EXHIBIT 1.01
CONFLICT MINERALS REPORT
Introduction
This Report has been prepared pursuant to Rule 13p-1 (the "Rule") under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1 to December 31, 2018.
This Report relates to the process undertaken for Axon Enterprise, Inc.'s ("Axon" or "the Company" or "we" or "our") products that were manufactured, or contracted to be manufactured, during calendar year 2018 and that contain gold, columbite-tantalite (coltan), cassiterite, wolframite, tantalum, tin, or tungsten (collectively, the “conflict minerals”).
Tin, tungsten, tantalum and/or gold are necessary to the functionality of a variety of Axon's products, including, but not limited to TASER 7®, TASER X26P®, TASER X2®, TASER Pulse®, replacement cartridges, Axon Flex 2®, Axon Body 2®, Axon docking stations, Axon Signal® products, Axon Fleet®, TASER CAM®, and related accessories. Third-party products that the Company retails but that it does not manufacture or contract to manufacture are outside the scope of this report.
When this Report uses the term “conflict-free” to describe a smelter or refiner, it means that the applicable smelters and refiners have been verified as complying with the Conflict-Free Sourcing Initiative’s Conflict-Free Smelter Program (the “CFSP”) or an equivalent third-party audit program, some of which we describe below under the heading "Design of Due Diligence Framework - Step 2: Identify and Assess Risk in the Supply Chain."
Company Overview
Axon is a developer and manufacturer of advanced conducted electrical devices designed for use by law enforcement, military, corrections, private security personnel, and by private individuals for personal defense. In addition, the Company has developed full technology solutions for the capture, secure storage and management of video/audio evidence as well as other tactical capabilities for use in law enforcement.
Conflict Mineral Policy
Axon supports and respects the protection of internationally proclaimed human rights for all, including the basic human rights of our employees and workers within our supply chain. Axon is committed to respect human rights and fair labor practices.
Coinciding with this commitment, Axon is concerned about human rights violations and labor abuses, which we understand are occurring in the Democratic Republic of the Congo and adjoining countries (the “DRC region”) as a result of the civil discord there. We understand that the armed groups responsible for the conflict in the DRC region may be directly or indirectly financed by the mining and trade in certain conflict minerals.
As a result of the concern around human rights violations, the U.S. Securities and Exchange Commission ("SEC") adopted final rules 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. The SEC rules require public companies to disclose whether the products they manufacture or contract to manufacture contain conflict minerals that are “necessary to the functionality or production” of those products, and to conduct certain diligence and make certain disclosures regarding such minerals. Tin, tungsten, tantalum and gold are necessary to the functionality of a variety of Axon's products.
Using a documented reasonable process, we work diligently with our direct suppliers to determine the presence and origin of conflict minerals in our supply chain. Recognizing the complexity of this issue, Axon appreciates the need for broad collaboration
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with all of our suppliers in our supply chain throughout this process. In our commitment to conduct our business worldwide with respect for human rights, we:
| • | Expect our direct suppliers to source materials from suppliers and smelters who also source responsibly, including, but not limited to, from legitimate, conflict-free mines in the DRC region; |
| • | Expect our direct suppliers to conduct the necessary due diligence and provide us with proper verification of the country of origin and source of the materials used in the products they supply to Axon; and |
| • | Reserve the right to verify information received from our suppliers. |
Based on the information learned through our due diligence efforts, we continue to evaluate and make changes to supplier base and hope to make additional progress toward ensuring responsible mineral sourcing throughout our supply chain, and improved transparency for our investors and customers.
Axon's Conflict Mineral Program
The Company's continuous engagement and accountability is leading to better data that will allow management to make meaningful decisions with respect to the Company's supply chain. While the majority of conflict minerals contained in the materials supplied to the Company are sourced by our suppliers through smelters or refiners ("SORs") in countries that the Company has determined to be of lower risk of directly or indirectly financing or benefiting armed groups, the Company acknowledges that mineral supplies may still be sourced by our suppliers from SORs in Central Africa or who acquire product from sources in Central Africa or have other contacts in that region. The Company is determined to continue making efforts to understand whether the SORs its suppliers source from in Central Africa and elsewhere have been certified as conflict-free.
Axon hardware products contain one or more conflict minerals and are within the Rule’s scope. On the basis of our “reasonable country of origin inquiry” (“RCOI”) required by the Rule and described below, we cannot exclude the possibility that some of the conflict minerals contained in our hardware products may have originated in the DRC region. For that reason, we are submitting this Conflict Minerals Report (“CMR”), which describes the conflict minerals due diligence we have performed pursuant to the Rule.
This CMR, which includes sections titled Reasonable Country of Origin Inquiry, Design of Due Diligence Framework, Description of Due Diligence Measures Performed, and Future Due Diligence Measures, is designed to meet the reporting requirements of the Rule. It is publicly available on our investor relations website at www.investor.axon.com.
Reasonable Country of Origin Inquiry
The Company's RCOI corresponds to the first and second steps of the five-step OECD Guidance further described below, as that Guidance (including its Supplements) applies to each of the conflict minerals and to Axon as a “downstream company.” The OECD Guidance provides a framework for detailed due diligence to support responsible global supply chain management of minerals, including the conflict minerals.
As a direct manufacturer, the Company does not directly source conflict minerals. We source products and components from direct suppliers, which source materials from their subtier suppliers. Our supply chain is extensive and complex with many layers of suppliers positioned between ourselves and conflict mineral smelters, refiners, and mines. Due to our extended supply chain, we rely on our direct suppliers, including our component manufacturers, to provide us with information concerning the sources and chains of custody of conflict minerals necessary to the functionality or production of our hardware products. The Company does not have complete information about the conflict minerals in its entire supply chain. For 2018, many direct suppliers identified smelters or refiners in their supply chain on a company-wide basis, division or product-line basis, without specifying the smelters or refiners that were relevant to products they supplied to Axon. Accordingly, the Company refers in this Conflict Minerals Report to smelters or refiners being "potentially" in our supply chain and as conflict minerals "potentially" supplied to Axon.
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The charts below highlight the Company's 2018 RCOI, including the number of identified direct suppliers that participated in the Company's conflict minerals campaigns versus those who did not, as well as the status of known suppliers that have been certified as conflict-free versus those that have not received such certification:
For the 2018 reporting period, the Company identified 164 direct suppliers, including our component manufacturers, determined to be in-scope for regulatory purposes based on the Company’s influence over the manufacturing process (i.e., meeting the manufacture or contract to manufacture criteria in Rule 13p-1) and the use of conflict minerals in materials supplied. Based on response rates received from direct suppliers, the Company identified 160 known suppliers of products containing conflict minerals, and of those, 77% were certified as being conflict-free. For the 2017 reporting period, the Company identified 162 direct suppliers, including our component manufacturers, determined to be in-scope for regulatory purposes based on the Company’s influence over the manufacturing process (i.e., meeting the manufacture or contract to manufacture criteria in Rule 13p-1) and the use of conflict minerals in materials supplied. Based on response rates received from direct suppliers, the Company identified 162 known suppliers of products containing conflict minerals, and of those, 63% were certified as being conflict-free. The Company remains focused on its due diligence efforts in 2018 to work with our direct suppliers to verify the remaining SORs supplying conflict minerals contained in our products, and if that cannot be done, considering whether to remove them from our supply chain.
The following table illustrates the status of known suppliers of conflict minerals potentially in the Company's supply chain:
| Status of known suppliers | 2018 | % of Total | ||||
| Certified conflict-free | 115 | 77 | % | |||
| Not certified conflict-free | 34 | 23 | ||||
| Total | 149 | 100 | % | |||
Design of Due Diligence Framework
Inherent Limitations on Due Diligence Measures: As a downstream purchaser of products which contain conflict minerals, the Company's due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary conflict minerals. The Company's due diligence processes are based on the necessity of seeking data from our direct suppliers and those suppliers seeking similar information within their supply chains to identify the original sources of the necessary conflict minerals. The Company also relies, to a large extent, on information collected and provided by independent third party audit programs. Another complicating factor is the unavailability of country of origin and chain of custody information from our suppliers on a continuous, real-time basis. Under the Dodd-Frank Act and the Rule, a product is "DRC conflict-free" if it meets the required standard every day of the reporting year; conversely, a product would "not be found to be DRC conflict-free" if it does not meet the required standard even one day of the reporting year. The supply chain of commodities such as conflict minerals is a multi-step process operating more or less on a daily basis, with ore being delivered to SORs, with SORs smelting or refining ores into metal containing derivatives such as ingots, with the derivatives being shipped, sold and stored in numerous
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market locations around the world and with distributors and purchasers holding varying amounts of the derivatives in inventory for use. Since the Company does not have direct contractual relationships with SORs, it relies on our direct suppliers and the entire supply-chain to gather and provide specific information about the date when the ore is smelted into a derivative and later shipped, stored, sold and first entered the stream of commerce. the Company directly seeks sourcing data on a periodic basis from its direct suppliers as well as certain SORs. The Company asks that the data cover the entire reporting year.
The good faith due diligence process that Axon undertook was designed in accordance with the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Second Edition, OECD 2013) and the related Supplements on tantalum, tin, tungsten and gold (collectively, the “OECD Guidance”). The OECD Guidance provides practical guidance to companies throughout the supply chain on a set of actions that can be taken to ensure responsible due diligence. Aligning with the OECD’s diligence framework, the steps that Axon implemented were as follows:
Step 1: Establish Strong Corporate Management Systems
| • | Assign accountability for the compliance efforts to a cross-functional team of legal, supply chain, engineering and finance personnel, that meet periodically throughout the year to develop a strategy for the annual conflict minerals campaign. |
| • | Employ a supply chain system of controls and transparency through the use of due diligence tools created by the Electronic Industry Citizenship Coalition ("EICC") and the Global e-Sustainability Initiative ("GeSI")'s Conflict-Free Sourcing Initiative ("CFSI"), which includes the Conflict Minerals Reporting Template ("CMRT"), a supply chain survey designed to identify the SORs that process the necessary conflict minerals contained in our products. |
| • | Feature requirements related to conflict minerals in our standard template for supplier contracts and specifications so that current and future suppliers are obligated to comply with our policies on conflict minerals, including participation in a supply chain survey and related due diligence activities. |
| • | Maintain records relating to our conflict minerals program in accordance with our record retention guidelines. |
Step 2: Identify and Assess Risk in the Supply Chain
| • | Identify direct suppliers that supply products that may contain conflict minerals. |
| • | Conduct a RCOI, requesting direct suppliers to identify SORs and country of origin of the conflict minerals in products they supply to Axon. |
| • | Evaluate supplier responses for plausibility, consistency and missing data. Conduct additional supplier contacts to resolve questions with respect to the initial findings to determine whether the responses were reasonable and reliable. |
| • | For those supply chains with SORs that are known or thought to be sourcing from the DRC region, additional investigation was conducted to determine the source and chain of custody of covered metals. The Company relies on the following internationally accepted audit standards to determine which SORs are considered conflict-free: the CFSP, the London Bullion Market Association Good Delivery Program and the Responsible Jewelry Council Chain-of-Custody Certification program. |
| • | If any SOR was not certified by these internationally-recognized methods, the Company attempted to contact the SOR to gain more information about its sourcing practices, including countries of origin and transfer, and whether there are any internal due diligence procedures in place or other processes that it takes to track the chain of custody on the source of its mineral ores. Relevant information to review includes: whether the SOR has a documented, effective and communicated conflict-free policy, an accounting system to support a mass balance of materials processed, and traceability documentation. The Company also performed Internet research to determine whether there are any outside sources of information regarding the SOR’s sourcing practices. As many as three contact attempts were made to direct suppliers to gather information on mine country of origin and sourcing practices. |
Step 3: Design and Implement a Strategy to Respond to Identified Risks
| • | Work with our direct suppliers to verify all SORs, and attempt to ensure that any SORs that were not already certified as conflict-free would enroll in a third-party audit process. |
| • | Identify and consider, to the extent feasible, alternative suppliers for materials where the supplier is uncooperative towards our goal of responsibly sourcing conflict minerals. |
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| • | Provide progress reports to our President and other senior management summarizing our risk mitigation efforts. |
Step 4: Third-party Audit of Smelter’s/Refiner’s Due Diligence Processes
| • | Based on information received through the CFSP or equivalent independent third-party audit programs, as well as a third-party review of publicly available information about identified SORs, Axon has documented the country of origin information of particular known SORs. The CFSP collects evidence from SORs demonstrating that responsible sourcing procedures and systems have been implemented. The CFSP works with complementary programs in Central Africa to validate conflict-free mine sites and trade routes. Regional traceability and other third-party programs work with non-governmental organizations, government programs, and the CFSP to improve procedures and systems when incidents occur, and they communicate relevant information to program participants as it becomes available. The Company believes that independent third-party audit programs provide a reasonable basis for companies to conclude that SORs have procedures and systems for determining if the SORs process conflict minerals that directly or indirectly finance or benefit armed groups. |
Step 5: Report on Supply Chain Due Diligence
| • | Publicly communicate our Conflict Minerals Sourcing Policy on our company website: www.investor.axon.com. |
| • | Publicly communicate the results of our annual Conflict Minerals program on our company website: www.investor.axon.com. |
Description of Due Diligence Measures Performed
Below is a description of the measures the Company performed for the 2018 reporting period to exercise due diligence on the source and chain of custody of the necessary conflict minerals contained in our products that we had reason to believe may have originated from the DRC region and may not have come from recycled or scrap sources:
| • | Conducted a supply-chain survey of suppliers that we identified as possibly supplying Axon with products that contain necessary conflict minerals using the CFSI's CMRT, requesting country of origin information regarding the necessary conflict minerals and identification of SORs that process such minerals. |
| • | Received and retained responses to the supply-chain survey within an online database. |
| • | Performed additional follow up supply chain inquiries for supplier non-responses. |
| • | Contacted surveyed suppliers on responses to supply chain surveys that we identified contained incomplete or potentially inaccurate information to seek additional clarifying information. |
| • | Compared SORs identified by the supply chain survey against the list of facilities that have received a "conflict-free" designation from the CFSP or other independent third-party audit program. |
| • | Provided progress reports to the President and other members of senior management to communicate the status and results of our conflict minerals program. |
Future Due Diligence Measures
During the reporting period for the calendar year ending December 31, 2018, we are continuing to engage in the activities described above in "Design of Due Diligence Framework" and "Description of Due Diligence Measures Performed." In our efforts to attain a conflict-free supply chain for our products, we intend to continue to contact SORs identified in our supply chain survey process that have not yet received a "conflict-free" designation and request their participation in the CFSP or other independent third party audit program in order for them to obtain such a "conflict-free" designation. Further the Company intends to advance its due diligence measures but also to mitigate and address certain risks by performing the following:
| • | Redistribute copies of our conflict minerals policy to direct suppliers; |
| • | Emphasize to them our expectation that they respond fully and promptly to our information requests; |
| • | Instruct them to advise us if they determine that any person or entity in their supply chain is directly or indirectly financing or benefiting armed groups in the DRC region; and |
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| • | Encourage them to direct all SORs in their supply chains to participate in the CFSP or a similar third-party audit program. |
Determination
Based on the information provided by the Company’s direct suppliers, including its component manufacturers, and the Company's own due diligence efforts with known SORs through December 31, 2018, the Company believes that the SORs listed on Appendix A below may have been used to process the conflict minerals in Axon's products.
Based on these due diligence efforts, Axon does not have sufficient information to conclusively determine the countries of origin of the conflict minerals in its products or whether such conflict minerals in its products are from recycled or scrap sources.
Axon has provided information as of the date of this Report. Subsequent events, such as the inability or unwillingness of any suppliers or SORs to comply with the Company's conflict minerals standards, may affect the Company's future determinations under Rule 13p-1.
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Appendix A
* Denotes SORs which have received a "compliant" designation from an independent third party audit program.
| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Gold | 8853 S.p.A.* | Italy |
| Gold | Abington Reldan Metals, LLC | United States Of America |
| Gold | Advanced Chemical Company* | United States Of America |
| Gold | African Gold Refinery | Uganda |
| Gold | Aida Chemical Industries Co., Ltd.* | Japan |
| Gold | Aktybuinsk Copper Company Too | Kazakhstan |
| Gold | Al Etihad Gold Refinery DMCC* | United Arab Emirates |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G.* | Germany |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC)* | Uzbekistan |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao* | Brazil |
| Gold | Argor-Heraeus S.A.* | Switzerland |
| Gold | Asahi Pretec Corp.* | Japan |
| Gold | Asahi Refining Canada Ltd.* | Canada |
| Gold | Asahi Refining USA Inc.* | United States Of America |
| Gold | Asaka Riken Co., Ltd.* | Japan |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey |
| Gold | AU Traders and Refiners* | South Africa |
| Gold | AURA-II | United States Of America |
| Gold | Aurubis AG* | Germany |
| Gold | Baiyin Nonferrous Group Co., Ltd. | China |
| Gold | Bangalore Refinery* | India |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines)* | Philippines |
| Gold | Boliden AB* | Sweden |
| Gold | C. Hafner GmbH + Co. KG* | Germany |
| Gold | Caridad | Mexico |
| Gold | CCR Refinery - Glencore Canada Corporation* | Canada |
| Gold | Cendres + Metaux S.A.* | Switzerland |
| Gold | Chimet S.p.A.* | Italy |
| Gold | China Gold International Resources Corp., Ltd. | China |
| Gold | Chugai Mining | Japan |
| Gold | Codelco | Chile |
| Gold | Daejin Indus Co., Ltd.* | Korea, Republic Of |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany |
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates |
| Gold | DODUCO Contacts and Refining GmbH* | Germany |
| Gold | Dongguan Standard Electronic Material Co., Ltd | China |
| Gold | Dowa* | Japan |
| Gold | DS PRETECH Co., Ltd.* | Korea, Republic Of |
| Gold | DSC (Do Sung Corporation)* | Korea, Republic Of |
| Gold | Eco-System Recycling Co., Ltd.* | Japan |
| Gold | Elemetal Refining, LLC | United States Of America |
| Gold | Emirates Gold DMCC* | United Arab Emirates |
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe |
| Gold | Fujairah Gold FZC | United Arab Emirates |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | India |
| Gold | Geib Refining Corporation* | United States Of America |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd.* | China |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China |
Axon Enterprise, Inc. | 2018 Conflict Minerals Report | A- 1
| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Gold | Guangdong Jinding Gold Limited | China |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China |
| Gold | Harmony Gold Mining Company Ltd. | South Africa |
| Gold | HeeSung Metal Ltd.* | Korea, Republic Of |
| Gold | Heimerle + Meule GmbH* | Germany |
| Gold | Henan Yuguang Gold & Lead Co., Ltd. | China |
| Gold | Heraeus Metals Hong Kong Ltd.* | China |
| Gold | Heraeus Precious Metals GmbH & Co. KG* | Germany |
| Gold | HeTai Gold Mineral GuangDong Ltd. Co. | China |
| Gold | House of Currency of Brazil (Casa da Moeda do Brazil) | Brazil |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China |
| Gold | Hunan Yuguang Gold & Lead Co., Ltd. | China |
| Gold | HwaSeong CJ CO., LTD. | Korea, Republic Of |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.* | China |
| Gold | International Precious Metal Refiners | United Arab Emirates |
| Gold | Ishifuku Metal Industry Co., Ltd.* | Japan |
| Gold | Istanbul Gold Refinery* | Turkey |
| Gold | Italpreziosi* | Italy |
| Gold | Japan Mint* | Japan |
| Gold | Jiangxi Copper Co., Ltd.* | China |
| Gold | Jin Jinyin refining company limited | China |
| Gold | Jinlong Copper Co., Ltd. | China |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation |
| Gold | JSC Uralelectromed* | Russian Federation |
| Gold | JX Nippon Mining & Metals Co., Ltd.* | Japan |
| Gold | Kaloti Precious Metals | United Arab Emirates |
| Gold | Kazakhmys Smelting LLC | Kazakhstan |
| Gold | Kazzinc* | Kazakhstan |
| Gold | Kennecott Utah Copper LLC* | United States Of America |
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland |
| Gold | Kojima Chemicals Co., Ltd.* | Japan |
| Gold | Korea Metal Co., Ltd. | Korea, Republic Of |
| Gold | Korea Zinc Co., Ltd.* | Korea, Republic Of |
| Gold | Kosak Seiren | Japan |
| Gold | Kyrgyzaltyn JSC* | Kyrgyzstan |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation |
| Gold | L'azurde Company For Jewelry | Saudi Arabia |
| Gold | Lingbao Gold Co., Ltd. | China |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China |
| Gold | L'Orfebre S.A.* | Andorra |
| Gold | LS-NIKKO Copper Inc.* | Korea, Republic Of |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China |
| Gold | Marsam Metals* | Brazil |
| Gold | Materion* | United States Of America |
| Gold | Matsuda Sangyo Co., Ltd.* | Japan |
| Gold | Metalor Technologies (Hong Kong) Ltd.* | China |
| Gold | Metalor Technologies (Singapore) Pte., Ltd.* | Singapore |
| Gold | Metalor Technologies (Suzhou) Ltd.* | China |
| Gold | Metalor Technologies S.A.* | Switzerland |
| Gold | Metalor USA Refining Corporation* | United States Of America |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V.* | Mexico |
Axon Enterprise, Inc. | 2018 Conflict Minerals Report | A- 2
| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Gold | Mitsubishi Materials Corporation* | Japan |
| Gold | Mitsui Mining and Smelting Co., Ltd.* | Japan |
| Gold | MMTC-PAMP India Pvt., Ltd.* | India |
| Gold | Morris and Watson | New Zealand |
| Gold | Morris and Watson Gold Coast | Australia |
| Gold | Moscow Special Alloys Processing Plant* | Russian Federation |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S.* | Turkey |
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan |
| Gold | NH Recytech Company | Korea, Republic Of |
| Gold | Nihon Material Co., Ltd.* | Japan |
| Gold | Nyrstar Metals | United States Of America |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH* | Austria |
| Gold | Ohio Precious Metals LLC. | United States Of America |
| Gold | Ohura Precious Metal Industry Co., Ltd.* | Japan |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)* | Russian Federation |
| Gold | OJSC Kolyma Refinery | Russian Federation |
| Gold | OJSC Novosibirsk Refinery* | Russian Federation |
| Gold | PAMP S.A.* | Switzerland |
| Gold | Pease & Curren | United States Of America |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China |
| Gold | Planta Recuperadora de Metales SpA* | Chile |
| Gold | Prioksky Plant of Non-Ferrous Metals* | Russian Federation |
| Gold | PT Aneka Tambang (Persero) Tbk* | Indonesia |
| Gold | PX Precinox S.A.* | Switzerland |
| Gold | QG Refining, LLC | United States Of America |
| Gold | Rand Refinery (Pty) Ltd.* | South Africa |
| Gold | Refinery of Seemine Gold Co., Ltd. | China |
| Gold | REMONDIS PMR B.V.* | Netherlands |
| Gold | Republic Metals Corporation | United States Of America |
| Gold | Royal Canadian Mint* | Canada |
| Gold | SAAMP* | France |
| Gold | Sabin Metal Corp. | United States Of America |
| Gold | Safimet S.p.A* | Italy |
| Gold | SAFINA A.S. | Czech Republic |
| Gold | Sai Refinery | India |
| Gold | Samduck Precious Metals | Korea, Republic Of |
| Gold | Samwon Metals Corp. | Korea, Republic Of |
| Gold | SAXONIA Edelmetalle GmbH* | Germany |
| Gold | Schone Edelmetaal B.V. | Netherlands |
| Gold | SEMPSA Joyeria Plateria S.A.* | Spain |
| Gold | Shan Dong Huangjin | China |
| Gold | Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co. Ltd. | China |
| Gold | Shandong gold smelting Co., Ltd. | China |
| Gold | Shandong Guoda Gold Co., Ltd. | China |
| Gold | Shandong Humon Smelting Co., Ltd. | China |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* | China |
| Gold | Shandong Zhongkuang Group Co. Ltd | China |
| Gold | Shenzhen fujun material technology co.,ltd | China |
| Gold | Shenzhen Heng Zhong Industry Co.,Ltd. | China |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China |
| Gold | Sichuan Tianze Precious Metals Co., Ltd.* | China |
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| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Gold | Singway Technology Co., Ltd.* | Taiwan, Province Of China |
| Gold | Sino-Platinum Metals Co.,Ltd | China |
| Gold | So Accurate Group, Inc. | United States Of America |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals* | Russian Federation |
| Gold | Solar Applied Materials Technology Corp.* | Taiwan, Province Of China |
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania |
| Gold | Sudan Gold Refinery | Sudan |
| Gold | Sumitomo Metal Mining Co., Ltd.* | Japan |
| Gold | SungEel HiMetal Co., Ltd.* | Korea, Republic Of |
| Gold | Super Dragon Technology Co., Ltd | China |
| Gold | Super Dragon Technology Co., Ltd | Taiwan, Province Of China |
| Gold | T.C.A S.p.A* | Italy |
| Gold | Taicang City Nancang Metal Material Co.,Ltd | China |
| Gold | Tanaka Kikinzoku Kogyo K.K.* | Japan |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd.* | China |
| Gold | Tokuriki Honten Co., Ltd.* | Japan |
| Gold | Ton Yi Industrial Corporation | Taiwan, Province Of China |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China |
| Gold | Tony Goetz NV | Belgium |
| Gold | TOO Tau-Ken-Altyn | Kazakhstan |
| Gold | Torecom* | Korea, Republic Of |
| Gold | Umicore Brasil Ltda.* | Brazil |
| Gold | Umicore Precious Metals Thailand* | Thailand |
| Gold | Umicore S.A. Business Unit Precious Metals Refining* | Belgium |
| Gold | United Precious Metal Refining, Inc.* | United States Of America |
| Gold | Universal Precious Metals Refining Zambia | Zambia |
| Gold | Valcambi S.A.* | Switzerland |
| Gold | Western Australian Mint (T/a The Perth Mint)* | Australia |
| Gold | WIELAND Edelmetalle GmbH* | Germany |
| Gold | Xstrata Canada Corporation | Canada |
| Gold | Yamakin Co., Ltd.* | Japan |
| Gold | Yokohama Metal Co., Ltd.* | Japan |
| Gold | Yunnan Copper Industry Co., Ltd. | China |
| Gold | Zhe Jiang Guang Yuan Noble Metal Smelting Factory | China |
| Gold | Zhongkuang Gold Industry Co., Ltd. | China |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation* | China |
| Tantalum | AMG (Advanced Metallurgical Group) | Brazil |
| Tantalum | ANHUI HERRMAN IMPEX CO. | China |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd.* | China |
| Tantalum | D Block Metals, LLC* | United States Of America |
| Tantalum | Duoluoshan | China |
| Tantalum | E.S.R. Electronics | United States Of America |
| Tantalum | Exotech Inc.* | United States Of America |
| Tantalum | F&X Electro-Materials Ltd.* | China |
| Tantalum | FIR Metals & Resource Ltd.* | China |
| Tantalum | Global Advanced Metals Aizu* | Japan |
| Tantalum | Global Advanced Metals Boyertown* | United States Of America |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd.* | China |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | China |
| Tantalum | H.C. Starck Co., Ltd.* | Thailand |
| Tantalum | H.C. Starck Hermsdorf GmbH* | Germany |
| Tantalum | H.C. Starck Inc.* | United States Of America |
Axon Enterprise, Inc. | 2018 Conflict Minerals Report | A- 4
| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Tantalum | H.C. Starck Ltd.* | Japan |
| Tantalum | H.C. Starck Surface Technology and Ceramic Powders GmbH | Germany |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH* | Germany |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd.* | China |
| Tantalum | Hi-Temp Specialty Metals, Inc. | United States Of America |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd.* | China |
| Tantalum | Jiangxi Tuohong New Raw Material* | China |
| Tantalum | Jiujiang Janny New Material Co., Ltd.* | China |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd.* | China |
| Tantalum | Jiujiang Tanbre Co., Ltd.* | China |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd.* | China |
| Tantalum | KEMET Blue Metals* | Mexico |
| Tantalum | KEMET Blue Powder* | United States Of America |
| Tantalum | King-Tan Tantalum Industry Ltd. | China |
| Tantalum | LSM Brasil S.A.* | Brazil |
| Tantalum | Metallurgical Products India Pvt., Ltd.* | India |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd.* | China |
| Tantalum | NPM Silmet AS* | Estonia |
| Tantalum | Plansee SE Liezen | Austria |
| Tantalum | Plansee SE Reutte | Austria |
| Tantalum | Power Resources Ltd.* | North Macedonia, Republic Of |
| Tantalum | PT Bangka Timah Utama Sejahtera | Indonesia |
| Tantalum | QuantumClean* | United States Of America |
| Tantalum | Shanghai Jiangxi Metals Co., Ltd. | China |
| Tantalum | Solikamsk Magnesium Works OAO* | Russian Federation |
| Tantalum | Taki Chemical Co., Ltd.* | Japan |
| Tantalum | Telex Metals* | United States Of America |
| Tantalum | Tranzact, Inc. | United States Of America |
| Tantalum | Ulba Metallurgical Plant JSC* | Kazakhstan |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd.* | China |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd.* | China |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | China |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | China |
| Tin | Alpha* | United States Of America |
| Tin | An Thai Minerals Co., Ltd. | Vietnam |
| Tin | An Vinh Joint Stock Mineral Processing Company | Vietnam |
| Tin | Aoki Laboratories Ltd | United States Of America |
| Tin | BML | Indonesia |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.* | China |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd.* | China |
| Tin | China Tin Group Co., Ltd.* | China |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | China |
| Tin | Cooperativa Metalurgica de Rondonia Ltda. | Brazil |
| Tin | CV Ayi Jaya* | Indonesia |
| Tin | CV Dua Sekawan* | Indonesia |
| Tin | CV Duta Putra Bangka | Indonesia |
| Tin | CV Gita Pesona* | Indonesia |
| Tin | CV Makmur Jaya | Indonesia |
| Tin | CV Nurjanah | Indonesia |
| Tin | CV Prima Timah Utama | Indonesia |
| Tin | CV United Smelting* | Indonesia |
| Tin | CV Venus Inti Perkasa* | Indonesia |
Axon Enterprise, Inc. | 2018 Conflict Minerals Report | A- 5
| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Vietnam |
| Tin | EM Vinto* | Bolivia (Plurinational State Of) |
| Tin | Estanho de Rondonia S.A. | Brazil |
| Tin | Faggi Enrico S.p.A. | Italy |
| Tin | Feinhutte Halsbrucke GmbH | Germany |
| Tin | Fenix Metals* | Poland |
| Tin | Gejiu Fengming Metallurgy Chemical Plant* | China |
| Tin | Gejiu Jinye Mineral Company* | China |
| Tin | Gejiu Kai Meng Industry and Trade LLC* | China |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd.* | China |
| Tin | Gejiu Yunxi Group Corp. | China |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.* | China |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd.* | China |
| Tin | Gold Bell Group | China |
| Tin | GUANG XI HUA XI CORP | China |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd.* | China |
| Tin | Guangxi Huaxi Group | China |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant* | China |
| Tin | Hongqiao Metals (Kunshan) Co., Ltd. | China |
| Tin | HuiChang Hill Tin Industry Co., Ltd.* | China |
| Tin | Huichang Jinshunda Tin Co., Ltd.* | China |
| Tin | Hunan Xianghualing tin | China |
| Tin | Jean Goldschmidt International SA | Belgium |
| Tin | Jiangxi Huayu metal co., Ltd | China |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | China |
| Tin | Jiangxi New Nanshan Technology Ltd.* | China |
| Tin | JU TAI INDUSTRIAL CO.,LTD. | China |
| Tin | Kroea Metal Co Ltd | Korea, Republic Of |
| Tin | Linqu Xianggui Smelter Co., Ltd. | China |
| Tin | Linwu Xianggui Ore Smelting Co., Ltd. | China |
| Tin | Linwu Xianqqui Ore Smelting Co Ltd | Germany |
| Tin | Liuzhou China Tin | China |
| Tin | Magnu's Minerais Metais e Ligas Ltda.* | Brazil |
| Tin | Malaysia Smelting Corporation (MSC)* | Malaysia |
| Tin | Melt Metais e Ligas S.A.* | Brazil |
| Tin | Metallic Resources, Inc.* | United States Of America |
| Tin | Metallo Belgium N.V.* | Belgium |
| Tin | Metallo Spain S.L.U.* | Spain |
| Tin | Metallum Group Holding NV | Belgium |
| Tin | Mineracao Taboca S.A.* | Brazil |
| Tin | Ming Li Jia smelt Metal Factory | China |
| Tin | Minsur* | Peru |
| Tin | Modeltech Sdn Bhd* | Malaysia |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | Thailand |
| Tin | O.M. Manufacturing Philippines, Inc.* | Philippines |
| Tin | Operaciones Metalurgicas S.A.* | Bolivia (Plurinational State Of) |
| Tin | Phoenix Metal Ltd. | Rwanda |
| Tin | Pohang Iron and Steel Co. Ltd. | Korea, Republic Of |
| Tin | Pongpipat Company Limited | Myanmar |
| Tin | PT Alam Lestari Kencana | Indonesia |
| Tin | PT Aries Kencana Sejahtera* | Indonesia |
Axon Enterprise, Inc. | 2018 Conflict Minerals Report | A- 6
| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Tin | PT Artha Cipta Langgeng* | Indonesia |
| Tin | PT ATD Makmur Mandiri Jaya* | Indonesia |
| Tin | PT Babel Inti Perkasa* | Indonesia |
| Tin | PT Babel Surya Alam Lestari* | Indonesia |
| Tin | PT Bangka Kudai Tin | Indonesia |
| Tin | PT Bangka Prima Tin* | Indonesia |
| Tin | PT Bangka Putra Karya | Indonesia |
| Tin | PT Bangka Serumpun* | Indonesia |
| Tin | PT Bangka Tin Industry* | Indonesia |
| Tin | PT Belitung Industri Sejahtera* | Indonesia |
| Tin | PT BilliTin Makmur Lestari | Indonesia |
| Tin | PT Bukit Timah* | Indonesia |
| Tin | PT Cipta Persada Mulia | Indonesia |
| Tin | PT DS Jaya Abadi* | Indonesia |
| Tin | PT Eunindo Usaha Mandiri | Indonesia |
| Tin | PT Fang Di MulTindo | Indonesia |
| Tin | PT HP Metals Indonesia | Indonesia |
| Tin | PT Inti Stania Prima* | Indonesia |
| Tin | PT Justindo | Indonesia |
| Tin | PT Karimun Mining* | Indonesia |
| Tin | PT Kijang Jaya Mandiri* | Indonesia |
| Tin | PT Koba Tin | Indonesia |
| Tin | PT Lautan Harmonis Sejahtera* | Indonesia |
| Tin | PT Menara Cipta Mulia* | Indonesia |
| Tin | PT Mitra Stania Prima* | Indonesia |
| Tin | PT O.M. Indonesia | Indonesia |
| Tin | PT Panca Mega Persada* | Indonesia |
| Tin | Pt Pelat Timah Nusantara Tbk | Indonesia |
| Tin | PT Premium Tin Indonesia* | Indonesia |
| Tin | PT Prima Timah Utama* | Indonesia |
| Tin | PT Rajehan Ariq* | Indonesia |
| Tin | PT Refined Bangka Tin* | Indonesia |
| Tin | PT Sariwiguna Binasentosa* | Indonesia |
| Tin | PT Seirama Tin Investment | Indonesia |
| Tin | PT Stanindo Inti Perkasa* | Indonesia |
| Tin | PT Sukses Inti Makmur* | Indonesia |
| Tin | PT Sumber Jaya Indah* | Indonesia |
| Tin | PT Timah Nusantara | Indonesia |
| Tin | PT Timah Tbk Kundur* | Indonesia |
| Tin | PT Timah Tbk Mentok* | Indonesia |
| Tin | PT Tinindo Inter Nusa* | Indonesia |
| Tin | PT Tirus Putra Mandiri* | Indonesia |
| Tin | PT Tommy Utama* | Indonesia |
| Tin | PT Wahana Perkit Jaya | Indonesia |
| Tin | Resind Industria e Comercio Ltda.* | Brazil |
| Tin | Rui Da Hung* | Taiwan, Province Of China |
| Tin | Sizer Metals PTE | Singapore |
| Tin | SNPLUS | Canada |
| Tin | Soft Metais Ltda.* | Brazil |
| Tin | Sun Surface Technology Co Ltd | China |
| Tin | Super Ligas | Brazil |
| Tin | Thaisarco* | Thailand |
Axon Enterprise, Inc. | 2018 Conflict Minerals Report | A- 7
| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Tin | Tianshui ling bo technology co., Ltd | China |
| Tin | TIN PLATING GEJIU | China |
| Tin | Tin Technology & Refining* | United States Of America |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam |
| Tin | VQB Mineral and Trading Group JSC | Vietnam |
| Tin | White Solder Metalurgia e Mineracao Ltda.* | Brazil |
| Tin | Wu Xi Shi Yi Zheng Ji Xie She Bei Company | China |
| Tin | Wuxi Lantronic Electronic Co Ltd | China |
| Tin | Xianghualing Tin Industry Co Ltd | China |
| Tin | Xianghualing Tin Minerals | China |
| Tin | Yifeng Tin | China |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd.* | China |
| Tin | Yunnan Chengo Electric Smelting Plant | China |
| Tin | Yunnan Tin Company Limited* | China |
| Tin | Zhuhai Quanjia | China |
| Tungsten | A.L.M.T. Corp.* | Japan |
| Tungsten | ACL Metais Eireli* | Brazil |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Vietnam |
| Tungsten | Baiyin Nonferrous Metals Corporation (BNMC) | China |
| Tungsten | Buffalo Tungsten | United States Of America |
| Tungsten | Chaozhou Xianglu Tungsten Industry Co Ltd | China |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd.* | China |
| Tungsten | China Minmetals Non-ferrous Metals Holding Co., Ltd. | China |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd.* | China |
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | China |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | China |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd.* | China |
| Tungsten | Ganxian Shirui New Material Co., Ltd. | China |
| Tungsten | Ganzhou Grand Sea W & Mo Group Co Ltd | China |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd.* | China |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd.* | China |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd.* | China |
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | China |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd.* | China |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | China |
| Tungsten | Global Tungsten & Powders Corp.* | United States Of America |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd.* | China |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG* | Germany |
| Tungsten | H.C. Starck Tungsten GmbH* | Germany |
| Tungsten | Hunan Chenzhou Mining Co., Ltd.* | China |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji* | China |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd.* | China |
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | China |
| Tungsten | Hydrometallurg, JSC* | Russian Federation |
| Tungsten | Japan New Metals Co., Ltd.* | Japan |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd.* | China |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | China |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd.* | China |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China |
| Tungsten | Jiangxi Rare Earth & Rare Metals Tungsten Group Corp | China |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.* | China |
| Tungsten | Jiangxi Tungsten Industry Group Co Ltd | China |
Axon Enterprise, Inc. | 2018 Conflict Minerals Report | A- 8
| Subject Mineral | Smelter or Refiner Name | Country location of Smelter or Refiner |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd.* | China |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | China |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd.* | China |
| Tungsten | Kennametal Fallon* | United States Of America |
| Tungsten | Kennametal Huntsville* | United States Of America |
| Tungsten | Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd | China |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd.* | China |
| Tungsten | Masan Tungsten Chemical LLC (MTC)* | Vietnam |
| Tungsten | Moliren Ltd.* | Russian Federation |
| Tungsten | Niagara Refining LLC* | United States Of America |
| Tungsten | Nippon Yakin Kogyo Co., Ltd. | Japan |
| Tungsten | Philippine Chuangxin Industrial Co., Inc.* | Philippines |
| Tungsten | Pobedit, JSC | Russian Federation |
| Tungsten | Sanher Tungsten Vietnam Co., Ltd | Vietnam |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City* | China |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.* | Vietnam |
| Tungsten | Unecha Refractory metals plant* | Russian Federation |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | Vietnam |
| Tungsten | Wolfram Bergbau und Hutten AG* | Austria |
| Tungsten | WOLFRAM Company CJSC | Russian Federation |
| Tungsten | Woltech Korea Co., Ltd.* | Korea, Republic Of |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd.* | China |
| Tungsten | Xiamen Tungsten Co., Ltd.* | China |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.* | China |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd.* | China |
Axon Enterprise, Inc. | 2018 Conflict Minerals Report | A- 9