UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
Date of Report: May 29, 2020
______________________________________________________________________
NATURAL GAS SERVICES GROUP, INC.
(Exact name of registrant as specified in its charter)
______________________________________________________________________________
| Colorado | 1-31398 | 75-2811855 | ||||||||||||
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||||||||||||
| 404 Veterans Park Lane, Suite 300, Midland, Texas 79705 | (432) 262 -2700 | |||||||
| (Address of principal executive offices and zip code) | Registrant’s telephone number, including area code | |||||||
Stephen C. Taylor
President and Chief Executive Officer
(432) 262-2700
(Name and telephone number, including area code, of the person to contact in connection with this report.)
_____________________________________________________________________________________________
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
☒ Rule 13p-1 under the Securities Exchange Act (17CFR240.13p-1) for the reporting period from January 1 to December 31, 2019.
SECTION 1 - CONFLICT MINERALS DISCLOSURE
Item 1.01 and 1.02 Conflict Minerals Disclosure and Report, Exhibit
Natural Gas Services Group Inc., has conducted an analysis of our products and have concluded that the following minerals: tin, tungsten, tantalum and/or gold are contained in the components used to manufacture and fabricate our compressors and flares. Through our due diligence work we have conducted a good faith reasonable country of origin review and determined that our supply chain is DRC (Democratic Republic of the Congo or an adjoining country) conflict undeterminable and as a result we have filed a Conflict Minerals Report.
A copy of the Natural Gas Services Group’s Conflict Minerals Report for the calendar year ended December 31, 2019 is publicly provided as Exhibit 1.01 hereto and is publicly available at www.ngsgi.com. The information on this website is not incorporated by reference into this Form SD and does not constitute a part of this Form SD.
SECTION 2 - EXHIBITS
Item 2.01 Exhibits
The following exhibit is filed as part of this report:
Exhibit 1.01 - Conflict Minerals Report for the reporting period January 1, 2019 to December 31, 2019, 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.
| NATURAL GAS SERVICES GROUP, INC. | |||||||||||||||||
| Date: | May 29, 2020 | By: | /s/ Stephen C. Taylor | ||||||||||||||
| Stephen C. Taylor | |||||||||||||||||
| President & Chief Executive Officer | |||||||||||||||||
Exhibit 1.01
Natural Gas Services Group, Inc.
Conflict Minerals Report
For The Year Ended December 31, 2019
This report for the year ended December 31, 2019 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule). 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 (3TG). These requirements apply to registrants regardless of 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 or an adjoining country (the Covered Countries), or from recycled and scrap sources, they must submit a Form SD which describes the Reasonable Country of Origin Inquiry completed.
If a registrant has reason to believe that any of the conflict minerals in their supply chain may have originated in the Covered Countries, or if they are 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 report, Conflict Minerals Report (CMR), to the SEC that includes a description of those due diligence measures.
ITEM 1. Company Overview
This report has been prepared and approved by management of Natural Gas Services Group, Inc. (herein referred to as “NGS,” the “Company,” “we,” “us,” or “our”).
We are a leading provider of natural gas compression services and equipment to the energy industry. The Company manufactures, fabricates, rents, sells and maintains natural gas compressors and flare systems for oil and natural gas production and plant facilities. NGS is headquartered in Midland, Texas, with fabrication facilities located in Tulsa, Oklahoma and Midland, Texas, and service facilities located in major oil and natural gas producing regions in the U.S.
ITEM 2. Products Overview
We conducted an analysis of our products and found 3TG is contained in the components used to manufacture and fabricate compressors and flares. Therefore, the products that we manufacture are subject to the reporting obligations of Rule 13p-1.
We defined the scope of our conflict minerals due diligence to include only components purchased to manufacture and fabricate our compressors and flares. We excluded purchases related to rebuilds/maintenance on rented or customer units and straight part sales, as they do not meet the requirements under the Rule since they are not used in manufacturing of our products.
ITEM 3. Supply Chain
Our company has many tiers in our supply chain, and we are therefore relying upon our suppliers to provide information on the origin of any 3TG contained in the components and materials supplied to us, including sources of 3TG that are supplied to them from their sub-tier suppliers. We are integrating a responsible sourcing of minerals requirement with our Conflict Minerals Policy. Our suppliers will be expected to provide the 3TG sourcing information to us annually per our Conflict Minerals Policy, thus we are relying and dependent upon our suppliers’ own due diligence work and their timely and accurate reporting of their due diligence. We adopted the standard EICC-GeSI Conflict Minerals Reporting Template and sent the questionnaire to our above described suppliers.
ITEM 4. Reasonable Country of Origin Inquiry (RCOI) and RCOI Conclusion
Due to the limited information provided to us by our suppliers during our inquiry, we are not yet able to identify all of the various smelting facilities that processed the 3TG contained in our products. Due to the breadth and complexity of Natural Gas Services Group, Inc.’s products and respective supply chain, it will take time for many of our suppliers to verify the origin of all of the minerals. Using our supply chain due diligence processes, driving accountability within the supply chain by
Exhibit 1.01
leveraging the industry standard EICC-GeSI template, and continuing our outreach efforts, we hope to develop further transparency in our supply chain.
ITEM 5. Conflict Minerals Status Analysis and Conflict Status Conclusion
Natural Gas Services Group, Inc. has concluded that due to the limited information received from our suppliers, we are not yet able to determine the mine or other origin of all the minerals incorporated into the compressors and flares delivered to our customers in 2019.
ITEM 6A. Due Diligence Program
Conflict Minerals Policy
We have adopted the following conflict minerals policy:
Natural Gas Services Group, Inc.
Conflict Minerals Policy
In July 2010, the Wall Street Reform and Consumer Protection Act, also known as the Dodd-Frank Act, was signed into law. Although the focus of the Act is financial market regulatory reforms, it also imposes requirements relating to “Conflict Minerals.” Specifically, section 1502 of the Act imposes Security and Exchange Commission (SEC) reporting requirements upon publicly-traded companies whose products contain metals derived from minerals defined as “Conflict Minerals.” “Conflict Minerals” refers to tin, tantalum, tungsten and gold (or derivatives) mined in the eastern provinces of the Democratic Republic of the Congo (DRC) and in the adjoining countries (known as the “Conflict Region”), where revenues may be directly or indirectly financing armed groups engaged in civil war resulting in serious social and environmental abuses.
Natural Gas Services Group, Inc. (“NGS”) is committed to complying with the reporting obligations required under Section 1502 of the Act and any related rules and regulations issued by the SEC. Furthermore, NGS has to adopt the EICC Due Diligence reporting process to obtain chain of custody declaration from all NGS sourced and managed suppliers ensuring transparency and corporate social responsibility in our supply chain.
•To provide a timely response to our inquiries and questionnaires;
•To provide assistance in reaching out to their suppliers;
•To supply “DRC Conflict Free” materials to the best of their ability, i.e. if a conflict mineral is present in the item being supplied, take reasonable steps to ensure that it originates from a non-conflict area or from smelters that have been validated by an independent private sector party to be conflict free; and
•To inform us of any materials supplied that are not “DRC Conflict Free.”
Our policy is publicly available on our website at www.ngsgi.com.
ITEM 6B. Due Diligence Process
Design of Due Diligence
Our due diligence measures have been designed to conform, in all material respects, with the framework in The Organization for Economic Cooperation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas 2nd Edition (OECD Guidance) and the related Supplements for gold and for tin, tantalum and tungsten.
Management Systems
As mentioned above, our due diligence measures have been designed based of the OECD Framework, therefore, we have established a management system over conflict minerals. This included adopting a company policy which is posted on our website at www.ngsgi.com, establishing an internal conflict minerals team, gathering information from our suppliers, and reinforcing our grievance mechanisms, which are described more in-depth in the following captions of this section.
Exhibit 1.01
Internal Team
NGS utilizes our existing management system/team for conflict minerals. Our management system/team includes our VP of Technical Services, Chief Financial Officer and Chief Executive Officer. They are supported by a team of subject matter experts from relevant functions such as, purchasing, quality control, and manufacturing. The team of subject matter experts is responsible for implementing our conflict minerals compliance strategy and is led by a Financial Reporting Manager who acts as the conflict minerals program manager. Senior management is briefed about the results of our due diligence efforts on a periodic basis.
Supplier Engagement
With respect to the OECD requirement to strengthen engagement with suppliers, we have engaged a third party data collection and software vendor, iPoint, to send and receive supplier RCOI questionnaires. Feedback from this engagement has allowed us to gather and review the conclusions and statements rendered in this report.
Escalation Procedures
We have multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of NGS’s policies. Any violations of policy can be reported internally through the chain of management or directly to an appropriate level within the Company. We also deploy a whistle blower/hotline for issues that need attention without utilizing the chain of management.
Maintain Records
Natural Gas Services Group, Inc. has established our due diligence compliance process and set forth documentation and record maintenance mechanism to ensure the retention of relevant documentation in a structured electronic database.
ITEM 6C. Steps to be Taken to Mitigate Risk and Maturing Due Diligence Program
As we move towards further developing our due diligence program, we intend to take the following steps to continue to mitigate any possible risk that the necessary conflict minerals in our products could benefit armed groups in the DRC or adjoining countries:
•Enhance supplier communication and response process to improve due diligence data accuracy and completion; and
•Support industry efforts to continue to influence additional smelters to obtain Conflict Free Smelter ("CFS") status through our supply chain, where possible.
ITEM 7. Identify and Assess Risk in the Supply Chain
Because of our size, the complexity of the components in our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers. Accordingly we participate in a number of industry-wide initiatives as described above.
We have identified approximately 2,512 components purchased from 183 direct suppliers. We rely on these suppliers, whose components contain 3TG, to provide us with information about the source of conflict minerals contained in the components supplied to us. Our direct suppliers are similarly reliant upon information provided by their suppliers.
ITEM 8. Design and Implement a Strategy to Respond to Risks
Natural Gas Services Group, Inc. will work with our suppliers who are sourcing 3TG from a non-Conflict Free smelter to establish an alternative source of 3TG from a Conflict Free smelter, within a reasonable time frame. The time frame will be dependent on the criticality of the specific part and availability of alternative suppliers. Currently, we have found no instances where changing suppliers is necessary.
Exhibit 1.01
ITEM 9. Carry out Independent Third Party Audit of Supply Chain Due Diligence at Identified
Points in the Supply Chain
We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. We rely on the audits performed by the Conflict-Free Sourcing Initiative ("CFSI").
ITEM 10. Report on Supply Chain Due Diligence
•In addition to this report, see our website at www.ngsgi.com for further information about our supply chain due diligence.
•Due Diligence Process
We conducted a survey of those suppliers described above using the template developed by the Electronic Industry Citizenship Coalition® (“EICC®”) and The Global e-Sustainability Initiative (“GeSI”) (referred to as the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the template contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool is available on EICC’s website. The Template is being used by many companies in their due diligence processes related to conflict minerals.
Survey Responses
We received responses approximately 43% of the suppliers surveyed which covers 45% of the components identified above. We reviewed the responses against internally developed criteria to determine which required further engagement with our suppliers. If a response was untimely or incomplete, we have worked directly with our suppliers to provide revised responses.
Through iPoint, Natural Gas Services Group created and maintained a database of a majority of all templates sent and the supplier received responses (a few replied back through memos or Excel spreadsheets which are also being kept). The large majority of the responses received provided data at a company or divisional level or, were unable to connect the smelters or refiners used in the components supplied to NGS (all smelters and refiners supplied were from non-conflict area). Thus, we are therefore unable to determine whether any of the conflict minerals reported by the suppliers were contained in components or parts supplied to us or to validate that any of these smelters or refiners are actually in our supply chain.
Efforts to Determine Mine or Location of Origin
Through our participation in the OECD implementation programs and requesting our suppliers to complete the Template, we have determined that seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.
Smelters or Refiners
As mentioned above, the majority of the responses received provided data at the company or divisional level or, were able to connect the smelters or refiners used in the components supplied to NGS. Based on the information provided, NGS believes the smelters and refiners that may have been used to produce 3TG minerals in NGS’s compressors and flares include those listed in Annex I. Based on information provided by our suppliers and information available from the CFSI, NGS believes that the countries of origin of 3TG minerals processed by these smelters and refiners includes the countries listed in Annex II. Of the supplier-reported smelters or refiners, none were identified as potentially sourcing minerals from the DRC or adjoining countries. NGS found no reasonable basis for concluding that any 3TG minerals known to be in its supply chain directly or indirectly financed or benefited armed groups in the DRC or surrounding countries.
Exhibit 1.01
| ANNEX I | ||||||||
| Metal | Smelter Name | Smelter Country | ||||||
| Gold (Au) | 8853 S.p.A. | ITALY | ||||||
| Gold (Au) | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | Advanced Chemical Company | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | African Gold Refinery | UGANDA | ||||||
| Gold (Au) | Aida Chemical Industries Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | ||||||
| Gold (Au) | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | ||||||
| Gold (Au) | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | ||||||
| Gold (Au) | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | ||||||
| Gold (Au) | Argor-Heraeus S.A. | SWITZERLAND | ||||||
| Gold (Au) | Asahi Pretec Corp. | JAPAN | ||||||
| Gold (Au) | Asahi Refining Canada Ltd. | CANADA | ||||||
| Gold (Au) | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | Asaka Riken Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | ||||||
| Gold (Au) | AU Traders and Refiners | SOUTH AFRICA | ||||||
| Gold (Au) | Aurubis AG | GERMANY | ||||||
| Gold (Au) | Bangalore Refinery | INDIA | ||||||
| Gold (Au) | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | ||||||
| Gold (Au) | Boliden AB | SWEDEN | ||||||
| Gold (Au) | C. Hafner GmbH + Co. KG | GERMANY | ||||||
| Gold (Au) | Caridad | MEXICO | ||||||
| Gold (Au) | CCR Refinery - Glencore Canada Corporation | CANADA | ||||||
| Gold (Au) | Cendres + Metaux S.A. | SWITZERLAND | ||||||
| Gold (Au) | CGR Metalloys Pvt Ltd. | INDIA | ||||||
| Gold (Au) | Chimet S.p.A. | ITALY | ||||||
| Gold (Au) | Chugai Mining | JAPAN | ||||||
| Gold (Au) | Daye Non-Ferrous Metals Mining Ltd. | CHINA | ||||||
| Gold (Au) | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | ||||||
| Gold (Au) | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | ||||||
| Gold (Au) | DODUCO Contacts and Refining GmbH | GERMANY | ||||||
| Gold (Au) | Dowa | JAPAN | ||||||
| Gold (Au) | DS PRETECH Co., Ltd. | REPUBLIC OF KOREA | ||||||
| Gold (Au) | DSC (Do Sung Corporation) | REPUBLIC OF KOREA | ||||||
| Gold (Au) | Eco-System Recycling Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Emirates Gold DMCC | UNITED ARAB EMIRATES | ||||||
| Gold (Au) | Fidelity Printers and Refiners Ltd. | ZIMBABWE | ||||||
| Gold (Au) | Fujairah Gold FZC | UNITED ARAB EMIRATES | ||||||
| Gold (Au) | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | ||||||
| Gold (Au) | Geib Refining Corporation | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | ||||||
| Gold (Au) | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | ||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Country | ||||||
| Gold (Au) | Guangdong Jinding Gold Limited | CHINA | ||||||
| Gold (Au) | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | ||||||
| Gold (Au) | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | ||||||
| Gold (Au) | HeeSung Metal Ltd. | REPUBLIC OF KOREA | ||||||
| Gold (Au) | Heimerle + Meule GmbH | GERMANY | ||||||
| Gold (Au) | Heraeus Metals Hong Kong Ltd. | CHINA | ||||||
| Gold (Au) | Heraeus Precious Metals GmbH & Co. KG | GERMANY | ||||||
| Gold (Au) | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||||||
| Gold (Au) | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | ||||||
| Gold (Au) | HwaSeong CJ CO., LTD. | REPUBLIC OF KOREA | ||||||
| Gold (Au) | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | ||||||
| Gold (Au) | International Precious Metal Refiners | UNITED ARAB EMIRATES | ||||||
| Gold (Au) | Ishifuku Metal Industry Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Istanbul Gold Refinery | TURKEY | ||||||
| Gold (Au) | Italpreziosi | ITALY | ||||||
| Gold (Au) | Japan Mint | JAPAN | ||||||
| Gold (Au) | Jiangxi Copper Co., Ltd. | CHINA | ||||||
| Gold (Au) | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | ||||||
| Gold (Au) | JSC Uralelectromed | RUSSIAN FEDERATION | ||||||
| Gold (Au) | JX Nippon Mining & Metals Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Kaloti Precious Metals | UNITED ARAB EMIRATES | ||||||
| Gold (Au) | Kazakhmys Smelting LLC | KAZAKHSTAN | ||||||
| Gold (Au) | Kazzinc | KAZAKHSTAN | ||||||
| Gold (Au) | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | KGHM Polska Miedz Spolka Akcyjna | POLAND | ||||||
| Gold (Au) | Kojima Chemicals Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Korea Zinc Co., Ltd. | REPUBLIC OF KOREA | ||||||
| Gold (Au) | Kyrgyzaltyn JSC | KYRGYZSTAN | ||||||
| Gold (Au) | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | ||||||
| Gold (Au) | L'azurde Company For Jewelry | SAUDI ARABIA | ||||||
| Gold (Au) | L'Orfebre S.A. | ANDORRA | ||||||
| Gold (Au) | Lingbao Gold Co., Ltd. | CHINA | ||||||
| Gold (Au) | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | ||||||
| Gold (Au) | LS-NIKKO Copper Inc. | REPUBLIC OF KOREA | ||||||
| Gold (Au) | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | ||||||
| Gold (Au) | Marsam Metals | BRAZIL | ||||||
| Gold (Au) | Materion | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | Matsuda Sangyo Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Metalor Technologies (Hong Kong) Ltd. | CHINA | ||||||
| Gold (Au) | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | ||||||
| Gold (Au) | Metalor Technologies (Suzhou) Ltd. | CHINA | ||||||
| Gold (Au) | Metalor Technologies S.A. | SWITZERLAND | ||||||
| Gold (Au) | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | ||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Country | ||||||
| Gold (Au) | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | ||||||
| Gold (Au) | Mitsubishi Materials Corporation | JAPAN | ||||||
| Gold (Au) | Mitsui Mining and Smelting Co., Ltd. | JAPAN | ||||||
| Gold (Au) | MMTC-PAMP India Pvt., Ltd. | INDIA | ||||||
| Gold (Au) | Modeltech Sdn Bhd | MALAYSIA | ||||||
| Gold (Au) | Morris and Watson | NEW ZEALAND | ||||||
| Gold (Au) | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | ||||||
| Gold (Au) | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | ||||||
| Gold (Au) | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | ||||||
| Gold (Au) | NH Recytech Company | REPUBLIC OF KOREA | ||||||
| Gold (Au) | Nihon Material Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | ||||||
| Gold (Au) | Ohura Precious Metal Industry Co., Ltd. | JAPAN | ||||||
| Gold (Au) | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | ||||||
| Gold (Au) | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | ||||||
| Gold (Au) | PAMP S.A. | SWITZERLAND | ||||||
| Gold (Au) | Pease & Curren | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | Penglai Penggang Gold Industry Co., Ltd. | CHINA | ||||||
| Gold (Au) | Planta Recuperadora de Metales SpA | CHILE | ||||||
| Gold (Au) | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | ||||||
| Gold (Au) | PT Aneka Tambang (Persero) Tbk | INDONESIA | ||||||
| Gold (Au) | PX Precinox S.A. | SWITZERLAND | ||||||
| Gold (Au) | QG Refining, LLC | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | ||||||
| Gold (Au) | Refinery of Seemine Gold Co., Ltd. | CHINA | ||||||
| Gold (Au) | REMONDIS PMR B.V. | NETHERLANDS | ||||||
| Gold (Au) | Royal Canadian Mint | CANADA | ||||||
| Gold (Au) | SAAMP | FRANCE | ||||||
| Gold (Au) | Sabin Metal Corp. | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | Safimet S.p.A | ITALY | ||||||
| Gold (Au) | SAFINA A.S. | CZECHIA | ||||||
| Gold (Au) | Sai Refinery | INDIA | ||||||
| Gold (Au) | Samduck Precious Metals | REPUBLIC OF KOREA | ||||||
| Gold (Au) | Samwon Metals Corp. | REPUBLIC OF KOREA | ||||||
| Gold (Au) | SAXONIA Edelmetalle GmbH | GERMANY | ||||||
| Gold (Au) | SEMPSA Joyeria Plateria S.A. | SPAIN | ||||||
| Gold (Au) | Shandong Humon Smelting Co., Ltd. | CHINA | ||||||
| Gold (Au) | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | ||||||
| Gold (Au) | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | ||||||
| Gold (Au) | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | ||||||
| Gold (Au) | Singway Technology Co., Ltd. | TAIWAN | ||||||
| Gold (Au) | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | ||||||
| Gold (Au) | Solar Applied Materials Technology Corp. | TAIWAN | ||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Country | ||||||
| Gold (Au) | Sovereign Metals | INDIA | ||||||
| Gold (Au) | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | ||||||
| Gold (Au) | Sudan Gold Refinery | SUDAN | ||||||
| Gold (Au) | Sumitomo Metal Mining Co., Ltd. | JAPAN | ||||||
| Gold (Au) | SungEel HiMetal Co., Ltd. | REPUBLIC OF KOREA | ||||||
| Gold (Au) | T.C.A S.p.A | ITALY | ||||||
| Gold (Au) | Tanaka Kikinzoku Kogyo K.K. | JAPAN | ||||||
| Gold (Au) | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | ||||||
| Gold (Au) | Tokuriki Honten Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | ||||||
| Gold (Au) | Tony Goetz NV | BELGIUM | ||||||
| Gold (Au) | TOO Tau-Ken-Altyn | KAZAKHSTAN | ||||||
| Gold (Au) | Torecom | REPUBLIC OF KOREA | ||||||
| Gold (Au) | Umicore Brasil Ltda. | BRAZIL | ||||||
| Gold (Au) | Umicore Precious Metals Thailand | THAILAND | ||||||
| Gold (Au) | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | ||||||
| Gold (Au) | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | ||||||
| Gold (Au) | Valcambi S.A. | SWITZERLAND | ||||||
| Gold (Au) | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | ||||||
| Gold (Au) | WIELAND Edelmetalle GmbH | GERMANY | ||||||
| Gold (Au) | YAMAKIN CO., LTD. | JAPAN | ||||||
| Gold (Au) | Yokohama Metal Co., Ltd. | JAPAN | ||||||
| Gold (Au) | Yunnan Copper Industry Co., Ltd. | CHINA | ||||||
| Gold (Au) | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | ||||||
| Tantalum (Ta) | Asaka Riken Co., Ltd. | JAPAN | ||||||
| Tantalum (Ta) | Changsha South Tantalum Niobium Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | CP Metals Inc. | UNITED STATES OF AMERICA | ||||||
| Tantalum (Ta) | D Block Metals, LLC | UNITED STATES OF AMERICA | ||||||
| Tantalum (Ta) | Exotech Inc. | UNITED STATES OF AMERICA | ||||||
| Tantalum (Ta) | F&X Electro-Materials Ltd. | CHINA | ||||||
| Tantalum (Ta) | FIR Metals & Resource Ltd. | CHINA | ||||||
| Tantalum (Ta) | Global Advanced Metals Aizu | JAPAN | ||||||
| Tantalum (Ta) | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | ||||||
| Tantalum (Ta) | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | H.C. Starck Co., Ltd. | THAILAND | ||||||
| Tantalum (Ta) | H.C. Starck Hermsdorf GmbH | GERMANY | ||||||
| Tantalum (Ta) | H.C. Starck Inc. | UNITED STATES OF AMERICA | ||||||
| Tantalum (Ta) | H.C. Starck Ltd. | JAPAN | ||||||
| Tantalum (Ta) | H.C. Starck Smelting GmbH & Co. KG | GERMANY | ||||||
| Tantalum (Ta) | H.C. Starck Tantalum and Niobium GmbH | GERMANY | ||||||
| Tantalum (Ta) | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | Jiangxi Tuohong New Raw Material | CHINA | ||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Country | ||||||
| Tantalum (Ta) | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | Jiujiang Tanbre Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | KEMET Blue Metals | MEXICO | ||||||
| Tantalum (Ta) | LSM Brasil S.A. | BRAZIL | ||||||
| Tantalum (Ta) | Metallurgical Products India Pvt., Ltd. | INDIA | ||||||
| Tantalum (Ta) | Mineracao Taboca S.A. | BRAZIL | ||||||
| Tantalum (Ta) | Mitsui Mining and Smelting Co., Ltd. | JAPAN | ||||||
| Tantalum (Ta) | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | NPM Silmet AS | ESTONIA | ||||||
| Tantalum (Ta) | Power Resources Ltd. | REPUBLIC OF MACEDONIA | ||||||
| Tantalum (Ta) | QuantumClean | UNITED STATES OF AMERICA | ||||||
| Tantalum (Ta) | Resind Industria e Comercio Ltda. | BRAZIL | ||||||
| Tantalum (Ta) | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | ||||||
| Tantalum (Ta) | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | ||||||
| Tantalum (Ta) | Taki Chemical Co., Ltd. | JAPAN | ||||||
| Tantalum (Ta) | Telex Metals | UNITED STATES OF AMERICA | ||||||
| Tantalum (Ta) | Ulba Metallurgical Plant JSC | KAZAKHSTAN | ||||||
| Tantalum (Ta) | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Alpha | UNITED STATES OF AMERICA | ||||||
| Tin (Sn) | An Vinh Joint Stock Mineral Processing Company | VIET NAM | ||||||
| Tin (Sn) | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | ||||||
| Tin (Sn) | China Tin Group Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Dowa | JAPAN | ||||||
| Tin (Sn) | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | ||||||
| Tin (Sn) | EM Vinto | BOLIVIA | ||||||
| Tin (Sn) | Estanho de Rondonia S.A. | BRAZIL | ||||||
| Tin (Sn) | Fenix Metals | POLAND | ||||||
| Tin (Sn) | Gejiu Kai Meng Industry and Trade LLC | CHINA | ||||||
| Tin (Sn) | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | ||||||
| Tin (Sn) | HuiChang Hill Tin Industry Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Huichang Jinshunda Tin Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Jiangxi New Nanshan Technology Ltd. | CHINA | ||||||
| Tin (Sn) | Ma'anshan Weitai Tin Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | ||||||
| Tin (Sn) | Malaysia Smelting Corporation (MSC) | MALAYSIA | ||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Country | ||||||
| Tin (Sn) | Melt Metais e Ligas S.A. | BRAZIL | ||||||
| Tin (Sn) | Metallic Resources, Inc. | UNITED STATES OF AMERICA | ||||||
| Tin (Sn) | Metallo Belgium N.V. | BELGIUM | ||||||
| Tin (Sn) | Metallo Spain S.L.U. | SPAIN | ||||||
| Tin (Sn) | Mineracao Taboca S.A. | BRAZIL | ||||||
| Tin (Sn) | Minsur | PERU | ||||||
| Tin (Sn) | Mitsubishi Materials Corporation | JAPAN | ||||||
| Tin (Sn) | Modeltech Sdn Bhd | MALAYSIA | ||||||
| Tin (Sn) | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | ||||||
| Tin (Sn) | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | ||||||
| Tin (Sn) | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | ||||||
| Tin (Sn) | Operaciones Metalurgicas S.A. | BOLIVIA | ||||||
| Tin (Sn) | Pongpipat Company Limited | MYANMAR | ||||||
| Tin (Sn) | Precious Minerals and Smelting Limited | INDIA | ||||||
| Tin (Sn) | PT Artha Cipta Langgeng | INDONESIA | ||||||
| Tin (Sn) | PT ATD Makmur Mandiri Jaya | INDONESIA | ||||||
| Tin (Sn) | PT Menara Cipta Mulia | INDONESIA | ||||||
| Tin (Sn) | PT Mitra Stania Prima | INDONESIA | ||||||
| Tin (Sn) | PT Refined Bangka Tin | INDONESIA | ||||||
| Tin (Sn) | PT Timah Tbk Kundur | INDONESIA | ||||||
| Tin (Sn) | PT Timah Tbk Mentok | INDONESIA | ||||||
| Tin (Sn) | Resind Industria e Comercio Ltda. | BRAZIL | ||||||
| Tin (Sn) | Rui Da Hung | TAIWAN | ||||||
| Tin (Sn) | Soft Metais Ltda. | BRAZIL | ||||||
| Tin (Sn) | Super Ligas | BRAZIL | ||||||
| Tin (Sn) | Thai Nguyen Mining and Metallurgy Co., Ltd. | VIET NAM | ||||||
| Tin (Sn) | Thaisarco | THAILAND | ||||||
| Tin (Sn) | Tin Technology & Refining | UNITED STATES OF AMERICA | ||||||
| Tin (Sn) | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | ||||||
| Tin (Sn) | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | ||||||
| Tin (Sn) | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Yunnan Tin Company Limited | CHINA | ||||||
| Tin (Sn) | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | ||||||
| Tungsten (W) | A.L.M.T Corp. | JAPAN | ||||||
| Tungsten (W) | ACL Metais Eireli | BRAZIL | ||||||
| Tungsten (W) | Asia Tungsten Products Vietnam Ltd. | VIET NAM | ||||||
| Tungsten (W) | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Fujian Ganmin RareMetal Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Fujian Jinxin Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | ||||||
Exhibit 1.01
| Metal | Smelter Name | Smelter Country | ||||||
| Tungsten (W) | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | ||||||
| Tungsten (W) | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | H.C. Starck Smelting GmbH & Co. KG | GERMANY | ||||||
| Tungsten (W) | H.C. Starck Tungsten GmbH | GERMANY | ||||||
| Tungsten (W) | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | ||||||
| Tungsten (W) | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Hunan Litian Tungsten Industry Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Hydrometallurg, JSC | RUSSIAN FEDERATION | ||||||
| Tungsten (W) | Japan New Metals Co., Ltd. | JAPAN | ||||||
| Tungsten (W) | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | ||||||
| Tungsten (W) | Kennametal Fallon | UNITED STATES OF AMERICA | ||||||
| Tungsten (W) | Kennametal Huntsville | UNITED STATES OF AMERICA | ||||||
| Tungsten (W) | KGETS CO., LTD. | REPUBLIC OF KOREA | ||||||
| Tungsten (W) | Lianyou Metals Co., Ltd. | TAIWAN | ||||||
| Tungsten (W) | Malipo Haiyu Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Masan Tungsten Chemical LLC (MTC) | VIET NAM | ||||||
| Tungsten (W) | Moliren Ltd. | RUSSIAN FEDERATION | ||||||
| Tungsten (W) | Niagara Refining LLC | UNITED STATES OF AMERICA | ||||||
| Tungsten (W) | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | ||||||
| Tungsten (W) | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | ||||||
| Tungsten (W) | Unecha Refractory metals plant | RUSSIAN FEDERATION | ||||||
| Tungsten (W) | Wolfram Bergbau und Hutten AG | AUSTRIA | ||||||
| Tungsten (W) | Woltech Korea Co., Ltd. | REPUBLIC OF KOREA | ||||||
| Tungsten (W) | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Xiamen Tungsten Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | ||||||
| Tungsten (W) | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | ||||||
Exhibit 1.01
| ANNEX II | |||||
| Countries of Origin of Mineral Processed by Supplier-Reported Smelters and Refiners | |||||
| ANDORRA | NEW ZEALAND | ||||
| AUSTRALIA | PERU | ||||
| AUSTRIA | PHILIPPINES | ||||
| BELGIUM | POLAND | ||||
| BOLIVIA | REPUBLIC OF KOREA | ||||
| BRAZIL | REPUBLIC OF MACEDONIA | ||||
| CANADA | RUSSIAN FEDERATION | ||||
| CHILE | SAUDI ARABIA | ||||
| CHINA | SINGAPORE | ||||
| CZECHIA | SOUTH AFRICA | ||||
| ESTONIA | SPAIN | ||||
| FRANCE | SUDAN | ||||
| GERMANY | SWEDEN | ||||
| INDIA | SWITZERLAND | ||||
| INDONESIA | TAIWAN | ||||
| ITALY | THAILAND | ||||
| JAPAN | TURKEY | ||||
| KAZAKHSTAN | UGANDA | ||||
| KYRGYZSTAN | UNITED ARAB EMIRATES | ||||
| LITHUANIA | UNITED STATES OF AMERICA | ||||
| MALAYSIA | UZBEKISTAN | ||||
| MEXICO | VIETNAM | ||||
| MYANMAR | ZIMBABWE | ||||
| NETHERLANDS | |||||