(Exact name of registrant as specified in its charter)


Delaware   001-38636   82-487189

(State or other jurisdiction

of incorporation or organization)

  (Commission File Number)  

(IRS Employer

Identification No.)

La Pièce 16, Rolle, Switzerland   1180
(Address of principal executive offices)   (Zip code)

Jerome P. Maironi

Senior Vice President, General Counsel and Corporate Secretary

+41 21 695 30 00

(Name and telephone number, including area code, of the person to contact in connection with this report)

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


Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.




Section 1 — Conflict Minerals Disclosure


Item 1.01.

Conflict Minerals Disclosure and Report

A copy of Garrett Motion Inc.’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at


Item 1.02.


The Conflict Minerals Report required by Item 1.01 is filed as an exhibit hereto.

Section 2 — Exhibits

Item 2.01. Exhibits


1.01    Conflict Minerals Report for the year ended December 31, 2020, as required by Items 1.01 and 1.02 of this Form SD.


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


Date: June 1, 2021     By:  

/s/ Jerome P. Maironi

      Jerome P. Maironi
      Senior Vice President, General Counsel and Corporate Secretary

Exhibit 1.01

Garrett Motion Inc.

Conflict Mineral Report

For the reporting period From January 1, 2020 to December 31, 2020

This Conflict Minerals Report of Garrett Motion Inc. and its consolidated subsidiaries (“Garrett,” “we,” or “our”) has been prepared in accordance with Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). The Rule calls for certain disclosures from an SEC registrant that manufactures or contracts to manufacture, products for which conflict minerals are necessary to the functionality or production of those products. Conflict Minerals are defined as cassiterite, columbite-tantalite, wolframite, and gold, including their derivatives, which are limited to tin, tantalum, and tungsten (collectively, “3TG”).

If any 3TG are necessary to the functionality or production of products manufactured or contracted to be manufactured, by a registrant, the text of the Rule requires such registrant to conduct in good faith a reasonable country of origin inquiry (“RCOI”) that is reasonably designed to determine whether any of its 3TG originated in the Democratic Republic of the Congo (“DRC”), the Central African Republic, the Republic of the Congo. South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia, or Angola (the “Covered Countries”), or are from recycled or scrap sources.


Garrett’s Business

Garrett designs manufacture and sell highly engineered turbocharger, electric-boosting and connected vehicle technologies for light and commercial vehicle original equipment manufacturers (“OEMs”) and the global vehicle independent aftermarket as well as automotive software solutions. We are a global technology leader with significant expertise in delivering products across gasoline, diesel, natural gas, and electrified (hybrid and fuel cell) powertrains.

Garrett’s Products Covered by this Report

This report relates to Garrett products: (i) for which 3TG are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by Garrett; and (iii) for which the manufacture was completed during the calendar year 2020. These products, which are referred to herein as the “Covered Products,” consist of turbochargers and intercoolers.

Garrett’s Supply Chain

Garrett sells thousands of products containing parts from hundreds of direct and indirect suppliers. As a “downstream” company with many tiers in our supply chain, we have direct relationships with a few smelters and refiners (less than 1% of our direct suppliers) and do not perform or direct audits of entities within our supply chain. It is difficult for us to identify actors upstream from our direct suppliers, and we rely on those suppliers to provide information on the smelters and refiners (“SORs”) as well as the origin of 3TG contained in parts or products supplied to us, including sources of 3TG that are supplied to them from their upstream suppliers. Similarly, our direct suppliers rely on information provided by their suppliers.

The terms and lengths of contracts with our suppliers are varied, and we cannot always unilaterally impose new contract terms. As we renew or enter into new purchase agreements with suppliers, we generally seek to add, where possible, a 3TG compliance provision requiring such suppliers to conduct and document their inquiries into the SORs as well as the country of origin of 3TG in parts or products supplied to Garrett and to provide Garrett with information or representations that Garrett requires to meet its compliance obligations. Although we have already integrated a 3TG compliance provision into certain purchase agreements with our direct suppliers, we anticipate that it will take several years to ensure that all supplier purchase agreements contain appropriate 3TG compliance provisions. In addition, some suppliers may object to the inclusion of such 3TG compliance provisions. In the meantime, as described herein, we are working with our suppliers to obtain 3TG sourcing information.

Reasonable Country of Origin Inquiry

Garrett conducted a good faith RCOI to determine whether the 3TG in the Covered Products may have originated in the Covered Countries and did not come from recycled or scrap sources. The elements of the RCOI were:



Identification of relevant suppliers



Data collection and validation; and



Assessment to determine whether due diligence was required

Garrett assessed its direct suppliers that were most likely to provide parts or products containing 3TG concerning our turbocharger and intercoolers, and in connection therewith we identified 441 relevant suppliers (the “Supplier Group”).

Garrett engaged a third-party service provider, Assent Compliance (the “Vendor”), to help obtain supplier data. It began with a request for each supplier in the Supplier Group to respond to the 2020 (version 6.01) Responsible Minerals Initiative’s Conflict Minerals Reporting Template (the “Questionnaire”). The Questionnaire is designed to facilitate disclosure and communication of information regarding SORs of 3TG contained in parts or products in our supply chain. It includes questions regarding a supplier’s engagement with its direct suppliers and a listing of the SORs that the supplier and its suppliers use. In addition, the Questionnaire contains questions about the origin of 3TG included in a supplier’s parts or products, as well as supplier due diligence efforts. The Vendor deployed the Questionnaire to the Supplier Group via a tracking tool, which enabled Garrett and the Vendor to manage and maintain records of responses from the Supplier Group in an electronic database. The procedure involved four rounds of follow-up to unresponsive members of the Supplier Group through a defined process via both automated email and personalized email, including offering assistance and further information to the Supplier Group about the requirements of the Rule and the 3TG compliance program. Garrett received responses from 80% of the Supplier Group.

The collected data was then validated by the Vendor to increase the accuracy of submissions and identify any contradictory answers in the Questionnaire. The Vendor’s tracking tool and electronic database facilitated automated data validation on all submitted Questionnaires. All submitted Questionnaires were accepted and classified as valid or invalid. Members of the Supplier Group were contacted with regards to invalid forms and were encouraged to resubmit a valid form. We reviewed the responses to determine where further engagement with our Supplier Group was warranted.

Based on the responses received from the Company’s RCOI, we compiled a list of 321 unique SORs. However, the vast majority were at a supplier-level, and none included information regarding associated countries of origin. Based on the responses to our RCOI and the fact that responses were not received from all members of the Supplier Group to the Questionnaire, Garrett did not have complete and validated information to conclude whether its necessary 3TG in the Covered Products originated in the Covered Countries, and if so, whether they were from recycled or scrap sources or came from sources that directly or indirectly financed or benefitted armed groups, as such term is defined in the Rule. Accordingly, Garrett conducted due diligence on the source and chain of custody of the 3TG contained in parts or products provided by the Supplier Group.

Due Diligence Process

Design of Due Diligence Measures

Our due diligence measures have been designed to conform, in all material respects, with the Organization for Economic Co-operation and Development’s (“OECD”) “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition (2016)” and the related Supplements for 3TG (the “OECD Framework”). The OECD Framework is written for the entire mineral supply chain and our due diligence measures were tailored to include steps appropriate for “downstream” companies. Our due diligence included the following elements of the OECD Framework:



Step 1: Establish strong company management systems



Step 2: Identify and assess risks in the supply chain



Step 3: Design and implement a strategy to respond to identified risks



Step 4: Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain; and



Step 5: Report on supply chain due diligence

Step 1: Establish Strong Company Management Systems

Garrett has established a management system to determine the source and chain of custody of 3TG in our supply chain.



Mission Statement: We have adopted a conflict minerals mission statement (the Mission Statement) that outlines to suppliers and customers our commitment to responsible sourcing of 3TG throughout our global supply chain and compliance with the Rule. The Mission Statement is publicly available on our website at:


Internal Team: Our management system includes oversight of our RCOI and due diligence processes by the representatives from Procurement, Product Stewardship, Health, Safety and Environment, and Legal. These functions are responsible for implementing our 3TG compliance program and communicating information about program status and effectiveness to senior management.



Control Systems: We utilize the Questionnaire for collecting 3TG declarations from our supply base via a tracking tool to gather information on the chain of custody of the 3TG included in our products. In addition, our Vendor is a member of the Responsible Minerals Initiative, an industry-wide initiative working to develop conflict-free supply chains. We also have a Supplier Code of Conduct that sets forth our core values on the responsible sourcing of minerals:



Supplier Engagement: We have communicated to the Supplier Group our obligations under the Rule by distributing to them background information on the Rule along with the Questionnaire. In addition, through our Vendor, we provide training materials on 3TG compliance to the Supplier Group. We are also integrating 3TG compliance provisions into our purchase agreements as described above, which sets forth Garrett’s expectations that such direct suppliers will cooperate with Garrett’s RCOI and due diligence measures as required by the Rule.



Grievance Mechanism: We have a company-level Helpline that provides employees and suppliers with a mechanism to report violations of our policies or other concerns.

Step 2: Identify and Assess Risks in the Supply Chain



Distribution of Questionnaires to Supplier Group: In 2020, we distributed the Questionnaire to the Supplier Group to gather information on our supply chain, including:



Whether any of the minerals they supplied to Garrett may contain 3TG



Whether any 3TG are necessary to the functionality or production of the parts or products in which they are used, and



The SORs or any 3TG in our supply chain and whether the 3TG originated from the Covered Countries or came from recycled or scrap sources.



Assessment of Supplier Group Responses: We reviewed each response from the Supplier Group to assess the adequacy of such a response. Members of the Supplier Group that failed to respond to the Questionnaire or that did not provide responses to all applicable questions in the Questionnaire received follow-up communications requesting additional information. If a supplier response indicates that 3TG contained in parts or products provided to Garrett may have originated from the Covered Countries, then such response is sent to the Product Stewardship team for further review and determination of follow-up steps under the guidance of our risk management plan.

Step 3: Design and Implement a Strategy to Respond to Identified Risks

As part of our risk management plan under the OECD Framework, if SORs with red flags are reported on a Questionnaire by one of the suppliers surveyed, risk mitigation activities will be initiated. If a supplier indicates that its products may contain 3TG sourced from a Covered Country, we will follow up with the supplier to gather more information, including the basis for the information provided and other information regarding the sourcing country and SOR. Identified risks will be reported to the Product stewardship Team, which will determine appropriate follow-up actions, if any, to mitigate risks. There was no instance in our due diligence for the 2020 reporting period where we determined that there were validated high-risk issues in our supply chain requiring follow-up actions.

To ensure that the Supplier Group understands our expectations concerning compliance with the Rule, we distributed background information on the Rule and our Mission Statement, and we provided access to training materials on 3TG compliance to the Supplier Group in addition to the Questionnaire.

Step 4: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

Garrett does not perform or direct audits of entities in our supply chain but relies on the RMI’s Responsible Minerals Assurance Process (“RMAP”) to perform third-party audits of SORs. Our process compares the SORs identified by the Supplier Group to the list of SORs certified as “compliant” or the equivalent by the RMI. If SORs are identified with issues, we engage with the supplier directly to verify the information before reporting the issue to the Product Stewardship Team.

Step 5: Report on Supply Chain Due Diligence

This Conflict Minerals Report, and the Form SD to which it relates, have been filed with the SEC, and are publicly available at:

Due Diligence Results

The Questionnaire requested that the Supplier Group provide Garrett with information on (a) the SORs that the Supplier Group and its suppliers use to supply the 3TG in the Covered Products, (b) whether the 3TG used in the Covered Products originates from the Covered Countries, (c) the mine or location of origin of the 3TG used in the Covered Products, and (d) the scope of its response (company-level responses refer to the supplier’s overall 3TG sourcing; product-level responses specify whether 3TG was used in parts or products provided to Garrett). Garrett must rely on responses from the Supplier Group to our Questionnaire to determine the facilities used to process 3TG used in the Covered Products, whether the 3TG used in the Covered Products originates from the Covered Countries, and the source of 3TG used in the Covered Products.

The responses that we received for this reporting period from the Supplier Group fell into one or more of the following categories: (i) indication that no 3TG is used in parts or products that are provided to Garrett, (ii) data concerning the SORs used by the supplier to process 3TG in parts or products provided to Garrett; (iii) data with respect to the supplier’s overall 3TG sourcing, without specifying whether such 3TG was used in parts or products provided to Garrett or indication that the supplier is unable to provide the information as it specifically relates to the parts or products that are provided to Garrett, (iv) indication that the supplier is unable to provide SOR information at this time, and/or (v) indication that the supplier

is unable to provide or is still in the process of determining the country of origin or mine or location of origin of 3TG from its suppliers. We received responses in category (ii) above from 352 out of 441 suppliers. Such responses identified 321 unique SORs (set forth on Appendix A below) used to process 3TG in parts or products provided to Garrett, and whilst they did not indicate the country of origin of the 3TG processed by such SORs, 236 of these SORs are RMAP Conformant.

As a result of the foregoing, and because responses were not received from all members of the Supplier Group, Garrett does not have complete and validated information to conclude whether its necessary 3TG in the Covered Products originated in the Covered Countries, and if so, whether they were from recycled or scrap sources, or came from sources that directly or indirectly financed or benefitted armed groups therein, as such term is defined the Rule.

However, Garrett received no response (to either the initial communication or any follow-up inquiries) from any supplier indicating that 3TG in our Covered Products originated in the Covered Countries (even when SORs used to process our 3TG were identified) or benefitted or financed armed groups in the Covered Countries.

Besides, we were unable to determine the country of origin or the mine or location of origin of 3TG used in the parts or products supplied to us for use in the Covered Products. Our efforts to identify the specific mine or location or origin of our necessary 3TG included the due diligence measures described above.

Steps to be taken to mitigate risk

We intend to take the following steps to improve the due diligence conducted and to further mitigate any future risk of sourcing 3TG that benefit armed groups in the Covered Countries:



Continue to refine and update our process to target all appropriate direct suppliers that may be in-scope for the Rule, as well as re-survey applicable suppliers to confirm that they do not incorporate 3TG in our supply chain.



Continue to work closely with our direct suppliers to obtain the necessary validated information on the origin of the 3TG contained in the parts, products, or services sold to Garrett.



Continue to seek to include a 3TG compliance provision in new or renewed purchase agreements with direct suppliers to set forth Garrett’s expectations that such direct suppliers will cooperate with Garrett’s RCOI and due diligence measures as required by the Rule.



Engage with direct suppliers by providing advice and directing them to information and resources, to increase the response rate and improve the content of their Questionnaire responses.

Cautionary Statement about Forward-Looking Statements

We have made statements in this Conflict Minerals Report that may constitute “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) about our plans to take additional actions or to implement additional procedures with respect to our due diligence efforts to determine the

origin of conflict minerals included in our products. There can be no assurance that these future events will occur as anticipated. Forward-looking statements speak only as of the date they were made, and we undertake no obligation to publicly update them. Our reporting obligations under the conflict minerals rules may change in the future and our ability to implement certain processes or obtain information from our suppliers may differ materially from those anticipated or implied in this report. These forward-looking statements should be considered in light of the information included in this report and our other filings with the SEC, including, without limitation, the Risk Factors, as well as the description of trends and other factors in Management’s Discussion and Analysis of Financial Condition and Results of Operations, set forth in our Form 10-K for the year ended December 31, 2020, as updated by our Form 10-Q for the quarter ended March 31, 2021, and other filings with the SEC.

Appendix A—Smelter list

Includes: Metals, SOR name, SOR Facility location, and SOR ID (SORs indicated with an asterisk* are RMAP conformant; SORs indicated with a double asterisk** are “Active”, i.e., they have committed to undergo an RMAP audit).




Standard Smelter Name


Smelter Facility Location


Smelter ID

Gold    8853 S.p.A.    ITALY    CID002763*
Gold    Abington Reldan Metals, LLC    UNITED STATES OF AMERICA    CID002708
Gold    Advanced Chemical Company    UNITED STATES OF AMERICA    CID000015*
Gold    African Gold Refinery    UGANDA    CID003185
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    CID000019*
Gold    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES    CID002560*
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    CID000035*
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    CID000041*
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    CID000058*
Gold    Argor-Heraeus S.A.    SWITZERLAND    CID000077*
Gold    Asahi Pretec Corp.    JAPAN    CID000082*
Gold    Asahi Refining Canada Ltd.    CANADA    CID000924*
Gold    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    CID000920*
Gold    Asaka Riken Co., Ltd.    JAPAN    CID000090*
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    CID000103
Gold    AU Traders and Refiners    SOUTH AFRICA    CID002850*
Gold    Augmont Enterprises Private Limited    INDIA    CID003461**
Gold    Aurubis AG    GERMANY    CID000113*
Gold    Bangalore Refinery    INDIA    CID002863*
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    CID000128*

Gold    Boliden AB    SWEDEN    CID000157*
Gold    C. Hafner GmbH + Co. KG    GERMANY    CID000176*
Gold    C.I Metales Procesados Industriales SAS    COLOMBIA    CID003421**
Gold    Caridad    MEXICO    CID000180
Gold    CCR Refinery - Glencore Canada Corporation    CANADA    CID000185*
Gold    Cendres + Metaux S.A.    SWITZERLAND    CID000189*
Gold    CGR Metalloys Pvt Ltd.    INDIA    CID003382
Gold    Chimet S.p.A.    ITALY    CID000233*
Gold    Chugai Mining    JAPAN    CID000264*
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA    CID000343
Gold    Degussa Sonne / Mond Goldhandel GmbH    GERMANY    CID002867
Gold    Dijllah Gold Refinery FZC    UNITED ARAB EMIRATES    CID003348
Gold    DODUCO Contacts and Refining GmbH    GERMANY    CID000362*
Gold    Dowa    JAPAN    CID000401*
Gold    DS PRETECH Co., Ltd.    KOREA, REPUBLIC OF    CID003195*
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    CID000359*
Gold    Eco-System Recycling Co., Ltd. East Plant    JAPAN    CID000425*
Gold    Eco-System Recycling Co., Ltd. North Plant    JAPAN    CID003424*
Gold    Eco-System Recycling Co., Ltd. West Plant    JAPAN    CID003425*
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    CID002561*
Gold    Fidelity Printers and Refiners Ltd.    ZIMBABWE    CID002515
Gold    Fujairah Gold FZC    UNITED ARAB EMIRATES    CID002584
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA    CID002852
Gold    Geib Refining Corporation    UNITED STATES OF AMERICA    CID002459*
Gold    Gold Coast Refinery    GHANA    CID003186
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    CID002243*
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    CID001909
Gold    Guangdong Jinding Gold Limited    CHINA    CID002312
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    CID000651
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    CID000671
Gold    Heimerle + Meule GmbH    GERMANY    CID000694*
Gold    Heraeus Metals Hong Kong Ltd.    CHINA    CID000707*
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    CID000711**

Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000767
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA    CID000773
Gold    HwaSeong CJ CO., LTD.    KOREA, REPUBLIC OF    CID000778
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    CID000801*
Gold    International Precious Metal Refiners    UNITED ARAB EMIRATES    CID002562**
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    CID000807*
Gold    Istanbul Gold Refinery    TURKEY    CID000814*
Gold    Italpreziosi    ITALY    CID002765*
Gold    JALAN & Company    INDIA    CID002893
Gold    Japan Mint    JAPAN    CID000823*
Gold    Jiangxi Copper Co., Ltd.    CHINA    CID000855*
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    CID000927
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    CID000929*
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    CID000937*
Gold    K.A. Rasmussen    NORWAY    CID003497
Gold    Kaloti Precious Metals    UNITED ARAB EMIRATES    CID002563
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN    CID000956
Gold    Kazzinc    KAZAKHSTAN    CID000957*
Gold    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA    CID000969*
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    CID002511*
Gold    Kojima Chemicals Co., Ltd.    JAPAN    CID000981*
Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    CID002605*
Gold    Kundan Care Products Ltd.    INDIA    CID003463
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    CID001029*
Gold    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION    CID002865
Gold    L’azurde Company For Jewelry    SAUDI ARABIA    CID001032
Gold    Lingbao Gold Co., Ltd.    CHINA    CID001056
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    CID001058
Gold    L’Orfebre S.A.    ANDORRA    CID002762*
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    CID001078*
Gold    LT Metal Ltd.    KOREA, REPUBLIC OF    CID000689*
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    CID001093

Gold    Marsam Metals    BRAZIL    CID002606*
Gold    Materion    UNITED STATES OF AMERICA    CID001113*
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    CID001119*
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    CID001149*
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    CID001152*
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    CID001147*
Gold    Metalor Technologies S.A.    SWITZERLAND    CID001153*
Gold    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    CID001157*
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    CID001161*
Gold    Mitsubishi Materials Corporation    JAPAN    CID001188*
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001193*
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    CID002509*
Gold    Modeltech Sdn Bhd    MALAYSIA    CID002857
Gold    Morris and Watson    NEW ZEALAND    CID002282
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    CID001204*
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    CID001220*
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    CID001236*
Gold    NH Recytech Company    KOREA, REPUBLIC OF    CID003189
Gold    Nihon Material Co., Ltd.    JAPAN    CID001259*
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    CID002779*
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    CID001325*
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    CID001326*
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    CID000493*
Gold    PAMP S.A.    SWITZERLAND    CID001352*
Gold    Pease & Curren    UNITED STATES OF AMERICA    CID002872
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA    CID001362
Gold    Planta Recuperadora de Metales SpA    CHILE    CID002919*
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    CID001386*
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    CID001397*
Gold    PX Precinox S.A.    SWITZERLAND    CID001498*
Gold    QG Refining, LLC    UNITED STATES OF AMERICA    CID003324
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    CID001512*

Gold    Refinery of Seemine Gold Co., Ltd.    CHINA    CID000522
Gold    Royal Canadian Mint    CANADA    CID001534*
Gold    SAAMP    FRANCE    CID002761*
Gold    Sabin Metal Corp.    UNITED STATES OF AMERICA    CID001546
Gold    Safimet S.p.A    ITALY    CID002973*
Gold    SAFINA A.S.    CZECH REPUBLIC    CID002290*
Gold    Sai Refinery    INDIA    CID002853
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    CID001555*
Gold    Samwon Metals Corp.    KOREA, REPUBLIC OF    CID001562
Gold    SAXONIA Edelmetalle GmbH    GERMANY    CID002777*
Gold    SEMPSA Joyeria Plateria S.A.    SPAIN    CID001585*
Gold    Shandong Humon Smelting Co., Ltd.    CHINA    CID002525
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    CID001619
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    CID001622*
Gold    Shenzhen Zhonghenglong Real Industry Co., Ltd.    CHINA    CID002527
Gold    Shirpur Gold Refinery Ltd.    INDIA    CID002588
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    CID001736*
Gold    Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA    CID002516*
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    CID001756*
Gold    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA    CID001761*
Gold    Sovereign Metals    INDIA    CID003383
Gold    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    CID003153
Gold    Sudan Gold Refinery    SUDAN    CID002567
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    CID001798*
Gold    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF    CID002918*
Gold    Super Dragon Technology Co., Ltd    TAIWAN, PROVINCE OF CHINA    CID001810
Gold    T.C.A S.p.A    ITALY    CID002580*
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    CID001875*
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    CID001916*
Gold    Tokuriki Honten Co., Ltd.    JAPAN    CID001938*

Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    CID001947
Gold    Tony Goetz NV    BELGIUM    CID002587
Gold    TOO Tau-Ken-Altyn    KAZAKHSTAN    CID002615*
Gold    Torecom    KOREA, REPUBLIC OF    CID001955*
Gold    Umicore Precious Metals Thailand    THAILAND    CID002314*
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    CID001980*
Gold    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA    CID001993*
Gold    Valcambi S.A.    SWITZERLAND    CID002003*
Gold    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    CID002030*
Gold    WIELAND Edelmetalle GmbH    GERMANY    CID002778*
Gold    Yamakin Co., Ltd.    JAPAN    CID002100*
Gold    Yokohama Metal Co., Ltd.    JAPAN    CID002129*
Gold    Yunnan Copper Industry Co., Ltd.    CHINA    CID000197
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    CID002224*
Tantalum    Asaka Riken Co., Ltd.    JAPAN    CID000092*
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    CID000211*
Tantalum    D Block Metals, LLC    UNITED STATES OF AMERICA    CID002504*
Tantalum    Exotech Inc.    UNITED STATES OF AMERICA    CID000456*
Tantalum    F&X Electro-Materials Ltd.    CHINA    CID000460*
Tantalum    FIR Metals & Resource Ltd.    CHINA    CID002505*
Tantalum    Global Advanced Metals Aizu    JAPAN    CID002558*
Tantalum    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    CID002557*
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    CID000616*
Tantalum    H.C. Starck Co., Ltd.    THAILAND    CID002544*
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    CID002547*
Tantalum    H.C. Starck Inc.    UNITED STATES OF AMERICA    CID002548*
Tantalum    H.C. Starck Ltd.    JAPAN    CID002549*
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002550*
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY    CID002545*
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    CID002492*
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    CID002512*

Tantalum    Jiangxi Tuohong New Raw Material    CHINA    CID002842*
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    CID000914*
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    CID000917*
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    CID002506*
Tantalum    KEMET Blue Metals    MEXICO    CID002539*
Tantalum    LSM Brasil S.A.    BRAZIL    CID001076*
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    CID001163*
Tantalum    Mineracao Taboca S.A.    BRAZIL    CID001175*
Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001192*
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    CID001277*
Tantalum    NPM Silmet AS    ESTONIA    CID001200*
Tantalum    PRG Dooel    NORTH MACEDONIA, REPUBLIC OF    CID002847*
Tantalum    QuantumClean    UNITED STATES OF AMERICA    CID001508*
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL    CID002707*
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    CID001769*
Tantalum    Taki Chemical Co., Ltd.    JAPAN    CID001869*
Tantalum    Telex Metals    UNITED STATES OF AMERICA    CID001891*
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    CID001969*
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    CID002508*
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    CID001522*
Tin    Alpha    UNITED STATES OF AMERICA    CID000292*
Tin    An Vinh Joint Stock Mineral Processing Company    VIETNAM    CID002703
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    CID000228*
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    CID003190*
Tin    China Tin Group Co., Ltd.    CHINA    CID001070*
Tin    CRM Synergies    SPAIN    CID003524**
Tin    CV Ayi Jaya    INDONESIA    CID002570**
Tin    CV Venus Inti Perkasa    INDONESIA    CID002455**
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CHINA    CID003356
Tin    Dowa    JAPAN    CID000402*

Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIETNAM    CID002572
Tin    Estanho de Rondonia S.A.    BRAZIL    CID000448**
Tin    Fenix Metals    POLAND    CID000468*
Tin    Gejiu City Fuxiang Industry and Trade Co., Ltd.    CHINA    CID003410
Tin    Gejiu Fengming Metallurgy Chemical Plant    CHINA    CID002848*
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    CID000942*
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    CID000538*
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    CID001908*
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    CID000555*
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    CID003116*
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    CID002844*
Tin    Jiangxi New Nanshan Technology Ltd.    CHINA    CID001231*
Tin    Luna Smelter, Ltd.    RWANDA    CID003387*
Tin    Ma’anshan Weitai Tin Co., Ltd.    CHINA    CID003379*
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    CID002468*
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    CID001105*
Tin    Melt Metais e Ligas S.A.    BRAZIL    CID002500*
Tin    Metallic Resources, Inc.    UNITED STATES OF AMERICA    CID001142*
Tin    Metallo Belgium N.V.    BELGIUM    CID002773*
Tin    Metallo Spain S.L.U.    SPAIN    CID002774*
Tin    Mineracao Taboca S.A.    BRAZIL    CID001173*
Tin    Minsur    PERU    CID001182*
Tin    Mitsubishi Materials Corporation    JAPAN    CID001191*
Tin    Modeltech Sdn Bhd    MALAYSIA    CID002858
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIETNAM    CID002573
Tin    Novosibirsk Processing Plant Ltd.    RUSSIAN FEDERATION    CID001305**
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314*
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517*

Tin    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)    CID001337*
Tin    Pongpipat Company Limited    MYANMAR    CID003208
Tin    Precious Minerals and Smelting Limited    INDIA    CID003409
Tin    PT Aries Kencana Sejahtera    INDONESIA    CID000309**
Tin    PT Artha Cipta Langgeng    INDONESIA    CID001399*
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    CID002503*
Tin    PT Babel Inti Perkasa    INDONESIA    CID001402*
Tin    PT Babel Surya Alam Lestari    INDONESIA    CID001406*
Tin    PT Bangka Serumpun    INDONESIA    CID003205*
Tin    PT Bukit Timah    INDONESIA    CID001428**
Tin    PT Cipta Persada Mulia    INDONESIA    CID002696
Tin    PT Lautan Harmonis Sejahtera    INDONESIA    CID002870**
Tin    PT Menara Cipta Mulia    INDONESIA    CID002835*
Tin    PT Mitra Stania Prima    INDONESIA    CID001453*
Tin    PT Mitra Sukses Globalindo    INDONESIA    CID003449
Tin    PT Prima Timah Utama    INDONESIA    CID001458*
Tin    PT Rajawali Rimba Perkasa    INDONESIA    CID003381*
Tin    PT Rajehan Ariq    INDONESIA    CID002593*
Tin    PT Refined Bangka Tin    INDONESIA    CID001460*
Tin    PT Stanindo Inti Perkasa    INDONESIA    CID001468*
Tin    PT Sukses Inti Makmur    INDONESIA    CID002816**
Tin    PT Timah Nusantara    INDONESIA    CID001486**
Tin    PT Timah Tbk Kundur    INDONESIA    CID001477*
Tin    PT Timah Tbk Mentok    INDONESIA    CID001482*
Tin    PT Tinindo Inter Nusa    INDONESIA    CID001490*
Tin    Resind Industria e Comercio Ltda.    BRAZIL    CID002706*
Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    CID001539*
Tin    Soft Metais Ltda.    BRAZIL    CID001758*
Tin    Super Ligas    BRAZIL    CID002756**
Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIETNAM    CID002834*
Tin    Thaisarco    THAILAND    CID001898*
Tin    Tin Technology & Refining    UNITED STATES OF AMERICA    CID003325*
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIETNAM    CID002574

Tin    VQB Mineral and Trading Group JSC    VIETNAM    CID002015
Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    CID002036*
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    CID002158*
Tin    Yunnan Tin Company Limited    CHINA    CID002180*
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA    CID003397*
Tungsten    A.L.M.T. Corp.    JAPAN    CID000004*
Tungsten    ACL Metais Eireli    BRAZIL    CID002833*
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    BRAZIL    CID003427**
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIETNAM    CID002502*
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    CID002513*
Tungsten    China Molybdenum Co., Ltd.    CHINA    CID002641*
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    CID000258*
Tungsten    CNMC (Guangxi) PGMA Co., Ltd.    CHINA    CID000281
Tungsten    Cronimet Brasil Ltda    BRAZIL    CID003468**
Tungsten    Fujian Ganmin RareMetal Co., Ltd.    CHINA    CID003401*
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    CID002645*
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    CID000875*
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    CID002315*
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    CID002494*
Tungsten    GEM Co., Ltd.    CHINA    CID003417**
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    CID000568*
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218*
Tungsten    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002542*
Tungsten    H.C. Starck Tungsten GmbH    GERMANY    CID002541*
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000766*
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769*
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    CID002649*
Tungsten    Japan New Metals Co., Ltd.    JAPAN    CID000825*
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    CID002551*
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    CID002321*

Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    CID002313
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318*
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317*
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CID002316*
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    RUSSIAN FEDERATION    CID003408**
Tungsten    Kennametal Fallon    UNITED STATES OF AMERICA    CID000966*
Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA    CID000105*
Tungsten    KGETS Co., Ltd.    KOREA, REPUBLIC OF    CID003388*
Tungsten    Lianyou Metals Co., Ltd.    TAIWAN, PROVINCE OF CHINA    CID003407*
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    CID002319*
Tungsten    Masan Tungsten Chemical LLC (MTC)    VIETNAM    CID002543*
Tungsten    Moliren Ltd.    RUSSIAN FEDERATION    CID002845*
Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA    CID002589*
Tungsten    NPP Tyazhmetprom LLC    RUSSIAN FEDERATION    CID003416**
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    CID002827*
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    CID002724*
Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA    CID002044*
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    CID002320*
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    CID002082*
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    CID002830*