# EDGAR Filing Document

**Accession Number:** 0001013871
**File Stem:** 0001104659-26-068221
**Filing Date:** 2026-5
**Character Count:** 66373
**Document Hash:** 6a4f708269a8272bfd4533d8bec4d280
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-26-068221.hdr.sgml**: 20260529

**ACCESSION NUMBER**: 0001104659-26-068221

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20260529

**DATE AS OF CHANGE**: 20260529

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NRG ENERGY, INC.
- **CENTRAL INDEX KEY:** 0001013871
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTRIC SERVICES [4911]
- **ORGANIZATION NAME:** 01 Energy & Transportation
- **EIN:** 411724239
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-15891
- **FILM NUMBER:** 261044112

**BUSINESS ADDRESS:**
- **STREET 1:** 910 LOUISIANA STREET
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77002
- **BUSINESS PHONE:** 713-537-3000

**MAIL ADDRESS:**
- **STREET 1:** 910 LOUISIANA STREET
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77002

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NRG ENERGY INC
- **DATE OF NAME CHANGE:** 19960509

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, DC 20549**

**FORM SD**

**Specialized Disclosure Report**

**NRG Energy, Inc.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-15891** | **41-1724239** |
| (State or other jurisdiction of<br> incorporation) | (Commission File Number) | (I.R.S. Employer Identification<br> Number) |

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| | |
|:---|:---|
| **1301 McKinney Street, Houston, Texas** | **77010** |
| (Address of principal executive offices) | (Zip Code) |

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| | |
|:---|:---|
| Name and telephone number, including area code, of person to contact in<br> connection with this report: | **Paolo Berard**<br> **Chief Compliance Officer**<br> **(713) 537-3000** |

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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:

⌧ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31,
2025. **Section 1 — Conflict Minerals Disclosure**

**Item 1.01 Conflict Minerals Disclosure and Report**

NRG Energy, Inc. (the "Company") has determined that certain products it manufactures or contracts to manufacture contain tin, tungsten, tantalum and/or gold ("3TGs"). On the basis of the responses to the Company's reasonable country of origin inquiries, the Company is unable to determine that the 3TGs necessary to the functionality or production of its products did not originate in the Democratic Republic of Congo or any of the other Covered Countries as defined under Rule 13p-1 of the Securities Exchange Act of 1934, as amended. As a result, the Company has prepared a conflict minerals report, which is attached as Exhibit 1.01 to this Form SD and available on the Company's website at https://investors.nrg.com/financial-information/sec-filings.

**Item 1.02 Exhibit**

See Item 1.01 and Item 2.01.

**Section 2 — Exhibits**

**Item 2.01 Exhibits**

[Exhibit 1.01 — Conflict Minerals Report.](tm2614517d1_ex1-01.htm)

**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 undersigned hereunto duly authorized.

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| | |
|:---|:---|
| **NRG Energy, Inc. (Registrant)** | **NRG Energy, Inc. (Registrant)** |
| By: | /s/ Paolo Berard |
| Paolo Berard | Paolo Berard |
| Chief Compliance Officer | Chief Compliance Officer |

---

Date: May 29, 2026

## Exhibit 1.01

**Exhibit 1.01**

**NRG Energy, Inc. – Conflict Minerals Report for the Year Ended December 31, 2025**

**Introduction**

This report for the year ended December 31, 2025, is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the "Rule"). The Rule was adopted by the Securities and Exchange Commission ("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 ("Dodd-Frank Act"). The term "conflict minerals" is defined as columbite-tantalite (coltan), cassiterite, gold, wolframite and their derivatives, which are limited to tantalum, tin and tungsten. For the purposes of this report, tin, tungsten, tantalum and gold will collectively be referred to as "3TGs". The term "Covered Countries" for purposes of the Rule are the Democratic Republic of the Congo (the "DRC") and the following adjoining countries: the Republic of the Congo, the Central African Republic, South Sudan, Rwanda, Uganda, Zambia, Burundi, Tanzania and Angola.

**Company Overview**

This report has been prepared by the management of NRG Energy, Inc. (herein referred to as "NRG," the "Company," "we," "us," or "our") with the assistance of our third-party vendor, Assent Compliance ("Assent"). The information includes the activities of all majority-owned subsidiaries and consolidated joint ventures. It does not include the activities of minority-owned subsidiaries and variable interest entities that are not required to be consolidated.

NRG Energy, Inc., or NRG or the Company, serves electricity, natural gas, and smart-home technology solutions to approximately 8 million residential customers (comprised of 6 million retail energy and 2 million smart home), in addition to large commercial and industrial, data center, and wholesale customers. Across North America, NRG is redefining customers' experience with energy under brand names such as NRG, Reliant, Direct Energy, Green Mountain Energy, and Vivint. NRG was incorporated as a Delaware corporation on May 29, 1992.

**Description of Products**

NRG does not directly manufacture any products. NRG contracts for the manufacture and assembly of its products through a competitive global supply process. The suppliers then source both raw materials and purchased parts. Eight suppliers of NRG were identified to be within the scope of the Rule.

There are multiple tiers between the 3TG mines and NRG's direct suppliers. Therefore, we rely on the direct suppliers to provide information on the origin of the 3TGs contained in components and materials supplied to NRG — including sources of 3TGs that are supplied to them from lower tier suppliers.

NRG conducted an analysis of the materials used in the production of products manufactured on its behalf. NRG expects that 3TGs may be found in those products within the following component parts:

· Tantalum, used in capacitors;

· Tin, used in soldered components;

· Tungsten, used in coatings, alloys, heating elements and
electrodes; and

· Gold, used in circuit boards, electrodes and electronic components.

**Conflict Minerals Program**

NRG has actively engaged with its customers and suppliers for several years with respect to the use of conflict minerals. NRG's applicable supply contracts require suppliers to represent and ensure that they supply only 3TGs that are "conflict-free" as that term is defined in the Rule, unless otherwise agreed to by the parties. NRG also requires that its applicable suppliers agree that they will inform all of their own suppliers of this policy and undertake to ensure that such policy is complied with throughout the supply chain. NRG reserves the right, in such contracts, to audit its suppliers' compliance at any time, and to terminate supply agreements if there is a material breach of the agreement.

In addition, in May 2016, NRG adopted its Human Rights & Social Responsibility Standards for Manufacturer (the "Manufacturing Standards") with which all contracted manufacturers of the Company are required to comply, which can be found at https://investors.nrg.com/static-files/b383e0f6-a2bf-467d-b8e8-4052d4941884. The Manufacturing Standards address compliance with laws and regulations, and require manufacturers to abide by the applicable laws and regulations of the country in which they are doing business, including, but not limited to, laws related to labor practices, health and safety, environmental responsibility, and anti-corruption. NRG employs third-party auditors to periodically audit contract manufacturers against the Manufacturing Standards, and reports such results to the Audit Committee of the Board of Directors (the "Audit Committee"). We believe that the standards also set requirements based on industry best practices and international conventions, including those related to 3TGs.

**Reasonable Country of Origin Inquiry**

To determine whether necessary 3TGs in our products originated in the Covered Countries, we retained Assent, a third-party service provider, to assist us in reviewing our supply chain and identifying risks. We provided a list composed of suppliers associated with the in-scope products to Assent for upload to the Assent Compliance Manager.

To trace materials, and demonstrate transparency procured by the supply chain, NRG utilized the Conflict Minerals Reporting Template ("CMRT") Version 6.5 or higher to conduct a survey of all in-scope suppliers.

During the supplier survey, the Company contacted suppliers via the Assent Compliance Manager, a software-as-a-service (SaaS) platform provided by Assent that enables its users to complete and track supplier communications and allows suppliers to upload completed CMRTs directly to the platform for validation, assessment and management. The Assent Compliance Manager also provides functionality that meets the OECD 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, are managed through this platform.

Via the Assent Compliance Manager and Assent team, NRG then requested that all identified in-scope 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 Assent Compliance Manager for future reporting and transparency. NRG directly contacted suppliers that were unresponsive to Assent's communications during the diligence process and requested these suppliers complete the CMRT and submit it to Assent.

Our program continues to include automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. This data validation is based on questions within the declaration tab of the CMRT, which helps identify areas that require further classification or risk assessment, as well as understand the due diligence efforts of Tier 1 suppliers. The results of this data validation contribute to the program's health assessment and are shared with the suppliers to ensure they understand areas that require clarification or improvement.

All submitted forms are accepted and classified as valid or invalid based on a set criteria of validation errors. Suppliers are contacted regarding invalid forms and are encouraged to correct validated errors to resubmit a valid form. Suppliers are also 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, NRG tracks program gaps to account for future improvement opportunities.

For the 2025 reporting year, NRG identified 8 suppliers that were within the scope of the Rule, all of which provided completed CMRTs. This resulted in a total response rate of 100%.

**Due Diligence**

***Design of Due Diligence***

NRG designed its due diligence measures to conform, in all material respects, with the framework in the OECD Guidance and the related supplements. The program aligns with the five steps for due diligence that are described by the OECD Guidance and the Company continues to evaluate market expectations for data collection and reporting to leverage continuous improvement opportunities.

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 be fully owned by the Company. However, through active risk identification, and risk assessment, as well as continued outreach and process validation, risk gaps can be mitigated. This aligns with industry standards and market expectations for downstream companies' due diligence.

***Due Diligence Performed***

**1) Establish Strong Company Management Systems**

*Internal Compliance Team*

NRG's management system for conflict minerals covering reporting year 2025 was sponsored by our Chief Compliance Officer and was supported by appropriate members of the executive and management teams, and a team of subject matter experts from relevant functions such as Corporate Compliance, Supply Chain, and Legal. The team of subject matter experts was responsible for implementing our conflict minerals compliance strategy for reporting year 2025, and was led by the Chief Compliance Officer, who acted as the executive conflict minerals program manager. The Audit Committee and senior management have been and continue to be informed about the results of our due diligence efforts.

The Company has also engaged 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 will undertake with suppliers and/or respective stakeholders in regard to conflict minerals.

The Company leverages Assent's managed services in order to work with dedicated program specialists who support NRG's conflict minerals program. The Company communicates regularly with the Assent team in order to receive updates on program status. Each member of Assent's Customer Success team is trained in conflict minerals compliance and understands the intricacies of reporting templates such as CMRT and conflict mineral reports, as well as Section 1502 of the Dodd-Frank Act.

*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 NRG are "conflict free or responsibly sourced." This means that the products should not contain minerals (3TGs) sourced from areas associated with widespread human rights abuses or violations of law. 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.

NRG's Supplier Code of Conduct applies to all direct suppliers and outlines certain expected behaviours and practices. The Supplier Code of Conduct is available on NRG's website<sup>1</sup> and is provided to all direct suppliers. If a supplier does not meet the Company's requirements, the relationship with this supplier will be evaluated.

*Supplier Engagement*

NRG has a strong relationship with Tier 1 direct suppliers. NRG has leveraged processes and educational opportunities in order to ensure non-English speaking suppliers have access to a free platform to upload their CMRTs, help desk support, and other multilingual resources. NRG's suppliers are able to 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, if needed.

The Company engages with suppliers directly to request a valid (free of validated errors) CMRT for the products that they supply to the Company. With respect to the OECD requirement to strengthen engagement with suppliers, we have developed an internal procedure that includes supplier risk identification process that then leads to further steps of supplier engagement in the form of escalations, such as in-person meetings and/or corrective actions. Feedback from this engagement process has allowed the Company to oversee improvements in supplier responses and supplier compliance for this initiative.

Additionally, NRG includes contractual provisions relating to compliance with conflict mineral laws in supplier contracts as a requirement of doing business with NRG. When entering into or renewing supplier contracts, a clause is added that requires suppliers to provide information about the source of 3TGs and smelters.

The Company continues to place a strong emphasis on supplier education and training. To accomplish this, Assent's online resources are leveraged, and all in-scope suppliers have been provided with access to their library of conflict minerals training and support resources. Also, Assent's automated feedback process that notifies suppliers of risks associated with their CMRT submission serves to educate suppliers of certain conflict minerals' risks.

<sup>1</sup> Available at https://www.nrg.com/assets/documents/suppliers/nrg_2025_supplier_code_of_conduct.pdf

We believe that the combination of the Supplier Code of Conduct, our conflict mineral-related contract language, and direct engagement with suppliers for conflict minerals training and support constitute a strong supplier engagement program.

*Grievance Mechanisms*

The Company established multiple longstanding grievance and reporting mechanisms whereby employees and suppliers can report violations of NRG's policies, including conflict minerals. NRG has a Code of Conduct whereby employees and third parties can learn about NRG's policies (the "NRG Code of Conduct"). The NRG Code of Conduct, which is posted on NRG's public website and its internal intranet site, contains multiple methods to report violations of NRG's policies. In addition, the Supplier Code of Conduct contains similar information to the NRG Code of Conduct. The NRG Code of Conduct establishes the manner in which employees and others may report any matters they believe may violate the NRG Code of Conduct, and for the investigation and resolution of all such reports. They include the Ethics Alert line at nrg.alertline.com and the NRG Ethics Helpline at 888-263-0463, which permits individuals to provide confidential and anonymous reporting. The NRG Ethics Helpline (888-263-0463) and Ethics Alert line (nrg.alertline.com) are available 24 hours a day, seven days a week. They are administered by an outside company to ensure confidentiality and anonymity, if desired. Calls are not traced or recorded, and NRG does not keep any identifiable information regarding the sender of an online communication.

NRG's Code of Conduct is accessible on the Company's website at https://investors.nrg.com/static-files/3911d684-818a-46f7-af82-23702c264ecc.

Violations or grievances at the industry level can be reported to the Responsible Minerals Initiative ("RMI") directly as well. This can be done at http://www.responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievance-mechanism/

*Maintain Records*

The Company has adopted a policy to retain relevant documentation for a period of five years. Through Assent, a document retention policy to retain conflict minerals related documents, including supplier responses to CMRTs and the sources identified within each reporting period, has been implemented. The Company stores all the information and findings from this process in a database that can be audited by internal or external parties.

**2) Identifying & Assessing Risk in the Supply Chain**

*Supplier Risk Evaluation*

Risks associated with Tier 1 suppliers' due diligence processes were assessed by their declaration responses on a CMRT, which the Assent Compliance Manager identifies automatically based on established criteria. These risks are addressed by Assent staff and members of the Company's internal conflict minerals team, who engage with suppliers to gather pertinent data and ask for corrective actions if needed, performing an overall assessment of the supplier's conformity status, which is referred to as "conflict minerals status."

Risks at the supplier level may include non-responsive suppliers or incomplete CMRTs. In cases where a company-level CMRT (such as when a company declares there are no 3TGs in any of its products) is submitted, NRG is unable to determine if all of the specified smelters/refiners were used for 3TGs in the products supplied to the Company.

Assent's supplier risk assessment (flagging suppliers' risk as *high, medium, low*) identifies problematic suppliers in a company's supply chain. The risk assessment is derived from the smelter validation process, which establishes risk at the smelter level via an analysis that takes into account multiple conflict minerals factors.

*Smelter/Refiners Risk Evaluation*

Other supply chain risks were identified by assessing the due diligence practices and audit status of smelters/refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. Assent's smelter validation program compared listed facilities to the list of smelters/refiners consolidated by the RMI to ensure that the facilities met the recognized definition of a 3TGs processing facility that was operational during the 2025 calendar year.

Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (RMAP). NRG does not have a direct relationship with smelters/refiners and does not perform direct audits of these entities within their pre-supply chain. Smelters/refiners that are conformant to RMAP audit standards are considered to have their sourcing validated as "conflict free or responsibly sourced." In cases where the smelter/refiner's due diligence practices have not been audited against the RMAP standard or are considered non-conformant by RMAP, further due diligence steps are followed to notify suppliers reporting these facilities. Smelters/refiners are actively monitored to proactively identify other risks pertaining to conflict minerals.

Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assessed according to red-flag indicators defined in the OECD Guidance. Assent uses numerous factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags. These factors include:

&nbsp;&nbsp;&nbsp;&nbsp;· Geographic proximity to conflict-affected and high-risk areas.

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

&nbsp;&nbsp;&nbsp;&nbsp;· RMAP audit status.

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

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

&nbsp;&nbsp;&nbsp;&nbsp;· Sanctions risks.

Risk mitigation activities are initiated whenever a supplier's CMRT reports facilities of concern. Through Assent, suppliers with submissions that included any smelters of concern were immediately provided with feedback instructing suppliers to take their own independent risk mitigation actions. Examples include the submission of a product-specific CMRT to better identify the connection to products that they supply to NRG.

As per the OECD Guidance, risk mitigation will depend on the supplier's specific circumstances and context. Suppliers are given clear performance objectives within reasonable timeframes with the goal of progressive elimination of these smelters of concern from the supply chain.

In addition, suppliers are guided to Assent's educational materials on mitigating the risks identified through the data collection process.

Suppliers are also evaluated on program strength, which assists the Company in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the program is based on certain questions in the CMRT related to the suppliers' conflict minerals practices and policies.

**3) Design & Implement A Strategy to Respond to Risks**

Together with Assent, NRG developed processes to assess and respond to the risks identified in the supply chain. NRG has created a risk management plan, through which the conflict minerals program is implemented, managed, and monitored. As the program progresses, escalations are sent to non-responsive suppliers to outline the importance of a response via CMRTs and to outline the required cooperation for compliance to the conflict minerals rules and the Company's expectations. The status of any updates to this risk management plan are provided regularly to the Audit Committee and to senior management.

As part of our risk management plan, to ensure our applicable suppliers understand our expectations, we have communicated directly with these suppliers (orally and in writing), and included relevant information in our contracts with these suppliers, including the Manufacturing Standards and the NRG Code of Conduct.

As described above, NRG reserves the right to terminate supplier agreements where we have reason to believe they are supplying us with 3TGs from sources that may support conflict in the Covered Countries. Should a supplier report information on a CMRT that would lead us to believe that their sourcing of 3TGs would support such conflict, we would engage in risk mitigation activities with such supplier.

We believe that the inquiries and investigations described above represent a reasonable effort to determine the mines or locations of origin of the 3TGs in NRG's products, including (1) seeking information about 3TG smelters and refiners in NRG's supply chain through requesting that suppliers complete the CMRT, (2) verifying those smelters and refiners with expanding the RMI lists, (3) conducting the due diligence review, and (4) obtaining additional documentation and verification, as applicable.

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

NRG does not have a direct relationship with any 3TG smelters/refiners and does not perform or direct audits of these entities within the supply chain. Instead, we rely on the RMAP to oversee and coordinate third-party audits of these facilities, which include audits conducted by the RMI. The RMAP audit protocols and procedures were designed by the RMI who engage specially trained third-party auditors to independently verify that these smelters and refiners can be deemed conflict-free. We utilize the information provided by the RMI to validate the sourcing practices of processing facilities in NRG's supply chain.

Assent directly engages smelters/refiners that are not currently enrolled in an industry recognized audit/assessment program to encourage their participation and for those smelters/refiners already conformant to the corresponding program's standards, Assent thanks them for their efforts on behalf of its compliance partners. NRG is a signatory of these communications in accordance with the requirements of downstream companies detailed in the OECD Guidance.

**5) Report Annually on Supply Chain Due Diligence**

NRG has published the Form SD for the year ended December 31, 2025. This report is available on the Investor Relations section of the Company's website. Information found on or accessed through this website is not considered part of this report and is not incorporated by reference herein. NRG has also publicly filed a Form SD and this report with the SEC.

This year the Company has also considered impacts from the EU Conflict Minerals Regulation when disclosing details with regards to due diligence efforts. The Company will continue to expand efforts both for transparency through the data collection process and risk evaluation, as well as the disclosure of efforts through the form of public report.

**Due Diligence Results**

*Supply Chain Outreach Results*

Supply chain outreach is required to identify the upstream sources of origin of tin, tantalum, tungsten, and gold. 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/refiner sources are identified. All of our 8 in-scope suppliers responded to our outreach.

*Upstream Data Transparency*

Appendix A includes all smelters/refiners that suppliers listed in completed CMRTs that met the recognized definition of a 3TGs processing facility and were operational during the 2025 calendar year. As is a common practice when requests are sent upstream in the supply chain, those who purchase materials from smelters may not be able to discern exactly which company's product lines the materials may end up in. As a result, those providing the smelters/refiners have the practice to list all smelters/refiners they may purchase from within the reporting period. Therefore, the smelters/refiners (as sources) listed in Appendix A are likely to be more comprehensive than the list of smelters/refiners which actually processed the 3TGs contained in the Company's products.

Although the potential for over-reporting is understood, NRG has taken measures to validate all smelter/refiner data against validated audit programs and databases intended to verify the material types and mine sources of origin.

Suppliers that identified these specific smelters of concern on their CMRT were contacted in accordance with the OECD Guidance, as stipulated in the previous sections.

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| | |
|:---|:---|
| Status | Number of identified smelters/refiners |
| RMAP Conformant | 203 |
| RMAP Active | 4 |
| Not Enrolled | 0 |
| Non-Conformant | 12 |

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*Countries of Origin*

Appendix B presents an aggregated list of countries from which the reported facilities collectively source 3TGs based on a reasonable identification of country of origin data obtained via Assent's supply chain database (or other RCOI sources, should NRG choose to utilize alternative data). As previously noted, over-reporting may occur, resulting in Appendix B including more countries than those strictly relevant to the products of NRG.

**Steps to Be Taken to Mitigate Risk**

For the 2026 reporting year, NRG has taken, or intends to take, the following steps to improve the due diligence conducted to further mitigate any risk that the necessary 3TGs in the Company's products could originate from conflict-affected and high-risk areas:

&nbsp;&nbsp;&nbsp;&nbsp;· Continue to evaluate upstream sources through a broader set of tools to evaluate risk. These include, but are not limited to:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;· Using a comprehensive smelter and refiner library with detailed status and notes for each entity.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;· Scanning for verifiable media sources on each smelter and refiner to flag risk issues.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;· Comparing the list of smelters/refiners against government watch and denied parties lists.

&nbsp;&nbsp;&nbsp;&nbsp;· Engage with suppliers more closely, and provide more information and training resources regarding responsible sourcing of 3TGs.

&nbsp;&nbsp;&nbsp;&nbsp;· Encourage suppliers to have due diligence procedures in place for their supply chains to improve the content of the responses from
such suppliers.

&nbsp;&nbsp;&nbsp;&nbsp;· Continue to include a conflict minerals flow-down clause in new or renewed supplier contracts, as well as included in the terms and
conditions of each purchase order issued.

&nbsp;&nbsp;&nbsp;&nbsp;· Following the OECD Guidance process, increase the emphasis on clean and validated smelter and refiner information from the supply
chain through feedback and detailed smelter analysis.

**Appendix A: Smelter List for NRG Energy, Inc.**

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|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;**Metal** | &nbsp;&nbsp;**Smelter Name** | &nbsp;&nbsp;**Smelter Facility Location** | &nbsp;&nbsp;**Smelter ID** | &nbsp;&nbsp;**RMAP Audit Status** |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;A.L.M.T. Corp. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000004 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Advanced Chemical Company | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID000015 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Aida Chemical Industries Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000019 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Agosi AG | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID000035 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Almalyk Mining and Metallurgical Complex (AMMC) | &nbsp;&nbsp;Uzbekistan | &nbsp;&nbsp;CID000041 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;AngloGold Ashanti Corrego do Sitio Mineracao | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID000058 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Argor-Heraeus S.A. | &nbsp;&nbsp;Switzerland | &nbsp;&nbsp;CID000077 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Asahi Pretec Corp. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000082 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Asaka Riken Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000090 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Kennametal Huntsville | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID000105 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Aurubis AG | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID000113 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | &nbsp;&nbsp;Philippines | &nbsp;&nbsp;CID000128 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Boliden Ronnskar | &nbsp;&nbsp;Sweden | &nbsp;&nbsp;CID000157 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;C. Hafner GmbH + Co. KG | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID000176 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;CCR Refinery - Glencore Canada Corporation | &nbsp;&nbsp;Canada | &nbsp;&nbsp;CID000185 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Guangdong Xianglu Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000218 | &nbsp;&nbsp;Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000228 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Chimet S.p.A. | &nbsp;&nbsp;Italy | &nbsp;&nbsp;CID000233 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Chongyi Zhangyuan Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000258 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Chugai Mining | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000264 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Guangdong Rising Rare Metals-EO Materials Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000291 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Alpha Assembly Solutions Inc | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID000292 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Premium Tin Indonesia | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID000313 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;DSC (Do Sung Corporation) | &nbsp;&nbsp;Korea, Republic Of | &nbsp;&nbsp;CID000359 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Dowa | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000401 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Dowa | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000402 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Eco-System Recycling Co., Ltd. East Plant | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000425 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;EM Vinto | &nbsp;&nbsp;Bolivia (Plurinational State Of) | &nbsp;&nbsp;CID000438 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Estanho de Rondonia S.A. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID000448 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;F&X Electro-Materials Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000460 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Fenix Metals | &nbsp;&nbsp;Poland | &nbsp;&nbsp;CID000468 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Gejiu Non-Ferrous Metal Processing Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000538 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Global Tungsten & Powders LLC | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID000568 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;XIMEI RESOURCES (GUANGDONG) LIMITED | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000616 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;LT Metal Ltd. | &nbsp;&nbsp;Korea, Republic Of | &nbsp;&nbsp;CID000689 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Heimerle + Meule GmbH | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID000694 | &nbsp;&nbsp;Conformant |

---

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Heraeus Metals Hong Kong Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000707 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Heraeus Germany GmbH Co. KG | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID000711 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000801 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Ishifuku Metal Industry Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000807 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Istanbul Gold Refinery | &nbsp;&nbsp;Turkey | &nbsp;&nbsp;CID000814 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Japan Mint | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000823 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Japan New Metals Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000825 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Jiangxi Copper Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000855 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;JiuJiang JinXin Nonferrous Metals Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000914 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Jiujiang Tanbre Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000917 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Asahi Refining USA Inc. | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID000920 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Asahi Refining Canada Ltd. | &nbsp;&nbsp;Canada | &nbsp;&nbsp;CID000924 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;JX Nippon Mining & Metals Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000937 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Kazzinc | &nbsp;&nbsp;Kazakhstan | &nbsp;&nbsp;CID000957 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Kennametal Fallon | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID000966 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Kennecott Utah Copper LLC | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID000969 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Kojima Chemicals Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID000981 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;China Tin Group Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001070 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;AMG Brasil | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID001076 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;LS MnM Inc. | &nbsp;&nbsp;Korea, Republic Of | &nbsp;&nbsp;CID001078 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Materion | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID001113 | &nbsp;&nbsp;Conformant |

---

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Matsuda Sangyo Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001119 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Metallic Resources, Inc. | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID001142 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Metalor Technologies (Suzhou) Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001147 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Metalor Technologies (Hong Kong) Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001149 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Metalor Technologies (Singapore) Pte., Ltd. | &nbsp;&nbsp;Singapore | &nbsp;&nbsp;CID001152 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Metalor Technologies S.A. | &nbsp;&nbsp;Switzerland | &nbsp;&nbsp;CID001153 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Metalor USA Refining Corporation | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID001157 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Metalurgica Met-Mex Penoles S.A. De C.V. | &nbsp;&nbsp;Mexico | &nbsp;&nbsp;CID001161 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Metallurgical Products India Pvt., Ltd. | &nbsp;&nbsp;India | &nbsp;&nbsp;CID001163 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Mineracao Taboca S.A. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID001173 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Mineracao Taboca S.A. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID001175 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Minsur | &nbsp;&nbsp;Peru | &nbsp;&nbsp;CID001182 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Mitsubishi Materials Corporation | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001188 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Mitsubishi Materials Corporation | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001191 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Mitsui Mining and Smelting Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001192 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Mitsui Mining and Smelting Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001193 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;NPM Silmet AS | &nbsp;&nbsp;Estonia | &nbsp;&nbsp;CID001200 | &nbsp;&nbsp;Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Nadir Metal Rafineri San. Ve Tic. A.S. | &nbsp;&nbsp;Turkey | &nbsp;&nbsp;CID001220 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Navoi Mining and Metallurgical Combinat | &nbsp;&nbsp;Uzbekistan | &nbsp;&nbsp;CID001236 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Nihon Material Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001259 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Ningxia Orient Tantalum Industry Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001277 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;O.M. Manufacturing (Thailand) Co., Ltd. | &nbsp;&nbsp;Thailand | &nbsp;&nbsp;CID001314 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Ohura Precious Metal Industry Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001325 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Operaciones Metalurgicas S.A. | &nbsp;&nbsp;Bolivia (Plurinational State Of) | &nbsp;&nbsp;CID001337 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;MKS PAMP SA | &nbsp;&nbsp;Switzerland | &nbsp;&nbsp;CID001352 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;PT Aneka Tambang (Persero) Tbk | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID001397 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Mitra Stania Prima | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID001453 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Prima Timah Utama | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID001458 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Timah Tbk Kundur | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID001477 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Timah Tbk Mentok | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID001482 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;PX Precinox S.A. | &nbsp;&nbsp;Switzerland | &nbsp;&nbsp;CID001498 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Rand Refinery (Pty) Ltd. | &nbsp;&nbsp;South Africa | &nbsp;&nbsp;CID001512 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Yanling Jincheng Tantalum & Niobium Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001522 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Royal Canadian Mint | &nbsp;&nbsp;Canada | &nbsp;&nbsp;CID001534 | &nbsp;&nbsp;Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Rui Da Hung | &nbsp;&nbsp;Taiwan, Province Of China | &nbsp;&nbsp;CID001539 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;SEMPSA Joyeria Plateria S.A. | &nbsp;&nbsp;Spain | &nbsp;&nbsp;CID001585 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Sichuan Tianze Precious Metals Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001736 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Solar Applied Materials Technology Corp. | &nbsp;&nbsp;Taiwan, Province Of China | &nbsp;&nbsp;CID001761 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Sumitomo Metal Mining Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001798 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Taki Chemical Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001869 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Tanaka Kikinzoku Kogyo K.K. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001875 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Telex Metals | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID001891 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Thaisarco | &nbsp;&nbsp;Thailand | &nbsp;&nbsp;CID001898 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Tokuriki Honten Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID001938 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Ulba Metallurgical Plant JSC | &nbsp;&nbsp;Kazakhstan | &nbsp;&nbsp;CID001969 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Umicore S.A. Business Unit Precious Metals Refining | &nbsp;&nbsp;Belgium | &nbsp;&nbsp;CID001980 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;United Precious Metal Refining, Inc. | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID001993 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Valcambi S.A. | &nbsp;&nbsp;Switzerland | &nbsp;&nbsp;CID002003 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Western Australian Mint (T/a The Perth Mint) | &nbsp;&nbsp;Australia | &nbsp;&nbsp;CID002030 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;White Solder Metalurgia e Mineracao Ltda. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID002036 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Wolfram Bergbau und Hutten AG | &nbsp;&nbsp;Austria | &nbsp;&nbsp;CID002044 | &nbsp;&nbsp;Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Xiamen Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002082 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Yamakin Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID002100 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Yokohama Metal Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID002129 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Tin Smelting Branch of Yunnan Tin Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002180 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Zhongyuan Gold Smelter of Zhongjin Gold Corporation | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002224 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;SAFINA A.S. | &nbsp;&nbsp;Czechia | &nbsp;&nbsp;CID002290 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Ganzhou Jiangwu Ferrotungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002315 | &nbsp;&nbsp;Active |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Jiangxi Yaosheng Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002316 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Jiangxi Xinsheng Tungsten Industry Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002317 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Malipo Haiyu Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002319 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Xiamen Tungsten (H.C.) Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002320 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Jiangxi Gan Bei Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002321 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Magnu's Minerais Metais e Ligas Ltda. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID002468 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Hengyang King Xing Lifeng New Materials Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002492 | &nbsp;&nbsp;Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Ganzhou Seadragon W & Mo Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002494 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Asia Tungsten Products Vietnam Ltd. | &nbsp;&nbsp;Viet Nam | &nbsp;&nbsp;CID002502 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT ATD Makmur Mandiri Jaya | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID002503 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;D Block Metals, LLC | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID002504 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;FIR Metals & Resource Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002505 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002506 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;MMTC-PAMP India Pvt., Ltd. | &nbsp;&nbsp;India | &nbsp;&nbsp;CID002509 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;KGHM Polska Miedz Spolka Akcyjna | &nbsp;&nbsp;Poland | &nbsp;&nbsp;CID002511 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002512 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;O.M. Manufacturing Philippines, Inc. | &nbsp;&nbsp;Philippines | &nbsp;&nbsp;CID002517 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;KEMET de Mexico | &nbsp;&nbsp;Mexico | &nbsp;&nbsp;CID002539 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;H.C. Starck Tungsten GmbH | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID002541 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;TANIOBIS Smelting GmbH & Co. KG | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID002542 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Masan High-Tech Materials | &nbsp;&nbsp;Viet Nam | &nbsp;&nbsp;CID002543 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;TANIOBIS Co., Ltd. | &nbsp;&nbsp;Thailand | &nbsp;&nbsp;CID002544 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;TANIOBIS GmbH | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID002545 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Materion Newton Inc. | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID002548 | &nbsp;&nbsp;Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;TANIOBIS Japan Co., Ltd. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID002549 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;TANIOBIS Smelting GmbH & Co. KG | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID002550 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Jiangwu H.C. Starck Tungsten Products Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002551 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Global Advanced Metals Boyertown | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID002557 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Global Advanced Metals Aizu | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID002558 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;T.C.A S.p.A | &nbsp;&nbsp;Italy | &nbsp;&nbsp;CID002580 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;REMONDIS PMR B.V. | &nbsp;&nbsp;Netherlands | &nbsp;&nbsp;CID002582 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Niagara Refining LLC | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID002589 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Rajehan Ariq | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID002593 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Korea Zinc Co., Ltd. | &nbsp;&nbsp;Korea, Republic Of | &nbsp;&nbsp;CID002605 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;TOO Tau-Ken-Altyn | &nbsp;&nbsp;Kazakhstan | &nbsp;&nbsp;CID002615 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;China Molybdenum Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002641 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Cipta Persada Mulia | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID002696 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Resind Industria e Comercio Ltda. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID002706 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Resind Industria e Comercio Ltda. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID002707 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Abington Reldan Metals, LLC | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID002708 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Super Ligas | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID002756 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Italpreziosi | &nbsp;&nbsp;Italy | &nbsp;&nbsp;CID002765 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Aurubis Beerse | &nbsp;&nbsp;Belgium | &nbsp;&nbsp;CID002773 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Aurubis Berango | &nbsp;&nbsp;Spain | &nbsp;&nbsp;CID002774 | &nbsp;&nbsp;Conformant |

---

---

| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Bangka Prima Tin | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID002776 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;WIELAND Edelmetalle GmbH | &nbsp;&nbsp;Germany | &nbsp;&nbsp;CID002778 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Jiangxi Tuohong New Raw Material | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002842 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;SungEel HiMetal Co., Ltd. | &nbsp;&nbsp;Korea, Republic Of | &nbsp;&nbsp;CID002918 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Planta Recuperadora de Metales SpA | &nbsp;&nbsp;Chile | &nbsp;&nbsp;CID002919 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID003116 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;NH Recytech Company | &nbsp;&nbsp;Korea, Republic Of | &nbsp;&nbsp;CID003189 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Chifeng Dajingzi Tin Industry Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID003190 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Tin Technology & Refining | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID003325 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Luna Smelter, Ltd. | &nbsp;&nbsp;Rwanda | &nbsp;&nbsp;CID003387 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Yunnan Yunfan Non-ferrous Metals Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID003397 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Lianyou Metals Co., Ltd. | &nbsp;&nbsp;Taiwan, Province Of China | &nbsp;&nbsp;CID003407 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Hubei Green Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID003417 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Eco-System Recycling Co., Ltd. North Plant | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID003424 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Eco-System Recycling Co., Ltd. West Plant | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID003425 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Mitra Sukses Globalindo | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID003449 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Cronimet Brasil Ltda | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID003468 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;CRM Synergies | &nbsp;&nbsp;Spain | &nbsp;&nbsp;CID003524 | &nbsp;&nbsp;Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Metal Concentrators SA (Pty) Ltd. | &nbsp;&nbsp;South Africa | &nbsp;&nbsp;CID003575 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Gold by Gold Colombia | &nbsp;&nbsp;Colombia | &nbsp;&nbsp;CID003641 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Putera Sarana Shakti (PT PSS) | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID003868 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Tungsten Vietnam Joint Stock Company | &nbsp;&nbsp;Viet Nam | &nbsp;&nbsp;CID003993 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Coimpa Industrial LTDA | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID004010 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;PowerX Ltd. | &nbsp;&nbsp;Rwanda | &nbsp;&nbsp;CID004054 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Mining Minerals Resources SARL | &nbsp;&nbsp;Congo, Democratic Republic Of The | &nbsp;&nbsp;CID004065 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Lianyou Resources Co., Ltd. | &nbsp;&nbsp;Taiwan, Province Of China | &nbsp;&nbsp;CID004397 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | &nbsp;&nbsp;Japan | &nbsp;&nbsp;CID004403 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID004430 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Malaysia Smelting Corporation Berhad (Port Klang) | &nbsp;&nbsp;Malaysia | &nbsp;&nbsp;CID004434 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;GG Refinery Ltd. | &nbsp;&nbsp;Tanzania, United Republic Of | &nbsp;&nbsp;CID004506 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;KENEE MINING VIETNAM COMPANY LIMITED | &nbsp;&nbsp;Viet Nam | &nbsp;&nbsp;CID004619 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Woodcross Smelting Company Limited | &nbsp;&nbsp;Uganda | &nbsp;&nbsp;CID004724 | &nbsp;&nbsp;Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Elite Industech Co., Ltd. | &nbsp;&nbsp;Taiwan, Province Of China | &nbsp;&nbsp;CID004755 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001622 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Shandong Gold Smelting Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001916 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Gold Refinery of Zijin Mining Group Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002243 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;XinXing HaoRong Electronic Material Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002508 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;CV Ayi Jaya | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID002570 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | &nbsp;&nbsp;Austria | &nbsp;&nbsp;CID002779 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Bangalore Refinery | &nbsp;&nbsp;India | &nbsp;&nbsp;CID002863 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Fujian Xinlu Tungsten Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID003609 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Dongguan Best Alloys Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID000377 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Jiangxi New Nanshan Technology Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID001231 | &nbsp;&nbsp;Active |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Torecom | &nbsp;&nbsp;Korea, Republic Of | &nbsp;&nbsp;CID001955 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002158 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Melt Metais e Ligas S.A. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID002500 | &nbsp;&nbsp;Non Conformant |

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| | | | | |
|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | &nbsp;&nbsp;China | &nbsp;&nbsp;CID002513 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;L'Orfebre S.A. | &nbsp;&nbsp;Andorra | &nbsp;&nbsp;CID002762 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Precious Minerals and Smelting Limited | &nbsp;&nbsp;India | &nbsp;&nbsp;CID003409 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID003486 | &nbsp;&nbsp;Active |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Fabrica Auricchio Industria e Comercio Ltda. | &nbsp;&nbsp;Brazil | &nbsp;&nbsp;CID003582 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;WEEEREFINING | &nbsp;&nbsp;France | &nbsp;&nbsp;CID003615 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Tungsten | &nbsp;&nbsp;Philippine Carreytech Metal Corp. | &nbsp;&nbsp;Philippines | &nbsp;&nbsp;CID004438 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;TITAN COMPANY LIMITED, JEWELLERY DIVISION | &nbsp;&nbsp;India | &nbsp;&nbsp;CID004491 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Impala Platinum - Platinum Metals Refinery (PMR) | &nbsp;&nbsp;South Africa | &nbsp;&nbsp;CID004714 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;Global Advanced Metals Greenbushes Pty Ltd. | &nbsp;&nbsp;Australia | &nbsp;&nbsp;CID004754 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tantalum | &nbsp;&nbsp;Jiangxi Sanshi Nonferrous Metals Co., Ltd | &nbsp;&nbsp;China | &nbsp;&nbsp;CID004813 | &nbsp;&nbsp;Active |
| &nbsp;&nbsp;Gold | &nbsp;&nbsp;Minera Titán del Perú SRL (MTP) - Belen Plant | &nbsp;&nbsp;Peru | &nbsp;&nbsp;CID005014 | &nbsp;&nbsp;Non Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;P Kay Metal, Inc | &nbsp;&nbsp;United States Of America | &nbsp;&nbsp;CID005189 | &nbsp;&nbsp;Conformant |
| &nbsp;&nbsp;Tin | &nbsp;&nbsp;PT Masbro Alam Stania | &nbsp;&nbsp;Indonesia | &nbsp;&nbsp;CID003380 | &nbsp;&nbsp;Non Conformant |

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**Appendix B: Countries of Origin for NRG Energy, Inc.**

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

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