Exhibit 1.01 Conflict Minerals Report
Telefonaktiebolaget LM Ericsson
Conflict Minerals Report for the year ended December 31, 2023
This Conflict Minerals Report of Telefonaktiebolaget LM Ericsson (herein referred to as “Ericsson,” the “Company,” “we,” “us” or “our”) for the year ended December 31, 2023 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 enables communications service providers and enterprises to capture the full value of connectivity. The Company’s portfolio spans the following business areas: Networks, Cloud Software and Services, Enterprise Wireless Solutions, Global Communications Platform, and Technologies and New Businesses. It is designed to help our customers go digital, increase efficiency and find new revenue streams. This report has been prepared by the management of Ericsson. 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: https://www.ericsson.com/en/investors/financial-reports/sec-filings.
| 2. | Supply Chain Description and Reasonable Country of Origin Inquiry |
| 2.1. | General information on Ericsson’s supply chain |
Ericsson’s hardware largely consists of electronics. For manufacturing, the Company purchases customized and standardized components and services from both global, regional, and local suppliers. The production of electronic modules and sub-assemblies is mostly outsourced to manufacturing services companies. Ericsson is focusing internal manufacturing on new product introductions and new technologies.
There are often several tiers of suppliers between Ericsson and any smelters or refiners of minerals, even more so when tracing a mineral all the way back to the mines. As a result, the Company does not normally have a direct purchasing relationship with mines, smelters, or refiners.
| 2.2. | Overview of Ericsson’s Conflict Minerals Program and Reasonable Country of Origin Inquiry |
In 2020, Ericsson’s Conflict Minerals Program was extended to cover cobalt. In 2023, mica was added. Ericsson gathers materials information from our suppliers. Through this process, we know that many of the components used in our products contain small amounts of tin, tungsten, tantalum, gold (“3TG”), cobalt and mica that are necessary to the functionality of those products. This Report only addresses the SEC’s requirements under Section 1502 of the Dodd-Frank Act, which is limited to 3TG. For more information regarding our broader supply chain and how risks are managed, please see Ericsson’s website for responsible sourcing.
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Exhibit 1.01 Conflict Minerals Report
As part of Ericsson’s commitment to responsible sourcing and human rights, 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 (the “DRC”) or adjoining countries. At the same time, we aim to continue supporting responsible mineral sourcing in the region. Ericsson’s efforts with respect to 3TG are aligned with the Responsible Minerals Initiative (“RMI”), and our aim is to improve traceability in our supply chain. Ericsson does not prohibit the sourcing of materials from the DRC or adjoining countries or avoid using 3TG since Ericsson believes that such a ban could result in negative consequences for responsible mining companies, their workers and the most vulnerable groups in society. The Company has a Conflict Minerals Program to fulfill compliance with the Rule, including performing the Reasonable Country of Origin Inquiry and reporting on 3TG.
Under Ericsson’s Code of Conduct for Business Partners, 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 Ericsson’s Code of Conduct for Business Partners, which requires due diligence to be exercised with respect to the sourcing and extraction of raw materials, including 3TG.
Ericsson´s suppliers’ due diligence shall be consistent with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for 3TG (the “OECD Guidance”). Furthermore, suppliers are required to comply with the requirements of the Ericsson Lists of Banned and Restricted Substances and the Ericsson Code of Conduct for Business Partners, which include an obligation to have appropriate due diligence processes in place to identify the source and chain of custody of raw materials including 3TG. Our first-tier suppliers are similarly reliant upon information provided by their suppliers.
The identification of our first-tier suppliers that are within the scope of the Rule involves different parts of Ericsson’s global organization, with our sourcing organization leading and coordinating this work. Suppliers identified to be in scope are our first-tier suppliers supplying (i) products containing 3TG that Ericsson contracts to manufacture, (ii) materials, parts, components and other products, containing 3TG, which 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”) or 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. Responses are analyzed and checked for quality. In case of incomplete or unsatisfactory answers, we take necessary steps to obtain complete information before our reporting deadline. In cases where lack of response was due to lack of awareness, suppliers were provided with assistance on how to identify the required information. An additional FAQ has also been developed to support the survey process and lessons learned are fed back into our cycle of continuous improvement.
Ericsson believes that industry cooperation is one of the best ways to address issues related to 3TG in an efficient and transparent way. We typically do not have a direct relationship with 3TG smelters and refiners, and we do not perform direct audits of these entities within our supply chain. In accordance with the OECD Guidance, we support the RMI’s audit of smelters’ and refiners’ due diligence activities mainly via the RMI’s Responsible Minerals Assurance Process (“RMAP”).
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Exhibit 1.01 Conflict Minerals Report
| 3. | Due Diligence |
Ericsson has a process in place for the purpose of exercising due diligence in the supply chain. The design of the due diligence processes conforms 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. Ericsson’s Conflict Minerals Program focuses on identifying the origin of 3TG; however, Ericsson acknowledges that other human rights and environmental risks, such as forced labor and child labor, health and safety, land-related rights and community rights are also salient relating to sourcing of 3TG. Ericsson’s Modern Slavery Statement, which includes more information about our due diligence in relation to forced labor and child labor, can be accessed on Ericsson’s website. Ericsson is currently engaged in industry dialogues via the Responsible Business Alliance (“RBA”) and RMI in relation to these issues.
| 3.1. | Maintain strong management systems |
The first step of the OECD Guidance relates to strong management systems. As mentioned above, Ericsson has established a Conflict Minerals Program for reporting on 3TG and compliance with the Rule. Controls include, but are not limited to, our Code of Business Ethics and Code of Conduct for Business Partners, which outline required behaviors for all Ericsson’s employees and suppliers, and the Ericsson Lists of Banned and Restricted Substances, which include supplier requirements to have diligence processes in place to identify the source and chain of custody of raw materials including 3TG, and are integrated in our template supplier agreements.
In 2023, the identification of smelters and refiners in our supply chain was made via the use of due diligence tools created by the RMI, including the Conflict Minerals Reporting Template v.6.31 and the Extended Minerals Reporting Template v.1.2 (the “Templates”). The Templates are standardized supply chain surveys designed to gather information regarding the smelters and refiners that process 3TG used in our supply chain. The information from our suppliers, in combination with information from the RMI, helps Ericsson to obtain information on the origin of minerals processed. Data obtained was reviewed, analyzed and retained by Ericsson.
In Ericsson’s Code of Conduct for Business Partners, the topic of responsible sourcing of raw materials is included with clear requirements of suppliers to exercise due diligence in accordance with the OECD Guidance.
Employees are expected to report concerns related to corruption, fraud, accounting, internal controls, discrimination and harassment, human rights or other matters that could constitute a breach of law, or that could harm the business or reputation of Ericsson, its employees and shareholders, directly to their manager, the superior of a manager or to the People or Legal and Compliance departments. In addition, Ericsson provides employees and external stakeholders a dedicated communication channel for reporting compliance concerns – the Ericsson Compliance Line. The Ericsson Compliance Line is operated by a third party and is available 24 hours per day, seven days per week, 365 days per year. Employees and external stakeholders are encouraged to report conduct that could violate the law or Ericsson’s policies including the Code of Business Ethics or the Ericsson Code of Conduct for Business Partners. In addition to the Compliance Line, Ericsson is further exploring additional reporting mechanisms for identifying issues related to sourcing of 3TG.
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Exhibit 1.01 Conflict Minerals Report
Ericsson has published a “Statement on sourcing of minerals from Conflict-Affected and High-Risk Areas” on its website that indicates Ericsson’s position and expected supplier activities in this area.
| 3.2. | Identify and assess risk in the supply chain |
In the second step of the OECD Guidance, risks are identified and assessed. For downstream companies such as Ericsson, the focus should be on 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 2023 Conflict Minerals’ 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 Templates. Suppliers were provided with the Templates and support material, including instructions and training illustrating the use of the tool that is available on RMI’s website. Supplier responses were reviewed against criteria developed to determine which responses required further engagement with our suppliers. In certain circumstances, suppliers were contacted via e-mail or telephone to improve the quality of responses (obtaining missing information, updating Templates’ formats to the required version) and increase the response rate (reminding supplier to provide information in the templates with extended deadlines).
| 3.3. | Design and implement a strategy to respond to identified risks |
Under the third step of the OECD Guidance, companies are encouraged to design and implement a strategy to respond to identified risks. Due diligence within Ericsson is an ongoing process. Ericsson publishes additional information about its commitment to responsible sourcing and engagement with its suppliers in its Sustainability and Corporate Responsibility Report, published together with the Annual Report.
We continuously work to improve our due diligence with respect to 3TG, primarily focusing on the quality of data 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 on supplier responses and generally prioritize following up with suppliers that are awarded large parts of our business. For example, if a supplier reports non-conformant smelters or refiners, the relevant sourcing responsible manager is notified for purposes of initiating a discussion with the supplier.
| 3.4. | Independent third-party audit of smelters’/refiners’ due diligence practices |
The fourth step of the OECD Guidance focuses on audits of smelters’/refiners’ due diligence practices. Through our RBA membership, we are also members of the RMI, supporting the RMAP as well as the development and implementation of due diligence practices and tools such as the Templates. 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.
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Exhibit 1.01 Conflict Minerals Report
| 3.5. | Report annually on supply chain due diligence |
The fifth step of the OECD Guidance encourages reporting on supply chain due diligence. We have a public statement on sourcing of minerals from Conflict Affected and High-Risk Areas, including 3TG, which is available on our website.
In accordance with the Rule, we make our Conflict Minerals Report available on our website: https://www.ericsson.com/en/investors/financial-reports/sec-filings.
| 4. | 2023 due diligence result |
For the calendar year 2023, our inquiries were made on Tier 1 supplier level, and most supplier responses received also provided data at a company or divisional level, with only a few exceptions providing product-level information. Our inquiries include responses where we believe that the names of smelters or refiners 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.
Ericsson plans to continue to engage with new suppliers that did not respond to increase response rates. Among the supplier responses, we identified 351 smelters as potential sources of 3TG that were reported to be in the supply chain during the 2023 calendar year. The following table presents, by mineral, the number of identified smelters or refiners verified as conflict-free by the RMAP or mutually recognized audit systems. In case a supplier has identified non-conformant smelters in their supply chain, Ericsson engages with such suppliers to phase-out non-conformant smelters and refiners or to encourage smelters to participate in RMAP.
Table 1. RMAP assessment status identified by Ericsson via inquiries to our suppliers in 2023
Metal | Active | Communication Suspended - Not Interested | Conformant | Non Conformant | Outreach required | RMI Due Diligence Review - Unable to Proceed | Not Eligible | Not Applicable | Total | |||||||||||||||||||||||||||
Gold | 3 | 4 | 90 | 17 | 48 | 12 | 1 | 175 | ||||||||||||||||||||||||||||
Tantalum | 34 | 1 | 1 | 36 | ||||||||||||||||||||||||||||||||
Tin | 3 | 1 | 65 | 8 | 7 | 1 | 2 | 87 | ||||||||||||||||||||||||||||
Tungsten | 1 | 1 | 34 | 4 | 4 | 8 | 1 | 53 | ||||||||||||||||||||||||||||
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Total | 7 | 6 | 223 | 29 | 60 | 22 | 2 | 2 | 351 | |||||||||||||||||||||||||||
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Note: The RMAP audit status of smelters and refiners are subject to change and the above represents information available from RMI as of May 15, 2024.
Definitions of assessment status:
Active: engaged in the program but not yet conformant.
Communication Suspended – Not Interested: facility has strongly communicated a lack of interest in participation in the RMI.
Conformant: independently assessed and found conformant with the relevant RMI Due Diligence standard (RMAP DD or DAP).
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Exhibit 1.01 Conflict Minerals Report
Non-Conformant: independently assessed and found non-conformant with the relevant RMI Due Diligence standard.
Outreach Required: outreach needed by RMI member companies to contact entity and encourage their participation to undergo an RMI assessment.
RMI Due Diligence Review – Unable to Proceed: facilities that have not met the threshold for Due Diligence Vetting Process after a period of six months. Status may change if additional information is submitted.
Not Applicable: not eligible for an RMI assessment
Not Eligible: entity cannot undergo an RMI assessment; not included in Eligible Facility List
Our knowledge of identified smelters or refiners in our supply chain is limited to the information provided by our suppliers. However, based on the information provided by Ericsson’s suppliers during the 2023 calendar year, Ericsson believes that the facilities that may have been used to process 3TG in Ericsson’s products include the smelters and refiners listed in Annex 1 below. Ericsson does not have enough information to determine with specificity all countries of origin of 3TG in our products or whether they are from recycled and scrap sources. Nevertheless, based on data from RMI and RMAP, Ericsson generated a list of Reasonable Country of Origin for 3TG based on smelters and refiners identified as shown in Annex 2.
We support the refinement and expansion of the list of participating smelters and 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 3TG in our supply chain.
During 2024, we anticipate continuing to review and evolve our Conflict Minerals due diligence processes with respect to 3TG. As part of these efforts, we expect to continue to collaborate with suppliers to maintain a high supplier response rate and improve the reliability and quality of information provided. Our engagement in the RMI program is anticipated to continue.
| 5. | Forward-Looking Statements |
Certain of the matters discussed in this report, including our due diligence processes with respect to 3TG, include forward-looking statements. Readers of this report 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 appears 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
Smelters and refiners identified by Ericsson via inquiries to our suppliers during 2023.1 Note that this list includes smelters and refiners not eligible for RMAP.
Standard Facility | Facility ID | Metal | Country Location | Assessment Status | ||||
| L’Orfebre S.A. | CID002762 | Gold | ANDORRA | Conformant | ||||
| Western Australian Mint (T/a The Perth Mint) | CID002030 | Gold | AUSTRALIA | Conformant | ||||
| ABC Refinery Pty Ltd. | CID002920 | Gold | AUSTRALIA | Outreach Required | ||||
| Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | Gold | AUSTRIA | Conformant | ||||
| Umicore S.A. Business Unit Precious Metals Refining | CID001980 | Gold | BELGIUM | Conformant | ||||
| Industrial Refining Company | CID002587 | Gold | BELGIUM | Non Conformant | ||||
| AngloGold Ashanti Corrego do Sitio Mineracao | CID000058 | Gold | BRAZIL | Conformant | ||||
| Marsam Metals | CID002606 | Gold | BRAZIL | Non Conformant | ||||
| Coimpa Industrial LTDA | CID004010 | Gold | BRAZIL | Conformant | ||||
| CCR Refinery—Glencore Canada Corporation | CID000185 | Gold | CANADA | Conformant | ||||
| Asahi Refining Canada Ltd. | CID000924 | Gold | CANADA | Conformant | ||||
| Royal Canadian Mint | CID001534 | Gold | CANADA | Conformant | ||||
| Planta Recuperadora de Metales SpA | CID002919 | Gold | CHILE | Conformant | ||||
| Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | Gold | CHINA | Conformant | ||||
| Heraeus Metals Hong Kong Ltd. | CID000707 | Gold | CHINA | Conformant | ||||
| Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | Gold | CHINA | Conformant | ||||
| 1 | The audit status of smelters and refiners is subject to change, and Annex 1 represents information available from the RMI on May 15, 2024. |
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Exhibit 1.01 Conflict Minerals Report
| Jiangxi Copper Co., Ltd. | CID000855 | Gold | CHINA | Conformant | ||||
| Metalor Technologies (Suzhou) Ltd. | CID001147 | Gold | CHINA | Conformant | ||||
| Metalor Technologies (Hong Kong) Ltd. | CID001149 | Gold | CHINA | Conformant | ||||
| Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | Gold | CHINA | Conformant | ||||
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | Gold | CHINA | Conformant | ||||
| Shandong Gold Smelting Co., Ltd. | CID001916 | Gold | CHINA | Conformant | ||||
| Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | Gold | CHINA | Conformant | ||||
| Yunnan Copper Industry Co., Ltd. | CID000197 | Gold | CHINA | Outreach Required | ||||
| Daye Non-Ferrous Metals Mining Ltd. | CID000343 | Gold | CHINA | Outreach Required | ||||
| Refinery of Seemine Gold Co., Ltd. | CID000522 | Gold | CHINA | Outreach Required | ||||
| Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | Gold | CHINA | Outreach Required | ||||
| Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | Gold | CHINA | Outreach Required | ||||
| Hunan Chenzhou Mining Co., Ltd. | CID000767 | Gold | CHINA | Outreach Required | ||||
| Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CID000773 | Gold | CHINA | Outreach Required | ||||
| Lingbao Gold Co., Ltd. | CID001056 | Gold | CHINA | Outreach Required | ||||
| Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | Gold | CHINA | Outreach Required | ||||
| Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | Gold | CHINA | Outreach Required | ||||
| Penglai Penggang Gold Industry Co., Ltd. | CID001362 | Gold | CHINA | Outreach Required | ||||
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Exhibit 1.01 Conflict Minerals Report
| Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | Gold | CHINA | Outreach Required | ||||
| Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | Gold | CHINA | Outreach Required | ||||
| Tongling Nonferrous Metals Group Co., Ltd. | CID001947 | Gold | CHINA | Outreach Required | ||||
| Guangdong Jinding Gold Limited | CID002312 | Gold | CHINA | Outreach Required | ||||
| Shandong Humon Smelting Co., Ltd. | CID002525 | Gold | CHINA | Outreach Required | ||||
| Shenzhen Zhonghenglong Real Industry Co., Ltd. | CID002527 | Gold | CHINA | Outreach Required | ||||
| Shenzhen CuiLu Gold Co., Ltd. | CID002750 | Gold | CHINA | Outreach Required | ||||
| Dongwu Gold Group | CID003663 | Gold | CHINA | Outreach Required | ||||
| Gold by Gold Colombia | CID003641 | Gold | COLOMBIA | Conformant | ||||
| SAFINA A.S. | CID002290 | Gold | CZECHIA | Conformant | ||||
| SAAMP | CID002761 | Gold | FRANCE | Non Conformant | ||||
| WEEEREFINING | CID003615 | Gold | FRANCE | Conformant | ||||
| Agosi AG | CID000035 | Gold | GERMANY | Conformant | ||||
| Aurubis AG | CID000113 | Gold | GERMANY | Conformant | ||||
| C. Hafner GmbH + Co. KG | CID000176 | Gold | GERMANY | Conformant | ||||
| Heimerle + Meule GmbH | CID000694 | Gold | GERMANY | Conformant | ||||
| Heraeus Germany GmbH Co. KG | CID000711 | Gold | GERMANY | Conformant | ||||
| WIELAND Edelmetalle GmbH | CID002778 | Gold | GERMANY | Conformant | ||||
| Degussa Sonne / Mond Goldhandel GmbH | CID002867 | Gold | GERMANY | Outreach Required | ||||
| Gold Coast Refinery | CID003186 | Gold | GHANA | Outreach Required | ||||
| MMTC-PAMP India Pvt., Ltd. | CID002509 | Gold | INDIA | Conformant | ||||
| GGC Gujrat Gold Centre Pvt. Ltd. | CID002852 | Gold | INDIA | Non Conformant | ||||
| Bangalore Refinery | CID002863 | Gold | INDIA | Active | ||||
| Augmont Enterprises Private Limited | CID003461 | Gold | INDIA | Non Conformant | ||||
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Exhibit 1.01 Conflict Minerals Report
| Shirpur Gold Refinery Ltd. | CID002588 | Gold | INDIA | Outreach Required | ||||
| Sai Refinery | CID002853 | Gold | INDIA | Outreach Required | ||||
| JALAN & Company | CID002893 | Gold | INDIA | Outreach Required | ||||
| CGR Metalloys Pvt Ltd. | CID003382 | Gold | INDIA | Outreach Required | ||||
| Sovereign Metals | CID003383 | Gold | INDIA | Outreach Required | ||||
| Kundan Care Products Ltd. | CID003463 | Gold | INDIA | Outreach Required | ||||
| Emerald Jewel Industry India Limited (Unit 1) | CID003487 | Gold | INDIA | Outreach Required | ||||
| Emerald Jewel Industry India Limited (Unit 2) | CID003488 | Gold | INDIA | Outreach Required | ||||
| Emerald Jewel Industry India Limited (Unit 3) | CID003489 | Gold | INDIA | Outreach Required | ||||
| Emerald Jewel Industry India Limited (Unit 4) | CID003490 | Gold | INDIA | Outreach Required | ||||
| MD Overseas | CID003548 | Gold | INDIA | Outreach Required | ||||
| PT Aneka Tambang (Persero) Tbk | CID001397 | Gold | INDONESIA | Conformant | ||||
| Chimet S.p.A. | CID000233 | Gold | ITALY | Conformant | ||||
| T.C.A S.p.A | CID002580 | Gold | ITALY | Conformant | ||||
| Italpreziosi | CID002765 | Gold | ITALY | Conformant | ||||
| 8853 S.p.A. | CID002763 | Gold | ITALY | Non Conformant | ||||
| Safimet S.p.A | CID002973 | Gold | ITALY | Non Conformant | ||||
| Asahi Pretec Corp. | CID000082 | Gold | JAPAN | Conformant | ||||
| Dowa | CID000401 | Gold | JAPAN | Conformant | ||||
| JX Nippon Mining & Metals Co., Ltd. | CID000937 | Gold | JAPAN | Conformant | ||||
| Aida Chemical Industries Co., Ltd. | CID000019 | Gold | JAPAN | Conformant | ||||
| Chugai Mining | CID000264 | Gold | JAPAN | Conformant | ||||
| Eco-System Recycling Co., Ltd. East Plant | CID000425 | Gold | JAPAN | Conformant | ||||
| Ishifuku Metal Industry Co., Ltd. | CID000807 | Gold | JAPAN | Conformant | ||||
| Japan Mint | CID000823 | Gold | JAPAN | Conformant | ||||
| Kojima Chemicals Co., Ltd. | CID000981 | Gold | JAPAN | Conformant | ||||
| Matsuda Sangyo Co., Ltd. | CID001119 | Gold | JAPAN | Conformant | ||||
| Mitsubishi Materials Corporation | CID001188 | Gold | JAPAN | Conformant | ||||
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Exhibit 1.01 Conflict Minerals Report
| Mitsui Mining and Smelting Co., Ltd. | CID001193 | Gold | JAPAN | Conformant | ||||
| Nihon Material Co., Ltd. | CID001259 | Gold | JAPAN | Conformant | ||||
| Ohura Precious Metal Industry Co., Ltd. | CID001325 | Gold | JAPAN | Conformant | ||||
| Sumitomo Metal Mining Co., Ltd. | CID001798 | Gold | JAPAN | Conformant | ||||
| Tanaka Kikinzoku Kogyo K.K. | CID001875 | Gold | JAPAN | Conformant | ||||
| Tokuriki Honten Co., Ltd. | CID001938 | Gold | JAPAN | Conformant | ||||
| Yamakin Co., Ltd. | CID002100 | Gold | JAPAN | Conformant | ||||
| Yokohama Metal Co., Ltd. | CID002129 | Gold | JAPAN | Conformant | ||||
| Eco-System Recycling Co., Ltd. North Plant | CID003424 | Gold | JAPAN | Conformant | ||||
| Eco-System Recycling Co., Ltd. West Plant | CID003425 | Gold | JAPAN | Conformant | ||||
| Asaka Riken Co., Ltd. | CID000090 | Gold | JAPAN | Conformant | ||||
| Kazzinc | CID000957 | Gold | KAZAKHSTAN | Conformant | ||||
| TOO Tau-Ken-Altyn | CID002615 | Gold | KAZAKHSTAN | Conformant | ||||
| Kazakhmys Smelting LLC | CID000956 | Gold | KAZAKHSTAN | Outreach Required | ||||
| DSC (Do Sung Corporation) | CID000359 | Gold | KOREA, REPUBLIC OF | Conformant | ||||
| LT Metal Ltd. | CID000689 | Gold | KOREA, REPUBLIC OF | Conformant | ||||
| LS MnM Inc. | CID001078 | Gold | KOREA, REPUBLIC OF | Conformant | ||||
| Torecom | CID001955 | Gold | KOREA, REPUBLIC OF | Conformant | ||||
| Korea Zinc Co., Ltd. | CID002605 | Gold | KOREA, REPUBLIC OF | Conformant | ||||
| SungEel HiMetal Co., Ltd. | CID002918 | Gold | KOREA, REPUBLIC OF | Conformant | ||||
| NH Recytech Company | CID003189 | Gold | KOREA, REPUBLIC OF | Conformant | ||||
| Samduck Precious Metals | CID001555 | Gold | KOREA, REPUBLIC OF | Non Conformant | ||||
| HwaSeong CJ CO., LTD. | CID000778 | Gold | KOREA, REPUBLIC OF | Communication Suspended - Not Interested | ||||
| Samwon Metals Corp. | CID001562 | Gold | KOREA, REPUBLIC OF | Communication Suspended - Not Interested | ||||
| Kyrgyzaltyn JSC | CID001029 | Gold | KYRGYZSTAN | Non Conformant | ||||
| State Research Institute Center for Physical Sciences and Technology | CID003153 | Gold | LITHUANIA | Outreach Required | ||||
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Exhibit 1.01 Conflict Minerals Report
| Modeltech Sdn Bhd | CID002857 | Gold | MALAYSIA | Non Conformant | ||||
| Metalurgica Met-Mex Penoles S.A. De C.V. | CID001161 | Gold | MEXICO | Conformant | ||||
| Caridad | CID000180 | Gold | MEXICO | Outreach Required | ||||
| REMONDIS PMR B.V. | CID002582 | Gold | NETHERLANDS | Conformant | ||||
| Morris and Watson | CID002282 | Gold | NEW ZEALAND | Outreach Required | ||||
| K.A. Rasmussen | CID003497 | Gold | NORWAY | Outreach Required | ||||
| Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | Gold | PHILIPPINES | Conformant | ||||
| KGHM Polska Miedz Spolka Akcyjna | CID002511 | Gold | POLAND | Conformant | ||||
| Albino Mountinho Lda. | CID002760 | Gold | PORTUGAL | Outreach Required | ||||
| JSC Novosibirsk Refinery | CID000493 | Gold | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | Gold | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| JSC Uralelectromed | CID000929 | Gold | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| Moscow Special Alloys Processing Plant | CID001204 | Gold | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | CID001326 | Gold | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| Prioksky Plant of Non-Ferrous Metals | CID001386 | Gold | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | Gold | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| Kyshtym Copper-Electrolytic Plant ZAO | CID002865 | Gold | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| L’azurde Company For Jewelry | CID001032 | Gold | SAUDI ARABIA | RMI Due Diligence Review - Unable to Proceed | ||||
| Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | Gold | SINGAPORE | Conformant | ||||
12
Exhibit 1.01 Conflict Minerals Report
| Rand Refinery (Pty) Ltd. | CID001512 | Gold | SOUTH AFRICA | Conformant | ||||
| Metal Concentrators SA (Pty) Ltd. | CID003575 | Gold | SOUTH AFRICA | Conformant | ||||
| AU Traders and Refiners | CID002850 | Gold | SOUTH AFRICA | Non Conformant | ||||
| SEMPSA Joyeria Plateria S.A. | CID001585 | Gold | SPAIN | Conformant | ||||
| Sudan Gold Refinery | CID002567 | Gold | SUDAN | Outreach Required | ||||
| Boliden Ronnskar | CID000157 | Gold | SWEDEN | Conformant | ||||
| Argor-Heraeus S.A. | CID000077 | Gold | SWITZERLAND | Conformant | ||||
| Metalor Technologies S.A. | CID001153 | Gold | SWITZERLAND | Conformant | ||||
| MKS PAMP SA | CID001352 | Gold | SWITZERLAND | Conformant | ||||
| PX Precinox S.A. | CID001498 | Gold | SWITZERLAND | Conformant | ||||
| Valcambi S.A. | CID002003 | Gold | SWITZERLAND | Conformant | ||||
| Cendres + Metaux S.A. | CID000189 | Gold | SWITZERLAND | Non Conformant | ||||
| Solar Applied Materials Technology Corp. | CID001761 | Gold | TAIWAN, PROVINCE OF CHINA | Conformant | ||||
| Singway Technology Co., Ltd. | CID002516 | Gold | TAIWAN, PROVINCE OF CHINA | Non Conformant | ||||
| Super Dragon Technology Co., Ltd. | CID001810 | Gold | TAIWAN, PROVINCE OF CHINA | Outreach Required | ||||
| GG Refinery Ltd. | CID004506 | Gold | TANZANIA | Active | ||||
| Umicore Precious Metals Thailand | CID002314 | Gold | THAILAND | Non Conformant | ||||
| Istanbul Gold Refinery | CID000814 | Gold | TURKEY | Conformant | ||||
| Nadir Metal Rafineri San. Ve Tic. A.S. | CID001220 | Gold | TURKEY | Conformant | ||||
| Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 | Gold | TURKEY | Outreach Required | ||||
| African Gold Refinery | CID003185 | Gold | UGANDA | RMI Due Diligence Review - Unable to Proceed | ||||
| Al Etihad Gold Refinery DMCC | CID002560 | Gold | UNITED ARAB EMIRATES | Non Conformant | ||||
| Emirates Gold DMCC | CID002561 | Gold | UNITED ARAB EMIRATES | Non Conformant | ||||
| International Precious Metal Refiners | CID002562 | Gold | UNITED ARAB EMIRATES | Outreach Required | ||||
| Kaloti Precious Metals | CID002563 | Gold | UNITED ARAB EMIRATES | RMI Due Diligence Review - Unable to Proceed | ||||
| Fujairah Gold FZC | CID002584 | Gold | UNITED ARAB EMIRATES | Outreach Required | ||||
13
Exhibit 1.01 Conflict Minerals Report
| Dijllah Gold Refinery FZC | CID003348 | Gold | UNITED ARAB EMIRATES | Outreach Required | ||||
| Sam Precious Metals | CID003666 | Gold | UNITED ARAB EMIRATES | Outreach Required | ||||
| Kennecott Utah Copper LLC | CID000969 | Gold | UNITED STATES OF AMERICA | Conformant | ||||
| Asahi Refining USA Inc. | CID000920 | Gold | UNITED STATES OF AMERICA | Conformant | ||||
| Materion | CID001113 | Gold | UNITED STATES OF AMERICA | Conformant | ||||
| Metalor USA Refining Corporation | CID001157 | Gold | UNITED STATES OF AMERICA | Conformant | ||||
| United Precious Metal Refining, Inc. | CID001993 | Gold | UNITED STATES OF AMERICA | Conformant | ||||
| Abington Reldan Metals, LLC | CID002708 | Gold | UNITED STATES OF AMERICA | Conformant | ||||
| Alexy Metals | CID003500 | Gold | UNITED STATES OF AMERICA | Non Conformant | ||||
| Advanced Chemical Company | CID000015 | Gold | UNITED STATES OF AMERICA | Active | ||||
| Sabin Metal Corp. | CID001546 | Gold | UNITED STATES OF AMERICA | Communication Suspended - Not Interested | ||||
| Geib Refining Corp. | CID002459 | Gold | UNITED STATES OF AMERICA | Not Applicable | ||||
| Pease & Curren | CID002872 | Gold | UNITED STATES OF AMERICA | Communication Suspended - Not Interested | ||||
| QG Refining, LLC | CID003324 | Gold | UNITED STATES OF AMERICA | Outreach Required | ||||
| Metallix Refining Inc. | CID003557 | Gold | UNITED STATES OF AMERICA | Outreach Required | ||||
| Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | Gold | UZBEKISTAN | Conformant | ||||
| Navoi Mining and Metallurgical Combinat | CID001236 | Gold | UZBEKISTAN | Conformant | ||||
| Fidelity Printers and Refiners Ltd. | CID002515 | Gold | ZIMBABWE | RMI Due Diligence Review—Unable to Proceed | ||||
| Jiujiang Tanbre Co., Ltd. | CID000917 | Tantalum | CHINA | Conformant | ||||
| AMG Brasil | CID001076 | Tantalum | BRAZIL | Conformant | ||||
| Metallurgical Products India Pvt., Ltd. | CID001163 | Tantalum | INDIA | Conformant | ||||
| Mineracao Taboca S.A. | CID001175 | Tantalum | BRAZIL | Conformant | ||||
| Mitsui Mining and Smelting Co., Ltd. | CID001192 | Tantalum | JAPAN | Conformant | ||||
| QuantumClean | CID001508 | Tantalum | UNITED STATES OF AMERICA | Conformant | ||||
| Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 | Tantalum | CHINA | Conformant | ||||
| Telex Metals | CID001891 | Tantalum | UNITED STATES OF AMERICA | Conformant | ||||
14
Exhibit 1.01 Conflict Minerals Report
| D Block Metals, LLC | CID002504 | Tantalum | UNITED STATES OF AMERICA | Conformant | ||||
| FIR Metals & Resource Ltd. | CID002505 | Tantalum | CHINA | Conformant | ||||
| Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | Tantalum | CHINA | Conformant | ||||
| Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | Tantalum | CHINA | Conformant | ||||
| KEMET de Mexico | CID002539 | Tantalum | MEXICO | Conformant | ||||
| Materion Newton Inc. | CID002548 | Tantalum | UNITED STATES OF AMERICA | Conformant | ||||
| TANIOBIS Japan Co., Ltd. | CID002549 | Tantalum | JAPAN | Conformant | ||||
| Global Advanced Metals Aizu | CID002558 | Tantalum | JAPAN | Conformant | ||||
| Resind Industria e Comercio Ltda. | CID002707 | Tantalum | BRAZIL | Conformant | ||||
| Jiangxi Tuohong New Raw Material | CID002842 | Tantalum | CHINA | Conformant | ||||
| F&X Electro-Materials Ltd. | CID000460 | Tantalum | CHINA | Conformant | ||||
| Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | Tantalum | CHINA | Conformant | ||||
| TANIOBIS GmbH | CID002545 | Tantalum | GERMANY | Conformant | ||||
| Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | Tantalum | CHINA | Conformant | ||||
| RFH Yancheng Jinye New Material Technology Co., Ltd. | CID003583 | Tantalum | CHINA | Conformant | ||||
| XIMEI RESOURCES (GUANGDONG) LIMITED | CID000616 | Tantalum | CHINA | Conformant | ||||
| JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | Tantalum | CHINA | Conformant | ||||
| NPM Silmet AS | CID001200 | Tantalum | ESTONIA | Conformant | ||||
| TANIOBIS Smelting GmbH & Co. KG | CID002550 | Tantalum | GERMANY | Conformant | ||||
| Taki Chemical Co., Ltd. | CID001869 | Tantalum | JAPAN | Conformant | ||||
| Ulba Metallurgical Plant JSC | CID001969 | Tantalum | KAZAKHSTAN | Conformant | ||||
| TANIOBIS Co., Ltd. | CID002544 | Tantalum | THAILAND | Conformant | ||||
15
Exhibit 1.01 Conflict Minerals Report
| Global Advanced Metals Boyertown | CID002557 | Tantalum | UNITED STATES OF AMERICA | Conformant | ||||
| Solikamsk Magnesium Works OAO | CID001769 | Tantalum | RUSSIAN FEDERATION | RMI Due Diligence Review—Unable to Proceed | ||||
| XinXing HaoRong Electronic Material Co., Ltd. | CID002508 | Tantalum | CHINA | Conformant | ||||
| 5D Production OU | CID003926 | Tantalum | ESTONIA | Outreach Required | ||||
| PowerX Ltd. | CID004054 | Tantalum | RWANDA | Conformant | ||||
| Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 | Tantalum | CHINA | Conformant | ||||
| Tin Smelting Branch of Yunnan Tin Co., Ltd. | CID002180 | Tin | CHINA | Conformant | ||||
| Alpha | CID000292 | Tin | UNITED STATES OF AMERICA | Conformant | ||||
| Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | Tin | CHINA | Conformant | ||||
| Malaysia Smelting Corporation (MSC) | CID001105 | Tin | MALAYSIA | Conformant | ||||
| Mineracao Taboca S.A. | CID001173 | Tin | BRAZIL | Conformant | ||||
| Minsur | CID001182 | Tin | PERU | Conformant | ||||
| Mitsubishi Materials Corporation | CID001191 | Tin | JAPAN | Conformant | ||||
| Operaciones Metalurgicas S.A. | CID001337 | Tin | BOLIVIA (PLURINATIONAL STATE OF) | Conformant | ||||
| PT Mitra Stania Prima | CID001453 | Tin | INDONESIA | Conformant | ||||
| Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 | Tin | CHINA | Conformant | ||||
| Jiangxi New Nanshan Technology Ltd. | CID001231 | Tin | CHINA | Conformant | ||||
| Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | Tin | CHINA | Conformant | ||||
| Dowa | CID000402 | Tin | JAPAN | Conformant | ||||
| EM Vinto | CID000438 | Tin | BOLIVIA (PLURINATIONAL STATE OF) | Conformant | ||||
| Fenix Metals | CID000468 | Tin | POLAND | Conformant | ||||
| China Tin Group Co., Ltd. | CID001070 | Tin | CHINA | Conformant | ||||
16
Exhibit 1.01 Conflict Minerals Report
| Metallic Resources, Inc. | CID001142 | Tin | UNITED STATES OF AMERICA | Conformant | ||||
| O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | Tin | THAILAND | Conformant | ||||
| PT Artha Cipta Langgeng | CID001399 | Tin | INDONESIA | Conformant | ||||
| PT Refined Bangka Tin | CID001460 | Tin | INDONESIA | Conformant | ||||
| PT Stanindo Inti Perkasa | CID001468 | Tin | INDONESIA | Conformant | ||||
| PT Timah Tbk Kundur | CID001477 | Tin | INDONESIA | Conformant | ||||
| PT Timah Tbk Mentok | CID001482 | Tin | INDONESIA | Conformant | ||||
| Rui Da Hung | CID001539 | Tin | TAIWAN, PROVINCE OF CHINA | Conformant | ||||
| Magnu’s Minerais Metais e Ligas Ltda. | CID002468 | Tin | BRAZIL | Conformant | ||||
| PT ATD Makmur Mandiri Jaya | CID002503 | Tin | INDONESIA | Conformant | ||||
| O.M. Manufacturing Philippines, Inc. | CID002517 | Tin | PHILIPPINES | Conformant | ||||
| Resind Industria e Comercio Ltda. | CID002706 | Tin | BRAZIL | Conformant | ||||
| Aurubis Beerse | CID002773 | Tin | BELGIUM | Conformant | ||||
| Aurubis Berango | CID002774 | Tin | SPAIN | Conformant | ||||
| Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 | Tin | CHINA | Conformant | ||||
| Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 | Tin | CHINA | Conformant | ||||
| Tin Technology & Refining | CID003325 | Tin | UNITED STATES OF AMERICA | Conformant | ||||
| Thaisarco | CID001898 | Tin | THAILAND | Conformant | ||||
| Estanho de Rondonia S.A. | CID000448 | Tin | BRAZIL | Conformant | ||||
| White Solder Metalurgia e Mineracao Ltda. | CID002036 | Tin | BRAZIL | Conformant | ||||
| Super Ligas | CID002756 | Tin | BRAZIL | Conformant | ||||
| CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | CID003486 | Tin | BRAZIL | Conformant | ||||
| Fabrica Auricchio Industria e Comercio Ltda. | CID003582 | Tin | BRAZIL | Conformant | ||||
17
Exhibit 1.01 Conflict Minerals Report
| Ma’anshan Weitai Tin Co., Ltd. | CID003379 | Tin | CHINA | Non Conformant | ||||
| HuiChang Hill Tin Industry Co., Ltd. | CID002844 | Tin | CHINA | Conformant | ||||
| Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CID003397 | Tin | CHINA | Conformant | ||||
| Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | Tin | CHINA | Non Conformant | ||||
| PT Menara Cipta Mulia | CID002835 | Tin | INDONESIA | Conformant | ||||
| PT Mitra Sukses Globalindo | CID003449 | Tin | INDONESIA | Conformant | ||||
| PT Putera Sarana Shakti (PT PSS) | CID003868 | Tin | INDONESIA | Conformant | ||||
| PT Rajawali Rimba Perkasa | CID003381 | Tin | INDONESIA | Conformant | ||||
| PT Bangka Serumpun | CID003205 | Tin | INDONESIA | Conformant | ||||
| PT Rajehan Ariq | CID002593 | Tin | INDONESIA | Conformant | ||||
| PT Cipta Persada Mulia | CID002696 | Tin | INDONESIA | Conformant | ||||
| PT Sukses Inti Makmur (SIM) | CID002816 | Tin | INDONESIA | Conformant | ||||
| PT Babel Inti Perkasa | CID001402 | Tin | INDONESIA | Conformant | ||||
| PT Babel Surya Alam Lestari | CID001406 | Tin | INDONESIA | Conformant | ||||
| PT Belitung Industri Sejahtera | CID001421 | Tin | INDONESIA | Conformant | ||||
| PT Bukit Timah | CID001428 | Tin | INDONESIA | Conformant | ||||
| PT Prima Timah Utama | CID001458 | Tin | INDONESIA | Conformant | ||||
| PT Sariwiguna Binasentosa | CID001463 | Tin | INDONESIA | Conformant | ||||
| PT Timah Nusantara | CID001486 | Tin | INDONESIA | Conformant | ||||
| PT Tinindo Inter Nusa | CID001490 | Tin | INDONESIA | Conformant | ||||
| PT Tommy Utama | CID001493 | Tin | INDONESIA | Conformant | ||||
| CV Venus Inti Perkasa | CID002455 | Tin | INDONESIA | Conformant | ||||
| PT Aries Kencana Sejahtera | CID000309 | Tin | INDONESIA | Conformant | ||||
| DS Myanmar | CID003831 | Tin | MYANMAR | Conformant | ||||
| Luna Smelter, Ltd. | CID003387 | Tin | RWANDA | Conformant | ||||
| CRM Synergies | CID003524 | Tin | SPAIN | Conformant | ||||
| PT Premium Tin Indonesia | CID000313 | Tin | INDONESIA | Conformant | ||||
| Gejiu Kai Meng Industry and Trade LLC | CID000942 | Tin | CHINA | Non Conformant | ||||
18
Exhibit 1.01 Conflict Minerals Report
| Novosibirsk Tin Combine | CID001305 | Tin | RUSSIAN FEDERATION | RMI Due Diligence Review—Unable to Proceed | ||||
| PT Bangka Tin Industry | CID001419 | Tin | INDONESIA | Active | ||||
| PT Panca Mega Persada | CID001457 | Tin | INDONESIA | Outreach Required | ||||
| Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | Tin | CHINA | Non Conformant | ||||
| VQB Mineral and Trading Group JSC | CID002015 | Tin | VIET NAM | Outreach Required | ||||
| PT Tirus Putra Mandiri | CID002478 | Tin | INDONESIA | Communication Suspended—Not Interested | ||||
| Melt Metais e Ligas S.A. | CID002500 | Tin | BRAZIL | Non Conformant | ||||
| CV Ayi Jaya | CID002570 | Tin | INDONESIA | Conformant | ||||
| Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | Tin | VIET NAM | Non Conformant | ||||
| Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Tin | VIET NAM | Outreach Required | ||||
| Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Tin | VIET NAM | Outreach Required | ||||
| An Vinh Joint Stock Mineral Processing Company | CID002703 | Tin | VIET NAM | Outreach Required | ||||
| PT Bangka Prima Tin | CID002776 | Tin | INDONESIA | Conformant | ||||
| Modeltech Sdn Bhd | CID002858 | Tin | MALAYSIA | Non Conformant | ||||
| Pongpipat Company Limited | CID003208 | Tin | MYANMAR | Outreach Required | ||||
| Dongguan CiEXPO Environmental Engineering Co., Ltd. | CID003356 | Tin | CHINA | Non Conformant | ||||
| Precious Minerals and Smelting Limited | CID003409 | Tin | INDIA | Active | ||||
| Gejiu City Fuxiang Industry and Trade Co., Ltd. | CID003410 | Tin | CHINA | Outreach Required | ||||
| Mining Minerals Resources SARL | CID004065 | Tin | CONGO, DEMOCRATIC REPUBLIC OF THE | Conformant | ||||
| Malaysia Smelting Corporation Berhad (Port Klang) | CID004434 | Tin | MALAYSIA | Active | ||||
19
Exhibit 1.01 Conflict Minerals Report
| A.L.M.T. Corp. | CID000004 | Tungsten | JAPAN | Conformant | ||||
| Kennametal Huntsville | CID000105 | Tungsten | UNITED STATES OF AMERICA | Conformant | ||||
| Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | Tungsten | CHINA | Conformant | ||||
| Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | Tungsten | CHINA | Conformant | ||||
| Hunan Chenzhou Mining Co., Ltd. | CID000766 | Tungsten | CHINA | Conformant | ||||
| Japan New Metals Co., Ltd. | CID000825 | Tungsten | JAPAN | Conformant | ||||
| Kennametal Fallon | CID000966 | Tungsten | UNITED STATES OF AMERICA | Conformant | ||||
| Xiamen Tungsten Co., Ltd. | CID002082 | Tungsten | CHINA | Conformant | ||||
| Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | Tungsten | CHINA | Conformant | ||||
| Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | Tungsten | CHINA | Conformant | ||||
| Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | Tungsten | CHINA | Conformant | ||||
| Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | Tungsten | CHINA | Conformant | ||||
| Malipo Haiyu Tungsten Co., Ltd. | CID002319 | Tungsten | CHINA | Conformant | ||||
| Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | Tungsten | CHINA | Conformant | ||||
| Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | Tungsten | CHINA | Conformant | ||||
| Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CID002513 | Tungsten | CHINA | Conformant | ||||
| H.C. Starck Tungsten GmbH | CID002541 | Tungsten | GERMANY | Conformant | ||||
| TANIOBIS Smelting GmbH & Co. KG | CID002542 | Tungsten | GERMANY | Conformant | ||||
| Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | Tungsten | CHINA | Conformant | ||||
20
Exhibit 1.01 Conflict Minerals Report
| Ganzhou Haichuang Tungsten Co., Ltd. | CID002645 | Tungsten | CHINA | Not Applicable | ||||
| Philippine Chuangxin Industrial Co., Inc. | CID002827 | Tungsten | PHILIPPINES | Conformant | ||||
| Lianyou Metals Co., Ltd. | CID003407 | Tungsten | TAIWAN, PROVINCE OF CHINA | Conformant | ||||
| Wolfram Bergbau und Hutten AG | CID002044 | Tungsten | AUSTRIA | Conformant | ||||
| ACL Metais Eireli | CID002833 | Tungsten | BRAZIL | Non Conformant | ||||
| Cronimet Brasil Ltda | CID003468 | Tungsten | BRAZIL | Conformant | ||||
| China Molybdenum Tungsten Co., Ltd. | CID002641 | Tungsten | CHINA | Conformant | ||||
| Fujian Xinlu Tungsten Co., Ltd. | CID003609 | Tungsten | CHINA | Conformant | ||||
| Hubei Green Tungsten Co., Ltd. | CID003417 | Tungsten | CHINA | Conformant | ||||
| Hunan Jintai New Material Co., Ltd. | CID000769 | Tungsten | CHINA | Non Conformant | ||||
| Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | Tungsten | CHINA | Conformant | ||||
| Niagara Refining LLC | CID002589 | Tungsten | UNITED STATES OF AMERICA | Conformant | ||||
| Global Tungsten & Powders LLC | CID000568 | Tungsten | UNITED STATES OF AMERICA | Conformant | ||||
| Asia Tungsten Products Vietnam Ltd. | CID002502 | Tungsten | VIET NAM | Conformant | ||||
| Masan High-Tech Materials | CID002543 | Tungsten | VIET NAM | Conformant | ||||
| CNMC (Guangxi) PGMA Co., Ltd. | CID000281 | Tungsten | CHINA | Outreach Required | ||||
| Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | CID002313 | Tungsten | CHINA | Communication Suspended—Not Interested | ||||
| Hydrometallurg, JSC | CID002649 | Tungsten | RUSSIAN FEDERATION | RMI Due Diligence Review—Unable to Proceed | ||||
| Unecha Refractory metals plant | CID002724 | Tungsten | RUSSIAN FEDERATION | Non Conformant | ||||
| Moliren Ltd. | CID002845 | Tungsten | RUSSIAN FEDERATION | RMI Due Diligence Review—Unable to Proceed | ||||
| JSC “Kirovgrad Hard Alloys Plant” | CID003408 | Tungsten | RUSSIAN FEDERATION | RMI Due Diligence Review—Unable to Proceed | ||||
| NPP Tyazhmetprom LLC | CID003416 | Tungsten | RUSSIAN FEDERATION | RMI Due Diligence Review—Unable to Proceed | ||||
| Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | CID003427 | Tungsten | BRAZIL | Non Conformant | ||||
21
Exhibit 1.01 Conflict Minerals Report
| Artek LLC | CID003553 | Tungsten | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| OOO “Technolom” 2 | CID003612 | Tungsten | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| OOO “Technolom” 1 | CID003614 | Tungsten | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| LLC Vostok | CID003643 | Tungsten | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed | ||||
| YUDU ANSHENG TUNGSTEN CO., LTD. | CID003662 | Tungsten | CHINA | Outreach Required | ||||
| HANNAE FOR T Co., Ltd. | CID003978 | Tungsten | KOREA, REPUBLIC OF | Outreach Required | ||||
| Tungsten Vietnam Joint Stock Company | CID003993 | Tungsten | VIET NAM | Conformant | ||||
| Kenee Mining Corporation Vietnam | CID004619 | Tungsten | VIET NAM | Active | ||||
| Lianyou Resources Co., Ltd. | CID004397 | Tungsten | TAIWAN, PROVINCE OF CHINA | Conformant | ||||
| Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | CID004430 | Tungsten | CHINA | Conformant | ||||
| Nam Viet Cromit Joint Stock Company | CID004034 | Tungsten | VIET NAM | Outreach Required | ||||
22
Exhibit 1.01 Conflict Minerals Report
Annex 2
Reasonable Country of Origin for 3TG based on the identified smelters and suppliers.2
Gold | Tantalum | Tin | Tungsten | |||
| ANDORRA | BRAZIL | BELGIUM | AUSTRIA | |||
| AUSTRALIA | CHINA | BOLIVIA (PLURINATIONAL STATE OF) | BRAZIL | |||
| AUSTRIA | ESTONIA | BRAZIL | CHINA | |||
| BELGIUM | GERMANY | CHINA | GERMANY | |||
| BRAZIL | INDIA | CONGO, DEMOCRATIC REPUBLIC OF THE | JAPAN | |||
| CANADA | JAPAN | INDIA | KOREA, REPUBLIC OF | |||
| CHILE | KAZAKHSTAN | INDONESIA | PHILIPPINES | |||
| CHINA | MEXICO | JAPAN | RUSSIAN FEDERATION | |||
| COLOMBIA | RUSSIAN FEDERATION | MALAYSIA | TAIWAN, PROVINCE OF CHINA | |||
| CZECHIA | RWANDA | MYANMAR | UNITED STATES OF AMERICA | |||
| FRANCE | THAILAND | PERU | VIETNAM | |||
| GERMANY | UNITED STATES OF AMERICA | PHILIPPINES | ||||
| GHANA | POLAND | |||||
| INDIA | RUSSIAN FEDERATION | |||||
| INDONESIA | RWANDA | |||||
| ITALY | SPAIN | |||||
| JAPAN | TAIWAN, PROVINCE OF CHINA | |||||
| KAZAKHSTAN | THAILAND | |||||
| KOREA, REPUBLIC OF | TAIWAN, PROVINCE OF CHINA | |||||
| KYRGYZSTAN | THAILAND | |||||
| LITHUANIA | VIETNAM | |||||
| MALAYSIA | ||||||
| MEXICO | ||||||
| NETHERLANDS | ||||||
| NEW ZEALAND | ||||||
| NORWAY | ||||||
| PHILIPPINES | ||||||
| POLAND | ||||||
| PORTUGAL | ||||||
| 2 | The data and the definitions have been obtained from RMI and reflect information as of May 15, 2023. |
23
Exhibit 1.01 Conflict Minerals Report
| RUSSIAN FEDERATION |
| SAUDI ARABIA |
| SINGAPORE |
| SOUTH AFRICA |
| SPAIN |
| SUDAN |
| SWEDEN |
| SWITZERLAND |
| TAIWAN, PROVINCE OF CHINA |
| TANZANIA |
| THAILAND |
| TURKEY |
| UGANDA |
| UNITED ARAB EMIRATES |
| UNITED STATES OF AMERICA |
| UZBEKISTAN |
| ZIMBABWE |
24
