Exhibit 1.01
Nortek, Inc.
Conflict Minerals Report
For the Reporting Period Ended December 31, 2014
This Conflict Minerals Report for the calendar-year reporting period beginning January 1, 2014 and ending December 31, 2014 (the “reporting period”, has been prepared and filed with the Securities and Exchange Commission (“SEC” or “Commission”) under cover of Form SD by Nortek, Inc. (together with all consolidated subsidiaries, “Nortek,” “Company,” “we” or “us”) to comply with Section 13(p) of the Securities Exchange Act of 1934 (“Exchange Act Section 13(p)”) and associated SEC Rule 13p-1 (17 CFR 240.13p-1) and Form SD (17 CFR 249b.400) (together, the “Rule”). The term “conflict minerals” is defined by Section 13(p) and the Rule to mean tin, tantalum, tungsten and gold, commonly referred to as the “3TG,” without regard to their country or countries of origin.
As certain of the Company’s businesses manufactured, or contracted to manufacture, products during the reporting period that contain conflict minerals that are necessary to the functionality or production of these products (“necessary conflict minerals”), we have prepared this particular Conflict Minerals Report (“CMR”). After conducting our good-faith, reasonable country of origin inquiry (“RCOI”) for the reporting period, we know or have reason to believe that some of our necessary conflict minerals originated or may have originated in the Democratic Republic of the Congo or an adjoining country (together, “Covered Countries”), and know or have reason to believe that such necessary conflict minerals may not be derived solely from recycled or scrap sources. Accordingly, we performed due diligence pursuant to a process designed to conform to the framework set forth in the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High- Risk Areas: Second Edition: 2013, including the supplements thereto for gold, tin, tantalum and tungsten (together, “OECD Due Diligence Guidance”).
Company Overview and Description of Nortek Products Covered by this CMR
We are a global, diversified company whose many market-leading brands deliver broad capabilities and a wide array of innovative, technology-driven products and solutions for lifestyle improvement at home and at work. A description of our reporting segments and their products is set forth below.
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| • | the Air Quality & Home Solutions ("AQH") segment primarily manufactures and distributes room and whole house ventilation products for the professional remodeling and replacement markets, residential new construction market, and do-it-yourself market. The principal products of the segment are kitchen range hoods, exhaust fans (such as bath fans and fan, heater and light combination units), and indoor air quality products (such as air exchangers and heat or energy recovery ventilators). |
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| • | the Security & Control Solutions ("SCS”) segment manufactures and distributes a broad array of products designed to provide convenience and security primarily for residential applications. The principal product categories in this segment include security, automation and access control equipment and systems. |
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| • | the Ergonomic & Productivity Solutions ("ERG") segment manufactures and distributes a broad array of innovative products designed with ergonomic features including wall mounts, carts, arms, desk mounts, workstations, and stands that attach to or support a variety of display devices such as notebook computers, computer monitors, and flat panel displays. |
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| • | the Residential & Commercial HVAC ("RCH") segment principally manufactures and sells split-system and packaged air conditioners and heat pumps, furnaces, air handlers and parts for the residential replacement and new construction markets. In addition, this segment produces unit heaters, radiant heaters and rooftop HVAC products primarily for industrial and commercial applications. |
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| • | the Custom & Commercial Air Solutions ("CAS") segment manufactures and sells custom-designed and engineered HVAC products and systems, primarily in North America, for non-residential applications that include healthcare and educational facilities, commercial buildings, manufacturing facilities, clean rooms, data centers, |
and government buildings. The principal products sold by this segment are air handlers and large custom rooftop cooling and heating products.
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| • | the Audio, Video & Control Solutions (“AVC”) segments manufacture and distribute a broad array of products primarily for the residential audio/video and professional video signal management markets. The principal product categories in these segments include residential audio/video equipment (including architectural speakers and power conditioners, among other products), home control equipment, and professional video signal management solutions. |
Through these segments, we manufacture and sell primarily in the United States, Canada, and Europe, with additional manufacturing in China and Mexico a wide variety of products principally for the remodeling and replacement markets, the residential and commercial new construction markets, and the personal and enterprise computer markets. Some of these products contain necessary conflict minerals (“Covered Products”), as discussed further below.
The manufacture of products during any specified time period likely includes raw materials sourced before, as well as during, the reporting period. In particular, some 3TGs used during the current reporting period may have been smelted, refined and/or manufactured by a supplier (pursuant to a contract with us to manufacture) prior to January 1, 2014. However, the RCOI and supply chain due diligence we conducted for this reporting cycle did not exclude such materials. Accordingly, our due diligence and this CMR may include products containing necessary conflict minerals whose manufacture (and/or smelting/refining in the case of unprocessed materials) may have occurred prior to January 1, 2014 (the beginning of the reporting period) even though the Rule requires only that we report on such products whose manufacture was completed in 2014.
Nortek’s Supply Chain
We are dependent upon raw materials and components, and in some cases finished products, purchased from other manufacturers or suppliers. These materials and components include, among others, steel, electronics, motors, plastics, compressors, printed circuit boards, electrical components, microprocessors, batteries, and paint, as well as standard nuts, bolts and fasteners, all of which we purchase from third parties and some of which may contain one or more 3TGs. As a result, we have a large supply base, with many suppliers unique to each of our individual business segment’s requirements. Due to the complex nature of our business, our segments may manufacture in-house or contract with third parties to manufacture specific components that we then incorporate into our end products. Because of our size, the complexity of our products, and the depth and breadth of our supply chain, it has been difficult to identify the smelters/refiners and other potential sourcing beyond our immediate, direct suppliers. As a downstream purchaser of conflict minerals and/or components containing such conflict minerals, we are many steps removed from the smelters or refiners (“SOR”) that originally processed the ores or other materials containing the 3TGs ultimately included in our final products.
1. Due Diligence (DD) Process
1.1 Design of Due Diligence
We have designed our due diligence framework -- which we refer to in this Report as our CM Program framework -- to conform to the criteria set forth in the “OECD Due Diligence Guidance”, as applicable to downstream companies.
Summarized below are the design components of our conflicts mineral program as it relates to the five-step framework reflected in the OECD Due Diligence Guidance:
Establish strong company management systems:
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| • | Our Conflict Mineral Policy (“CM Policy”), which is publicly available on our website at www.nortek.com under “Corporate Governance” on the “Investors” portion of our website. |
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| • | Operate an internal Conflict Minerals Steering Committee consisting of executive-level representatives who report directly to the Chief Executive Officer (“Steering Committee”), as well as a select group of Nortek employees which includes representatives from procurement, risk management, legal, and finance. This team is tasked to ensure that there is a clear understanding on the part of all responsible personnel with respect to the background and policy underpinnings of the Rule, provide the group with an understanding of the requirements of the Rule, and set the foundation to enable us to manage the complexities of compliance with the Rule on an ongoing basis. |
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| • | Use the Conflict Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”), which was developed under the OECD Due Diligence Guidance, to request from selected suppliers relevant source information (i.e., 3TG content, country of origin, and SOR facilities) regarding products (including components) or materials purchased by Nortek that may contain necessary conflict minerals. |
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| • | Incorporate requirements related to conflict minerals in our standard supplier agreement to ensure that our suppliers (and sub-tier suppliers) comply with our conflict mineral requirements and participate in the annual survey process. |
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| • | Maintain records pertaining to the conflict minerals program to support audit compliance for a minimum of a five year period. |
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| • | Provide suppliers access to the established grievance mechanism at: ethics@nortek.com or our hotline at 888-475-6620. Our employees may report concerns directly to nortek.silentwhistle.com. |
Identify & Assess Risk in the Supply Chain
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| • | Conduct a supply chain survey of those suppliers identified in the 2014 Supplier Population (as this term is defined in Section 1.2, below) using the CMRT. |
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| • | Follow up with direct suppliers that did not respond to the survey request to obtain sourcing and smelter information for Nortek’s products, as part of our risk management plan. |
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| • | Compare SORs identified in supplier responses against the list of facilities that are participating in the Conflict Free Smelter Program (“CFSP”), and check whether other SORs that do not appear on this list are identified by other reputable sources such as the U.S. Department of Commerce. |
Design & Implement a Strategy to Respond to Risks
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| • | Implement the risk mitigation process defined in our CM Program framework to identify and follow up with direct suppliers that are not meeting the CM Policy, as discussed further below in Section 1.2 of this CMR. |
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| • | Provide metrics to the Steering Committee summarizing our program’s progress and risk mitigation efforts on a quarterly basis. |
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| • | Negotiate supply agreements with our suppliers to ensure alignment with our CM Policy. In addition, contracts up for renewal or amendment were modified to include the requirements relating to the conflict minerals program. |
Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices
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| • | Rely on the publicly-available results of the CFSP third-party audits to validate the responsible sourcing practices of processing facilities in our supply chain. |
Report on Supply Chain Due Diligence
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| • | Post our CM Policy on our company website at www.nortek.com under “Corporate Governance” on the “Investors” portion of our website |
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| • | Publicly report on our due diligence efforts in the annual SEC filing of our Form SD and CMR. Post the Form SD and Conflict Minerals Report on our website. |
1.2 Due Diligence Measures Performed and Results
Request Information from a Representative Sample of Direct Suppliers in 2014
During this second year of compliance with the Rule, we continued to target the “highest-risk” areas of our supply chain which we could reasonably expect to include conflict minerals. The following measures were performed during the reporting period to satisfy both our RCOI and due diligence obligations relating to the source and chain of custody of the necessary conflict minerals contained in our products, in an effort to determine whether they may have originated from the Covered Countries and did not come from recycled or scrap sources:
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| • | Surveyed 111 direct suppliers within the “highest risk” areas of our supply chain, as noted above, which we defined as Nortek’s “2014 Supplier Population” for survey purposes. Fifty- six of the direct suppliers represented approximately 49% of spend across the organization. We also covered based on three specific customers’ requests, all the in-scope suppliers who provided parts, components or products with necessary conflict minerals for the following product lines: Ceiling Grid Systems, Air Handlers, Fan Filter Units, Blank Cans, and Face Screens; Notebook Display Stands and Charging Carts; Monitor Stands, All-in-One Stands and Mobile Computing Carts, which resulted in an additional fifty-five suppliers being surveyed. |
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| • | Used an Excel macro tool developed by a third-party vendor to review the responses against red flag criteria established within the macro, in order to identify areas of heightened risk of noncompliance. These criteria included incomplete responses as well as inconsistencies within the data reported in the Template. |
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| • | Followed up with the direct suppliers who either did not respond to our survey request or, based upon the results identified in the macro tool, provided incomplete or potentially inaccurate information to seek additional clarifying information. |
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| • | Compared smelters and refiners identified in the supplier survey responses against the list of facilities that have received a “Compliant” or “Active” designation from the CFSP or other independent third-party audit program. |
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| • | Implemented a risk mitigation response plan to monitor and track suppliers that actually or potentially did not meet the requirements set forth in our CM Policy or contractual requirements. |
2. Supply Chain Survey Responses
We received some level of response from approximately 75% of the Supplier Population surveyed for calendar year 2014, which represents a decrease of two percentage points from the prior year’s response rate of approximately 77%. This drop may be partially due to the fact that we surveyed smaller suppliers and/or suppliers outside the United States who are not subject to the Rule and its obligations. There were 21 suppliers who did not respond, even after multiple email reminders from us that their survey response was required. There were 12 suppliers who did respond but provided either incomplete information or their response contained one or more red flags. We followed up with a majority of these suppliers if we believed that they may have provided a specific response in error, requesting that they provide revised responses. If the supplier had additional information or was able to correct discrepancies, it provided updated information. As this is only the second year of compliance with the Rule, many of our suppliers, who are not themselves subject to the “Rule”, have indicated via their CMRT declaration that they are still in process of establishing their own due diligence procedures and gathering SOR and other information. In fact, several suppliers have indicated they are less than 25% complete in their surveying of their own suppliers, which may suggest that many of Nortek’s upstream suppliers are facing the same challenges as Nortek. The results information presented below represents the information provided by our suppliers as of April 1, 2015.
Based on our direct suppliers’ responses to our survey and follow-up inquiries, we have reason to believe that some of the necessary conflict minerals used in our products may have originated in the covered countries, but we have not identified any instances in which our sourcing of necessary conflict minerals directly or indirectly financed or benefitted armed groups in the covered countries.
Some of the necessary conflict minerals contained in our Covered Products could be traced to various smelters and refineries designated as “Compliant” or “Active” by well-respected industry groups whose lists were compiled on the basis of their application of a third-party supply chain audit process developed under the auspices of the OECD Due Diligence Guidance. These lists are maintained and published on the Conflict-Free Sourcing Initiative (“CFSI”) website: http://www.conflictfreesourcing.org/conflict-free-smelter-refiner-lists/; with oversight by the CFSI.
The table below provides a summary of the smelters/refiners disclosed by our suppliers. We are listing those processing facilities in the tables at the end of this Report (in Appendix 1) that have been included in the CFSI list.
For a list of smelters or refineries, reference Appendix 1.
Supplier Survey Smelter/Refiner Results
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| Metal | Identified by Suppliers | Listed by CFSI as “Compliant”* | Listed by CFSI as Active*+ |
| Tin | 49 | 29 | 8 |
| Tantalum | 30 | 28 | 0 |
| Tungsten | 22 | 7 | 0 |
| Gold | 104 | 63 | 7 |
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| * | The Compliant and Active Smelters and Refiners as identified per the CFSI website http://www.conflictfreesourcing.org/conflict-free-smelter-refiner-lists/ as of April 13, 2015. |
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| + | Active Smelters & Refiners have committed to undergo a CFSP audit. Smelters and refiners are identified as Active in the Conflict-Free Smelter Program once they submit signed Agreement for the Exchange of Confidential Information (AECI) and Auditee Agreement contracts. This is the first step of the audit process. The number of smelters identified above is only based on the CFSI standard smelter list. |
3. Risk Mitigation - Efforts to Improve Due Diligence for 2015 and Beyond
We intend to continue taking the following steps in 2015 (and beyond, as necessary or appropriate) to improve upon and enhance the due diligence conducted for 2014, to further mitigate any risk that the necessary conflict minerals in our Covered Products could benefit armed groups in the Covered Countries:
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| • | Continue to include a conflict minerals flow-down requirement in all new or renewed supplier agreements, which our direct suppliers must push down to their sub-suppliers via insertion in their agreements. |
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| • | Continue to expand our supplier population surveyed to increase our response rate and gather more smelter and refinery data. |
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| • | With respect to the OECD Due Diligence Guidance requirement to strengthen engagement with suppliers, we have developed a specific conflict minerals supplier training package that will provide our suppliers with an overview of our conflict minerals program and outline the requirements, commitment and expectations they must satisfy to help us meet our due diligence obligations under the Rule. |
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| • | Provide training resources to our suppliers to support a higher response rate with improved content, as well as encourage their sourcing from conflict-free smelters or refiners. |
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| • | Engage trade associations and other conflict free initiatives to define and incorporate best practices into our conflict minerals program. |
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| • | Operationalize a Nortek conflict minerals compliance playbook for appropriate personnel which (a) provides an overview of the Dodd-Frank Wall Street Reform Act Section 1502 and SEC requirements; (b) outlines Nortek’s compliance requirements; and (c) ensures that Nortek has a consistent approach across all business segments/units and training throughout Nortek’s businesses. |
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| • | In 2015, our online supplier portal will be available to push out requests to Nortek suppliers and collect their conflict mineral surveys resulting in a more efficient collection of data. |
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| • | As part of our CM Program framework, we will follow our “potential escalation procedures” framework to determine, based on severity of action (i.e., no response, incomplete response, poor due diligence and not found to be DRC conflict free), what escalation procedure is required with respect to a particular supplier. Escalation procedures range from email to supplier point of contact to reduction in spend and selecting an alternative source, depending on the type/severity of the problem(s) detected and priority-level of supplier (depending for example, on the amount of products purchased, etc.). |
Forward-Looking Disclosure
This Conflict Minerals Report contains forward-looking statements regarding our business, products and conflict minerals efforts, including steps we intend to take to mitigate the risk that conflict minerals in our products benefit armed groups, and our industry’s conflict minerals efforts. Words such as “expects,” “anticipates,” “intends,” “believes” and similar expressions or variations of such words are intended to identify forward-looking statements, but are not the exclusive means of identifying forward-looking statements in this Report. Additionally, statements concerning future matters that are not historical are forward-looking statements.
APPENDIX 1
Some of our direct supplier responses represented their supply chain at a company-level rather than being product-specific. As such, our list of processing facilities disclosed in this Report may contain more facilities than those that actually process the necessary conflict minerals contained in our Covered Products.
We requested country of origin information (if known) from each of our direct suppliers, most of which do not source directly from processing facilities, for the purposes of determining the source and chain of custody of the necessary conflict minerals in our supply chain.
At this time, we are listing only those processing facilities in the tables at the end of this Report that have been included in publicly available lists prepared by the CFSI (“CFSI-Listed Facilities”). Although some suppliers in our 2014 Supplier Population who responded to our survey identified what they designated smelters or refiners that did not appear among the CFSI Listed Facilities, we were unable to confirm independently (e.g., through the Department of Commerce supplier list and other third-party information sources) that these entities in fact were operating conflict free minerals processing facilities during calendar year 2014. Accordingly, there is no reasonable basis in our view for concluding that these additional entities are “known” within the meaning of the Rule, and therefore subject to identification in this Report. For the same reasons, we believe that identification of these entities as smelters or refiners would be materially misleading to investors.
Those rows identified with a * below reflect Compliant Smelters and Refiners identified on the CFSI website as of April 13, 2015; respectively, the rows identified with a + below reflect smelters and refiners which have committed to undergo an audit sponsored by CFSI, and are listed by CFSI as “Active”.
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| Gold | Aida Chemical Industries Co. Ltd.* | JAPAN | CID000019 |
| Gold | Allgemeine Gold- und Silberscheideanstalt A.G.* | GERMANY | CID000035 |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 |
| Gold | AngloGold Ashanti Mineração Ltda* | BRAZIL | CID000058 |
| Gold | Argor-Heraeus SA* | SWITZERLAND | CID000077 |
| Gold | Asahi Pretec Corporation* | JAPAN | CID000082 |
| 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 | Bauer Walser AG | GERMANY | CID000141 |
| Gold | Boliden AB* | SWEDEN | CID000157 |
| Gold | C. Hafner GmbH + Co. KG* | GERMANY | CID000176 |
| Gold | Caridad | MEXICO | CID000180 |
| Gold | CCR Refinery – Glencore Canada Corporation* | CANADA | CID000185 |
| Gold | Cendres & Métaux SA+ | SWITZERLAND | CID000189 |
| Gold | Chimet S.p.A.* | ITALY | CID000233 |
| Gold | China National Gold Group Corporation | CHINA | CID000242 |
| Gold | Chugai Mining | JAPAN | CID000264 |
| Gold | Colt Refining | UNITED STATES | CID000288 |
| Gold | Daejin Indus Co. Ltd | KOREA, REPUBLIC OF | CID000328 |
| Gold | Daeryoung ENC | KOREA, REPUBLIC OF | CID000333 |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 |
| Gold | Do Sung Corporation | KOREA, REPUBLIC OF | CID000359 |
| Gold | Doduco+ | GERMANY | CID000362 |
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| Gold | Dowa* | JAPAN | CID000401 |
| Gold | Eco-System Recycling Co., Ltd.* | JAPAN | CID000425 |
| Gold | FSE Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 |
| Gold | Gansu Seemine Material Hi-Tech Co Ltd | CHINA | CID000522 |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 |
| Gold | Heimerle + Meule GmbH* | GERMANY | CID000694 |
| Gold | Heraeus Ltd. Hong Kong* | HONG KONG | CID000707 |
| Gold | Heraeus Precious Metals GmbH & Co. KG* | GERMANY | CID000711 |
| Gold | Hunan Chenzhou Mining Industry Group | CHINA | CID000767 |
| Gold | Hwasung CJ Co. Ltd | KOREA, REPUBLIC OF | CID000778 |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | CHINA | CID000801 |
| 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 |
| Gold | JSC Uralectromed* | RUSSIAN FEDERATION | CID000929 |
| Gold | JX Nippon Mining & Metals Co., Ltd* | JAPAN | CID000937 |
| Gold | Kazzinc Ltd* | KAZAKHSTAN | CID000957 |
| Gold | Kennecott Utah Copper LLC* | UNITED STATES | CID000969 |
| Gold | Kojima Chemicals Co. Ltd* | JAPAN | CID000981 |
| Gold | Korea Metal Co. Ltd | KOREA, REPUBLIC OF | CID000988 |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 |
| Gold | L' azurde Company For Jewelry* | SAUDI ARABIA | CID001032 |
| Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | CHINA | CID001058 |
| Gold | LS-NIKKO Copper Inc.* | KOREA, REPUBLIC OF | CID001078 |
| Gold | Luoyang Zijin Yinhui Metal Smelt Co Ltd | CHINA | CID001093 |
| Gold | Materion Advanced Metals* | UNITED STATES | CID001113 |
| Gold | Matsuda Sangyo Co., Ltd.* | JAPAN | CID001119 |
| Gold | Metalor Technologies (Hong Kong) Ltd.* | HONG KONG | CID001149 |
| Gold | Metalor Technologies (Singapore) Pte. Ltd.* | SINGAPORE | CID001152 |
| Gold | Metalor Technologies Switzerland SA* | SWITZERLAND | CID001153 |
| Gold | Metalor USA Refining Corporation* | UNITED STATES | CID001157 |
| Gold | Met-Mex Peñoles, S.A.* | MEXICO | CID001161 |
| Gold | Mitsubishi Materials Corporation* | JAPAN | CID001188 |
| Gold | Mitsui Mining and Smelting Co., Ltd.* | JAPAN | CID001193 |
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş.* | TURKEY | CID001220 |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 |
| Gold | Nihon Material Co. LTD* | JAPAN | CID001259 |
| Gold | Ohio Precious Metals LLC.* | UNITED STATES | CID001322 |
| Gold | Ohura Precious Metal Industry Co., Ltd* | JAPAN | CID001325 |
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)* | RUSSIAN FEDERATION | CID001326 |
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| Gold | OJSC Kolyma Refinery | RUSSIAN FEDERATION | CID001328 |
| Gold | PAMP SA* | SWITZERLAND | CID001352 |
| Gold | Penglai Penggang Gold Industry Co Ltd | CHINA | CID001362 |
| 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 | Royal Canadian Mint* | CANADA | CID001534 |
| Gold | Sabin Metal Corp.+ | UNITED STATES | CID001546 |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | CID001562 |
| Gold | Schone Edelmetaal* | NETHERLANDS | CID001573 |
| Gold | SEMPSA Joyeria Plateria SA* | SPAIN | CID001585 |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd* | CHINA | CID001622 |
| Gold | So Accurate Group, Inc. | UNITED STATES | CID001754 |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals+ | RUSSIAN FEDERATION | CID001756 |
| Gold | Solar Applied Materials Technology Corp.* | TAIWAN | CID001761 |
| Gold | Sumitomo | CHINA | CID001798 |
| Gold | Sumitomo Metal Mining Co., Ltd.* | JAPAN | CID001798 |
| Gold | Tanaka Kikinnzoku Kogyo K.K.* | JAPAN | CID001875 |
| Gold | The Great Wall Gold and Silver Refinery of China | CHINA | CID001909 |
| Gold | The Perth Mint | AUSTRALIA | CID002030 |
| Gold | The Refinery of Shandong Gold Mining Co. Ltd* | CHINA | CID001916 |
| Gold | Tokuriki Honten Co., Ltd* | JAPAN | CID001938 |
| Gold | TongLing Nonferrous Metals Group Holdings Co;Ltd | CHINA | CID001947 |
| Gold | Torecom+ | KOREA, REPUBLIC OF | CID001955 |
| 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 | Yunnan Copper Industry Co Ltd | CHINA | CID000197 |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation* | CHINA | CID002224 |
| Gold | Zijin Mining Group Co. Ltd* | CHINA | CID002243 |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd.* | CHINA | CID000211 |
| Tantalum | Conghua Tantalum and Niobium Smeltry* | CHINA | CID000291 |
| Tantalum | Duoluoshan* | CHINA | CID000410 |
| Tantalum | Exotech Inc.* | UNITED STATES | CID000456 |
| Tantalum | F&X Electro-Materials Ltd.* | CHINA | CID000460 |
| Tantalum | Global Advanced Metals (Cabot) | UNITED STATES | CID000564 |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | CHINA | CID000616 |
| Tantalum | H.C. Starck Group* | GERMANY | CID000654 |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | CHINA | CID000616 |
| Tantalum | Hi-Temp* | UNITED STATES | CID000731 |
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| Tantalum | JiuJiang JinXin Nonferrous Metals Co. Ltd.* | CHINA | CID000914 |
| Tantalum | JiuJiang Tanbre Co. Ltd.* | CHINA | CID000917 |
| Tantalum | Kemet Blue Powder* | UNITED STATES | CID000963 |
| Tantalum | King-Tan Tantalum Industry Ltd* | CHINA | CID000973 |
| Tantalum | LSM Brasil S.A.* | BRAZIL | CID001076 |
| Tantalum | Metallurgical Products India (Pvt.) Ltd.* | INDIA | CID001163 |
| Tantalum | Mineracao 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* | AUSTRIA | CID001368 |
| Tantalum | QuantumClean* | UNITED STATES | CID001508 |
| Tantalum | RFH Tantalum Smeltry Co., Ltd* | CHINA | CID001522 |
| Tantalum | Shanghai Jiangxi Metals Co. Ltd | CHINA | CID001634 |
| Tantalum | Solikamsk Metal Works* | RUSSIAN FEDERATION | CID001769 |
| Tantalum | Taki Chemical* | JAPAN | CID001869 |
| Tantalum | Tantalite Resources* | SOUTH AFRICA | CID001879 |
| Tantalum | Telex* | UNITED STATES | CID001891 |
| Tantalum | Ulba* | KAZAKHSTAN | CID001969 |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd* | CHINA | CID002037 |
| Tantalum | Zhuzhou Cement Carbide* | CHINA | CID002232 |
| Tantalum | Alpha* | UNITED STATES | CID000292 |
| Tin | China Rare Metal Materials Company | CHINA | CID000244 |
| Tin | China Tin Group Co., Ltd+ | CHINA | CID001070 |
| Tin | CNMC (Guangxi) PGMA Co. Ltd. | CHINA | CID000278 |
| Tin | Cooper Santa | BRAZIL | CID000295 |
| Tin | CV Serumpun Sebalai | INDONESIA | CID000313 |
| Tin | CV United Smelting | INDONESIA | CID000315 |
| Tin | EM Vinto* | BOLIVIA | CID000438 |
| Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 |
| Tin | Fenix Metals+ | POLAND | CID000468 |
| Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd.* | CHINA | CID000538 |
| Tin | Gejiu Zi-Li | CHINA | CID000555 |
| Tin | Huichang Jinshunda Tin Co. Ltd | CHINA | CID000760 |
| Tin | Jiangxi Nanshan | CHINA | CID000864 |
| Tin | Kai Unita Trade Limited Liability Company | CHINA | CID000942 |
| Tin | Linwu Xianggui Smelter Co | CHINA | CID001063 |
| Tin | Magnu's Minerals Metais e Ligas LTDA* | BRAZIL | CID002468 |
| Tin | Malaysia Smelting Corporation (MSC)* | MALAYSIA | CID001105 |
| Tin | Melt Metais e Ligas S/A* | BRAZIL | CID002500 |
| Tin | Metallo Chimique* | BELGIUM | CID001143 |
| Tin | Mineração Taboca S.A.* | BRAZIL | CID001173 |
| Tin | Minmetals Ganzhou Tin Co. Ltd. | CHINA | CID001179 |
| Tin | Minsur* | PERU | CID001182 |
| Tin | Mitsubishi Materials Corporation* | JAPAN | CID001191 |
| Tin | NGHE Tin Nonferrous Metal+ | VIETNAM | CID002573 |
|
| | | |
| Tin | Novosibirsk Integrated Tin Works | RUSSIAN FEDERATION | CID001305 |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.+ | Thailand | CID001314 |
| Tin | OMSA | BOLIVIA | CID001337 |
| Tin | PT Artha Cipta Langgeng+ | INDONESIA | CID001399 |
| Tin | PT Babel Inti Perkasa* | INDONESIA | CID001402 |
| Tin | PT Bangka Putra Karya* | INDONESIA | CID001412 |
| 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 DS Jaya Abadi* | INDONESIA | CID001434 |
| Tin | PT Eunindo Usaha Mandiri* | INDONESIA | CID001438 |
| Tin | PT Karimun Mining+ | INDONESIA | CID001448 |
| Tin | PT Mitra Stania Prima* | INDONESIA | CID001453 |
| Tin | PT Prima Timah Utama* | INDONESIA | CID001458 |
| Tin | PT Refined Banka Tin* | INDONESIA | CID001460 |
| Tin | PT Sariwiguna Binasentosa* | INDONESIA | CID001463 |
| Tin | PT Stanindo Inti Perkasa* | INDONESIA | CID001468 |
| Tin | PT Sumber Jaya Indah+ | INDONESIA | CID001471 |
| Tin | PT Tambang Timah | INDONESIA | CID001477 |
| Tin | PT Timah (Persero), Tbk* | INDONESIA | CID001482 |
| Tin | PT Tinindo Inter Nusa* | INDONESIA | CID001490 |
| Tin | Rui Da Hung+ | TAIWAN | CID001539 |
| Tin | Soft Metals Ltda+ | BRAZIL | CID001758 |
| Tin | Thaisarco* | THAILAND | CID001898 |
| Tin | White Solder Metalurgia e Mineracao Ltda* | BRAZIL | CID002036 |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd+ | CHINA | CID002158 |
| Tin | Yunnan Tin Company, Ltd* | CHINA | CID002180 |
| Tin | ALMT* | CHINA | CID000004 |
| Tin | China Minmetals Nonferrous Metals Co Ltd* | China | CID002513 |
| Tungsten | China National Nonferrous Metals Imp. & Exp. Jiangxi Corporation Ltd. | CHINA | CID002317 |
| Tungsten | Chongyi Zhangyuan Tungsten Co Ltd* | CHINA | CID000258 |
| Tungsten | Dayu Welliang Tungsten Co., Ltd.* | CHINA | CID000345 |
| Tungsten | Fujian Jinxin Tungsten Co. Ltd* | CHINA | CID000499 |
| Tungsten | Ganzhou Grand Sea W & Mo Group Co Ltd | CHINA | CID002494 |
| Tungsten | Ganzhou Hongfei Tungsten & Molybdenum Materials Co., Ltd. | CHINA | CID000875 |
| Tungsten | Ganzhou Huaxing Tungsten* | CHINA | CID000875 |
| Tungsten | Ganzhou Nonferrous Metals smelting Co Ltd.* | CHINA | CID000868 |
| Tungsten | Ganzhou Seadragon W&Mo Co Ltd* | CHINA | CID002494 |
| Tungsten | Global Tungsten & Powders Corp* | UNITED STATES | CID000568 |
| Tungsten | HC Starck GmbH* | GERMANY | CID000693 |
| Tungsten | Hunan Chenzhou Mining Group Co* | CHINA | CID000766 |
| Tungsten | Hunan Chun-chang Non-ferrous Smelting & Concentrating Co., Ltd.* | CHINA | CID000769 |
| Tungsten | Japan New Metals Company* | JAPAN | CID000825 |
| Tungsten | Jiangxi Tungsten Industry Co Ltd | CHINA | CID002317 |
| Tungsten | Kennametal Inc.* | UNITED STATES | CID000966 |
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| | | |
| Tungsten | Tejing (Vietnam) Tungsten Co Ltd* | VIET NAM | CID001889 |
| Tungsten | Wolfram Bergbau und Hütten AG* | AUSTRIA | CID002044 |
| Tungsten | Wolfram Company CJSC* | RUSSIAN FEDERATION | CID002047 |
| Tungsten | Xiamen Tungsten Co Ltd* | CHINA | CID002320 |
| Tungsten | Zhuzhou Cemented Carbide Group Co Ltd | CHINA | CID002236 |
