# EDGAR Filing Document

**Accession Number:** 0001816581
**File Stem:** 0001193125-26-248203
**Filing Date:** 2026-5
**Character Count:** 45497
**Document Hash:** 6b506f67e3fe7cc8942503ba3349e136
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-26-248203.hdr.sgml**: 20260529

**ACCESSION NUMBER**: 0001193125-26-248203

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 6

**FILED AS OF DATE**: 20260529

**DATE AS OF CHANGE**: 20260529

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Ouster, Inc.
- **CENTRAL INDEX KEY:** 0001816581
- **STANDARD INDUSTRIAL CLASSIFICATION:** GENERAL INDUSTRIAL MACHINERY & EQUIPMENT, NEC [3569]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39463
- **FILM NUMBER:** 261044109

**BUSINESS ADDRESS:**
- **STREET 1:** 350 TREAT AVENUE
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94110
- **BUSINESS PHONE:** (415) 987-6972

**MAIL ADDRESS:**
- **STREET 1:** 350 TREAT AVENUE
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94110

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Colonnade Acquisition Corp.
- **DATE OF NAME CHANGE:** 20200701

**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION** 

**Washington, D.C. 20549** 

**FORM SD** 

**Specialized Disclosure Report** 

## Ouster, Inc.
**(Exact name of registrant as specified in its charter)** 

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| | | |
|:---|:---|:---|
| **Delaware** | **001-39463** | **86-2528989** |
| **(State or other jurisdiction of**<br> **incorporation)** | **(Commission**<br> **File Number)** | **(I.R.S. Employer** <br> **Identification No.)** |

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| | |
|:---|:---|
| **350 Treat Avenue**<br> **San Francisco, California** | **94110** |
| **(Address of principal executive offices)** | **(Zip Code)** |

---

---

| | |
|:---|:---|
| **Megan Chung** | **(415) 949-0108** |

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**(Name and telephone number, including area code, of the person to contact in connection with this report.)** 

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.

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

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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, Ouster, Inc. (the "Company") has undertaken efforts to determine our 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, which appears as Exhibit 1.01 hereto and is publicly available on the Company's website at <u>https://investors.ouster.com/financials/sec-filings/default.aspx</u>.

**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 Issuer Disclosure and Report.** 

Not applicable.

**Section 3 – Exhibits Item 3.01 Exhibits** 

The following exhibit is filed as part of this report.

Exhibit 1.01 – [Ouster, Inc.'s Conflict Minerals Report for the period January 1 to December 31, 2025.](d152539dex101.htm)

**\*\*\*\*\*** 

**SIGNATURE** 

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

**Ouster, Inc.** 

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| | | |
|:---|:---|:---|
| By: | /s/ Megan Chung | Date: May 29, 2026 |
|  | Name: Megan Chung |  |
|  | Title: General Counsel |  |

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<sup>1</sup> The term "conflict mineral" is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act 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.

## Exhibit 1.01

**Exhibit 1.01** 

CONFLICT MINERALS REPORT OF

**OUSTER, INC.** 

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2025

**I. Introduction** 

This is the Conflict Minerals1 Report of Ouster, Inc. ("we," "our," "us," "Ouster," or the "Company") prepared for calendar year 2025 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*2 ("OECD Due Diligence Guidance") and related Supplements.

The statements below are based on the activities performed to date in good faith by the Company and are based on the 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, continuing guidance from the Securities and Exchange Commission ("SEC"), and other issues.

**II. Overview<u> </u>**

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

Ouster is a leader in sensing and perception for Physical AI across industrial, robotics, automotive, and smart infrastructure. We design and manufacture high-resolution digital lidar sensors that offer advanced 3D vision to machinery, vehicles, robots, and fixed infrastructure assets, which allows each to understand and visualize the surrounding world and enable safe operation and autonomy. The Company's products include high-resolution scanning and solid-state digital lidar sensors, analog lidar sensors, and software solutions.

<sup>1</sup> The term "conflict mineral" is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act 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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The Company evaluated its product lines and determined that during 2025, conflict minerals were likely necessary to the functionality or production of products it manufactured or contracted to manufacture in that year. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. The Company does not purchase raw ore or unrefined conflict minerals, and it conducts no purchasing activities directly in the DRC or adjoining countries.

**<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 rules and the Company's expectations from its suppliers. The policy resides on our corporate website at <u>https://investors.ouster.com</u>/g<u>overnance</u>/g<u>overnance-documents/default.aspx</u>.

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

We have conducted a good faith reasonable country of origin inquiry ("RCOI") to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources.

The Company's RCOI process included reviewing the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release and conducting an inquiry of our direct suppliers of the in-scope products using the Responsible Minerals Initiative's ("RMI") Conflict Minerals Reporting Template ("CMRT"). Based on the results of our RCOI which indicated sourcing from the DRC or an adjoining country, we exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the OECD Due Diligence Guidance. Our due diligence efforts are discussed further in this Conflict Minerals Report.

**<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 an independent third-party audit of smelter/refiner's due diligence practices

Step 5: Report annually on supply chain due diligence

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**III. Due Diligence Measures Performed by The Company** 

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 legal, finance and supply chain. The team was structured to include the involvement from those in upper management roles, including but not limited to the Chief Operating Officer, the Vice
President of Global Supply Chain, and the General Counsel to help ensure that critical information, including the Company's conflict minerals policy, reached relevant employees and suppliers.

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 <u>https://investors.ouster.com/governance/governance-documents/default.aspx</u>.

c. Company level grievance mechanism – As recommended by the OECD Due Diligence Guidance, the Company has a
grievance mechanism in place as a risk-awareness system for conflict minerals issues. Stakeholders, internal and external, can communicate directly and confidentially with our compliance officer.

d. Records management – The Company will maintain records relating to our conflict minerals program in
accordance with the recommended record retention guidelines of five years.

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 Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release.

b. Conducted RCOI – The Company utilized the most recent version of the industry-developed CMRT to query our
suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide materials and components for the products deemed in-scope by our conflict minerals team. We
evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI. See Appendix I for a list of countries of origin identified through the RCOI process.

c. Completed additional follow-up – The Company contacted direct
suppliers multiple times to request detailed conflict minerals information. We also worked to clarify and validate the accuracy of information provided by our suppliers in order to assess and verify that we are receiving conflict minerals
information specific to our supply-chain.

d. Identified smelters or refiners ("SORs") – The Company compiled a list of SORs in our supply
chain using our suppliers' responses in their CMRTs. The Company reconciled this list to the list of smelter facilities designated by the RMI's Responsible Minerals Assurance Process ("RMAP"). The RMAP completes independent,
third-party audits of smelters and refiners to determine which can be validated

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as having systems in place that help ensure the minerals are responsibly sourced according to the OECD Due Diligence Guidance. The Company also utilized information provided by the London Bullion Market Association (LBMA), and Responsible Jewelry Council (RJC) cross-recognition audit programs. The Company also accessed a database of smelter aliases to reconcile suppliers' smelters lists to the list of RMI SORs. We have provided that list in this report within section IV – Product Description; Processing Facilities.

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

We performed the following steps as part of our risk management plan:

a. Designed and implemented a plan – Our team reviews the responses to verify the validity of SORs reported
by our suppliers, the audit status of such SORs and the country of origin of the minerals processed at such facilities.

b. Provided conflict minerals policy to suppliers – After working with a supplier to obtain a CMRT, we
provide them with a copy of our conflict minerals policy for their records to ensure our suppliers continue to operate in line with our expectations.

c. Provided the Company's Supplier Quality Assurance Manual (the "Manual") to suppliers and
required them to acknowledge receipt of the same. The Manual, among other things, requires our suppliers to collaborate with the Company in developing a chain of custody for the Conflict Minerals in the supply chain and identifying and sourcing
conflict-free sources for the minerals used in our products.

d. Identified SORs – As part of the risk mitigation process, the Company reconciled the list of SORs
collected from suppliers to the list of smelter facilities validated by the RMI. The Company has access to a database of smelter aliases to reconcile suppliers' smelters lists to the list of RMI SORs.

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

The Company is using information provided by independent third-party audit programs, including the RMI RMAP, LBMA, and RJC, to confirm the existence and verify the OECD-conformance status of SORs identified during our due diligence.

Step 5: Report annually on supply chain due diligence

Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at <u>https://investors.ouster.com/financials/sec-filings/default.aspx</u>.

**IV. Product Description; Processing Facilities** 

In 2025, Ouster's OS product line included the hemispheric field of view "OSDome", the ultra-wide view "OS0," the mid-range "OS1," and the long-range "OS2." Within each of these models, we offered numerous configuration options, including but not limited to different resolutions, connection standards, and data output structures. We offered numerous customization options, all enabled by embedded software. The Company's product offerings also included certain scanning lidar products such as VLP-16, VLP-16 Lite, VLP-16 Hi-Res, VLP-32, and VLS-128.

**<u>Processing</u> <u>Facilities</u> –** 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 and refiners of the tin, tantalum, tungsten and/or gold 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 some contain company-level declarations (i.e., declarations not specific to the Company's supply chain). Certain suppliers, including a contract manufacturer, also provided information derived from sub-tier supplier responses that were not specific to the Company's products. The Company did not receive sufficient product-level information to independently verify which smelters and refiners were present in the Company's specific supply chain. As such, this smelter list is presented in good faith as the best information we have to date. For 2025, we identified 330 SORs in our supply chain, 205 have been audited as conformant with the RMAP. As noted above, some of the Company's suppliers responded to our diligence requests by providing information relating to all of the items such suppliers produce without identifying smelters specific to the goods in the Company's supply chain. Accordingly, because of this generic information and suppliers' practice of over-reporting CMRT information, the Company was unable to confirm after diligence whether non-compliant smelters are not part of our supply chain. The inclusion of smelters in the list below, as well as possible countries of origin, is not a definitive indicator that the Company utilizes materials sourced from these smelters or countries. We will continue our diligence efforts by further engaging with our suppliers to improve transparency and confirm their compliance with our conflicts mineral policy and applicable law. We will update the list as our information and the relevant third-party data from RMI, LBMA, and RJC improves.

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![LOGO](g152539dsp7.jpg)

![LOGO](g152539dsp7a.jpg)

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![LOGO](g152539dsp8.jpg)

![LOGO](g152539dsp8a.jpg)

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| | | | |
|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Country** | **Smelter ID** |
| Gold | 8853 S.p.A. | ITALY | CID002763 |
| Gold | ABC Refinery Pty Ltd. | AUSTRALIA | CID002920 |
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | CID002708 |
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 |
| Gold | African Gold Refinery | UGANDA | CID003185 |
| Gold | Agosi AG | GERMANY | CID000035 |
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 |
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | CID002560 |
| Gold | Albino Mountinho Lda. | PORTUGAL | CID002760 |
| Gold | Alexy Metals | UNITED STATES OF AMERICA | CID003500 |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 |
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 |
| Gold | ASAHI METALFINE, Inc. | JAPAN | CID000082 |
| Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 |
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CID000920 |
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 |
| Gold | Attero Recycling Pvt Ltd | INDIA | CID004697 |
| Gold | AU Traders and Refiners | SOUTH AFRICA | CID002850 |
| Gold | Augmont Enterprises Private Limited | INDIA | CID003461 |
| Gold | Aurubis AG, Hamburg | GERMANY | CID000113 |
| Gold | Bangalore Refinery | INDIA | CID002863 |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 |
| Gold | Boliden Mineral AB (Ronnskar) | SWEDEN | CID000157 |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 |
| Gold | Caridad | MEXICO | CID000180 |
| Gold | Cendres + Metaux S.A. | SWITZERLAND | CID000189 |
| Gold | CGR Metalloys Pvt Ltd. | INDIA | CID003382 |
| Gold | Chimet S.p.A. | ITALY | CID000233 |
| Gold | Chugai Mining | JAPAN | CID000264 |
| Gold | Coimpa Industrial LTDA | BRAZIL | CID004010 |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 |
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | CID003348 |
| Gold | Dongwu Gold Group | CHINA | CID003663 |
| Gold | Dowa | JAPAN | CID000401 |
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 |
| Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | CID000425 |
| Gold | Eco-System Recycling Co., Ltd. North Plant | JAPAN | CID003424 |
| Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | CID003425 |
| Gold | Elite Industech Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID004755 |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | CID003487 |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | CID003488 |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | CID003489 |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | CID003490 |
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 |
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 |
| Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | CID002584 |
| Gold | Gasabo Gold Refinery Ltd | RWANDA | CID005006 |
| Gold | GG Refinery Ltd. | TANZANIA, UNITED REPUBLIC OF | CID004506 |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 |
| Gold | Glencore Canada Corporation—CCR Refinery | CANADA | CID000185 |
| Gold | Gold by Gold Colombia | COLOMBIA | CID003641 |
| Gold | Gold Coast Refinery | GHANA | CID003186 |
| Gold | Gold Corporation—The Perth Mint | AUSTRALIA | CID002030 |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 |
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 |
| Gold | Heraeus Germany GmbH Co. KG | GERMANY | CID000711 |
| Gold | Heraeus Metals Hong Kong Ltd. | HONG KONG | CID000707 |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | CID000773 |
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | CID000778 |
| Gold | Impala Platinum—Platinum Metals Refinery (PMR) | SOUTH AFRICA | CID004714 |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 |
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | CID002562 |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 |
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 |
| Gold | Italpreziosi | ITALY | CID002765 |
| Gold | JALAN & Company | INDIA | CID002893 |
| Gold | Japan Mint | JAPAN | CID000823 |
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 |

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| | | | |
|:---|:---|:---|:---|
| Gold | JSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 |
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 |
| Gold | JX Advanced Metals Corporation | JAPAN | CID000937 |
| Gold | K.A. Rasmussen | NORWAY | CID003497 |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 |
| Gold | Kazzinc Ltd | KAZAKHSTAN | CID000957 |
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 |
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 |
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 |
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 |
| Gold | Kundan Care Products Ltd. | INDIA | CID003463 |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 |
| Gold | Lingbao Gold Co., Ltd. | CHINA | CID001056 |
| Gold | L'Orfebre S.A. | ANDORRA | CID002762 |
| Gold | LS MnM Inc. | KOREA, REPUBLIC OF | CID001078 |
| Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | CID000689 |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 |
| Gold | Marsam Metals | BRAZIL | CID002606 |
| Gold | Materion | UNITED STATES OF AMERICA | CID001113 |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 |
| Gold | MD Overseas | INDIA | CID003548 |
| Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | CID003575 |
| Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | CID003557 |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 |
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 |
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 |
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 |
| Gold | Minera Titan del Peru SRL (MTP)—Belen Plant | PERU | CID005014 |
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 |
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 |
| Gold | MKS PAMP SA | SWITZERLAND | CID001352 |
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 |
| Gold | Modeltech Sdn Bhd | MALAYSIA | CID002857 |
| Gold | Morris and Watson | NEW ZEALAND | CID002282 |
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 |
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | CID003189 |
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 |
| Gold | NOBLE METAL SERVICES | UNITED STATES OF AMERICA | CID003690 |
| Gold | Oegussa Oesterreichische Gold- und Silber-Scheideanstalt Gesm.b.H. | AUSTRIA | CID002779 |
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 |
| Gold | Pease & Curren | UNITED STATES OF AMERICA | CID002872 |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 |
| Gold | Planta Recuperadora de Metales SpA | CHILE | CID002919 |
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 |
| Gold | PX Precinox S.A. | SWITZERLAND | CID001498 |
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | CID003324 |
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 |
| Gold | REMONDIS PMR B.V. | NETHERLANDS | CID002582 |
| Gold | Royal Canadian Mint | CANADA | CID001534 |
| Gold | SAAMP | FRANCE | CID002761 |
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | CID001546 |
| Gold | Safimet S.p.A | ITALY | CID002973 |
| Gold | SAFINA A.S. | CZECHIA | CID002290 |
| Gold | SAM Precious Metals FZ-LLC | UNITED ARAB EMIRATES | CID003666 |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | CID001562 |
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 |
| Gold | Shandong Gold Smelting Co., Ltd. | CHINA | CID001916 |
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | CID002525 |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 |
| Gold | Shenzhen CuiLu Gold Co., Ltd. | CHINA | CID002750 |
| Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. | CHINA | CID004435 |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | CID002527 |
| Gold | Shirpur Gold Refinery Ltd. | INDIA | CID002588 |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 |

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| | | | |
|:---|:---|:---|:---|
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 |
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 |
| Gold | SOLEIL METALS (Chala One Plant) | PERU | CID004704 |
| Gold | SOLEIL METALS (YAKARI Plant) | PERU | CID004705 |
| Gold | Sovereign Metals | INDIA | CID003383 |
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 |
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | CID002918 |
| Gold | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID001810 |
| Gold | T.C.A S.p.A | ITALY | CID002580 |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 |
| Gold | TITAN COMPANY LIMITED, JEWELLERY DIVISION | INDIA | CID004491 |
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 |
| Gold | Tongling Nonferrous Jinguan (Ausmelt) Copper Industry | CHINA | CID001947 |
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | CID002615 |
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 |
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 |
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 |
| Gold | WEEEREFINING | FRANCE | CID003615 |
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 |
| Gold | Yamakin Co., Ltd. | JAPAN | CID002100 |
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 |
| Gold | Yunnan Copper Southwest Copper Branch | CHINA | CID000197 |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 |
| Gold | Zijin Mining Group Gold Smelting Co. Ltd. | CHINA | CID002243 |
| Tantalum | 5D Production OU | ESTONIA | CID003926 |
| Tantalum | AMG Brasil | BRAZIL | CID001076 |
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 |
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 |
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | CID000291 |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 |
| Tantalum | Jiangxi Suns Nonferrous Materials Co. Ltd. | CHINA | CID004813 |
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 |
| Tantalum | KEMET de Mexico | MEXICO | CID002539 |
| Tantalum | Materion Newton Inc. | UNITED STATES OF AMERICA | CID002548 |
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 |
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 |
| Tantalum | Mitsui Kinzoku Company, Limited | JAPAN | CID001192 |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 |
| Tantalum | NPM Silmet OU | ESTONIA | CID001200 |
| Tantalum | PowerX Ltd. | RWANDA | CID004054 |
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 |
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 |
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 |
| Tantalum | TANIOBIS Co., Ltd. | THAILAND | CID002544 |
| Tantalum | TANIOBIS GmbH | GERMANY | CID002545 |
| Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | CID002549 |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002550 |
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | CID001891 |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | CID000616 |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 |
| Tin | Alpha Assembly Solutions Inc | UNITED STATES OF AMERICA | CID000292 |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 |
| Tin | Aurubis Beerse | BELGIUM | CID002773 |
| Tin | Aurubis Berango | SPAIN | CID002774 |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 |
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | CID003486 |
| Tin | CRM Synergies EMEA, S.L.U. | SPAIN | CID003524 |
| Tin | CV Ayi Jaya | INDONESIA | CID002570 |
| Tin | Dongguan Best Alloys Co., Ltd. | CHINA | CID000377 |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | CID003356 |

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| | | | |
|:---|:---|:---|:---|
| Tin | Dowa | JAPAN | CID000402 |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 |
| Tin | Empresa Metallurgica Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 |
| Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | BRAZIL | CID003582 |
| Tin | Fenix Metals | POLAND | CID000468 |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | CID003410 |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 |
| Tin | Global Advanced Metals Greenbushes Pty Ltd. | AUSTRALIA | CID004754 |
| Tin | Guangdong Hanhe Non-ferrous Metal Limited Company | CHINA | CID003116 |
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | CID001231 |
| Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd | CHINA | CID004796 |
| Tin | Luna Smelter, Ltd. | RWANDA | CID003387 |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | CHINA | CID003379 |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 |
| Tin | Malaysia Smelting Corporation Berhad (Port Klang) | MALAYSIA | CID004434 |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 |
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 |
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 |
| Tin | Mining Minerals Resources SARL | CONGO, DEMOCRATIC REPUBLIC OF THE | CID004065 |
| Tin | Minsur | PERU | CID001182 |
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 |
| Tin | Modeltech Sdn Bhd | MALAYSIA | CID002858 |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 |
| Tin | Novosibirsk Tin Combine | RUSSIAN FEDERATION | CID001305 |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 |
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 |
| Tin | P Kay Metal, Inc | UNITED STATES OF AMERICA | CID005189 |
| Tin | Precious Minerals and Smelting Limited | INDIA | CID003409 |
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 |
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 |
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 |
| Tin | PT Bangka Prima Tin | INDONESIA | CID002776 |
| Tin | PT Cipta Persada Mulia | INDONESIA | CID002696 |
| Tin | PT Masbro Alam Stania | INDONESIA | CID003380 |
| Tin | PT Mitra Graha Raya | INDONESIA | CID004685 |
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 |
| Tin | PT Mitra Sukses Globalindo | INDONESIA | CID003449 |
| Tin | PT Premium Tin Indonesia | INDONESIA | CID000313 |
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 |
| Tin | PT Putera Sarana Shakti (PT PSS) | INDONESIA | CID003868 |
| Tin | PT Rajehan Ariq | INDONESIA | CID002593 |
| Tin | PT Timah Tbk Kundur | INDONESIA | CID001477 |
| Tin | PT Timah Tbk Mentok | INDONESIA | CID001482 |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 |
| Tin | RIKAYAA GREENTECH PRIVATE LIMITED | INDIA | CID004692 |
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 |
| Tin | Super Ligas | BRAZIL | CID002756 |
| Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | JAPAN | CID004403 |
| Tin | Thaisarco | THAILAND | CID001898 |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CHINA | CID002180 |
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | CID003325 |
| Tin | VQB Mineral and Trading Group JSC | VIET NAM | CID002015 |
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 |
| Tin | Woodcross Smelting Company Limited | UGANDA | CID004724 |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | CID003397 |
| Tungsten | A.L.M.T. Corp. | JAPAN | CID000004 |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | CID003427 |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 |
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | CID002641 |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 |
| Tungsten | Cronimet Brasil Ltda | BRAZIL | CID003468 |
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CHINA | CID003609 |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 |

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| | | | |
|:---|:---|:---|:---|
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 |
| Tungsten | Global Tungsten & Powders LLC | UNITED STATES OF AMERICA | CID000568 |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 |
| Tungsten | Hubei Green Tungsten Co., Ltd. | CHINA | CID003417 |
| Tungsten | Hunan Jintai New Material Co., Ltd. | CHINA | CID000769 |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CHINA | CID002513 |
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 |
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 |
| Tungsten | Jing Yuan Tungsten Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID005012 |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | CID003408 |
| Tungsten | KENEE MINING VIETNAM COMPANY LIMITED | VIET NAM | CID004619 |
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 |
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 |
| Tungsten | Lianyou Metals Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID003407 |
| Tungsten | Lianyou Resources Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID004397 |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 |
| Tungsten | Masan High-Tech Materials | VIET NAM | CID002543 |
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 |
| Tungsten | Nam Viet Cromit Joint Stock Company | VIET NAM | CID004034 |
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 |
| Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | CID003416 |
| Tungsten | OOO "Technolom" 1 | RUSSIAN FEDERATION | CID003614 |
| Tungsten | OOO "Technolom" 2 | RUSSIAN FEDERATION | CID003612 |
| Tungsten | Philippine Carreytech Metal Corp. | PHILIPPINES | CID004438 |
| Tungsten | S.P.T. spol.s r.o. | CZECHIA | CID005068 |
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | CHINA | CID004430 |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002542 |
| Tungsten | Tungamoy Metals Inc. | KOREA, REPUBLIC OF | CID005248 |
| Tungsten | Tungsten Vietnam Joint Stock Company | VIET NAM | CID003993 |
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 |
| Tungsten | Uzbekistan Technological Metallurgical Complex JSC | UZBEKISTAN | CID002660 |
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 |
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 |
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CHINA | CID003662 |

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**V. Future Due Diligence** 

We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information available globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we may continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to help ensure alignment throughout the supply chain.

In addition to the above-referenced steps, the Company plans to undertake the following steps during the next compliance period:

• Review the conflict minerals policy statement and update if necessary.

• Continue to encourage suppliers' comportment with the requirements set forth in our Supplier Quality
Assurance Manual and their own stated commitment to source minerals from smelters and refiners validated as being conflict free.

• Continue to collect responses from suppliers using the most recent revision of the CMRT.

• Compare and validate RCOI results to information collected via independent third-party audit programs, such as
the RMI, and through our Company's own coordinated outreach to smelters.

• Encourage responsible sourcing from the DRC and adjoining countries.

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**Safe Harbor and Forward-Looking Statements** 

*Certain statements in this Conflict Minerals Report contain "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995 and are based on current expectations and assumptions that are subject to risks and uncertainties. All statements contained in this Conflict Minerals Report that do not relate to matters of historical fact should be considered forward-looking statements, and are generally identified by words such as "believes," "may," "will," "expects," "intends," "plans," "anticipates," and other similar expressions. These forward-looking statements include, but are not limited to, statements regarding expectation or intention relating to our compliance efforts, expected future diligence actions, our competitive position and our plans to stop manufacturing legacy Velodyne products. These statements are neither promises nor guarantees, but involve risks and uncertainties that may cause future expectations or actions to be different, including, but not limited to, we and our vendors are subject to various environmental laws and regulations that could impose substantial costs upon us and cause delays in expanding production facilities; and failure to meet evolving environmental, social, and governance ("ESG") expectations or standards or to achieve our ESG goals could adversely affect our business, results of operations, financial condition, and stock price; as well as the risks discussed in Item 1A of our Annual Report on Form 10-K for the fiscal year ended December 31, 2025, as may be further updated from time to time in the Company's Quarterly Reports on Form 10-Q and other filings with the SEC. Undue reliance should not be placed on these statements, which are only effective as of the date of this report. The Company disclaims any obligation to update any forward-looking statements as a result of developments occurring after the date of this document except as required by law.* 

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**APPENDIX I – Countries of Origin** 

The information provided in this Appendix is based on the information collected from the Company's suppliers.

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| | |
|:---|:---|
| Australia | Myanmar |
| Benin | Namibia |
| Bolivia | Nicaragua |
| Brazil | Niger |
| Burundi | Nigeria |
| Canada | Papua New Guinea |
| Chile | Peru |
| China | Philippines |
| Colombia | Portugal |
| Congo, Democratic Republic of the | Rwanda |
| Ethiopia | Sierra Leone |
| France | South Africa |
| Germany | Spain |
| Guyana | Sweden |
| India | Tanzania |
| Indonesia | Thailand |
| Japan | Uganda |
| Laos | United Kingdom |
| Liberia | United States of America |
| Madagascar | Uzbekistan |
| Malaysia | Vietnam |
| Mongolia | Zambia |
| Mozambique | Zimbabwe |

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