Exhibit 1.01

2020 Conflict Minerals Report
Avaya Holdings Corp.
Reporting period: January 1, 2020 to December 31, 2020

Avaya Holdings Corp. (“Avaya” or the “Company”) prepared this Conflict Minerals Report (the “Report”) for
the reporting period from January 1 to December 31, 2020. The Report provides the information requiredby the provisions of Rule 13(p) under the Securities Exchange Act of 1934 and the instructions to Form SD
which require companies registered with the Securities and Exchange Commission (the “SEC”) to annually
disclose the use of conflict minerals originating from the Democratic Republic of the Congo (the “DRC”) or
adjoining countries (“covered countries”) and not from recycled or scrap sources that are necessary to thefunctionality or production of a manufactured product. Conflict minerals are identified as columbitetantalite (coltan), cassiterite, gold, wolframite or their derivatives, or simply tantalum, tin, tungsten and gold(collectively, “Conflict Minerals” or “3TG”). Use of the terms “Avaya” or the “Company” in this Report refers
to Avaya Holdings Corp., a Delaware corporation, and its consolidated subsidiaries taken as a whole, unlessthe context otherwise indicates. The Report is publicly available on the Company’s website at:https://www.avaya.com/en/about-avaya/corporate-responsibility/.

The Company has conducted a reasonable country of origin inquiry (“RCOI”) and subsequent due diligenceaccording to the 5-step approach detailed in the Organization for Economic Co-operation and Development(“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected andHigh-Risk Areas Third Edition (“OECD Guidance”), an internationally recognized due diligence framework, todetermine if it knows or has reason to believe that the 3TGs identified in the Company’s products originatedfrom sources in the covered countries. As a downstream user of minerals, the Company contracts the
manufacture of products with electronic manufacturing suppliers (“EMS”). Given the size of the Company’s
supply chain and the fact that the Company does not have direct relationships with the mines and/or thesmelters and refiners (the “SOR”) providing the minerals, it is challenging to identify all of the relevant
source mines. As such, the Company relies on industry initiatives (principally, the Responsible Minerals
Initiative or “RMI”), manufacturing partners and parts suppliers with whom the Company has direct
relationships to determine the source of the 3TGs in the Company’s products. The Company utilizes RCOI
data provided by the RMI and relies on audits performed by the RMI to assess the SORs’ conformance to the
Responsible Minerals Assurance Process (“RMAP”).
Executive Summary of the 2020 Conflict Minerals Program
The Company performed an RCOI on those suppliers that provided the Company with products and partscontaining 3TGs which were then sold during the relevant reporting period. Ninety-nine percent (99%) of
the suppliers responded. The following table defines terminology used in this Report, consistent with the
RMI Smelter Database.

143508.00200

Exhibit 1.01

Term

Definition

Statistic

Eligible
Conformant
ActiveRMI recognized smelter eligible for RMAP
Smelter who passed RMI RMAP audit
Eligible smelter who is not yet conformant but is working with
the RMI to become conformant
Un-cooperative and not actively working with the RMI. Also
includes businesses who are not operational - either temporarilyor permanently.

323
242
51

Not Active30

The results from the Conflict Minerals Reporting Templates (“CMRT”) returned by the suppliers showed 323
reported, eligible SORs involved in the Company’s supply chain. Of the 323 SORs, all could be found on the
Smelter Lookup Tab of the CMRT. These 323 SORs (listed in Appendix A) are either “conformant” (242),“active” (51) or “not active” (30). The RMI Smelter Database is a list of possible smelters being tracked by
the RMI of the Responsible Business Alliance (“RBA”) and it identifies the status of each of the smelters. RMI
uses an independent third-party audit of SOR management systems and sourcing practices to validate
smelters' management processes for alignment to the OECD Guidance and RMAP procedures.
The Company cannot be certain about the origin of the Conflict Minerals used by smelters or entities thatare not listed as RMAP-conformant SORs, since their management processes have not been audited per the
RMI RMAP. The Company has and will continue to work with suppliers to obtain more information
regarding the status of these smelters and entities.
Company Overview
Avaya is a global leader in digital communications products, solutions, and services for businesses of all
sizes, delivering most of its technology through software and services. The Company enables organizations
around the globe to succeed by creating intelligent communications experiences for clients, their employees
and their customers. The Company builds open, converged and innovative solutions to enhance and simplify
communications and collaboration in the cloud, on-premises or a hybrid of both. The Company's global,
experienced team of professionals delivers award-winning services from initial planning and design, toseamless implementation and integration, to ongoing managed operations, optimization, training andsupport.
The Company business has two operating segments: Products & Solutions and Services.


Products & Solutions primarily develops, markets, and sells unified communications and contact
center solutions, offered on premises, in the cloud, or as a hybrid solution. These integrate multiple
forms of communications, including telephony, e-mail, instant messaging and video.
Services develops, markets and sells comprehensive end-to-end global service offerings that enable
customers to evaluate, plan, design, implement, monitor, manage and optimize complex enterprisecommunications networks.

243508.00200

Exhibit 1.01

The Company sells directly through its worldwide sales force and indirectly through its global network ofchannel partners, including distributors, service providers, dealers, value-added sellers, system integratorsand business partners that provide sales and services support.
The Company outsources the design of some, and the manufacture of substantially all, of its products andsolutions.

The Company’s Conflict Minerals Program Overview
Avaya is committed to ethical business conduct and responsible sourcing and the Company works with its
global supply chain partners to ensure compliance with Section 1502 of the Dodd–Frank Wall Street Reformand Consumer Protection Act. The international supply chain for these minerals is complex, however, andtracing them is challenging. Many of the raw materials Avaya uses that contain conflict minerals passthrough a variety of intermediaries before reaching the Company. Avaya does not purchase directly fromthe smelters that produce the minerals. Therefore, Avaya must rely upon its suppliers to identify the sourcesof conflict minerals and to declare the conflict-mineral status of their products, as stated in Avaya’s conflictminerals policy. The Company also uses supplier information from knowledgeable sources within the
Company and online to decide on conflict minerals risk and necessary remedial action.
The Company is an affiliate member of the RBA, participates in RBA’s RMI committees, including the
Plenary, the Due Diligence Practices Team and the Mineral Reporting Template Team, and relies heavily on
the results of RMI smelter or refiner audits, which includes cross-recognized audit programs of the London
Bullion Market Association (“LBMA”) and Responsible Jewelry Council (“RJC”). The Company also relies on
guidance published by the RMI as it relates to downstream companies and incorporates the RMI CMRT, as
well as the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“DoddFrank”), the OECD Guidance and related supplements for 3TG. The three key elements of the Company’s
Conflict Minerals Program (the “Program”) are:I. Determination of Product Applicability
II. The Reasonable Country of Origin Inquiry (“RCOI”)
III. Due Diligence
I.

Determination of Product Applicability

The Company generates a list of products and parts that (1) were contracted to be manufactured for theCompany, (2) were sold by the Company in the reporting year, and (3) include 3TG. Products purchased off
the shelf from Original Equipment Manufacturers (“OEMs”), and re-sold or passed through without
modification, are excluded as the Company is not the manufacturer of those products. This list of in-scopeproducts and parts is further reviewed by comparing it against the Company’s previous year’s RCOI results.
This list is then provided to a third-party partner to conduct the Company’s RCOI. The third-party partner
works under close supervision of the Company’s Conflict Minerals Program Manager.
The Company outsources the design of some, and the manufacture of all, of its products and solutions.
Therefore, the RCOI included the Company’s EMS providers, Original Design Manufacturers and theCompany controlled suppliers ( the “suppliers”) of parts and components used in the Company designed
hardware products and parts that were sold to customers during the calendar year. Finished products and343508.00200

Exhibit 1.01

parts obtained from OEMs where the designs are not influenced by the Company (i.e., products or parts
which were purchased and included in the Company’s solutions without modification or additional
assembly) are excluded from the scope of the RCOI. The Company’s products and parts that contain 3TGs
not from recycled or scrap sources, which are in scope pursuant to Dodd-Frank requirements, consist of
gateways, routers, servers, network infrastructure equipment and endpoints.

II.

Reasonable Country of Origin Inquiry

The Company sends all in-scope suppliers a CMRT, along with educational and training materials to facilitate
their completion of the CMRT. The Company also uses the RMI RCOI Database to determine country oforigin. Suppliers who do not respond to the request to complete the CMRT are escalated to the applicableCompany Commodity Manager, who reminds them of their contractual obligation to provide thisinformation. The Company leverages information resources of the RMI, publicly available information
published by the LBMA and the RJC, as well as the resources of a third-party consultant to analyze thesupplier responses. The results of the information review are used to identify those suppliers for which
additional information and due diligence is required. The completed CMRTs and results of any assessments
are stored electronically.
III. The Company’s Due Diligence Program (the “DD Program”)
The Company’s DD Program was designed in accordance with the OECD five step framework, theinternational framework currently recognized for compliance with the Dodd-Frank conflict mineral
requirements.
Step 1: The Company’s Management System
Consistent with its environmental, health and safety (EHS) management system, the Company has
implemented a ‘Plan-Do-Check-Act’ mechanism for its Conflict Minerals processes. Specifically, The Company developed a Conflict Minerals Policy (the “Policy”) and communicates it to suppliers
during the RCOI process and during annual supplier engagement forums. This Policy sets the
expectation that direct material suppliers will “…source minerals [sic 3TG] from non-conflict regions
or, if sourced from conflict regions, … identify whether the sourcing is conflict free (i.e. not used tofund conflicts in [c]overed [c]ountries) through a reasonable due diligence program.” The policy
and the requirement to provide a CMRT is included in new Requests for Quotations and suppliercontracts. This policy is posted on the Company website at: https://www.avaya.com/en/aboutavaya/corporate-responsibility/ and is updated from time to time as needed.
 The Company developed Standard Operating Procedures that, with the Conflict Minerals Policy,
define the Company’s process for conducting the DD Program. Responsibilities rest with a crossfunctional team of subject matter experts from Supply Chain Management, Product Compliance,
Product Engineering, Research and Development, and the Environmental and Legal functions of theCompany. Legal and EHS leads the team and provides periodic updates to senior management.
 The Company is an affiliate member of the RBA and participates in RMI to leverage best practices
from other member companies, and identify and implement DD Program improvements, including
greater supply chain and customer transparency.
443508.00200

Exhibit 1.01







Controls are in place to manage and retain from year to year the documentation associated witheach RCOI and related due diligence activities.
The Company partners with suppliers to identify the sources of Conflict Minerals in the products
and parts that they provide to the Company, as indicated in the RCOI results. Suppliers are engaged
through periodic business reviews and an annual supplier forum to discuss compliancerequirements. If significant risks, such as non-conformant smelters, are identified through the DD
Program or other means, the Company retains the right to suspend trade with, or disengage from,a supplier.
The Company developed Conflict Minerals Supplier Training to instruct suppliers on how to
perform their own due diligence and how to fill out the CMRT form.
To resolve grievances that suppliers or SORs may have, the Company uses the publicly available
RMI Grievance Mechanism. Suppliers are informed of this Grievance Mechanism in the Company’s
Conflict Minerals Supplier Training. The Grievance Mechanism may be used for complaints against
the Company, the RMI, the RMI RMAP or auditors used by the RMI, or for other grievances related
to Conflict Minerals. The grievances, including corrective actions, are tracked and monitored by the
RMI. The following is a link to the Grievance Mechanism: Grievance Mechanism(responsiblemineralsinitiative.org)

Step 2: Identify and Assess Risks in the Supply Chain
The Company uses the RCOI analysis results to identify suppliers using SORs that are not engaged in an
approved validation scheme (e.g., RMAP, LBMA and the RJC) and to assess related supply chain risks.
The Company evaluates the RCOI information collected using the CMRT, including performing a quality
review of the results. If discrepancies, errors, or omissions are identified, the response for that supplieris deemed unacceptable and is returned to the supplier for correction. Approximately 79% of the
CMRTs collected for 2020 were acceptable as received or successfully corrected by the supplier andaccepted by the Company. Appropriate risk was assigned to the 21% of suppliers who did not make thecorrections requested by the Company. The Company reviewed and compared the responses withother information in the Company’s possession (in-house experts, etc.) and, where appropriate, madefurther inquiries of the relevant suppliers.
The Company follows a defined escalation process for suppliers that do not respond to the request for
CMRT data. All in-scope suppliers receive an initial CMRT request email. Those that do not timely
respond receive a first reminder, second reminder, final reminder and escalation emails as necessary.
Internal Company buyers are identified for each supplier. Any supplier not responding to the emails is
flagged to the Company buyer for further action. The Conflict Minerals Program Team meets regularly
to review data collection efforts, engaging Internal Company buyers as necessary to determine next
steps, including, where appropriate, providing negative feedback to suppliers and recommending
potential contract termination.
Based on a review of the data collected, those suppliers / SORs deemed to pose a risk to the Company’s
supply chain were addressed in Step 3 below.

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Exhibit 1.01

Step 3: Design and Implement a Strategy to Respond to Identified Risks
To address the risks in the Company’s supply chain posed by the use of RMAP non-conformant SORs,
the Company remains actively involved in the RBA and RMI, including participation in RMI committees
such as the Plenary Team, Due Diligence Processes Team and Minerals Reporting Template Team.
Participation in these RMI efforts gives the Company access to the RMI smelter auditing efforts,
thereby providing Avaya with information to assess supply chain risk from conflict minerals. The
Company works with supply chain partners to address reported non-conformant smelters, including
dis-engagement or suspension if necessary, although the Company did not find it necessary to exercise
dis-engagement or suspension in 2020. The Company also works with supply chain partners to resolve
smelters’ resistance or refusal to participate in either the RMAP list program or other approved
schemes.
Step 4: Independent third-party audit of our SORs’ due diligence practices
As a downstream user of 3TG minerals and a member of the RMI, the Company leverages informationfrom the independent third-party audits of the SORs facilitated by initiatives such as the RMI’s RMAP,LBMA and the RJC to evaluate the SORs’ practices. Over time, this effort has resulted in increasing thenumber of SORs in the Company’s supply chain that are RMAP-conformant. The Company actively
participates in RMI activities, including involvement in sub-committees and contributing possible SOR
names, to support the Company’s efforts to assess each SOR’s alignment to the OECD Guidance via the
RMAP.
Step 5: Annual Reporting on our Supply Chain Due Diligence
The Company prepares an annual report documenting its Supply Chain Due Diligence Practice activities
in accordance with the Dodd-Frank requirements. Participation in the RMI CMR Peer Review resulted in
valuable feedback which was incorporated as appropriate in the Company’s final Conflict Mineral
Report.
Reporting Period Due Diligence Results
Efforts to Determine Conflict Minerals Country of Origin and Facilities used to Process Conflict Minerals
The Company’s RCOI process and due diligence to determine the source of 3TGs in the Company’s
products is based on data collection and partnership with suppliers. The Company queried 152 suppliers
for the 2020 RCOI reporting period, of which 150 responded. The 2 that did not respond were escalated to
the Company’s Procurement team and their lack of response was considered in assessing their supply
chain risk. Although business with these 2 companies was not terminated, they were given negative
feedback through their supplier scorecard. For those that did respond, 323 unique SORs were identified asprocessing 3TGs used in the parts and/or components contained in the Company’s products. The
Company has verified that 242 of the SORs are RMAP-conformant SORs. Fifty-two (52) SORs are making
progress toward conformance, which is an improvement over 2019, when only 5 SORs were making
progress. Twenty-nine (29) SORs are in the Not Active status, which is an improvement from 2019 when
there were 50 SORs in the Not Active status.
Avaya requested company level CMRTs from its suppliers and most of responses received were provided
at the company level rather than specific to the product sold to the Company. Four percent (4%) of

643508.00200

Exhibit 1.01

suppliers have documented on their CMRT that they are unable to obtain a high response rate from their
supply chain, making it impossible to determine the complete list of smelters in the Company’s supply
chain. Although the Company pressed these suppliers to obtain more complete SOR lists, the effort was
ultimately unsuccessful. In addition, several SORs identified by the suppliers were not listed on the RMI,LBMA or RJC conformant SORs’ lists. Nor could they be confirmed through the Company’s due diligence as
actual SORs. As a result, the Company cannot determine its conflict-free status (as defined by Dodd-Frank)
at either a product or company level because it cannot confirm that the SORs identified provide acomplete picture of Conflict Minerals sourcing. Of the information that was verified, the chart below lists
the country of origin for the 3TG minerals in the Company’s products.
Country of Origin Results for 3TG in the Company’s Products
Conflict
Mineral
Gold

Tantalum

Tin

Country of Origin
Argentina, Austria, Belgium, Benin, Bolivia(Plurinational State of), Brazil, Canada, Chile,
China, Czech Republic, Colombia, Denmark,Ecuador, Eritrea, Estonia, Finland, France,
Germany, Ghana, Guinea, Guyana, Hong
Kong, Hungary, India, Indonesia, Ireland,
Italy, Japan, Jordan, Lithuania, Luxembourg,
Mali, Malta, Mauritania, Mexico, Monaco,
Netherlands, Nicaragua, Niger, Norway,
Panama, Peru, Philippines, Poland, Romania,
Russian Federation, Rwanda, Saudi Arabia,
Singapore, Slovakia, South Africa, South
Korea, Swaziland, Sweden, Switzerland,
Taiwan, Tanzania, Thailand, Togo, Turkey,
Uganda, United Arab Emirates, United
Kingdom
Australia, Austria, Belarus, Bolivia, Brazil,
Burundi, China, Colombia, Democratic
Republic of Congo, Ethiopia, France,
Germany, Guinea, India, Indonesia, Ireland,Israel, Japan, Madagascar, Malaysia,
Mozambique, Namibia, Nigeria, RussianFederation, Rwanda, Sierra Leone,
Somaliland, Spain, Switzerland, Thailand,
United States of America, Zimbabwe
Angola, Australia, Austria, Belarus, Belgium,
Benin, Bolivia (Plurinational State of), Brazil,
Burundi, Canada, Chile, China, Colombia,
Croatia, Czech Republic, Denmark,
Democratic Republic of Congo, Egypt, El
Salvador, Estonia, France, Gabon, Germany,
Guinea, Hong Kong, Hungary, India,
Indonesia, Israel, Italy, Japan, Kazakhstan,

7
43508.00200

Notes

The reported tantalum from the DRC andother covered countries came from 12
Smelters all of which have been audited
and validated as "conformant" by the
Responsible Mineral Initiative (“RMI”),
which is internationally recognized for
managing an independent third-party
assessment program in line with the OECD
Guidance.*
The reported tin from the DRC and othercovered countries came from 3 smelters allof which have been audited and validated
as "compliant" by the RMI, which isinternationally recognized for managing an
independent third-party assessment
program in line with the OECD Guidance.*

Exhibit 1.01

Conflict
MineralTungsten

Country of Origin
Laos, Lebanon, Malaysia, Mexico, Mongolia,
Morocco, Myanmar, Netherlands, New
Zealand, Nigeria, Pakistan, Peru, Philippines,
Portugal, Qatar, Russian Federation,
Rwanda, Saudi Arabia, Senegal, Singapore,
Slovakia, Slovenia, South Africa, South Korea,
Spain, Sudan, Switzerland, Taiwan, Tanzania,
Thailand, Togo, Tunisia, Turkey, Uganda,
Ukraine, United Arab Emirates, United
Kingdom, United States of America,
Venezuela, Vietnam, Yemen
Austria, Australia, Belgium, Bolivia, Brazil,
Burundi, Canada, China, Colombia, Czech
Republic, Democratic Republic of Congo,
France, Germany, Guinea, Hong Kong,
Indonesia, Japan, Laos, Latvia, Malaysia,
Mongolia, Myanmar, Nigeria, Peru, Portugal,
Russian Federation, Rwanda, Spain, Taiwan,
Thailand, Uganda, United Arab Emirates,
United Kingdom, United States of America,
Uzbekistan, Vietnam

Notes

The reported tungsten from the DRC camefrom 2 Smelters all of which have been
audited and validated as "conformant" by
the RMI, which is internationally recognized
for managing an independent third-party
assessment program in line with the OECD
Guidance. **Note: SORs who receive minerals from the DRC and adjoining countries, i.e. covered countries, can still
be declared conformant to the RMAP process.
The 323 SORs identified by the Company’s in-scope suppliers, the minerals processed, and theirclassification regarding the RMAP list, the LBMA and the RJC, are provided in the table included as
Appendix A to this Report. A graphical depiction of the 2020 RCOI and due diligence results is provided in
Figure 1 as compared to the 2019 results in Figure 2. The validation classifications of the SORs reported in
the graphs (Figures 1 and 2) are defined as follows: Conformant - These are RMAP-conformant SORs, having passed the RMI RMAP audit.
 RMAP Active - These are smelters that have committed to undergoing a RMAP audit or
preparing for an audit.
 Not Active - These are smelters that are neither Conformant nor RMAP Active.

843508.00200

Exhibit 1.01

Figure 1- 2020 Results
Mineral

Gold

Tantalum

Tin

Tungsten

Total

Conformant

107

38

55

42

242

RMAP Active

29

0

16

6

51

Not Active

4

0

22

4

30

Total

140

38

93

52

323

Figure 2 – 2019 Results
Mineral

Gold

Tantalum

Tin

Tungsten

Total

Conformant

105

39

77

43

264

RMAP Active

1

1

1

2

5

Not Active

37

0

10

3

50

Total

143

40

88

48

319

Future Plans to Mitigate Conflict Minerals Sourcing Risk
To help mitigate the risk of potentially sourcing Conflict Minerals from suppliers who do not have OECDaligned due diligence measures in place, Avaya will: Perform the RCOI process by December of the calendar year to allow additional time forsupplier engagement and due diligence.

943508.00200

Exhibit 1.01

Continue to require completion of the CMRT in applicable Requests for Quote (“RFQ”) and fromapplicable new suppliers upon award of contract (if not provided as part of an RFQ).
Identify suppliers that may, based on past performance, need additional due diligence in the
future.

In addition, for those SORs that cannot be verified as SORs using the RMI SOR Database, Avaya will:

Ask suppliers to find out who the true SOR is or provide proof that the listed SOR is a SOR.
Send a list of the un-recognized SORs to the RMI for evaluation and possible action.

In addition, for those SORs who are in the RMI SOR Database but who refuse to cooperate with the RMI
RMAP, Avaya will:

Ask the supplier to contact the SOR and encourage the SOR to pursue RMAP conformance
auditing.

Forward-Looking Statements
This document contains certain “forward-looking statements.” All statements other than statements ofhistorical fact are “forward-looking” statements for purposes of the U.S. federal and state securities laws.
These statements may be identified by the use of forward looking terminology such as "anticipate,""believe," "continue," "could," "estimate," "expect," "intend," "may," "might," “our vision,” "plan,""potential," "preliminary," "predict," "should," "will," or “would” or the negative thereof or othervariations thereof or comparable terminology. The Company has based these forward-looking statementson its current expectations, assumptions, estimates and projections. While the Company believes these
expectations, assumptions, estimates and projections are reasonable, such forward-looking statements
are only predictions and involve known and unknown risks and uncertainties, many of which are beyond
its control. These factors are discussed in the Company's Annual Report on Form 10-K, subsequent
Quarterly Reports on Form 10-Q and Current Reports on Form 8-K filed with the SEC and may cause its
actual results, performance or achievements to differ materially from any future results, performance or
achievements expressed or implied by these forward-looking statements. For a further list and descriptionof such risks and uncertainties, please refer to the Company’s filings with the SEC that are available atwww.sec.gov. The Company cautions you that the list of important factors included in the Company’s SEC
filings may not contain all of the material factors that are important to you. In addition, in light of theserisks and uncertainties, the matters referred to in the forward-looking statements contained in this report
may not in fact occur. The Company undertakes no obligation to publicly update or revise any forwardlooking statement as a result of new information, future events or otherwise, except as otherwise
required by law.

1043508.00200

Exhibit 1.01

APPENDIX A
List of Reported Smelters/Refiners Facilities Processing Minerals Used in the Company’s Products as
Confirmed by the Responsible Minerals Initiative (RMI) Lists
NumberMetal

Smelter Name

Smelter Id

Remarks

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18

Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold

CID002763
CID002708
CID000015
CID002030
CID000019
CID002560
CID000035
CID000041
CID000058
CID000077
CID000082
CID000924
CID000920
CID000090
CID000103
CID002850
CID000113
CID002863

Conformant
ActiveConformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
ActiveConformant
Conformant
Conformant

19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36

Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold

8853 S.p.A.
Abington Reldan Metals, LLC
Advanced Chemical Company
AGR Mathey
Aida Chemical Industries Co., Ltd.
Al Etihad Gold Refinery DMCC
Allgemeine Gold-und Silberscheideanstalt A.G.
Almalyk Mining and Metallurgical Complex (AMMC)
AngloGold Ashanti Corrego do Sitio Mineracao
Argor-Heraeus S.A.
Asahi Pretec Corp.
Asahi Refining Canada Ltd.
Asahi Refining USA Inc.
Asaka Riken Co., Ltd.
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
AU Traders and Refiners
Aurubis AG
Bangalore Refinery
Bangko Sentral ng Pilipinas (Central Bank of thePhilippines)
Boliden AB
C. Hafner GmbH + Co. KG
CaridadCCR Refinery - Glencore Canada Corporation
Cendres + M?taux SA
Chimet S.p.A.
Chugai Mining
Daye Non-Ferrous Metals Mining Ltd.
Degussa Sonne / Mond Goldhandel GmbH
DoducoDowa
DS PRETECH Co., Ltd.
DSC (Do Sung Corporation)
Eco-System Recycling Co., Ltd.
Eco-System Recycling Co., Ltd. North Plant
Eco-System Recycling Co., Ltd. West Plant
Emirates Gold DMCC

CID000128
CID000157
CID000176
CID000180
CID000185
CID000189
CID000233
CID000264
CID000343
CID002867
CID000362
CID000401
CID003195
CID000359
CID000425
CID003424
CID003425
CID002561

Conformant
Conformant
Conformant
Not Active
Conformant
Conformant
Conformant
Conformant
ActiveActiveConformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant

Appendix page 1

Exhibit 1.01

APPENDIX A
NumberMetal

Smelter Name

Smelter Id

Remarks

37
38
39
40
41

Gold
Gold
Gold
Gold
Gold

CID002243
CID002852
CID002459
CID001909
CID002312

Conformant
ActiveConformant
ActiveActive

42
43
44
45
46
47
48
49
50

Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold

CID000651
CID000671
CID000689
CID000694
CID000711
CID000707
CID000767
CID000773
CID000778

ActiveActiveConformant
Conformant
ActiveConformant
ActiveActiveNot Active

51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75

Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold

Fujian Zijin mining stock company gold smelter
GCC Gujrat Gold Centre Pvt. Ltd.
Geib Refining Corporation
Great Wall Precious Metals Co., Ltd. of CBPM
Guangdong Jinding Gold Limited
Guoda Safina High-Tech Environmental Refinery Co.,Ltd.
Hangzhou Fuchunjiang Smelting Co., Ltd.
HeeSung Metal Ltd.
Heimerle + Meule GmbH
Heraeus Germany GmbH Co. KG
Heraeus Ltd. Hong Kong
Hunan Chenzhou Mining Co., Ltd.
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
HwaSeong CJ CO., LTD.
Inner Mongolia Qiankun Gold and Silver Refinery
Share Co., Ltd.
Ishifuku Metal Industry Co., Ltd.
Istanbul Gold Refinery
Italpreziosi
Japan Mint
Jiangxi Copper Co., Ltd.
JSC Novosibirsk Refinery
JSC Uralelectromed
JX Nippon Mining & Metals Co., Ltd.
Kazakhmys Smelting LLC
Kazzinc
Kennecott Utah Copper LLC
KGHM Polska Miedz Spolka Akcyjna
Kojima Chemicals Co., Ltd.
Korea Zinc Co., Ltd.
Kyrgyzaltyn JSC
Kyshtym Copper-Electrolytic Plant ZAO
L'azurde Company For Jewelry
Lingbao Gold Co., Ltd.
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
L'Orfebre S.A.
LS-NIKKO Copper Inc.
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
Marsam Metals
Materion

CID000801
CID000807
CID000814
CID002765
CID000823
CID000855
CID000493
CID000929
CID000937
CID000956
CID000957
CID000969
CID002511
CID000981
CID002605
CID001029
CID002865
CID001032
CID001056
CID001058
CID002762
CID001078
CID001093
CID002606
CID001113

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
ActiveConformant
Conformant
Conformant
Conformant
Conformant
Conformant
ActiveActiveActiveActiveConformant
Conformant
ActiveConformant
Conformant

Appendix page 2

Exhibit 1.01

APPENDIX A
NumberMetal

Smelter Name

Smelter Id

Remarks

76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91

Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold

CID001119
CID001161
CID001149
CID001152
CID001147
CID001153
CID001157
CID001188
CID001193
CID002509
CID002282
CID001204
CID001220
CID001236
CID003189
CID001259

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Not Active
Conformant
Conformant
Conformant
ActiveConformant

92
93

Gold
Gold

CID002779
CID001325

Conformant
Conformant

94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114

Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold

Matsuda Sangyo Co., Ltd.
Metal?rgica Met-Mex Pe?oles, S.A. de C.V
Metalor Technologies (Hong Kong) Ltd.
Metalor Technologies (Singapore) Pte., Ltd.
Metalor Technologies (Suzhou) Ltd.
Metalor Technologies S.A.
Metalor USA Refining Corporation
Mitsubishi Materials Corporation
Mitsui Mining and Smelting Co., Ltd.
MMTC-PAMP India Pvt., Ltd.
Morris and Watson
Moscow Special Alloys Processing Plant
Nadir Metal Rafineri San. Ve Tic. A.S.
Navoi Mining and Metallurgical Combinat
NH Recytech Company
Nihon Material Co., Ltd.
Ogussa Osterreichische Gold- und SilberScheideanstalt GmbH
Ohura Precious Metal Industry Co., Ltd.
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals
Plant" (OJSC Krastsvetmet)
PAMP S.A.
Pease & Curren
Penglai Penggang Gold Industry Co., Ltd.
Planta Recuperadora de Metales SpA
Prioksky Plant of Non-Ferrous Metals
PT Aneka Tambang (Persero) Tbk
PX Precinox S.A.
QG Refining, LLC
Rand Refinery (Pty) Ltd.
Refinery of Seemine Gold Co., Ltd.
Remondis Argentia B.V.
Royal Canadian Mint
SAAMP
Sabin Metal Corp.
Safimet S.p.A
SAFINA A.S.
Sai Refinery
Samduck Precious Metals
Samwon Metals Corp.
SAXONIA Edelmetalle GmbH

CID001326
CID001352
CID002872
CID001362
CID002919
CID001386
CID001397
CID001498
CID003324
CID001512
CID000522
CID002582
CID001534
CID002761
CID001546
CID002973
CID002290
CID002853
CID001555
CID001562
CID002777

Conformant
Conformant
ActiveActiveConformant
Conformant
Conformant
Conformant
ActiveConformant
ActiveConformant
Conformant
Conformant
ActiveConformant
Conformant
ActiveConformant
Not Active
Conformant

Appendix page 3

Exhibit 1.01

APPENDIX A
NumberMetal

Smelter Name

Smelter Id

Remarks

115
116

Gold
Gold

CID001585
CID001916

Conformant
Conformant

117
118
119
120

Gold
Gold
Gold
Gold

CID001619
CID001622
CID001736
CID002516

ActiveConformant
Conformant
Conformant

121
122

Gold
Gold

CID001756
CID001761

Conformant
Conformant

123
124
125
126
127
128
129
130
131
132
133
134
135
136
137
138
139

Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold

CID003153
CID001798
CID002918
CID002580
CID001875
CID001938
CID001947
CID002615
CID001955
CID002314
CID001980
CID001993
CID002003
CID002778
CID002100
CID002129
CID000197

ActiveConformant
Conformant
Conformant
Conformant
Conformant
ActiveConformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Active

140
141
142
143
144
145
146
147
148
149
150
151
152

Gold
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum

SEMPSA Joyeria Plateria S.A.
Shandong Gold Smelting Co., Ltd.
Shandong Tiancheng Biological Gold Industrial Co.,Ltd.
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
Sichuan Tianze Precious Metals Co., Ltd.
Singway Technology Co., Ltd.
SOE Shyolkovsky Factory of Secondary Precious
MetalsSolar Applied Materials Technology Corp.
State Research Institute Center for Physical Sciences
and Technology
Sumitomo Metal Mining Co., Ltd.
SungEel HiMetal Co., Ltd.
T.C.A S.p.A
Tanaka Kikinzoku Kogyo K.K.
Tokuriki Honten Co., Ltd.
Tongling Nonferrous Metals Group Co., Ltd.
TOO Tau-Ken-Altyn
TorecomUmicore Precious Metals Thailand
Umicore S.A. Business Unit Precious Metals Refining
United Precious Metal Refining, Inc.
Valcambi S.A.
WIELAND Edelmetalle GmbH
Yamakin Co., Ltd.
Yokohama Metal Co., Ltd.
Yunnan Copper Industry Co., Ltd.
Zhongyuan Gold Smelter of Zhongjin Gold
Corporation
Asaka Riken Co., Ltd.
Changsha South Tantalum Niobium Co., Ltd.
Conghua Tantalum and Niobium Smeltry
Exotech Inc.
F&X Electro-Materials Ltd.
Guangdong Zhiyuan New Material Co., Ltd.
JiuJiang JinXin Nonferrous Metals Co., Ltd.
Jiujiang Tanbre Co., Ltd.
LSM Brasil S.A.
Metallurgical Products India Pvt., Ltd.
Mineração Taboca S.A.
Mitsui Mining and Smelting Co., Ltd.

CID002224
CID000092
CID000211
CID000291
CID000456
CID000460
CID000616
CID000914
CID000917
CID001076
CID001163
CID001175
CID001192

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant

Appendix page 4

Exhibit 1.01

APPENDIX A
NumberMetal

Smelter Name

Smelter Id

Remarks

153
154
155
156
157
158
159
160
161
162
163
164
165
166
167
168
169
170
171
172
173
174
175
176
177
178
179
180
181
182
183
184
185
186
187
188
189
190
191
192
193

Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tantalum
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin

Molycorp Silmet A.S.
Ningxia Orient Tantalum Industry Co., Ltd.
QuantumClean
RFH Tantalum Smeltry Co., Ltd.
Solikamsk Magnesium Works OAOTaki Chemical Co., Ltd.
Telex Metals
Ulba Metallurgical Plant JSC
Hengyang King Xing Lifeng New Materials Co., Ltd.
D Block Metals, LLC
FIR Metals & Resource Ltd.
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
XinXing HaoRong Electronic Material Co., Ltd.
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
KEMET Blue Metals
H.C. Starck Co., Ltd.
H.C. Starck GmbH Goslar
H.C. Starck Hermsdorf GmbH
H.C. Starck Inc.
H.C. Starck Ltd.
H.C. Starck Smelting GmbH & Co. KG
Global Advanced Metals Boyertown
Global Advanced Metals Aizu
Resind Indústria e Comércio Ltda.
Jiangxi Tuohong New Raw Material
Power Resources Ltd.
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CNMC (Guangxi) PGMA Co., Ltd.
Alpha
CV Gita Pesona
CV Nurjanah
CV Serumpun Sebalai
CV United Smelting
Dowa
EM Vinto
Estanho de Rondônia S.A.
Fenix Metals
Gejiu Non-Ferrous Metal Processing Co., Ltd.
Gejiu Zili Mining And Metallurgy Co., Ltd.
Huichang Jinshunda Tin Co., Ltd.
Gejiu Kai Meng Industry and Trade LLC

CID001200
CID001277
CID001508
CID001522
CID001769
CID001869
CID001891
CID001969
CID002492
CID002504
CID002505
CID002506
CID002508
CID002512
CID002539
CID002544
CID002545
CID002547
CID002548
CID002549
CID002550
CID002557
CID002558
CID002707
CID002842
CID002847
CID000228
CID000278
CID000292
CID000306
CID000309
CID000313
CID000315
CID000402
CID000438
CID000448
CID000468
CID000538
CID000555
CID000760
CID000942

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Not Active
Conformant
Not Active
ActiveNot Active
Not Active
Conformant
Conformant
ActiveConformant
Conformant
Conformant
Conformant
Conformant

Appendix page 5

Exhibit 1.01

APPENDIX A
Number

Metal

194
195
196
197
198
199
200
201
202
203
204
205
206
207
208
209
210
211
212
213
214
215
216
217
218
219
220

Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin

221
222
223
224
225
226
227
228
229
230
231
232
233

Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin

Appendix page 6

Smelter Name
China Tin Group Co., Ltd.
Malaysia Smelting Corporation (MSC)
Metallic Resources, Inc.
Mineracao Taboca S.A.
MinsurMitsubishi Materials Corporation
Jiangxi Nanshan
Novosibirsk Processing Plant Ltd.
O.M. Manufacturing (Thailand) Co., Ltd.
OMSAPT Artha Cipta Langgeng
PT Babel Inti Perkasa
PT Babel Surya Alam Lestari
PT Bangka Tin Industry
PT Belitung Industri Sejahtera
Brand IMLIPT DS Jaya Abadi
PT Eunindo Usaha Mandiri
PT Karimun Mining
PT Mitra Stania Prima
PT Panca Mega Persada
PT Prima Timah Utama
PT Refined Bangka Tin
PT Sariwiguna Binasentosa
PT Stanindo Inti Perkasa
PT Sumber Jaya Indah
Kundur Smelter
INDONESIAN STATE TIN CORPORATION MENTOKSMELTERPT Tinindo Inter Nusa
PT Tommy Utama
Rui Da Hung
Soft Metais Ltda.
Thaisarco
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
VQB Mineral and Trading Group JSC
White Solder Metalurgia e Mineração Ltda.
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
Yunnan Tin Company Limited
CV Venus Inti Perkasa
Magnu's Minerais Metais e Ligas Ltda.

Smelter Id

Remarks

CID001070
CID001105
CID001142
CID001173
CID001182
CID001191
CID001231
CID001305
CID001314
CID001337
CID001399
CID001402
CID001406
CID001419
CID001421
CID001428
CID001434
CID001438
CID001448
CID001453
CID001457
CID001458
CID001460
CID001463
CID001468
CID001471
CID001477

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
ActiveConformant
Conformant
Conformant
Conformant
Conformant
Not Active
Not Active
Not Active
Not Active
Not Active
Not Active
Conformant
Not Active
Conformant
Conformant
Not Active
Conformant
Not Active
Conformant

CID001482
CID001490
CID001493
CID001539
CID001758
CID001898
CID001908
CID002015
CID002036
CID002158
CID002180
CID002455
CID002468

Conformant
Conformant
Not Active
Conformant
Conformant
Conformant
Conformant
ActiveConformant
Conformant
Conformant
ActiveConformant

Exhibit 1.01

APPENDIX A
NumberMetal

Smelter Name

Smelter Id

Remarks

234
235
236
237
238
239

Tin
Tin
Tin
Tin
Tin
Tin

CID002478
CID002500
CID002503
CID002517
CID002530
CID002570

Not Active
Conformant
Conformant
Conformant
Not Active
Not Active

240
241

Tin
Tin

CID002572
CID002573

ActiveActive

242
243
244
245
246
247
248
249
250
251
252
253
254
255
256
257
258
259
260
261
262
263
264

Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tin

CID002574
CID002592
CID002593
CID002703
CID002706
CID002756
CID002757
CID002773
CID002774
CID002776
CID002816
CID002829
CID002834
CID002835
CID002844
CID002848
CID002858
CID002870
CID003116
CID003190
CID003205
CID003208
CID003325

ActiveNot Active
Conformant
ActiveConformant
ActiveNot Active
Conformant
Conformant
Not Active
Not Active
Not Active
Conformant
Conformant
Conformant
Conformant
ActiveActiveConformant
Conformant
Conformant
ActiveConformant

265
266
267
268
269
270
271
272

Tin
Tin
Tin
Tin
Tin
Tin
Tin
Tungsten

PT Tirus Putra Mandiri
Melt Metais e Ligas S.A.
PT ATD Makmur Mandiri Jaya
O.M. Manufacturing Philippines, Inc.
PT Inti Stania Prima
CV Ayi Jaya
Electro-Mechanical Facility of the Cao Bang Minerals& Metallurgy Joint Stock Company
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Tuyen Quang Non-Ferrous Metals Joint Stock
Company
CV Dua Sekawan
CV Tiga Sekawan
An Vinh Joint Stock Mineral Processing Company
Resind Indústria e Comércio Ltda.
Super Ligas
PT O.M. Indonesia
Metallo-Chimique N.V.
Elmet S.L.U.
PT Bangka Prima Tin
PT Sukses Inti Makmur
PT Kijang Jaya Mandiri
Thai Nguyen Mining and Metallurgy Co., Ltd.
PT Menara Cipta Mulia
HuiChang Hill Tin Industry Co., Ltd.
Gejiu Fengming Metallurgy Chemical Plant
Modeltech Sdn Bhd
PT Lautan Harmonis Sejahtera
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
Chifeng Dajingzi Tin Industry Co., Ltd.
PT Bangka Serumpun
Pongpipat Company Limited
Tin Technology & Refining
Dongguan CiEXPO Environmental Engineering Co.,Ltd.
Ma'anshan Weitai Tin Co., Ltd.
PT Rajawali Rimba Perkasa
Luna Smelter, Ltd.
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
Precious Minerals and Smelting Limited
Gejiu City Fuxiang Industry and Trade Co., Ltd.
A.L.M.T. TUNGSTEN Corp.

CID003356
CID003379
CID003381
CID003387
CID003397
CID003409
CID003410
CID000004

ActiveConformant
Conformant
Conformant
Conformant
ActiveActiveConformant

Appendix page 7

Exhibit 1.01

APPENDIX A
NumberMetal

Smelter Name

Smelter Id

Remarks

273
274
275
276
277
278
279
280
281
282
283
284
285

TungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungsten

CID000105
CID000218
CID000258
CID000281
CID000568
CID000766
CID000769
CID000825
CID000875
CID000966
CID001889
CID002044
CID002082

Conformant
Conformant
Conformant
ActiveConformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant

286
287
288
289

TungstenTungstenTungstenTungsten

CID002313
CID002315
CID002316
CID002317

Not Active
Conformant
Conformant
Conformant

290
291
292
293
294
295
296
297
298
299

TungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungsten

CID002318
CID002319
CID002320
CID002321
CID002494
CID002502
CID002513
CID002535
CID002541
CID002542

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Not Active
Conformant
Conformant

300
301
302
303
304
305
306
307
308

TungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungsten

CID002543
CID002551
CID002579
CID002589
CID002641
CID002645
CID002647
CID002649
CID002724

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Not Active
Conformant
Conformant

309
310

TungstenTungsten

Kennametal Huntsville
Guangdong Xianglu Tungsten Co., Ltd.
Chongyi Zhangyuan Tungsten Co., Ltd.
CNMC (Guangxi) PGMA Co., Ltd.
Global Tungsten & Powders Corp.
Hunan Chenzhou Mining Co., Ltd.
Hunan Chunchang Nonferrous Metals Co., Ltd.
Japan New Metals Co., Ltd.
Ganzhou Huaxing Tungsten Products Co., Ltd.
Kennametal Fallon
Tejing (Vietnam) Tungsten Co., Ltd.
WBH
Xiamen Tungsten Co., Ltd.
Jiangxi Minmetals Gao'an Non-ferrous Metals Co.,Ltd.
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
Jiangxi Yaosheng Tungsten Co., Ltd.
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Jiangxi Tonggu Non-ferrous Metallurgical & ChemicalCo., Ltd.
Malipo Haiyu Tungsten Co., Ltd.
Xiamen Tungsten (H.C.) Co., Ltd.
Jiangxi Gan Bei Tungsten Co., Ltd.
Ganzhou Seadragon W & Mo Co., Ltd.
Asia Tungsten Products Vietnam Ltd.
Chenzhou Diamond Tungsten Products Co., Ltd.
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
H.C. Starck GmbH
H.C. Starck Smelting GmbH & Co.KG
Nui Phao H.C. Starck Tungsten Chemicals
Manufacturing LLC
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
Niagara Refining LLC
China Molybdenum Co., Ltd.
Ganzhou Haichuang Tungsten Co., Ltd.
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
Hydrometallurg, JSC
Unecha Refractory metals plant
South-East Nonferrous Metal Company Limited ofHengyang City
Philippine Chuangxin Industrial Co., Inc.

CID002815
CID002827

Not Active
Conformant

Appendix page 8

Exhibit 1.01

APPENDIX A
Number

Metal

311
312
313
314
315
316
317
318
319
320
321

TungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungstenTungsten322
323

TungstenTungsten

Appendix page 9

Smelter Name
Xinfeng Huarui Tungsten & Molybdenum New
Material Co., Ltd.
ACL Metais Eireli
Woltech Korea Co., Ltd.
Moliren Ltd
Hunan Litian Tungsten Industry Co., Ltd.
KGETS Co., Ltd.
Fujian Ganmin RareMetal Co., Ltd.
Lianyou Metals Co., Ltd.
JSC "Kirovgrad Hard Alloys Plant"
NPP Tyazhmetprom LLC
GEM Co., Ltd.
Albasteel Industria e Comercio de Ligas Para
Fundicao Ltd.
Cronimet Brasil Ltda

Smelter Id

Remarks

CID002830
CID002833
CID002843
CID002845
CID003182
CID003388
CID003401
CID003407
CID003408
CID003416
CID003417

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
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CID003427
CID003468

ActiveActive