# EDGAR Filing Document

**Accession Number:** 0001006045
**File Stem:** 0001193125-26-251397
**Filing Date:** 2026-6
**Character Count:** 58045
**Document Hash:** a80eb0a381f57d2da7d07453fa26fc74
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-26-251397.hdr.sgml**: 20260601

**ACCESSION NUMBER**: 0001193125-26-251397

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20260601

**DATE AS OF CHANGE**: 20260601

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** IRIDEX CORP
- **CENTRAL INDEX KEY:** 0001006045
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
- **ORGANIZATION NAME:** 08 Industrial Applications and Services
- **EIN:** 770210467
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0103

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-27598
- **FILM NUMBER:** 261050660

**BUSINESS ADDRESS:**
- **STREET 1:** 1212 TERRA BELLA AVE
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94043
- **BUSINESS PHONE:** 6509404700

**MAIL ADDRESS:**
- **STREET 1:** 1212 TERRA BELLA AVENUE
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94043

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| | | |
|:---|:---|:---|
| **UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION**<br>**Washington, D.C. 20549** | **UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION**<br>**Washington, D.C. 20549** | **UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION**<br>**Washington, D.C. 20549** |
| **FORM SD** | **FORM SD** | **FORM SD** |
| **SPECIALIZED DISCLOSURE REPORT** | **SPECIALIZED DISCLOSURE REPORT** | **SPECIALIZED DISCLOSURE REPORT** |
| **IRIDEX CORPORATION** | **IRIDEX CORPORATION** | **IRIDEX CORPORATION** |
| **(Exact name of registrant as specified in its charter)** | **(Exact name of registrant as specified in its charter)** | **(Exact name of registrant as specified in its charter)** |
| **Delaware** | **000-27598** | **77-0210467** |
| **(State or other jurisdiction of<br>incorporation or organization)** | **(Commission File Number)** | **(I.R.S. Employer<br>Identification Number)** |
| **1212 Terra Bella Avenue<br>Mountain View, California 94043** | **1212 Terra Bella Avenue<br>Mountain View, California 94043** | **1212 Terra Bella Avenue<br>Mountain View, California 94043** |
| **(Address of principal executive offices, including zip code)** | **(Address of principal executive offices, including zip code)** | **(Address of principal executive offices, including zip code)** |
| **(650) 940-4700** | **(650) 940-4700** | **(650) 940-4700** |
| **(Registrant's telephone number, including area code)** | **(Registrant's telephone number, including area code)** | **(Registrant's telephone number, including area code)** |
| Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies: | Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies: | Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies: |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;☑ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2025. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;☑ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2025. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;☑ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2025. |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;☐ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended _____. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;☐ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended _____. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;☐ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended _____. |

---

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**Section 1 - Conflict Minerals Disclosure**

**Item 1.01 Conflict Minerals Disclosure and Report**

**Conflict Minerals Disclosure**

This Form SD of Iridex Corporation ("Iridex") is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period January 1, 2025 to December 31, 2025.

A copy of Iridex's Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, and is publicly available under the "Governance Documents" heading on the Corporate Governance page of the Company's website, which can be reached through the following link: https://iridex.gcs-web.com/corporate-governance-highlights.

**Item 1.02 Exhibit**

As specified in Item 1.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this report.

**Section 2 - Exhibits**

**Item 2.01 Exhibits**

The following exhibit is filed as part of this Report.

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| | |
|:---|:---|
| Exhibit | Description |
| 1.01 | [<u>Conflict Minerals Report for the year ended December 31, 2025.</u>](irix-ex1_01.htm) |

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**SIGNATURES**

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

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| | | |
|:---|:---|:---|
|  |  | **IRIDEX CORPORATION** |
|  | By: | /s/ Romeo R. Dizon |
|  |  | Romeo R. Dizon |
|  |  | Chief Financial Officer |
| Date: June 1, 2026 |  |  |

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## Exhibit 1.01

**Exhibit 1.01**

**Conflict Minerals Report**

**For the Year Ended December 31, 2025**

**Introduction**

This is the Conflict Minerals Report of Iridex Corporation (the "Company", "Iridex", "we" or "our"), filed with the United States Securities and Exchange Commission ("SEC") pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2025 to December 31, 2025. Rule 13p-1 was adopted by the SEC to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. For the purposes of this Report, "conflict minerals" means cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold.

**Supply Chain and Product Overview**

We are a leading worldwide provider of therapeutic-based laser systems, delivery devices and consumable instrumentation used to treat sight-threatening eye diseases in ophthalmology.

We rely on third parties to manufacture substantially all of the components used in our products. We assemble critical subassemblies and substantially all of our final products at our facility in Mountain View, California. Materials, components and subassemblies provided by our suppliers and external manufacturers and included in our products are sourced from a global supply base, over which we exercise little, if any, control. We do not directly engage in any mining operations, nor do we purchase raw ore or unrefined conflict minerals. Given our position in the supply chain, we rely on the responses of our suppliers, who in turn rely on the responses of their respective suppliers to identify the mines, smelters and refiners that source the Conflict Minerals. We purchase no components that are integrated directly into or used in the manufacture of our products from any covered country. "Covered countries" means the Democratic Republic of Congo and its adjoining countries, including the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.

Our senior management consulted with our procurement department to determine, based on, among other things, product lists and documentation provided by suppliers, which of our products would reasonably be expected to contain conflict minerals that are necessary to the functionality or production of those products. Based upon the results of this internal inquiry, we determined that the fabricated anodized or coated metal components, electronic circuit boards, electronic cables, probes or optical lenses in our Glaucoma, Medical Retina and Surgical Retina products (collectively, the "Covered Products") may contain conflict minerals and that those components are necessary to the functionality or production of those products.

**Due Diligence Program**

Our due diligence processes and efforts have been developed in conjunction with the second edition of the Organisation for Economic Co-operation and Development ("OECD") Due Diligence Guidance for Responsible Supply Chains for Minerals from Conflict-Affected and High-Risk Areas and the related Supplements on gold, tin, tantalum and tungsten (the "Framework"). We designed our due diligence process to conform in all material respects with these OECD guidelines.

1.*Establishment of Strong Company Management Systems*

Our due diligence process was conducted by a cross-functional team comprised of senior executives and supply-chain personnel. The cross-functional team was required to be familiar with our policy with respect to the sourcing of conflict minerals which can be found on the Corporate Governance page of our Web site at *www.iridex.com*. (The content of any website referred to in this report is included for general information only and is not incorporated by reference in this Report.)

2.*Identification and Assessment of Risks in the Supply Chain*

We performed in good faith a reasonable country of origin inquiry ("RCOI") on conflict minerals that were in our supply chain after January 1, 2025, which inquiry was reasonably designed to determine whether suppliers of components of our Covered Products containing conflict minerals sourced them from any covered country or from recycled or scrap sources.

In order to make the RCOI determination, we solicited information from our suppliers regarding the source of the conflict minerals supplied to us during the year ended December 31, 2025, using the template developed jointly by the companies of Electronic Industry Citizenship Coalition ("EICC") and the Global e-Sustainability Initiative ("GeSI"), known as the CFSI Reporting Template (the "Template"). The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company's supply chain. It includes questions regarding a company's conflict-free policy, engagement with its direct suppliers, and the smelters the company and its suppliers use. In addition, the template contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Alternatively, we requested that suppliers provide a Smelter/Refiner Certification certifying that (1) conflict minerals produced by the supplier for us were obtained from a conflict-free area, (2) the supplier has processes in place to trace materials and products to ensure that conflict minerals contained in products were not mined in conditions of armed conflict and human rights abuses and (3) the supplier maintains a Conflict Minerals Statement/Policy, and a copy of such policy.

We determined that 27 of our suppliers were within the scope of our external RCOI and due diligence inquiry because the parts or components that they supply to us potentially contain conflict minerals. We sent the Template to each of these suppliers, and received responses from 26 of the 27 suppliers

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contacted. With the exception of one of our suppliers, our suppliers' responses to the Template indicated that no conflict minerals that were necessary for the functionality or production of our Covered Products had originated in a covered country. One supplier indicated to us that they had insufficient information to determine the source of the conflict minerals that it supplied to us. As part of our assessment to determine the source of conflict materials that suppliers supply to us,, we sought to identify the smelters from which conflict minerals were obtained by such suppliers and to compare those smelters against the list of smelter facilities that have been identified as "conflict free" by the EICC-GeSI Conflict Free Sourcing ("CFS") program. The CFS program is a voluntary program whereby an independent third party evaluates smelter procurement activities to determine whether a smelter has sufficiently demonstrated that all materials processed by that smelter originated from sources that do not directly or indirectly finance or benefit armed groups in a covered country. The results of this inquiry are presented below in the Section titled – "Smelters and Refiners".

3.*Designing and implementing a strategy to respond to identified risks*

We have taken or intend to take the following steps to improve the due diligence process and to gather additional information which will assist us to determine whether the conflict minerals we utilize benefit armed groups contributing to human rights violations:

oconduct and report annually on supply chain due diligence for the applicable conflict minerals;

oexamine the possibility of establishing new terms and conditions in supplier contracts that stipulate responses to conflict mineral related inquiries; and

oattempt to validate supplier responses using information collected via independent conflict free smelter validation programs such as the CFS program.

• *Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain*

We do not have a direct business relationship with any smelters or refiners in our supply chain and, as a result, we do not directly conduct or request audits. Instead, we supported the development and implementation of independent third party audits of smelters such as the CFSI by encouraging our suppliers to purchase materials from audited, conflict-free smelters and determine whether the smelters that were used to process these minerals were validated as conflict-free as part of the CFSI. We monitor smelters or refiners certification status with CFSI.

5.*Reporting on Supply Chain Due Diligence*

In 2026, we publicly filed the Form SD along with this Report with the SEC, and a copy of this Report and the Form SD are publicly available on the Corporate Governance page of our Web site at *www.iridex.com*.

**Smelters and Refiners**

Based on the responses in the Templates we determined that we had a total of 483 facilities and smelters that were used by our suppliers to fulfill our demands for conflict minerals. Of these 482 facilities and smelters, we have identified 228 facilities or smelters that are deemed CFSP Compliant, indicating that these smelters or refiners are compliant with the Conflict Free Smelter Program assessment protocols. There are eight more smelters or refiners that are deemed CFSP Active - Smelters and Refiners on the Active list that have committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs: LBMA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification. The remaining 246 facilities or smelters listed have not yet been confirmed as Conflict-Free. We base this assessment exclusively on the fact that we could not find these smelters on the CFSI lists for compliant or active smelters. We have assessed these 246 facilities and determined that most of these are of low risk due to their geographic location. There are six smelters or refiners that may be considered at greater risk, since they are geographically located in Africa.

Some of our suppliers provided information at a part number level and we were able to specifically identify the smelters from which their necessary conflict minerals were procured. The remainder of our suppliers provided their complete list of smelters, but we were unable to identify the specific smelters from which the conflict minerals used for our products were procured. As many of the reports we received are company-wide and not product specific, we believe these reports may include smelters and refiners that do not provide the necessary conflict minerals that are used in our products. Due to the many company-wide reports and the multiple levels of suppliers in our supply chain we are unable to determine with certainty at this time a complete list of smelters and refiners listed in the reports that actually provide the specific necessary conflict minerals used in our products.

However, based upon our suppliers' responses to the Template, we believe that most of the facilities that were used to process the conflict minerals contained in our Covered Products include the smelters and refiners listed in the table below. The table below includes only facilities that are listed in the EICC-GeSI template as "known smelters or refineries." An indication of "Compliant" in the far-right column of the table indicates that the smelter or refinery has received a "conflict free" designation from an independent third party audit program as of May 20, 2026. An indication of "Active" in the far-right column of the table indicated that the smelter or refinery has committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs: LBMA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification. An indication of "Indeterminable" in the far-right column of the table indicates that the smelter or refinery was not included in the CFSI compliant or active lists and thus, the facility's designation is indeterminable.

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| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Country** | **Smelter Identification** | **Compliant, Active, or Indeterminable** |
| Gold | 8853 S.p.A. | ITALY | CID002763 | Indeterminable |
| Gold | ABC Refinery Pty Ltd. | AUSTRALIA | CID002920 | Indeterminable |
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | CID002708 | Compliant |
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 | Compliant |
| Gold | African Gold Refinery | UGANDA | CID003185 | Indeterminable |
| Gold | Agosi AG | GERMANY | CID000035 | Compliant |
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | Compliant |
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | CID002560 | Indeterminable |
| Gold | Al Ghaith Gold | UNITED ARAB EMIRATES | CID002899 | Indeterminable |
| Gold | Albino Mountinho Lda. | PORTUGAL | CID002760 | Indeterminable |
| Gold | Alexy Metals | UNITED STATES OF AMERICA | CID003500 | Indeterminable |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | Compliant |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 | Compliant |
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | Compliant |
| Gold | ARY Aurum Plus | UNITED ARAB EMIRATES | CID002596 | Indeterminable |
| Gold | Asahi Pretec Corp. | JAPAN | CID000082 | Compliant |
| Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 | Compliant |
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CID000920 | Compliant |
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | Compliant |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | Indeterminable |
| Gold | Attero Recycling Pvt Ltd | INDIA | CID004697 | Indeterminable |
| Gold | AU Traders and Refiners | SOUTH AFRICA | CID002850 | Indeterminable |
| Gold | Augmont Enterprises Private Limited | INDIA | CID003461 | Indeterminable |
| Gold | Aurubis AG | GERMANY | CID000113 | Compliant |
| Gold | Bangalore Refinery | INDIA | CID002863 | Compliant |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | Compliant |
| Gold | Boliden Ronnskar | SWEDEN | CID000157 | Compliant |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | Compliant |
| Gold | Caridad | MEXICO | CID000180 | Indeterminable |
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | Compliant |
| Gold | Cendres + Metaux S.A. | SWITZERLAND | CID000189 | Indeterminable |
| Gold | CGR Metalloys Pvt Ltd. | INDIA | CID003382 | Indeterminable |
| Gold | Chimet S.p.A. | ITALY | CID000233 | Compliant |
| Gold | Chugai Mining | JAPAN | CID000264 | Compliant |
| Gold | Coimpa Industrial LTDA | BRAZIL | CID004010 | Compliant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 | Indeterminable |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 | Indeterminable |
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | CID003348 | Indeterminable |
| Gold | Dongwu Gold Group | CHINA | CID003663 | Indeterminable |
| Gold | Dowa | JAPAN | CID000401 | Compliant |
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 | Compliant |
| Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | CID000425 | Compliant |
| Gold | Eco-System Recycling Co., Ltd. North Plant | JAPAN | CID003424 | Compliant |

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| | | | | |
|:---|:---|:---|:---|:---|
| Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | CID003425 | Compliant |
| Gold | Elite Industech Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID004755 | Compliant |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | CID003487 | Indeterminable |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | CID003488 | Indeterminable |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | CID003489 | Indeterminable |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | CID003490 | Indeterminable |
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | Indeterminable |
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 | Indeterminable |
| Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | CID002584 | Indeterminable |
| Gold | Gasabo Gold Refinery Ltd | RWANDA | CID005006 | Indeterminable |
| Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | CID002459 | Indeterminable |
| Gold | GG Refinery Ltd. | TANZANIA, UNITED REPUBLIC OF | CID004506 | Compliant |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 | Indeterminable |
| Gold | Gold by Gold Colombia | COLOMBIA | CID003641 | Compliant |
| Gold | Gold Coast Refinery | GHANA | CID003186 | Indeterminable |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | Compliant |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 | Indeterminable |
| Gold | Guangdong Hua Jian Trade Co., Ltd. | CHINA | CID000605 | Indeterminable |
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 | Indeterminable |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 | Indeterminable |
| Gold | Hang Seng Technology | CHINA | CID000670 | Indeterminable |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | Indeterminable |
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | Compliant |
| Gold | Henan Yuguang Gold & Lead Co., Ltd. | CHINA | CID002519 | Indeterminable |
| Gold | Heraeus Germany GmbH Co. KG | GERMANY | CID000711 | Compliant |
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | CID000707 | Compliant |
| Gold | House of Currency of Brazil (Casa da Moeda do Brazil) | BRAZIL | CID002601 | Indeterminable |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 | Indeterminable |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | CID000773 | Indeterminable |
| Gold | Hung Cheong Metal Manufacturing Limited | CHINA | CID002904 | Indeterminable |
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | CID000778 | Indeterminable |
| Gold | Impala Platinum - Platinum Metals Refinery (PMR) | SOUTH AFRICA | CID004714 | Compliant |
| Gold | Impala Refineries – Base Metals Refinery (BMR) | SOUTH AFRICA | CID004604 | Compliant |
| Gold | Inca One (Chala One Plant) | PERU | CID004704 | Active |
| Gold | Inca One (Koricancha Plant) | PERU | CID004705 | Active |
| Gold | Industrial Refining Company | BELGIUM | CID002587 | Indeterminable |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | Compliant |
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | CID002562 | Indeterminable |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | Compliant |
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 | Compliant |
| Gold | Italpreziosi | ITALY | CID002765 | Compliant |
| Gold | JALAN & Company | INDIA | CID002893 | Indeterminable |
| Gold | Japan Mint | JAPAN | CID000823 | Compliant |
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | Compliant |
| Gold | Jinlong Copper Co., Ltd. | CHINA | CID000909 | Indeterminable |

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| | | | | |
|:---|:---|:---|:---|:---|
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | Indeterminable |
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | Indeterminable |
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | Compliant |
| Gold | K.A. Rasmussen | NORWAY | CID003497 | Indeterminable |
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | CID002563 | Indeterminable |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 | Indeterminable |
| Gold | Kazzinc | KAZAKHSTAN | CID000957 | Compliant |
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | Compliant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 | Compliant |
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | Compliant |
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 | Compliant |
| Gold | KP Sanghvi International Pvt Ltd | INDIA | CID004433 | Indeterminable |
| Gold | Kundan Care Products Ltd. | INDIA | CID003463 | Indeterminable |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | Indeterminable |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 | Indeterminable |
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | CID001032 | Indeterminable |
| Gold | Lingbao Gold Co., Ltd. | CHINA | CID001056 | Indeterminable |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | CID001058 | Indeterminable |
| Gold | L'Orfebre S.A. | ANDORRA | CID002762 | Indeterminable |
| Gold | LS MnM Inc. | KOREA, REPUBLIC OF | CID001078 | Compliant |
| Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | CID000689 | Compliant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 | Indeterminable |
| Gold | Marsam Metals | BRAZIL | CID002606 | Indeterminable |
| Gold | Materion | UNITED STATES OF AMERICA | CID001113 | Compliant |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | Compliant |
| Gold | MD Overseas | INDIA | CID003548 | Indeterminable |
| Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | CID003575 | Compliant |
| Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | CID003557 | Indeterminable |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | Compliant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | Compliant |
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | Compliant |
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | Compliant |
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | Compliant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 | Compliant |
| Gold | Minera Titan del Peru SRL (MTP) - Belen Plant | PERU | CID005014 | Indeterminable |
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | Compliant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | Compliant |
| Gold | MKS PAMP SA | SWITZERLAND | CID001352 | Compliant |
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | Compliant |
| Gold | Modeltech Sdn Bhd | MALAYSIA | CID002857 | Indeterminable |
| Gold | Morris and Watson | NEW ZEALAND | CID002282 | Indeterminable |
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | Indeterminable |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 | Compliant |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | Compliant |

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------

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| | | | | |
|:---|:---|:---|:---|:---|
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | CID003189 | Compliant |
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | Compliant |
| Gold | NOBLE METAL SERVICES | UNITED STATES OF AMERICA | CID003690 | Indeterminable |
| Gold | Nyrstar | UNITED STATES OF AMERICA | CID001313 | Indeterminable |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | Compliant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | Compliant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | Indeterminable |
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | Indeterminable |
| Gold | Pease & Curren | UNITED STATES OF AMERICA | CID002872 | Indeterminable |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 | Indeterminable |
| Gold | Planta Recuperadora de Metales SpA | CHILE | CID002919 | Compliant |
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | Indeterminable |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | Compliant |
| Gold | PX Precinox S.A. | SWITZERLAND | CID001498 | Compliant |
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | CID003324 | Indeterminable |
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | Compliant |
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | CID000522 | Indeterminable |
| Gold | REMONDIS PMR B.V. | NETHERLANDS | CID002582 | Compliant |
| Gold | Royal Canadian Mint | CANADA | CID001534 | Compliant |
| Gold | SAAMP | FRANCE | CID002761 | Indeterminable |
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | CID001546 | Indeterminable |
| Gold | Safimet S.p.A | ITALY | CID002973 | Indeterminable |
| Gold | SAFINA A.S. | CZECHIA | CID002290 | Compliant |
| Gold | Sai Refinery | INDIA | CID002853 | Indeterminable |
| Gold | SAM Precious Metals FZ-LLC | UNITED ARAB EMIRATES | CID003666 | Indeterminable |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | Indeterminable |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | CID001562 | Indeterminable |
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 | Compliant |
| Gold | Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd. | CHINA | CID001605 | Indeterminable |
| Gold | Shandong Gold Smelting Co., Ltd. | CHINA | CID001916 | Compliant |
| Gold | Shandong Hengbang Smelter Co., Ltd. | CHINA | CID001612 | Indeterminable |
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | CID002525 | Indeterminable |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 | Indeterminable |
| Gold | Shandong Yanggu Xiangguang Co., Ltd. | CHINA | CID002614 | Indeterminable |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | Compliant |
| Gold | Shenzhen CuiLu Gold Co., Ltd. | CHINA | CID002750 | Indeterminable |
| Gold | Shenzhen Heng Zhong Industry Co., Ltd. | CHINA | CID001692 | Indeterminable |
| Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. | CHINA | CID004435 | Indeterminable |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | CID002527 | Indeterminable |
| Gold | Shirpur Gold Refinery Ltd. | INDIA | CID002588 | Indeterminable |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | Compliant |

---

------

---

| | | | | |
|:---|:---|:---|:---|:---|
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | Indeterminable |
| Gold | Sino-Platinum Metals Co., Ltd. | CHINA | CID001745 | Indeterminable |
| Gold | Smelter not listed | CHINA | CID000197 | Indeterminable |
| Gold | Smelter not listed | SOUTH AFRICA | CID004610 | Compliant |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | Indeterminable |
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | Compliant |
| Gold | Sovereign Metals | INDIA | CID003383 | Indeterminable |
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 | Indeterminable |
| Gold | Sudan Gold Refinery | SUDAN | CID002567 | Indeterminable |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | Compliant |
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | CID002918 | Compliant |
| Gold | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID001810 | Indeterminable |
| Gold | T.C.A S.p.A | ITALY | CID002580 | Compliant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | Compliant |
| Gold | TITAN COMPANY LIMITED, JEWELLERY DIVISION | INDIA | CID004491 | Indeterminable |
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | Compliant |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 | Indeterminable |
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | CID002615 | Compliant |
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | Indeterminable |
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | Indeterminable |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | Compliant |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 | Compliant |
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 | Compliant |
| Gold | Viagra Di precious metals (Zhaoyuan) Co., Ltd. | CHINA | CID002009 | Indeterminable |
| Gold | WEEEREFINING | FRANCE | CID003615 | Indeterminable |
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 | Compliant |
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 | Compliant |
| Gold | Wuzhong Group | CHINA | CID002063 | Indeterminable |
| Gold | Yamakin Co., Ltd. | JAPAN | CID002100 | Compliant |
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | Compliant |
| Gold | Yunnan Gold Mining Group Co., Ltd. (YGMG) | CHINA | CID002491 | Indeterminable |
| Gold | Zhe Jiang Guang Yuan Noble Metal Smelting Factory | CHINA | CID002205 | Indeterminable |
| Gold | Zhongkuang Gold Industry Co., Ltd. | CHINA | CID002214 | Indeterminable |
| Gold | Zhongshan Hyper-Toxic Substance Monopolized Co., Ltd. | CHINA | CID002219 | Indeterminable |
| Gold | Zhongshan Poison Material Proprietary Co., Ltd. | CHINA | CID002221 | Indeterminable |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | Compliant |
| Gold | Zhuhai toxic materials Monopoly Ltd. | CHINA | CID002231 | Indeterminable |
| Gold | Zhuzhou Smelting Group Co., Ltd | CHINA | CID002529 | Indeterminable |
| Tantalum | 5D Production OU | ESTONIA | CID003926 | Indeterminable |
| Tantalum | AMG Brasil | BRAZIL | CID001076 | Compliant |
| Tantalum | ANHUI HERRMAN IMPEX CO. | CHINA | CID000059 | Indeterminable |

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| | | | | |
|:---|:---|:---|:---|:---|
| Tantalum | Avon Specialty Metals Ltd. | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | CID002705 | Compliant |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | Compliant |
| Tantalum | CMT Rare Metal Advanced Materials (Hunan) Co., Ltd. | CHINA | CID004431 | Compliant |
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | Compliant |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | Compliant |
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | Compliant |
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | Compliant |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | Compliant |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | CID000291 | Compliant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | Compliant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | Compliant |
| Tantalum | Jiangxi Suns Nonferrous Materials Co. Ltd. | CHINA | CID004813 | Active |
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 | Compliant |
| Tantalum | Jiujiang Janny New Material Co., Ltd. | CHINA | CID003191 | Compliant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | Compliant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | Compliant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | Compliant |
| Tantalum | KEMET de Mexico | MEXICO | CID002539 | Compliant |
| Tantalum | Materion Newton Inc. | UNITED STATES OF AMERICA | CID002548 | Compliant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | Compliant |
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 | Compliant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | Compliant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | Compliant |
| Tantalum | NPM Silmet AS | ESTONIA | CID001200 | Compliant |
| Tantalum | PowerX Ltd. | RWANDA | CID004054 | Compliant |
| Tantalum | QSIL Metals Hermsdorf GmbH | GERMANY | CID002547 | Indeterminable |
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | CID001508 | Compliant |
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 | Compliant |
| Tantalum | RFH Recycling Metals Co., Ltd. | CHINA | CID003159 | Compliant |
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CHINA | CID003583 | Compliant |
| Tantalum | Smelter not listed | CHINA | CID000261 | Indeterminable |
| Tantalum | Smelter not listed | UNITED STATES OF AMERICA | CID000456 | Indeterminable |
| Tantalum | Smelter not listed | MALAYSIA | CID001108 | Indeterminable |
| Tantalum | Smelter not listed | UNITED STATES OF AMERICA | CID001115 | Indeterminable |
| Tantalum | Smelter not listed | TAIWAN, PROVINCE OF CHINA | CID001541 | Indeterminable |
| Tantalum | Smelter not listed | CHINA | CID001634 | Indeterminable |
| Tantalum | Smelter not listed | AUSTRIA | CID002556 | Indeterminable |
| Tantalum | Smelter not listed | JAPAN | CID002861 | Indeterminable |
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | Indeterminable |
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 | Compliant |
| Tantalum | TANIOBIS Co., Ltd. | THAILAND | CID002544 | Compliant |
| Tantalum | TANIOBIS GmbH | GERMANY | CID002545 | Compliant |
| Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | CID002549 | Compliant |

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| | | | | |
|:---|:---|:---|:---|:---|
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002550 | Compliant |
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | CID001891 | Compliant |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | Compliant |
| Tantalum | V&D New Materials (Jiangsu) Co., Ltd. | CHINA | CID003498 | Compliant |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | CID000616 | Compliant |
| Tantalum | XIMEI RESOURCES(GUIZHOU) TECHNOLOGY CO., LTD. | CHINA | CID003973 | Compliant |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | Compliant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 | Compliant |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | CID002232 | Indeterminable |
| Tin | Alpha | UNITED STATES OF AMERICA | CID000292 | Compliant |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 | Indeterminable |
| Tin | Aurubis Beerse | BELGIUM | CID002773 | Compliant |
| Tin | Aurubis Berango | SPAIN | CID002774 | Compliant |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | Compliant |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | CID003190 | Compliant |
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | Compliant |
| Tin | Chofu Works | CHINA | CID002786 | Indeterminable |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | CID003486 | Active |
| Tin | CRM Synergies | SPAIN | CID003524 | Compliant |
| Tin | CV Ayi Jaya | INDONESIA | CID002570 | Compliant |
| Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 | Indeterminable |
| Tin | Dongguan Best Alloys Co., Ltd. | CHINA | CID000377 | Compliant |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | CID003356 | Indeterminable |
| Tin | Dongguan City Xida Soldering Tin Products Co. | CHINA | CID000376 | Indeterminable |
| Tin | Dowa | JAPAN | CID000402 | Compliant |
| Tin | DS Myanmar | MYANMAR | CID003831 | Indeterminable |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 | Indeterminable |
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | Compliant |
| Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 | Compliant |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | BRAZIL | CID003582 | Compliant |
| Tin | Feinhutte Halsbrucke GmbH | GERMANY | CID000466 | Compliant |
| Tin | Fenix Metals | POLAND | CID000468 | Compliant |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | CID003410 | Indeterminable |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | Compliant |
| Tin | Gejiu Yunxi Group Corp. | CHINA | CID000553 | Indeterminable |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | Indeterminable |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | Indeterminable |
| Tin | Global Advanced Metals Greenbushes Pty Ltd. | AUSTRALIA | CID004754 | Compliant |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CID003116 | Compliant |
| Tin | GUANGXI HUA TIN GOLD MINUTE FEE, LTD. | CHINA | CID002274 | Indeterminable |
| Tin | Guangxi Nonferrous Metals Group | CHINA | CID000626 | Indeterminable |
| Tin | Guangxi Zhongshan Jin Yi Smelting Co., Ltd. | CHINA | CID000628 | Indeterminable |
| Tin | Hezhou Jinwei Tin Co., Ltd. | CHINA | CID000720 | Indeterminable |
| Tin | Hongqiao Metals (Kunshan) Co., Ltd. | CHINA | CID002635 | Indeterminable |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | Compliant |
| Tin | Jean Goldschmidt International (JGI Hydrometal) | BELGIUM | CID000835 | Indeterminable |
| Tin | Jiang Xi Jia Wang Technology Tin Products Environmental Ltd. | CHINA | CID000841 | Indeterminable |

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| | | | | |
|:---|:---|:---|:---|:---|
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | CID001231 | Compliant |
| Tin | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002819 | Indeterminable |
| Tin | Kai Unita Trade Limited Liability Company | CHINA | CID000942 | Indeterminable |
| Tin | LIAN JING | CHINA | CID002281 | Indeterminable |
| Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd | CHINA | CID004796 | Indeterminable |
| Tin | Luna Smelter, Ltd. | RWANDA | CID003387 | Compliant |
| Tin | Ma An Shan Shu Guang Smelter Corp. | CHINA | CID001098 | Indeterminable |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | Compliant |
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | Indeterminable |
| Tin | Malaysia Smelting Corporation Berhad (Port Klang) | MALAYSIA | CID004434 | Compliant |
| Tin | Materials Eco-Refining Co., Ltd. | JAPAN | CID001112 | Indeterminable |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | Indeterminable |
| Tin | Metahub Industries Sdn. Bhd. | MALAYSIA | CID001136 | Indeterminable |
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 | Compliant |
| Tin | Minchali Metal Industry Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID001172 | Indeterminable |
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 | Compliant |
| Tin | Ming Li Jia smelt Metal Factory | CHINA | CID001177 | Indeterminable |
| Tin | Mining Minerals Resources SARL | CONGO, DEMOCRATIC REPUBLIC OF THE | CID004065 | Compliant |
| Tin | Minsur | PERU | CID001182 | Compliant |
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | Compliant |
| Tin | Modeltech Sdn Bhd | MALAYSIA | CID002858 | Indeterminable |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 | Indeterminable |
| Tin | Novosibirsk Tin Combine | RUSSIAN FEDERATION | CID001305 | Indeterminable |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | Compliant |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | Compliant |
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | Compliant |
| Tin | P Kay Metal, Inc | UNITED STATES OF AMERICA | CID005189 | Compliant |
| Tin | Pongpipat Company Limited | MYANMAR | CID003208 | Indeterminable |
| Tin | Precious Minerals and Smelting Limited | INDIA | CID003409 | Indeterminable |
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 | Indeterminable |
| Tin | PT Arsed Indonesia | INDONESIA | CID005067 | Compliant |
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | Active |
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | Compliant |
| Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 | Indeterminable |
| Tin | PT Babel Surya Alam Lestari | INDONESIA | CID001406 | Indeterminable |
| Tin | PT Bangka Prima Tin | INDONESIA | CID002776 | Compliant |
| Tin | PT Bangka Serumpun | INDONESIA | CID003205 | Indeterminable |
| Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | Indeterminable |
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | Indeterminable |
| Tin | PT Bukit Timah | INDONESIA | CID001428 | Indeterminable |
| Tin | PT Cipta Persada Mulia | INDONESIA | CID002696 | Compliant |
| Tin | PT Menara Cipta Mulia | INDONESIA | CID002835 | Indeterminable |
| Tin | PT Mitra Graha Raya | INDONESIA | CID004685 | Indeterminable |
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | Compliant |
| Tin | PT Mitra Sukses Globalindo | INDONESIA | CID003449 | Compliant |

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| | | | | |
|:---|:---|:---|:---|:---|
| Tin | PT Premium Tin Indonesia | INDONESIA | CID000313 | Compliant |
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 | Compliant |
| Tin | PT Putera Sarana Shakti (PT PSS) | INDONESIA | CID003868 | Compliant |
| Tin | PT Rajawali Rimba Perkasa | INDONESIA | CID003381 | Indeterminable |
| Tin | PT Rajehan Ariq | INDONESIA | CID002593 | Compliant |
| Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | Indeterminable |
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | Indeterminable |
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | Indeterminable |
| Tin | PT Sukses Inti Makmur (SIM) | INDONESIA | CID002816 | Indeterminable |
| Tin | PT Timah Nusantara | INDONESIA | CID001486 | Indeterminable |
| Tin | PT Timah Tbk Kundur | INDONESIA | CID001477 | Compliant |
| Tin | PT Timah Tbk Mentok | INDONESIA | CID001482 | Compliant |
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | Indeterminable |
| Tin | PT Tirus Putra Mandiri | INDONESIA | CID002478 | Indeterminable |
| Tin | PT Tommy Utama | INDONESIA | CID001493 | Indeterminable |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | Compliant |
| Tin | Rian Resources SDN. BHD. | MALAYSIA | CID003581 | Indeterminable |
| Tin | RIKAYAA GREENTECH PRIVATE LIMITED | INDIA | CID004692 | Indeterminable |
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | Compliant |
| Tin | Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd. | CHINA | CID001606 | Indeterminable |
| Tin | Shangrao Xuri Smelting Factory | CHINA | CID001648 | Indeterminable |
| Tin | Shenzhen Hong Chang Metal Manufacturing Factory | CHINA | CID001694 | Indeterminable |
| Tin | Sichuan Guanghan Jiangnan casting smelters | CHINA | CID001731 | Indeterminable |
| Tin | Sigma Tin Alloy Co., Ltd. | CHINA | CID002408 | Indeterminable |
| Tin | Smelter not listed | INDONESIA | CID000315 | Indeterminable |
| Tin | Smelter not listed | CHINA | CID000357 | Indeterminable |
| Tin | Smelter Not Listed | INDONESIA | CID001457 | Indeterminable |
| Tin | Smelter not listed | CHINA | CID002428 | Indeterminable |
| Tin | Smelter not listed | CHINA | CID003379 | Indeterminable |
| Tin | Smelter Not Listed | INDONESIA | CID003380 | Active |
| Tin | Soft Metais Ltda. | BRAZIL | CID001758 | Compliant |
| Tin | Super Ligas | BRAZIL | CID002756 | Compliant |
| Tin | Suzhou Nuonengda Chemical Co., Ltd. | CHINA | CID001822 | Indeterminable |
| Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | JAPAN | CID004403 | Compliant |
| Tin | Thaisarco | THAILAND | CID001898 | Compliant |
| Tin | TIN PLATING GEJIU | CHINA | CID001932 | Indeterminable |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CHINA | CID002180 | Compliant |
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | CID003325 | Compliant |
| Tin | Top-Team Technology (Shenzhen) Ltd. | CHINA | CID001954 | Indeterminable |
| Tin | Tratho Metal Química Ltda | BRAZIL | CID003474 | Compliant |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 | Indeterminable |
| Tin | VQB Mineral and Trading Group JSC | VIET NAM | CID002015 | Indeterminable |
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 | Compliant |
| Tin | Woodcross Smelting Company Limited | UGANDA | CID004724 | Compliant |
| Tin | WUJIANG CITY LUXE TIN FACTORY | CHINA | CID002057 | Indeterminable |
| Tin | Xin Furukawa Metal (Wuxi) Co., Ltd. | CHINA | CID002090 | Indeterminable |
| Tin | XURI | CHINA | CID002099 | Indeterminable |
| Tin | Yifeng Tin | CHINA | CID002121 | Indeterminable |
| Tin | Yuecheng Tin Co., Ltd. | CHINA | CID002147 | Indeterminable |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | Indeterminable |
| Tin | Yunnan Chengo Electric Smelting Plant | CHINA | CID002162 | Indeterminable |

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| | | | | |
|:---|:---|:---|:---|:---|
| Tin | Yunnan Copper Zinc Industry Co., Ltd. | CHINA | CID002164 | Indeterminable |
| Tin | Yunnan Industrial Co., Ltd. | CHINA | CID002173 | Indeterminable |
| Tin | Yunnan Malipo Baiyi Kuangye Co. | CHINA | CID002309 | Indeterminable |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | CID003397 | Compliant |
| Tungsten | A.L.M.T. Corp. | JAPAN | CID000004 | Compliant |
| Tungsten | ACL Metais Eireli | BRAZIL | CID002833 | Indeterminable |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | CID003427 | Indeterminable |
| Tungsten | Artek LLC | RUSSIAN FEDERATION | CID003553 | Indeterminable |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | Compliant |
| Tungsten | Avon Specialty Metals Ltd. | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | CID002704 | Compliant |
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | CID002641 | Compliant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | Compliant |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000281 | Indeterminable |
| Tungsten | Cronimet Brasil Ltda | BRAZIL | CID003468 | Compliant |
| Tungsten | DONGKUK INDUSTRIES CO., LTD. | KOREA, REPUBLIC OF | CID004060 | Indeterminable |
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CHINA | CID003609 | Indeterminable |
| Tungsten | Ganzhou Beseem Ferrotungsten Co., Ltd. | CHINA | CID002644 | Indeterminable |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CID002645 | Indeterminable |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | Active |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | Compliant |
| Tungsten | Ganzhou Sunny Non-Ferrous Metals Co., Ltd. | CHINA | CID003580 | Compliant |
| Tungsten | Global Tungsten & Powders LLC | UNITED STATES OF AMERICA | CID000568 | Compliant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | Compliant |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 | Compliant |
| Tungsten | HANNAE FOR T Co., Ltd. | KOREA, REPUBLIC OF | CID003978 | Indeterminable |
| Tungsten | Hubei Green Tungsten Co., Ltd. | CHINA | CID003417 | Compliant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | Indeterminable |
| Tungsten | Hunan Jintai New Material Co., Ltd. | CHINA | CID000769 | Indeterminable |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CHINA | CID002513 | Indeterminable |
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | Indeterminable |
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | Compliant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | Compliant |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | Compliant |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 | Indeterminable |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | Compliant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | Compliant |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | Compliant |
| Tungsten | Jing Yuan Tungsten Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID005012 | Compliant |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | CID003408 | Indeterminable |
| Tungsten | KENEE MINING VIETNAM COMPANY LIMITED | VIET NAM | CID004619 | Compliant |

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| | | | | |
|:---|:---|:---|:---|:---|
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | Compliant |
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | Compliant |
| Tungsten | Lianyou Metals Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID003407 | Compliant |
| Tungsten | Lianyou Resources Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID004397 | Compliant |
| Tungsten | LLC Vostok | RUSSIAN FEDERATION | CID003643 | Indeterminable |
| Tungsten | MALAMET SMELTING SDN. BHD. | MALAYSIA | CID004056 | Indeterminable |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | Compliant |
| Tungsten | Masan High-Tech Materials | VIET NAM | CID002543 | Compliant |
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 | Indeterminable |
| Tungsten | Nam Viet Cromit Joint Stock Company | VIET NAM | CID004034 | Indeterminable |
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | Compliant |
| Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | CID003416 | Indeterminable |
| Tungsten | OOO "Technolom" 1 | RUSSIAN FEDERATION | CID003614 | Indeterminable |
| Tungsten | OOO "Technolom" 2 | RUSSIAN FEDERATION | CID003612 | Indeterminable |
| Tungsten | Philippine Bonway Manufacturing Industrial Corporation | PHILIPPINES | CID004797 | Compliant |
| Tungsten | Philippine Carreytech Metal Corp. | PHILIPPINES | CID004438 | Indeterminable |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | Compliant |
| Tungsten | S.P.T. spol.s r.o. | CZECHIA | CID005068 | Compliant |
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | CHINA | CID004430 | Compliant |
| Tungsten | Smelter not listed | CHINA | CID000875 | Indeterminable |
| Tungsten | Smelter not listed | UNITED STATES OF AMERICA | CID001116 | Indeterminable |
| Tungsten | Smelter not listed | CHINA | CID001181 | Indeterminable |
| Tungsten | Smelter not listed | JAPAN | CID001195 | Indeterminable |
| Tungsten | Smelter not listed | CHINA | CID001280 | Indeterminable |
| Tungsten | Smelter not listed | AUSTRIA | CID001371 | Indeterminable |
| Tungsten | Smelter not listed | INDONESIA | CID001470 | Indeterminable |
| Tungsten | Smelter not listed | INDONESIA | CID001485 | Indeterminable |
| Tungsten | Smelter not listed | TAIWAN, PROVINCE OF CHINA | CID001764 | Indeterminable |
| Tungsten | Smelter not listed | JAPAN | CID001801 | Indeterminable |
| Tungsten | Smelter not listed | THAILAND | CID001901 | Indeterminable |
| Tungsten | Smelter not listed | CHINA | CID002235 | Indeterminable |
| Tungsten | Smelter not listed | VIET NAM | CID002538 | Indeterminable |
| Tungsten | Smelter Not Listed | UZBEKISTAN | CID002660 | Active |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002542 | Compliant |
| Tungsten | Tungamoy Metals Inc. | KOREA, REPUBLIC OF | CID005248 | Compliant |
| Tungsten | Tungsten Vietnam Joint Stock Company | VIET NAM | CID003993 | Compliant |
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | Indeterminable |
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 | Compliant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | Compliant |

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| | | | | |
|:---|:---|:---|:---|:---|
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | Compliant |
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CHINA | CID003662 | Indeterminable |
| Tungsten | Zhangzhou Chuen Bao Apt Smeltery Co., Ltd. | CHINA | CID002195 | Indeterminable |

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**Forward-Looking Statements**

Statements relating to further risk mitigation are forward-looking in nature and are based on our current expectations or beliefs. These forward-looking statements are not a guarantee of performance and are subject to a number of uncertainties and other factors that may be outside of our control and which could cause actual events to differ materially from those expressed or implied by the statements made herein.

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