UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
Fluidigm Corporation
(Exact name of registrant as specified in its charter)
| Delaware | 001-34180 | 77-0513190 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) | ||
| 7000 Shoreline Court, Suite 100, South San Francisco, California |
94080 | |||
| (Address of principal executive offices) | (Zip Code) | |||
Vikram Jog
Chief Financial Officer
(650) 266-6000
(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:
| x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2014. |
Section 1—Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
For the reporting period from January 1, 2014 to December 31, 2014, Fluidigm Corporation (the “Company”) determined that certain “conflict minerals,” as defined in Section 1, Item 1.01(d)(3) of Form SD, are necessary to the functionality or production of products manufactured by the Company, which are referred to in this Form SD as “necessary conflict minerals.” Accordingly, the Company conducted a reasonable country of origin inquiry to determine whether during 2014 its necessary conflict minerals originated in the Democratic Republic of the Congo or certain adjoining countries, which are referred to in this Form SD collectively as the “covered countries.” The Company then conducted due diligence designed to conform to the Organisation for Economic Co-operation and Development, or OECD, Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas in order to determine whether any of the Company’s necessary conflict minerals originated from any of the covered countries and whether these conflict minerals benefitted, directly or indirectly, armed groups in any of the covered countries.
In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and this Specialized Disclosure Report on Form SD, the Company has filed a Conflict Minerals Report, which is attached as Exhibit 1.01 hereto. A copy of this Form SD and the Conflict Minerals Report are publicly available at http://investors.fluidigm.com/sec.cfm.
Item 1.02 Exhibit
In accordance with Rule 13p-1, and this Form SD, the Company has filed its Conflict Minerals Report, which is attached as Exhibit 1.01 to this Form SD.
Section 2—Exhibits
Item 2.01 Exhibits
The following exhibit is filed as part of this Form SD.
| Exhibit No. |
Description | |
| 1.01 | Fluidigm Corporation Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD. |
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.
| FLUIDIGM CORPORATION (Registrant) |
||||||||
| BY: | /s/ Gajus V. Worthington | May 29, 2015 | ||||||
|
|
| |||||||
| Gajus V. Worthington President and Chief Executive Officer |
(Date) | |||||||
EXHIBIT INDEX
| Exhibit No. |
Description | |
| 1.01 | Fluidigm Corporation Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD. |
Exhibit 1.01
Fluidigm Corporation
Conflict Minerals Report
For The Year Ended December 31, 2014
Cautionary Note Concerning Forward-Looking Statements: This Conflict Minerals Report contains forward-looking statements within the meaning of federal securities laws. These forward-looking statements include statements concerning Fluidigm’s objectives for its conflicts minerals policy and compliance initiatives and actions it intends to take relating to conflict minerals. Forward-looking statements involve substantial risks and uncertainties that could cause actual results to differ materially from currently anticipated results. When considering forward-looking statements, you should consider, among other factors, the risk factors described in the reports and other filings that Fluidigm files with the United States Securities and Exchange Commission, including Fluidigm’s Annual Report on Form 10-K for the year ended December 31, 2014 and its subsequent Quarterly Reports on Form 10-Q. The risk factors included in these filings are not exhaustive, and risks that are not identified therein could materially affect whether Fluidigm realizes the results anticipated or implied by any forward-looking statements contained in this Conflict Minerals Report. Except as required by law, Fluidigm disclaims any obligation to update these forward-looking statements, whether as a result of new information, future events, or otherwise.
Introduction
This Conflict Minerals Report (this “Report”) for Fluidigm Corporation (“Fluidigm” or “we” or “our”) covers the reporting period from January 1, 2014 to December 31, 2014 and is presented in accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”). This Report is filed as Exhibit 1.01 to our Specialized Disclosure Report on Form SD (the “Form SD”). A copy of this Report and the Form SD are publicly available on our website at http://investors.fluidigm.com/sec.cfm.
In 2010, the United States enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section 1502 of the Act relates to conflict minerals and requires companies subject to the Act to file a Form SD annually with the United States Securities and Exchange Commission (“SEC”) to disclose whether the minerals specified in Rule 13p-1 and their derivatives, limited to tungsten, tantalum, tin, and gold (referred to as the “3TG”), used in their products benefitted, directly or indirectly, armed groups in the Democratic Republic of the Congo and adjoining countries (collectively, the “Covered Countries”). This Report, which is an exhibit to our Form SD, describes the design and implementation of our conflict minerals due diligence measures undertaken, including a description of how these measures were designed to determine, to our knowledge, the source mines, countries of origin, and processing facilities for 3TG contained in components used in our products.
Fluidigm Background and Covered Products
We create, manufacture, and market innovative technologies and life science tools focused on the exploration and analysis of single cells, as well as the industrial application of genomics, based upon our core microfluidics and mass cytometry technologies. We sell instruments and consumables, including integrated fluidic circuits (“IFCs”), assays, and reagents, to academic institutions, clinical laboratories, and pharmaceutical, biotechnology, and agricultural biotechnology, or Ag-Bio, companies. Our microfluidic systems and instrumentation for commercial sale, as well as for internal research and development purposes, are manufactured at our facility in Singapore. Our proteomics analytical instruments for commercial sale, as well as for internal research and development purposes, are manufactured at our facility in Canada. We also manufacture IFCs for research and development, assays, and reagents at our facilities in South San Francisco, California.
We have determined that one or more of the 3TG may be necessary to the functionality or production of certain products we manufactured, or contracted to manufacture, as applicable, during 2014, including our C1 Single-Cell Auto Prep, Access Array, Biomark HD, EP1, and CyTOF 2 systems, and all of our IFCs. As a result, all of our marketed systems and IFCs are considered “covered products” for purposes of this Report.
Our supply chain with respect to the covered products is complex, and there are many third parties in the supply chain between the original source of the 3TG and the manufacture of the covered products. We do not purchase raw ore or unrefined 3TG directly and make no purchases in the Covered Countries. As a result and as described more fully below, we rely on our suppliers to provide information on the origin of the conflict minerals contained in our products.
Fluidigm Reasonable Country of Origin Inquiry
In accordance with Rule 13p-1 and Form SD, we determined that one or more of the 3TG may be necessary to the functionality or production of our systems and IFCs and that such 3TG are incorporated into our products during the manufacturing process. Accordingly, we undertook a reasonable country of origin inquiry (“RCOI”). This good faith RCOI was reasonably designed to determine whether any of the 3TG incorporated into our products originated in the Covered Countries.
Our RCOI consisted principally of submitting the conflict minerals reporting template (the “CFSI Template”) prepared by the Conflict-Free Sourcing Initiative (“CFSI”), an initiative of the Electronic Industry Citizenship Coalition and Global e-Sustainability Initiative, to suppliers of components for our products that are considered necessary to the functionality or production of our products and for which any 3TG or their derivatives may be included (“first tier suppliers”). We reviewed all responses for completeness, reasonableness, and consistency, and we followed up for corrections and clarifications as we determined appropriate.
Fluidigm’s Due Diligence Process
Our due diligence measures were designed to conform, in all material respects, with the framework in the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Framework”). The objectives of our diligence initiative were to determine, to the best of our ability, whether one or more of the 3TG is incorporated into our products; whether any such 3TG incorporated into our products was necessary for the functionality and/or production of our products; the source and chain of custody of the 3TG necessary for the functionality and/or production of our products; whether any such 3TG originated in the Covered Countries; and where such 3TG were determined to have originated in Covered Countries, whether armed groups directly or indirectly benefitted from such 3TG.
Due diligence measures that we implemented included, but were not limited, to the following:
| 1. | Establishment of Internal Management Systems |
| a. | Conflict Minerals Policy. In 2013, we adopted a written policy relating to the use of conflict minerals in our supply chain. We have communicated this written policy to each of our first tier suppliers. A copy of Fluidigm’s Conflict Minerals Policy is publicly available at http://files.shareholder.com/downloads/ABEA-5TB8PR/3172172539x0x735398/D7B54E37-F6AD-42DE-8862-A25472E9189F/Fluidigm_Conflict_Minerals_Policy.pdf. |
| b. | Internal Management to Support Supply Chain Due Diligence. Fluidigm’s legal department has been charged with the management of our conflict minerals program, working in collaboration with members from our operations team in Singapore, Canada, and the United States. |
| c. | Controls and Transparency. As described above, we undertook an RCOI with respect to conflict minerals in our supply chain by providing the CFSI Template to each of our first tier suppliers to gather information about their use of 3TG, the smelters and refiners in their supply chain that are included in our products, and the countries of origin for 3TG used in our products. We reviewed all responses for completeness, reasonableness, and consistency. We followed up for corrections and clarifications as we determined appropriate. |
| d. | Supplier Engagement. We continue to engage actively with our first tier suppliers to strengthen our relationship with them. We have communicated to our suppliers our commitment to source conflict minerals in a manner that does not, directly or indirectly, benefit armed groups in the Covered Countries. We will consider alternative arrangements for our supply needs if our suppliers are unable to cooperate in our due diligence efforts. In particular, as part of our supplier qualification process, we now require conflicts minerals information from each new supplier of potentially applicable products. |
| e. | Grievance Mechanism. Our code of conduct includes procedures for reporting violations of our policies, including our Conflict Minerals Policy. We provide mechanisms for anonymous reporting of violations or concerns about the conduct of our business, including the implementation and enforcement of our Conflict Minerals Policy. |
| 2. | Identification and Assessment of Risks in the Supply Chain |
As discussed above, we identified our first tier suppliers and relied on them to provide the necessary information about the use of 3TG in the products we purchase and incorporate into the manufacture of our systems and IFCs, and the source of such 3TG. Similarly, our first tier suppliers rely on information provided by their suppliers to provide information regarding the country of origin of 3TG included in our products.
| 3. | Designing and Implementing a Strategy to Respond to Identified Risks |
We have developed a formal risk management plan through which our conflict minerals program is managed and monitored. As part of this risk management plan, where applicable, we will review circumstances in which certain suppliers are unable to provide us with complete or reliable responses to the CFSI Template including, without limitation, considering whether to continue such contract or relationship or find a replacement supplier.
| 4. | Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain |
We do not have a direct relationship with any smelters or refiners in our supply chain. As a result, we do not and cannot conduct any audits directly. Instead, we support the development and implementation of independent third party audits of smelters such as the CFSI’s Conflict Free Smelter Program (“CFSP”) by encouraging our suppliers to purchase materials from audited smelters and refiners that have been validated as conflict-free under the CFSP.
| 5. | Reporting on Supply Chain Due Diligence |
In 2015, we publicly filed the Form SD and this Report with the SEC. A copy of this Report and the Form SD are publicly available at http://investors.fluidigm.com/sec.cfm. This Report includes information about the RCOI methodology utilized by the Company, the design of our due diligence process in conformance with the OECD Framework, the list of known smelters and refiners utilized in our supply chain identified in our due diligence process, and a description of our products that incorporate 3TG necessary to the functionality or production of such products.
Smelters and Refiners in Fluidigm’s Supply Chain
We adopted CFSI’s industry approach to trace back the origin of 3TG by identifying smelters, refineries, or recyclers and scrap supplier sources. We have leveraged industry initiatives such as the CFSP, which is a voluntary initiative in which an independent third party audits smelters and refineries to determine if all of the minerals processed by the smelter or refiner originated from conflict free sources. Participation in the CFSP provides us with verified information about the sourcing activities of the smelters and refiners in our supply chain.
As discussed above, we submitted the CFSI Template to our first tier suppliers. Most of the responses received from our first tier suppliers provided information at company/division levels, rather than specific product/part number levels. As a result, we were unable to determine whether or to what extent any of the 3TG reported as used by these first tier suppliers were contained specifically in components supplied to us. We also were unable to validate whether the smelters or refiners reported by such first tier suppliers are actually in our supply chain. Accordingly, based on information that was provided by our first tier suppliers or that was otherwise obtained through our due diligence process, we are unable to determine and describe all facilities used to process the 3TG contained in our covered products.
Based solely upon declarations from our first tier suppliers that provided information to us and a comparison to the list of the known smelters and refiners published by the United States Department of Commerce in September 2014, attached as Annex A is a list of the known smelters and refiners that, to the extent reasonably determinable by us, have been used to process some of the 3TG contained in our covered products. We have also provided information concerning (i) whether the smelter or refiner participates in the CFSP and has been audited or whether it has agreed to participate in the CFSP but the audit process has not yet been completed, (ii) whether the gold refiner is a London Bullion Market Association accredited refiner on the Good Delivery List, and (iii) whether the gold refiner is a Responsible Jewellery Council Certified Member.
Future Steps
We have communicated our expectations to our first tier suppliers regarding our commitment to sourcing minerals for our products in a manner that does not, directly or indirectly, finance or benefit armed groups in the DRC or adjoining countries. We expect to continue to increase our engagement with our relevant suppliers over the next year to build their knowledge and capacity so they are able to provide us with more complete and accurate information on the source and chain of custody of the 3TG included in components and parts purchased by us and incorporated into our products.
Annex A
2014 Facility and Country List
| Metal |
Smelter or Refiner Facility Name |
Location |
CFSP* | |||
| Tin |
NV Umicore S.A. | Belgium | ||||
| Tin |
JX Nippon Mining & Metals Co. | Japan | ||||
| Tin |
Mitsubishi Materials Corporation | Japan | C | |||
| Tin |
Novosibirsk | Russian Federation | ||||
| Tin |
Coopersanta | Brazil | ||||
| Tin |
Metallo Chimique nV (Metallum group) | Belgium | C | |||
| Tin |
Empresa Metalúrgica Vinto (Government, 100%) | Bolivia | C | |||
| Tin |
Operaciones Metalúrgicas S.A. (OMSA) | Bolivia | C | |||
| Tin |
Mineração Taboca (Grupo Paranapanema) | Brazil | C | |||
| Tin |
White Solder Metalurgia e Mineração (Tor Particpasções) | Brazil | C | |||
| Tin |
Yunnan Geiju Zili Metallurgy Co. Ltd. | China | ||||
| Tin |
Geiju Non-Ferrous Metal Processing Co. Ltd. | China | C | |||
| Tin |
Yunnan Chengfeng Nonferrous Metals Co. Ltd. | China | A | |||
| Tin |
Yunnan Tin Co. Ltd. (Yunnan Tin Corp.) | China | C | |||
| Tin |
CNMC (Guangxi) PGMA Co. Ltd. | China | ||||
| Tin |
CV Duta Putra Bangka | Indonesia | ||||
| Tin |
CV Justindo | Indonesia | A | |||
| Tin |
CV Makmur Jaya | Indonesia | ||||
| Tin |
CV Nurjanah | Indonesia | ||||
| Tin |
CV Prima Timah Utama | Indonesia | ||||
| Tin |
CV Serumpun Sebalai | Indonesia | ||||
| Tin |
CV United Smelting | Indonesia | C | |||
| Tin |
PT Alam Lestari Kencana | Indonesia | ||||
| Tin |
PT Artha Cipta Langgeng | Indonesia | C | |||
| Tin |
PT Babel Inti Perkasa | Indonesia | C | |||
| Tin |
PT Babel Surya Alam Lestari | Indonesia | ||||
| Tin |
PT Bangka Kudai Tin | Indonesia | ||||
| Tin |
PT Bangka Putra Karya | Indonesia | C | |||
| Tin |
PT Bangka Timah Utama Sejahtera | Indonesia | ||||
| Tin |
PT Belitung Industri Sejahtera | Indonesia | C | |||
| Tin |
PT Billiton Makmur Lestari | Indonesia | A | |||
| Tin |
PT Bukit Timah Tbk (Indoprima Group) | Indonesia | C | |||
| Tin |
PT Eunindo Usaha Mandiri | Indonesia | C | |||
| Tin |
PT Fang Di MulTindo | Indonesia | ||||
| Tin |
PT HP Metals Indonesia | Indonesia | ||||
| Tin |
PT Koba Tin | Indonesia | ||||
| Tin |
PT Mitra Stania Prima | Indonesia | C |
| Metal |
Smelter or Refiner Facility Name |
Location |
CFSP* | |||
| Tin |
PT Refined Bangka Tin | Indonesia | C | |||
| Tin |
PT Sariwiguna Binasentosa | Indonesia | C | |||
| Tin |
PT Stanindo Inti Perkasa | Indonesia | C | |||
| Tin |
PT Sumber Jaya Indah | Indonesia | A | |||
| Tin |
PT Tambang Timah (subsidiary of PT Timah) | Indonesia | ||||
| Tin |
PT Timah Nusantara | Indonesia | ||||
| Tin |
PT Tinindo Inter Nusa | Indonesia | C | |||
| Tin |
PT Yinchendo Mining Industry | Indonesia | ||||
| Tin |
PT Bangka Timah Utama Sejahtera | Indonesia | ||||
| Tin |
PT Bangka Kudai Tin | Indonesia | ||||
| Tin |
PT DS Jaya Abadi | Indonesia | C | |||
| Tin |
Malaysia Smelting Corp. Bhd. (The Straits Trading Co. Ltd., 37.44%; Malaysia Mining Corpt., 37.44%; others, 25.12%) |
Malaysia | C | |||
| Tin |
Minsur S.A. | Peru | C | |||
| Tin |
Thailand Smelting and Refining Company Ltd. (Thaisarco) (Amalgamated Metal Corp., 75.25%, and other 24.75%) |
Thailand | C | |||
| Tin |
Cookson | United States | ||||
| Tin |
Alpha | United States | C | |||
| Tin |
China Tin Group Co., Ltd. | China | A | |||
| Tungsten |
JX Nippon Mining & Metals Co., Ltd. | Japan | ||||
| Tungsten |
Mistubishi Materials | Japan | ||||
| Tungsten |
H.C. Starck GmbH | Germany | A | |||
| Tungsten |
Wolfram Bergbau und Hütten AG (Sandvik AB 100%) | Austria | C | |||
| Tungsten |
GuangDong XiangLu Tungsten Co., Ltd. (Chaozhou Xianglu Tungsten Industry Co., Ltd.) | China | A | |||
| Tungsten |
China Minmetals Nonferrous Metals Co., Ltd. | China | C | |||
| Tungsten |
Chongyi Zhangyuan Tungsten Co Ltd | China | A | |||
| Tungsten |
Fujian Ganmin Rare Metal Co. Ltd. [Jiangxi Rare Earth & Rare Metals Tungsten Group Corp. (JXTC)] | China | ||||
| Tungsten |
Ganzhou Huaxing Tungsten Products Co. Ltd [Jiangxi Tungsten Industry Group Co. Ltd. (JWYX) [joint venture between China Minmetals and Jiangxi Rare Earth and Rare Metals Tungsten Group Corp. (JXTC)] |
China | C | |||
| Tungsten |
Xiamen Honglu Tungsten Molybdenum Industry Co. Ltd | China | ||||
| Tungsten |
Zhuzhou Cemented Carbide Group Co., Ltd, [Hunan Nonferrous Metals Holding Group (HNG)] | China | ||||
| Tungsten |
Ganzhou Seadragon W & Mo Co., Ltd (Ganzhou Grand Sea W & Mo Group Co., Ltd.) | China | C | |||
| Tungsten |
Hunan Chenzhou Mining Group Co. Ltd. | China | A | |||
| Tungsten |
Dayu Weiliang Tungsten Co., Ltd. | China | A | |||
| Tungsten |
Fujian Jinxin Tungsten Co., Ltd. | China | C | |||
| Tungsten |
Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. | China | C | |||
| Tungsten |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China | A |
| Metal |
Smelter or Refiner Facility Name |
Location |
CFSP* | |||
| Tungsten |
Xiamen Tungsten Co., Ltd. (CXTC) | China | C | |||
| Tungsten |
Japan New Metals Co Ltd | Japan | C | |||
| Tungsten |
JSC Hydrometallurg (Wolfram Company CJSC) | Russian Federation | A | |||
| Tungsten |
Kennametal Inc. (previously ATI Alldyne) | United States | A | |||
| Tungsten |
Global Tungsten & Powders Corp | United States | C | |||
| Tungsten |
Tejing (Vietnam) Tungsten Co Ltd | Vietnam | A | |||
| Tungsten |
Ganzhou Non-ferrous Metals Smelting Co., Ltd. | China | A | |||
| Tungsten |
Vietnam Youngsun Tungsten Industry Co., Ltd | Vietnam | C | |||
| Tungsten |
Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | A | |||
| Tungsten |
Jiangxi Tungsten Co., Ltd. | China | ||||
| Tantalum |
Plansee Group | Austria | C | |||
| Tantalum |
Duoloshan | China | C | |||
| Tantalum |
Jiujiang Tangbre Co., Ltd. | China | C | |||
| Tantalum |
Ningxia Orient Tantalum Industry Co., Ltd. | China | C | |||
| Tantalum |
Zhuzhou Cement Carbide Works | China | C | |||
| Tantalum |
RFH Tantalum Smeltery | China | C | |||
| Tantalum |
Conghua Tantalum and Niobium Smeltry | China | C | |||
| Tantalum |
JiuJiang JinXin Nonferrous Metals Co. Ltd. | China | C | |||
| Tantalum |
King-Tan Industry Co., Ltd | China | C | |||
| Tantalum |
H.C. Starck GmbH | Germany | C | |||
| Tantalum |
Molycorp Silmet AS (Molycorp Inc. (90%)) | Estonia | C | |||
| Tantalum |
(Miike Rare Metal) Mitsui Minning and Smelting Co., Ltd. | Japan | C | |||
| Tantalum |
Taki Chemicals Co. Ltd. | Japan | C | |||
| Tantalum |
Ulba Metallurgical Plant (Kazatomprom, NAC) | Kazakhstan | C | |||
| Tantalum |
Solikamsk Magnesium Works | Russian Federation | C | |||
| Tantalum |
Exotech Inc. | United States | C | |||
| Tantalum |
Gannon & Scott | United States | ||||
| Tantalum |
Global Advanced Metals Pty Ltd. | United States | C | |||
| Tantalum |
Kemet Corp. | United States | C | |||
| Tantalum |
Hi-Temp Specialty Metals, Inc. | United States | C | |||
| Tantalum |
Telex | United States | C | |||
| Tantalum |
QuantumClean | United States | C | |||
| Tantalum |
Tantalite Resources | South Africa | ||||
| Tantalum |
Changsha South Tantalum Niobium Co., Ltd. | China | C | |||
| Tantalum |
LSM Brasil S.A. | Brazil | C | |||
| Tantalum |
Metallurgical Products India (Pvt.) Ltd. (MPIL) | India | C | |||
| Tantalum |
Jiangxi Tungsten Group Limited Corporation | China | ||||
| Gold |
Perth Mint (Government of Western Australia) | Australia | C** | |||
| Gold |
Umicore SA Business Unit Precious Metals Refining | Belgium | C** | |||
| Gold |
AngloGold Ashanti Mineração Ltda | Brazil | C** |
| Metal |
Smelter or Refiner Facility Name |
Location |
CFSP* | |||
| Gold |
Umicore Brasil Ltda | Brazil | C** | |||
| Gold |
Johnson Matthey plc | Canada | C | |||
| Gold |
Royal Canadian Mint | Canada | C** | |||
| Gold |
Argor-Heraeus S.A. | Switzerland | C**# | |||
| Gold |
Cendres + Métaux S.A. | Switzerland | A | |||
| Gold |
Metalor Group | Switzerland | C | |||
| Gold |
Produits Artistiques de Métaux Précieux S.A. (MKS Finance SA, 100%) | Switzerland | C | |||
| Gold |
Valcambi S.A. | Switzerland | C**# | |||
| Gold |
PX Précinox SA | Switzerland | C**# | |||
| Gold |
Corporación Nacional del Cobre (CODELCO), 100% | Chile | ||||
| Gold |
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Ltd | China | ** | |||
| Gold |
Jiangxi Copper Co. Ltd. | China | ** | |||
| Gold |
Shandong Zhaojin Gold & Silver Refinery Co. Ltd | China | C** | |||
| Gold |
Great Wall Gold and Silver Refinery | China | ||||
| Gold |
Zhongyuan Gold Smelter (Zhongjin Gold Co. Ltd.) | China | C** | |||
| Gold |
Zijin Mining Group Co. Ltd (Zijin Copper Co. Ltd.) | China | C** | |||
| Gold |
Allgemeine Gold- und Silberscheideanstalt A.G. | Germany | C**# | |||
| Gold |
Aurubis AG (formerly Norddeutsche Affinererie AG) | Germany | C** | |||
| Gold |
Heraeus Precious Metals GmbH & Co. KG | Germany | C** | |||
| Gold |
Sempsa Joyeria Plateria SA | Spain | C** | |||
| Gold |
Heraeus Ltd Hong Kong | Hong Kong | ** | |||
| Gold |
Metalor Technologies (Hong Kong) Ltd | Hong Kong | ** | |||
| Gold |
PT Aneka Tambang (Persero) Tbk (Logan Mulia) | Indonesia | C** | |||
| Gold |
Chimet S.p.A. | Italy | C** | |||
| Gold |
Asahi Pretec Corp | Japan | C** | |||
| Gold |
Chugai Mining Co Ltd. (Dowa Mining Co. Ltd) | Japan | ||||
| Gold |
Ishifuku Metal Industry Co Ltd | Japan | C** | |||
| Gold |
Japan Mint | Japan | C** | |||
| Gold |
JX Nippon Mining & Metals Co., Ltd | Japan | C** | |||
| Gold |
Matsuda Sangyo Co., Ltd | Japan | C** | |||
| Gold |
Mitsubishi Materials Corp. | Japan | C** | |||
| Gold |
Mitsui Mining and Smelting Co. Ltd. | Japan | C** | |||
| Gold |
Sumitomo Metal Mining Co., Ltd. | Japan | C** | |||
| Gold |
Tanaka Kikinzoku Kogyo K.K. | Japan | C** | |||
| Gold |
Tokuriki Honten Co., Ltd | Japan | C** | |||
| Gold |
Nihon Material Co. Ltd | Japan | C** | |||
| Gold |
Aida Chemical Industries Co. Ltd. | Japan | C | |||
| Gold |
Asaka Riken Co Ltd | Japan | A | |||
| Gold |
Kojima Chemicals Co. Ltd | Japan | C |
| Metal |
Smelter or Refiner Facility Name |
Location |
CFSP* | |||
| Gold |
Yokohama Metal Co Ltd | Japan | A | |||
| Gold |
KazZinc Ltd | Kazakhstan | C** | |||
| Gold |
Kyrgyzaltyn JSC | Kyrgyzstan | ** | |||
| Gold |
LS-Nikko Copper Inc | Korea, Republic of | C** | |||
| Gold |
Caridad | Mexico | ||||
| Gold |
Met-Mex Peñoles, S.A. de C.V. (Industrias Peñoles, S.A. de C. V., 100%) | Mexico | C** | |||
| Gold |
Schöne Edelmetaal B. V. (subsidary of Umicore SA) | Netherlands | C | |||
| Gold |
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | ** | |||
| Gold |
OJSC Novosibirsk Refinery | Russian Federation | ** | |||
| Gold |
JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | C** | |||
| Gold |
JSC Uralectromed | Russian Federation | C** | |||
| Gold |
Moscow Special Alloys Processing Plant | Russian Federation | ** | |||
| Gold |
OJSC Krastvetmet | Russian Federation | C** | |||
| Gold |
Prioksky Plant of Non-Ferrous Metals | Russian Federation | ** | |||
| Gold |
SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | A** | |||
| Gold |
OJSC Kolyma Refinery | Russian Federation | ** | |||
| Gold |
L’ azurde Company For Jewelry | Saudi Arabia | C** | |||
| Gold |
Boliden AB | Sweden | C** | |||
| Gold |
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | C** | |||
| Gold |
Istanbul Gold Refinery | Turkey | C** | |||
| Gold |
Nadir Metal Rafineri San. Ve Tic. A.Ş. | Turkey | C** | |||
| Gold |
Solar Applied Materials Technology Corp. | Taiwan | C** | |||
| Gold |
Johnson Matthey Gold and Silver Refining Inc. | United States | C | |||
| Gold |
Materion | United States | C | |||
| Gold |
Metalor USA Refining Corporation | United States | C** | |||
| Gold |
Ohio Precious Metals LLC. | United States | C** | |||
| Gold |
Sabin Metal Corporation | United States | ||||
| Gold |
United Precious Metal Refining Inc. | United States | C | |||
| Gold |
Kennecott Utah Copper Corporation | United States | C | |||
| Gold |
Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | ** | |||
| Gold |
Navoi Mining and Metallurgical Combinat (NMMC) | Uzbekistan | ** | |||
| Gold |
Rand Refinery Ltd ( AngloGold Ashanti Ltd., 53%, and Gold Fields Ltd., 33%) | South Africa | C** | |||
| Gold |
C. Hafner GmbH + Co. KG | Germany | C** | |||
| Gold |
CCR Refinery – Glencore Canada Corporation | Canada | C** | |||
| Gold |
China National Gold Group Corp. | China | ||||
| Gold |
Daye Nonferrous Metals Co Ltd | China | ||||
| Gold |
Eco-System Recycling Co., Ltd. | Japan | C | |||
| Gold |
Hunan Chenzhou Mining Industry Co Ltd | China | ||||
| Gold |
Metalor Technologies (Singapore) Pte. Ltd. | Singapore | C** |
| Metal |
Smelter or Refiner Facility Name |
Location |
CFSP* | |||
| Gold |
Shandog Gold Group Co Ltd | China | C | |||
| Gold |
Tongling Nonferrous Metals (Group) Inc. | China |
| * | This column indicates whether the smelter or refiner participates in the CFSP as a smelter or refiner that sources conflict minerals in a manner that does not finance or benefit armed groups in the Covered Countries. For purposes of this column, “C” denotes that the smelter or refiner participates in the CFSP and has been certified and audited by the CFSI, and “A” denotes that the smelter or refiner has agreed to participate in the CFSP but that the audit process has not yet been completed. |
| ** | Denotes a London Bullion Market Association accredited gold refiner on the Good Delivery List as of May 19, 2015. |
| # | Denotes a Responsible Jewellery Council Certified Member as of May 19, 2015. |