Exhibit 1.01

2019 Avaya Holdings Corp. Conflict Minerals Report
Reporting period: January 1, 2019 to December 31, 2019
The Conflict Minerals Report (the “Report”) is publicly available on the Company’s website at:https://www.avaya.com/en/about-avaya/corporate-responsibility.
Exhibit 1.01
Avaya Holdings Corp. is providing this Report for the reporting period from January 1 to December 31, 2019.
This Report is designed to provide the information required by 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 the functionality or production of amanufactured product. Conflict minerals are identified as columbite-tantalite (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 refer to Avaya Holdings Corp., a
Delaware corporation, and its consolidated subsidiaries taken as a whole, unless the context otherwise
indicates.
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”), making it challenging to identify
each of its source mines given the size of the Company’s supply chain and the Company’s lack of direct
relationships with the mines and/or the smelters and refiners (the “SOR”) providing the minerals. The
Company is reliant on industry initiatives (principally, the Responsible Minerals Initiative or “RMI”),
manufacturing partners and parts vendors with whom the Company has direct relationships with todetermine the source of the Conflict Minerals in the Company’s products. The Company utilizes RCOI data
provided by the RMI. The Company also relies on the RMI to audit SORs for conformance to the Responsible
Minerals Assurance Process (“RMAP”). This Report summarizes the Company’s process to identify and assess
products contracted by the Company for manufacture by EMS partners that were sold during the relevant
reporting period and contained 3TG.
Executive Summary of the 2019 Conflict Minerals Program
The Company performed an RCOI on the portion of its supply chain which provided products and partscontaining 3TGs to determine the source of the 3TGs in such products and parts sold during the relevant
reporting period. Ninety-six percent (96%) of such suppliers responded. The results from the Conflict
Minerals Reporting Template (“CMRT”) returned by the suppliers showed 360 total SORs involved in the
Company’s supply chain. Of the 360 SORs, 317 (plus two more that are not on the RMI drop down list but
are conformant) could be found on the Standard Smelter List of the RMAP. These 319 SORs (listed inAppendix A) are either “conformant” (264), “active” (5) or “not active” (50). “Conformant” means that the1

43508.00200

Exhibit 1.01

SOR has successfully passed an audit in accordance with the RMAP process. “Active” means the SOR is
working with the RMI to complete the RMAP. “Not Active” means the SOR is not working with the RMI tobecome conformant. The other 41 SORs could not be found on the RMAP list and thus are considered “notactive” and “not an eligible SOR” for RMAP conformance. The RMAP list of conformant and eligible SORs is
produced by the RMI of the Responsible Business Alliance (“RBA”) and it identifies SORs which are eligible
processors and some of which have been found to be conformant to the RMAP standards. 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. This category of 41 SORs not found in the
RMAP list, require additional due diligence with the Company’s direct Suppliers to determine the actual
SORs that performed the mineral processing.
The Company cannot be certain about the origin of the Conflict Minerals used by smelters or entities thatare not listed as RMAP-conformant SORs. The Company has partnered with Suppliers to obtain more
information to determine the status of these smelters and entities. Notwithstanding that the Company was
unable to confirm the source of some of the 3TGs used in its products, no independent private sector audit
was performed of the Company’s due diligence processes this year.
Avaya Company Overview
Avaya Holdings Corp. (the “Parent” or “Avaya Holdings”), together with its consolidated subsidiaries(collectively, the “Company” or “Avaya”), is a global leader in digital communications products, solutions andservices for businesses of all sizes. The Company builds open, converged and innovative solutions toenhance 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 planningand design, to seamless implementation and integration, to ongoing managed operations, optimization,
training and support. Currently, the Company manages its business operations in two segments, Products &Solutions and Services. The Company sells directly through its worldwide sales force and indirectly throughits global network of channel partners, including distributors, service providers, dealers, value-added sellers,
system integrators and business partners that provide sales and services support.
The Company outsources the design of some, and the manufacture of all, of its products and solutions.
The Company business has two operating segments: Products & Solutions and Services.
••

Avaya Products & Solutions primarily develops, markets, and sells unified communications andcontact 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.
Avaya Services develops, markets and sells comprehensive end-to-end global service offerings thatenable customers to evaluate, plan, design, implement, monitor, manage and optimize evencomplex enterprise communications networks.

The Company’s Conflict Minerals Program Overview
Avaya’s Conflict Minerals Program (hereinafter referred to as the “Program”) is one element of theCompany’s broader human rights policies and programs. The Company is an affiliate member of the RBA
and participates in the RBA’s RMI committees, such as the Plenary, the Due Diligence Practices Team andthe Mineral Reporting Template Team and uses the results and data from RMI smelter or refiner audits,
243508.00200

Exhibit 1.01

which includes cross-recognized audit programs such as from the London Bullion Market Association(“LBMA”) and the Responsible Jewelry Council (“RJC”). The Company also uses 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 (“Dodd-Frank”), the OECD Guidance andrelated Supplements for tantalum, tin, tungsten and gold, into its Program. As further described below,
three key elements of the Program are:I. Determination of Product Applicability
II. The Reasonable Country of Origin Inquiry (RCOI)
III. Due Diligence
I.

Determination of Product Applicability

Each year, the Company creates a list of products and parts which it sold in the reporting calendar year thatwere contracted to be manufactured for the Company and that include 3TG. Products purchased off the
shelf from Original Equipment Manufacturers (“OEMs”), and re-sold or passed through without
modification, were excluded as the Company is not the manufacturer of those products. This list of in-scopeproducts and parts, i.e. those products and parts which the Company contracted to be manufactured andcontain 3TG, which was refined by assessing it against the Company’s previous year’s RCOI results, wasprovided 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.
II.

Reasonable Country of Origin Inquiry

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 (“ODMs”) andthe Company controlled suppliers (collectively with the EMS providers and the ODMs, the “Suppliers”) ofparts and components used in the Company designed hardware products and parts that were sold tocustomers during calendar year 2019. Finished products and parts obtained from OEMs where the designs
were 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) were excluded from the scope of the
RCOI. The Company products and parts identified as containing the 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. As mentioned above, the Company’s RCOI was conducted using
the CMRT, which was provided to in-scope Suppliers, along with educational materials and training tofacilitate their completion of the CMRT. The Company also used the RMI RCOI Database to determine
country of origin. Suppliers who did not respond to the request to complete the CMRT were escalated to theapplicable Avaya Commodity Manager, who reminded them of their contractual obligation to provide thisinformation. In addition, the Company leveraged information resources of the RMI, publicly available
information published by the London Bullion Market Association and the Responsible Jewelry Council, as
well as the resources of a third-party consultant to analyze the Supplier responses. The results of theinformation review were used to identify those Suppliers for which additional information and due diligence
was required. The results of the assessments and the collected CMRTs were electronically stored.
III. The Company’s Due Diligence Program (the “DD Program”)

343508.00200

Exhibit 1.01

The Company’s DD Program was designed in accordance with the OECD five step framework, which is theinternational framework currently recognized for compliance with the Dodd-Frank requirements.
Step 1: The Company’s Management System
For its DD Program, the Company has adopted a management system similar in nature to theCompany’s Quality and Environmental Management systems by implementing a ‘Plan-Do-Check-Act’mechanism for its Conflict Minerals processes. Under the DD Program, the Company has undertaken
the following actions:• The Company developed a Conflict Minerals Policy and communicated 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, to identify whether the sourcing is conflict free (i.e. not used to fund conflictsin Covered Countries) through a reasonable due diligence program.” The policy and therequirement to provide a CMRT is included in new Requests for Quotations and supplier contracts.
This policy is posted on the Company website at https://www.avaya.com/en/documents/conflictminerals-policy-2018.pdf, and is updated from time to time as needed. The Company also
developed Standard Operating Procedures (“SOPs”) that, with the Conflict Minerals Policy, define
the Company’s process for conducting the DD Program. A cross-functional team of subject matter
experts was assembled from Supply Chain Management, Product Compliance, Product Engineering,Research and Development, and the Environmental and Legal functions of the Company. Supply
Chain Management leads the team and provides periodic updates to senior management.
• The Company is a member of the RBA and participates in RMI as a member, which allowed theCompany to learn from other companies and their Conflict Minerals plans and processes. This has
led to DD Program improvements, including greater supply chain and customer transparency.
• The Company continued to implement its document control program to manage and retain fromyear to year the documentation associated with each RCOI and related Due Diligence activities.
• The Company partnered 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 were also
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, then it could ultimately cause the Company to suspend trade with, or
disengage from, a Supplier.
• The Company developed Conflict Minerals Vendor Training to instruct Suppliers on how to performtheir 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 Vendor Training. The Grievance Mechanism may be used for complaints against theCompany, the RMI, the RMI RMAP or auditors used by the RMI, or for other grievances related toConflict Minerals. The grievances, including corrective actions, are tracked and monitored by the RMI.
The following is a link to the Grievance Mechanism:
http://www.responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievancemechanism

443508.00200

Exhibit 1.01

Step 2: Identify and Assess Risks in the Supply Chain
The Company used the RCOI analysis results to identify Suppliers using SORs that are not engaged in an
approved validation scheme (e.g., RMAP, London Bullion Market Association and the Responsible
Jewelry Council) and to assess related supply chain risks.
The Company evaluated the RCOI information collected using the CMRT, including performing a quality
review of the results. If discrepancies, errors or omissions were identified, the response for that vendor
was deemed unacceptable and was returned for correction by the vendor. Approximately 64% of the
CMRTs collected were acceptable as received or successfully corrected by the vendor and accepted by
the Company. Appropriate risk was assigned to the 36% of vendors who did not make the corrections
requested by the Company. The Company reviewed and compared the responses with otherinformation in the Company’s possession (in-Company experts, etc.) and, where appropriate, madefurther inquiries of the Company’s vendors.
The Company followed a defined escalation process for vendors that did not respond to the request for
CMRT data. All in-scope vendors received a CMRT Request email. Those not responding received
reminder emails as needed. Internal Company buyers were identified for each vendor. Any vendor not
responding to the emails was flagged to the Company for further action. Periodic meetings were heldwith the Conflict Minerals Program Team to review data collection efforts and determine additional
steps to be taken. Possible steps considered, and taken where possible, included negative feedback tovendors and consideration of termination of vendor contracts.
The result of this CMRT data collection effort is that the Company was able to identify suppliers/SORs
posing a risk to the Company’s supply chain which were fed into Step 3 below.
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, andin maintaining and executing the Company’s Conflict Minerals Program. The Company continues towork with supply chain partners to address reported non-conformant smelters, including disengagement or suspension if necessary, although the Company did not find it necessary to exercise disengagement or suspension in reporting year 19 (““RY19”), which is defined by the SEC Conflict Minerals
Ruling to be calendar year 2019. The Company also works with supply chain partners to come to a
resolution when requests for smelters in the supply chain to participate in the RMAP list program, orother approved schemes, are met with resistance or are not executed.
Step 4: Independent third-party audit of our SOR 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,
London Bullion Market Association and the Responsible Jewelry Council to determine the SORs’
543508.00200

Exhibit 1.01

practices. Over time, this effort has resulted in increasing the number 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’sefforts 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 continues to provide an annual report of its Supply Chain Due Diligence Practice activities
in accordance with the Dodd-Frank requirements, as evidenced by this Report. The Company
participated in the RMI CMR Peer Review, which provides an opportunity to have a confidential review
of a draft of the Company’s Conflict Mineral Report and receive valuable feedback from that review.
Received verbal and written feedback was reviewed and considered for inclusion in the Company’s final
Conflict Mineral Report. The Due Diligence results are summarized below.
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 2019 RCOI reporting period, of which 146 responded. The 6 that did not respond were escalated to
Avaya Procurement and their lack of response was considered in assessing their supply chain risk. For
those that did respond, 360 unique SORs were identified as processing 3TGs used in the parts and/or
components contained in the Company’s Products. The Company has verified that 264 (2 not on CMRT
dropdown) of the SORs are RMAP-conformant SORs, 5 SORs are actively progressing toward conformanceand 50 SORs are in the Not Active status (which is down from 60 in 2018.) The remaining 41 smelters are
not found on the RMI Standard Smelter List and therefore may not be actual smelters.
The Company requested company level CMRTs and most of responses received from the Company’s
Suppliers during the RCOI were provided at the company level rather than responses specific to the
product sold to the Company. One top tier Supplier indicated their inability to obtain more than a 50%
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 this supplier to obtain a more complete SOR
list, the effort was ultimately unsuccessful. In addition, some SORs identified by the Suppliers were notlisted on any conformant smelter or refiners lists by the RMI, the London Bullion Market Association or the
Responsible Jewelry Council and could not 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) ateither a product or company level because it cannot confirm that the SORs identified provide a complete
picture of Conflict Minerals sourcing. Of the information that was verified, the chart on the next page lists
the country of origin for the 3TG minerals in the Company’s products.

643508.00200

Exhibit 1.01

Country of Origin Results for 3TG in the Company’s Products
Conflict
Mineral
Gold

Tantalum

Tin

Tungsten

Country of Origin
Argentina, Austria, Belgium, Benin, Bolivia, Brazil,
Canada, Chile, China, Columbia, Czech Republic,
Denmark, Ecuador, Eritria, 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 ArabEmirates, United Kingdom, United States of America
Argentina, Austria, Belarus, Bolivia, Brazil, Burundi,
China, Columbia, Congo, Democratic Republic of the*,Ethiopia, France, Germany, Guinea, India, Indonesia,
Ireland, Israel, Japan, Madagascar, Malaysia,
Mozambique, Namibia, Nigeria, Russian Federation,
Rwanda, Sierra Leone, Somaliland, Spain, Switzerland,
United States of America, Zimbabwe

Angola, Australia, Austria, Belgium, Benin, Bolivia, Brazil,
Burundi, Canada, Chile, China, Columbia, Congo,
Democratic Republic of the*, Croatia, Czech Republic,
Denmark, Egypt, El Salvador, Estonia, France, Gabon,
Germany, Guinea, Hong Kong, Hungary, India, Indonesia,
Israel, Italy, Japan, Kazakhstan, 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, UnitedStates of America, Venezuela, Vietnam, Yemen
Argentina, Austria, Belgium, Bolivia, Brazil, Burundi,
Canada, China, Columbia, Congo, Democratic Republic of
the*, Czech Republic, France, Germany, Guinea, Hong
Kong, Indonesia, Japan, Laos, Latvia, Malaysia, Mongolia,
Myanmar, Nigeria, Peru, Portugal, Russian Federation,
Rwanda, Spain, Taiwan, Thailand, Uganda, United ArabEmirates, United Kingdom, United States of America,
Uzbekistan, Vietnam

Notes

The reported tantalum from the DRC
and other covered countries camefrom 7 Smelters all of which have been
audited and validated as "conformant"by the Responsible Mineral Initiative(“RMI”), which is internationallyrecognized for managing an
independent third-party assessment
program in line with the OECD
Guidance*.
The reported tin from the DRC andother covered countries came from 2
smelters all of which have been
audited and validated as "conformant"by the RMI, which is internationallyrecognized for managing an
independent third-party assessment
program in line with the OECD
Guidance*.

The reported tungsten from the DRC
came from 2 Smelters all of which havebeen audited and validated as"conformant" by the RMI, which isinternationally recognized for
managing an independent third-party
assessment program in line with theOECD 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.

743508.00200

Exhibit 1.01

The 319 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 attached to this Report. A graphical depiction of the 2019 RCOI and due diligence results isprovided in Figure 1 as compared to the 2018 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.
• RMAP Active - These are smelters that have committed to undergoing a RMAP audit.
• Not Active - These are smelters that are neither Compliant nor RMAP Active.
An additional classification of the SORs which is included only in Appendix A is:• Not an eligible SOR - These are non-verified smelters or “unknown”.
Figure 1- 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

Figure 2 – 2018 Results
Mineral

Gold

Tantalum

Tin

Tungsten

Total

Conformant

101

40

73

40

254

RMAP Active

7

0

0

1

8

Not Active

43

2

10

5

60

Total

151

42

83

46

322

Future Plans to Mitigate Conflict Minerals Sourcing Risk
The Company plans to implement the following actions with the supply chain to help mitigate the risk ofpotentially sourcing Conflict Minerals from Suppliers who do not have OECD aligned due diligencemeasures in place:• Perform the RCOI process by December of the Reporting Year to allow additional time for Supplierengagement and due diligence.
• Continue to require completion of the CMRT in applicable Requests for Quote (“RFQ”) and fromapplicable new Suppliers upon award of contract (if not part of an RFQ).
• Identify Suppliers that may, based on past performance, need additional due diligence in the future.

843508.00200

Exhibit 1.01

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.

943508.00200

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
Number Metal

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
CID000019
CID002560
CID000035
CID000041
CID000058
CID000077
CID000082
CID000924
CID000920
CID000090
CID000103
CID002850
CID000113
CID002863
CID000128

Conformant
Not Active
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Not Active
Conformant
Conformant
Conformant
Conformant

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

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
Aida Chemical Industries Co., Ltd.
Al Etihad Gold LLC
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 + Metaux S.A.
Chimet S.p.A.
Chugai Mining
Daejin Indus Co., Ltd.
Daye Non-Ferrous Metals Mining Ltd.
Degussa Sonne / Mond Goldhandel GmbHDODUCO Contacts and Refining GmbHDowa
DS PRETECH Co., Ltd.
DSC (Do Sung Corporation)
Eco-System Recycling Co., Ltd.
Emirates Gold DMCC
Fidelity Printers and Refiners Ltd.

CID000157
CID000176
CID000180
CID000185
CID000189
CID000233
CID000264
CID000328
CID000343
CID002867
CID000362
CID000401
CID003195
CID000359
CID000425
CID002561
CID002515

Conformant
Conformant
Not Active
Conformant
Conformant
Conformant
Conformant
Not Active
Not Active
Not Active
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Not Active

Appendix page 1

Exhibit 1.01

APPENDIX A
36
Gold
37
Gold
38
Gold
39
Gold
40
Gold
41
Gold
42
43
44
45
46
47
48
49

Gold
Gold
Gold
Gold
Gold
Gold
Gold
Gold

50
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
Gold

Appendix page 2

GCC Gujrat Gold Centre Pvt. Ltd.
Geib Refining Corporation
Gold Refinery of Zijin Mining Group Co., Ltd.
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 Metals Hong Kong Ltd.
Heraeus Precious Metals GmbH & Co. KG
Hunan Chenzhou Mining 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 Ekaterinburg Non-Ferrous Metal Processing Plant
JSC Uralelectromed
JX Nippon Mining & Metals Co., Ltd.
Kaloti Precious Metals
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
Matsuda Sangyo Co., Ltd.

CID002852
CID002459
CID002243
CID001909
CID002312
CID000651

Not Active
Conformant
Conformant
Not Active
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Not Active

CID000671
CID000689
CID000694
CID000707
CID000711
CID000767
CID000778
CID000801

Not Active
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Conformant
Conformant
Conformant
Not Active
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Conformant

CID000807
CID000814
CID002765
CID000823
CID000855
CID000927
CID000929
CID000937
CID002563
CID000956
CID000957
CID000969
CID002511
CID000981
CID002605
CID001029
CID002865
CID001032
CID001056
CID001058
CID002762
CID001078
CID001093
CID002606
CID001113
CID001119

Conformant
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Conformant
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Not Active
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Exhibit 1.01

APPENDIX A
76
Gold
77
Gold
78
Gold
79
Gold
80
Gold
81
Gold
82
Gold
83
Gold
84
Gold
85
Gold
86
Gold
87
Gold
88
Gold
89
Gold
90
Gold
91
Gold
92
93

Gold
Gold

94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109

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

Metalor Technologies (Hong Kong) Ltd.
Metalor Technologies (Singapore) Pte., Ltd.
Metalor Technologies (Suzhou) Ltd.
Metalor Technologies S.A.
Metalor USA Refining Corporation
Metalurgica Met-Mex Penoles S.A. De C.V.
Mitsubishi Materials Corporation
Mitsui Mining and Smelting Co., Ltd.
MMTC-PAMP India Pvt., Ltd.
Modeltech Sdn Bhd
Morris and Watson
Moscow Special Alloys Processing Plant
Nadir Metal Rafineri San. Ve Tic. A.S.
Navoi Mining and Metallurgical Combinat
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)
OJSC Novosibirsk Refinery
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.
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.

110
111
112
113
114

Gold
Gold
Gold
Gold
Gold

Sai Refinery
Samduck Precious Metals
Samwon Metals Corp.
SAXONIA Edelmetalle GmbHSEMPSA Joyeria Plateria S.A.

Appendix page 3

CID001149
CID001152
CID001147
CID001153
CID001157
CID001161
CID001188
CID001193
CID002509
CID002857
CID002282
CID001204
CID001220
CID001236
CID001259
CID002779

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CID001325
CID001326

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CID000493
CID001352
CID002872
CID001362
CID002919
CID001386
CID001397
CID001498
CID001512
CID000522
CID002582
CID001534
CID002761
CID001546
CID002973
CID002290
CID002853
CID001555
CID001562
CID002777
CID001585

Conformant
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Exhibit 1.01

APPENDIX A
115
Gold
116
117
118
119

Gold
Gold
Gold
Gold

120
121

Gold
Gold

122
123
124
125
126
127
128
129
130
131
132
133
134
135
136
137
138
139
140
141
142
143

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

144
145
146

Tantalum
Tantalum
Tantalum

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
Sudan Gold Refinery
Sumitomo Metal Mining Co., Ltd.
SungEel HiMetal Co., Ltd.
T.C.A S.p.A
Tanaka Kikinzoku Kogyo K.K.
The Refinery of Shandong Gold Mining Co., Ltd.
Tokuriki Honten Co., Ltd.
Tongling Nonferrous Metals Group Co., Ltd.
Tony Goetz NV
TOO Tau-Ken-Altyn
TorecomUmicore Brasil Ltda.
Umicore Precious Metals Thailand
Umicore S.A. Business Unit Precious Metals Refining
United Precious Metal Refining, Inc.
Valcambi S.A.
Western Australian Mint (T/a The Perth Mint)
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.
CP Metals Inc.

147
148
149
150
151

Tantalum
Tantalum
Tantalum
Tantalum
Tantalum

D Block Metals, LLC
Exotech Inc.
F&X Electro-Materials Ltd.
FIR Metals & Resource Ltd.
Global Advanced Metals Aizu

Appendix page 4

CID001619

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CID001622
CID001736
CID002516
CID001756

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CID001761
CID003153

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CID002567
CID001798
CID002918
CID002580
CID001875
CID001916
CID001938
CID001947
CID002587
CID002615
CID001955
CID001977
CID002314
CID001980
CID001993
CID002003
CID002030
CID002778
CID002100
CID002129
CID000197
CID002224

Not Active
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CID000092
CID000211
CID003402
CID002504
CID000456
CID000460
CID002505
CID002558

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RMAP
ActiveConformant
Conformant
Conformant
Conformant
Conformant

Exhibit 1.01

APPENDIX A
152
Tantalum
153
Tantalum
154
Tantalum
155
Tantalum
156
Tantalum
157
Tantalum
158
Tantalum
159
Tantalum
160
Tantalum
161
Tantalum
162
Tantalum
163
Tantalum
164
Tantalum
165
Tantalum
166
Tantalum
167
Tantalum
168
Tantalum
169
Tantalum
170
Tantalum
171
Tantalum
172
Tantalum
173
Tantalum
174
Tantalum
175
Tantalum
176
Tantalum
177
Tantalum
178
Tantalum
179
180
181
182
183
184
185
186
187
188
189
190
191

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

Appendix page 5

Global Advanced Metals Boyertown
Guangdong Rising Rare Metals-EO Materials Ltd.
Guangdong Zhiyuan New Material Co., Ltd.
H.C. Starck Co., Ltd.
H.C. Starck Hermsdorf GmbH
H.C. Starck Inc.
H.C. Starck Ltd.
H.C. Starck Smelting GmbH & Co. KG
H.C. Starck Tantalum and Niobium GmbH
Hengyang King Xing Lifeng New Materials Co., Ltd.
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
Jiangxi Tuohong New Raw Material
JiuJiang JinXin Nonferrous Metals Co., Ltd.
Jiujiang Tanbre Co., Ltd.
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
KEMET Blue Metals
KEMET Blue Powder
LSM Brasil S.A.
Metallurgical Products India Pvt., Ltd.
Mineracao Taboca S.A.
Mitsui Mining and Smelting Co., Ltd.
Ningxia Orient Tantalum Industry Co., Ltd.
NPM Silmet AS
Power Resources Ltd.
QuantumClean
Resind Industria e Comercio Ltda.
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng
Tantalum & Niobium Co., Ltd.
Solikamsk Magnesium Works OAOTaki Chemical Co., Ltd.
Telex Metals
Ulba Metallurgical Plant JSC
XinXing HaoRong Electronic Material Co., Ltd.
Alpha
An Vinh Joint Stock Mineral Processing Company
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
Chifeng Dajingzi Tin Industry Co., Ltd.
China Tin Group Co., Ltd.
CNMC (Guangxi) PGMA Co., Ltd.
CV Ayi Jaya
CV Dua Sekawan

CID002557
CID000291
CID000616
CID002544
CID002547
CID002548
CID002549
CID002550
CID002545
CID002492
CID002512
CID002842
CID000914
CID000917
CID002506
CID002539
CID002568
CID001076
CID001163
CID001175
CID001192
CID001277
CID001200
CID002847
CID001508
CID002707
CID001522

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

CID001769
CID001869
CID001891
CID001969
CID002508
CID000292
CID002703
CID000228
CID003190
CID001070
CID000278
CID002570
CID002592

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Exhibit 1.01

APPENDIX A
192
Tin
193
Tin
194
Tin
195
Tin
196
197

Tin
Tin

198
199
200
201
202
203
204
205
206
207
208
209
210
211
212
213
214
215
216
217
218
219
220
221
222
223
224
225
226

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
Tin
Tin

CV Gita Pesona
CV United Smelting
CV Venus Inti Perkasa
Dongguan CiEXPO Environmental Engineering Co.,
Ltd.
Dowa
Electro-Mechanical Facility of the Cao Bang Minerals& Metallurgy Joint Stock Company
EM Vinto
Estanho de Rondonia S.A.
Fenix Metals
Gejiu Fengming Metallurgy Chemical Plant
Gejiu Kai Meng Industry and Trade LLC
Gejiu Non-Ferrous Metal Processing Co., Ltd.
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
Gejiu Zili Mining And Metallurgy Co., Ltd.
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
Guanyang Guida Nonferrous Metal Smelting Plant
HuiChang Hill Tin Industry Co., Ltd.
Huichang Jinshunda Tin Co., Ltd.
Jiangxi New Nanshan Technology Ltd.
Ma'anshan Weitai Tin Co., Ltd.
Magnu's Minerais Metais e Ligas Ltda.
Malaysia Smelting Corporation (MSC)
Melt Metais e Ligas S.A.
Metallic Resources, Inc.
Metallo Belgium N.V.
Metallo Spain S.L.U.
Mineracao Taboca S.A.
MinsurMitsubishi Materials Corporation
Modeltech Sdn Bhd
Nghe Tinh Non-Ferrous Metals Joint Stock Company
O.M. Manufacturing (Thailand) Co., Ltd.
O.M. Manufacturing Philippines, Inc.
Operaciones Metalurgical S.A.
Precious Minerals and Smelting Limited

227
228
229
230

Tin
Tin
Tin
Tin

PT Aries Kencana Sejahtera
PT Artha Cipta Langgeng
PT ATD Makmur Mandiri Jaya
PT Babel Inti Perkasa

Appendix page 6

CID000306
CID000315
CID002455
CID003356

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Not Active

CID000402
CID002572

Conformant
Not Active

CID000438
CID000448
CID000468
CID002848
CID000942
CID000538
CID001908
CID000555
CID003116
CID002849
CID002844
CID000760
CID001231
CID003379
CID002468
CID001105
CID002500
CID001142
CID002773
CID002774
CID001173
CID001182
CID001191
CID002858
CID002573
CID001314
CID002517
CID001337
CID003409
CID000309
CID001399
CID002503
CID001402

Conformant
Not Active
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Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
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Conformant
Conformant
Conformant
Conformant
Conformant
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Conformant
Conformant
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RMAP
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Conformant

Exhibit 1.01

APPENDIX A
231
Tin
232
Tin
233
Tin
234
Tin
235
Tin
236
Tin
237
Tin
238
Tin
239
Tin
240
Tin
241
Tin
242
Tin
243
Tin
244
Tin
245
Tin
246
Tin
247
Tin
248
Tin
249
Tin
250
Tin
251
Tin
252
Tin
253
Tin
254
Tin
255
Tin
256
Tin
257
Tin
258
Tin
259
Tin
260
Tin
261
Tin
262
Tin
263
Tin
264
Tin
265
Tin
266
Tin
267
Tin
268
269
270

Tin
Tin
Tin

Appendix page 7

PT Babel Surya Alam Lestari
PT Bangka Prima Tin
PT Bangka Serumpun
PT Bangka Tin Industry
PT Belitung Industri Sejahtera
PT Bukit TimahPT DS Jaya Abadi
PT Eunindo Usaha Mandiri
PT Inti Stania Prima
PT Karimun Mining
PT Kijang Jaya Mandiri
PT Lautan Harmonis Sejahtera
PT Menara Cipta Mulia
PT Mitra Stania Prima
PT Panca Mega Persada
PT Premium Tin Indonesia
PT Prima Timah Utama
PT Rajawali Rimba Perkasa
PT Rajehan Ariq
PT Refined Bangka Tin
PT Sariwiguna Binasentosa
PT Stanindo Inti Perkasa
PT Sukses Inti Makmur
PT Sumber Jaya IndahPT Timah (Persero) Tbk Kundur
PT Timah (Persero) Tbk Mentok
PT Tinindo Inter Nusa
PT Tirus Putra Mandiri
PT Tommy Utama
Resind Industria e Comercio Ltda.
Rui Da Hung
Soft Metais Ltda.
Super Ligas
Thai Nguyen Mining and Metallurgy Co., Ltd.
Thaisarco
Tin Technology & Refining
Tuyen Quang Non-Ferrous Metals Joint Stock
Company
White Solder Metalurgia e Mineracao Ltda.
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
Yunnan Tin Company Limited

CID001406
CID002776
CID003205
CID001419
CID001421
CID001428
CID001434
CID001438
CID002530
CID001448
CID002829
CID002870
CID002835
CID001453
CID001457
CID000313
CID001458
CID003381
CID002593
CID001460
CID001463
CID001468
CID002816
CID001471
CID001477
CID001482
CID001490
CID002478
CID001493
CID002706
CID001539
CID001758
CID002756
CID002834
CID001898
CID003325
CID002574

Conformant
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Conformant
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Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Not Active
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Not Active

CID002036
CID002158
CID002180

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Conformant
Conformant

Exhibit 1.01

APPENDIX A
271
Tin
272
Tungsten273
Tungsten274
Tungsten275
Tungsten276
Tungsten277
Tungsten278
Tungsten279
Tungsten
280
Tungsten281
Tungsten282
Tungsten283
Tungsten284
Tungsten285
Tungsten286
Tungsten287
Tungsten288
Tungsten289
Tungsten
290
Tungsten291
Tungsten292
Tungsten
293
Tungsten294
Tungsten

Yunnan Yunfan Non-ferrous Metals Co., Ltd.
A.L.M.T. TUNGSTEN Corp.
ACL Metais Eireli
Asia Tungsten Products Vietnam Ltd.
Chenzhou Diamond Tungsten Products Co., Ltd.
Chongyi Zhangyuan Tungsten Co., Ltd.
Fujian Ganmin RareMetal Co., Ltd.
Fujian Jinxin Tungsten Co., Ltd.
Ganzhou Haichuang Tungsten Co., Ltd.
Ganzhou Huaxing Tungsten Products Co., Ltd.
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
Ganzhou Seadragon W & Mo Co., Ltd.
Global Tungsten & Powders Corp.
Guangdong Xianglu Tungsten Co., Ltd.
H.C. Starck Smelting GmbH & Co. KG
H.C. Starck Tungsten GmbH
Hunan Chenzhou Mining Co., Ltd.
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
Hunan Chunchang Nonferrous Metals Co., Ltd.
Hunan Litian Tungsten Industry Co., Ltd.
Hydrometallurg, JSC
Japan New Metals Co., Ltd.
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
Jiangxi Dayu Longxintai Tungsten Co., Ltd.

CID003397
CID000004
CID002833
CID002502
CID002513
CID000258
CID003401
CID000499
CID002645
CID000875
CID002315
CID002494
CID000568
CID000218
CID002542
CID002541
CID000766
CID002579
CID000769
CID003182
CID002649
CID000825
CID002551
CID002647
CID002321
CID002313

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

CID002318

Conformant

CID002317
CID002535
CID002316
CID003408
CID000966
CID000105
CID003388
CID003407
CID002319
CID002845
CID002589

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

295
296

TungstenTungsten297

Tungsten

298
299
300
301

TungstenTungstenTungstenTungsten

Jiangxi Gan Bei Tungsten Co., Ltd.
Jiangxi Minmetals Gao'an Non-ferrous Metals Co.,Ltd.
Jiangxi Tonggu Non-ferrous Metallurgical & ChemicalCo., Ltd.
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
Jiangxi Yaosheng Tungsten Co., Ltd.
JSC "Kirovgrad Hard Alloys Plant"

302
303
304
305
306
307
308

TungstenTungstenTungstenTungstenTungstenTungstenTungsten

Kennametal Fallon
Kennametal Huntsville
KGETS Co., Ltd.
Lianyou Metals Co., Ltd.
Malipo Haiyu Tungsten Co., Ltd.
Moliren Ltd.
Niagara Refining LLC

Appendix page 8

Exhibit 1.01

APPENDIX A
309
Tungsten
310
311

TungstenTungsten

312
313
314
315
316
317
318

TungstenTungstenTungstenTungstenTungstenTungstenTungsten319

Tungsten

Appendix page 9

Nui Phao H.C. Starck Tungsten Chemicals
Manufacturing LLC
Philippine Chuangxin Industrial Co., Inc.
South-East Nonferrous Metal Company Limited ofHengyang City
Tejing (Vietnam) Tungsten Co., Ltd.
Unecha Refractory metals plant
Wolfram Bergbau und Hutten AG
Woltech Korea Co., Ltd.
Xiamen Tungsten (H.C.) Co., Ltd.
Xiamen Tungsten Co., Ltd.
Xinfeng Huarui Tungsten & Molybdenum New
Material Co., Ltd.
Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CID002543

Conformant

CID002827
CID002815

Conformant
Not Active

CID001889
CID002724
CID002044
CID002843
CID002320
CID002082
CID002830

Conformant
Conformant
Conformant
Conformant
Conformant
Conformant
Conformant

CID002095

Conformant