UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
Applied Materials, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 000-06920 | 94-1655526 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
| 3050 Bowers Avenue P.O. Box 58039 Santa Clara, CA |
95052-8039 | |
| (Address of principal executive offices) | (Zip Code) |
Thomas F. Larkins Esq.
Applied Materials, Inc.
(408) 727-5555
(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 and 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 |
Applied Materials, Inc. has filed a Conflict Minerals Report as an exhibit to this report on Form SD and has also posted the report on its publicly available Company website at http://www.appliedmaterials.com/company/corporate-responsibility/sustainability.
| Item 1.02: | Exhibit |
A Conflict Minerals Report is attached as Exhibit 1.01 to this report.
SECTION 2 – EXHIBITS
| Item 2.01: | Exhibits |
| Exhibit |
Description | |
| 1.01 | Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. | |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
| Applied Materials, Inc. (Registrant) |
||||||
| By: |
/s/ Robert J. Halliday | Date: May 27, 2016 | ||||
| Robert J. Halliday | ||||||
| Senior Vice President, Chief Financial Officer | ||||||
EXHIBIT INDEX
| Exhibit |
Description | |
| 1.01 | Conflict Minerals Report | |
EXHIBIT 1.01
APPLIED MATERIALS, INC.
CONFLICT MINERALS REPORT
FOR YEAR ENDED DECEMBER 31, 2015
This is the Conflict Minerals Report of Applied Materials, Inc., including its subsidiaries (collectively, “Applied” or the “Company”), prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934. Terms used in this report have the meaning specified in Rule 13p-l and/or Form SD issued by the Securities and Exchange Commission, except as otherwise expressly defined herein. Form SD defines “conflict minerals” as cassiterite, columbite-tantalite (coltan) and wolframite (and their derivatives, tin, tantalum and tungsten, respectively), and gold, regardless of the geographic origin of the minerals and whether or not they fund armed conflict. This report pertains to products manufactured from January 1 through December 31, 2015 for which any conflict minerals are necessary to the functionality or production of the product, as described further below.
Company Overview
A global company with a broad set of capabilities in materials engineering, Applied provides manufacturing equipment, services (including spare parts) and software to the global semiconductor, display, solar photovoltaic (PV) and related industries, and reports these products under four segments: Silicon Systems, Display, Energy and Environmental Solutions, and Applied Global Services.
Applied does not directly purchase raw ore or unrefined conflict minerals, nor does it have a direct relationship with any mines of origin or with any smelters or refiners (collectively, “smelters”) that process these minerals. Rather, Applied is a downstream company with an extensive and complex supply chain from which it purchases parts, components and assemblies (collectively, “Parts”). The Company’s manufacturing activities consist primarily of the assembly, testing and integration of various proprietary and commercial Parts that are used to manufacture systems. Applied has a distributed manufacturing model under which manufacturing and supply chain activities are conducted at its facilities, or those of contract manufacturers, located in various countries. Applied’s equipment products, due to their size and complexity, generally consist of thousands of Parts sourced from a multitude of suppliers. Applied relies on its direct suppliers to provide information on the origin of any conflict minerals contained in Parts they sell to the Company, including the source of conflict minerals they obtain from lower tier suppliers and smelters.
Products Covered by this Report
Tantalum, tin, tungsten and gold are metals commonly used in the electronics and related industries due to physical properties that make them well-suited for a variety of applications, such as in cables, printed circuit boards, power supplies, capacitors, solder alloys and certain plastics. As a result, all or substantially all of Applied’s equipment products, and many of its spare parts products, manufactured in 2015 include components for which one or more conflict minerals are necessary to the functionality or production of the product and are therefore considered “Covered Products” for purposes of this report. The following is a general description of Covered Products by reporting segment.
Silicon Systems. The Silicon Systems segment provides equipment used by integrated device manufacturers and foundries to fabricate memory, logic and other types of semiconductor chips, which may entail more than 500 steps involving multiple processes to complete the manufacturing cycle. These systems perform various processes used in chip fabrication, including atomic layer deposition (ALD), chemical mechanical planarization (CMP), chemical vapor deposition (CVD), electrochemical deposition
1
(ECD), etch, ion implantation, mask-making, metrology and inspection, physical vapor deposition (PVD), rapid thermal processing (RTP), and others. Most of these are single-wafer systems with multiple process chambers attached to one of nine basic platforms: the Endura®, Centris®, Centura®, OlympiaTM, Producer®, Reflexion®, Raider®, VIISta® and Vantage® platforms. The majority of Applied’s new equipment sales are to leading integrated device manufacturers and foundries worldwide.
Display. This segment is comprised of products for manufacturing liquid crystal displays (LCDs), organic light-emitting diodes (OLEDs) and other display technologies for televisions, personal computers, tablets, smartphones and other consumer-oriented devices. While similarities exist between the technologies utilized in semiconductor and display fabrication, the most significant differences are in the size and composition of the substrate. Substrates used to manufacture display panels are typically glass, although newer flexible materials are entering the market. The Display segment offers a variety of products and technologies, including: the AKT® Electron Beam Array Test system for array test, AKT® PECVD systems for CVD, AKT® Aristo™ and PiVot™ systems for PVD, and AKT® TFE systems for thin-film encapsulation.
Energy and Environmental Solutions. The Energy and Environmental Solutions segment includes products for fabricating crystalline-silicon (c-Si) solar PV cells, as well as high-throughput roll-to-roll deposition equipment for flexible electronics, packaging and other applications. The products and technologies offered in the Energy and Environmental Solutions segment include: Baccini® systems for c-Si cell-manufacturing, and TopBeam™, TopMet™ and SmartWeb® systems for roll-to-roll WEB coating.
Applied Global Services. This segment provides integrated solutions to optimize factory equipment, performance and productivity. Products include spare parts, upgrades, comprehensive services, earlier generation equipment and factory automation software for the semiconductor, display and solar industries.
Applied’s Conflict Mineral’s Compliance Program and Findings
Applied conducted in good faith a reasonable country of origin inquiry (“RCOI”) that it believes was reasonably designed to determine whether any of the necessary conflict minerals in its Covered Products manufactured in 2015 originated in the Democratic Republic of the Congo or an adjoining country (collectively, the “DRC”) or were from recycled or scrap sources. Applied discovered almost no evidence of sourcing from the DRC—the sole DRC smelter identified by Applied suppliers is a tin smelter located in Rwanda that is CFSI “Active” as defined further below. Based on its RCOI, Applied determined it had insufficient information to conclude either (i) that all of its necessary conflict minerals originated outside the DRC or from CFSI “Compliant” sources within the DRC, or (ii) that all of its necessary conflict minerals came from recycled or scrap sources.
Applied therefore undertook further due diligence on the source and chain of custody of necessary conflict minerals contained in its Covered Products. Its due diligence approach was designed to conform in all material respects with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition and the related Supplements (“OECD Guidance”).
For calendar year 2015, Applied identified the top direct (or first-tier) suppliers in terms of total spend, as well as suppliers of Parts known to contain conflict minerals (e.g., suppliers of PVD chamber targets and suppliers of gold plating) to arrive at a target list of suppliers to be contacted (the “Surveyed Suppliers”). These Surveyed Suppliers represent nearly three quarters of the Company’s actual total
2
expenditures to all direct suppliers for fiscal year 2015.1 All of the Surveyed Suppliers responded and 28% reported they did not provide Parts containing conflict minerals. Seventy-two percent of the Surveyed Suppliers reported they provided one or more Parts containing conflict minerals; all of these suppliers provided smelter names, or in some cases further information such as country location. Of the Surveyed Suppliers who reported Parts containing conflict minerals, 8% declared that at least some minerals originated from recycled or scrap sources, although with few exceptions, none were traced to a particular Part.
The table below summarizes certain information pertaining to smelters identified by Surveyed Suppliers. As defined by the Conflict-Free Sourcing Initiative (“CFSI”), “Compliant” smelters are those smelters that have undergone a third party audit, have systems in place to assure sourcing of only DRC conflict free materials, and are therefore identified as compliant with CFSI’s Conflict-Free Smelter Program. “Active” smelters are those that have agreed in writing to produce information and are actively progressing towards a third party audit. The CFSI, of which Applied is a member, was founded by the Electronics Industry Citizenship Coalition (“EICC”) and the Global eSustainability Initiative. The classification of smelters considered Compliant or Active is current as of April 10, 2016.
| Number of CFSI “Compliant” smelters (none in the DRC)
|
212
| |
| Number of CFSI “Active” smelters (one in the DRC: tin smelter in Rwanda)
|
40
| |
| Number for which further information is needed to determine CFSI status (“unclassified smelters”)
|
2,026*
| |
| Number of unclassified smelters reported to be located in the DRC
|
0
| |
| Number of non-DRC countries in which unclassified smelters were reported to be located
|
49
|
* Actual number may be lower as data may include distributors or other entities improperly classified as smelters or other inaccuracies.
Attached as Appendix A is a list of the smelters or refiners identified by the Surveyed Suppliers as the facilities that process conflict minerals necessary to their products and that either are (a) CFSI Compliant or (b) CFSI Active. Since the majority of the Surveyed Suppliers reported smelter information at the company level and not at the product level, we do not know with certainty that each smelter or refiner listed in Appendix A processed minerals that were used in the Parts we purchased.
Applied did not discover any evidence of sourcing from unclassified smelters in the DRC as a result of its due diligence. The majority of Applied’s Surveyed Suppliers did not identify the specific smelter that processed conflict minerals contained in a particular Part. In addition, for the significant majority of smelters reported by these Suppliers, there is inadequate information available to assess the source of the conflict minerals they process. Therefore, for Covered Products manufactured in 2015, Applied concluded in good faith that it lacks sufficient information to trace the chain of custody of any conflict minerals contained in its Covered Products up through the supply chain to a specific smelter or, in turn, to a country or mine of origin.
Applied’s Due Diligence Process
Applied’s due diligence approach on the source and chain of custody of its necessary conflict minerals was designed to conform in all material respects with the OECD Guidance. The OECD Guidance is an internationally-recognized due diligence framework consisting of a multi-step, risk-based process, certain aspects of which differ depending in part on the position of a company in the supply chain. Applied is a “downstream” company, which refers to supply chain participants from the smelter to the retailer, in contrast to those “upstream,” that is, from the mine to the smelter.
| 1 | Applied’s fiscal year ends on the last Sunday in October. |
3
As a downstream provider of finished products, Applied does not have direct relationships with smelters and does not perform or specify audits of such entities upstream in its supply chain. Through its membership and participation in the EICC, CFSI and related working groups, Applied believes that seeking reliable information about smelters in its supply chain from its direct suppliers represents a reasonable and cost-effective approach to determine the mines or other locations of origin of conflict minerals in its products.
Risk Identification and Assessment
In light of the complexity of its supply chain, Applied used a risk-based approach in designing the scope of its RCOI and due diligence process. As previously noted, the Company identified its top direct suppliers in terms of total spend, as well as other suppliers considered reasonably likely to provide Parts containing conflict minerals, to arrive at the target list of Surveyed Suppliers. Applied also relied on information obtained through multi-industry-wide smelter certification resources, such as the CFSI Conflict-Free Smelter Program.
To collect information on the conflict minerals that may be in Covered Products manufactured in 2015, Applied used the Conflict Minerals Reporting Template (the “Template”) developed by the CFSI. Applied contacted the Surveyed Suppliers and requested them to complete and return the Template with respect to Parts they supply to the Company. The Template was designed to facilitate a supplier’s disclosure of information regarding conflict minerals contained in the supplier’s products, including the country of origin and the name and location of the smelters that process the conflict minerals.
As previously noted, Applied received wholly or partially completed Templates from 100% of its Surveyed Suppliers. The majority of the responding Surveyed Suppliers provided data at a company or “user defined” level, rather than at a Part number level, a permitted option under the Template. Those suppliers who reported at a user defined level reported data at the business division level. Applied reviewed responses against its criteria to determine which required further engagement, such as those with incomplete, untimely or inconsistent information, and made further inquiries of those suppliers. In addition, Applied checked the smelters identified by the Surveyed Suppliers against the lists published by CFSI of Compliant and Active smelters.
Applied was not required to, and it did not, obtain an independent private sector audit of its due diligence approach.
Risk Mitigation Strategy and Future Due Diligence
As part of its risk management strategy, Applied’s designated senior management received information regarding the Surveyed Suppliers’ responses, including those who failed to respond adequately to the Company’s requests for information. Our sustained supplier outreach efforts enabled us to increase our supplier responsiveness rate in comparison with calendar years 2013 and 2014 from 83% and 99%, respectively, to 100% in 2015. Applied provided training to Surveyed Suppliers in an effort to improve the accuracy of the information they report to Applied; as compared to prior years, Applied noted more complete Templates and higher responsiveness from Surveyed Suppliers when Applied requested that they verify the smelter information they had provided in their Templates. In addition, Applied has agreements with its principal direct suppliers relating to compliance with the Code of Conduct published by the EICC, which contains provisions pertaining to responsible sourcing of conflict minerals.
4
Applied intends to continue to enhance its process to identify suppliers who fail to provide a completed Template or do not provide complete and accurate smelter information; to improve its ability to identify suppliers reasonably likely to provide Parts containing conflict minerals. At the end of 2015, Applied selected a new third-party services provider to assist us with verifying and improving the accuracy of information obtained from suppliers through the use of software solutions and other means. We intend to target our top 75% direct suppliers in terms of total spend and to review additional suppliers not included in this group that are considered reasonably likely to provide Parts containing conflict minerals to determine whether the products they supply to Applied contain any conflict minerals. In addition, we intend to improve our ability to link the smelter information our suppliers report to specific products they supply to Applied by requiring suppliers to provide product level Templates for tantalum target, gold plating and special process parts. Applied further has undertaken to report relevant smelter information it obtains to CFSI, and to encourage its suppliers to reach out (or to encourage their own suppliers to reach out) to upstream smelters that provide them with conflict minerals and require that such smelters obtain a “conflict-free” designation from an industry program such as the Conflict-Free Smelter Program.
Forward-Looking Statement Disclaimer
This report includes forward-looking statements, including but not limited those regarding Applied’s expected future supplier diligence and engagement efforts and development of related processes. These statements and their underlying assumptions are subject to known and unknown risks and uncertainties that could cause actual results to differ materially from current expectations, including but not limited to: regulatory changes and judicial developments relating to conflict minerals disclosure; changes in our supply chain, components and parts, or products; industry developments relating to supply chain diligence, disclosure and other practices; and other risks described in our most recent Form 10-Q and other SEC filings. Forward-looking statements are based on estimates, projections and assumptions as of May 27, 2016, and Applied undertakes no obligation to update any such statements.
***
5
Appendix A
Section 1: Smelters/refiners that are CFSI Compliant
| Metal |
Smelter / Refiner Name | Country | Smelter ID | |||
| Gold |
Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | |||
| Gold |
Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | |||
| Gold |
Amagasaki Factory, Hyogo Prefecture, Japan | JAPAN | CID000082 | |||
| Gold |
AngloGold Ashanti Córrego do Sítio Minerção | BRAZIL | CID000058 | |||
| Gold |
Argor-Heraeus SA | SWITZERLAND | CID000077 | |||
| Gold |
Asaka Riken Co., Ltd. | JAPAN | CID000090 | |||
| Gold |
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | |||
| Gold |
Aurubis AG | GERMANY | CID000113 | |||
| Gold |
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | |||
| Gold |
Boliden AB | SWEDEN | CID000157 | |||
| Gold |
C. Hafner GmbH + Co. KG | GERMANY | CID000176 | |||
| Gold |
CCR Refinery – Glencore Canada Corporation | CANADA | CID000185 | |||
| Gold |
Chimet S.p.A. | ITALY | CID000233 | |||
| Gold |
China’s Shandong Gold Mining Co., Ltd | CHINA | CID001916 | |||
| Gold |
Doduco GmbH | GERMANY | CID000362 | |||
| Gold |
Dowa | JAPAN | CID000401 | |||
| Gold |
Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | |||
| Gold |
Elemetal Refining, LLC | UNITED STATES | CID001322 | |||
| Gold |
Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | |||
| Gold |
Heimerle + Meule GmbH | GERMANY | CID000694 | |||
| Gold |
Heraeus Ltd. Hong Kong | CHINA | CID000707 | |||
| Gold |
Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | |||
| Gold |
Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | |||
| Gold |
Istanbul Gold Refinery | TURKEY | CID000814 | |||
| Gold |
Japan Mint | JAPAN | CID000823 | |||
| Gold |
Jiangxi Copper Company Limited | CHINA | CID000855 | |||
| Gold |
Johnson Matthey Inc | UNITED STATES | CID000920 | |||
| Gold |
Johnson Matthey Limited | CANADA | CID000924 | |||
| Gold |
JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 |
6
| Gold |
JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | |||
| Gold |
JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | |||
| Gold |
Kazzinc | KAZAKHSTAN | CID000957 | |||
| Gold |
Kennecott Utah Copper LLC | UNITED STATES | CID000969 | |||
| Gold |
Kojima Chemicals Co., Ltd | JAPAN | CID000981 | |||
| Gold |
LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | |||
| Gold |
Materion | UNITED STATES | CID001113 | |||
| Gold |
Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | |||
| Gold |
Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | |||
| Gold |
Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | |||
| Gold |
Metalor Technologies SA | SWITZERLAND | CID001153 | |||
| Gold |
Metalor USA Refining Corporation | UNITED STATES | CID001157 | |||
| Gold |
METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | MEXICO | CID001161 | |||
| Gold |
Mitsubishi Materials Corporation | JAPAN | CID001188 | |||
| Gold |
Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | |||
| Gold |
MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | |||
| Gold |
Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | |||
| Gold |
Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | CID001220 | |||
| Gold |
Nihon Material Co., Ltd. | JAPAN | CID001259 | |||
| Gold |
Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | |||
| Gold |
OJSC Krastvetmet | RUSSIAN FEDERATION | CID001326 | |||
| Gold |
OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | |||
| Gold |
PAMP SA | SWITZERLAND | CID001352 | |||
| Gold |
Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | |||
| Gold |
PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | |||
| Gold |
PX Précinox SA | SWITZERLAND | CID001498 | |||
| Gold |
Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | |||
| Gold |
Republic Metals Corporation | UNITED STATES | CID002510 | |||
| Gold |
Royal Canadian Mint | CANADA | CID001534 | |||
| Gold |
Schone Edelmetaal B.V. | NETHERLANDS | CID001573 | |||
| Gold |
SEMPSA Joyería Platería SA | SPAIN | CID001585 | |||
| Gold |
Shandong Zhaojin Gold & Silver Refinery Co. Ltd | CHINA | CID001622 | |||
| Gold |
Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | |||
| Gold |
Singway Technology Co., Ltd. | TAIWAN | CID002516 | |||
| Gold |
SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | |||
| Gold |
Solar Applied Materials Technology Corp. | TAIWAN | CID001761 |
7
| Gold |
Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | |||
| Gold |
T.C.A S.p.A | ITALY | CID002580 | |||
| Gold |
Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | |||
| Gold |
Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | |||
| Gold |
Umicore Brasil Ltda. | BRAZIL | CID001977 | |||
| Gold |
Umicore Precious Metals Thailand | THAILAND | CID002314 | |||
| Gold |
Umicore SA Business Unit Precious Metals Refining | BELGIUM | CID001980 | |||
| Gold |
United Precious Metal Refining, Inc. | UNITED STATES | CID001993 | |||
| Gold |
Valcambi SA | SWITZERLAND | CID002003 | |||
| Gold |
Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 | |||
| Gold |
YAMAMOTO PRECIOUS METAL CO., LTD. | JAPAN | CID002100 | |||
| Gold |
Yokohama Metal Co., Ltd. | JAPAN | CID002129 | |||
| Gold |
Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | |||
| Gold |
Zijin Mining Group Co. Ltd | CHINA | CID002243 | |||
| Gold |
Ögussa Österreichische Gold-und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | |||
| Tantalum |
Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | |||
| Tantalum |
Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 | |||
| Tantalum |
D Block Metals, LLC | UNITED STATES | CID002504 | |||
| Tantalum |
Duoluoshan | CHINA | CID000410 | |||
| Tantalum |
Exotech Inc. | UNITED STATES | CID000456 | |||
| Tantalum |
F&X Electro-Materials Ltd. | CHINA | CID000460 | |||
| Tantalum |
FIR Metals & Resource Ltd. | CHINA | CID002505 | |||
| Tantalum |
Global Advanced Metals Aizu | JAPAN | CID002558 | |||
| Tantalum |
Global Advanced Metals Boyertown | UNITED STATES | CID002557 | |||
| Tantalum |
Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | |||
| Tantalum |
H.C. Starck Co., Ltd. | THAILAND | CID002544 | |||
| Tantalum |
H.C. Starck GmbH Goslar | GERMANY | CID002545 | |||
| Tantalum |
H.C. Starck GmbH Laufenburg | GERMANY | CID002546 | |||
| Tantalum |
H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | |||
| Tantalum |
H.C. Starck Inc. | UNITED STATES | CID002548 | |||
| Tantalum |
H.C. Starck Ltd. | JAPAN | CID002549 | |||
| Tantalum |
H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002550 | |||
| Tantalum |
Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | |||
| Tantalum |
Hi-Temp | UNITED STATES | CID000731 | |||
| Tantalum |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 |
8
| Tantalum |
JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | |||
| Tantalum |
JiuJiang Tanbre Co., Ltd. | CHINA | CID000917 | |||
| Tantalum |
KEMET Blue Metals | MEXICO | CID002539 | |||
| Tantalum |
KEMET Blue Powder | UNITED STATES | CID002568 | |||
| Tantalum |
King-Tan Tantalum Industry Ltd. | CHINA | CID000973 | |||
| Tantalum |
LSM Brasil S.A. | BRAZIL | CID001076 | |||
| Tantalum |
Metallurgical Products India (Pvt.) Ltd. | INDIA | CID001163 | |||
| Tantalum |
Mineração Taboca S.A. | BRAZIL | CID001175 | |||
| Tantalum |
Mitsui Mining & Smelting | JAPAN | CID001192 | |||
| Tantalum |
Molycorp Silmet A.S. | ESTONIA | CID001200 | |||
| Tantalum |
Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | |||
| Tantalum |
Plansee SE Liezen | AUSTRIA | CID002540 | |||
| Tantalum |
Plansee SE Reutte | AUSTRIA | CID002556 | |||
| Tantalum |
QuantumClean | UNITED STATES | CID001508 | |||
| Tantalum |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002707 | |||
| Tantalum |
RFH Tantalum Smeltry Co., Ltd | CHINA | CID001522 | |||
| Tantalum |
Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | |||
| Tantalum |
Taki Chemicals | JAPAN | CID001869 | |||
| Tantalum |
Telex Metals | UNITED STATES | CID001891 | |||
| Tantalum |
Tranzact, Inc. | UNITED STATES | CID002571 | |||
| Tantalum |
Ulba | KAZAKHSTAN | CID001969 | |||
| Tantalum |
XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | |||
| Tantalum |
Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | CID002307 | |||
| Tantalum |
Zhuzhou Cement Carbide | CHINA | CID002232 | |||
| Tin |
Alpha | UNITED STATES | CID000292 | |||
| Tin |
China Tin Group Co., Ltd. | CHINA | CID001070 | |||
| Tin |
Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | CID000295 | |||
| Tin |
CV Ayi Jaya | INDONESIA | CID002570 | |||
| Tin |
CV Gita Pesona | INDONESIA | CID000306 | |||
| Tin |
CV Serumpun Sebalai | INDONESIA | CID000313 | |||
| Tin |
CV United Smelting | INDONESIA | CID000315 | |||
| Tin |
CV Venus Inti Perkasa | INDONESIA | CID002455 | |||
| Tin |
Dowa | JAPAN | CID000402 | |||
| Tin |
Elmet S.L.U. (Metallo Group) | SPAIN | CID002774 | |||
| Tin |
EM Vinto | BOLIVIA | CID000438 | |||
| Tin |
Fenix Metals | POLAND | CID000468 | |||
| Tin |
Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 |
9
| Tin |
Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 | |||
| Tin |
Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | |||
| Tin |
Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | |||
| Tin |
Melt Metais e Ligas S/A | BRAZIL | CID002500 | |||
| Tin |
Metallic Resources, Inc. | UNITED STATES | CID001142 | |||
| Tin |
Metallo-Chimique N.V. | BELGIUM | CID002773 | |||
| Tin |
Mineração Taboca S.A. | BRAZIL | CID001173 | |||
| Tin |
Minsur | PERU | CID001182 | |||
| Tin |
Mitsubishi Materials Corporation | JAPAN | CID001191 | |||
| Tin |
O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | |||
| Tin |
O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | |||
| Tin |
Operaciones Metalurgical S.A. | BOLIVIA | CID001337 | |||
| Tin |
PT Aries Kencana Sejahtera | INDONESIA | CID000309 | |||
| Tin |
PT Artha Cipta Langgeng | INDONESIA | CID001399 | |||
| Tin |
PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | |||
| Tin |
PT Babel Inti Perkasa | INDONESIA | CID001402 | |||
| Tin |
PT Bangka Prima Tin | INDONESIA | CID002776 | |||
| Tin |
PT Bangka Tin Industry | INDONESIA | CID001419 | |||
| Tin |
PT Belitung Industri Sejahtera | INDONESIA | CID001421 | |||
| Tin |
PT BilliTin Makmur Lestari | INDONESIA | CID001424 | |||
| Tin |
PT Bukit Timah | INDONESIA | CID001428 | |||
| Tin |
PT Cipta Persada Mulia | INDONESIA | CID002696 | |||
| Tin |
PT DS Jaya Abadi | INDONESIA | CID001434 | |||
| Tin |
PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | |||
| Tin |
PT Inti Stania Prima | INDONESIA | CID002530 | |||
| Tin |
PT Justindo | INDONESIA | CID000307 | |||
| Tin |
PT Mitra Stania Prima | INDONESIA | CID001453 | |||
| Tin |
PT Panca Mega Persada | INDONESIA | CID001457 | |||
| Tin |
PT Prima Timah Utama | INDONESIA | CID001458 | |||
| Tin |
PT REFINED BANGKA TIN | INDONESIA | CID001460 | |||
| Tin |
PT Sariwiguna Binasentosa | INDONESIA | CID001463 | |||
| Tin |
PT Stanindo Inti Perkasa | INDONESIA | CID001468 | |||
| Tin |
PT Sukses Inti Makmur | INDONESIA | CID002816 | |||
| Tin |
PT Sumber Jaya Indah | INDONESIA | CID001471 | |||
| Tin |
PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | |||
| Tin |
PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | |||
| Tin |
PT Tinindo Inter Nusa | INDONESIA | CID001490 | |||
| Tin |
PT Tommy Utama | INDONESIA | CID001493 | |||
| Tin |
PT Wahana Perkit Jaya | INDONESIA | CID002479 | |||
| Tin |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002706 |
10
| Tin |
Rui Da Hung | TAIWAN | CID001539 | |||
| Tin |
Soft Metais Ltda. | BRAZIL | CID001758 | |||
| Tin |
Thaisarco | THAILAND | CID001898 | |||
| Tin |
VQB Mineral and Trading Group JSC | VIET NAM | CID002015 | |||
| Tin |
White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 | |||
| Tin |
Yunnan Tin Company, Ltd. | CHINA | CID002180 | |||
| Tungsten |
A.L.M.T. Corp. | JAPAN | CID000004 | |||
| Tungsten |
Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | |||
| Tungsten |
Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | |||
| Tungsten |
Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | |||
| Tungsten |
Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | |||
| Tungsten |
Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | |||
| Tungsten |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | |||
| Tungsten |
Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | |||
| Tungsten |
Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 | |||
| Tungsten |
Global Tungsten & Powders Corp. | UNITED STATES | CID000568 | |||
| Tungsten |
Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | |||
| Tungsten |
H.C. Starck GmbH | GERMANY | CID002541 | |||
| Tungsten |
H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 | |||
| Tungsten |
Hunan Chenzhou Mining Group Co., Ltd. | CHINA | CID000766 | |||
| Tungsten |
Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | |||
| Tungsten |
Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | |||
| Tungsten |
Japan New Metals Co., Ltd. | JAPAN | CID000825 | |||
| Tungsten |
Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | |||
| Tungsten |
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 | |||
| Tungsten |
Kennametal Huntsville | UNITED STATES | CID000105 | |||
| Tungsten |
Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | |||
| Tungsten |
Niagara Refining LLC | UNITED STATES | CID002589 | |||
| Tungsten |
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | |||
| Tungsten |
Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | |||
| Tungsten |
Vietnam Youngsun Tungsten Industry Co., Ltd | VIET NAM | CID002011 | |||
| Tungsten |
Wolfram Bergbau und Hütten AG | AUSTRIA | CID002044 |
11
| Tungsten |
Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | |||
| Tungsten |
Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | |||
| Tungsten |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 |
Section 2: Smelters/refiners that are CFSI Active
| Metal |
Smelter / Refiner Name | Country | Smelter ID | |||
| Gold |
Advanced Chemical Company | UNITED STATES | CID000015 | |||
| Gold |
Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | |||
| Gold |
Cendres & Metaux SA | SWITZERLAND | CID000189 | |||
| Gold |
Daejin Indus Co. Ltd | KOREA, REPUBLIC OF | CID000328 | |||
| Gold |
Do Sung Corporation | KOREA, REPUBLIC OF | CID000359 | |||
| Gold |
L’ azurde Company For Jewelry | SAUDI ARABIA | CID001032 | |||
| Gold |
Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | |||
| Gold |
Navoi | UZBEKISTAN | CID001236 | |||
| Gold |
Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | |||
| Gold |
Torecom | KOREA, REPUBLIC OF | CID001955 | |||
| Gold |
Faggi Enrico S.p.A. | ITALY | CID002355 | |||
| Gold |
Geib Refining Corporation | UNITED STATES | CID002459 | |||
| Gold |
KGHM Polska Miedź Spółka Akcyjna | POLAND | CID002511 | |||
| Gold |
SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | |||
| Gold |
WIELAND Edelmetalle GmbH | GERMANY | CID002778 | |||
| Tin |
Chenzhou Yunxiang Mining and Metallurgy Company Limited | CHINA | CID000228 | |||
| Tin |
Feinhutte Halsbrucke GmbH | GERMANY | CID000466 | |||
| Tin |
Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | |||
| Tin |
PT Karimun Mining | INDONESIA | CID001448 | |||
| Tin |
Yunnan Tin Group Company Limited | CHINA | CID002158 | |||
| Tin |
Phoenix Metal Ltd. | RWANDA | CID002507 | |||
| Tin |
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 | |||
| Tin |
NGHE TIN NON-FERROUS METAL | VIET NAM | CID002573 | |||
| Tin |
Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 | |||
| Tin |
An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 | |||
| Tin |
An Thai Minerals Company Limited | VIET NAM | CID002825 |
12
| Tungsten |
Dayu Weiliang Tungsten Co., Ltd. | CHINA | CID000345 | |||
| Tungsten |
Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA | CID000868 | |||
| Tungsten |
Kennametal Fallon | UNITED STATES | CID000966 | |||
| Tungsten |
Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | |||
| Tungsten |
Jiangxi Tungsten Industry Co Ltd | CHINA | CID002317 | |||
| Tungsten |
China National Non-Ferrous & Jiangxi corporation limited | CHINA | CID002318 | |||
| Tungsten |
Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA | CID002518 | |||
| Tungsten |
Pobedit, JSC | RUSSIAN FEDERATION | CID002532 | |||
| Tungsten |
Sanher Tungsten Vietnam Co., Ltd. | VIET NAM | CID002538 | |||
| Tungsten |
Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | |||
| Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | CHINA | CID002578 | |||
| Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | |||
| Tungsten |
Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | CID002647 | |||
| Tungsten |
Kennametal Inc. | UNITED STATES | CID000966 |
13