Form: SD

Specialized disclosure report

May 27, 2022

Documents


Exhibit 1.01

Conflict Minerals Report
Calix, Inc.
For the Year Ended December 31, 2021

This Conflict Minerals Report (“CMR”) is provided to comply with Rule 13p-1 of the Securities Exchange Act of 1934, as amended, for Calix, Inc. (“Calix”) for the calendar year ended December 31, 2021. Rule 13p-1, as implemented by the Securities and Exchange Commission (“SEC”), imposes reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 applies to SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products, other than conflict minerals sourced solely from recycled or scrap sources. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten and gold, referred to as 3TG.

If a registrant has reason to believe that any of the conflict minerals in their supply chain may have originated in the Democratic Republic of the Congo (“DRC”) or an adjoining country (together with the DRC, the “Covered Countries”), or a registrant is unable to determine the country of origin of those conflict minerals, then the registrant must exercise due diligence on the source and chain of custody of those conflict minerals.

Overview

Calix is a leading global provider of cloud and software platforms, systems and services that focus on the access network, the portion of the network that governs available bandwidth and determines the range and quality of services that can be offered to subscribers. Calix’s cloud and software platforms enable communication service providers to provide a wide range of revenue-generating services, from basic voice and data to advanced broadband services, over legacy and next-generation access networks. Calix primarily relies upon third-party manufacturing partners to manufacture its products, purchase components or materials that may contain smelted or refined minerals and purchase raw ore or minerals. Calix is several levels removed from the purchase of raw ore and minerals or the mining of conflict minerals which occurs much further upstream in the supply chain.
For purposes of Rule 13p-1, we engaged a third-party vendor to assist with survey efforts and outreach with our third-party manufacturing partners and to make inquiries regarding suppliers further upstream in order to ascertain information on the conflict mineral content in our products as well as the origin of the conflict minerals in components and materials in our products. We rely upon third-party manufacturing partners, consisting of contract manufacturers and original design manufacturers, to source for and produce our products based on our requirements, and in some cases we have no visibility into the upstream suppliers and do not control the supplier sourcing decisions. In selecting manufacturing partners, we require partners to regularly engage with and assess their supplier base as relevant to the components and materials for Calix products.

Based on evaluations together with our manufacturing partners for 2021, we identified that some components and materials that are included in Calix access systems contain conflict minerals.

Reasonable Country of Origin Inquiry

In order to perform a reasonable country of origin inquiry, or RCOI, we and our third-party vendor worked directly with our suppliers and our third-party manufacturers to conduct surveys of their direct supplier base to determine whether the conflict minerals contained in components of Calix products originated from the Covered Countries. This survey was conducted using the Conflict Minerals Reporting Template (“CMRT”) developed by the Responsible Minerals Initiative (“RMI”), and included inquiries related to the facilities used to process conflict minerals, a supplier’s commitment and processes to support conflict free sourcing and the smelters and refiners used, including a supplier’s further inquiries made upstream in the supply chain to ascertain such information. The survey
1


was used to collect information to facilitate our understanding of the country of origin of conflict minerals and information on the conflict free status for smelters and refiners used by the supplier or its upstream suppliers.

For 2021, surveys were distributed to approximately 223 suppliers with a reported response rate of 99% for completed surveys. To support improved response rate and quality of the CMRT process, personnel that have oversight responsibilities for conflict minerals within our manufacturing partner organizations review the CMRT responses and engage with our manufacturing partners to conduct follow-up inquiries for CMRT completeness and accuracy. Information regarding the RMI is included in surveys sent to the supplier base and manufacturing partners generally provide information and training to assist suppliers with completing the CMRT.

Based on the RCOI described above, we have reason to believe that some of the components used in the manufacture of our products in 2021 contained conflict minerals that originated from the Covered Countries and were not sourced solely from recycled or scrap sources.

Supply Chain Due Diligence and Assessment

Based on the RCOI on our supply chain and as required by Rule 13p-1, we undertook due diligence on our supply chain. The objective of this due diligence was to ascertain whether the conflict minerals directly or indirectly financed or benefited arms groups in the Covered Countries, including for the smelters identified through the CMRTs as providing conflict minerals that originated from the Covered Countries.

Based on our RCOI for 2021, there were approximately 433 smelters and refiners that were identified by suppliers as a source of conflict minerals originating from the Covered Countries. We conducted further due diligence on our supply chain to assess the source and chain of custody of the conflict minerals applying due diligence measures designed to conform with the Organization for Economic Co-operation and Development Due Diligence Guidelines for Responsible Supply Chains of Minerals from High Risk Areas and related supplements. These further actions included:

Collection of conflict minerals information from the supply chain utilizing the CMRT
Reviews of supplier, smelter and refinery information in CMRT responses for plausibility, consistency and completeness
Follow-up efforts with suppliers for information about identified smelters and refiners
Engagement with suppliers for further conflict minerals reporting upstream through the supply chain
Review whether identified smelters and refiners, including those identified as a source of conflict minerals originating from the Covered Countries, are listed as participating in the Responsible Minerals Assurance Process (“RMAP”) operated by the RMI or otherwise verified as conflict free by industry recognized programs
Conduct supplier outreach as recommended and in support of RMI initiatives, particularly for non-responding suppliers

Based on the due diligence conducted, we determined that 419 of the smelters and refiners identified to supply conflict minerals originating in the Covered Countries are included on the RMI list of conformant, active and eligible smelters and refiners pursuant to the RMAP program operated by the RMI. Based on the information provided by our suppliers, we believe that the facilities that may have been used to process the 3TG minerals in our products include the smelters and refiners listed in Appendix I to this CMR. Pursuant to Rule 13p-1, this CMR is not subject to an independent private sector audit.

Ongoing Risk Management

We intend to continue our work with our manufacturing partners and suppliers to improve response rates to our conflict minerals surveys, including through direct and indirect outreach efforts, and to improve awareness upstream in the supply chain. We also expect to further refine conflict minerals assessments and inquiries as part of our supplier and manufacturer partner evaluation processes. This CMR is also available on Calix’s Investor Relations website at: https://investor-relations.calix.com under Governance – Governance Documents.
2



Forward-Looking Statements

Statements made in this report that are not statements of historical fact are forward-looking statements. Forward-looking statements are subject to the “safe harbor” provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements are based on our current expectations and assumptions about our business and operations and are subject to risks and uncertainties that could cause actual results to differ materially from expectations. These risks and uncertainties include the effect of changes in laws and regulations, economic, market and business conditions, the performance and operations of third-party partners and suppliers, availability of critical components and materials, and other risks as described in our Form 10-K and our quarterly reports on Form 10-Q, each as filed with the SEC. Forward-looking statements speak only as of the date the statements are made and are based on information available to us at the time those statements are made and/or management’s good faith belief as of that time with respect to future events. We assume no obligation to update forward-looking statements to reflect actual performance or results, changes in assumptions or changes in other factors affecting forward-looking information, except to the extent required by applicable securities laws.

3


Appendix I

MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldYokohama Metal Co., Ltd.JAPANCID002129
GoldSAAMPFRANCECID002761
GoldAlexy MetalsUNITED STATES OF AMERICACID003500
GoldFidelity Printers and Refiners Ltd.ZIMBABWECID002515
GoldIshifuku Metal Industry Co., Ltd.JAPANCID000807
GoldTSK PretechKOREA, REPUBLIC OFCID003195
GoldElemetal Refining, LLCUNITED STATES OF AMERICACID001322
GoldAurubis AGGERMANYCID000113
GoldDODUCO Contacts and Refining GmbHGERMANYCID000362
GoldKazakhmys Smelting LLCKAZAKHSTANCID000956
GoldCendres + Metaux S.A.SWITZERLANDCID000189
GoldRepublic Metals CorporationUNITED STATES OF AMERICACID002510
GoldSafimet S.p.AITALYCID002973
GoldSuper Dragon Technology Co., Ltd.CHINAN/A
GoldAsaka Riken Co., Ltd.JAPANCID000090
GoldMMTC-PAMP India Pvt., Ltd.INDIACID002509
GoldLS-NIKKO Copper Inc.KOREA, REPUBLIC OFCID001078
GoldYamakin Co., Ltd.JAPANCID002100
GoldSungEel HiMetal Co., Ltd.KOREA, REPUBLIC OFCID002918
GoldOhura Precious Metal Industry Co., Ltd.JAPANCID001325
GoldUnited Precious Metal Refining, Inc.UNITED STATES OF AMERICACID001993
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRUSSIAN FEDERATIONCID001756
GoldValue TradingBELGIUMCID003617
GoldMaterionUNITED STATES OF AMERICACID001113
GoldMetalor Technologies (Suzhou) Ltd.CHINACID001147
GoldGeib Refining CorporationUNITED STATES OF AMERICACID002459
GoldAfrican Gold RefineryUGANDACID003185
GoldNihon Material Co., Ltd.JAPANCID001259
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)RUSSIAN FEDERATIONCID001326
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MEXICOCID001161
GoldLT Metal Ltd.KOREA, REPUBLIC OFCID000689
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CHINACID001622
GoldHunan Chenzhou Mining Co., Ltd.CHINACID000767
GoldL'azurde Company For JewelrySAUDI ARABIACID001032
GoldPT Aneka Tambang (Persero) TbkINDONESIACID001397
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CHINACID000773
GoldDegussa Sonne / Mond Goldhandel GmbHGERMANYCID002867
GoldRoyal Canadian MintCANADACID001534
A-1


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldMetalor Technologies (Hong Kong) Ltd.CHINACID001149
GoldKojima Chemicals Co., Ltd.JAPANCID000981
GoldGuangdong Jinding Gold LimitedCHINACID002312
GoldThe Refinery of Shandong GoldMining Co.,Ltd.CHINAN/A
GoldMitsubishi Materials CorporationJAPANCID001188
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCHINACID002224
GoldC. Hafner GmbH + Co. KGGERMANYCID000176
GoldDSC (Do Sung Corporation)KOREA, REPUBLIC OFCID000359
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CHINACID000671
GoldMorris and WatsonNEW ZEALANDCID002282
GoldHwaSeong CJ CO., LTD.KOREA, REPUBLIC OFCID000778
GoldAgosi AGGERMANYCID000035
GoldDowaJAPANCID000401
GoldIstanbul Gold RefineryTURKEYCID000814
GoldTorecomKOREA, REPUBLIC OFCID001955
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CHINACID000651
GoldShandong Zhaojin Gold & Silver refinery Co., LtdCHINAN/A
GoldKyshtym Copper-Electrolytic Plant ZAORUSSIAN FEDERATIONCID002865
GoldWIELAND Edelmetalle GmbHGERMANYCID002778
GoldMetalor Technologies (Singapore) Pte., Ltd.SINGAPORECID001152
GoldDaejin Indus Co., Ltd.KOREA, REPUBLIC OFCID000328
GoldHeraeus Germany GmbH Co. KGGERMANYCID000711
GoldTongling Nonferrous Metals Group Co., Ltd.CHINACID001947
GoldSAXONIA Edelmetalle GmbHGERMANYCID002777
GoldMatsuda Sangyo Co., Ltd.JAPANCID001119
GoldMetalor Technologies S.A.SWITZERLANDCID001153
GoldMorris and Watson Gold CoastAUSTRALIACID002866
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCHINACID001909
GoldMD OverseasINDIACID003548
GoldKundan Care Products Ltd.INDIACID003463
GoldPease & CurrenUNITED STATES OF AMERICACID002872
GoldAida Chemical Industries Co., Ltd.JAPANCID000019
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TURKEYCID000103
GoldK.A. RasmussenNORWAYCID003497
GoldMitsui Mining and Smelting Co., Ltd.JAPANCID001193
GoldQG Refining, LLCUNITED STATES OF AMERICACID003324
GoldJSC Novosibirsk RefineryRUSSIAN FEDERATIONCID000493
GoldKorea Zinc Co., Ltd.KOREA, REPUBLIC OFCID002605
GoldGold Coast RefineryGHANACID003186
GoldMarsam MetalsBRAZILCID002606
A-2


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldMorris and WatsonAUSTRALIAN/A
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CHINACID001619
GoldDaye Non-Ferrous Metals Mining Ltd.CHINACID000343
GoldRefinery of Seemine Gold Co., Ltd.CHINACID000522
GoldPlanta Recuperadora de Metales SpACHILECID002919
GoldAsahi Refining USA Inc.UNITED STATES OF AMERICACID000920
Gold8853 S.p.A.ITALYCID002763
GoldSancus ZFS (L’Orfebre, SA)COLOMBIACID003529
GoldMetalor USA Refining CorporationUNITED STATES OF AMERICACID001157
GoldShandong Gold Smelting Co., Ltd.CHINACID001916
GoldSai RefineryINDIACID002853
GoldChimet S.p.A.ITALYCID000233
GoldDijllah Gold Refinery FZCUNITED ARAB EMIRATESCID003348
GoldSellem Industries Ltd.MAURITANIACID003540
GoldChugai MiningJAPANCID000264
GoldHeimerle + Meule GmbHGERMANYCID000694
GoldSuper Dragon Technology Co., Ltd.TAIWAN, PROVINCE OF CHINACID001810
GoldSabin Metal Corp.UNITED STATES OF AMERICACID001546
GoldSamwon Metals Corp.KOREA, REPUBLIC OFCID001562
GoldFujairah Gold FZCUNITED ARAB EMIRATESCID002584
GoldL'Orfebre S.A.ANDORRACID002762
GoldYunnan Copper Industry Co., Ltd.CHINACID000197
GoldNadir Metal Rafineri San. Ve Tic. A.S.TURKEYCID001220
GoldJiangxi Copper Co., Ltd.CHINACID000855
GoldKazzincKAZAKHSTANCID000957
GoldMetal Concentrators SA (Pty) Ltd.SOUTH AFRICACID003575
GoldState Research Institute Center for Physical Sciences and TechnologyLITHUANIACID003153
GoldRand Refinery (Pty) Ltd.SOUTH AFRICACID001512
GoldUmicore S.A. Business Unit Precious Metals RefiningBELGIUMCID001980
GoldCaridadMEXICOCID000180
GoldJapan MintJAPANCID000823
GoldAsahi Refining Canada Ltd.CANADACID000924
GoldSAFINA A.S.CZECHIACID002290
GoldTOO Tau-Ken-AltynKAZAKHSTANCID002615
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.CHINACID002527
GoldAbington Reldan Metals, LLCUNITED STATES OF AMERICACID002708
GoldFaggi Enrico S.p.A.ITALYCID002355
GoldC.I Metales Procesados Industriales SASCOLOMBIACID003421
GoldCGR Metalloys Pvt Ltd.INDIACID003382
GoldUniversal Precious Metals Refining ZambiaZAMBIACID002854
A-3


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldInternational Precious Metal RefinersUNITED ARAB EMIRATESCID002562
GoldMetallix Refining Inc.UNITED STATES OF AMERICACID003557
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UZBEKISTANCID000041
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PHILIPPINESCID000128
GoldSovereign MetalsINDIACID003383
GoldUmicore Brasil Ltda.BRAZILCID001977
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRUSSIAN FEDERATIONCID000927
GoldSchone Edelmetaal B.V.NETHERLANDSCID001573
GoldAdvanced Chemical CompanyUNITED STATES OF AMERICACID000015
GoldEmerald Jewel Industry India Limited (Unit 1)INDIACID003487
GoldAU Traders and RefinersGERMANYN/A
GoldBangalore RefineryINDIACID002863
GoldEco-System Recycling Co., Ltd. East PlantJAPANCID000425
GoldWEEEREFININGFRANCECID003615
GoldCCR Refinery - Glencore Canada CorpCANADAN/A
GoldTanaka Kikinzoku Kogyo K.K.JAPANCID001875
GoldEmerald Jewel Industry India Limited (Unit 2)INDIACID003488
GoldModeltech Sdn BhdMALAYSIACID002857
GoldJSC UralelectromedRUSSIAN FEDERATIONCID000929
GoldEco-System Recycling Co., Ltd. North PlantJAPANCID003424
GoldSEMPSA Joyeria Plateria S.A.SPAINCID001585
GoldIndustrial Refining CompanyBELGIUMCID002587
GoldREMONDIS PMR B.V.NETHERLANDSCID002582
GoldMoscow Special Alloys Processing PlantRUSSIAN FEDERATIONCID001204
GoldArgor-Heraeus S.A.SWITZERLANDCID000077
GoldEmerald Jewel Industry India Limited (Unit 3)INDIACID003489
GoldPenglai Penggang Gold Industry Co., Ltd.CHINACID001362
GoldEco-System Recycling Co., Ltd. West PlantJAPANCID003425
GoldAU Traders and RefinersSOUTH AFRICACID002850
GoldEmerald Jewel Industry India Limited (Unit 4)INDIACID003490
GoldKyrgyzaltyn JSCUNITED STATES OF AMERICAN/A
GoldSichuan Tianze Precious Metals Co., Ltd.CHINACID001736
GoldUmicore Precious Metals ThailandTHAILANDCID002314
GoldKGHM Polska Miedz Spolka AkcyjnaPOLANDCID002511
GoldHeraeus Metals Hong KongCHINAN/A
GoldBoliden ABSWEDENCID000157
GoldTokuriki Honten Co., Ltd.JAPANCID001938
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CHINACID000801
GoldDowa Metals & Mining Co. Ltd (Dowa)JAPANN/A
GoldMetalor Technologies(Suzhou) LtdCHINAN/A
A-4


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
GoldT.C.A S.p.AITALYCID002580
GoldValcambi S.A.SWITZERLANDCID002003
GoldNavoi Mining and Metallurgical CombinatUZBEKISTANCID001236
GoldSamduck Precious MetalsKOREA, REPUBLIC OFCID001555
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAUSTRIACID002779
GoldAsahi Pretec Corp.JAPANCID000082
GoldHeraeus Metals Hong Kong Ltd.CHINACID000707
GoldKennecott Utah Copper LLCUNITED STATES OF AMERICACID000969
GoldLingbao Gold Co., Ltd.CHINACID001056
GoldMetalor Technologies(Singapore) Pte.,LtdSINGAPOREN/A
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CHINACID001093
GoldSudan Gold RefinerySUDANCID002567
GoldPrioksky Plant of Non-Ferrous MetalsRUSSIAN FEDERATIONCID001386
GoldAngloGold Ashanti Corrego do Sitio MineracaoBRAZILCID000058
GoldShandong Humon Smelting Co., Ltd.CHINACID002525
GoldJX Nippon Mining & Metals Co., Ltd.JAPANCID000937
GoldSumitomo Metal Mining Co., Ltd.JAPANCID001798
GoldSingway Technology Co., Ltd.TAIWAN, PROVINCE OF CHINACID002516
GoldKaloti Precious MetalsUNITED ARAB EMIRATESCID002563
GoldPAMP S.A.SWITZERLANDCID001352
GoldCCR Refinery - Glencore Canada CorporationCANADACID000185
GoldGGC Gujrat Gold Centre Pvt. Ltd.INDIACID002852
GoldJALAN & CompanyINDIACID002893
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CHINACID001058
GoldEmirates Gold DMCCUNITED ARAB EMIRATESCID002561
GoldGold Refinery of Zijin Mining Group Co., Ltd.CHINACID002243
GoldNH Recytech CompanyKOREA, REPUBLIC OFCID003189
GoldAl Etihad Gold Refinery DMCCUNITED ARAB EMIRATESCID002560
GoldAugmont Enterprises Private LimitedINDIACID003461
GoldPX Precinox S.A.SWITZERLANDCID001498
GoldItalpreziosiITALYCID002765
GoldSolar Applied Materials Technology Corp.TAIWAN, PROVINCE OF CHINACID001761
GoldKyrgyzaltyn JSCKYRGYZSTANCID001029
GoldShirpur Gold Refinery Ltd.INDIACID002588
GoldWestern Australian Mint (T/a The Perth Mint)AUSTRALIACID002030
TantalumKEMET Blue PowderUNITED STATES OF AMERICACID002568
TantalumJiujiang Janny New Material Co., Ltd.CHINACID003191
TantalumResind Industria e Comercio Ltda.BRAZILCID002707
TantalumMeta MaterialsNORTH MACEDONIACID002847
TantalumXinXing HaoRong Electronic Material Co., Ltd.CHINACID002508
TantalumTANIOBIS Co., Ltd.THAILANDCID002544
A-5


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.CHINACID001522
TantalumTelex MetalsUNITED STATES OF AMERICACID001891
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CHINACID002506
TantalumGlobal Advanced Metals AizuJAPANCID002558
TantalumTANIOBIS Japan Co., Ltd.JAPANCID002549
TantalumFIR Metals & Resource Ltd.CHINACID002505
TantalumGlobal Advanced Metals BoyertownUNITED STATES OF AMERICACID002557
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CHINACID000914
TantalumD Block Metals, LLCUNITED STATES OF AMERICACID002504
TantalumPlansee SE ReutteAUSTRIACID002556
TantalumTANIOBIS GmbHGERMANYCID002545
TantalumTANIOBIS Smelting GmbH & Co. KGGERMANYCID002550
TantalumJiujiang Tanbre Co., Ltd.CHINACID000917
TantalumH.C. Starck Inc.UNITED STATES OF AMERICACID002548
TantalumHi-Temp Specialty Metals, Inc.UNITED STATES OF AMERICACID000731
TantalumQuantumCleanUNITED STATES OF AMERICACID001508
TantalumH.C. Starck Hermsdorf GmbHGERMANYCID002547
TantalumXIMEI RESOURCES (GUANGDONG) LIMITEDCHINACID000616
TantalumH.C. Starck GmbH LaufenburgGERMANYCID002546
TantalumF&X Electro-Materials Ltd.CHINACID000460
TantalumKEMET de MexicoMEXICOCID002539
TantalumExotech Inc.UNITED STATES OF AMERICACID000456
TantalumMetallurgical Products India Pvt., Ltd.INDIACID001163
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CHINACID002492
TantalumMitsui Mining and Smelting Co., Ltd.JAPANCID001192
TantalumPlansee SE LiezenAUSTRIACID002540
TantalumGuangdong Rising Rare Metals-EO Materials Ltd.CHINACID000291
TantalumAsaka Riken Co., Ltd.JAPANCID000092
TantalumNingxia Non-ferrous Metal SmelteryCHINAN/A
TantalumPower Resources Ltd.NORTH MACEDONIAN/A
TantalumNingxia Orient Tantalum Industry Co., Ltd.CHINACID001277
TantalumMineracao Taboca S.A.BRAZILCID001175
TantalumRFH Yancheng Jinye New Material Technology Co., Ltd.CHINACID003583
TantalumNPM Silmet ASESTONIACID001200
TantalumSolikamsk Magnesium Works OAORUSSIAN FEDERATIONCID001769
TantalumChangsha South Tantalum Niobium Co., Ltd.CHINACID000211
TantalumTaki Chemical Co., Ltd.JAPANCID001869
TantalumUlba Metallurgical Plant JSCKAZAKHSTANCID001969
TantalumCP Metals Inc.UNITED STATES OF AMERICACID003402
A-6


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TantalumZhuzhou Cemented Carbide Group Co., Ltd.CHINACID002232
TantalumAMG BrasilBRAZILCID001076
TantalumKing-Tan Tantalum Industry Ltd.CHINACID000973
TantalumDuoluoshanCHINACID000410
TantalumPRG DooelNORTH MACEDONIAN/A
TantalumYichun Jin Yang Rare Metal Co., Ltd.CHINACID002307
TantalumJiangxi Tuohong New Raw MaterialCHINACID002842
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CHINACID002512
TinMetallo Belgium N.V.BELGIUMCID002773
TinPT Sariwiguna BinasentosaINDONESIACID001463
TinGejiu Kai Meng Industry and Trade LLCCHINACID000942
TinMineracao Taboca S.A.BRAZILCID001173
TinCooperativa Metalurgica de Rondonia Ltda.BRAZILCID000295
TinTin Technology & RefiningUNITED STATES OF AMERICACID003325
TinMinsurPERUCID001182
TinPT Premium Tin IndonesiaINDONESIACID000313
TinWhite Solder Metalurgia e Mineracao Ltda.BRAZILCID002036
TinSoft Metais Ltda.BRAZILCID001758
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CHINACID000538
TinPT Tirus Putra MandiriINDONESIACID002478
TinPT Kijang Jaya MandiriINDONESIACID002829
TinEM VintoBOLIVIA (PLURINATIONAL STATE OF)CID000438
TinCRM SynergiesSPAINCID003524
TinGejiu City Fuxiang Industry and Trade Co., Ltd.”CHINAN/A
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CHINACID002158
TinPrecious Minerals and Smelting LimitedINDIACID003409
TinPT DS Jaya AbadiINDONESIACID001434
TinMagnu's Minerais Metais e Ligas Ltda.BRAZILCID002468
TinPT Stanindo Inti PerkasaINDONESIACID001468
TinAlphaUNITED STATES OF AMERICACID000292
TinPT Mitra Sukses GlobalindoINDONESIACID003449
TinPT Sukses Inti MakmurINDONESIACID002816
TinPT Rajehan AriqINDONESIACID002593
TinHuichang Jinshunda Tin Co., Ltd.CHINACID000760
TinFenix MetalsPOLANDCID000468
TinDowaJAPANCID000402
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CHINACID003397
TinPT Artha Cipta LanggengINDONESIACID001399
TinEstanho de Rondonia S.A.BRAZILCID000448
TinPT ATD Makmur Mandiri JayaINDONESIACID002503
TinPT Sumber Jaya IndahINDONESIACID001471
A-7


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CHINACID000228
TinGejiu Zili Mining And Metallurgy Co., Ltd.CHINACID000555
TinMitsubishi Materials CorporationJAPANCID001191
TinPT Eunindo Usaha MandiriINDONESIACID001438
TinPT Bangka Prima TinINDONESIACID002776
TinPT Bangka SerumpunINDONESIACID003205
TinRui Da HungTAIWAN, PROVINCE OF CHINACID001539
TinPT Babel Inti PerkasaINDONESIACID001402
TinPT Menara Cipta MuliaINDONESIACID002835
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CHINACID001908
TinMelt Metais e Ligas S.A.BRAZILCID002500
TinPT Babel Surya Alam LestariINDONESIACID001406
TinPT Timah Tbk KundurINDONESIACID001477
TinCNMC (Guangxi) PGMA Co., Ltd.CHINACID000278
TinPT Timah Tbk MentokINDONESIACID001482
TinVQB Mineral and Trading Group JSCVIET NAMCID002015
TinPT O.M. IndonesiaINDONESIACID002757
TinMa'anshan Weitai Tin Co., Ltd.CHINACID003379
TinJiangxi New Nanshan Technology Ltd.CHINACID001231
TinThai Nguyen Mining and Metallurgy Co., Ltd.VIET NAMCID002834
TinGejiu Jinye Mineral CompanyCHINACID002859
TinPT Rajawali Rimba PerkasaINDONESIACID003381
TinRSR TechnologiesUNITED STATES OF AMERICAN/A
TinPT Karimun MiningINDONESIACID001448
TinGejiu City Fuxiang Industry and Trade Co., Ltd.CHINACID003410
TinCV Venus Inti PerkasaINDONESIACID002455
TinAn Vinh Joint Stock Mineral Processing CompanyVIET NAMCID002703
TinModeltech Sdn BhdMALAYSIACID002858
TinPT Cipta Persada MuliaINDONESIACID002696
TinPongpipat Company LimitedMYANMARCID003208
TinDowa Metaltech Co., Ltd. (Dowa)JAPANN/A
TinLuna Smelter, Ltd.RWANDACID003387
TinPT Bangka Timah Utama SejahteraINDONESIACID001416
TinPT Lautan Harmonis SejahteraINDONESIACID002870
TinSuper LigasBRAZILCID002756
TinDragon Silver Holdings LimitedCHINA
TinPT Masbro Alam StaniaINDONESIACID003380
TinCV Gita PesonaINDONESIACID000306
TinPT Bangka Kudai TinINDONESIACID001409
TinGanzhou Liansheng metallurgical products Co. Ltd.CHINAN/A
A-8


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TinJin Zhi Dao Tin Co. LtdCHINAN/A
TinPT Aries Kencana SejahteraINDONESIACID000309
TinCV Dua SekawanINDONESIACID002592
TinMetallo-Belgium N.V.BELGIUMN/A
TinMetallo Spain S.L.U.SPAINCID002774
TinMuchuan Industrial Co. LTDHONG KONGN/A
TinJinzhi Minerals Ltd.CHINAN/A
TinPT Bangka Tin IndustryINDONESIACID001419
TinPT Mitra Stania PrimaINDONESIACID001453
TinPT Bangka Putra KaryaINDONESIACID001412
TinJiangxi Ketai Advanced Material Co., Ltd.CHINACID000244
TinNovosibirsk Processing Plant Ltd.RUSSIAN FEDERATIONCID001305
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBRAZILCID003486
TinO.M. Manufacturing (Thailand) Co., Ltd.THAILANDCID001314
TinPT Belitung Industri SejahteraINDONESIACID001421
TinOperaciones Metalurgicas S.A.BOLIVIA (PLURINATIONAL STATE OF)CID001337
TinComermet QuiM S.A. DE C.V.MEXICON/A
TinMalaysia Smelting Corporation(MSC)MALAYSIAN/A
TinPT Inti Stania PrimaINDONESIACID002530
TinPT Panca Mega PersadaINDONESIACID001457
TinPT Tinindo Inter NusaINDONESIACID001490
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.CHINACID003116
TinO.M. Manufacturing Philippines, Inc.UNKNOWNN/A
TinO.M. Manufacturing Philippines, Inc.PHILIPPINESCID002517
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyVIET NAMCID002574
TinGejiu Fengming Metallurgy Chemical PlantCHINACID002848
TinGuanyang Guida Nonferrous Metal Smelting PlantCHINACID002849
TinChina Tin Group Co., Ltd.CHINACID001070
TinPT Prima Timah UtamaINDONESIACID001458
TinTin Smelting Branch of Yunnan Tin Co., Ltd.CHINACID002180
TinCV United SmeltingINDONESIACID000315
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyVIET NAMCID002573
TinMalaysia Smelting Corporation (MSC)MALAYSIACID001105
TinLinwu Xianggui Ore Smelting Co., Ltd.CHINACID001063
TinResind Industria e Comercio Ltda.BRAZILCID002706
TinPT Refined Bangka TinINDONESIACID001460
TinPT Tommy UtamaINDONESIACID001493
TinChifeng Dajingzi Tin Industry Co., Ltd.CHINACID003190
TinHuiChang Hill Tin Industry Co., Ltd.CHINACID002844
A-9


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVIET NAMCID002572
TinDongguan CiEXPO Environmental Engineering Co., Ltd.CHINACID003356
TinFabrica Auricchio Industria e Comercio Ltda.BRAZILCID003582
TinPT Wahana Perkit JayaINDONESIACID002479
TinPT Bukit TimahINDONESIACID001428
TinPT Timah NusantaraINDONESIACID001486
TinThaisarcoTHAILANDCID001898
TinCV Ayi JayaINDONESIACID002570
TinMetallic Resources, Inc.UNITED STATES OF AMERICACID001142
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.CHINACID000875
TungstenACL Metais EireliBRAZILCID002833
TungstenXinhai Rendan Shaoguan Tungsten Co., Ltd.CHINACID002095
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CHINACID002830
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CHINACID002313
TungstenFujian Xinlu Tungsten Co., Ltd.CHINACID003609
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CHINACID000258
TungstenJSC "Kirovgrad Hard Alloys Plant"RUSSIAN FEDERATIONCID003408
TungstenGlobal Tungsten & Powders Corp.UNITED STATES OF AMERICACID000568
TungstenCronimet Brasil LtdaBRAZILCID003468
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.CHINACID000769
TungstenSouth-East Nonferrous Metal Company Limited of Hengyang CityCHINACID002815
TungstenTejing (Vietnam) Tungsten Co., Ltd.VIET NAMCID001889
TungstenFujian Jinxin Tungsten Co., Ltd.CHINACID000499
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CHINACID002551
TungstenTANIOBIS Smelting GmbH & Co. KGGERMANYCID002542
TungstenHunan Chenzhou Mining Co., Ltd.CHINACID000766
TungstenAsia Tungsten Products Vietnam Ltd.VIET NAMCID002502
TungstenKennametal HuntsvilleUNITED STATES OF AMERICACID000105
TungstenMasan High-Tech MaterialsVIET NAMCID002543
TungstenHubei Green Tungsten Co., Ltd.CHINACID003417
TungstenPhilippine Chuangxin Industrial Co., Inc.PHILIPPINESCID002827
TungstenCNMC (Guangxi) PGMA Co., Ltd.CHINACID000281
TungstenChina Molybdenum Tungsten Co., Ltd.CHINACID002641
TungstenXiamen Tungsten Co., Ltd.CHINACID002082
TungstenWolfram Bergbau und Hutten AGAUSTRIACID002044
TungstenOOO “Technolom” 1RUSSIAN FEDERATIONCID003614
TungstenGanzhou Seadragon W & Mo Co., Ltd.CHINACID002494
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CHINACID002321
TungstenGanzhou Haichuang Tungsten Co., Ltd.CHINACID002645
A-10


MetalSmelter or Refiner NameSmelter or Refiner CountryIdentification
TungstenVietnam Youngsun Tungsten Industry Co., Ltd.VIET NAMCID002011
TungstenJapan New Metals Co., Ltd.JAPANCID000825
TungstenHunan Litian Tungsten Industry Co., Ltd.CHINACID003182
TungstenMalipo Haiyu Tungsten Co., Ltd.CHINACID002319
TungstenJiangxi Xianglu Tungsten Co., Ltd.CHINACID002647
TungstenHydrometallurg, JSCRUSSIAN FEDERATIONCID002649
TungstenOOO “Technolom” 2RUSSIAN FEDERATIONCID003612
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CHINACID002318
TungstenArtek LLCRUSSIAN FEDERATIONCID003553
TungstenXiamen Tungsten (H.C.) Co., Ltd.CHINACID002320
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CHINACID002317
TungstenNPP Tyazhmetprom LLCRUSSIAN FEDERATIONCID003416
TungstenJiangxi Yaosheng Tungsten Co., Ltd.CHINACID002316
TungstenH.C. Starck Tungsten GmbHGERMANYCID002541
TungstenGanzhou Yatai Tungsten Co., Ltd.CHINACID002536
TungstenUnecha Refractory metals plantRUSSIAN FEDERATIONCID002724
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CHINACID002315
TungstenJiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.CHINACID002535
TungstenKennametal FallonUNITED STATES OF AMERICACID000966
TungstenPhilippine Chuangxin Industrial Co., Inc.UNKNOWNN/A
TungstenNiagara Refining LLCUNITED STATES OF AMERICACID002589
TungstenMoliren Ltd.RUSSIAN FEDERATIONCID002845
TungstenA.L.M.T. Corp.JAPANCID000004
TungstenHunan Chuangda Vanadium Tungsten Co., Ltd. WujiCHINACID002579
TungstenKGETS Co., Ltd.KOREA, REPUBLIC OFCID003388
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BRAZILCID003427
TungstenCP Metals Inc.UNITED STATES OF AMERICACID003448
TungstenFujian Ganmin RareMetal Co., Ltd.CHINACID003401
TungstenWoltech Korea Co., Ltd.KOREA, REPUBLIC OFCID002843
TungstenChenzhou Diamond Tungsten Products Co., Ltd.CHINACID002513
TungstenGuangdong Xianglu Tungsten Co., Ltd.CHINACID000218
TungstenLianyou Metals Co., Ltd.TAIWAN, PROVINCE OF CHINACID003407

A-11