UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
Date of Report: June 2, 2022
______________________________________________________________________
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 | |||||||
John W. Chisholm
Interim 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, 2021 to December 31, 2021.
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, 2021 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, 2021 to December 31, 2021, 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: | June 2, 2022 | By: | /s/ Micah C. Foster | ||||||||||||||
| Micah C. Foster | |||||||||||||||||
| Vice President & Chief Financial Officer | |||||||||||||||||
Exhibit 1.01
Natural Gas Services Group, Inc.
Conflict Minerals Report
For The Year Ended December 31, 2021
This report for the year ended December 31, 2021 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.
Exhibit 1.01
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 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 2021.
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
Exhibit 1.01
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.
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, Compliance XL, 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 1,877 components purchased from 204 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.
Exhibit 1.01
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.
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 68% of the suppliers surveyed which covers 72% 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 Compliance XL, Natural Gas Services Group created and maintained a database of a majority of all templates sent and the supplier received responses. 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
Exhibit 1.01
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) | L'Orfebre S.A. | Andorra | ||||||
| Gold (Au) | Western Australian Mint (T/a The Perth Mint) | Australia | ||||||
| Gold (Au) | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | ||||||
| Gold (Au) | Industrial Refining Company | Belgium | ||||||
| Gold (Au) | Umicore S.A. Business Unit Precious Metals Refining | Belgium | ||||||
| Gold (Au) | Marsam Metals | Brazil | ||||||
| Gold (Au) | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | ||||||
| Gold (Au) | Royal Canadian Mint | Canada | ||||||
| Gold (Au) | Asahi Refining Canada Ltd. | Canada | ||||||
| Gold (Au) | CCR Refinery - Glencore Canada Corporation | Canada | ||||||
| Gold (Au) | Planta Recuperadora de Metales SpA | Chile | ||||||
| Gold (Au) | Sichuan Tianze Precious Metals Co., Ltd. | China | ||||||
| Gold (Au) | Guangdong Jinding Gold Limited | China | ||||||
| Gold (Au) | Yunnan Copper Industry Co., Ltd. | China | ||||||
| Gold (Au) | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | ||||||
| Gold (Au) | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | ||||||
| Gold (Au) | Metalor Technologies (Suzhou) Ltd. | China | ||||||
| Gold (Au) | Metalor Technologies (Hong Kong) Ltd. | China | ||||||
| Gold (Au) | Jiangxi Copper Co., Ltd. | China | ||||||
| Gold (Au) | Lingbao Gold Co., Ltd. | China | ||||||
| Gold (Au) | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | ||||||
| Gold (Au) | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | ||||||
| Gold (Au) | Luoyang Zijin Yinhui Gold Refinery 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) | Great Wall Precious Metals Co., Ltd. of CBPM | China | ||||||
| Gold (Au) | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | ||||||
| Gold (Au) | Gold Refinery of Zijin Mining Group Co., Ltd. | China | ||||||
| Gold (Au) | Hunan Chenzhou Mining Co., Ltd. | China | ||||||
| Gold (Au) | Daye Non-Ferrous Metals Mining Ltd. | China | ||||||
| Gold (Au) | Penglai Penggang Gold Industry Co., Ltd. | China | ||||||
| Gold (Au) | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | ||||||
| Gold (Au) | The Refinery of Shandong Gold Mining Co., Ltd. | China | ||||||
| Gold (Au) | Tongling Nonferrous Metals Group Co., Ltd. | China | ||||||
| Gold (Au) | Shandong Humon Smelting Co., Ltd. | China | ||||||
| Gold (Au) | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | ||||||
| Gold (Au) | Smelter Not Listed | China | ||||||
| Gold (Au) | Refinery of Seemine Gold Co., Ltd. | China | ||||||
| Gold (Au) | Heraeus Metals Hong Kong Ltd. | China | ||||||
| Gold (Au) | C.I Metales Procesados Industriales SAS | Colombia | ||||||
| Gold (Au) | Sancus ZFS (L’Orfebre, SA) | Colombia | ||||||
| Gold (Au) | SAFINA A.S. | Czechia | ||||||
Exhibit 1.01
| ANNEX I | ||||||||
| METAL | SMELTER NAME | SMELTER COUNTRY | ||||||
| Gold (Au) | SAAMP | France | ||||||
| Gold (Au) | C. Hafner GmbH + Co. KG | Germany | ||||||
| Gold (Au) | SAXONIA Edelmetalle GmbH | Germany | ||||||
| Gold (Au) | Heimerle + Meule GmbH | Germany | ||||||
| Gold (Au) | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | ||||||
| Gold (Au) | Aurubis AG | Germany | ||||||
| Gold (Au) | Heraeus Precious Metals GmbH & Co. KG | Germany | ||||||
| Gold (Au) | DODUCO Contacts and Refining GmbH | Germany | ||||||
| Gold (Au) | WIELAND Edelmetalle GmbH | Germany | ||||||
| Gold (Au) | Degussa Sonne / Mond Goldhandel GmbH | Germany | ||||||
| Gold (Au) | Gold Coast Refinery | Ghana | ||||||
| Gold (Au) | Shirpur Gold Refinery Ltd. | India | ||||||
| Gold (Au) | CGR Metalloys Pvt Ltd. | India | ||||||
| Gold (Au) | Sovereign Metals | India | ||||||
| Gold (Au) | MMTC-PAMP India Pvt., Ltd. | India | ||||||
| Gold (Au) | Augmont Enterprises Private Limited | India | ||||||
| Gold (Au) | Bangalore Refinery | India | ||||||
| Gold (Au) | Kundan Care Products Ltd. | India | ||||||
| Gold (Au) | JALAN & Company | India | ||||||
| Gold (Au) | GCC Gujrat Gold Centre Pvt. Ltd. | India | ||||||
| Gold (Au) | Sai Refinery | India | ||||||
| Gold (Au) | MD Overseas | India | ||||||
| Gold (Au) | Emerald Jewel Industry India Limited (Unit 1) | India | ||||||
| Gold (Au) | Emerald Jewel Industry India Limited (Unit 2) | India | ||||||
| Gold (Au) | Emerald Jewel Industry India Limited (Unit 3) | India | ||||||
| Gold (Au) | Emerald Jewel Industry India Limited (Unit 4) | India | ||||||
| Gold (Au) | PT Aneka Tambang (Persero) Tbk | Indonesia | ||||||
| Gold (Au) | Chimet S.p.A. | Italy | ||||||
| Gold (Au) | Italpreziosi | Italy | ||||||
| Gold (Au) | 8853 S.p.A. | Italy | ||||||
| Gold (Au) | Safimet S.p.A | Italy | ||||||
| Gold (Au) | T.C.A S.p.A | Italy | ||||||
| Gold (Au) | Eco-System Recycling Co., Ltd. North Plant | Japan | ||||||
| Gold (Au) | Eco-System Recycling Co., Ltd. West Plant | Japan | ||||||
| Gold (Au) | Mitsubishi Materials Corporation | Japan | ||||||
| Gold (Au) | Mitsui Mining and Smelting Co., Ltd. | Japan | ||||||
| Gold (Au) | Dowa | Japan | ||||||
| Gold (Au) | Eco-System Recycling Co., Ltd. East Plant | Japan | ||||||
| Gold (Au) | Sumitomo Metal Mining Co., Ltd. | Japan | ||||||
| Gold (Au) | Tanaka Kikinzoku Kogyo K.K. | Japan | ||||||
| Gold (Au) | Matsuda Sangyo Co., Ltd. | Japan | ||||||
| Gold (Au) | Ishifuku Metal Industry Co., Ltd. | Japan | ||||||
Exhibit 1.01
| ANNEX I | ||||||||
| METAL | SMELTER NAME | SMELTER COUNTRY | ||||||
| Gold (Au) | Chugai Mining | Japan | ||||||
| Gold (Au) | Japan Mint | Japan | ||||||
| Gold (Au) | Asaka Riken Co., Ltd. | Japan | ||||||
| Gold (Au) | Ohura Precious Metal Industry Co., Ltd. | Japan | ||||||
| Gold (Au) | JX Nippon Mining & Metals Co., Ltd. | Japan | ||||||
| Gold (Au) | Tokuriki Honten Co., Ltd. | Japan | ||||||
| Gold (Au) | Nihon Material Co., Ltd. | Japan | ||||||
| Gold (Au) | Yamakin Co., Ltd. | Japan | ||||||
| Gold (Au) | Yokohama Metal Co., Ltd. | Japan | ||||||
| Gold (Au) | Kojima Chemicals Co., Ltd. | Japan | ||||||
| Gold (Au) | Asahi Pretec Corp. | Japan | ||||||
| Gold (Au) | Aida Chemical Industries Co., Ltd. | Japan | ||||||
| Gold (Au) | Kazakhmys Smelting LLC | Kazakhstan | ||||||
| Gold (Au) | Kazzinc | Kazakhstan | ||||||
| Gold (Au) | TOO Tau-Ken-Altyn | Kazakhstan | ||||||
| Gold (Au) | Korea Zinc Co., Ltd. | Republic of Korea | ||||||
| Gold (Au) | LS-NIKKO Copper Inc. | Republic of Korea | ||||||
| Gold (Au) | Samduck Precious Metals | Republic of Korea | ||||||
| Gold (Au) | Samwon Metals Corp. | Republic of Korea | ||||||
| Gold (Au) | DSC (Do Sung Corporation) | Republic of Korea | ||||||
| Gold (Au) | LT Metal Ltd. | Republic of Korea | ||||||
| Gold (Au) | Torecom | Republic of Korea | ||||||
| Gold (Au) | HwaSeong CJ CO., LTD. | Republic of Korea | ||||||
| Gold (Au) | NH Recytech Company | Republic of Korea | ||||||
| Gold (Au) | SungEel HiMetal Co., Ltd. | Republic of Korea | ||||||
| Gold (Au) | Kyrgyzaltyn JSC | Kyrgyzstan | ||||||
| Gold (Au) | State Research Institute Center for Physical Sciences and Technology | Lithuania | ||||||
| Gold (Au) | Modeltech Sdn Bhd | Malaysia | ||||||
| Gold (Au) | Sellem Industries Ltd. | Mauritania | ||||||
| Gold (Au) | Caridad | Mexico | ||||||
| Gold (Au) | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | ||||||
| Gold (Au) | REMONDIS PMR B.V. | Netherlands | ||||||
| Gold (Au) | Morris and Watson | New Zealand | ||||||
| Gold (Au) | K.A. Rasmussen | Norway | ||||||
| Gold (Au) | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | ||||||
| Gold (Au) | KGHM Polska Miedz Spolka Akcyjna | Poland | ||||||
| Gold (Au) | OJSC Novosibirsk Refinery | Russian Federation | ||||||
| Gold (Au) | JSC Uralelectromed | Russian Federation | ||||||
| Gold (Au) | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | ||||||
| Gold (Au) | Prioksky Plant of Non-Ferrous Metals | Russian Federation | ||||||
| Gold (Au) | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | ||||||
| Gold (Au) | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | ||||||
Exhibit 1.01
| ANNEX I | ||||||||
| METAL | SMELTER NAME | SMELTER COUNTRY | ||||||
| Gold (Au) | Moscow Special Alloys Processing Plant | Russian Federation | ||||||
| Gold (Au) | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | ||||||
| Gold (Au) | L'azurde Company For Jewelry | Saudi Arabia | ||||||
| Gold (Au) | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | ||||||
| Gold (Au) | Rand Refinery (Pty) Ltd. | South Africa | ||||||
| Gold (Au) | Metal Concentrators SA (Pty) Ltd. | South Africa | ||||||
| Gold (Au) | AU Traders and Refiners | South Africa | ||||||
| Gold (Au) | SEMPSA Joyeria Plateria S.A. | Spain | ||||||
| Gold (Au) | Sudan Gold Refinery | Sudan | ||||||
| Gold (Au) | Boliden AB | Sweden | ||||||
| Gold (Au) | Metalor Technologies S.A. | Switzerland | ||||||
| Gold (Au) | Cendres + Metaux S.A. | Switzerland | ||||||
| Gold (Au) | PX Precinox S.A. | Switzerland | ||||||
| Gold (Au) | PAMP S.A. | Switzerland | ||||||
| Gold (Au) | Argor-Heraeus S.A. | Switzerland | ||||||
| Gold (Au) | Valcambi S.A. | Switzerland | ||||||
| Gold (Au) | Singway Technology Co., Ltd. | Taiwan | ||||||
| Gold (Au) | Solar Applied Materials Technology Corp. | Taiwan | ||||||
| Gold (Au) | Umicore Precious Metals Thailand | Thailand | ||||||
| Gold (Au) | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | ||||||
| Gold (Au) | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | ||||||
| Gold (Au) | Istanbul Gold Refinery | Turkey | ||||||
| Gold (Au) | African Gold Refinery | Uganda | ||||||
| Gold (Au) | Fujairah Gold FZC | United Arab Emirates | ||||||
| Gold (Au) | Al Etihad Gold Refinery DMCC | United Arab Emirates | ||||||
| Gold (Au) | Emirates Gold DMCC | United Arab Emirates | ||||||
| Gold (Au) | International Precious Metal Refiners | United Arab Emirates | ||||||
| Gold (Au) | Kaloti Precious Metals | United Arab Emirates | ||||||
| Gold (Au) | Dijllah Gold Refinery FZC | United Arab Emirates | ||||||
| Gold (Au) | QG Refining, LLC | United States Of America | ||||||
| Gold (Au) | Pease & Curren | United States Of America | ||||||
| Gold (Au) | Metallix Refining Inc. | United States Of America | ||||||
| Gold (Au) | Alexy Metals | United States Of America | ||||||
| Gold (Au) | Materion | United States Of America | ||||||
| Gold (Au) | Sabin Metal Corp. | United States Of America | ||||||
| Gold (Au) | Metalor USA Refining Corporation | United States Of America | ||||||
| Gold (Au) | Abington Reldan Metals, LLC | United States Of America | ||||||
| Gold (Au) | Geib Refining Corporation | United States Of America | ||||||
| Gold (Au) | Advanced Chemical Company | United States Of America | ||||||
| Gold (Au) | Kennecott Utah Copper LLC | United States Of America | ||||||
| Gold (Au) | Asahi Refining USA Inc. | United States Of America | ||||||
| Gold (Au) | United Precious Metal Refining, Inc. | United States Of America | ||||||
Exhibit 1.01
| ANNEX I | ||||||||
| METAL | SMELTER NAME | SMELTER COUNTRY | ||||||
| Gold (Au) | Navoi Mining and Metallurgical Combinat | Uzbekistan | ||||||
| Gold (Au) | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | ||||||
| Gold (Au) | Fidelity Printers and Refiners Ltd. | Zimbabwe | ||||||
| Gold (Au) | WEEEREFINING | France | ||||||
| Gold (Au) | Value Trading | Belgium | ||||||
| Gold (Au) | Umicore Brasil Ltda. | BRAZIL | ||||||
| Gold (Au) | TSK Pretech | Republic of Korea | ||||||
| Tantalum (Ta) | Resind Industria e Comercio Ltda. | Brazil | ||||||
| Tantalum (Ta) | LSM Brasil S.A. | Brazil | ||||||
| Tantalum (Ta) | Mineracao Taboca S.A. | Brazil | ||||||
| Tantalum (Ta) | Jiangxi Tuohong New Raw Material | China | ||||||
| Tantalum (Ta) | Guangdong Zhiyuan New Material Co., Ltd. | China | ||||||
| Tantalum (Ta) | XinXing HaoRong Electronic Material Co., Ltd. | China | ||||||
| Tantalum (Ta) | FIR Metals & Resource Ltd. | China | ||||||
| Tantalum (Ta) | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | ||||||
| Tantalum (Ta) | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | ||||||
| Tantalum (Ta) | Changsha South Tantalum Niobium Co., Ltd. | China | ||||||
| Tantalum (Ta) | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | ||||||
| Tantalum (Ta) | Jiujiang Tanbre Co., Ltd. | China | ||||||
| Tantalum (Ta) | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | ||||||
| Tantalum (Ta) | F&X Electro-Materials Ltd. | China | ||||||
| Tantalum (Ta) | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | ||||||
| Tantalum (Ta) | Ningxia Orient Tantalum Industry Co., Ltd. | China | ||||||
| Tantalum (Ta) | NPM Silmet AS | Estonia | ||||||
| Tantalum (Ta) | H.C. Starck Hermsdorf GmbH | Germany | ||||||
| Tantalum (Ta) | H.C. Starck Tantalum and Niobium GmbH | Germany | ||||||
| Tantalum (Ta) | H.C. Starck Smelting GmbH & Co. KG | Germany | ||||||
| Tantalum (Ta) | Metallurgical Products India Pvt., Ltd. | India | ||||||
| Tantalum (Ta) | Global Advanced Metals Aizu | Japan | ||||||
| Tantalum (Ta) | H.C. Starck Ltd. | Japan | ||||||
| Tantalum (Ta) | Mitsui Mining and Smelting Co., Ltd. | Japan | ||||||
| Tantalum (Ta) | Taki Chemical Co., Ltd. | Japan | ||||||
| Tantalum (Ta) | Ulba Metallurgical Plant JSC | Kazakhstan | ||||||
| Tantalum (Ta) | KEMET Blue Metals | Mexico | ||||||
| Tantalum (Ta) | Solikamsk Magnesium Works OAO | Russian Federation | ||||||
| Tantalum (Ta) | H.C. Starck Co., Ltd. | Thailand | ||||||
| Tantalum (Ta) | Global Advanced Metals Boyertown | United States Of America | ||||||
| Tantalum (Ta) | Telex Metals | United States Of America | ||||||
| Tantalum (Ta) | D Block Metals, LLC | United States Of America | ||||||
| Tantalum (Ta) | Exotech Inc. | United States Of America | ||||||
| Tantalum (Ta) | QuantumClean | United States Of America | ||||||
| Tantalum (Ta) | H.C. Starck Inc. | United States Of America | ||||||
Exhibit 1.01
| ANNEX I | ||||||||
| METAL | SMELTER NAME | SMELTER COUNTRY | ||||||
| Tantalum (Ta) | Yancheng Jinye New Material Technology Co., Ltd. | China | ||||||
| Tantalum (Ta) | Asaka Riken Co., Ltd. | JAPAN | ||||||
| Tantalum (Ta) | Meta Materials | Republic of Macedonia | ||||||
| Tin (Sn) | Metallo Belgium N.V. | Belgium | ||||||
| Tin (Sn) | Operaciones Metalurgicas S.A. | Bolivia | ||||||
| Tin (Sn) | EM Vinto | Bolivia | ||||||
| Tin (Sn) | Super Ligas | Brazil | ||||||
| Tin (Sn) | Magnu's Minerais Metais e Ligas Ltda. | Brazil | ||||||
| Tin (Sn) | Melt Metais e Ligas S.A. | Brazil | ||||||
| Tin (Sn) | Resind Industria e Comercio Ltda. | Brazil | ||||||
| Tin (Sn) | Estanho de Rondonia S.A. | Brazil | ||||||
| Tin (Sn) | Soft Metais Ltda. | Brazil | ||||||
| Tin (Sn) | White Solder Metalurgia e Mineracao Ltda. | Brazil | ||||||
| Tin (Sn) | Mineracao Taboca S.A. | Brazil | ||||||
| Tin (Sn) | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | ||||||
| Tin (Sn) | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | ||||||
| Tin (Sn) | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | ||||||
| Tin (Sn) | China Tin Group Co., Ltd. | China | ||||||
| Tin (Sn) | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | ||||||
| Tin (Sn) | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | ||||||
| Tin (Sn) | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | ||||||
| Tin (Sn) | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | ||||||
| Tin (Sn) | Yunnan Tin Company Limited | China | ||||||
| Tin (Sn) | Ma'anshan Weitai Tin Co., Ltd. | China | ||||||
| Tin (Sn) | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | ||||||
| Tin (Sn) | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | ||||||
| Tin (Sn) | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | ||||||
| Tin (Sn) | Gejiu Kai Meng Industry and Trade LLC | China | ||||||
| Tin (Sn) | Jiangxi New Nanshan Technology Ltd. | China | ||||||
| Tin (Sn) | HuiChang Hill Tin Industry Co., Ltd. | China | ||||||
| Tin (Sn) | Chifeng Dajingzi Tin Industry Co., Ltd. | China | ||||||
| Tin (Sn) | Precious Minerals and Smelting Limited | India | ||||||
| Tin (Sn) | PT Mitra Sukses Globalindo | Indonesia | ||||||
| Tin (Sn) | Smelter Not Listed | Indonesia | ||||||
| Tin (Sn) | PT ATD Makmur Mandiri Jaya | Indonesia | ||||||
| Tin (Sn) | PT Babel Surya Alam Lestari | Indonesia | ||||||
| Tin (Sn) | PT Prima Timah Utama | Indonesia | ||||||
| Tin (Sn) | PT Mitra Stania Prima | Indonesia | ||||||
| Tin (Sn) | PT Rajawali Rimba Perkasa | Indonesia | ||||||
| Tin (Sn) | PT Rajehan Ariq | Indonesia | ||||||
| Tin (Sn) | CV Venus Inti Perkasa | Indonesia | ||||||
| Tin (Sn) | PT Bangka Serumpun | Indonesia | ||||||
| Tin (Sn) | PT Refined Bangka Tin | Indonesia | ||||||
Exhibit 1.01
| ANNEX I | ||||||||
| METAL | SMELTER NAME | SMELTER COUNTRY | ||||||
| Tin (Sn) | PT Stanindo Inti Perkasa | Indonesia | ||||||
| Tin (Sn) | PT Timah Tbk Kundur | Indonesia | ||||||
| Tin (Sn) | PT Timah Tbk Mentok | Indonesia | ||||||
| Tin (Sn) | PT Timah Nusantara | Indonesia | ||||||
| Tin (Sn) | PT Tinindo Inter Nusa | Indonesia | ||||||
| Tin (Sn) | PT Menara Cipta Mulia | Indonesia | ||||||
| Tin (Sn) | PT Artha Cipta Langgeng | Indonesia | ||||||
| Tin (Sn) | Mitsubishi Materials Corporation | Japan | ||||||
| Tin (Sn) | Dowa | Japan | ||||||
| Tin (Sn) | Malaysia Smelting Corporation (MSC) | Malaysia | ||||||
| Tin (Sn) | Modeltech Sdn Bhd | Malaysia | ||||||
| Tin (Sn) | Pongpipat Company Limited | Myanmar | ||||||
| Tin (Sn) | Minsur | Peru | ||||||
| Tin (Sn) | O.M. Manufacturing Philippines, Inc. | Philippines | ||||||
| Tin (Sn) | Fenix Metals | Poland | ||||||
| Tin (Sn) | Novosibirsk Processing Plant Ltd. | Russian Federation | ||||||
| Tin (Sn) | Luna Smelter, Ltd. | Rwanda | ||||||
| Tin (Sn) | CRM Synergies | Spain | ||||||
| Tin (Sn) | Metallo Spain S.L.U. | Spain | ||||||
| Tin (Sn) | Rui Da Hung | Taiwan | ||||||
| Tin (Sn) | Thaisarco | Thailand | ||||||
| Tin (Sn) | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | ||||||
| Tin (Sn) | Tin Technology & Refining | United States Of America | ||||||
| Tin (Sn) | Metallic Resources, Inc. | United States Of America | ||||||
| Tin (Sn) | Alpha | United States Of America | ||||||
| Tin (Sn) | Thai Nguyen Mining and Metallurgy Co., Ltd. | Viet Nam | ||||||
| Tin (Sn) | An Vinh Joint Stock Mineral Processing Company | Viet Nam | ||||||
| Tin (Sn) | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | ||||||
| Tin (Sn) | VQB Mineral and Trading Group JSC | Viet Nam | ||||||
| Tin (Sn) | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | ||||||
| Tin (Sn) | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | ||||||
| Tin (Sn) | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | ||||||
| Tin (Sn) | CV Ayi Jaya | INDONESIA | ||||||
| Tin (Sn) | Huichang Jinshunda Tin Co., Ltd. | CHINA | ||||||
| Tin (Sn) | Resind Ind e Com Ltda. | BRAZIL | ||||||
| Tungsten (W) | Wolfram Bergbau und Hutten AG | Austria | ||||||
| Tungsten (W) | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | ||||||
| Tungsten (W) | ACL Metais Eireli | Brazil | ||||||
| Tungsten (W) | Cronimet Brasil Ltda | Brazil | ||||||
| Tungsten (W) | Malipo Haiyu Tungsten Co., Ltd. | China | ||||||
| Tungsten (W) | Xiamen Tungsten (H.C.) Co., Ltd. | China | ||||||
| Tungsten (W) | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | ||||||
| Tungsten (W) | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | ||||||
Exhibit 1.01
| ANNEX I | ||||||||
| METAL | SMELTER NAME | SMELTER COUNTRY | ||||||
| Tungsten (W) | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | ||||||
| Tungsten (W) | Jiangxi Gan Bei Tungsten Co., Ltd. | China | ||||||
| Tungsten (W) | Jiangxi Yaosheng Tungsten Co., Ltd. | China | ||||||
| Tungsten (W) | Ganzhou Seadragon W & Mo Co., Ltd. | China | ||||||
| Tungsten (W) | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | ||||||
| Tungsten (W) | CNMC (Guangxi) PGMA Co., Ltd. | China | ||||||
| Tungsten (W) | Chongyi Zhangyuan Tungsten Co., Ltd. | China | ||||||
| Tungsten (W) | Fujian Ganmin RareMetal Co., Ltd. | China | ||||||
| Tungsten (W) | GEM Co., Ltd. | China | ||||||
| Tungsten (W) | Hunan Chenzhou Mining Co., Ltd. | China | ||||||
| Tungsten (W) | Guangdong Xianglu Tungsten Co., Ltd. | China | ||||||
| Tungsten (W) | China Molybdenum Co., Ltd. | China | ||||||
| Tungsten (W) | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | ||||||
| Tungsten (W) | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | ||||||
| Tungsten (W) | Ganzhou Haichuang Tungsten Co., Ltd. | China | ||||||
| Tungsten (W) | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | ||||||
| Tungsten (W) | Chenzhou Diamond Tungsten Products Co., Ltd. | China | ||||||
| Tungsten (W) | Xiamen Tungsten Co., Ltd. | China | ||||||
| Tungsten (W) | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | ||||||
| Tungsten (W) | H.C. Starck Smelting GmbH & Co. KG | Germany | ||||||
| Tungsten (W) | H.C. Starck Tungsten GmbH | Germany | ||||||
| Tungsten (W) | Japan New Metals Co., Ltd. | Japan | ||||||
| Tungsten (W) | A.L.M.T. Corp. | Japan | ||||||
| Tungsten (W) | KGETS Co., Ltd. | Republic of Korea | ||||||
| Tungsten (W) | Philippine Chuangxin Industrial Co., Inc. | Philippines | ||||||
| Tungsten (W) | Moliren Ltd. | Russian Federation | ||||||
| Tungsten (W) | Unecha Refractory metals plant | Russian Federation | ||||||
| Tungsten (W) | Hydrometallurg, JSC | Russian Federation | ||||||
| Tungsten (W) | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | ||||||
| Tungsten (W) | NPP Tyazhmetprom LLC | Russian Federation | ||||||
| Tungsten (W) | Artek LLC | Russian Federation | ||||||
| Tungsten (W) | Lianyou Metals Co., Ltd. | Taiwan | ||||||
| Tungsten (W) | Global Tungsten & Powders Corp. | United States Of America | ||||||
| Tungsten (W) | Niagara Refining LLC | United States Of America | ||||||
| Tungsten (W) | Kennametal Fallon | United States Of America | ||||||
| Tungsten (W) | Kennametal Huntsville | United States Of America | ||||||
| Tungsten (W) | Masan Tungsten Chemical LLC (MTC) | Viet Nam | ||||||
| Tungsten (W) | Asia Tungsten Products Vietnam Ltd. | Viet Nam | ||||||
| Tungsten (W) | Fujian Xinlu Tungsten | China | ||||||
| Tungsten (W) | OOO “Technolom” 2 | Russian Federation | ||||||
| Tungsten (W) | OOO “Technolom” 1 | Russian Federation | ||||||
| Tungsten (W) | Smelter Not Listed | Russian Federation | ||||||
Exhibit 1.01
| ANNEX I | ||||||||
| METAL | SMELTER NAME | SMELTER COUNTRY | ||||||
| Tungsten (W) | Woltech Korea Co., Ltd. | Republic of Korea | ||||||
| Tungsten (W) | Hunan Litian Tungsten Industry Co., Ltd. | CHINA | ||||||
| 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 | ||||||
Exhibit 1.01
| ANNEX II | |||||
| COUNTRIES OF ORIGIN OF MINERAL PROCESSED BY SUPPLIER-REPORTED SMELTERS AND REFINERS | |||||
| Andorra | Netherlands | ||||
| Australia | New Zealand | ||||
| Austria | Norway | ||||
| Belgium | Peru | ||||
| Bolivia | Philippines | ||||
| Brazil | Poland | ||||
| Canada | Republic of Korea | ||||
| Chile | Republic of Macedonia | ||||
| China | Russian Federation | ||||
| Colombia | Rwanda | ||||
| Czechia | Saudi Arabia | ||||
| Estonia | Singapore | ||||
| France | South Africa | ||||
| Germany | Spain | ||||
| Ghana | Sudan | ||||
| India | Sweden | ||||
| Indonesia | Switzerland | ||||
| Italy | Taiwan | ||||
| Japan | Thailand | ||||
| Kazakhstan | Turkey | ||||
| Kyrgyzstan | Uganda | ||||
| Lithuania | United Arab Emirates | ||||
| Malaysia | United States Of America | ||||
| Mauritania | Uzbekistan | ||||
| Mexico | Viet Nam | ||||
| Myanmar | Zimbabwe | ||||