Exhibit 1.01 Conflict Minerals Report
Telefonaktiebolaget LM Ericsson
Conflict Minerals Report for the year ended December 31, 2015
This Conflict Minerals Report of Telefonaktiebolaget LM Ericsson for the year ended December 31, 2015 is provided pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the U.S. Securities and Exchange Commission (the “SEC”) to implement disclosure and reporting requirements pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. As permitted by the Rule and the SEC, this report has not been subject to an independent private sector audit.
| 1. | Introduction |
Ericsson is a global provider of telecommunications infrastructure related products and services, including communications networks, services and support solutions.
This report has been prepared by the management of Telefonaktiebolaget LM Ericsson (herein referred to as “Ericsson”, the “Company”, “we”, “us”, or “our”). This report does not include the activities of entities that are not required to be consolidated in our financial statements.
In accordance with the Rule, this report is available on our website: http://www.ericsson.com/thecompany/investors/financial-reports.
| 2. | Supply chain description and Reasonable Country of Origin Inquiry |
| 2.1 | General information on Ericsson’s supply chain |
The hardware provided by Ericsson largely consists of electronics. The supply chain is complex with multiple tiers of suppliers. For manufacturing, Ericsson purchases customized and standardized components from several global providers as well as from local and regional suppliers, either off-the-shelf or in accordance with Ericsson’s design or specifications. Certain types of components, such as power modules, are produced in-house. The production of electronic modules and sub-assemblies is mostly outsourced to manufacturing services companies. Final configuration of products is largely done in-house and on-demand. This consists of assembling and testing modules and integrating them into complete units. A number of Ericsson’s suppliers design and manufacture highly specialized and customized components.
| 2.2 | Overview of Ericsson’s Conflict Minerals Program and Reasonable Country of Origin Inquiry 2015 |
Ericsson gathers materials information from our suppliers. Through this we know that many of our products contain tin, tantalum, tungsten and gold (“3TG”) that are necessary to the functionality of those products.
As part of Ericsson’s commitment to responsible sourcing, human rights and sustainability, it is our goal that the 3TG in our products should not, directly or indirectly, finance or benefit armed groups in the Democratic Republic of Congo or adjoining countries (the “DRC”). At the same time, we aim to continue supporting responsible mineral sourcing in the region. Ericsson’s efforts with respect to 3TG are aligned to the work of the Conflict-Free Sourcing Initiative and our aim is to improve the traceability in our supply
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Exhibit 1.01 Conflict Minerals Report
chain. Ericsson does not ban materials from the DRC or avoid using 3TGs. The Company has a program team to fulfill compliance with the Rule, perform the Reasonable Country of Origin Inquiry and report on 3TG. This team consists of representatives from across the organization having specialized expertise such as sustainability and environmental expertise, sourcing and legal affairs. This team is responsible for Ericsson’s 3TG implementation work and senior management is regularly informed about matters relating to 3TG.
Ericsson relies on its first tier suppliers to provide information on the origin of 3TG contained in components and parts included in Ericsson’s products. This includes sources of 3TG that are supplied to them from sub-suppliers. Ericsson’s first tier suppliers are required to comply with the requirements in the Ericsson Lists of Banned and Restricted Substances, which include an obligation to provide information on 3TG upon request and to have appropriate due diligence processes in place to identify the source and chain of custody of 3TG. Our first tier suppliers are similarly reliant upon information provided by their suppliers. Certain of Ericsson’s large hardware suppliers are also SEC registrants and subject to the Rule.
The identification of first tier suppliers of Ericsson that are in scope under the Rule involves different regions, business units and production sites that are part of Ericsson’s global organization. The sourcing organization has an important role in leading and coordinating the work. Suppliers identified to be in scope are first tier suppliers of Ericsson supplying (i) products containing 3TG that Ericsson contracts to manufacture, (ii) materials, parts, components and other products, containing 3TG, that are incorporated into or included in a product manufactured by Ericsson, or (iii) materials used in the production of Ericsson’s products where 3TG becomes part of the final product. Suppliers of products that Ericsson does not contract to manufacture (i.e. products purchased “off-the shelf”) and not included in, or incorporated into an Ericsson product have been considered out of scope for purposes of the Rule. In our annual inquiry we survey first tier suppliers identified to be in scope and analyze and follow up responses as we deem appropriate. Accordingly, during 2015, Ericsson conducted a reasonable country of origin inquiry to determine the origin of the 3TG in Ericsson’s products. The inquiry did not provide sufficient information to determine with specificity the countries of origin of the 3TG in our products or whether they are from recycled and scrap sources.
Ericsson believes that industry cooperation is one of the best ways to address issues related to 3TG in an efficient and transparent way. Ericsson is engaged and actively cooperates with other major manufacturers and participates in 3TG industry initiatives such as the Conflict Free Sourcing Initiative (CFSI) driven by the Global e-Sustainability Initiative (GeSI) and the Electronic Industry Citizenship Coalition (EICC).
We do not typically have a direct relationship with 3TG smelters and refiners and we do not perform or direct audits of these entities within our supply chain. In accordance with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for gold and for tin, tantalum and tungsten (the “OECD Guidance”), we support the CFSI’s audit of smelters’ and refiners’ due diligence activities. In our internal processes we use data obtained through our membership in the CFSI, using CFSI’s Reasonable Country of Origin Inquiry Report for Ericsson (CFSI member LMEE).
| 3. | Due Diligence |
Ericsson has processes in place for the purpose of exercising due diligence in the supply chain. The design of the due diligences processes conforms substantially to the OECD Guidance as it relates to “downstream” purchasers of products and components. The due diligence processes have been described below under sub-headings corresponding to the five-step framework of the OECD Guidance.
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Exhibit 1.01 Conflict Minerals Report
| 3.1 | Maintain strong management systems |
The first step relates to strong management systems. As mentioned above, Ericsson has established a program team for reporting on 3TG and compliance with the Rule. This team is responsible for the 3TG implementation work and senior management is regularly informed about matters relating to 3TG. Controls include, but are not limited to, our Code of Business Ethics and Code of Conduct, which outlines expected behaviors for all Ericsson’s employees and suppliers, and the Ericsson Lists of Banned and Restricted Substances, which include supplier requirements relating to 3TG as described above and are integrated in our template supplier agreements.
With respect to 2015, identification of smelters/refiners in our supply chain was made via the use of due diligence tools created by the CFSI, including the EICC/GeSI Conflict Minerals Reporting Template 4.01 (the “Template”). The Template is a supply chain survey designed to identify the smelters and refiners that process the necessary 3TG contained in our supply chain. The information from our suppliers, in combination with information from the CFSI, helps Ericsson to obtain information on the origin of minerals processed. Data obtained was reviewed and analyzed by Ericsson and retained in Ericsson’s document handling system.
We have grievance mechanisms whereby employees and suppliers can report violations of Ericsson’s policies. We also have a whistleblower tool, managed by an external service provider, for the reporting of alleged violations of laws or the Code of Business Ethics that (i) are conducted by Group or local management, and (ii) relate to corruption, questionable accounting or auditing matters or otherwise seriously affect vital interests of the Group or personal health and safety. Violations reported through the whistleblower tool are handled by Ericsson’s Group Compliance Forum, consisting of representatives from Ericsson’s internal audit function, Group Function Legal Affairs, Group Security, and Group Function Human Resources. Information regarding incidents is reported to the Audit Committee. Reports include measures taken, details of the responsible Group function and the status of any investigation.
| 3.2 | Identify and assess risk in the supply chain |
In the second step, risks are identified and assessed. For downstream companies such as Ericsson, the focus should be on the pinch point in the supply chain, which is the smelters and refiners. Downstream companies should, with help from their first tier suppliers, identify smelters and refiners in the supply chain.
In Ericsson’s 2015 survey, first tier suppliers identified to be in scope were requested by Ericsson to provide information on 3TG in their supply chain through completing and submitting the Template. Suppliers were provided with support material, including the generally available instructions and training illustrating the use of the tool that is available on CFSI’s website. To ensure sufficient quality, a high response rate and to minimize risks, the responses received were continuously analyzed and followed up as deemed appropriate. The data obtained was saved, reviewed and analyzed by Ericsson. Supplier responses were reviewed against criteria developed to determine which responses required further engagement with our suppliers. These criteria were developed to identify whether the responses from suppliers were incomplete and where further inquiries were necessary. Suppliers were contacted via e-mail or telephone to improve the quality of responses and increase the response rate. We have had a risk based approach and focused on suppliers with incomplete data since they are typically deemed to constitute a higher risk. As part of the risk mitigation efforts additional efforts were mainly targeted at suppliers that are awarded large parts of our business on an ongoing basis.
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Exhibit 1.01 Conflict Minerals Report
| 3.3 | Design and implement a strategy to respond to identified risks |
Under the third step companies are encouraged to design and implement a strategy to respond to identified risks. Due diligence within Ericsson is an on-going process, both proactive and reactive, where suppliers are continuously evaluated against Ericsson’s requirements to ensure that these requirements are systematically incorporated in the suppliers’ processes. Ericsson publishes additional information about its commitment to responsible sourcing and engagement with its suppliers and other stakeholders in its Sustainability and Corporate Responsibility Report, which includes an annual summary of Ericsson’s performance in the areas of responsible business; energy, environment and climate change; and communication for all.
We continuously work to improve our due diligence processes with respect to 3TG, mainly focusing on the quality of data received from suppliers surveyed. This includes communication and collaboration with suppliers for purposes of improving the response rate of surveyed suppliers and improving the reliability and quality of the information provided. As described above, we have a risk based approach when reviewing and following up supplier responses and we generally prioritize to follow up suppliers that we frequently purchase from.
| 3.4 | Independent third party audit of smelters’/refiners’ due diligence practices |
The fourth step focuses on audits of smelters’/refiners’ due diligence practices. Through our membership and participation within the CFSI, we support the conflict free smelter program as well as the development and implementation of due diligence practices and tools such as the Template. Due to the structure of our supply chain, there are generally many tiers of suppliers between Ericsson and the smelters and refiners in the supply chain. Therefore, we have, as mentioned in section 2.2, not performed our own audits of smelters or refiners.
We analyze the received data on smelters and refiners and compare such information against the list of facilities that have received a “conflict free” designation from the Conflict Free Smelter Program (“CFSP”). Via the CFSI we also can access information on country of origin and due diligence information on the 3TG sourced by such facilities.
| 3.5 | Report annually on supply chain due diligence |
The fifth step encourages reporting on supply chain due diligence. We have a public statement on 3TG on our external website and strive to continuously increase 3TG awareness within Ericsson and among suppliers. Ericsson’s public statement on the sourcing of 3TG is available on our website: http://www.ericsson.com/res/thecompany/docs/corporate-responsibility/statement-on-sourcing-of-conflict-minerals.pdf
In accordance with the Rule, we make our Conflict Minerals Report available on our website: http://www.ericsson.com/thecompany/investors/financial-reports.
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Exhibit 1.01 Conflict Minerals Report
| 4. | 2015 due diligence results |
For the calendar year 2015, our inquiries were made on the supplier level and the supplier responses received provided data at a company or divisional level and not isolated to products and components provided to us. Inquiries also include responses where suppliers were unable to specify the smelters or refiners used for components supplied to us and certain responses included names of smelters or refiners that we believe may have been misidentified as smelters and refiners or smelters or refiners that we believe are not operational. Such names have not been listed among identified smelters and refiners.
The response rate among suppliers surveyed in 2015 was 81%. A higher response rate was achieved in the group of suppliers that are awarded a larger part of our business. Among the supplier responses, we identified approximately 292 smelters as potential sources of 3TG that were reported to be in the supply chain at some point during the 2015 calendar year. The following table presents, by mineral, the percentages of identified smelters or refiners verified as conflict-free or self-declared in accordance with the TI-CMC Category A members Self-Declared Sourcing Information.
Metal | Identified smelters or refiners verified as CFSP conflict-free, or self-declared in accordance with the TI-CMC for tungsten1. | Number of identified smelters for each metal | ||||||
Tantalum | 100 | % | 46 | |||||
Tungsten | 84 | % | 43 | |||||
Tin | 75 | % | 77 | |||||
Gold | 63 | % | 126 | |||||
We are unable to validate that any of the identified smelters or refiners are actually in our supply chain. However, based on the information provided by Ericsson’s suppliers during the 2015 calendar year, Ericsson believes that the facilities that may have been used to process the 3TG in Ericsson’s products include the smelters and refiners listed in Annex 1 below. Ericsson does not have sufficient information to determine with specificity the countries of origin of the 3TG in our products or whether they are from recycled and scrap sources.
We support the refinement and expansion of the list of participating smelters through our membership in the CFSI program. Through our participation in CFSI, and requesting our first tier suppliers to complete the Template, we have determined that seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.
Although, our inquiries are made on the supplier level, targeted activities have been initiated to try to obtain information on the product level. We hope that such efforts may help improve the number of conflict free smelters over time.
During 2016, we anticipate to continue to review and evolve our due diligence processes with respect to 3TG. As part of these efforts, we expect to extend the training for suppliers and developing the collaboration with suppliers for purposes of further improving the supplier response rate and the reliability and quality of information provided. Our engagement in the CFSI program is anticipated to continue.
| 1 | In the Conflict Minerals Report 2015, we only include certified smelters while in the Conflict Minerals Report 2014 also smelters in the process of becoming certified were included in the numbers reported. |
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Exhibit 1.01 Conflict Minerals Report
| 5. | Forward Looking Statements |
Certain of the matters discussed in this report, including in particular our due diligence processes with respect to 3TG, include forward-looking statements. Readers of this document are cautioned that our forward-looking statements are not guarantees of our future actions, which may differ materially from the expectations expressed in the forward-looking statements. We expressly disclaim a duty to provide updates to these forward-looking statements after the date of this filing to reflect events or changes in circumstances or changes in expectations or the occurrence of anticipated events.
The information included on any websites that appear in this report and other materials referenced to is not incorporated by reference in this report.
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Exhibit 1.01 Conflict Minerals Report
Annex 1
Metal | Smelter or Refiner Name | |
| Gold | Advanced Chemical Company | |
| Gold | AGR Mathey* | |
| Gold | Aida Chemical Industries Co., Ltd.* | |
| Gold | Aktyubinsk Copper Company TOO | |
| Gold | Al Etihad Gold Refinery DMCC | |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G.* | |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | |
| Gold | AngloGold Ashanti Córrego do Sítio Mineração* | |
| Gold | Argor-Heraeus SA* | |
| Gold | Asahi Pretec Corporation* | |
| Gold | Asahi Refining USA Inc.* | |
| Gold | Asaka Riken Co., Ltd.* | |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S.* | |
| Gold | Aurubis AG* | |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines)* | |
| Gold | Bauer Walser AG | |
| Gold | Boliden AB* | |
| Gold | C. Hafner GmbH + Co. KG* | |
| Gold | Caridad | |
| Gold | CCR Refinery - Glencore Canada Corporation* | |
| Gold | Cendres + Métaux SA | |
| Gold | Chimet S.p.A.* | |
| Gold | Chugai Mining | |
| Gold | Daejin Indus Co., Ltd. | |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | |
| Gold | Do Sung Corporation | |
| Gold | Doduco* | |
| Gold | Dowa Metals & Mining Co. Ltd* | |
| Gold | Eco-System Recycling Co., Ltd.* | |
| Gold | Emirates Gold DMCC* | |
| Gold | Faggi Enrico S.p.A. | |
| Gold | FSE Novosibirsk Refinery* | |
| Gold | Fujian Zijin mining stock company gold smelter* | |
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | |
| Gold | Geib Refining Corporation | |
| Gold | Great Wall Precious Metals Co,. LTD. |
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Exhibit 1.01 Conflict Minerals Report
Metal | Smelter or Refiner Name | |
| Gold | Guangdong Jinding Gold Limited | |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | |
| Gold | Heimerle + Meule GmbH* | |
| Gold | Heraeus Ltd. Hong Kong* | |
| Gold | Heraeus Precious Metals GmbH & Co. KG* | |
| Gold | Hunan Chenzhou Mining Group Co., Ltd. | |
| Gold | Hwasung CJ Co., Ltd. | |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | |
| Gold | Ishifuku Metal Industry Co., Ltd.* | |
| Gold | Istanbul Gold Refinery* | |
| Gold | Japan Mint* | |
| Gold | Jiangxi Copper Company Limited* | |
| Gold | Johnson Matthey Limited* | |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant* | |
| Gold | JSC Uralelectromed* | |
| Gold | JX Nippon Mining & Metals Co., Ltd.* | |
| Gold | Kaloti Precious Metals | |
| Gold | Kazakhmys Smelting LLC | |
| Gold | Kazzinc* | |
| Gold | Kennecott Utah Copper LLC* | |
| Gold | KGHM Polska Miedź Spółka Akcyjna | |
| Gold | Kojima Chemicals Co., Ltd.* | |
| Gold | Korea Metal Co., Ltd. | |
| Gold | Korea Zinc Co. Ltd. | |
| Gold | Kyrgyzaltyn JSC | |
| Gold | L’ azurde Company For Jewelry* | |
| Gold | Lingbao Gold Company Limited | |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | |
| Gold | LS-NIKKO Copper Inc.* | |
| Gold | Luoyang Zijin Yinhui Metal Smelt Co Ltd | |
| Gold | Materion* | |
| Gold | Matsuda Sangyo Co., Ltd.* | |
| Gold | Metalor Technologies (Hong Kong) Ltd.* | |
| Gold | Metalor Technologies (Singapore) Pte., Ltd.* | |
| Gold | Metalor Technologies (Suzhou) Ltd. | |
| Gold | Metalor Technologies SA* | |
| Gold | Metalor USA Refining Corporation* |
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Exhibit 1.01 Conflict Minerals Report
Metal | Smelter or Refiner Name | |
| Gold | Met-Mex Penoles, S.A.* | |
| Gold | Mitsubishi Materials Corporation* | |
| Gold | Mitsui Mining and Smelting Co., Ltd.* | |
| Gold | MMTC-PAMP India Pvt., Ltd.* | |
| Gold | Morris and Watson | |
| Gold | Moscow Special Alloys Processing Plant* | |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş.* | |
| Gold | Navoi Mining and Metallurgical Combinat | |
| Gold | Nihon Material Co., Ltd.* | |
| Gold | Ohio Precious Metals, LLC* | |
| Gold | Ohura Precious Metal Industry Co., Ltd.* | |
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)* | |
| Gold | OJSC Kolyma Refinery | |
| Gold | PAMP SA* | |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | |
| Gold | Prioksky Plant of Non-Ferrous Metals* | |
| Gold | PT Aneka Tambang (Persero) Tbk* | |
| Gold | PX Précinox SA* | |
| Gold | Rand Refinery (Pty) Ltd.* | |
| Gold | Republic Metals Corporation* | |
| Gold | Royal Canadian Mint* | |
| Gold | Sabin Metal Corp. | |
| Gold | Samduck Precious Metals | |
| Gold | SAMWON Metals Corp. | |
| Gold | SAXONIA Edelmetalle GmbH | |
| Gold | Schone Edelmetaal B.V.* | |
| Gold | SEMPSA Joyería Platería SA* | |
| Gold | Shandong Tarzan Bio-Gold Industry Co., Ltd. | |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* | |
| Gold | Sichuan Tianze Precious Metals Co., Ltd.* | |
| Gold | Singway Technology Co., Ltd.* | |
| Gold | So Accurate Group, Inc. | |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | |
| Gold | Solar Applied Materials Technology Corp.* | |
| Gold | Sumitomo Metal Mining Co., Ltd.* | |
| Gold | T.C.A S.p.A* | |
| Gold | Tanaka Kikinzoku Kogyo K.K.* | |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd.* |
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Exhibit 1.01 Conflict Minerals Report
Metal | Smelter or Refiner Name | |
| Gold | Tokuriki Honten Co., Ltd.* | |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | |
| Gold | Torecom | |
| Gold | Umicore Brasil Ltda.* | |
| Gold | Umicore Precious Metals Thailand* | |
| Gold | Umicore SA Business Unit Precious Metals Refining* | |
| Gold | United Precious Metal Refining, Inc.* | |
| Gold | Valcambi SA* | |
| Gold | WIELAND Edelmetalle GmbH | |
| Gold | Yamamoto Precision Metals* | |
| Gold | Yokohama Metal Co., Ltd. | |
| Gold | Yunnan Copper Industry Co., Ltd. | |
| Gold | Zhongjin Gold Corporation Limited* | |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH* | |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd.* | |
| Tantalum | Conghua Tantalum and Niobium Smeltry* | |
| Tantalum | D Block Metals, LLC* | |
| Tantalum | Duoluoshan* | |
| Tantalum | Exotech Inc.* | |
| Tantalum | F&X Electro-Materials Ltd.* | |
| Tantalum | FIR Metals & Resource Ltd.* | |
| Tantalum | Global Advanced Metals Aizu* | |
| Tantalum | Global Advanced Metals Boyertown* | |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | |
| Tantalum | H.C. Starck Co., Ltd.* | |
| Tantalum | H.C. Starck GmbH Goslar* | |
| Tantalum | H.C. Starck GmbH Laufenburg* | |
| Tantalum | H.C. Starck Hermsdorf GmbH* | |
| Tantalum | H.C. Starck Inc.* | |
| Tantalum | H.C. Starck Ltd.* | |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG* | |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd.* | |
| Tantalum | Hi-Temp* | |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd.* | |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd.* | |
| Tantalum | Jiujiang Tanbre Co., Ltd.* | |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd.* | |
| Tantalum | KEMET Blue Metals* |
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Exhibit 1.01 Conflict Minerals Report
Metal | Smelter or Refiner Name | |
| Tantalum | KEMET Blue Powder* | |
| Tantalum | King-Tan Tantalum Industry Ltd.* | |
| Tantalum | LSM Brasil S.A.* | |
| Tantalum | Metallurgical Products India Pvt. Ltd. (MPIL)* | |
| Tantalum | Mineração Taboca S.A.* | |
| Tantalum | Mitsui Mining & Smelting* | |
| Tantalum | Molycorp Silmet A.S.* | |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd.* | |
| Tantalum | Plansee SE Liezen* | |
| Tantalum | Plansee SE Reutte* | |
| Tantalum | QuantumClean* | |
| Tantalum | Resind Indústria e Comércio Ltda.* | |
| Tantalum | RFH* | |
| Tantalum | Solikamsk Magnesium Works OAO* | |
| Tantalum | Taki Chemicals* | |
| Tantalum | Telex Metals* | |
| Tantalum | Tranzact, Inc.* | |
| Tantalum | Ulba* | |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd.* | |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd.* | |
| Tantalum | Zhuzhou Cemented Carbide* | |
| Tin | Alpha* | |
| Tin | An Vinh Joint Stock Mineral Processing Company | |
| Tin | China Rare Metal Material Co., Ltd.* | |
| Tin | China Tin Group Co., Ltd. | |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | |
| Tin | Cooper Santa* | |
| Tin | CV Ayi Jaya* | |
| Tin | CV Gita Pesona* | |
| Tin | CV Serumpun Sebalai* | |
| Tin | CV United Smelting* | |
| Tin | CV Venus Inti Perkasa* | |
| Tin | Dowa* | |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | |
| Tin | Elmet S.L.U. (Metallo Group)* | |
| Tin | EM Vinto* | |
| Tin | Estanho de Rondônia S.A. | |
| Tin | Feinhütte Halsbrücke GmbH |
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Exhibit 1.01 Conflict Minerals Report
Metal | Smelter or Refiner Name | |
| Tin | Fenix Metals* | |
| Tin | Gejiu Kai Meng Industry and Trade LLC | |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd.* | |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | |
| Tin | Huichang Jinshunda Tin Co., Ltd. | |
| Tin | Jiangxi Nanshan | |
| Tin | Linwu Xianggui Smelter Co | |
| Tin | Magnu’s Minerais Metais e Ligas Ltda.* | |
| Tin | Malaysia Smelting Corporation (MSC)* | |
| Tin | Melt Metais e Ligas S/A* | |
| Tin | Mentok Smelter* | |
| Tin | Metallic Resources, Inc.* | |
| Tin | Metallo-Chimique N.V.* | |
| Tin | Mineração Taboca S.A.* | |
| Tin | Minsur* | |
| Tin | Mitsubishi Materials Corporation* | |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | |
| Tin | O.M. Manufacturing Philippines, Inc.* | |
| Tin | OMSA* | |
| Tin | Phoenix Metal Ltd. | |
| Tin | PT Aries Kencana Sejahtera* | |
| Tin | PT Artha Cipta Langgeng* | |
| Tin | PT ATD Makmur Mandiri Jaya* | |
| Tin | PT Babel Inti Perkasa* | |
| Tin | PT Bangka Prima Tin* | |
| Tin | PT Bangka Tin Industry* | |
| Tin | PT Belitung Industri Sejahtera* | |
| Tin | PT BilliTin Makmur Lestari* | |
| Tin | PT Bukit Timah* | |
| Tin | PT Cipta Persada Mulia* | |
| Tin | PT DS Jaya Abadi* | |
| Tin | PT Eunindo Usaha Mandiri* | |
| Tin | PT Inti Stania Prima* | |
| Tin | PT Justindo* | |
| Tin | PT Karimun Mining | |
| Tin | PT Mitra Stania Prima* |
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Exhibit 1.01 Conflict Minerals Report
Metal | Smelter or Refiner Name | |
| Tin | PT Panca Mega Persada* | |
| Tin | PT Prima Timah Utama* | |
| Tin | PT Refined Bangka Tin* | |
| Tin | PT Sariwiguna Binasentosa* | |
| Tin | PT Seirama Tin Investment | |
| Tin | PT Stanindo Inti Perkasa* | |
| Tin | PT Sukses Inti Makmur* | |
| Tin | PT Sumber Jaya Indah* | |
| Tin | PT Timah (Persero) Tbk Kundur* | |
| Tin | PT Tinindo Inter Nusa* | |
| Tin | PT Tirus Putra Mandiri | |
| Tin | PT Tommy Utama* | |
| Tin | PT Wahana Perkit Jaya* | |
| Tin | Resind Indústria e Comércio Ltda.* | |
| Tin | Rui Da Hung* | |
| Tin | Soft Metais Ltda.* | |
| Tin | Thailand Smelting & Refining Co Ltd* | |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | |
| Tin | White Solder Metalurgia e Mineração Ltda.* | |
| Tin | VQB Mineral and Trading Group JSC* | |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | |
| Tin | Yunnan Tin Company, Ltd.* | |
| Tungsten | A.L.M.T. TUNGSTEN Corp.* | |
| Tungsten | Asia Tungsten Products Vietnam Ltd.* | |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd.* | |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd.* | |
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd.* | |
| Tungsten | Ganxian Shirui New Material Co., Ltd. | |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd.* | |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd.* | |
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd.* | |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd.* | |
| Tungsten | Global Tungsten & Powders Corp.* | |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd.* | |
| Tungsten | H.C. Starck GmbH* |
13
Exhibit 1.01 Conflict Minerals Report
Metal | Smelter or Refiner Name | |
| Tungsten | H.C. Starck Smelting GmbH & Co.KG* | |
| Tungsten | Hunan Chenzhou Mining Co., Ltd.* | |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd.* | |
| Tungsten | Hydrometallurg, JSC* | |
| Tungsten | Japan New Metals Co., Ltd.* | |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd.* | |
| Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.* | |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | |
| Tungsten | Kennametal Fallon | |
| Tungsten | Kennametal Huntsville* | |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd.* | |
| Tungsten | Niagara Refining LLC* | |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC* | |
| Tungsten | Pobedit, JSC | |
| Tungsten | Sanher Tungsten Vietnam Co., Ltd. | |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.* | |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd.* | |
| Tungsten | Wolfram Bergbau und Hütten AG* | |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd.* | |
| Tungsten | Xiamen Tungsten Co., Ltd.* | |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd.* |
| * | Smelter or refiner that has received a “conflict free” designation from an independent third party audit program as of February 29, 2016. |
14
