND

Gold

Umicore Brasil Ltda

BRAZIL




 

 

 

Gold

Umicore Precious Metals Thailand

THAILAND

Gold

Umicore SA Business Unit Precious Metals Refining

BELGIUM

Gold

Union Bank of Switzerland

SWITZERLAND

Gold

United Precious Metal Refining, Inc.

UNITED STATES

Gold

Uyemura

UNITED STATES

Gold

Valcambi SA

SWITZERLAND

Gold

W.C. Heraeus GmbH

GERMANY

Gold

Western Australian Mint trading as The Perth Mint

AUSTRALIA

Gold

WIELAND Edelmetalle GmbH

GERMANY

Gold

Xstrata Canada Corporation

CANADA

Gold

Yamamoto Precious Metal Co., Ltd.

JAPAN

Gold

Yokohama Metal Co Ltd

JAPAN

Gold

Yoo Chang Metal Inc.

KOREA

Gold

Yunnan Copper Industry Co Ltd

CHINA

Gold

ZhaoJin Mining Industry Co.,Ltd.

CHINA

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

Gold

Zijin Mining Group Co., Ltd. Gold Refinery

CHINA

Tantalum

A&M Minerals Ltd.

UNITED KINGDOM

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

Tantalum

CIF

BRAZIL

Tantalum

Conghua Tantalum and Niobium Smeltry

CHINA

Tantalum

D Block Metals, LLC

UNITED STATES

Tantalum

Duoluoshan

CHINA

Tantalum

Ethiopian Minerals Development Share Co.

ETHIOPIA

Tantalum

Exotech Inc.

UNITED STATES

Tantalum

F&X Electro-Materials Ltd.

CHINA

Tantalum

FIR Metals & Resource Ltd.

CHINA

Tantalum

Fujian Nanping

CHINA

Tantalum

Gannon & Scott

UNITED STATES

Tantalum

Ganzhou Grand Sea W & Mo Group Co Ltd

CHINA

Tantalum

Global Advanced Metals Aizu

JAPAN

Tantalum

Global Advanced Metals Boyertown

UNITED STATES

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

Tantalum

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

CHINA

Tantalum

H.C. Starck Co., Ltd.

THAILAND

Tantalum

H.C. Starck GmbH Goslar

GERMANY

Tantalum

H.C. Starck GmbH Laufenburg

GERMANY

Tantalum

H.C. Starck Group

GERMANY

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

Tantalum

H.C. Starck Inc.

UNITED STATES

Tantalum

H.C. Starck Ltd.

JAPAN

Tantalum

H.C. Starck Smelting GmbH & Co.KG

GERMANY

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CHINA




 

 

 

Tantalum

Hi-Temp Specialty Metals, Inc.

UNITED STATES

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CHINA

Tantalum

Jiangxi Rare Earth Metals Tungsten Group Corp.

CHINA

Tantalum

Jiangzi Yichum

CHINA

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

Tantalum

Jiujiang Tanbre Co., Ltd.

CHINA

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CHINA

Tantalum

KEMET Blue Metals

MEXICO

Tantalum

KEMET Blue Powder

UNITED STATES

Tantalum

Kennametal inc

UNITED STATES

Tantalum

King-Tan Tantalum Industry Ltd.

CHINA

Tantalum

KME Germany GmbH & Co. KG

GERMANY

Tantalum

LSM Brasil S.A.

BRAZIL

Tantalum

Metal Do

JAPAN

Tantalum

Metallurgical Products India Pvt., Ltd.

INDIA

Tantalum

Mineração Taboca S.A.

BRAZIL

Tantalum

Mitsui Mining & Smelting

JAPAN

Tantalum

Molycorp Silmet A.S.

ESTONIA

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

Tantalum

Niotan

UNITED STATES

Tantalum

Nippon Mining & Metals Co.,Ltd.

JAPAN

Tantalum

NTET, Thailand

THAILAND

Tantalum

Plansee SE Liezen

AUSTRIA

Tantalum

Plansee SE Reutte

AUSTRIA

Tantalum

QuantumClean

UNITED STATES

Tantalum

Resind Indústria e Comércio Ltda.

BRAZIL

Tantalum

RFH Tantalum Smeltry Co., Ltd.

CHINA

Tantalum

Shanghai Jiangxi Metals Co. Ltd

CHINA

Tantalum

Solikamsk Magnesium Works OAO

RUSSIAN FEDERATION

Tantalum

Taki Chemicals

JAPAN

Tantalum

Tantalite Resources

SOUTH AFRICA

Tantalum

Telex Metals

UNITED STATES

Tantalum

Tranzact, Inc.

UNITED STATES

Tantalum

Ulba Metallurgical Plant JSC

KAZAKHSTAN

Tantalum

Vietnam Youngsun Tungsten Industry Co., Ltd

VIETNAM

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

CHINA

Tantalum

Yichun Jin Yang Rare Metal Co., Ltd

CHINA

Tantalum

Zhuzhou Cemented Carbide

CHINA

Tin

AIM

CANADA

Tin

Alpha

UNITED STATES

Tin

Alpha Metals (Taiwan) Inc.

TAIWAN

Tin

Alpha Metals Korea Ltd.

KOREA

Tin

Amalgament

PERU




 

 

 

Tin

An Vinh Joint Stock Mineral Processing Company

VIETNAM

Tin

An Xin Xuan Xin Yue You Se Jin Shu Co. Ltd.

CHINA

Tin

Aoki Labatories Ltd

CHINA

Tin

Asahi Pretec

JAPAN

Tin

Assaf Conductors Ltd.

UNITED STATES

Tin

ATI Metalworking Products

UNITED STATES

Tin

Atlas Pacific

UNITED STATES

Tin

AURA-II

UNITED STATES

Tin

Aurubis Netherlands

MALAYSIA

Tin

Ausmelt Limited

AUSTRALIA

Tin

BALVER ZINN Josef Jo

GERMANY

Tin

Bao tai

CHINA

Tin

Best Metais e Solda

BRAZIL

Tin

CFC Cooperativa dos Fundidores de Cassiterita da Amazonia Ltda.

BRAZIL

Tin

Chenzhou Yunxiang Mining and Metallurgy Company Limited

CHINA

Tin

China Tin Group Co., Ltd.

CHINA

Tin

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

Tin

Cookson

UNITED STATES

Tin

Cooper Santa

BRAZIL

Tin

Cooperativa Metalurgica de Rondônia Ltda.

BRAZIL

Tin

COPPER 100

BRAZIL

Tin

Copper Santa

BRAZIL

Tin

CV Ayi Jaya

INDONESIA

Tin

CV DS Jaya Abadi

INDONESIA

Tin

CV Duta Putra Bangka

INDONESIA

Tin

CV Gita Pesona

INDONESIA

Tin

CV Makmur Jaya

INDONESIA

Tin

CV Nurjanah

INDONESIA

Tin

CV Prima Timah Utama

INDONESIA

Tin

CV Serumpun Sebalai

INDONESIA

Tin

CV United Smelting

INDONESIA

Tin

CV Venus Inti Perkasa

INDONESIA

Tin

Daewoo International

JAPAN

Tin

Dowa

JAPAN

Tin

Dr.-Ing. Max Schloetter GmbH & Co. KG

GERMANY

Tin

Electroloy Metal Pte

SINGAPORE

Tin

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

VIETNAM

Tin

Elmet S.L.U. (Metallo Group)

SPAIN

Tin

EM Vinto

BRAZIL

Tin

Estanho de Rondônia S.A.

BRAZIL

Tin

Eximental S.A.

ARGENTINA

Tin

Feinhütte Halsbrücke GmbH

GERMANY

Tin

Fenix Metals

POLAND




 

 

 

Tin

FIR Metals & Resource Ltd.

CHINA

Tin

Fuji Metal Mining Corp.

TAIWAN

Tin

Funsur,Minsur Mines,Funsur Smelter,Minsur S.A. Tin Metal

PERU

Tin

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

Tin

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

Tin

Gejiu Jinye Mineral 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

Gold Bell Group

CHINA

Tin

Grant Manufacturing and Alloying

UNITED STATES

Tin

H. Kramer & Co.

UNITED STATES

Tin

Hayes Metals Pty Ltd

AUSTRALIA

Tin

Heraeus Ltd Hong Kong

CHINA

Tin

Heraeus Precious Metals GmbH & Co. KG

GERMANY

Tin

Heraeus Technology Center

HONG KONG

Tin

Huaxi Guangxi Group

CHINA

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

Tin

Huichang Jinshunda Tin Co., Ltd.

CHINA

Tin

Impag AG

SWITZERLAND

Tin

Indonesian State Tin

INDONESIA

Tin

Ing.Josef Kořínek

CZECH REPUBLIC

Tin

International Wire Group, Inc

UNITED STATES

Tin

Jean Goldschmidt International

BELGIUM

Tin

Jia Tian

CHINA

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

CHINA

Tin

Jiangxi Nanshan

CHINA

Tin

Jiangxi Tungsten Industry Co Ltd

CHINA

Tin

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

Tin

Jun xiang

CHINA

Tin

Kai Unita Trade Limited Liability Company

CHINA

Tin

Kalas Wire

UNITED STATES

Tin

KARAS PLATING LTD

UNITED KINGDOM

Tin

KIESOW DR. BRINKMANN

GERMANY

Tin

KME Germany

GERMANY

Tin

Koepp Schaum GmbH

GERMANY

Tin

KOKI JAPAN

JAPAN

Tin

KOVOHUTE PRIBRAM NASTUPNICKA, A.S.

CZECH REPUBLIC

Tin

Kupol

RUSSIAN FEDERATION

Tin

Lingbao Jinyuan tonghu

CHINA

Tin

Linwu Xianggui Smelter Co

CHINA

Tin

Liuzhou China Tin

CHINA




 

 

 

Tin

M&R Claushuis BV

NETHERLANDS

Tin

MacDermid

UNITED STATES

Tin

Magnu's Minerais Metais e Ligas Ltda.

BRAZIL

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

Tin

Materials Eco-Refining CO.,LTD

JAPAN

Tin

MCP Heck

GERMANY

Tin

MCP Mining & Chemical Products Ltd. UK

UNITED KINGDOM

Tin

MEDEKO CAST s.r.o.

SLOVAKIA

Tin

Melt Metais e Ligas S/A

BRAZIL

Tin

Metahub Industries Sdn. Bhd.

MALAYSIA

Tin

Metallic Resources, Inc.

UNITED STATES

Tin

Metallo Chimique

BELGIUM

Tin

Metallum Metal Trading AG

SWITZERLAND

Tin

Metalor

SWITZERLAND

Tin

Minchai Metal Indust

TAIWAN

Tin

Mineração Taboca S.A.

BRAZIL

Tin

Mineral-Metal s.r.o.

CZECH REPUBLIC

Tin

Minmetals Ganzhou Tin Co. Ltd.

CHINA

Tin

Minsur

PERU

Tin

Mitsubishi Materials Corporation

JAPAN

Tin

Monette

GERMANY

Tin

Nancang Metal Material Co.,Ltd

CHINA

Tin

Nankang Nanshan Tin Manufactory Co., Ltd.

CHINA

Tin

Nathan Trotter & Co.

UNITED STATES

Tin

Neuhaus

GERMANY

Tin

Nghe Tin Non-Ferrous Metal

VIETNAM

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIETNAM

Tin

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

Tin

Norddeutsche Affinerie

INDONESIA

Tin

Norteña de Metales, SA

SPAIN

Tin

Novosibirsk Processing Plant Ltd.

RUSSIAN FEDERATION

Tin

O.M. Manufacturing (Thailand) Co., Ltd.

THAILAND

Tin

O.M. Manufacturing Philippines, Inc.

PHILLIPINES

Tin

OMG Electronisc Chemical Pte. Ltd

SINGAPORE

Tin

Operaciones Metalurgical S.A.

BOLIVIA

Tin

Paranapanema S/A

BRAZIL

Tin

Phoenix Metal Ltd.

RWANDA

Tin

Prifer Com de Sucata

BRAZIL

Tin

PT Alam Lestari Kencana

INDONESIA

Tin

PT Aneka Tambang (Persero) Tbk

INDONESIA

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 Babel Surya Alam Lestari

INDONESIA

Tin

PT Bangka Prima Tin

INDONESIA

Tin

PT Bangka Putra Karya

INDONESIA

Tin

PT Bangka Timah Utama Sejahtera

INDONESIA

Tin

PT Bangka Tin Industry

INDONESIA

Tin

PT Belitung Industri Sejahtera

INDONESIA

Tin

PT BilliTin Makmur Lestari

INDONESIA

Tin

PT Bukit Timah

INDONESIA

Tin

PT Cipta Persada Mulia

INDONESIA

Tin

PT DS Jaya Abadi

INDONESIA

Tin

PT Eunindo Usaha Mandiri

INDONESIA

Tin

PT Fang Di MulTindo

INDONESIA

Tin

PT HANJAYA PERKASA METALS

INDONESIA

Tin

PT HP Metals Indonesia

INDONESIA

Tin

PT Indra Eramulti Logam Industri

INDONESIA

Tin

PT Inti Stania Prima

INDONESIA

Tin

PT Justindo

INDONESIA

Tin

PT Karimun Mining

INDONESIA

Tin

PT Koba Tin

INDONESIA

Tin

PT Mitra Stania Prima

INDONESIA

Tin

PT Panca Mega Persada

INDONESIA

Tin

PT Pelat Timah Nusantara Tbk

INDONESIA

Tin

PT Prima Timah Utama

INDONESIA

Tin

PT Refined Banka Tin

INDONESIA

Tin

PT Sariwiguna Binasentosa

INDONESIA

Tin

PT Seirama Tin investment

INDONESIA

Tin

PT Singkep Times Utama

INDONESIA

Tin

PT Stanindo Inti Perkasa                       

INDONESIA

Tin

PT Sukses Inti Makmur

INDONESIA

Tin

PT Sumber Jaya Indah

INDONESIA

Tin

PT Supra Sukses Trinusa

INDONESIA

Tin

PT Tambang Timah

INDONESIA

Tin

PT Timah (Persero) Tbk Kundur

INDONESIA

Tin

PT Timah (Persero) Tbk Mentok

INDONESIA

Tin

PT Timah Nusantara

INDONESIA

Tin

PT Tinindo Inter Nusa

INDONESIA

Tin

PT Tirus Putra Mandiri

INDONESIA

Tin

PT Tommy Utama

INDONESIA

Tin

PT Wahana Perkit Jaya

INDONESIA

Tin

PT Yinchendo Mining Industry

INDONESIA

Tin

PT.CITRALOGAM

INDONESIA




 

 

 

Tin

RedRing Solder (M) Sdn. Bhd.

MALAYSIA

Tin

Resind Indústria e Comércio Ltda

BRAZIL

Tin

Rohm and Haas

GERMANY

Tin

Rui Da Hung

TAIWAN

Tin

S Company

THAILAND

Tin

SAN-ETSU METALS 

JAPAN

Tin

SENJU METAL INDUSTRY CO.,LTD.

JAPAN

Tin

Sevotrans

GERMANY

Tin

SGS BOLIVIA S.A.

BOLIVIA

Tin

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

CHINA

Tin

Shandong Zhaojin Gold & Silver Refinery Ltd.

CHINA

Tin

Shanghai Hubao Coppe

CHINA

Tin

Sizer Metals PTE

SINGAPORE

Tin

Soft Metais, Ltda.

BRAZIL

Tin

Solar Applied materials

TAIWAN

Tin

SORIMETAL

FRANCE

Tin

Sumitomo Metal Mining Co., Ltd.

JAPAN

Tin

Super Dragon Technology Co. Ltd.

TAIWAN

Tin

Swissmetal

SWITZERLAND

Tin

Swopes Salvage

UNITED STATES

Tin

Technic

UNITED STATES

Tin

Termomecanica

BRAZIL

Tin

Thailand Smelting & Refining Co., Ltd

THAILAND

Tin

Thaisarco

THAILAND

Tin

TODINI AND CO SPA

ITALY

Tin

TOYOTA TSUSHO CORPORATION

INDONESIA

Tin

Traxys

FRANCE

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIETNAM

Tin

Univertical Corp

UNITED STATES

Tin

Vitkovicke slevarny

CZECH REPUBLIC

Tin

VQB Mineral and Trading Group JSC

VIETNAM

Tin

White Solder Metalurgia e Mineração Ltda.

BRAZIL

Tin

Wieland Metals

UNITED STATES

Tin

Wu Xi Shi Yi Sheng Ji Xie She Bei Company

CHINA

Tin

XiHai - Liuzhou China Tin Group Co ltd - list as "China Tin"

CHINA

Tin

Ximao Tin Co. LTD

CHINA

Tin

Xingrui noble metal materialCO.LTD 

CHINA

Tin

Xizmen Tungsten Co., Ltd.

CHINA

Tin

Yantai Zhaojin Precious Metals Co., Ltd.

CHINA

Tin

Yifeng Tin Industry (Chenzhou) Co Ltd

CHINA

Tin

Yokohama Metal Co Ltd

JAPAN

Tin

Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.

CHINA

Tin

Yunnan Tin Group (Holding) Company Limited

CHINA




 

 

 

Tin

Zhongjin Gold Corporation Limited

CHINA

Tin

Zhuhai Quanjia

CHINA

Tungsten

A.L.M.T. TUNGSTEN Corp.

JAPAN

Tungsten

Alldyne Powder Technologies

UNITED STATES

Tungsten

Alta Group

UNITED STATES

Tungsten

Altlantic Metals

UNITED STATES

Tungsten

ATI Metalworking Products

UNITED STATES

Tungsten

ATI Tungsten Materials

UNITED STATES

Tungsten

AVX Corporation

UNITED STATES

Tungsten

Axis Material Limited

JAPAN

Tungsten

Beijing Zenith Materials

CHINA

Tungsten

ChangChun up-optech

CHINA

Tungsten

Chaozhou Xianglu Tungsten IND Co., LTD.

CHINA

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

Tungsten

China Minmetals  Corp.

CHINA

Tungsten

China Minmetals Nonferrous Metals Co Ltd

CHINA

Tungsten

China National Non-Ferrous & Jiangxi corporation limited

CHINA

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

Tungsten

COOKSON SEMPSA

SPAIN

Tungsten

CWB Materials

UNITED STATES

Tungsten

Dayu Jincheng Tungsten Industry Co., Ltd.

CHINA

Tungsten

Dayu Weiliang Tungsten Co., Ltd.

CHINA

Tungsten

Fujian Jinxin Tungsten Co., Ltd.

CHINA

Tungsten

Ganxian Shirui New Material Co., Ltd.

CHINA

Tungsten

Ganzhou Grand Sea W and Mo Company

CHINA

Tungsten

Ganzhou Grand Sea W&Mo Group Co. Ltd.

CHINA

Tungsten

GANZHOU HONGFEI W&Mo MATERIALS CO.,LTD.

CHINA

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

Tungsten

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

CHINA

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

Tungsten

GANZHOU SINDA W&Mo CO,.LTD.

CHINA

Tungsten

Ganzhou Yatai Tungsten Co., Ltd.

CHINA

Tungsten

Global Tungsten & Powders Corp.

UNITED STATES

Tungsten

Guangdong Xianglu Tungsten Industry Co., Ltd.

CHINA

Tungsten

H.C. Starck GmbH

GERMANY

Tungsten

H.C. Starck Smelting GmbH & Co.KG

GERMANY

Tungsten

Hitachi Metals, Ltd.,

JAPAN

Tungsten

Hunan Chenzhou Mining Group Co., Ltd.

CHINA

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CHINA

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

CHINA

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

Tungsten

Hydrometallurg, JSC

RUSSIAN FEDERATION




 

 

 

Tungsten

IES Technical Sales

UNITED STATES

Tungsten

Izawa Metal

JAPAN

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 Rare Earth & Rare Metals Tungsten Group Corp

CHINA

Tungsten

Jiangxi Richsea New Materials Co., Ltd.

CHINA

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

CHINA

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CHINA

Tungsten

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

CHINA

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

Tungsten

Jiujiang Tanbre

CHINA

Tungsten

JX Nippon mining & metals corporation

JAPAN

Tungsten

Kanto Denka Kogyo  Co., Ltd.

CHINA

Tungsten

Kennametal Huntsville

UNITED STATES

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

Tungsten

Midwest Tungsten Wire Co.

UNITED STATES

Tungsten

Mitsubishi Materials Corporation

JAPAN

Tungsten

Nanchang Cemented Carbide Limited Liability Company

CHINA

Tungsten

Niagara Refining LLC

UNITED STATES

Tungsten

NingHua XingLuoKeng TungSten Mining CO.,LID

CHINA

Tungsten

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

Tungsten

North American Tungsten

CANADA

Tungsten

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

VIETNAM

Tungsten

Plansee

AUSTRIA

Tungsten

Pobedit, JSC

RUSSIAN FEDERATION

Tungsten

Ram Sales

UNITED STATES

Tungsten

Sanher Tungsten Vietnam Co., Ltd.

VIETNAM

Tungsten

Sichuan Metals & Materials Imp & Exp Co

CHINA

Tungsten

Sincemat Co, Ltd

CHINA

Tungsten

Sumitomo

CHINA

Tungsten

Sumitomo Electric, USA (A.L.M.T.)

UNITED STATES

Tungsten

Sumitomo Metal Mining Co., Ltd.

JAPAN

Tungsten

Sumitomo, Canada

CANADA

Tungsten

Sylham

UNITED STATES

Tungsten

Tejing (Vietnam) Tungsten Co., Ltd.

VIETNAM

Tungsten

Triumph Northwest

UNITED STATES

Tungsten

Vietnam Youngsun Tungsten Industry Co., Ltd.

VIETNAM

Tungsten

Wolfram Bergbau und Hütten AG

AUSTRIA

Tungsten

Wolfram Company CJSC

RUSSIAN FEDERATION

Tungsten

Wort Wayne Wire Die

UNITED STATES

Tungsten

Xiamen Golden Egret Special Alloy Co. Ltd.

CHINA




 

 

 

Tungsten

Xiamen Honglu Tungsten Molybdenum Co., Ltd.

CHINA

Tungsten

Xiamen Tungsten (H.C.) Co., Ltd.

CHINA

Tungsten

Xiamen Tungsten Co., Ltd.

CHINA

Tungsten

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CHINA

Tungsten

Zhuzhou Cemented Carbide Group Co Ltd

CHINA




 

 

 

6.

Future Due Diligence



We will continue to communicate our expectations and information reporting requirements to our direct suppliers. Over time, we anticipate that the amount of information available globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified.  We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.