Exhibit 1.01
VeriFone Systems, Inc.
Conflict Minerals Report
This Conflict Minerals Report of VeriFone Systems, Inc. (“Verifone”, “we or “us”) for the calendar year ended December 31, 2016 is presented in compliance with Rule 13p-1 under the Securities Exchange Act of 1934.
Introduction and Company Overview
VeriFone Systems, Inc. (“Verifone”, “we” or “us”) is a global leader in secure electronic payment solutions at the point of sale. We design, manufacture and sell electronic point of sale terminals and pin pads, and related accessories and peripheral equipment (collectively the “Products”). We also sell complementary solutions and services that enable secure electronic payment transactions and value-added services at the point of sale. The manufacture of our point of sale terminals and pin pads, and related accessories and peripheral equipment, is outsourced to third party contract manufacturers.
Pursuant to the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, (the “Dodd-Frank Act”), certain public companies, including us, are required to provide disclosures about the use of specified conflict minerals originating from the Democratic Republic of the Congo (the “DRC”) or any of the nine adjoining countries, (together with the DRC, the “Covered Countries”). The term “conflict minerals” is defined as: (A) columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten; or (B) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo or an adjoining country. For purposes of this Specialized Disclosure Report on Form SD and the accompanying Conflict Minerals Report, we refer to tin, tantalum, tungsten and gold as the “3TG”.
In August 2012, the Securities and Exchange Commission (“SEC”) issued Rule 13p-1 of the Securities Exchange Act of 1934, as amended (“Rule 13p-1”), to implement the reporting and disclosure requirements related to conflict minerals imposed by the Dodd-Frank Act. Under Rule 13p-1, we, like other U.S. public companies, are first required to determine whether our manufactured products contain any of the 3TG and whether, for each product, such minerals are necessary to: (i) the functionality of the manufactured product and (ii) the production process of the manufactured product. If so, we are further required to conduct a reasonable country of origin inquiry (“RCOI”) into the origin of 3TG used in our products and determine whether the 3TG may have originated from any of the Covered Countries, or are from recycled or scrap sources. If we are unable to determine based on our RCOI that the 3TG are not from a Covered Country or are from recycled or scrap sources, then we must additionally exercise due diligence to determine the source and chain of custody of the 3TG.
For calendar year 2016, we determined that conflict minerals are necessary to the functionality or production of our Products and, accordingly, conducted a reasonable country of origin inquiry (“RCOI”) as described in this Conflict Minerals Report.
Due diligence over conflict minerals source and chain of custody
Verifone’s due diligence framework tracks in all material respects the recommendations set forth in “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas” developed by the Organization for Economic Cooperation and Development (“OECD”).
The OECD guidance is an internationally recognized due diligence framework designed to help companies develop a system to avoid contributing to armed conflict through their mineral or metal purchasing decisions and practices. It includes a five-step framework that can be used to create a responsible supply chain, including (1) establishing a management system, (2) identifying and assessing risks in the supply chain, (3) designing and implementing a strategy to respond to identified risks, (4) supporting the development and implementation of independent third-party audits of smelters/refiners’ sourcing, and (5) publicly reporting on supply chain practices and due diligence.
We use this framework to conduct due diligence if we are unable to determine that the 3TG in the materials supplied for our Products are conflict-free based on information gathered from our suppliers and verified using shared industry information. We formalized this framework into a written program document and continue to incorporate the guidance into our existing business processes and procedures. Our goal is to maintain a program that meaningfully and effectively supports our conflict minerals objectives.
Our due diligence framework consists of the five components as identified in the OECD guidance and described below:
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| 1. | Internal management system for Conflict Minerals. |
The following Conflict Minerals Statement sets forth our basic philosophy and objectives with respect to conflict minerals in our supply chain:
Verifone is committed to being a responsible corporate citizen in its sourcing and procurement activities. We believe that if each company does its part, enormous strides can be made in responsible sourcing. We support government and industry initiatives for responsible sourcing. We remain committed to responsible sourcing and it is our policy to seek to avoid the use of conflict minerals purchased from sources that finance or benefit armed groups who commit human rights abuses in the Democratic Republic of the Congo and adjoining countries, and avoid contributing to conflict in our sourcing and procurement practices. We expect our suppliers to exercise due diligence to reasonably assure that any Conflict Minerals in the parts or components provided to Verifone do not directly or indirectly finance or benefit such armed conflict. We also expect our suppliers to provide information in support of our due diligence efforts and to support our goals for conflict-free sourcing.
These objectives are supported and managed by a cross-functional conflict minerals committee. The committee is comprised of subject matter experts from key departments, including supply chain, procurement, quality control, engineering and legal. The committee meets weekly to monitor program status, recommend and implement program improvements and maintain open lines of communication with executive management and other stakeholders. Corporate oversight of the program is provided by the Chief Operations Officer, General Counsel, Vice President of Strategy and Operations, and the Chief Procurement Officer. The committee provides updates and an annual program briefing to the executive sponsors.
The committee has primary responsibility for designing and maintaining Verifone’s system of controls and transparency over the supply chain. Key elements of the program include, but are not limited to:
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| • | Supplier Engagement and Communication: We incorporate conflict mineral provisions in our supplier agreements and supplier qualification process. Suppliers included in our annual conflict minerals assessment are sent a formal letter that communicates our program objectives and expectations, including cooperation in providing relevant data and supporting our due diligence. In an effort to improve communication with our suppliers, we included additional information on responsible sourcing and links to resources and training available from the Conflict-Free Sourcing Initiative (CFSI). Again this year, we sent targeted communications to suppliers during data collection and due diligence efforts. In 2016, we also adopted a new Supplier Code of Conduct that includes responsible sourcing and conflict minerals. We will continue to evaluate ways to improve supplier engagement and communications. |
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| • | Smelter/Refiner Identification: Verifone’s ability to conclusively determine the country of origin and chain of custody of the 3TG in our supply chain remains limited. Our supply chain is global, multi-tiered and highly complex. Verifone is many tiers removed in the supply chain from the actual smelters, refineries and mines of origin for 3TG contained or used in the parts and components of our Products. Therefore, we must rely on our direct suppliers to help identify the upstream smelters/refiners of the 3TG in the supply chain. We use the standard Conflict Minerals Reporting Template (CMRT) developed and updated by CFSI to survey our direct suppliers. The CMRT facilitates the collection of information through the supply chain, including mineral country of origin and identification of recognized smelters and refiners. |
In order to facilitate our due diligence and supplier communication, we use a third party service provider with expertise in conflict minerals management to collect, maintain, analyze, monitor and categorize CMRT responses and supplier communications. This service enables us to better track and analyze our supply chain data and conduct our conflict minerals assessment. We also use the database and reports to better engage with our suppliers on information related to our supply chain.
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| • | Due Diligence: We participate in industry-wide efforts and use available resources to determine the status and obtain information on the smelters/refiners identified by our suppliers. This includes the Conflict- |
Free Smelters Program (CSFP) and other industry efforts recognized and cross-referenced by the CFSI, such as the London Bullion Metal Association (LBMA)..
We use and rely on industry information and resources, such as the audited and certified conflict-free smelters and refineries under the CFSP and RCOI data developed by CFSI. Given our position in the supply chain, use of shared data is the most effective way to validate the source of 3TG identified in our supply chain.
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| • | Grievance Mechanism: Verifone maintains a compliance hotline allowing interested persons to voice concerns regarding business practices, ethics or suspected or potential violations of our policies or laws. The hotline is included in our Supplier Code of Conduct, published on our webpage and available internally to all employees. We also include contact information and dedicated email address in our supplier communications should they have questions concerning our conflict minerals program. |
Our conflict minerals committee monitors the effectiveness of our internal management system and will continue to assess processes and procedures to support the objectives set out in our Conflict Minerals Statement.
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| 2. | Identifying and assessing risk in our supply chain. |
For 2016, we identified the direct suppliers of parts/components used in the manufacture of our products that may contain one or more of the 3TG. The identified direct suppliers were added to our service provider’s database and included in our 2016 conflict minerals assessment. Verifone issued a letter to each supplier included in the assessment along with the most recent version of the CMRT. The letter communicated the importance of our program, as well as, our expectation that suppliers will cooperate in the data collection, complete the CMRT and identify the smelters/refiners in the supply chain. With the goal of improving awareness in our supply chain, our letter included additional information on the resources, webinars and training available from CFSI.
To facilitate response rates, our service provider sent a series of outreach communications and reminders. Suppliers that did not respond after several communication attempts were automatically added to a monthly progress report. The conflict minerals committee reviewed the progress report and, where needed, reached out directly to the suppliers. . If no or inadequate response, the committee notified the relevant Verifone sourcing and supply team to work directly with the suppliers to obtain a completed CMRT. By leveraging the experience of our service provider and the analytics available through the computerized database, we were able to engage more frequently with our suppliers and to provide more targeted follow up communications.
Through these efforts, we exceeded our goal of receiving CMRT responses covering 90% of the parts and components included in our assessment and ultimately received CMRT responses covering 93%. Using the CMRT information, we then compiled a comprehensive list of the smelters and refiners identified and reported by our direct suppliers. We used the Smelter Reference List maintained and updated by CFSI to validate the information and identified 305
recognized smelters/refiners. We then evaluated these recognized smelters/refiners against the Reasonable Country of Origin Inquiry (RCOI) data and other resources maintained by CFSI. The RCOI database provides country of origin information for smelters/refiners and, according to CFSI, is the most detailed information currently available on source of 3TG.
We designed our processes to evaluate our supply chain using a risk-based approach. We use the CMRT information to guide our assessments and further due diligence efforts. For example, if a Covered Country is referenced in the CMRT or RCOI data, we review the CFSP list and other independent third party audit programs (e.g., LBMA). The CFSP uses independent third-party audits to identify smelters/refiners that have conflict minerals due diligence processes in place. We also review the smelters/refiner’s conflict minerals policy if published and available. Results of our risk assessment are maintained electronically.
Our conflict minerals committee continually assess the status of our conflict minerals program, including the identification of risks. The executive sponsors receive updates from committee members and an annual briefing that summarizes the results of our risk assessment and due diligence efforts.
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| 3. | Responding to risks in our supply chain. |
To monitor and respond to risks in our supply chain, we utilize the standard CMRT tool to collect relevant information and rely on available information provided through validation programs such as the CFSP and LBMA to determine the status of smelters and refineries.
Given our position in the supply chain, our ability to directly impact smelters/refiners upstream in our supply chain remains limited. As such, our risk mitigation efforts are focused on our direct suppliers and participation in third party audit programs as detailed below. For example, we work with our service provider to identify and directly engage non-responsive suppliers. Members of our conflict minerals committee conduct initial outreach and will engage senior leaders in sourcing and procurement to work directly with non-responsive suppliers as needed. As we continue to make improvements to our conflict minerals program, we implemented a new Supplier Code of Conduct , enhanced our supplier communications by including training and other resources and added conflict minerals information and compliance certifications in the selection of new direct suppliers. We will continue to provide updates to our executive sponsors and have implemented a written risk management plan in the event we identify an unacceptable risk in our supply chain.
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| 4. | Independent third-party audits of smelters/refiners’ sourcing. |
Verifone does not have direct relationships or contact with the upstream smelters or refineries in our supply chain. Due to our remote position in the supply chain and the diversity of the parts and components used in our products, we are not in a position to conduct on-site spot checks or audits of the smelters and refiners in our supply chain. Like similarly situated companies, we must rely on external audit programs, such as the Conflict Free Smelter Program (“CFSP”) to demonstrate RCOI and to validate smelter procurement and due diligence processes.
In support of the third party audit programs, we continue to improve communication with our direct suppliers, including flowing information upstream about the CFSP, available training resources and other information relevant to conflict minerals due diligence. The goal of these communications is to encourage our suppliers to support the CFSP and other industry efforts. We continue to support the CFSP through our membership in CFSI and participation in the smelter engagement and due diligence working groups.
Verifone files with the SEC a Form SD and this Conflict Minerals Report to describe to the public our due diligence efforts. This Conflict Minerals Report is also available on our website under our Investor Relations section at http://ir.verifone.com/. In 2017, we also published a new Social Responsibility page on our corporate webpage that includes information on our conflict minerals expectations and responsible sourcing efforts. We continue to evaluate ways to better communicate our responsible sourcing program and efforts with customers and the interested public.
Results of due diligence
As of the date of this Conflict Minerals Report, we received CMRT responses covering 93% of the parts and components included in our assessment. The responses from our suppliers included 305 smelters and refiners recognized on the Smelter Reference List maintained and updated by CFSI. We reviewed the recognized smelters/refiners against the Reasonable Country of Origin Inquiry (RCOI) data maintained by CFSI. The list provides country of origin information for smelters/refiners and, according to CFSI, is the most detailed information currently available on source of 3TG.
We further assessed whether the supplier has indicated that any of the 3TGs may have been sourced from the Covered Countries and utilized the information available through CFSI’s Conflict Free Smelter Program (CFSP) to conduct further diligence. The CFSP was developed by the Electronic Industry Citizenship Coalition (the “EICC”) and the Global E-Sustainability Initiative (“GeSI”) and provides an independent, third-party audit that determines which smelters and refiners can be validated as “conflict-free,” in line with current global standards. The CFSP list includes the status of smelters/refiners, including those that are compliant with CFSP assessment protocols and those that are active and committed to undergo CFSP audit or are participating a one of the cross-recognized programs (e.g., LBMA).
Of the 305 total CFSI recognized smelters/refiners identified by our suppliers, we found the following:
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| • | Approximately 79% were identified under the CFSP protocol as compliant; and |
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| • | Approximately 20% were identified under the CFSP protocol as a known smelter or refiner and categorized as: re-audit in process, active or otherwise have signed the CFSP’s agreements to exchange information and/or be audited under the CFSP, in communication with CFSP and/or a member company, outreach required or agreed to complete a CFSP validation by the TI-CMC within two years of membership. |
We will continue to monitor the status of these smelters and refiners through the shared RCOI and CFSP information provided to us as an active CFSI member. Based on our assessment, we do not have sufficient information to enable
us to determine the origin and/or conflict-free status. We have provided, as Appendix A hereto, a list of the recognized smelters/refiners identified by our suppliers that have an ID number assigned by CFSI.
As discussed above, we will continue to participate in industry efforts and to make improvements to our conflict minerals program by enhancing our internal processes and supplier communications, including encouraging our suppliers to work with their smelters to become compliant under the CFSP program.
Appendix A - Smelter List
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| Mineral | Smelter ID | Smelter Name | Country |
| Gold | CID000015 | Advanced Chemical Company | USA |
| Gold | CID000019 | Aida Chemical Industries Co., Ltd. | JAPAN |
| Gold | CID000035 | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY |
| Gold | CID000041 | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN |
| Gold | CID000058 | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL |
| Gold | CID000077 | Argor-Heraeus S.A. | SWITZERLAND |
| Gold | CID000082 | Asahi Pretec Corp. | JAPAN |
| Gold | CID000090 | Asaka Riken Co., Ltd. | JAPAN |
| Gold | CID000103 | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY |
| Gold | CID000113 | Aurubis AG | GERMANY |
| Gold | CID000128 | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES |
| Gold | CID000157 | Boliden AB | SWEDEN |
| Gold | CID000176 | C. Hafner GmbH + Co. KG | GERMANY |
| Gold | CID000180 | Caridad | MEXICO |
| Gold | CID000185 | CCR Refinery - Glencore Canada Corporation | CANADA |
| Gold | CID000189 | Cendres + Métaux S.A. | SWITZERLAND |
| Gold | CID000197 | Yunnan Copper Industry Co., Ltd. | CHINA |
| Gold | CID000233 | Chimet S.p.A. | ITALY |
| Gold | CID000264 | Chugai Mining | JAPAN |
| Gold | CID000328 | Daejin Indus Co., Ltd. | KOREA (REPUBLIC OF) |
| Gold | CID000343 | Daye Non-Ferrous Metals Mining Ltd. | CHINA |
| Gold | CID000359 | DSC (Do Sung Corporation) | KOREA (REPUBLIC OF) |
| Gold | CID000362 | DODUCO GmbH | GERMANY |
| Gold | CID000401 | Dowa | JAPAN |
| Gold | CID000425 | Eco-System Recycling Co., Ltd. | JAPAN |
| Gold | CID000493 | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION |
| Gold | CID000522 | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA |
| Gold | CID000651 | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA |
| Gold | CID000671 | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA |
| Gold | CID000694 | Heimerle + Meule GmbH | GERMANY |
| Gold | CID000707 | Heraeus Ltd. Hong Kong | CHINA |
| Gold | CID000711 | Heraeus Precious Metals GmbH & Co. KG | GERMANY |
| Gold | CID000767 | Hunan Chenzhou Mining Co., Ltd. | CHINA |
| Gold | CID000778 | HwaSeong CJ Co., Ltd. | KOREA (REPUBLIC OF) |
| Gold | CID000801 | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA |
| Gold | CID000807 | Ishifuku Metal Industry Co., Ltd. | JAPAN |
| Gold | CID000814 | Istanbul Gold Refinery | TURKEY |
| Gold | CID000823 | Japan Mint | JAPAN |
| Gold | CID000855 | Jiangxi Copper Co., Ltd. | CHINA |
| Gold | CID000920 | Asahi Refining USA Inc. | USA |
| Gold | CID000924 | Asahi Refining Canada Ltd. | CANADA |
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| Gold | CID000927 | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION |
| Gold | CID000929 | JSC Uralelectromed | RUSSIAN FEDERATION |
| Gold | CID000937 | JX Nippon Mining & Metals Co., Ltd. | JAPAN |
| Gold | CID000956 | Kazakhmys Smelting LLC | KAZAKHSTAN |
| Gold | CID000957 | Kazzinc | KAZAKHSTAN |
| Gold | CID000969 | Kennecott Utah Copper LLC | UNITED STATES |
| Gold | CID000981 | Kojima Chemicals Co., Ltd. | JAPAN |
| Gold | CID001029 | Kyrgyzaltyn JSC | KYRGYZSTAN |
| Gold | CID001032 | L'azurde Company For Jewelry | SAUDI ARABIA |
| Gold | CID001056 | Lingbao Gold Co., Ltd. | CHINA |
| Gold | CID001058 | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA |
| Gold | CID001078 | LS-NIKKO Copper Inc. | KOREA (REPUBLIC OF) |
| Gold | CID001093 | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA |
| Gold | CID001113 | Materion | USA |
| Gold | CID001119 | Matsuda Sangyo Co., Ltd. | JAPAN |
| Gold | CID001147 | Metalor Technologies (Suzhou) Ltd. | CHINA |
| Gold | CID001149 | Metalor Technologies (Hong Kong) Ltd. | CHINA |
| Gold | CID001152 | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE |
| Gold | CID001153 | Metalor Technologies S.A. | SWITZERLAND |
| Gold | CID001157 | Metalor USA Refining Corporation | UNITED STATES |
| Gold | CID001161 | Metalúrgica Met-Mex Peñoles S.A. De C.V. | MEXICO |
| Gold | CID001188 | Mitsubishi Materials Corporation | JAPAN |
| Gold | CID001193 | Mitsui Mining and Smelting Co., Ltd. | JAPAN |
| Gold | CID001204 | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION |
| Gold | CID001220 | Nadir Metal Rafineri San. Ve Tic. A.ª. | TURKEY |
| Gold | CID001236 | Navoi Mining and Metallurgical Combinat | UZBEKISTAN |
| Gold | CID001259 | Nihon Material Co., Ltd. | JAPAN |
| Gold | CID001322 | Elemetal Refining, LLC | USA |
| Gold | CID001325 | Ohura Precious Metal Industry Co., Ltd. | JAPAN |
| Gold | CID001326 | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION |
| Gold | CID001352 | PAMP S.A. | SWITZERLAND |
| Gold | CID001362 | Penglai Penggang Gold Industry Co., Ltd. | CHINA |
| Gold | CID001386 | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION |
| Gold | CID001397 | PT Aneka Tambang (Persero) Tbk | INDONESIA |
| Gold | CID001498 | PX Précinox S.A. | SWITZERLAND |
| Gold | CID001512 | Rand Refinery (Pty) Ltd. | SOUTH AFRICA |
| Gold | CID001534 | Royal Canadian Mint | CANADA |
| Gold | CID001546 | Sabin Metal Corp. | USA |
| Gold | CID001555 | Samduck Precious Metals | KOREA (REPUBLIC OF) |
| Gold | CID001562 | SAMWON METALS Corp. | KOREA (REPUBLIC OF) |
| Gold | CID001573 | Schone Edelmetaal B.V. | NETHERLANDS |
| Gold | CID001585 | SEMPSA Joyería Platería S.A. | SPAIN |
| Gold | CID001619 | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA |
| Gold | CID001622 | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA |
| Gold | CID001736 | Sichuan Tianze Precious Metals Co., Ltd. | CHINA |
| Gold | CID001754 | So Accurate Group, Inc. | USA |
| Gold | CID001761 | Solar Applied Materials Technology Corp. | TAIWAN |
| Gold | CID001798 | Sumitomo Metal Mining Co., Ltd. | JAPAN |
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| Gold | CID001875 | Tanaka Kikinzoku Kogyo K.K. | JAPAN |
| Gold | CID001909 | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA |
| Gold | CID001916 | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA |
| Gold | CID001938 | Tokuriki Honten Co., Ltd. | JAPAN |
| Gold | CID001947 | Tongling Nonferrous Metals Group Co., Ltd. | CHINA |
| Gold | CID001955 | Torecom | KOREA (REPUBLIC OF) |
| Gold | CID001977 | Umicore Brasil Ltda. | BRAZIL |
| Gold | CID001980 | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM |
| Gold | CID001993 | United Precious Metal Refining, Inc. | USA |
| Gold | CID002003 | Valcambi S.A. | SWITZERLAND |
| Gold | CID002030 | Western Australian Mint trading as The Perth Mint | AUSTRALIA |
| Gold | CID002100 | YAMAMOTO PRECIOUS METAL CO., LTD. | JAPAN |
| Gold | CID002129 | Yokohama Metal Co., Ltd. | JAPAN |
| Gold | CID002224 | Zhongyuan Gold Smelter of Zhongjin Gold Corp. | CHINA |
| Gold | CID002243 | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA |
| Gold | CID002282 | Morris and Watson | NEW ZEALAND |
| Gold | CID002290 | SAFINA A.S. | CZECH REPUBLIC |
| Gold | CID002312 | Guangdong Jinding Gold Limited | CHINA |
| Gold | CID002314 | Umicore Precious Metals Thailand | THAILAND |
| Gold | CID002459 | Geib Refining Corporation | USA |
| Gold | CID002509 | MMTC-PAMP India Pvt., Ltd. | INDIA |
| Gold | CID002510 | Republic Metals Corporation | USA |
| Gold | CID002511 | KGHM Polska MiedŸ Spó³ka Akcyjna | POLAND |
| Gold | CID002515 | Fidelity Printers and Refiners Ltd. | ZIMBABWE |
| Gold | CID002516 | Singway Technology Co., Ltd. | TAIWAN |
| Gold | CID002560 | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES |
| Gold | CID002561 | Emirates Gold DMCC | UNITED ARAB EMIRATES |
| Gold | CID002563 | Kaloti Precious Metals | UNITED ARAB EMIRATES |
| Gold | CID002567 | Sudan Gold Refinery | SUDAN |
| Gold | CID002580 | T.C.A S.p.A | ITALY |
| Gold | CID002582 | Remondis Argentia B.V. | Netherlands |
| Gold | CID002587 | Tony Goetz NV | BELGIUM |
| Gold | CID002605 | Korea Zinc Co., Ltd. | KOREA (REPUBLIC OF) |
| Gold | CID002615 | TOO Tau-Ken-Altyn | KAZAKHSTAN |
| Gold | CID002761 | SAAMP | FRANCE |
| Gold | CID002777 | SAXONIA Edelmetalle GmbH | GERMANY |
| Gold | CID002778 | WIELAND Edelmetalle GmbH | GERMANY |
| Gold | CID002779 | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA |
| Gold | CID002850 | AU Traders and Refiners | SOUTH AFRICA |
| Gold | CID002852 | Gujarat Gold Centre | INDIA |
| Gold | CID002853 | Sai Refinery | INDIA |
| Gold | CID002854 | Universal Precious Metals Refining Zambia | ZAMBIA |
| Gold | CID002857 | Modeltech Sdn Bhd | MALAYSIA |
| Gold | CID002863 | Bangalore Refinery | INDIA |
| Tantalum | CID000211 | Changsha South Tantalum Niobium Co., Ltd. | CHINA |
| Tantalum | CID000291 | Conghua Tantalum and Niobium Smeltry | CHINA |
| Tantalum | CID000410 | Duoluoshan | CHINA |
| Tantalum | CID000456 | Exotech Inc. | USA |
| Tantalum | CID000460 | F&X Electro-Materials Ltd. | CHINA |
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| Tantalum | CID000616 | Guangdong Zhiyuan New Material Co., Ltd. | CHINA |
| Tantalum | CID000731 | Hi-Temp Specialty Metals, Inc. | USA |
| Tantalum | CID000914 | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA |
| Tantalum | CID000917 | Jiujiang Tanbre Co., Ltd. | CHINA |
| Tantalum | CID000973 | King-Tan Tantalum Industry Ltd. | CHINA |
| Tantalum | CID001076 | LSM Brasil S.A. | BRAZIL |
| Tantalum | CID001163 | Metallurgical Products India Pvt., Ltd. | INDIA |
| Tantalum | CID001175 | Mineração Taboca S.A. | BRAZIL |
| Tantalum | CID001192 | Mitsui Mining and Smelting Co., Ltd. | JAPAN |
| Tantalum | CID001200 | Molycorp Silmet A.S. | ESTONIA |
| Tantalum | CID001277 | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| Tantalum | CID001508 | QuantumClean | USA |
| Tantalum | CID001522 | RFH Tantalum Smeltry Co., Ltd. | CHINA |
| Tantalum | CID001769 | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION |
| Tantalum | CID001869 | Taki Chemical Co., Ltd. | JAPAN |
| Tantalum | CID001891 | Telex Metals | USA |
| Tantalum | CID001969 | Ulba Metallurgical Plant JSC | KAZAKHSTAN |
| Tantalum | CID002232 | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA |
| Tantalum | CID002307 | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA |
| Tantalum | CID002492 | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA |
| Tantalum | CID002504 | D Block Metals, LLC | USA |
| Tantalum | CID002505 | FIR Metals & Resource Ltd. | CHINA |
| Tantalum | CID002506 | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA |
| Tantalum | CID002508 | XinXing HaoRong Electronic Material Co., Ltd. | CHINA |
| Tantalum | CID002512 | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA |
| Tantalum | CID002539 | KEMET Blue Metals | MEXICO |
| Tantalum | CID002544 | H.C. Starck Co., Ltd. | THAILAND |
| Tantalum | CID002545 | H.C. Starck GmbH Goslar | GERMANY |
| Tantalum | CID002547 | H.C. Starck Hermsdorf GmbH | GERMANY |
| Tantalum | CID002548 | H.C. Starck Inc. | USA |
| Tantalum | CID002549 | H.C. Starck Ltd. | JAPAN |
| Tantalum | CID002550 | H.C. Starck Smelting GmbH & Co. KG | GERMANY |
| Tantalum | CID002557 | Global Advanced Metals Boyertown | USA |
| Tantalum | CID002558 | Global Advanced Metals Aizu | JAPAN |
| Tantalum | CID002568 | Kemet Blue Powder | USA |
| Tantalum | CID002571 | Tranzact, Inc. | USA |
| Tantalum | CID002707 | Resind Indústria e Comércio Ltda. | BRAZIL |
| Tantalum | CID002842 | Jiangxi Tuohong New Raw Material | CHINA |
| Tantalum | CID002847 | Power Resources Ltd. | MACEDONIA |
| Tin | CID000228 | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA |
| Tin | CID000244 | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA |
| Tin | CID000278 | CNMC (Guangxi) PGMA Co., Ltd. | CHINA |
| Tin | CID000292 | Alpha | USA |
| Tin | CID000295 | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL |
| Tin | CID000306 | CV Gita Pesona | INDONESIA |
| Tin | CID000307 | PT Justindo | INDONESIA |
| Tin | CID000309 | PT Aries Kencana Sejahtera | INDONESIA |
| Tin | CID000313 | CV Serumpun Sebalai | INDONESIA |
| Tin | CID000315 | CV United Smelting | INDONESIA |
| Tin | CID000402 | Dowa | JAPAN |
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| Tin | CID000438 | EM Vinto | BOLIVIA |
| Tin | CID000448 | Estanho de Rondônia S.A. | BRAZIL |
| Tin | CID000468 | Fenix Metals | POLAND |
| Tin | CID000538 | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA |
| Tin | CID000555 | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA |
| Tin | CID000760 | Huichang Jinshunda Tin Co., Ltd. | CHINA |
| Tin | CID000942 | Gejiu Kai Meng Industry and Trade LLC | CHINA |
| Tin | CID001070 | China Tin Group Co., Ltd. | CHINA |
| Tin | CID001105 | Malaysia Smelting Corporation (MSC) | MALAYSIA |
| Tin | CID001142 | Metallic Resources, Inc. | USA |
| Tin | CID001173 | Mineração Taboca S.A. | BRAZIL |
| Tin | CID001182 | Minsur | PERU |
| Tin | CID001191 | Mitsubishi Materials Corporation | JAPAN |
| Tin | CID001231 | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA |
| Tin | CID001314 | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND |
| Tin | CID001337 | Operaciones Metalurgical S.A. | BOLIVIA |
| Tin | CID001399 | PT Artha Cipta Langgeng | INDONESIA |
| Tin | CID001402 | PT Babel Inti Perkasa | INDONESIA |
| Tin | CID001419 | PT Bangka Tin Industry | INDONESIA |
| Tin | CID001421 | PT Belitung Industri Sejahtera | INDONESIA |
| Tin | CID001428 | PT Bukit Timah | INDONESIA |
| Tin | CID001434 | PT DS Jaya Abadi | INDONESIA |
| Tin | CID001438 | PT Eunindo Usaha Mandiri | INDONESIA |
| Tin | CID001448 | PT Karimun Mining | INDONESIA |
| Tin | CID001453 | PT Mitra Stania Prima | INDONESIA |
| Tin | CID001457 | PT Panca Mega Persada | INDONESIA |
| Tin | CID001458 | PT Prima Timah Utama | INDONESIA |
| Tin | CID001460 | PT Refined Bangka Tin | INDONESIA |
| Tin | CID001463 | PT Sariwiguna Binasentosa | INDONESIA |
| Tin | CID001468 | PT Stanindo Inti Perkasa | INDONESIA |
| Tin | CID001471 | PT Sumber Jaya Indah | INDONESIA |
| Tin | CID001477 | PT Timah (Persero) Tbk Kundur | INDONESIA |
| Tin | CID001482 | PT Timah (Persero) Tbk Mentok | INDONESIA |
| Tin | CID001490 | PT Tinindo Inter Nusa | INDONESIA |
| Tin | CID001493 | PT Tommy Utama | INDONESIA |
| Tin | CID001539 | Rui Da Hung | TAIWAN |
| Tin | CID001758 | Soft Metais Ltda. | BRAZIL |
| Tin | CID001898 | Thaisarco | THAILAND |
| Tin | CID001908 | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA |
| Tin | CID002015 | VQB Mineral and Trading Group JSC | VIET NAM |
| Tin | CID002036 | White Solder Metalurgia e Mineração Ltda. | BRAZIL |
| Tin | CID002158 | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA |
| Tin | CID002180 | Yunnan Tin Company Limited | CHINA |
| Tin | CID002455 | CV Venus Inti Perkasa | INDONESIA |
| Tin | CID002468 | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL |
| Tin | CID002479 | PT Wahana Perkit Jaya | INDONESIA |
| Tin | CID002500 | Melt Metais e Ligas S.A. | BRAZIL |
| Tin | CID002503 | PT ATD Makmur Mandiri Jaya | INDONESIA |
| Tin | CID002517 | O.M. Manufacturing Philippines, Inc. | PHILIPPINES |
| Tin | CID002530 | Pt Inti Stania Prima | INDONESIA |
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| Tin | CID002570 | CV Ayi Jaya | INDONESIA |
| Tin | CID002572 | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM |
| Tin | CID002573 | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM |
| Tin | CID002574 | Tuyen Quang Non-Ferrous Metals Joint Stock Co. | VIET NAM |
| Tin | CID002592 | CV Dua Sekawan | INDONESIA |
| Tin | CID002593 | CV Tiga Sekawan | INDONESIA |
| Tin | CID002696 | PT Cipta Persada Mulia | INDONESIA |
| Tin | CID002703 | An Vinh Joint Stock Mineral Processing Company | VIET NAM |
| Tin | CID002706 | Resind Indústria e Comércio Ltda. | BRAZIL |
| Tin | CID002757 | PT O.M. Indonesia | INDONESIA |
| Tin | CID002773 | Metallo-Chimique N.V. | BELGIUM |
| Tin | CID002774 | Elmet S.L.U. | SPAIN |
| Tin | CID002776 | PT Bangka Prima Tin | INDONESIA |
| Tin | CID002816 | PT Sukses Inti Makmur | INDONESIA |
| Tin | CID002825 | An Thai Minerals Co., Ltd. | VIET NAM |
| Tin | CID002829 | PT Kijang Jaya Mandiri | INDONESIA |
| Tin | CID002844 | HuiChang Hill Tin Industry Co., Ltd. | CHINA |
| Tin | CID002848 | Gejiu Fengming Metallurgy Chemical Plant | CHINA |
| Tin | CID002849 | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA |
| Tin | CID002858 | Modeltech Sdn Bhd | MALAYSIA |
| Tin | CID002859 | Gejiu Jinye Mineral Company | CHINA |
| Tungsten | CID000004 | A.L.M.T. TUNGSTEN Corp. | JAPAN |
| Tungsten | CID000105 | Kennametal Huntsville | USA |
| Tungsten | CID000218 | Guangdong Xianglu Tungsten Co., Ltd. | CHINA |
| Tungsten | CID000258 | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA |
| Tungsten | CID000345 | Dayu Weiliang Tungsten Co., Ltd. | CHINA |
| Tungsten | CID000499 | Fujian Jinxin Tungsten Co., Ltd. | CHINA |
| Tungsten | CID000568 | Global Tungsten & Powders Corp. | UNITED STATES |
| Tungsten | CID000766 | Hunan Chenzhou Mining Co., Ltd. | CHINA |
| Tungsten | CID000769 | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA |
| Tungsten | CID000825 | Japan New Metals Co., Ltd. | JAPAN |
| Tungsten | CID000875 | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA |
| Tungsten | CID000966 | Kennametal Fallon | UNITED STATES |
| Tungsten | CID001889 | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM |
| Tungsten | CID002011 | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM |
| Tungsten | CID002044 | Wolfram Bergbau und Hütten AG | AUSTRIA |
| Tungsten | CID002082 | Xiamen Tungsten Co., Ltd. | CHINA |
| Tungsten | CID002095 | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA |
| Tungsten | CID002313 | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA |
| Tungsten | CID002315 | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA |
| Tungsten | CID002316 | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA |
| Tungsten | CID002317 | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA |
| Tungsten | CID002318 | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA |
| Tungsten | CID002319 | Malipo Haiyu Tungsten Co., Ltd. | CHINA |
| Tungsten | CID002320 | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA |
| Tungsten | CID002321 | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA |
| Tungsten | CID002494 | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA |
| Tungsten | CID002502 | Asia Tungsten Products Vietnam Ltd. | VIET NAM |
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| Tungsten | CID002513 | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA |
| Tungsten | CID002518 | Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA |
| Tungsten | CID002535 | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA |
| Tungsten | CID002536 | Ganzhou Yatai Tungsten Co., Ltd. | CHINA |
| Tungsten | CID002541 | H.C. Starck GmbH | GERMANY |
| Tungsten | CID002542 | H.C. Starck Smelting GmbH & Co.KG | GERMANY |
| Tungsten | CID002543 | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM |
| Tungsten | CID002551 | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA |
| Tungsten | CID002579 | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA |
| Tungsten | CID002589 | Niagara Refining LLC | USA |
| Tungsten | CID002647 | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA |
| Tungsten | CID002649 | Hydrometallurg, JSC | RUSSIAN FEDERATION |
| Tungsten | CID002724 | Unecha Refractory metals plant | RUSSIAN FEDERATION |
| Tungsten | CID002815 | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA |
| Tungsten | CID002827 | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES |
| Tungsten | CID002830 | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA |
| Tungsten | CID002833 | ACL Metais Eireli | BRAZIL |
| Tungsten | CID002843 | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF |
| Tungsten | CID002845 | Moliren Ltd | RUSSIAN FEDERATION |
