SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

Specialized Disclosure Report

 

 

CLEAN ENERGY FUELS CORP.

(Exact Name of Registrant as Specified in Charter)

 

 

 

Delaware   001-33480   33-0968580

(State or Other Jurisdiction

of Incorporation or Organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

4675 MacArthur Court, Suite 800

Newport Beach, California

  92660
(Address of Principal Executive Offices)   (Zip Code)

J. Nathan Jensen

Senior Vice President, Corporate Transactions and Chief Legal Officer

Clean Energy Fuels Corp.

4675 MacArthur Court, Suite 800

Newport Beach, California 92660

(949) 437-1000

(Name and Telephone Number, including Area Code,

of the Person to Contact in Connection with This Report.)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.

 

 

 


Section 1 — Conflict Minerals Disclosure

 

Item 1.01

Conflict Minerals Disclosure and Report.

Conflict Minerals Disclosure

This Form SD of Clean Energy Fuels Corp. (the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934 for the reporting period from January 1, 2018 to December 31, 2018 (the “Reporting Period”).

A copy of the Company’s Conflict Minerals Report for the Reporting Period is filed as Exhibit 1.01 to this Form SD, is hereby incorporated by reference herein, and is publicly available at http://investors.cleanenergyfuels.com/corporate-governance.cfm. The foregoing website reference is intended to be an inactive textual reference, and the contents of the Company’s website are not incorporated into this Form SD.

Item 1.02 Exhibit.

The Conflict Minerals Report required by Item 1.01 of Form SD is filed as Exhibit 1.01 to this Form SD.

Section 2 — Exhibits

Item 2.01 Exhibits

 

Exhibit
No.

  

Description

1.01    Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018 as required by Items 1.01 and 1.02 of this Form.

 

1


EXHIBIT INDEX

 

Exhibit
No.

  

Description

1.01    Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018 as required by Items 1.01 and 1.02 of this Form.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

  Clean Energy Fuels Corp.    

By:

  /s/ Andrew J. Littlefair       Date: May 30, 2019
 

Name: Andrew J. Littlefair

Title: President and Chief Executive Officer

     

 

3

EX-1.01

Exhibit 1.01

CLEAN ENERGY FUELS CORP.

Conflict Minerals Report

For the Reporting Period from January 1, 2018 to December 31, 2018

This Conflict Minerals Report (the “Report”) of Clean Energy Fuels Corp. (together with its consolidated subsidiaries, the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD (collectively, the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2018 to December 31, 2018 (the “Reporting Period”). As permitted by applicable guidance of the Securities and Exchange Commission, the Company did not obtain an independent private sector audit within the meaning of the Rule.

Overview of the Company and the Rule

The Company is the leading provider of natural gas as an alternative fuel for vehicle fleets in the United States and Canada, based on the number of stations operated and the amount of gasoline gallon equivalents (“GGEs”) of renewable natural gas (“RNG”), compressed natural gas (“CNG”) and liquefied natural gas (“LNG”) delivered. The Company’s principal business is supplying RNG, CNG and LNG (RNG can be delivered in the form of CNG or LNG) for light, medium and heavy-duty vehicles and providing operation and maintenance (“O&M”) services for vehicle fleet customer stations. As a comprehensive solution provider, the Company also designs, builds, operates and maintains fueling stations; sells and services natural gas fueling compressors and other equipment used in CNG stations and LNG stations; offers assessment, design and modification solutions to provide operators with code-compliant service and maintenance facilities for natural gas vehicle fleets; transports and sells CNG and LNG via “virtual” natural gas pipelines and interconnects; procures and sells RNG; sells tradable credits it generates by selling RNG and conventional natural gas as a vehicle fuel, including Renewable Identification Numbers under the federal Renewable Fuel Standard Phase 2 and credits under the California and Oregon Low Carbon Fuel Standards; helps its customers acquire and finance natural gas vehicles; and obtains federal, state and local tax credits, grants and incentives. As of March 31, 2019, the Company served over 1,000 fleet customers operating over 47,000 natural gas vehicles, and the Company owned, operated or supplied approximately 530 natural gas fueling stations in 41 states in the United States and four provinces in Canada.

The Rule requires disclosure of certain information if a company manufactures or contracts to manufacture products for which the minerals specified in the Rule are necessary to the functionality or production of the products. The Rule also requires such companies to conduct certain inquiries reasonably designed to determine whether such minerals originated in the countries specified in the Rule. The minerals specified in the Rule, which are collectively referred to in this Report as the “Conflict Minerals,” consist of gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten. The countries specified in the Rule, which are collectively referred to in this Report as the “Covered Countries,” consist of the Democratic Republic of the Congo and all countries that share an international border with the Democratic Republic of the Congo, which presently consists of the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola. As described in this Report, certain aspects of the Company’s operations involve the manufacture, or contracting for manufacture, of products for which the Conflict Minerals are necessary to the functionality or production of the products.

When this Report uses the term “Conformant,” it means the applicable mine, smelter or refiner has been verified as complying with the Responsible Minerals Assurance Process (“RMAP,” formerly the Conflict-Free Smelter Program or CFSP) of the Responsible Mining Initiative (“RMI,” formerly the Conflict-Free Sourcing Initiative or CFSI) or an equivalent third-party audit program, and when this Report uses the term “Active,” it means the applicable mine, smelter or refiner has agreed to participate in the RMAP but has not yet completed the program to become Conformant.

The Company’s Products Covered by this Report

This Report covers products: (i) for which one or more Conflict Minerals is necessary to the functionality or production of the product; (ii) that were manufactured, or contracted to be manufactured, by the Company; and (iii) for which the manufacture was completed during the Reporting Period. These products, which are collectively referred to in this Report as the “Covered Products,” consist of the following:

 

   

LNG Pumps – This product category includes products that offload LNG from cryogenic tanker trailers into storage tanks at LNG fueling stations and deliver LNG to dispensers from storage tanks, as well as replacement parts for such products.

 

   

LNG Dispensers – This product category includes products that dispense LNG into vehicles, as well as replacement parts for such products.


   

Fueling Station Support Panels – This product category includes electrical storage panels used in natural gas fueling stations, as well as replacement parts for such products. A fueling station support panel houses the point of sale system that tracks dispenser transactions, the communications system, purge fans, a digital video recorder and camera to record activities at the station and power circuits for station lighting and electrical control.

Third-party products the Company sells at retail but does not manufacture or contract to manufacture are outside the scope of this Report.

Overview of the Company’s Supply Chain

The Company’s supply chain with respect to the Covered Products is complex, and there are many third parties in the supply chain between the original sources of Conflict Minerals and the ultimate manufacture of the Covered Products. In this regard, the Company does not purchase Conflict Minerals directly from mines, smelters or refiners. The Company must therefore rely on its suppliers to provide information regarding the origin of Conflict Minerals that are necessary to the functionality or production of the Covered Products. Moreover, the Company believes the mines, smelters and refiners of the Conflict Minerals are best situated to identify the sources of Conflict Minerals, and therefore the Company has sought to identify the applicable mines, smelters and refiners of Conflict Minerals in the Company’s supply chain.

The Company’s Conflict Minerals Policy

The Company maintains a policy relating to the sourcing of Conflict Minerals (the “Company Policy”), which provides as follows:

 

   

The Company is guided by its core beliefs and values as stated in the Company’s Code of Ethics. The Company is committed to ethical practices and compliance with applicable laws and regulations wherever it does business. The Company believes that its commitment to integrity and citizenship extends to its worldwide supply base. The Company is committed to sourcing its products responsibly, and it expects its suppliers to also source materials from responsible suppliers.

 

   

The Company expects its suppliers to partner with it to comply with the Rule. The Company expects its suppliers to:

 

   

Complete the Company’s Conflict Minerals survey, identifying whether any Conflict Mineral is present in the material that they sell to the Company and the smelter, refiner or mine that originally provided it (for this purpose, the Company’s direct suppliers may have to require successive upstream suppliers to complete the Company’s Conflict Minerals survey until the applicable smelter, refiner or mine is identified);

 

   

Agree to cooperate fully with the Company in connection with any due diligence that the Company chooses to perform with respect to its inquiries; and

 

   

When the Company deems it necessary, to provide reasonable proof of the due diligence performed by the supplier to support the information provided by the supplier to the Company.

 

   

The Company evaluates its relationships with its suppliers on an ongoing basis, and reserves the right to consider the extent to which a supplier has failed to reasonably comply with the Company Policy in the course of such evaluation.

The Company has designed its Conflict Minerals reporting efforts, including the design and implementation of the Company Policy, to align and comply with the Rule. The full text of the Company Policy is available at http://investors.cleanenergyfuels.com/corporate-governance.cfm. The foregoing website reference and all other such references in this Report are intended to be inactive textual references, and the contents of the Company’s website are not intended to be incorporated into this Report.

The Company’s Reasonable Country of Origin Inquiry

The Company has conducted in good faith a reasonable country of origin inquiry (“RCOI”) regarding the Conflict Minerals. This RCOI was reasonably designed to determine whether any of the Conflict Minerals necessary to the functionality or production of a Covered Product originated in the Covered Countries or may be from recycled or scrap sources. Based on the RCOI, the Company has reason to believe that some of the necessary Conflict Minerals contained in the Covered Products may have originated from the Covered Countries or may not be from recycled or scrap sources. As a result, the Company exercised due diligence on the source and chain of custody of such Conflict Minerals, as described below.

Due Diligence Process

Due diligence process design

The Company’s due diligence measures have been designed to conform, in all material respects, to the framework in the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas: Third Edition (2016), including the related supplements on gold, tin, tantalum and tungsten (collectively, the “OECD Guidance”).


Due diligence performed

Below is a summary of the Company’s due diligence process performed in the Reporting Period regarding the sourcing of the necessary Conflict Minerals contained in the Covered Products. The description below is intended to provide a summary of the Company’s due diligence process, and thus the measures described below are not the only measures the Company took in the Reporting Period in furtherance of the Company Policy or pursuant to the Rule and the OECD Guidance.

OECD Guidance Step 1: Maintain a management system

 

   

The Company continued to make the Company Policy publicly available.

 

   

The Company maintained a working group that oversaw its due diligence process (the “Working Group”). The Working Group was led by the Company’s Senior Vice President, Corporate Transactions and Chief Legal Officer, and also included the Company’s Director, Supply Chain; the Supply Chain Manager of the Company’s subsidiary Clean Energy Cryogenics; and the Company’s Director, Legal Affairs. The Company also engaged an external service provider to support the due diligence process.

 

   

The Company continued to use RMI’s Conflict Minerals Reporting Template (the “Template”) as a means for collecting information related to the use and origin of Conflict Minerals (including smelter data) in the Company’s supply chain.

OECD Guidance Step 2: Identify and assess risks

 

   

The Company contacted its 18 identified in-scope suppliers and provided them with a summary of the Rule, links to the Template and the Company Policy, and contact information for the Company.

 

   

To aid in the identification and assessment of potentially adverse impacts, the Company defined several “Red Flags,” or indicators that one or more items in a supplier’s completed Template or other response to the Company’s due diligence inquiries are worthy of further action by the Company. The Red Flags were designed to ensure that the Template has been completed in full, and also to capture (i) the reasonableness of responses using logic checks; (ii) whether a supplier has initiated its own due diligence on minerals sourcing; (iii) whether any Conflict Minerals are sourced from one of the Covered Countries, and (iv) whether the mines, smelters or refiners identified by suppliers are Conformant or Active.

 

   

Suppliers that did not submit the Template by the requested deadline or presented Red Flags were contacted by members of the Working Group.

OECD Guidance Step 3: Design and implement strategy to respond to risk

 

   

The Working Group reported the findings of the due diligence process to the Company’s senior management and Board of Directors.

 

   

The Company maintained a risk management plan that establishes supplier risk management strategies, and followed up with suppliers as needed in accordance with this plan.

OECD Guidance Step 4: Carry out independent third-party audits of the supply chain

 

   

The Company relied on the RMI and that organization’s RMAP for independent third-party audits of the mines, smelters and refiners in its supply chain.

 

   

As noted above, and in accordance with applicable guidance, the Company did not obtain an independent private sector audit within the meaning of the Rule.

OECD Guidance Step 5: Report on supply chain due diligence

 

   

The Company is reporting the results of the due diligence it performed by providing this Report as Exhibit 1.01 to a Form SD filed with the Securities and Exchange Commission. The Company also has made this Report publicly available on its website.

Results of Due Diligence Performed

The Company’s efforts to determine the mine or location of origin of the necessary Conflict Minerals contained in the Covered Products with the greatest possible specificity consisted primarily of the due diligence measures described in this Report. The Company received responses from 72% of its identified in-scope suppliers.

Based on the information provided by the Company’s suppliers, and taking into account the supplier responses described in the preceding paragraph, the Company believes the facilities that may have been used to process the necessary Conflict Minerals contained in the


Covered Products include the processing facilities listed in Tables 1, 2 and 3 in Appendix A to this Report. Of the 300 processing facilities identified by the Company’s suppliers as being in the supply chain for the Covered Products, 249 have been validated as Conformant, four have been confirmed as Active, and 47 have not been confirmed as Conformant or Active.

Based on its due diligence efforts, the Company does not have sufficient information to conclusively determine the countries of origin of the Conflict Minerals in the Covered Products. Based on the information provided by the Company’s suppliers, however, the Company has reason to believe that some of the necessary Conflict Minerals contained in the Covered Products may have originated from the Covered Countries or may not be from recycled or scrap sources.

Additional Future Measures

The Company aims to take the following steps, among others, to improve its due diligence measures and to further mitigate the risk that the necessary Conflict Minerals contained in the Covered Products finance or benefit armed groups (perpetrators of serious human rights abuses) in the Covered Countries:

 

   

Continue to enhance its employee training relating to the Rule, the Company Policy and the Company’s procedures to identify and work with in-scope suppliers.

 

   

Continue to engage with suppliers to help them better understand the Rule and the Company Policy and to obtain accurate and complete information about the origin of Conflict Minerals in the Company’s supply chain, including improving the quality of the processing facility data provided by suppliers.

 

   

Seek opportunities to assist suppliers in building capabilities with a view to improving due diligence performance.

 

   

Continue its initiative to include language in its new supply contracts that requires suppliers to comply with the Company Policy.

 

   

Continue to engage in industry initiatives that encourage Conformant supply chains.

Inherent Limitations on Due Diligence Measures

As a downstream purchaser of products that contain Conflict Minerals, the Company’s due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary Conflict Minerals contained in the Covered Products. The supply chain of commodities such as the Conflict Minerals is a complex and multi-step process that involves a number of different parties. Because the Company does not have direct contractual relationships with mines, smelters and refiners, its due diligence processes must rely on information provided by its direct suppliers, as well as similar information provided to those suppliers within their supply chains, to identify the original sources of the necessary Conflict Minerals contained in the Covered Products. The results of the Company’s due diligence efforts could contain inaccuracies or incomplete information due to this process of collecting information. Further, many suppliers’ responses represent the supply chain at a company-level rather than being product-specific, and as a result, the list of processing facilities disclosed in this Report may contain facilities that did not actually process the Conflict Minerals contained in the Covered Products. In addition, the Company relies on information collected and provided by independent third-party audit programs, such as the RMAP of the RMI, and these sources of information may yield unreliable, inaccurate or incomplete information due to a variety of factors, including human or other errors or fraudulent actions.

Forward-Looking Statements

This Report contains forward-looking statements regarding the Company’s business, products and Conflict Minerals efforts, including steps the Company intends to take to improve its due diligence measures. Words such as “expects,” “believes,” “aims” and similar expressions or variations of such words are intended to identify forward-looking statements, but are not the exclusive means of identifying forward-looking statements in this Report. All statements made in this Report concerning future matters that are not historical in nature are forward-looking statements. Although forward-looking statements in this Report reflect the Company’s good faith judgment, such statements can only be based on facts and assumptions currently known by the Company. Consequently, forward-looking statements are inherently subject to risks and uncertainties, and actual results and outcomes may differ materially from the results and outcomes discussed in or anticipated or implied by the forward-looking statements. Factors that could cause or contribute to such differences in results and outcomes include, among others: the risk that information reported to the Company by its suppliers, or other industry information used by the Company, may be inaccurate; the risk that mines, smelters or refiners may not participate in the RMAP or equivalent third-party audit programs, which are voluntary initiatives; and risks related to the Company’s compliance with government regulations and policies, which, among other risks, are discussed under “Risk Factors” in the Company’s most recent annual report on Form 10-K and the other filings it makes with the U.S. Securities and Exchange Commission from time to time, including any subsequently filed quarterly and current reports. Forward-looking statements are not predictions of future events, and readers should not rely on them as such. All forward-looking statements included in this Report speak only as of the date of this Report, and the Company undertakes no obligation to revise or update any forward-looking statements in order to reflect any event or circumstance that may arise after the date of this Report.


Appendix A

Tables of Our Conflict Minerals Processing Facilities

Table 1. Conformant processing facilities as of March 7, 2019.

The following processing facilities that were reported as being in the Company’s supply chain have been validated as Conformant:

 

Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   Advanced Chemical Company    Rhode Island

Gold

   Aida Chemical Industries Co., Ltd.    Tokyo

Gold

   Allgemeine Gold-und Silberscheideanstalt A.G.    Baden-Württemberg

Gold

   Almalyk Mining and Metallurgical Complex (AMMC)    Toshkent

Gold

   AngloGold Ashanti Corrego do Sitio Mineracao    Minas Gerais

Gold

   Argor-Heraeus S.A.    Ticino

Gold

   Asahi Pretec Corp.    Hyogo

Gold

   Asaka Riken Co., Ltd.    Fukushima

Gold

   Aurubis AG    Hamburg

Gold

   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Rizal

Gold

   Boliden AB    Västerbottens län [SE-24]

Gold

   C. Hafner GmbH + Co. KG    Baden-Württemberg

Gold

   CCR Refinery—Glencore Canada Corporation    Quebec

Gold

   Cendres + Metaux S.A.    Bern

Gold

   Chimet S.p.A.    Toscana

Gold

   Daejin Indus Co., Ltd.    Incheon-gwangyeoksi

Gold

   DSC (Do Sung Corporation)    Gyeonggi-do

Gold

   DODUCO Contacts and Refining GmbH    Baden-Württemberg

Gold

   Dowa    Akita

Gold

   Eco-System Recycling Co., Ltd.    Saitama

 

A-1


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   OJSC Novosibirsk Refinery    Novosibirskaya oblast’

Gold

   HeeSung Metal Ltd.    Incheon-gwangyeoksi

Gold

   Heimerle + Meule GmbH    Baden-Württemberg

Gold

   Heraeus Metals Hong Kong Ltd.    Hong Kong

Gold

   Heraeus Precious Metals GmbH & Co. KG    Hessen

Gold

   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    Nei Mongol

Gold

   Ishifuku Metal Industry Co., Ltd.    Saitama

Gold

   Istanbul Gold Refinery    İstanbul

Gold

   Japan Mint    Osaka

Gold

   Jiangxi Copper Co., Ltd.    Jiangxi

Gold

   Asahi Refining USA Inc.    Utah

Gold

   Asahi Refining Canada Ltd.    Ontario

Gold

   JSC Uralelectromed    Sverdlovskaya oblast’

Gold

   JX Nippon Mining & Metals Co., Ltd.    Ôita

Gold

   Kazzinc    Qaraghandy oblysy

Gold

   Kennecott Utah Copper LLC    Utah

Gold

   Kojima Chemicals Co., Ltd.    Saitama

Gold

   Kyrgyzaltyn JSC    Chüy

Gold

   LS-NIKKO Copper Inc.    Ulsan-gwangyeoksi

Gold

   Materion    New York

Gold

   Matsuda Sangyo Co., Ltd.    Saitama

Gold

   Metalor Technologies (Suzhou) Ltd.    Jiangsu

Gold

   Metalor Technologies (Hong Kong) Ltd.    Hong Kong

Gold

   Metalor Technologies (Singapore) Pte., Ltd.    South West

Gold

   Metalor Technologies S.A.    Neuchâtel

Gold

   Metalor USA Refining Corporation    Massachusetts

 

A-2


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   Metalurgica Met-Mex Penoles S.A. De C.V.    Coahuila de Zaragoza

Gold

   Mitsubishi Materials Corporation    Kagawa

Gold

   Mitsui Mining and Smelting Co., Ltd.    Hiroshima

Gold

   Moscow Special Alloys Processing Plant    Moskva

Gold

   Nadir Metal Rafineri San. Ve Tic. A.S.    İstanbul

Gold

   Nihon Material Co., Ltd.    Chiba

Gold

   Ohura Precious Metal Industry Co., Ltd.    Nara

Gold

   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Krasnoyarskiy kray

Gold

   PAMP S.A.    Ticino

Gold

   Prioksky Plant of Non-Ferrous Metals    Ryazanskaya oblast’

Gold

   PT Aneka Tambang (Persero) Tbk    Jakarta Raya

Gold

   PX Precinox S.A.    Neuchâtel

Gold

   Rand Refinery (Pty) Ltd.    Gauteng

Gold

   Royal Canadian Mint    Ontario

Gold

   Samduck Precious Metals    Incheon-gwangyeoksi

Gold

   SEMPSA Joyeria Plateria S.A.    Madrid, Comunidad de

Gold

   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    Shandong

Gold

   Sichuan Tianze Precious Metals Co., Ltd.    Sichuan

Gold

   SOE Shyolkovsky Factory of Secondary Precious Metals    Moskovskaja oblast’

Gold

   Solar Applied Materials Technology Corp.    Tainan

Gold

   Sumitomo Metal Mining Co., Ltd.    Ehime

Gold

   Tanaka Kikinzoku Kogyo K.K.    Kanagawa

Gold

   The Refinery of Shandong Gold Mining Co., Ltd.    Shandong

Gold

   Tokuriki Honten Co., Ltd.    Saitama

Gold

   Torecom    Chungcheongnam-do

 

A-3


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   Umicore Brasil Ltda.    São Paulo

Gold

   Umicore S.A. Business Unit Precious Metals Refining    Antwerpen

Gold

   United Precious Metal Refining, Inc.    New York

Gold

   Valcambi S.A.    Ticino

Gold

   Western Australian Mint (T/a The Perth Mint)    Western Australia

Gold

   Yamakin Co., Ltd.    Kochi

Gold

   Yokohama Metal Co., Ltd.    Kanagawa

Gold

   Zhongyuan Gold Smelter of Zhongjin Gold Corporation    Henan

Gold

   Gold Refinery of Zijin Mining Group Co., Ltd.    Fujian

Gold

   Umicore Precious Metals Thailand    Krung Thep Maha Nakhon

Gold

   Geib Refining Corporation    Rhode Island

Gold

   MMTC-PAMP India Pvt., Ltd.    Haryana

Gold

   Singway Technology Co., Ltd.    Taoyuan

Gold

   Al Etihad Gold LLC    Dubayy

Gold

   Emirates Gold DMCC    Dubayy

Gold

   T.C.A S.p.A    Toscana

Gold

   Remondis Argentia B.V.    Noord-Brabant

Gold

   Korea Zinc Co., Ltd.    Seoul-teukbyeolsi

Gold

   Marsam Metals    São Paulo

Gold

   SAAMP    Île-de-France

Gold

   L’Orfebre S.A.    Andorra la Vella

Gold

   Italpreziosi    Toscana

Gold

   SAXONIA Edelmetalle GmbH    Sachsen

Gold

   WIELAND Edelmetalle GmbH    Baden-Württemberg

Gold

   Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    Wien

Gold

   AU Traders and Refiners    Gauteng

 

A-4


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   SungEel HiMetal Co., Ltd.    Jeollabuk-do

Gold

   Planta Recuperadora de Metales SpA    Antofagasta

Gold

   Safimet S.p.A    Toscana

Tantalum

   Changsha South Tantalum Niobium Co., Ltd.    Hunan

Tantalum

   Ningxia Orient Tantalum Industry Co., Ltd.    Ningxia

Tantalum

   Asaka Riken Co., Ltd.    Fukushima

Tantalum

   Guangdong Rising Rare Metals-EO Materials Ltd.    Guangdong

Tantalum

   Exotech Inc.    Florida

Tantalum

   F&X Electro-Materials Ltd.    Guangdong

Tantalum

   Guangdong Zhiyuan New Material Co., Ltd.    Guangdong

Tantalum

   JiuJiang JinXin Nonferrous Metals Co., Ltd.    Jiangxi

Tantalum

   Jiujiang Tanbre Co., Ltd.    Jiangxi

Tantalum

   LSM Brasil S.A.    Minas Gerais

Tantalum

   Metallurgical Products India Pvt., Ltd.    Maharashtra

Tantalum

   Mineracao Taboca S.A.    Amazonas

Tantalum

   Mitsui Mining and Smelting Co., Ltd.    Fukuoka

Tantalum

   NPM Silmet AS    Ida-Virumaa

Tantalum

   QuantumClean    California

Tantalum

   RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    Hunan

Tantalum

   Solikamsk Magnesium Works OAO    Permskiy kray

Tantalum

   Taki Chemical Co., Ltd.    Hyogo

Tantalum

   Telex Metals    Pennsylvania

Tantalum

   Ulba Metallurgical Plant JSC    Qaraghandy oblysy

Tantalum

   Hengyang King Xing Lifeng New Materials Co., Ltd.    Hunan

Tantalum

   D Block Metals, LLC    North Carolina

 

A-5


Metal

  

Processing Facility Name

  

Processing Facility Location

Tantalum

   FIR Metals & Resource Ltd.    Hunan

Tantalum

   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    Jiangxi

Tantalum

   XinXing HaoRong Electronic Material Co., Ltd.    Guangdong

Tantalum

   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    Jiangxi

Tantalum

   KEMET Blue Metals    Tamaulipas

Tantalum

   H.C. Starck Co., Ltd.    Rayong

Tantalum

   H.C. Starck Tantalum and Niobium GmbH    Niedersachsen

Tantalum

   H.C. Starck Hermsdorf GmbH    Thüringen

Tantalum

   H.C. Starck Inc.    Massachusetts

Tantalum

   H.C. Starck Ltd.    Ibaraki

Tantalum

   H.C. Starck Smelting GmbH & Co. KG    Baden-Württemberg

Tantalum

   Global Advanced Metals Boyertown    Pennsylvania

Tantalum

   Global Advanced Metals Aizu    Fukushima

Tantalum

   KEMET Blue Powder    Nevada

Tantalum

   Resind Industria e Comercio Ltda.    Minas gerais

Tantalum

   Jiangxi Tuohong New Raw Material    Jiangxi

Tantalum

   Power Resources Ltd.    Skopje

Tantalum

   Jiujiang Janny New Material Co., Ltd.    Jiangxi

Tin

   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    Hunan

Tin

   Alpha    Pennsylvania

Tin

   CV Gita Pesona    Kepulauan Bangka Belitung

Tin

   PT Aries Kencana Sejahtera    Kepulauan Bangka Belitung

Tin

   PT Premium Tin Indonesia    Kepulauan Bangka Belitung

Tin

   CV United Smelting    Kepulauan Bangka Belitung

Tin

   Dowa    Akita

Tin

   EM Vinto    Oruro

 

A-6


Metal

  

Processing Facility Name

  

Processing Facility Location

Tin

   Fenix Metals    Podkarpackie

Tin

   Gejiu Non-Ferrous Metal Processing Co., Ltd.    Yunnan

Tin

   Huichang Jinshunda Tin Co., Ltd.    Jiangxi

Tin

   Gejiu Kai Meng Industry and Trade LLC    Yunnan

Tin

   China Tin Group Co., Ltd.    Guangxi

Tin

   Malaysia Smelting Corporation (MSC)    Pulau Pinang

Tin

   Metallic Resources, Inc.    Ohio

Tin

   Mineracao Taboca S.A.    São Paulo

Tin

   Minsur    Ika

Tin

   Mitsubishi Materials Corporation    Hyogo

Tin

   Jiangxi New Nanshan Technology Ltd.    Jiangxi

Tin

   O.M. Manufacturing (Thailand) Co., Ltd.    Chon Buri

Tin

   Operaciones Metalurgical S.A.    Oruro

Tin

   PT Artha Cipta Langgeng    Kepulauan Bangka Belitung

Tin

   PT Babel Inti Perkasa    Kepulauan Bangka Belitung

Tin

   PT Bangka Tin Industry    Kepulauan Bangka Belitung

Tin

   PT Belitung Industri Sejahtera    Kepulauan Bangka Belitung

Tin

   PT Bukit Timah    Kepulauan Bangka Belitung

Tin

   PT DS Jaya Abadi    Kepulauan Bangka Belitung

Tin

   PT Karimun Mining    Kepulauan Riau

Tin

   PT Mitra Stania Prima    Kepulauan Bangka Belitung

Tin

   PT Panca Mega Persada    Kepulauan Bangka Belitung

Tin

   PT Prima Timah Utama    Kepulauan Bangka Belitung

Tin

   PT Refined Bangka Tin    Kepulauan Bangka Belitung

Tin

   PT Sariwiguna Binasentosa    Kepulauan Bangka Belitung

Tin

   PT Stanindo Inti Perkasa    Kepulauan Bangka Belitung

 

A-7


Metal

  

Processing Facility Name

  

Processing Facility Location

Tin

   PT Sumber Jaya Indah    Kepulauan Bangka Belitung

Tin

   PT Timah (Persero) Tbk Kundur    Riau

Tin

   PT Timah (Persero) Tbk Mentok    Kepulauan Bangka Belitung

Tin

   PT Tinindo Inter Nusa    Kepulauan Bangka Belitung

Tin

   PT Tommy Utama    Kepulauan Bangka Belitung

Tin

   Rui Da Hung    Taoyuan

Tin

   Soft Metais Ltda.    São Paulo

Tin

   Thaisarco    Phuket

Tin

   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    Yunnan

Tin

   White Solder Metalurgia e Mineracao Ltda.    Rondônia

Tin

   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    Yunnan

Tin

   Yunnan Tin Company Limited    Yunnan

Tin

   CV Venus Inti Perkasa    Kepulauan Bangka Belitung

Tin

   Magnu’s Minerais Metais e Ligas Ltda.    Minas Gerais

Tin

   Melt Metais e Ligas S.A.    Rondônia

Tin

   PT ATD Makmur Mandiri Jaya    Kepulauan Bangka Belitung

Tin

   O.M. Manufacturing Philippines, Inc.    Cavite

Tin

   PT Inti Stania Prima    Kepulauan Bangka Belitung

Tin

   CV Ayi Jaya    Kepulauan Bangka Belitung

Tin

   CV Dua Sekawan    Kepulauan Bangka Belitung

Tin

   CV Tiga Sekawan    Kepulauan Bangka Belitung

Tin

   Resind Industria e Comercio Ltda.    Minas gerais

Tin

   Metallo Belgium N.V.    Antwerpen

Tin

   Metallo Spain S.L.U.    Bizkaia

Tin

   PT Bangka Prima Tin    Kepulauan Bangka Belitung

Tin

   PT Sukses Inti Makmur    Kepulauan Bangka Belitung

 

A-8


Metal

  

Processing Facility Name

  

Processing Facility Location

Tin

   PT Kijang Jaya Mandiri    Kepulauan Bangka Belitung

Tin

   PT Menara Cipta Mulia    Kepulauan Bangka Belitung

Tin

   HuiChang Hill Tin Industry Co., Ltd.    Jiangxi

Tin

   Gejiu Fengming Metallurgy Chemical Plant    Yunnan

Tin

   Guanyang Guida Nonferrous Metal Smelting Plant    Guangxi

Tin

   Modeltech Sdn Bhd    Melaka

Tin

   PT Lautan Harmonis Sejahtera    Kepulauan Bangka Belitung

Tin

   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    Guangdong

Tin

   Chifeng Dajingzi Tin Industry Co., Ltd.    Nei Mongol

Tin

   PT Bangka Serumpun    Kepulauan Bangka Belitung

Tungsten

   H.C. Starck Smelting GmbH & Co. KG    Baden-Württemberg

Tungsten

   A.L.M.T. TUNGSTEN Corp.    Toyama

Tungsten

   Kennametal Huntsville    Alabama

Tungsten

   Guangdong Xianglu Tungsten Co., Ltd.    Guangdong

Tungsten

   Chongyi Zhangyuan Tungsten Co., Ltd.    Jiangxi

Tungsten

   Fujian Jinxin Tungsten Co., Ltd.    Fujian

Tungsten

   Global Tungsten & Powders Corp.    Pennsylvania

Tungsten

   Hunan Chenzhou Mining Co., Ltd.    Hunan

Tungsten

   Hunan Chunchang Nonferrous Metals Co., Ltd.    Hunan

Tungsten

   Japan New Metals Co., Ltd.    Akita

Tungsten

   Ganzhou Huaxing Tungsten Products Co., Ltd.    Jiangxi

Tungsten

   Kennametal Fallon    Nevada

Tungsten

   Tejing (Vietnam) Tungsten Co., Ltd.    Tây Ninh

Tungsten

   Wolfram Bergbau und Hutten AG    Steiermark

Tungsten

   Xiamen Tungsten Co., Ltd.    Fujian

Tungsten

   Xinhai Rendan Shaoguan Tungsten Co., Ltd.    Guangdong

 

A-9


Metal

  

Processing Facility Name

  

Processing Facility Location

Tungsten

   Ganzhou Jiangwu Ferrotungsten Co., Ltd.    Jiangxi

Tungsten

   Jiangxi Yaosheng Tungsten Co., Ltd.    Jiangxi

Tungsten

   Jiangxi Xinsheng Tungsten Industry Co., Ltd.    Jiangxi

Tungsten

   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    Jiangxi

Tungsten

   Malipo Haiyu Tungsten Co., Ltd.    Yunnan

Tungsten

   Xiamen Tungsten (H.C.) Co., Ltd.    Fujian

Tungsten

   Jiangxi Gan Bei Tungsten Co., Ltd.    Jiangxi

Tungsten

   Ganzhou Seadragon W & Mo Co., Ltd.    Jiangxi

Tungsten

   Chenzhou Diamond Tungsten Products Co., Ltd.    Hunan

Tungsten

   H.C. Starck Tungsten GmbH    Niedersachsen

Tungsten

   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    Thái Nguyên

Tungsten

   Jiangwu H.C. Starck Tungsten Products Co., Ltd.    Jiangxi

Tungsten

   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    Hunan

Tungsten

   Niagara Refining LLC    New York

Tungsten

   Ganzhou Haichuang Tungsten Co., Ltd.    Jiangxi

Tungsten

   Hydrometallurg, JSC    Kabardino-Balkarskaya Respublika

Tungsten

   Unecha Refractory metals plant    Bryanskaya oblast’

Tungsten

   South-East Nonferrous Metal Company Limited of Hengyang City    Hunan

Tungsten

   Philippine Chuangxin Industrial Co., Inc.    Bulacan

Tungsten

   Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    Jiangxi

Tungsten

   ACL Metais Eireli    São Paulo

Tungsten

   Woltech Korea Co., Ltd.    Gyeongsangbuk-do

Tungsten

   Moliren Ltd.    Moskovskaja oblast’

 

A-10


Table 2. Active processing facilities as of March 7, 2019.

The following processing facilities that were reported as being in the Company’s supply chain have been confirmed as Active:

 

Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   Chugai Mining    Tokyo

Gold

   KGHM Polska Miedz Spolka Akcyjna    Dolnośląskie

Gold

   Bangalore Refinery    Karnataka

Tin

   Gejiu Zili Mining And Metallurgy Co., Ltd.    Yunnan

Table 3. Processing facilities not Conformant or Active as of March 7, 2019.

The following processing facilities that were reported as being in the Company’s supply chain have not been confirmed as Conformant or Active:

 

Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   Abington Reldan Metals, LLC    Pennsylvania

Gold

   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    İstanbul

Gold

   Caridad    Sonora

Gold

   Yunnan Copper Industry Co., Ltd.    Yunnan

Gold

   Daye Non-Ferrous Metals Mining Ltd.    Hubei

Gold

   Refinery of Seemine Gold Co., Ltd.    Gansu

Gold

   Guoda Safina High-Tech Environmental Refinery Co., Ltd.    Shandong

 

A-11


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   Hangzhou Fuchunjiang Smelting Co., Ltd.    Zhejiang

Gold

   Hunan Chenzhou Mining Co., Ltd.    Hunan

Gold

   HwaSeong CJ CO., LTD.    Gyeonggi-do

Gold

   JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Sverdlovskaya oblast’

Gold

   Kazakhmys Smelting LLC    Qaraghandy oblysy

Gold

   L’azurde Company For Jewelry    Ar Riyad

Gold

   Lingbao Gold Co., Ltd.    Henan

Gold

   Lingbao Jinyuan Tonghui Refinery Co., Ltd.    Henan

Gold

   Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    Henan

Gold

   Navoi Mining and Metallurgical Combinat    Navoiy

Gold

   Penglai Penggang Gold Industry Co., Ltd.    Shandong

Gold

   Sabin Metal Corp.    North Dakota

Gold

   Samwon Metals Corp.    Gyeongsangnam-do

Gold

   Shandong Tiancheng Biological Gold Industrial Co., Ltd.    Shandong

Gold

   Great Wall Precious Metals Co., Ltd. of CBPM    Sichuan

Gold

   Tongling Nonferrous Metals Group Co., Ltd.    Anhui

Gold

   Morris and Watson    Auckland

 

A-12


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

   SAFINA A.S.    Praha-západ

Gold

   Guangdong Jinding Gold Limited    Guangdong

Gold

   Fidelity Printers and Refiners Ltd.    Harare

Gold

   Kaloti Precious Metals    Dubayy

Gold

   Sudan Gold Refinery    Khartoum

Gold

   Tony Goetz NV    Antwerpen

Gold

   TOO Tau-Ken-Altyn    Almaty

Gold

   GCC Gujrat Gold Centre Pvt. Ltd.    Gujarat

Gold

   Sai Refinery    Himachal Pradesh

Gold

   Universal Precious Metals Refining Zambia    Lusaka

Gold

   Modeltech Sdn Bhd    Melaka

Gold

   Kyshtym Copper-Electrolytic Plant ZAO    Chelyabinskaya oblast’

Gold

   Morris and Watson Gold Coast    Queensland

Gold

   Degussa Sonne / Mond Goldhandel GmbH    Baden-Württemberg

Gold

   Pease & Curren    Rhode Island

Gold

   State Research Institute Center for Physical Sciences and Technology    Vilnius

Tin

   Estanho de Rondonia S.A.    Rondônia

Tin

   Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Cao Bang

 

A-13


Metal

  

Processing Facility Name

  

Processing Facility Location

Tin

   Nghe Tinh Non-Ferrous Metals Joint Stock Company    Nghe An

Tin

   Tuyen Quang Non-Ferrous Metals Joint Stock Company    Tuyên Quang

Tin

   An Vinh Joint Stock Mineral Processing Company    Nghe An

Tin

   Super Ligas    São Paulo

Tungsten

   Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    Jiangxi

 

A-14