# EDGAR Filing Document

**Accession Number:** 0000763744
**File Stem:** 0000763744-26-000036
**Filing Date:** 2026-5
**Character Count:** 68604
**Document Hash:** e75dad6ce0cf0d4428df0e5bd27ebd2c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000763744-26-000036.hdr.sgml**: 20260527

**ACCESSION NUMBER**: 0000763744-26-000036

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 3

**FILED AS OF DATE**: 20260527

**DATE AS OF CHANGE**: 20260527

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** LCI INDUSTRIES
- **CENTRAL INDEX KEY:** 0000763744
- **STANDARD INDUSTRIAL CLASSIFICATION:** MOTOR VEHICLE PARTS & ACCESSORIES [3714]
- **ORGANIZATION NAME:** 04 Manufacturing
- **EIN:** 133250533
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-13646
- **FILM NUMBER:** 261022491

**BUSINESS ADDRESS:**
- **STREET 1:** 3501 COUNTY ROAD 6 EAST
- **CITY:** ELKHART
- **STATE:** IN
- **ZIP:** 46514
- **BUSINESS PHONE:** 5745351125

**MAIL ADDRESS:**
- **STREET 1:** 3501 COUNTY ROAD 6 EAST
- **CITY:** ELKHART
- **STATE:** IN
- **ZIP:** 46514

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DREW INDUSTRIES INC
- **DATE OF NAME CHANGE:** 20161220

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DREW INDUSTRIES Inc
- **DATE OF NAME CHANGE:** 20150408

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DREW INDUSTRIES INC
- **DATE OF NAME CHANGE:** 19920703

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, DC 20549**

**FORM SD**

**Specialized Disclosure Report**

![image1.jpg](image1.jpg)

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| | | |
|:---|:---|:---|
| (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** | **001-13646** | **13-3250533** |
| (State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) |
| **3501 County Road 6 East, Elkhart, Indiana** | **3501 County Road 6 East, Elkhart, Indiana** | **46514** |
| (Address of principal executive offices) | (Address of principal executive offices) | (Zip Code) |
|  | **Kelly M. Stanley** |  |
|  | **(574) 350-0113** |  |
| (Name and telephone number, including area code, of the person to contact in connection with this report.) | (Name and telephone number, including area code, of the person to contact in connection with this report.) | (Name and telephone number, including area code, of the person to contact in connection with this report.) |

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

[ x ] Rule 13p-1 under the Securities Exchange Act (17CFR 240.13p-1) for the reporting period from January 1 to December 31, 2025.

[ ] Rule 13q-1 under the Securities Exchange Act (17CFR 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**

In accordance with the disclosure requirements promulgated by the U.S. Securities and Exchange Commission, LCI Industries (the "Company") has undertaken efforts to determine its conflict minerals <sup>1</sup> reporting requirements for the period from January 1 to December 31, 2025.

The Company has filed this Specialized Disclosure Report, and the associated Conflict Minerals Report for the reporting period from January 1 to December 31, 2025, which appears as Exhibit 1.01 hereto, and is publicly available on the Company's website at https://investors.lci1.com/financials/sec-filings/default.aspx. However, the information on the Company's website is not incorporated by reference into this Specialized Disclosure Report and does not constitute a part of this Specialized Disclosure Report.

**Item 1.02 Exhibit**

The Company's Conflict Minerals Report is provided as Exhibit 1.01 hereto.

**SECTION 2 - RESOURCE EXTRACTION ISSUER DISCLOSURE**

**Item 2.01 Resource Extraction Disclosure and Report**

Not applicable

**SECTION 3 - EXHIBITS**

**Item 3.01 Exhibits**

The following exhibit is filed as part of this report:

<u>[Exhibit 1.01](ex101lcii2025conflictminer.htm)</u> - LCI Industries' Conflict Minerals Report for the period January 1 to December 31, 2025, as required by Item 1.01 and 1.02 of this Form.

<sup>1</sup> The term "conflict mineral" is defined in SEC Release No. 34-67716 as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo ("DRC") or an adjoining country.

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**SIGNATURES**

Pursuant to the requirements of the Securities and 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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| | |
|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**LCI INDUSTRIES** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**LCI INDUSTRIES** |
| By: <u>/s/ Kelly M. Stanley</u><br>Kelly M. Stanley<br>Executive Vice President, Co-Chief<br>Legal Officer and Head of Compliance | By: <u>/s/ Kelly M. Stanley</u><br>Kelly M. Stanley<br>Executive Vice President, Co-Chief<br>Legal Officer and Head of Compliance |
| Dated: | May 27, 2026 |

---

## Exhibit 1.01

Exhibit 1.01

CONFLICT MINERALS REPORT OF

**LCI INDUSTRIES**

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2025

**Introduction**

This is the Conflict Minerals <sup>1</sup> Report (this "Report") of LCI Industries ("we," "our," "us," "LCI," or the "Company") prepared for the 2025 calendar year in accordance with Rule 13p-1 ("Rule 13p-1") under the Securities Exchange Act of 1934 (the "Act"). Numerous terms in this Report are defined in Rule 13p-1 of the Act and SEC Release No. 34-67716 (August 22, 2012) under the Act (the "Adopting Release"). The reader is referred to these sources for the definitions of defined terms contained herein.

In accordance with Rule 13p-1, we undertook efforts to determine the presence and source of the conflict minerals within our products. The Company designed its efforts in conformity with the internationally recognized due diligence framework set forth in the *Organisation for Economic Co-operation and Development ("OECD") Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- Affected and High-Risk Areas* <sup>2</sup> ("OECD Due Diligence Guidance") and related supplements.

The statements below are based on the activities performed in good faith by the Company to date and are based on the Company's infrastructure and information available at the time of this filing. Factors that could affect the accuracy of these statements include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving identification of smelters, incomplete information from industry or other third-party sources, and/or continuing guidance regarding the final rules of the U.S. Securities and Exchange Commission ("SEC").

<sup>1</sup> The term "conflict mineral" is defined in SEC Release No. 34-67716 as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo ("DRC") or an adjoining country.

<sup>2</sup> OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris. http://dx.doi.org/10.1787/9789264252479-en

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Exhibit 1.01

**Overview** 

**<u>Company Profile</u>**

The Company, through its wholly-owned subsidiary, Lippert Components, Inc. and its subsidiaries, is a global leader in supplying engineered components to the outdoor recreation, transportation, marine, and housing industries. In addition to serving original equipment manufacturers we also cater to aftermarket needs, selling through retail dealers, wholesale distributors, and service centers, as well as direct-to-consumer sales through online platforms.

The Company is subject to this rule as we have determined that, during 2025, conflict minerals were likely necessary to the functionality or production of products we manufactured or contracted to manufacture. As a purchaser of component parts, the Company is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals and we conduct no purchasing activities directly in the Democratic Republic of the Congo ("DRC") or adjoining countries. To assist in our conflict minerals reporting efforts for the products covered by this Report, we hired a third-party service provider, Assent Compliance, ("Assent").

**<u>Conflict Minerals Policy</u>**

The Company developed a policy statement to support the goals expressed by Congress in enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The policy highlights the Company's commitment to complying with the reporting and due diligence obligations required by the SEC rule and the Company's expectations from its suppliers. The policy resides on our corporate website at https://investors.lci1.com/governance/governance-documents/default.aspx.

**<u>Product Description; Processing Facilities</u>**

*Product Description* - LCI's products that fall in scope of Rule 13p-1, as they contain (or may contain) one or more of tine, tantalum, tungsten and/or gold ("3TG") include: steel chassis and related components; axles and suspension solutions; slide-out mechanisms and solutions; thermoformed bath, kitchen, and other products; vinyl, aluminum, and frameless windows; manual, electric, and hydraulic stabilizer and leveling systems; entry, luggage, patio, and ramp doors; furniture and mattresses; electric and manual entry steps; awnings and awning accessories; automotive components; electronic components; appliances; televisions and sound systems; navigation systems; backup cameras; and other accessories.

*Processing Facilities* **-** Based on our due diligence process and the information received from our suppliers, the following facilities were identified by the Company's suppliers as the smelters or refiners ("SORs") of the 3TG present in and necessary to the functionality of products manufactured by the Company in the calendar year ended December 31, 2025. The information from our suppliers is still evolving and may contain company-level declarations. As such, the SOR list included herein as Appendix A is provided in good faith based on our reasonable country of origin inquiry ("RCOI") process and the most accurate information available as of May 19, 2026. This list may contain SORs that are not in our supply chain and/or there may be other smelters have not yet been identified in our due diligence process. We will continue to update the list in the future as our information and the relevant third-party data from the Responsible Minerals Initiative ("RMI"), the London Bullion Market Association ("LBMA"), and the Responsible Jewelry Council ("RJC") improves.

**<u>Reasonable Country of Origin Inquiry Information</u>**

To determine whether necessary 3TGs in products originated in the Covered Countries, LCI retained Assent to assist in reviewing the supply chain to identify risks. The Company provided Assent with a list of suppliers and parts associated with the in-scope products for upload to the Assent Sustainability Manager ("ASM").

To collect data on the materials' sources of origin procured by the supply chain, LCI utilized the Conflict Minerals Reporting Template ("CMRT") version 6.4 or higher to conduct a survey of all in-scope suppliers. During the supplier survey, the Company contacted suppliers through the ASM, a platform provided by Assent which enables users to manage and track supplier communications and allows suppliers to upload completed CMRTs directly for validation, assessment, and management. The ASM also provides functionality that meets the OECD Due Diligence Guidance process expectations by evaluating the quality of each supplier response and assigning a health score based on the supplier's declaration of process engagement. Additionally, the metrics provided in this Report, as well as the step-by-step process for supplier engagement and upstream due diligence investigations performed, are managed through this platform.

Via the ASM and Assent team, the Company requested that all suppliers complete a CMRT. Training and education to guide suppliers on best practices and the use of this template was included. Assent monitored and tracked all communications in the ASM for future reporting and transparency. The Company directly contacted the suppliers that were unresponsive to Assent's communications during the diligence process and requested these suppliers complete the CMRT and submit it to Assent.

The Company's program includes automated data validation for all submitted CMRTs to improve accuracy and identify contradictory responses. This data validation is based on questions within the declaration tab of the CMRT which helps to identify areas that require further classification or risk assessment, as well as understand the due diligence efforts of the Tier 1

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Exhibit 1.01

suppliers. The results inform the program's overall health assessment and are shared with suppliers to clarify expectations and highlight opportunities for improvement.

All submitted forms are reviewed and classified as valid or invalid so that data is retained. Suppliers with invalid submissions are contacted and encouraged to submit a corrected form. Suppliers are provided with guidance on how to correct these validation errors in the form of feedback to their CMRT submission, training courses, and direct engagement help through Assent's multilingual Supplier Experience team. Since some suppliers may remain unresponsive to feedback, LCI tracks program gaps to identify future improvement opportunities. As of May 22, 2026, there were 4 invalid supplier submissions that could not be corrected.

Through the ASM and Assent team, the Company requested that all suppliers complete a CMRT. Training and education resources were provided to help suppliers understand best practices and properly complete the template. Assent monitored and tracked all supplier communications within the Assent Compliance Manager to support transparency and future reporting. The Company directly contacted suppliers that did not respond to Assent's outreach during the diligence process and requested these suppliers complete the CMRT and submit it to Assent.

As of May 22, 2026, there were 586 suppliers in scope of the conflict minerals program and 320 provided completed CMRTs. LCI's total response rate for this reporting year was 56.31%.

Based on the findings through the RCOI process, LCI was able to determine the countries of origin for a large portion of the 3TGs in its products. Please refer to Appendix B for a list of potential countries of origin. LCI continues to perform further due diligence on the source and chain of custody of the minerals in question.

**<u>Due Diligence Program Design</u>**

The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as they relate to our position in the minerals supply chain as a "downstream" company:

Step 1: Establish strong company management systems

Step 2: Identify and assess risks in the supply chain

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

Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices

Step 5: Report annually on supply chain due diligence

Due diligence requires the Company's necessary reliance on data provided by direct suppliers and third-party audit programs. There is a risk of incomplete or inaccurate data as the process cannot fully be owned by the Company. However, through continued outreach and process validation, this aligns with industry standards and market expectations for downstream companies' due diligence.

**<u>Due Diligence Measures Performed by The Company</u>**

The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.

**Step 1: Establish strong company management systems**

a.**Conflict minerals team** - The Company established a conflict minerals team that includes individuals from the relevant business units and departments, including compliance, finance, procurement, sales, and legal. The team was structured to include involvement of those in upper management roles to ensure that critical information, including the Company's Conflict Minerals Policy, reached relevant employees and suppliers. The Company also uses a third-party service provider, Assent, to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that the Company undertakes with suppliers regarding conflict minerals.

b.**Conflict minerals policy** - The Company adopted and published a policy establishing the expectations of our suppliers. The policy resides on our corporate website at: https://investors.lci1.com/governance/governance-documents/default.aspx.

c.**Control systems** - The Company expects all suppliers to have policies and procedures in place to ensure that 3TGs used in the production of the products sold to the Company are conflict free or responsibly sourced. This means that the products should not contain 3TGs sourced from areas that have been identified as containing widespread human rights abuses and violations of law either directly or indirectly. The Company expects direct suppliers to provide information on the origin of the 3TGs contained in components and materials supplied, including sources of 3TGs that are supplied to them from lower-tier suppliers.

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Exhibit 1.01

d.**Supplier engagement** – The Company maintains strong relationships with its Tier 1 direct suppliers, recognizing them as a critical part of the supply chain. To support non-English speaking suppliers, the Company provides access to a free platform for uploading CMRTs, along with help desk support and other multilingual resources. The Company's suppliers can leverage Assent's team of supplier support specialists to ensure they receive appropriate support and understand how to properly complete a CMRT. Suppliers are provided guidance in their native language, when needed.

The Company engages directly with suppliers to obtain valid, error-free CMRTs for the products that they supply to the Company. To support the OECD requirement for strengthened supplier engagement, the Company has developed an internal procedure that includes a supplier risk identification process, which may lead to additional engagement measures such as escalation procedures, in-person meetings, and/or corrective action requests. Feedback from this engagement process has allowed the Company to monitor and drive improvements in supplier responsiveness and overall compliance.

Additionally, the Company's Conflict Minerals Policy is incorporated into supplier contracts, requiring new suppliers to read and accept the policy as a requirement of doing business with the Company. When entering or renewing supplier contracts, a clause is added that requires suppliers to provide information about the source of 3TGs.

The Company continues to place a strong emphasis on supplier education and training. To support these efforts, the Company leverages Assent's online resources and has provided all in-scope suppliers with access to Assent's library of conflict minerals training and support materials. In addition, Assent's automated feedback process educates suppliers on certain risks associated with their CMRT submissions. The Company believes that the combination of its Supplier Code of Conduct, Conflict Minerals Policy, and direct supplier engagement through training and support constitutes a strong supplier engagement program.

e.**Grievance mechanism** - The Company maintains multiple longstanding grievance mechanisms through which employees, suppliers, and external stakeholders may report potential violations of the Company's policies, including those related to conflict minerals. Suppliers and other third parties may contact the conflict minerals team, including to report grievances, via a dedicated email address that is published in the Conflict Minerals Policy and in other related supplier communications. In addition, concerns or grievances at the industry level may be reported directly to the RMI through its grievance mechanism available at: http://www.responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievance-mechanism/.

f.**Records management** - The Company maintains records relating to its conflict minerals program in accordance with the recommended five-year record retention guidelines. Through Assent, the Company has implemented a document retention policy relating to conflict minerals documentation, including suppliers' CMRT responses and the sources identified within each reporting period. Information and findings generated through this process are stored in an auditable database accessible for internal or external review.

**Step 2: Identify and assess risks in the supply chain**

We performed the following steps as part of our risk assessment process:

a.**Identified products in scope** - Our conflict minerals team conducted a detailed review of the products manufactured, or contracted to be manufactured, during the 2025 calendar year to identify those within the scope of Rule 13p-1.

b.**Conducted RCOI** - The Company utilized the industry-developed CMRT to collect conflict minerals information from suppliers. The Company also engaged a third-party service provider, Assent, to assist in evaluating supply chain information relating to 3TGs, identifying potential risks, and supporting the development and implementation of additional due diligence measures with suppliers regarding conflict mineral compliance. The Company requested this information from the Tier 1 suppliers that provide materials and components for the products identified as in-scope by the conflict minerals team. The Company evaluated supplier responses submitted through the CMRTs to determine its reporting obligations based on the RCOI process.

Supplier-level risks may include non-responsive suppliers and incomplete CMRT submissions. Additionally, when suppliers provide a company-level CMRT - such as declarations stating that no 3TGs are present in any products - the Company cannot determine if all the specified smelters or refiners ("SORs") were associated with the 3TGs used in the products supplied to the Company.

Assent's supplier risk assessment classifies suppliers as high, medium, or low risk to identify potential issues within a company's supply chain. The risk assessment is informed by the SOR validation process, which evaluates risk at the SOR level using an analysis of multiple conflict minerals factors.

c.**Identified SORs** - Additional supply chain risks were identified through an assessment of the due diligence practices and audit status of SORs reported by upstream suppliers in their CMRT declarations. Assent's smelter validation program

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Exhibit 1.01

compared the reported facilities against the list of SORs maintained by the RMI to confirm that each facility was a 3TG processing facility and was operational during the 2025 calendar year.

The Company compiled a list of SORs in its supply chain based on supplier responses provided through CMRT submissions. Assent determined if the smelter had been audited against a standard aligned with the OECD Guidance, such as the Responsible Minerals Assurance Process ("RMAP"). The Company does not maintain direct relationships with SORs and does not conduct direct audits of these entities within its supply chain. SORs that are considered conformant have completed an RMAP assessment and meet the compliance requirements of the RMAP due diligence assessment protocols, or an equivalent cross-recognized assessment. Where an SOR's due diligence practices have not been audited against the RMAP standard, or where the SOR was identified as non-conformant, follow-up actions were conducted with suppliers reporting those facilities. The identified SORs were then further assessed for potential sourcing risks. To support this process, the Company maintains a database of SOR aliases to reconcile supplier-reported SOR names against the list of RMI SORs.

d.**SOR Assessments -** Each SOR of a 3TG is assessed according to red-flag indicators defined in the OECD Due Diligence Guidance. Assent used several factors to determine the level of risk that each SOR poses to the supply chain by identifying red flags. These factors included:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Geographic proximity to Conflict-Affected and High-Risk Areas.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Known mineral source country of origin.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• RMAP audit status.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Credible evidence of unethical or conflict sourcing.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Peer assessments conducted by credible third-party sources.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Sanctions risks

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

The Company performed the following steps as part of its risk management plan:

a.**Reporting results to senior management** - As necessary, the conflict minerals team reported the results of the RCOI process to upper management, including the team's plans for responding to risks identified in the due diligence process.

b.**Designed and implemented a plan** - The Company used established risk rating criteria to evaluate suppliers based on the responses provided within the CMRTs, as well as any additional documentation furnished to support those responses and the suppliers' due diligence processes. The resulting risk ratings were used to develop specific supplier outreach to address identified risks and to implement corrective actions with suppliers found not to be in compliance with the Company's Conflict Minerals Policy.

c.**Risk mitigation activities** - Through Assent, suppliers with submissions that included SORs of concern were promptly provided with feedback instructing that suppliers to take independent risk mitigation actions. For example, suppliers may be asked to submit a product-specific CMRT to better identify the connection between the reported SORs and the products that they supplied to LCI. In addition, suppliers are directed to education materials on mitigating the risks identified through the data collection process.

d.**Verified SORs** - As part of the risk mitigation process, the Company reconciled the list of SORs collected from suppliers, including the Company-maintained database of SOR aliases, to the list of SOR facilities validated by the RMI.

e.**Risk remediation** - If the Company identifies potential sanctions risks through the SOR assessment process described above, it collaborates with the relevant suppliers to evaluate and remediate such risks in accordance with applicable sanctions-program requirements. Where appropriate, the Company may request that suppliers remove sanctioned smelters and refiners from their supply chains.

**Step 4: Carry out independent third-party audit of SORs' due diligence practices**

The Company does not have a direct relationship with any 3TG SORs and does not perform or direct audits of these entities within the supply chain. The Company is using information provided by independent third party audit programs, including the RMI, LBMA and RJC, to confirm the existence and verify the conformance status of SORs identified during due diligence.

Assent also directly contacts SORs that are not currently participating in the RMAP to encourage their participation and gather information regarding each facilities' sourcing practices on behalf of its compliance partners. The Company is a signatory to this communication in accordance with the recommendations for downstream companies detailed in the OECD Due Diligence Guidance.

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Exhibit 1.01

**Step 5: Report annually on supply chain due diligence**

The Company publishes its Form SD annually. The Form SD and this Report are available on the SEC Filings section of the Company's website at https://investors.lci1.com/financials/sec-filings/default.aspx. Information contained on, or accessible through this website is not incorporated by reference into this report and should not be considered to be part of this Report. The Company has also publicly filed its Form SD and this Report with the SEC.

In addition, the Company has considered the impacts of the EU Conflict Minerals Regulation in disclosing details regarding due diligence efforts. The Company will continue to enhance transparency through the data collection and risk evaluation processes, as well as the disclosure of efforts through the form of public report.

**<u>Due Diligence Results</u>**

**Supply Chain Outreach Results**

Supply chain outreach is required to identify the upstream sources of origin of 3TG. Following the industry standard process, CMRTs are sent to and requested from Tier 1 suppliers, who are expected to follow this process until the smelter and refiner sources are identified. The following is the result of the outreach conducted by the Company for the 2025 reporting year.

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| | | |
|:---|:---|:---|
| Year | Number of in-scope suppliers | Response rate |
| 2025 | 586 | 56.31% |
| 2024 | 624 | 56.73% |
| 2023 | 736 | 50.27% |
| 2022 | 873 | 61.28% |
| 2021 | 459 | 27.45% |

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**Upstream Data Transparency**

All smelters and refiners identified by suppliers through completed CMRTs which appear on the RMI-maintained SOR list are included in the attached Appendix A. As is common in upstream supply chain reporting, suppliers sourcing materials from smelters and refiners are often unable to determine the specific end products or product lines in which those materials are ultimately used. Consequently, suppliers typically report all smelters and refiners from which they may have sourced materials during the reporting period. Therefore, the smelters and refiners (as sources) listed in Appendix A are likely to be more comprehensive than the list of smelters or refiners which processed the 3TGs contained in the Company's products.

The Company has taken measures to validate these sources of origin against recognized audit programs designed to verify the material types and mine sources associated with these smelters and refiners. Based on the responses received, thirty-five (35) smelters were identified as potentially posing a risk due to the presence of red flag indicators.

Suppliers that identified these specific smelters of concern on their CMRT submissions were contacted in accordance with the OECD Due Diligence Guidance to notify them of the potential risk, and to evaluate whether the identified smelters could be linked to the Company's products. These suppliers were requested to provide a user-defined or product level CMRT specific to the materials, products, or piece parts purchased by the Company, rather than a company-level CMRT, to better identify the connection to products that they supply to the Company. Other suppliers were evaluated internally to determine if they were in fact still active suppliers. If not, they were removed from the scope of data collection.

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| | |
|:---|:---|
| Status | Number of Identified Smelters/Refiners |
| Conformant | 208 |
| Active | 9 |
| Non Conformant | 37 |
| Not Enrolled | 83 |

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**<u>Future Due Diligence</u>**

We will continue communicating our expectations and information requirements to our direct suppliers. We anticipate that, over time, the availability and quality of global traceability and sourcing information for conflict minerals will improve, enhancing

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Exhibit 1.01

our understanding of supply chain risks and sourcing practices. We will continue to engage with our direct suppliers through ongoing inquiries and additional risk assessments when potentially relevant changes in facts or circumstances are identified. In cases where we identify opportunities for improvement in a supplier's due diligence practices, we may maintain the business relationship while the supplier strengthens its compliance program. We likewise expect our suppliers to take comparable due diligence measures within their own supply chains to support alignment and responsible sourcing throughout the supply chain.

In addition to the measures described above, the Company intends to undertake the following actions during the next compliance period:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue evaluating upstream sources through an expanded set of risk assessment tools, including:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;◦ Using a comprehensive smelter and refinery database containing detailed status information and entity-specific notes;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;◦ Conducting reviews of verifiable media and public sources related to smelters and refiners to identify potential risk indicators; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;◦ Comparing identified smelters and refiners against applicable government watch and denied parties lists.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue reviewing the Company's Conflict Minerals Policy and updating as necessary.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue to collect supplier responses using the most current version of the CMRT.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue engaging with suppliers that did not provide responses in calendar year 2025, or provided incomplete responses, to enhance our data collection for calendar year 2026.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Increasing supplier engagement efforts by providing additional information, guidance, and training resources relating to responsible sourcing of 3TGs.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Monitoring and tracking performance of risk mitigation efforts.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue outreach efforts with SORs, including sending communications to SORs that have not been audited as conformant.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue to align due diligence activities with the OECD Due Diligence Guidance framework by increasing the focus on obtaining validated and reliable SOR information through supplier feedback and detailed smelter analysis.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue to compare and validate RCOI results to information collected against information obtained through independent third-party audit programs, including the RMI, and through our Company's own direct outreach to smelters.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue to encourage responsible sourcing practices from the DRC and adjoining countries.

------

Exhibit 1.01

**APPENDIX A - Smelter and Refiner List**

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| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | CID000228 | Conformant |
| Tin | Alpha Assembly Solutions Inc | United States of America | CID000292 | Conformant |
| Tin | PT Aries Kencana Sejahtera | Indonesia | CID000309 | In Communication |
| Tin | Dowa | Japan | CID000402 | Conformant |
| Tin | EM Vinto | Bolivia (Plurinational State of) | CID000438 | Conformant |
| Tin | Estanho de Rondonia S.A. | Brazil | CID000448 | Conformant |
| Tin | Fenix Metals | Poland | CID000468 | Conformant |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | CID000538 | Conformant |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | CID000555 | Non-Conformant |
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | CID000942 | Non-Conformant |
| Tin | China Tin Group Co., Ltd. | China | CID001070 | Conformant |
| Tin | Metallic Resources, Inc. | United States of America | CID001142 | Conformant |
| Tin | Mineracao Taboca S.A. | Brazil | CID001173 | Conformant |
| Tin | Minsur | Peru | CID001182 | Conformant |
| Tin | Mitsubishi Materials Corporation | Japan | CID001191 | Conformant |
| Tin | Jiangxi New Nanshan Technology Ltd. | China | CID001231 | Conformant |
| Tin | Novosibirsk Tin Combine | Russian Federation | CID001305 | RMI Due Diligence Review - Unable to Proceed |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | CID001314 | Conformant |
| Tin | Operaciones Metalurgicas S.A. | Bolivia (Plurinational State of) | CID001337 | Conformant |
| Tin | PT Artha Cipta Langgeng | Indonesia | CID001399 | Active |
| Tin | PT Mitra Stania Prima | Indonesia | CID001453 | Conformant |
| Tin | PT Prima Timah Utama | Indonesia | CID001458 | Conformant |
| Tin | PT Timah Tbk Kundur | Indonesia | CID001477 | Conformant |
| Tin | PT Timah Tbk Mentok | Indonesia | CID001482 | Conformant |
| Tin | Rui Da Hung | Taiwan, Province of China | CID001539 | Conformant |
| Tin | Thaisarco | Thailand | CID001898 | Conformant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | CID001908 | Non-Conformant |
| Tin | VQB Mineral and Trading Group JSC | Viet Nam | CID002015 | Outreach Required |
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | CID002036 | Conformant |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | CID002158 | Non-Conformant |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | China | CID002180 | Conformant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | CID002468 | Conformant |
| Tin | Melt Metais e Ligas S.A. | Brazil | CID002500 | Non-Conformant |
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | CID002503 | Conformant |
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | CID002517 | Conformant |
| Tin | CV Ayi Jaya | Indonesia | CID002570 | Conformant |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002573 | Outreach Required |
| Tin | PT Cipta Persada Mulia | Indonesia | CID002696 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | CID002703 | Outreach Required |
| Tin | Resind Industria e Comercio Ltda. | Brazil | CID002706 | Conformant |
| Tin | Super Ligas | Brazil | CID002756 | Conformant |
| Tin | Aurubis Beerse | Belgium | CID002773 | Conformant |
| Tin | Aurubis Berango | Spain | CID002774 | Conformant |
| Tin | PT Bangka Prima Tin | Indonesia | CID002776 | Conformant |
| Tin | Modeltech Sdn Bhd | Malaysia | CID002858 | Non-Conformant |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | CID003116 | Conformant |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | CID003190 | Conformant |
| Tin | Tin Technology & Refining | United States of America | CID003325 | Conformant |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | CID003356 | Non-Conformant |
| Tin | Luna Smelter, Ltd. | Rwanda | CID003387 | Conformant |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | CID003397 | Conformant |
| Tin | Precious Minerals and Smelting Limited | India | CID003409 | Non-Conformant |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | CID003410 | Outreach Required |
| Tin | PT Mitra Sukses Globalindo | Indonesia | CID003449 | Conformant |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | CID003486 | Active |
| Tin | CRM Synergies | Spain | CID003524 | Conformant |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | CID003582 | Conformant |
| Tin | PT Putera Sarana Shakti (PT PSS) | Indonesia | CID003868 | Conformant |
| Tungsten | A.L.M.T. Corp. | Japan | CID000004 | Conformant |
| Gold | Advanced Chemical Company | United States of America | CID000015 | Conformant |
| Gold | Aida Chemical Industries Co., Ltd. | Japan | CID000019 | Conformant |
| Gold | Agosi AG | Germany | CID000035 | Conformant |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | CID000041 | Conformant |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | CID000058 | Conformant |
| Gold | Argor-Heraeus S.A. | Switzerland | CID000077 | Conformant |
| Gold | Asahi Pretec Corp. | Japan | CID000082 | Conformant |
| Gold | Asaka Riken Co., Ltd. | Japan | CID000090 | Conformant |
| Tungsten | Kennametal Huntsville | United States of America | CID000105 | Conformant |
| Gold | Aurubis AG | Germany | CID000113 | Conformant |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | CID000128 | Conformant |
| Gold | Boliden Ronnskar | Sweden | CID000157 | Conformant |
| Gold | C. Hafner GmbH + Co. KG | Germany | CID000176 | Conformant |
| Gold | Caridad | Mexico | CID000180 | Outreach Required |
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | CID000185 | Conformant |
| Gold | Cendres + Metaux S.A. | Switzerland | CID000189 | Non-Conformant |
| Gold | Yunnan Copper Industry Co., Ltd. | China | CID000197 | Outreach Required |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | CID000218 | Conformant |
| Gold | Chimet S.p.A. | Italy | CID000233 | Conformant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | CID000258 | Conformant |
| Gold | Chugai Mining | Japan | CID000264 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | China | CID000291 | Conformant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | CID000343 | Outreach Required |
| Gold | DSC (Do Sung Corporation) | Korea, Republic of | CID000359 | Conformant |
| Tin | Dongguan Best Alloys Co., Ltd. | China | CID000377 | Conformant |
| Gold | Dowa | Japan | CID000401 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | CID000425 | Conformant |
| Tantalum | F&X Electro-Materials Ltd. | China | CID000460 | Conformant |
| Gold | JSC Novosibirsk Refinery | Russian Federation | CID000493 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | Global Tungsten & Powders LLC | United States of America | CID000568 | Conformant |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | China | CID000616 | Conformant |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | CID000671 | Outreach Required |
| Gold | LT Metal Ltd. | Korea, Republic of | CID000689 | Conformant |
| Gold | Heimerle + Meule GmbH | Germany | CID000694 | Conformant |
| Gold | Heraeus Metals Hong Kong Ltd. | China | CID000707 | Conformant |
| Gold | Heraeus Germany GmbH Co. KG | Germany | CID000711 | Conformant |
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | CID000767 | Outreach Required |
| Tungsten | Hunan Jintai New Material Co., Ltd. | China | CID000769 | Non-Conformant |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | CID000773 | Outreach Required |
| Gold | HwaSeong CJ CO., LTD. | Korea, Republic of | CID000778 | Communication Suspended - Not Interested |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | CID000801 | Conformant |
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | CID000807 | Conformant |
| Gold | Istanbul Gold Refinery | Turkey | CID000814 | Conformant |
| Gold | Japan Mint | Japan | CID000823 | Conformant |
| Tungsten | Japan New Metals Co., Ltd. | Japan | CID000825 | Conformant |
| Gold | Jiangxi Copper Co., Ltd. | China | CID000855 | Conformant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | CID000914 | Conformant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | CID000917 | Conformant |
| Gold | Asahi Refining USA Inc. | United States of America | CID000920 | Conformant |
| Gold | Asahi Refining Canada Ltd. | Canada | CID000924 | Conformant |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | CID000927 | RMI Due Diligence Review - Unable to Proceed |
| Gold | JSC Uralelectromed | Russian Federation | CID000929 | RMI Due Diligence Review - Unable to Proceed |
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | CID000937 | Conformant |
| Gold | Kazakhmys Smelting LLC | Kazakhstan | CID000956 | Outreach Required |
| Gold | Kazzinc | Kazakhstan | CID000957 | Conformant |
| Tungsten | Kennametal Fallon | United States of America | CID000966 | Conformant |
| Gold | Kennecott Utah Copper LLC | United States of America | CID000969 | Conformant |
| Gold | Kojima Chemicals Co., Ltd. | Japan | CID000981 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | CID001029 | Non-Conformant |
| Gold | Lingbao Gold Co., Ltd. | China | CID001056 | Outreach Required |
| Tantalum | AMG Brasil | Brazil | CID001076 | Conformant |
| Gold | LS MnM Inc. | Korea, Republic of | CID001078 | Conformant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | CID001093 | Outreach Required |
| Gold | Materion | United States of America | CID001113 | Conformant |
| Gold | Matsuda Sangyo Co., Ltd. | Japan | CID001119 | Conformant |
| Gold | Metalor Technologies (Suzhou) Ltd. | China | CID001147 | Conformant |
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | CID001149 | Conformant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | CID001152 | Conformant |
| Gold | Metalor Technologies S.A. | Switzerland | CID001153 | Conformant |
| Gold | Metalor USA Refining Corporation | United States of America | CID001157 | Conformant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | CID001161 | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | CID001163 | Conformant |
| Tantalum | Mineracao Taboca S.A. | Brazil | CID001175 | Conformant |
| Gold | Mitsubishi Materials Corporation | Japan | CID001188 | Conformant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001192 | Conformant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001193 | Conformant |
| Tantalum | NPM Silmet AS | Estonia | CID001200 | Conformant |
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | CID001204 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | CID001220 | Conformant |
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | CID001236 | Conformant |
| Gold | Nihon Material Co., Ltd. | Japan | CID001259 | Conformant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | CID001277 | Conformant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | CID001325 | Conformant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | CID001326 | RMI Due Diligence Review - Unable to Proceed |
| Gold | MKS PAMP SA | Switzerland | CID001352 | Conformant |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | CID001362 | Outreach Required |
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | CID001386 | RMI Due Diligence Review - Unable to Proceed |
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | CID001397 | Conformant |
| Gold | PX Precinox S.A. | Switzerland | CID001498 | Conformant |
| Gold | Rand Refinery (Pty) Ltd. | South Africa | CID001512 | Conformant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | CID001522 | Conformant |
| Gold | Royal Canadian Mint | Canada | CID001534 | Conformant |
| Gold | Sabin Metal Corp. | United States of America | CID001546 | Communication Suspended - Not Interested |
| Gold | Samduck Precious Metals | Korea, Republic of | CID001555 | Non-Conformant |
| Gold | Samwon Metals Corp. | Korea, Republic of | CID001562 | Communication Suspended - Not Interested |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | CID001585 | Conformant |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | CID001619 | Outreach Required |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | CID001622 | Conformant |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | CID001736 | Conformant |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | CID001756 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Solar Applied Materials Technology Corp. | Taiwan, Province of China | CID001761 | Conformant |
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | CID001769 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | CID001798 | Conformant |
| Gold | Super Dragon Technology Co., Ltd. | Taiwan, Province of China | CID001810 | Outreach Required |
| Tantalum | Taki Chemical Co., Ltd. | Japan | CID001869 | Conformant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | CID001875 | Conformant |
| Tantalum | Telex Metals | United States of America | CID001891 | Conformant |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | CID001909 | Outreach Required |
| Gold | Shandong Gold Smelting Co., Ltd. | China | CID001916 | Conformant |
| Gold | Tokuriki Honten Co., Ltd. | Japan | CID001938 | Conformant |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | CID001947 | Outreach Required |
| Gold | Torecom | Korea, Republic of | CID001955 | Non-Conformant |
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | CID001969 | Conformant |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | CID001980 | Conformant |
| Gold | United Precious Metal Refining, Inc. | United States of America | CID001993 | Conformant |
| Gold | Valcambi S.A. | Switzerland | CID002003 | Conformant |
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | CID002030 | Conformant |
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | CID002044 | Conformant |
| Tungsten | Xiamen Tungsten Co., Ltd. | China | CID002082 | Conformant |
| Gold | Yamakin Co., Ltd. | Japan | CID002100 | Conformant |
| Gold | Yokohama Metal Co., Ltd. | Japan | CID002129 | Conformant |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | CID002224 | Conformant |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | CID002243 | Conformant |
| Gold | Morris and Watson | New Zealand | CID002282 | Outreach Required |
| Gold | SAFINA A.S. | Czechia | CID002290 | Conformant |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | CID002313 | Communication Suspended - Not Interested |
| Gold | Umicore Precious Metals Thailand | Thailand | CID002314 | Non-Conformant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | CID002315 | Active |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | CID002316 | Conformant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | CID002317 | Conformant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | CID002319 | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | CID002320 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | CID002321 | Conformant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | CID002492 | Conformant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | CID002494 | Conformant |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | CID002502 | Conformant |
| Tantalum | D Block Metals, LLC | United States of America | CID002504 | Conformant |
| Tantalum | FIR Metals & Resource Ltd. | China | CID002505 | Conformant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | CID002506 | Conformant |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | CID002508 | Conformant |
| Gold | MMTC-PAMP India Pvt., Ltd. | India | CID002509 | Conformant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | CID002511 | Conformant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | CID002512 | Conformant |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | China | CID002513 | Non-Conformant |
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | CID002515 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Singway Technology Co., Ltd. | Taiwan, Province of China | CID002516 | Non-Conformant |
| Gold | Shandong Humon Smelting Co., Ltd. | China | CID002525 | Outreach Required |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | CID002527 | Outreach Required |
| Tantalum | KEMET de Mexico | Mexico | CID002539 | Conformant |
| Tungsten | H.C. Starck Tungsten GmbH | Germany | CID002541 | Conformant |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002542 | Conformant |
| Tungsten | Masan High-Tech Materials | Viet Nam | CID002543 | Conformant |
| Tantalum | TANIOBIS Co., Ltd. | Thailand | CID002544 | Conformant |
| Tantalum | TANIOBIS GmbH | Germany | CID002545 | Conformant |
| Tantalum | Materion Newton Inc. | United States of America | CID002548 | Conformant |
| Tantalum | TANIOBIS Japan Co., Ltd. | Japan | CID002549 | Conformant |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002550 | Conformant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | CID002551 | Conformant |
| Tantalum | Global Advanced Metals Boyertown | United States of America | CID002557 | Conformant |
| Tantalum | Global Advanced Metals Aizu | Japan | CID002558 | Conformant |
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | CID002560 | Non-Conformant |
| Gold | Emirates Gold DMCC | United Arab Emirates | CID002561 | Non-Conformant |
| Gold | International Precious Metal Refiners | United Arab Emirates | CID002562 | Outreach Required |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | CID002572 | Non-Conformant |
| Gold | T.C.A S.p.A | Italy | CID002580 | Conformant |
| Gold | REMONDIS PMR B.V. | Netherlands | CID002582 | Conformant |
| Gold | Fujairah Gold FZC | United Arab Emirates | CID002584 | Outreach Required |
| Gold | Shirpur Gold Refinery Ltd. | India | CID002588 | Outreach Required |
| Tungsten | Niagara Refining LLC | United States of America | CID002589 | Conformant |
| Tin | PT Rajehan Ariq | Indonesia | CID002593 | Conformant |
| Gold | Korea Zinc Co., Ltd. | Korea, Republic of | CID002605 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Gold | Marsam Metals | Brazil | CID002606 | Non-Conformant |
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | CID002615 | Conformant |
| Tungsten | China Molybdenum Tungsten Co., Ltd. | China | CID002641 | Conformant |
| Tungsten | Hydrometallurg, JSC | Russian Federation | CID002649 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | Uzbek Refractory and Heat-Resistant Metals | Uzbekistan | CID002660 | Active |
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | CID002707 | Conformant |
| Gold | Abington Reldan Metals, LLC | United States of America | CID002708 | Conformant |
| Tungsten | Unecha Refractory metals plant | Russian Federation | CID002724 | Non-Conformant |
| Gold | Shenzhen CuiLu Gold Co., Ltd. | China | CID002750 | Outreach Required |
| Gold | Albino Mountinho Lda. | Portugal | CID002760 | Outreach Required |
| Gold | SAAMP | France | CID002761 | Non-Conformant |
| Gold | L'Orfebre S.A. | Andorra | CID002762 | Non-Conformant |
| Gold | 8853 S.p.A. | Italy | CID002763 | Non-Conformant |
| Gold | Italpreziosi | Italy | CID002765 | Conformant |
| Gold | WIELAND Edelmetalle GmbH | Germany | CID002778 | Conformant |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | CID002779 | Conformant |
| Tantalum | Jiangxi Tuohong New Raw Material | China | CID002842 | Conformant |
| Tungsten | Moliren Ltd. | Russian Federation | CID002845 | RMI Due Diligence Review - Unable to Proceed |
| Gold | AU Traders and Refiners | South Africa | CID002850 | Non-Conformant |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | India | CID002852 | Non-Conformant |
| Gold | Modeltech Sdn Bhd | Malaysia | CID002857 | Non-Conformant |
| Gold | Bangalore Refinery | India | CID002863 | Conformant |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | CID002865 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | CID002867 | Outreach Required |
| Gold | Pease & Curren | United States of America | CID002872 | Communication Suspended - Not Interested |
| Gold | JALAN & Company | India | CID002893 | Outreach Required |
| Gold | SungEel HiMetal Co., Ltd. | Korea, Republic of | CID002918 | Conformant |
| Gold | Planta Recuperadora de Metales SpA | Chile | CID002919 | Conformant |
| Gold | ABC Refinery Pty Ltd. | Australia | CID002920 | Outreach Required |
| Gold | Safimet S.p.A | Italy | CID002973 | Non-Conformant |
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | CID003153 | Outreach Required |
| Gold | African Gold Refinery | Uganda | CID003185 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Gold Coast Refinery | Ghana | CID003186 | Outreach Required |
| Gold | NH Recytech Company | Korea, Republic of | CID003189 | Conformant |
| Gold | QG Refining, LLC | United States of America | CID003324 | Outreach Required |
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | CID003348 | Outreach Required |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | China | CID003379 | Non-Conformant |

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Exhibit 1.01

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| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Tin | PT Masbro Alam Stania | Indonesia | CID003380 | Active |
| Gold | CGR Metalloys Pvt Ltd. | India | CID003382 | Outreach Required |
| Gold | Sovereign Metals | India | CID003383 | Outreach Required |
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan, Province of China | CID003407 | Conformant |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | CID003408 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | CID003416 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | Hubei Green Tungsten Co., Ltd. | China | CID003417 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | CID003424 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | CID003425 | Conformant |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | CID003427 | Non-Conformant |
| Gold | Augmont Enterprises Private Limited | India | CID003461 | Non-Conformant |
| Gold | Kundan Care Products Ltd. | India | CID003463 | Outreach Required |
| Tungsten | Cronimet Brasil Ltda | Brazil | CID003468 | Conformant |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | India | CID003487 | Outreach Required |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | India | CID003488 | Outreach Required |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | India | CID003489 | Outreach Required |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | India | CID003490 | Outreach Required |
| Gold | K.A. Rasmussen | Norway | CID003497 | Outreach Required |
| Gold | Alexy Metals | United States of America | CID003500 | Non-Conformant |
| Gold | MD Overseas | India | CID003548 | Outreach Required |
| Gold | Metallix Refining Inc. | United States of America | CID003557 | Outreach Required |
| Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | CID003575 | Conformant |
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | China | CID003609 | Non-Conformant |
| Tungsten | OOO "Technolom" 2 | Russian Federation | CID003612 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | OOO "Technolom" 1 | Russian Federation | CID003614 | RMI Due Diligence Review - Unable to Proceed |
| Gold | WEEEREFINING | France | CID003615 | Non-Conformant |
| Gold | Gold by Gold Colombia | Colombia | CID003641 | Conformant |
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | China | CID003662 | Outreach Required |
| Gold | Dongwu Gold Group | China | CID003663 | Outreach Required |
| Gold | Sam Precious Metals | United Arab Emirates | CID003666 | Outreach Required |
| Gold | NOBLE METAL SERVICES | United States of America | CID003690 | Outreach Required |
| Tantalum | 5D Production OU | Estonia | CID003926 | Outreach Required |
| Tungsten | Tungsten Vietnam Joint Stock Company | Viet Nam | CID003993 | Conformant |
| Gold | Coimpa Industrial LTDA | Brazil | CID004010 | Conformant |
| Tungsten | Nam Viet Cromit Joint Stock Company | Viet Nam | CID004034 | Outreach Required |
| Tantalum | PowerX Ltd. | Rwanda | CID004054 | Conformant |
| Tin | Mining Minerals Resources SARL | Congo, Democratic Republic of the | CID004065 | Conformant |

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Exhibit 1.01

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| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Tungsten | Lianyou Resources Co., Ltd. | Taiwan, Province of China | CID004397 | Conformant |
| Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | Japan | CID004403 | Conformant |
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | China | CID004430 | Conformant |
| Tin | Malaysia Smelting Corporation Berhad (Port Klang) | Malaysia | CID004434 | Conformant |
| Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. | China | CID004435 | Outreach Required |
| Tungsten | Philippine Carreytech Metal Corp. | Philippines | CID004438 | Non-Conformant |
| Gold | TITAN COMPANY LIMITED, JEWELLERY DIVISION | India | CID004491 | Non-Conformant |
| Gold | GG Refinery Ltd. | Tanzania, United Republic of | CID004506 | Conformant |
| Tungsten | KENEE MINING VIETNAM COMPANY LIMITED | Viet Nam | CID004619 | Conformant |
| Tin | RIKAYAA GREENTECH PRIVATE LIMITED | India | CID004692 | Outreach Required |
| Gold | Attero Recycling Pvt Ltd | India | CID004697 | Outreach Required |
| Gold | SOLEIL METALS (Chala One Plant) | Peru | CID004704 | Active |
| Gold | SOLEIL METALS (YAKARI Plant) | Peru | CID004705 | Active |
| Gold | Impala Platinum - Platinum Metals Refinery (PMR) | South Africa | CID004714 | Conformant |
| Tin | Woodcross Smelting Company Limited | Uganda | CID004724 | Conformant |
| Tin | Global Advanced Metals Greenbushes Pty Ltd. | Australia | CID004754 | Conformant |
| Gold | Elite Industech Co., Ltd. | Taiwan, Province of China | CID004755 | Conformant |
| Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd | China | CID004796 | Outreach Required |
| Tungsten | Philippine Bonway Manufacturing Industrial Corporation | Philippines | CID004797 | Conformant |
| Tantalum | Jiangxi Sanshi Nonferrous Metals Co., Ltd | China | CID004813 | Active |
| Gold | Gasabo Gold Refinery Ltd | Rwanda | CID005006 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | Jing Yuan Tungsten Technology Co., Ltd. | Taiwan, Province of China | CID005012 | Conformant |
| Gold | Minera Titán del Perú SRL (MTP) - Belen Plant | Peru | CID005014 | Non-Conformant |
| Tungsten | S.P.T. spol.s r.o. | Czechia | CID005068 | Conformant |
| Tin | P Kay Metal, Inc | United States of America | CID005189 | Conformant |
| Tungsten | Tungamoy Metals Inc. | Korea, Republic of | CID005248 | Conformant |
| Tin | PT Premium Tin Indonesia | Indonesia | CID000313 | Conformant |
| Gold | Atlantic Copper | Spain | CID003350 | Outreach Required |
| Tin | Conecsus LLC | United States of America | CID003504 | Active |
| Tungsten | Geo Enterprise | Georgia | CID005373 | Outreach Required |
| Gold | Naoshima Smelter & Refinery | Japan | CID005396 | Outreach Required |
| Gold | KGHM Polska Miedz S.A. Oddzial Huta Miedzi, Glogow | Poland | CID005401 | Outreach Required |
| Gold | Aurubis AG, Hamburg | Germany | CID005476 | Outreach Required |

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Exhibit 1.01

**APPENDIX B - Countries of Origin**

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| | | | | |
|:---|:---|:---|:---|:---|
| China | Nigeria | Netherlands | South Sudan | Armenia |
| Brazil | United Kingdom | Madagascar | Italy | Benin |
| Australia | Guyana | Hong Kong | Ghana | Kyrgyzstan |
| Japan | Kazakhstan | Rwanda | Sweden | Dominica |
| Canada | Ecuador | Mozambique | Eritrea | Bulgaria |
| United States | Hungary | Slovakia | Papua New Guinea | Mauritania |
| Indonesia | Cambodia | Panama | Saudi Arabia | Liberia |
| Peru | Myanmar | South Africa | Belarus | Senegal |
| Germany | Luxembourg | Burundi | United Arab Emirates | Tajikistan |
| Malaysia | Ireland | Congo | Poland | Central African Republic |
| Chile | Switzerland | Bolivia (Plurinational State of) | Mali | Georgia |
| India | France | Suriname | El Salvador | Dominican Republic |
| Austria | Ethiopia | Philippines | Burkina Faso | Serbia |
| Korea | Singapore | Andorra | New Zealand | Uruguay |
| Argentina | Namibia | Tanzania | Guatemala | Kenya |
| Mongolia | Mexico | Zimbabwe | Azerbaijan | Fiji |
| Thailand | Israel | Guinea | Finland | Cyprus |
| Colombia | Estonia | Zambia | Jersey | Botswana |
| Portugal | Taiwan | Djibouti | Nicaragua | Lithuania |
| Spain | Democratic Republic of Congo | Sudan | Honduras | Oman |
| Niger | Sierra Leone | Uzbekistan | Liechtenstein | Bermuda |
| Russian Federation | Viet Nam | Turkey | Morocco | Albania |
| Belgium | Egypt | Angola | Uganda | Solomon Islands |
| Norway | | | | |

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