UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
HURCO COMPANIES, INC.
(Exact name of registrant as specified in its charter)
| Indiana | 000-09143 | 35-1150732 |
| (State or other | (Commission | (IRS Employer |
| jurisdiction of | File Number) | Identification No.) |
| incorporation) |
One Technology Way
Indianapolis, IN 46268
(Address of principal executive offices) (Zip Code)
|
Sonja K. McClelland Executive Vice President, Secretary, Treasurer and Chief Financial Officer (317) 293-5309 |
| (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:
| þ | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016. |
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
This Form SD of Hurco Companies, Inc. (“Hurco,” the “Company,” “we,” “our” or “us”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (the “Conflict Mineral Rule”), for the reporting period January 1, 2016 to December 31, 2016. The scope of this report includes all three product lines within Hurco’s product portfolio: Hurco, Milltronics and Takumi.
We design, manufacture and sell computerized (i.e., Computer Numeric Control (“CNC”)) machine tools, consisting primarily of vertical machining centers (mills) and turning centers (lathes), to companies in the metal cutting industry through a worldwide sales, service and distribution network. Although the majority of our computer control systems and software products are proprietary, they predominantly use industry standard personal computer components. Our computer control systems and software products are primarily sold as integral components of our computerized machine tool products. We also provide machine tool components, software options, control upgrades, accessories and replacement parts for our products, as well as customer service and training and applications support.
We have determined that certain of our products contain columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten, that are necessary to the functionality or production of those products (such minerals are referred to herein as “necessary conflict minerals”).
We conducted in good faith a reasonable country of origin inquiry that was reasonably designed to determine whether any necessary conflict minerals contained in our products originated in the Democratic Republic of the Congo (the “DRC”) or an adjoining country (together with the DRC, the “Covered Countries”), or were from recycled or scrap sources. As part of this inquiry, we conducted a supply chain survey of our direct suppliers using the Conflict Minerals Reporting Template created by the Electronics Industry Citizenship Coalition/Global e-Sustainability Initiative and a customized conflict minerals questionnaire to collect sourcing information related to necessary conflict minerals in our products.
Conflict Minerals Disclosure
With respect to necessary conflict minerals in our products, based on the results of our inquiry, we had reason to believe that such necessary conflict minerals (1) may have originated in the Covered Countries and (2) may not be from recycled or scrap sources. Accordingly, we exercised due diligence on the source and chain of custody of such necessary conflict minerals, as described in the Conflict Minerals Report attached as Exhibit 1.01 to this Form SD.
A copy of this Form SD, including the Conflict Minerals Report attached hereto as Exhibit 1.01, is publicly available on our website at http://www.hurco.com/en-us/about-hurco/investors/pages/sec-filings.aspx.
Item 1.02 Exhibit
As specified in Section 2, Item 2.01, the Company is hereby filing its Conflict Minerals Report for the reporting period January 1, 2016 to December 31, 2016 as Exhibit 1.01 to this Form SD.
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Section 2 – Exhibits
Item 2.01 Exhibits
The following exhibit is filed as part of this Form SD.
| Exhibit No. | Description | |
| 1.01 | Conflict Minerals Report of Hurco Companies, Inc. for Reporting Period January 1, 2016 to December 31, 2016 |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
Date: May 31, 2017
| HURCO COMPANIES, INC. | ||
| By: | /s/ Sonja K. McClelland | |
| Name: | Sonja K. McClelland | |
| Title: | Executive Vice President, Secretary, Treasurer | |
| and Chief Financial Officer | ||
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EXHIBIT INDEX
| Exhibit | Description | |
| 1.01 | Conflict Minerals Report of Hurco Companies, Inc. for Reporting Period January 1, 2016 to December 31, 2016 |
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Exhibit 1.01
Hurco Companies, Inc.
Conflict Minerals Report
For the Year Ended December 31, 2016
Overview
This conflict minerals report for the year ended December 31, 2016 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products (“necessary conflict minerals”). “Conflict minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, and tungsten. These requirements apply to registrants whatever the geographic origin of the necessary conflict minerals.
If a registrant can establish that the necessary conflict minerals in its products originated from sources other than the Democratic Republic of the Congo (“DRC”) or an adjoining country (together with the DRC, the “Covered Countries”), or from recycled and scrap sources, the registrant must submit a specialized disclosure report under Form SD that describes the steps that the registrant took to determine the origin of the necessary conflict minerals in its products.
If a registrant knows or has reason to believe that any of the necessary conflict minerals in its products may have originated in the Covered Countries, or knows or has reason to believe that the necessary conflict minerals may not be solely from recycled or scrap sources, then the registrant must exercise due diligence on the conflict minerals’ source and chain of custody, and the registrant must annually submit a conflict minerals report to the SEC that includes a description of those due diligence measures.
Company and Supply Chain Description
This disclosure has been prepared by management of Hurco Companies, Inc. (herein referred to as “Hurco” the “Company”, “we,” “us,” or “our”). Hurco is an industrial technology company that designs, manufactures and sells computerized (i.e., Computer Numeric Control) machine tools, consisting primarily of vertical machining centers (mills) and turning centers (lathes), to companies in the metal cutting industry. The scope of this report includes all three product lines within Hurco’s product portfolio: Hurco, Milltronics and Takumi.
Our products, such as our proprietary control systems that include printed circuit boards, connectors, liquid crystal displays, touch screens, and keypads, may contain necessary conflict minerals. In addition, various components of our products, such as motors and drives and encoders, contain electronic components that may contain conflict minerals. We determined that during the 2016 calendar year, we manufactured and sub-contracted to manufacture products that use purchased components containing necessary conflict minerals.
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We are a downstream consumer of necessary conflict minerals. In most cases, there are several layers of third parties in the supply chain between the original source of the minerals and us. The majority of our direct suppliers are several steps removed from smelters, refiners and mines, purchasing their components and products from suppliers who are also removed from direct interaction with smelters, refiners and mines. Many of our suppliers and sub-suppliers also supply to other manufacturers of machine tools and accessories. Since we do not purchase necessary conflict minerals directly from mines, smelters or refiners, we rely on our direct suppliers to provide information regarding the origin of these minerals.
Reasonable Country of Origin Inquiry
We conducted in good faith a reasonable country of origin inquiry (“RCOI”) to determine whether or not any of the necessary conflict minerals in our products originated in the Covered Countries or were from recycled or scrap sources. The methods we employed to determine the origin of necessary conflict minerals in our products were:
| · | Identifying relevant suppliers whom we believed were likely to provide us with components and raw materials containing necessary conflict minerals; |
| · | Sending letters to our direct suppliers explaining the Rule and our disclosure obligations; |
| · | Soliciting survey responses from direct suppliers of components of our products, using the Conflict Minerals Reporting Template created by the Electronics Industry Citizenship Coalition (“EICC”)/Global e-Sustainability Initiative (“GeSI”) (the “EICC/GeSI Conflict Minerals Reporting Template”) and a customized conflict minerals questionnaire to identify the smelters and refiners of necessary conflict minerals in our supply chain; |
| · | Sending reminders and following up with suppliers that did not respond to our requests for information; and |
| · | Reviewing responses that we received from our suppliers and following up by email and telephone with those whose responses appeared to be incomplete, incorrect, or not reliable. |
Due Diligence Program
We have adopted and communicated to the public a company policy on conflict minerals (the “Hurco Conflict Minerals Policy”), which can be found at the following website: http://www.hurco.com/en-us/about-hurco/investors/Documents/Conflict_Minerals_Policy.pdf. Pursuant to the Hurco Conflict Minerals Policy, we developed a due diligence framework utilizing the Organisation for Economic Co-operation and Development (the “OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and related Supplements for gold and for tin, tantalum and tungsten. We also work closely with our direct suppliers to determine the potential use of conflict minerals in our supply chain and request our suppliers to conduct the necessary due diligence to provide us with proper verification of the source and chain of custody of the materials used in their products.
The due diligence measures performed for the reporting year ended December 31, 2016 are summarized below.
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Maintain Strong Company Management Systems.
We have structured a task force comprised of individuals from the Supply Chain Management, Procurement, Engineering, and Finance departments within the Company to support the process of supply chain due diligence. We held meetings with management from various departments to identify products that are affected by the necessary conflict minerals and mapped them to their respective suppliers. From the risks identified in our supply chain, we have established a strategy to respond to those risks by continuing to strengthen governance and communication with suppliers.
Identify and Assess Risk in the Supply Chain.
We developed a risk-based approach that focused on our direct suppliers that we believed were likely to provide us with components and raw materials containing necessary conflict minerals. This was accomplished by members of our task force reviewing the listing of components and raw materials provided by our direct suppliers and identifying those components and raw materials that may contain necessary conflict minerals. The task force identified fourteen direct suppliers who may have sold us goods or products containing necessary conflicts minerals (the “Identified Suppliers”). As a result, we developed a customized conflict minerals questionnaire using EICC/GeSI Conflict Minerals Reporting Template as guidance.
We sent these customized questionnaires and a survey using the EICC/GeSI Conflict Minerals Reporting Template to our Identified Suppliers and requested information about the source of conflict minerals contained in the components supplied to us. All Identified Suppliers responded “yes” to the presence of conflict minerals in their products. However, all Identified Suppliers provided their responses to us at a company-wide level, rather than at a product-level specific to the materials they supplied to us. Therefore, for necessary conflict minerals sourced from these Identified Suppliers, we were unable to determine which, if any, of the smelters and countries of origin listed in their responses were the actual source of necessary conflict minerals they supplied to us. We intend to continue to work with our direct suppliers in the future to obtain and validate the names of smelters and refiners and related countries of origin that supply necessary conflict minerals for our products. Using our supply chain due diligence processes, we hope to further develop transparency into our supply chain.
Design and Implement a Strategy to Respond to Identified Risks.
As part of our risk management plan, to ensure that our suppliers understand our expectations, we have described our intention to source responsibly in the Hurco Conflict Minerals Policy, which can be found at http://www.hurco.com/en-us/about-hurco/investors/Documents/Conflict_Minerals_Policy.pdf.
Reliance on Independent Third-Party Audit of Supply Chain Due Diligence at the Smelter/Refiner Level.
As mentioned above, we conducted a survey of our fourteen Identified Suppliers using a customized questionnaire and the EICC/GeSI Conflict Minerals Reporting Template. However, we do not have direct relationships with conflict minerals smelters and refiners in our supply chain; thus, we do not perform direct audits of the entities that provide our supply chain with the necessary conflict minerals. We do rely upon the published results of audits conducted by the Conflict-Free Sourcing Initiative and other recognized certification programs in order to comply with OECD guidance to conduct independent third party audits. We also rely upon industry efforts to influence smelters and refineries to participate in the EICC/GeSI Conflict-Free Smelter Program (“CFSP”).
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Report on Supply Chain Due Diligence.
The Company has filed with the SEC its specialized disclosure report on Form SD, which includes this Conflict Minerals Report as Exhibit 1.01, for the reporting period from January 1, 2016 to December 31, 2016. In accordance with OECD Guidance and the Rule, the Company has also made these disclosures available on its website at www.hurco.com under the “Investors” section.
Due Diligence Results
As described above, components of our products contain necessary conflict minerals. Based on the information we have obtained pursuant to our good faith reasonable country of origin inquiry and due diligence process described above, our Identified Suppliers provided us with a list of 324 smelters (listed in Exhibit A) as potentially having processed the necessary conflict minerals used in our products during 2016 (the “Identified Smelters”).
The table below summarizes certain information pertaining to the 324 Identified Smelters as of May 13, 2017:
| Total number of Identified Smelters | 324 | |||
| Number of Identified Smelters designated “Compliant” by the CFSP | 246 | |||
| Number of Identified Smelters designated “Active/In progress” * | 13 | |||
| Number of Identified Smelters under “Corrective Action Plans” ** | 1 | |||
| Number of Identified Smelters designated “Unclassified” (i.e. for which further information is needed to determine status | 64 |
| * | “Active/In progress” smelters are those that have committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs. |
| ** | Smelters under “Corrective Action Plans” are actively progressing towards CFSP compliance and have committed to complete a CFSP validation audit. |
Although we request that our Identified Suppliers provide responses at the product-level, as stated above, all 14 of our Identified Suppliers that responded “yes” to the presence of conflict minerals in their products provided responses at the company-level, meaning that they reported the smelter information for all of their products, not just for the products sold to us. As such, the list of Identified Smelters disclosed in Exhibit A likely contains more smelters than those that actually process or refine the necessary conflict minerals contained in our products.
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Continuous Improvement Efforts to Mitigate Risk
The due diligence discussed above is an ongoing process. Subject to any changes to the Rule, for 2017 we currently intend to take the following steps to improve our due diligence process:
| · | Continue to conduct and report annually on supply chain due diligence for the applicable conflict minerals; |
| · | Continue to enhance our supplier validation program intended to promote supplier engagements and enhance supplier knowledge of responsible sourcing from the Covered Countries; |
| · | Continue to encourage our suppliers to establish an alternative source of conflict minerals, if any are found to be supplying the Company with necessary conflict minerals from sources that support armed conflict in the Covered Countries; |
| · | Continue to work with our suppliers who have indicated the presence of conflict minerals at a company-wide level to obtain product-level declarations in order to refine the smelter list to include only actual verified smelters within our supply chain; and |
| · | Continue to work to improve the accuracy of the smelter list. |
Independent Private Sector Audit
Not applicable.
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Exhibit A
| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner | ||
| Gold | L'Orfebre S.A. | ANDORRA | ||
| Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | ||
| Gold | Morris and Watson Gold Coast | AUSTRALIA | ||
| Gold | The Perth Mint | AUSTRALIA | ||
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | ||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | ||
| Gold | Tony Goetz NV | BELGIUM | ||
| Gold | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | ||
| Gold | Umicore Brasil Ltda. | BRAZIL | ||
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | ||
| Gold | Asahi Refining Canada Ltd. | CANADA | ||
| Gold | Royal Canadian Mint | CANADA | ||
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | ||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | ||
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | ||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | ||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | ||
| Gold | Heraeus Ltd. Hong Kong | CHINA | ||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | ||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | ||
| Gold | Lingbao Gold Co., Ltd. | CHINA | ||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | ||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | ||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | ||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | ||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | ||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | ||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | ||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | ||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | ||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | ||
| Gold | Anhui Tongling Nonferrous Metal Mining Co., Ltd. | CHINA | ||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | ||
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA |
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner | ||
| Gold | Guangdong Jinding Gold Limited | CHINA | ||
| Gold | SAFINA A.S. | CZECH REPUBLIC | ||
| Gold | SAAMP | FRANCE | ||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | ||
| Gold | Aurubis AG | GERMANY | ||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | ||
| Gold | DODUCO GmbH | GERMANY | ||
| Gold | Heimerle + Meule GmbH | GERMANY | ||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | ||
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | ||
| Gold | WIELAND Edelmetalle GmbH | GERMANY | ||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | ||
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | ||
| Gold | Gujarat Gold Centre | INDIA | ||
| Gold | Sai Refinery | INDIA | ||
| Gold | Bangalore Refinery | INDIA | ||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | ||
| Gold | Chimet S.p.A. | ITALY | ||
| Gold | Faggi Enrico S.p.A. | ITALY | ||
| Gold | T.C.A S.p.A | ITALY | ||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | ||
| Gold | Asahi Pretec Corp. | JAPAN | ||
| Gold | Asaka Riken Co., Ltd. | JAPAN | ||
| Gold | Chugai Mining | JAPAN | ||
| Gold | Dowa | JAPAN | ||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | ||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | ||
| Gold | Japan Mint | JAPAN | ||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | ||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | ||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | ||
| Gold | Mitsubishi Materials Corporation | JAPAN | ||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | ||
| Gold | Nihon Material Co., Ltd. | JAPAN | ||
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | ||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | ||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | ||
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | ||
| Gold | Yamamoto Precious Metal Co., Ltd. | JAPAN | ||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | ||
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | ||
| Gold | Kazzinc | KAZAKHSTAN |
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner | ||
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | ||
| Gold | Daejin Indus Co., Ltd. | KOREA | ||
| Gold | DSC (Do Sung Corporation) | KOREA | ||
| Gold | HwaSeong CJ Co., Ltd. | KOREA | ||
| Gold | LS-NIKKO Copper Inc. | KOREA | ||
| Gold | Samduck Precious Metals | KOREA | ||
| Gold | Samwon Metals Corp. | KOREA | ||
| Gold | Torecom | KOREA | ||
| Gold | Korea Zinc Co., Ltd. | KOREA | ||
| Gold | SungEel HiTech | KOREA | ||
| Gold | Korea Metal Co., Ltd. | KOREA | ||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | ||
| Gold | Modeltech Sdn Bhd | MALAYSIA | ||
| Gold | Caridad | MEXICO | ||
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | MEXICO | ||
| Gold | Schone Edelmetaal B.V. | NETHERLANDS | ||
| Gold | Remondis Argentia B.V. | NETHERLANDS | ||
| Gold | Morris and Watson | NEW ZEALAND | ||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | ||
| Gold | KGHM Polska Miedź Spółka Akcyjna | POLAND | ||
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | ||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | ||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | ||
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | ||
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | ||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | ||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | ||
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | ||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | ||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | ||
| Gold | AU Traders and Refiners | SOUTH AFRICA | ||
| Gold | SEMPSA Joyería Platería S.A. | SPAIN | ||
| Gold | Sudan Gold Refinery | SUDAN | ||
| Gold | Boliden AB | SWEDEN | ||
| Gold | Argor-Heraeus S.A. | SWITZERLAND | ||
| Gold | Cendres + Métaux S.A. | SWITZERLAND | ||
| Gold | Metalor Technologies S.A. | SWITZERLAND | ||
| Gold | PAMP S.A. | SWITZERLAND | ||
| Gold | PX Précinox S.A. | SWITZERLAND | ||
| Gold | Valcambi S.A. | SWITZERLAND | ||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN | ||
| Gold | Singway Technology Co., Ltd. | TAIWAN | ||
| Gold | Umicore Precious Metals Thailand | THAILAND | ||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | ||
| Gold | Istanbul Gold Refinery | TURKEY |
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner | ||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | ||
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | ||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | ||
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | ||
| Gold | Advanced Chemical Company | UNITED STATES | ||
| Gold | Asahi Refining USA Inc. | UNITED STATES | ||
| Gold | Kennecott Utah Copper LLC | UNITED STATES | ||
| Gold | Materion | UNITED STATES | ||
| Gold | Metalor USA Refining Corporation | UNITED STATES | ||
| Gold | Elemetal Refining, LLC | UNITED STATES | ||
| Gold | Sabin Metal Corp. | UNITED STATES | ||
| Gold | So Accurate Group, Inc. | UNITED STATES | ||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | ||
| Gold | Geib Refining Corporation | UNITED STATES | ||
| Gold | Republic Metals Corporation | UNITED STATES | ||
| Gold | Abington Reldan Metals, LLC | UNITED STATES | ||
| Gold | AURA-II | UNITED STATES | ||
| Gold | Pease & Curren | UNITED STATES | ||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | ||
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | ||
| Gold | Universal Precious Metals Refining Zambia | ZAMBIA | ||
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | ||
| Tantalum | Plansee SE Liezen | AUSTRIA | ||
| Tantalum | Plansee SE Reutte | AUSTRIA | ||
| Tantalum | LSM Brasil S.A. | BRAZIL | ||
| Tantalum | Mineração Taboca S.A. | BRAZIL | ||
| Tantalum | Resind Indústria e Comércio Ltda. | BRAZIL | ||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | ||
| Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | ||
| Tantalum | Duoluoshan | CHINA | ||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | ||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | ||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | ||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | ||
| Tantalum | King-Tan Tantalum Industry Ltd. | CHINA | ||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | ||
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CHINA | ||
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | ||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | ||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | ||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | ||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | ||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | ||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA |
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner | ||
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | ||
| Tantalum | Molycorp Silmet A.S. | ESTONIA | ||
| Tantalum | H.C. Starck GmbH Goslar | GERMANY | ||
| Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | ||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | ||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | ||
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | ||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | ||
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | ||
| Tantalum | H.C. Starck Ltd. | JAPAN | ||
| Tantalum | Global Advanced Metals Aizu | JAPAN | ||
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | ||
| Tantalum | Power Resources Ltd. | MACEDONIA | ||
| Tantalum | KEMET Blue Metals | MEXICO | ||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | ||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | ||
| Tantalum | Exotech Inc. | UNITED STATES | ||
| Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES | ||
| Tantalum | QuantumClean | UNITED STATES | ||
| Tantalum | Telex Metals | UNITED STATES | ||
| Tantalum | D Block Metals, LLC | UNITED STATES | ||
| Tantalum | H.C. Starck Inc. | UNITED STATES | ||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | ||
| Tantalum | KEMET Blue Powder | UNITED STATES | ||
| Tantalum | Tranzact, Inc. | UNITED STATES | ||
| Tantalum | E.S.R. Electronics | UNITED STATES | ||
| Tin | Metallo-Chimique N.V. | BELGIUM | ||
| Tin | EM Vinto | BOLIVIA | ||
| Tin | Operaciones Metalurgical S.A. | BOLIVIA | ||
| Tin | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | ||
| Tin | Estanho de Rondônia S.A. | BRAZIL | ||
| Tin | Mineração Taboca S.A. | BRAZIL | ||
| Tin | Soft Metais Ltda. | BRAZIL | ||
| Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | ||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | ||
| Tin | Melt Metais e Ligas S.A. | BRAZIL | ||
| Tin | Resind Indústria e Comércio Ltda. | BRAZIL | ||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | ||
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | ||
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | ||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | ||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | ||
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | ||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | ||
| Tin | China Tin Group Co., Ltd. | CHINA |
10
| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner | ||
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | ||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | ||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | ||
| Tin | Yunnan Tin Company Limited | CHINA | ||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | ||
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | ||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | ||
| Tin | Gejiu Jinye Mineral Company | CHINA | ||
| Tin | CV Gita Pesona | INDONESIA | ||
| Tin | PT Justindo | INDONESIA | ||
| Tin | PT Aries Kencana Sejahtera | INDONESIA | ||
| Tin | CV Serumpun Sebalai | INDONESIA | ||
| Tin | CV United Smelting | INDONESIA | ||
| Tin | PT Artha Cipta Langgeng | INDONESIA | ||
| Tin | PT Babel Inti Perkasa | INDONESIA | ||
| Tin | PT Bangka Tin Industry | INDONESIA | ||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | ||
| Tin | PT Bukit Timah | INDONESIA | ||
| Tin | PT DS Jaya Abadi | INDONESIA | ||
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | ||
| Tin | PT Karimun Mining | INDONESIA | ||
| Tin | PT Mitra Stania Prima | INDONESIA | ||
| Tin | PT Panca Mega Persada | INDONESIA | ||
| Tin | PT Prima Timah Utama | INDONESIA | ||
| Tin | PT Refined Bangka Tin | INDONESIA | ||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | ||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | ||
| Tin | PT Sumber Jaya Indah | INDONESIA | ||
| Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | ||
| Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | ||
| Tin | PT Tinindo Inter Nusa | INDONESIA | ||
| Tin | PT Tommy Utama | INDONESIA | ||
| Tin | CV Venus Inti Perkasa | INDONESIA | ||
| Tin | PT Tirus Putra Mandiri | INDONESIA | ||
| Tin | PT Wahana Perkit Jaya | INDONESIA | ||
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | ||
| Tin | PT Inti Stania Prima | INDONESIA | ||
| Tin | CV Ayi Jaya | INDONESIA | ||
| Tin | CV Dua Sekawan | INDONESIA | ||
| Tin | CV Tiga Sekawan | INDONESIA | ||
| Tin | PT Cipta Persada Mulia | INDONESIA | ||
| Tin | PT O.M. Indonesia | INDONESIA | ||
| Tin | PT Bangka Prima Tin | INDONESIA | ||
| Tin | PT Sukses Inti Makmur | INDONESIA | ||
| Tin | PT Menara Cipta Mulia | INDONESIA |
11
| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner | ||
| Tin | PT Kijang Jaya Mandiri | INDONESIA | ||
| Tin | PT Lautan Harmonis Sejahtera | INDONESIA | ||
| Tin | Dowa | JAPAN | ||
| Tin | Mitsubishi Materials Corporation | JAPAN | ||
| Tin | Modeltech Sdn Bhd | MALAYSIA | ||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | ||
| Tin | Minsur | PERU | ||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | ||
| Tin | Fenix Metals | POLAND | ||
| Tin | Phoenix Metal Ltd. | RWANDA | ||
| Tin | Elmet S.L.U. | SPAIN | ||
| Tin | Rui Da Hung | TAIWAN | ||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | ||
| Tin | Thaisarco | THAILAND | ||
| Tin | Alpha | UNITED STATES | ||
| Tin | Metallic Resources, Inc. | UNITED STATES | ||
| Tin | VQB Mineral and Trading Group JSC | VIET NAM | ||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | ||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | ||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | ||
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | ||
| Tin | An Thai Minerals Co., Ltd. | VIET NAM | ||
| Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | ||
| Tungsten | ACL Metais Eireli | BRAZIL | ||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | ||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | ||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA |
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| Subject Mineral | Smelter or Ref iner Name |
Country Location of Smelter or Refiner | ||
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | ||
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | ||
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | ||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | ||
| Tungsten | H.C. Starck GmbH | GERMANY | ||
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | ||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | ||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | ||
| Tungsten | Woltech Korea Co., Ltd. | KOREA | ||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | ||
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | ||
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | ||
| Tungsten | Moliren Ltd | RUSSIAN FEDERATION | ||
| Tungsten | Kennametal Huntsville | UNITED STATES | ||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | ||
| Tungsten | Kennametal Fallon | UNITED STATES | ||
| Tungsten | Niagara Refining LLC | UNITED STATES | ||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | ||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | ||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | ||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM |
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