UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
______________
FORM SD
Specialized Disclosure Report
______________
Applied Optoelectronics, Inc.
(Exact name of Registrant as specified in its charter)
| Delaware | 001-36083 | 76-0533927 |
| (State or Other Jurisdiction of Incorporation or Organization) | (Commission File Number) | (I.R.S. Employer Identification No.) |
13139 Jess Pirtle Blvd.
Sugar Land, TX 77478
(Address of principal executive offices and zip code)
David C. Kuo, General Counsel and Secretary
(281) 295-1800
(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:
| ü | 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
Items 1.01 and 1.02 Conflict Minerals Disclosure and Report; Exhibit
This Form SD of Applied Optoelectronics, Inc. (the “Company”) is filed pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”) for the reporting period from January 1, 2016 to December 31, 2016.
Certain Conflict Minerals (as defined in paragraph (d)(3) of Item 1.01) are necessary to the functionality or production of certain products manufactured by the Company. We conducted in good faith a Reasonable Country of Origin Inquiry (RCOI) on the source of our Conflict Minerals for 2016. Based on the responses to our RCOI, we have reason to believe that, during the period covered by this report, certain of such Conflict Minerals likely originated in the Democratic Republic of the Congo (the “DRC”) and/or one or more of the countries that share an internationally recognized border with the DRC. Accordingly, the Company has prepared a Conflict Minerals Report, a copy of which is attached hereto as Exhibit 1.01. The Conflict Minerals Report is also publicly available on the Company’s website at http://ao-inc.com/about-our-company/global-compliance. The Company is filing its Conflict Minerals Report for the reporting period January 1, 2016 to December 31, 2016 as Exhibit 1.01 to this report as required by Item 1.01.
Section 2 – Exhibits
Item 2.01 Exhibits
Exhibit 1.01 – Conflict Minerals Report for the reporting period January 1, 2016 to December 31, 2016 as required by Items 1.01 and 1.02 of this Form.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: May 26, 2017 | APPLIED OPTOELECTRONICS, INC. | ||
| By: | /s/ David C. Kuo | ||
| Name: | David C. Kuo | ||
| Title: | General Counsel and Secretary | ||
Exhibit 1.01
Applied Optoelectronics, Inc.
Conflict Minerals Report
For The Year Ended December 31, 2016
This report for the year ended December 31, 2016 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“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 Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain Conflict Minerals which are necessary to the functionality or production of their products. Conflict Minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which under current guidance are limited to tin, tantalum, tungsten, and gold (“3TG”). These requirements apply to registrants whatever the geographic origin of the Conflict Minerals and whether or not they fund armed conflict.
| 1. | Company Overview |
This report has been prepared by the management of Applied Optoelectronics, Inc. (herein referred to as “AOI,” the “Company,” “we,” “us,” or “our”). The information includes the activities of all majority-owned subsidiaries.
AOI is a leading, vertically integrated provider of fiber-optic networking products, primarily for four networking end-markets: internet data center, cable television, or CATV, and fiber-to-the-home, or FTTH, and telecom. We design and manufacture a range of optical communications products at varying levels of integration, from components, subassemblies and modules to complete turn-key equipment. Conflict Minerals are necessary to the functionality or production of semiconductor and module products. In designing products for our customers, we begin with the fundamental building blocks of lasers and laser components, which require the use of 3TG metals. From these foundational products, we design and manufacture a wide range of products to meet our customers’ needs and specifications, and such products differ from each other by their end market, intended use and level of integration. We are primarily focused on the higher-performance segments within all four of our target markets, which increasingly demand faster connectivity and innovation. Therefore, the majority of our semiconductor and module products, as well as components that are part of those products, require the use of Conflict Minerals.
| 2. | Supply Chain |
The supply chain for 3TG consists of many supplier chain tiers. Before reaching AOI’s direct suppliers, 3TG will go from mines, to traders, exporters, smelters or refiners (referred to as smelters), alloy producers and component manufacturers, and sometimes intermediate suppliers. Since one or more of the 3TG metals are contained in the majority of AOI’s products, a significant portion of AOI’s suppliers also use these metals in their products. AOI sources products and components from approximately 500 first tier suppliers globally. First tier suppliers are those suppliers that AOI selected and with whom we have a direct business relationship. These first tier suppliers select their suppliers (second tier suppliers), which in turn have their own group of suppliers (third tier), and so on. AOI works with and through its first tier suppliers to investigate the deeper levels of our supply chain, in order to determine the origin of 3TG metals contained in AOI products.
Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers. Accordingly, we participate in a number of industry-wide initiatives as described below.
| 1 |
| 3. | Conflict Minerals Policy |
AOI is committed to working with our global supply chain to ensure compliance with the SEC’s conflict minerals rules. We have established a conflict minerals compliance program that is designed to follow the framework established by the Organization for Economic Co-operation and Development (“OECD”).
Pursuant to our conflict minerals compliance program, our supplier contracts include conflict mineral due diligence and reporting requirements. Any direct sourcing by AOI of tin, tungsten, tantalum and gold is sourced with the goal that it only be from Democratic Republic of Congo Conflict-Free sources, as defined in the SEC’s conflict minerals rule. As we become aware of instances where minerals in our supply chain potentially finance armed groups, as defined in the SEC’s conflict minerals rule, we work with our suppliers to find alternate conflict-free sources.
Our policy is publicly available on our website at http://ao-inc.com/about-our-company/global-compliance.
| 4. | Due Diligence Overview |
We conducted a survey of our supply chain by adopting the template developed by the Electronic Industry Citizenship Coalition (“EICC”) and Global e-Sustainability Initiative (“GeSI”), known as the Conflict-Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the template contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool is available on EICC’s website. The CMRT is being used by many companies in their due diligence processes related to conflict minerals.
AOI does not engage directly with mines or smelters and thus AOI does not have information on 3TG country of origin. We rely on information from the Conflict-Free Smelter Program (“CFSP”), a voluntary initiative managed by the CFSI in which an independent third party audits the procurement activities of a smelter or refiner to determine, with reasonable confidence that the minerals it processes originated from conflict-free sources. Upon completion of a successful audit, the smelter or refiner is designated by the CFSI as “Compliant.”
| 5. | Due Diligence Process |
AOI has established management systems and due diligence measures as a basis for supply-chain management and disclosure compliance relating to the Conflict Minerals necessary to the functionality or production of our products and required to be reported under the Rule.
Our due diligence measures have been designed to conform, in all material respects, to the five-step framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance). The design of AOI’s Conflict Mineral Process includes the following:
Step #1: Establish Strong Company Management Systems
| · | AOI’s management is committed to sourcing conflict free materials. A conflict minerals policy was adopted and is available on our website at http://ao-inc.com/about-our-company/global-compliance. |
| · | Our commitment is reflected in our Quality Objective, Purchasing Agreements, Purchasing Orders and SOPs. |
| 2 |
Step #2: Identify and Assess Risk in the Supply Chain
| · | AOI requests that its suppliers complete in full the CMRT. The CMRT is used to provide AOI with information regarding its suppliers’ practices with respect to the sourcing of conflict minerals to enable it to comply with its requirements under the Rule. |
| · | AOI’s legal, quality assurance and supply chain departments manage the collection of information reported on the CMRT by its suppliers. |
| · | Once AOI receives CMRTs from our supply chain, we identify high risk vendors. High risk vendors are those that use non CFSI-Compliant smelters or those that do not submit a completed CMRT. |
Step #3: Design and Implement a Strategy to Respond to Identified Risks
| · | Once a high risk vendor has been identified, AOI will hold an internal stakeholders meeting to discuss corrective actions to be taken. |
| · | Such corrective actions include, but are not limited to, disengaging in trade with the high risk vendor and finding alternate vendors. |
Step #4: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
| · | Given that we do not have a direct relationship with the smelters and refiners that process the conflict minerals that are present in our products, we rely on the CFSI to conduct third-party audits of smelters and refiners. |
| · | AOI relies on the EICC and GeSI initiative to validate supply chain due diligence. |
| · | AOI expects our supply chain to adhere to all local, national and international laws and requirements. |
Step #5: Report on Supply Chain Due Diligence
| · | As a publicly traded company in the United States, AOI will submit an annual SD Report to the SEC per the Securities and Exchange Act of 1934 Section 1502 as amended by the Dodd-Frank Act of 2010. |
| 6. | Due Diligence Performed |
Annually, AOI requests CMRTs from our supply chain. It is the responsibility of our supply chain to provide AOI with a CMRT and to ensure their supply chains are conflict free. Once AOI receives the completed CMRT, AOI will review the submission for completeness and consistency. AOI will then compare smelter data, made available by the CFSI, concerning the country of origin. If a vendor submits a CMRT that does not contain a non CFSI-Compliant smelter, then no further action will be taken by AOI.
For vendors that do not submit a CMRT, AOI will follow up with the vendor and continue to request a completed CMRT. If the vendor does not submit a CMRT after multiple requests, then corrective actions, up to and including disengaging in trade, will be taken.
For vendors that submit a CMRT containing a non CFSI-Compliant smelter, AOI will request that the vendor take corrective actions and become conflict free. If the vendor does not satisfactorily implement steps to become conflict free, then corrective actions, up to and including disengaging in trade, will be taken.
AOI works with and through its first tier suppliers to investigate the deeper levels of our supply chain, in an effort to determine the origin of 3TG metals contained in AOI products.
| 3 |
| 7. | Due Diligence Results |
The results of our due diligence indicates that the sources of Conflict Minerals are (1) from recycled or scrap materials, (2) from within the Democratic Republic of the Congo or adjoining countries (the “Covered Countries”), or (3) from outside the Covered Countries. From the responses we have received from our direct suppliers from our supply chain survey for 2016, 332 smelters and refiners were listed within their supply chains. All 332 have been designated as of November 30, 2016 as Active or Compliant under the CFSP. The complete list of smelters and refiners is attached in Exhibit A.
AOI does not engage directly with mines or smelters and thus AOI does not have information on 3TG country of origin.
| 8. | Conflict-Free Sourcing Continuous Improvements |
As part of AOI’s commitment to Conflict Minerals due diligence, AOI has taken, or will take, the following steps to further mitigate the risk that our Conflict Minerals benefit armed groups in the Covered Countries:
| · | Continue to engage with suppliers to obtain complete CMRTs; |
| · | Encourage the development of supplier capabilities to perform conflict-minerals related due diligence; |
| · | Review our supply chain quarterly to ensure new vendors are aware of the conflict-mineral free policy and to encourage existing vendors to submit their CMRTs timely; |
| · | Provide ongoing training regarding emerging best practices and other relevant topics to legal, quality assurance and supply chain staff responsible for conflict mineral compliance. |
| 9. | Forward-looking Statements |
Statements relating to due diligence improvements are forward-looking in nature and are based on our management’s current expectations or beliefs. Forward-looking statements can also be identified by words such as “expects,” “plans,” “intends,” “will,” “may,” and similar terms. These forward-looking statements are not a guarantee of performance and are subject to a number of uncertainties and other factors that may be outside of our control and that could cause actual events to differ materially from those expressed or implied by the statements made herein. Subsequent events may affect AOI’s future determinations under Rule 13p-1.
| 10. | Conflict Minerals Disclosure |
This Conflict Minerals Report and our Conflict Minerals Policy are available on our web site at http://ao-inc.com/about-our-company/global-compliance.
| 4 |
Exhibit A:
List of Smelters and Refiners
| Metal | Smelter Reference List | Smelter ID |
| Gold | Advanced Chemical Company | CID000015 |
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 |
| Gold | AngloGold Ashanti Córrego do Sítio Mineração | CID000058 |
| Gold | Argor-Heraeus S.A. | CID000077 |
| Gold | Asahi Pretec Corp. | CID000082 |
| Gold | Asaka Riken Co., Ltd. | CID000090 |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 |
| Gold | Aurubis AG | CID000113 |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 |
| Gold | Boliden AB | CID000157 |
| Gold | C. Hafner GmbH + Co. KG | CID000176 |
| Gold | Caridad | CID000180 |
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 |
| Gold | Cendres + Métaux S.A. | CID000189 |
| Gold | Yunnan Copper Industry Co., Ltd. | CID000197 |
| Gold | Chimet S.p.A. | CID000233 |
| Gold | Chugai Mining | CID000264 |
| Gold | Daejin Indus Co., Ltd. | CID000328 |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 |
| Gold | Do Sung Corporation | CID000359 |
| Gold | Doduco | CID000362 |
| Gold | Dowa | CID000401 |
| Gold | Eco-System Recycling Co., Ltd. | CID000425 |
| Gold | OJSC Novosibirsk Refinery | CID000493 |
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CID000522 |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 |
| Gold | Heimerle + Meule GmbH | CID000694 |
| Gold | Heraeus Ltd. Hong Kong | CID000707 |
| Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 |
| Gold | Hwasung CJ Co., Ltd. | CID000778 |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 |
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 |
| Gold | Istanbul Gold Refinery | CID000814 |
| Gold | Japan Mint | CID000823 |
| Gold | Jiangxi Copper Co., Ltd. | CID000855 |
| Gold | Asahi Refining USA Inc. | CID000920 |
| Gold | Asahi Refining Canada Ltd. | CID000924 |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 |
| Gold | JSC Uralelectromed | CID000929 |
| Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 |
| Gold | Kazakhmys Smelting LLC | CID000956 |
| Gold | Kazzinc | CID000957 |
| Gold | Kennecott Utah Copper LLC | CID000969 |
| Gold | Kojima Chemicals Co., Ltd. | CID000981 |
| Gold | Korea Metal Co., Ltd. | CID000988 |
| Gold | Kyrgyzaltyn JSC | CID001029 |
| 5 |
| Gold | L'azurde Company For Jewelry | CID001032 |
| Gold | Lingbao Gold Co., Ltd. | CID001056 |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 |
| Gold | LS-NIKKO Copper Inc. | CID001078 |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 |
| Gold | Materion | CID001113 |
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 |
| Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 |
| Gold | Metalor Technologies S.A. | CID001153 |
| Gold | Metalor USA Refining Corporation | CID001157 |
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | CID001161 |
| Gold | Mitsubishi Materials Corporation | CID001188 |
| Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 |
| Gold | Moscow Special Alloys Processing Plant | CID001204 |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | CID001220 |
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 |
| Gold | Nihon Material Co., Ltd. | CID001259 |
| Gold | Elemetal Refining, LLC | CID001322 |
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 |
| Gold | PAMP S.A. | CID001352 |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 |
| Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 |
| Gold | PT Aneka Tambang (Persero) Tbk | CID001397 |
| Gold | PX Précinox S.A. | CID001498 |
| Gold | Rand Refinery (Pty) Ltd. | CID001512 |
| Gold | Royal Canadian Mint | CID001534 |
| Gold | Sabin Metal Corp. | CID001546 |
| Gold | Samduck Precious Metals | CID001555 |
| Gold | SAMWON Metals Corp. | CID001562 |
| Gold | Schone Edelmetaal B.V. | CID001573 |
| Gold | SEMPSA Joyería Platería S.A. | CID001585 |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 |
| Gold | So Accurate Group, Inc. | CID001754 |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 |
| Gold | Solar Applied Materials Technology Corp. | CID001761 |
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 |
| Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 |
| Gold | The Great Wall Gold and Silver Refinery of China | CID001909 |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CID001916 |
| Gold | Tokuriki Honten Co., Ltd. | CID001938 |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 |
| Gold | Torecom | CID001955 |
| Gold | Umicore Brasil Ltda. | CID001977 |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 |
| Gold | United Precious Metal Refining, Inc. | CID001993 |
| 6 |
| Gold | Valcambi S.A. | CID002003 |
| Gold | Western Australian Mint trading as The Perth Mint | CID002030 |
| Gold | Yamamoto Precious Metal Co., Ltd. | CID002100 |
| Gold | Yokohama Metal Co., Ltd. | CID002129 |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 |
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CID002243 |
| Gold | Morris and Watson | CID002282 |
| Gold | SAFINA A.S. | CID002290 |
| Gold | Guangdong Jinding Gold Limited | CID002312 |
| Gold | Umicore Precious Metals Thailand | CID002314 |
| Gold | Faggi Enrico S.p.A. | CID002355 |
| Gold | Geib Refining Corporation | CID002459 |
| Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 |
| Gold | Republic Metals Corporation | CID002510 |
| Gold | KGHM Polska Miedź Spółka Akcyjna | CID002511 |
| Gold | Fidelity Printers and Refiners Ltd. | CID002515 |
| Gold | Singway Technology Co., Ltd. | CID002516 |
| Gold | Al Etihad Gold Refinery DMCC | CID002560 |
| Gold | Emirates Gold DMCC | CID002561 |
| Gold | Kaloti Precious Metals | CID002563 |
| Gold | Sudan Gold Refinery | CID002567 |
| Gold | T.C.A S.p.A | CID002580 |
| Gold | Remondis Argentia B.V. | CID002582 |
| Gold | Tony Goetz NV | CID002587 |
| Gold | Korea Zinc Co., Ltd. | CID002605 |
| Gold | TOO Tau-Ken-Altyn | CID002615 |
| Gold | Abington Reldan Metals, LLC | CID002708 |
| Gold | SAAMP | CID002761 |
| Gold | SAXONIA Edelmetalle GmbH | CID002777 |
| Gold | WIELAND Edelmetalle GmbH | CID002778 |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 |
| Gold | AU Traders and Refiners | CID002850 |
| Gold | AURA-II | CID002851 |
| Gold | Gujarat Gold Centre | CID002852 |
| Gold | Sai Refinery | CID002853 |
| Gold | Universal Precious Metals Refining Zambia | CID002854 |
| Gold | Modeltech Sdn Bhd | CID002857 |
| Gold | Bangalore Refinery | CID002863 |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 |
| Tantalum | Conghua Tantalum and Niobium Smeltry | CID000291 |
| Tantalum | Duoluoshan | CID000410 |
| Tantalum | Exotech Inc. | CID000456 |
| Tantalum | F&X Electro-Materials Ltd. | CID000460 |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 |
| Tantalum | Hi-Temp Specialty Metals, Inc. | CID000731 |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 |
| Tantalum | King-Tan Tantalum Industry Ltd. | CID000973 |
| Tantalum | LSM Brasil S.A. | CID001076 |
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 |
| Tantalum | Mineração Taboca S.A. | CID001175 |
| Tantalum | Mitsui Mining & Smelting | CID001192 |
| Tantalum | Molycorp Silmet A.S. | CID001200 |
| 7 |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 |
| Tantalum | QuantumClean | CID001508 |
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CID001522 |
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 |
| Tantalum | Taki Chemicals | CID001869 |
| Tantalum | Telex Metals | CID001891 |
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 |
| Tantalum | Zhuzhou Cemented Carbide | CID002232 |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CID002307 |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 |
| Tantalum | D Block Metals, LLC | CID002504 |
| Tantalum | FIR Metals & Resource Ltd. | CID002505 |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 |
| Tantalum | KEMET Blue Metals | CID002539 |
| Tantalum | Plansee SE Liezen | CID002540 |
| Tantalum | H.C. Starck Co., Ltd. | CID002544 |
| Tantalum | H.C. Starck GmbH Goslar | CID002545 |
| Tantalum | H.C. Starck GmbH Laufenburg | CID002546 |
| Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 |
| Tantalum | H.C. Starck Inc. | CID002548 |
| Tantalum | H.C. Starck Ltd. | CID002549 |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | CID002550 |
| Tantalum | Plansee SE Reutte | CID002556 |
| Tantalum | Global Advanced Metals Boyertown | CID002557 |
| Tantalum | Global Advanced Metals Aizu | CID002558 |
| Tantalum | KEMET Blue Powder | CID002568 |
| Tantalum | Tranzact, Inc. | CID002571 |
| Tantalum | E.S.R. Electronics | CID002590 |
| Tantalum | Resind Indústria e Comércio Ltda. | CID002707 |
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 |
| Tantalum | Power Resources Ltd. | CID002847 |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CID000244 |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CID000278 |
| Tin | Alpha | CID000292 |
| Tin | Cooperativa Metalurgica de Rondônia Ltda. | CID000295 |
| Tin | CV Gita Pesona | CID000306 |
| Tin | PT JusTindo | CID000307 |
| Tin | PT Aries Kencana Sejahtera | CID000309 |
| Tin | CV Serumpun Sebalai | CID000313 |
| Tin | CV United Smelting | CID000315 |
| Tin | Dowa | CID000402 |
| Tin | EM Vinto | CID000438 |
| Tin | Estanho de Rondônia S.A. | CID000448 |
| Tin | Feinhütte Halsbrücke GmbH | CID000466 |
| Tin | Fenix Metals | CID000468 |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CID000760 |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 |
| Tin | Linwu Xianggui Ore Smelting Co., Ltd. | CID001063 |
| Tin | China Tin Group Co., Ltd. | CID001070 |
| 8 |
| Tin | Malaysia Smelting Corporation (MSC) | CID001105 |
| Tin | Metallic Resources, Inc. | CID001142 |
| Tin | Metallo Chimique | CID001143 |
| Tin | Mineração Taboca S.A. | CID001173 |
| Tin | Minsur | CID001182 |
| Tin | Mitsubishi Materials Corporation | CID001191 |
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CID001231 |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 |
| Tin | Operaciones Metalurgical S.A. | CID001337 |
| Tin | PT Alam Lestari Kencana | CID001393 |
| Tin | PT Artha Cipta Langgeng | CID001399 |
| Tin | PT Babel Inti Perkasa | CID001402 |
| Tin | PT Bangka Kudai Tin | CID001409 |
| Tin | PT Bangka Putra Karya | CID001412 |
| Tin | PT Bangka Timah Utama Sejahtera | CID001416 |
| Tin | PT Bangka Tin Industry | CID001419 |
| Tin | PT Belitung Industri Sejahtera | CID001421 |
| Tin | PT BilliTin Makmur Lestari | CID001424 |
| Tin | PT Bukit Timah | CID001428 |
| Tin | PT DS Jaya Abadi | CID001434 |
| Tin | PT Eunindo Usaha Mandiri | CID001438 |
| Tin | PT Fang Di MulTindo | CID001442 |
| Tin | PT Karimun Mining | CID001448 |
| Tin | PT Mitra Stania Prima | CID001453 |
| Tin | PT Panca Mega Persada | CID001457 |
| Tin | PT Prima Timah Utama | CID001458 |
| Tin | PT Refined Bangka Tin | CID001460 |
| Tin | PT Sariwiguna Binasentosa | CID001463 |
| Tin | PT Seirama Tin Investment | CID001466 |
| Tin | PT Stanindo Inti Perkasa | CID001468 |
| Tin | PT Sumber Jaya Indah | CID001471 |
| Tin | PT Timah (Persero) Tbk Kundur | CID001477 |
| Tin | PT Timah (Persero) Tbk Mentok | CID001482 |
| Tin | PT Pelat Timah Nusantara Tbk | CID001486 |
| Tin | PT Tinindo Inter Nusa | CID001490 |
| Tin | PT Tommy Utama | CID001493 |
| Tin | Rui Da Hung | CID001539 |
| Tin | Soft Metais Ltda. | CID001758 |
| Tin | Thaisarco | CID001898 |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 |
| Tin | VQB Mineral and Trading Group JSC | CID002015 |
| Tin | White Solder Metalurgia e Mineração Ltda. | CID002036 |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 |
| Tin | Yunnan Tin Company Limited | CID002180 |
| Tin | CV Venus Inti Perkasa | CID002455 |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 |
| Tin | PT Tirus Putra Mandiri | CID002478 |
| Tin | PT Wahana Perkit Jaya | CID002479 |
| Tin | Melt Metais e Ligas S.A. | CID002500 |
| Tin | PT ATD Makmur Mandiri Jaya | CID002503 |
| Tin | Phoenix Metal Ltd. | CID002507 |
| 9 |
| Tin | O.M. Manufacturing Philippines, Inc. | CID002517 |
| Tin | PT Inti Stania Prima | CID002530 |
| Tin | CV Ayi Jaya | CID002570 |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 |
| Tin | CV Dua Sekawan | CID002592 |
| Tin | CV Tiga Sekawan | CID002593 |
| Tin | PT Cipta Persada Mulia | CID002696 |
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 |
| Tin | Resind Indústria e Comércio Ltda. | CID002706 |
| Tin | PT O.M. Indonesia | CID002757 |
| Tin | Metallo-Chimique N.V. | CID002773 |
| Tin | Elmet S.L.U. | CID002774 |
| Tin | PT Bangka Prima Tin | CID002776 |
| Tin | PT Sukses Inti Makmur | CID002816 |
| Tin | An Thai Minerals Co., Ltd. | CID002825 |
| Tin | PT Kijang Jaya Mandiri | CID002829 |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002848 |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002849 |
| Tin | Modeltech Sdn Bhd | CID002858 |
| Tin | Gejiu Jinye Mineral Company | CID002859 |
| Tungsten | A.L.M.T. TUNGSTEN Corp. | CID000004 |
| Tungsten | Kennametal Huntsville | CID000105 |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CID000345 |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 |
| Tungsten | Global Tungsten & Powders Corp. | CID000568 |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 |
| Tungsten | Japan New Metals Co., Ltd. | CID000825 |
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CID000868 |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 |
| Tungsten | Kennametal Fallon | CID000966 |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | CID002011 |
| Tungsten | Wolfram Bergbau und Hütten AG | CID002044 |
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 |
| 10 |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 |
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | CID002518 |
| Tungsten | Ganxian Shirui New Material Co., Ltd. | CID002531 |
| Tungsten | Pobedit, JSC | CID002532 |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CID002535 |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CID002536 |
| Tungsten | Sanher Tungsten Vietnam Co., Ltd. | CID002538 |
| Tungsten | H.C. Starck GmbH | CID002541 |
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | CID002542 |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | CID002543 |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | CID002578 |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 |
| Tungsten | Niagara Refining LLC | CID002589 |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CID002647 |
| Tungsten | Hydrometallurg, JSC | CID002649 |
| Tungsten | Unecha Refractory metals plant | CID002724 |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CID002815 |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 |
| Tungsten | ACL Metais Eireli | CID002833 |
| Tungsten | Woltech Korea Co., Ltd. | CID002843 |
| Tungsten | Moliren Ltd | CID002845 |
| 11 |