# EDGAR Filing Document

**Accession Number:** 0000933974
**File Stem:** 0001437749-26-018376
**Filing Date:** 2026-5
**Character Count:** 37520
**Document Hash:** 738fcbaf08949b3372914e7244ebe1d6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-26-018376.hdr.sgml**: 20260526

**ACCESSION NUMBER**: 0001437749-26-018376

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20260526

**DATE AS OF CHANGE**: 20260526

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Azenta, Inc.
- **CENTRAL INDEX KEY:** 0000933974
- **STANDARD INDUSTRIAL CLASSIFICATION:** SPECIAL INDUSTRY MACHINERY, NEC [3559]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 043040660
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-25434
- **FILM NUMBER:** 261019915

**BUSINESS ADDRESS:**
- **STREET 1:** 200 SUMMIT DRIVE
- **STREET 2:** 6TH FLOOR
- **CITY:** BURLINGTON
- **STATE:** MA
- **ZIP:** 01803
- **BUSINESS PHONE:** (978) 262-2400

**MAIL ADDRESS:**
- **STREET 1:** 200 SUMMIT DRIVE
- **STREET 2:** 6TH FLOOR
- **CITY:** BURLINGTON
- **STATE:** MA
- **ZIP:** 01803

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Brooks Automation, Inc.
- **DATE OF NAME CHANGE:** 20190521

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BROOKS AUTOMATION INC
- **DATE OF NAME CHANGE:** 20030228

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BROOKS-PRI AUTOMATION INC
- **DATE OF NAME CHANGE:** 20020514

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

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**Specialized Disclosure Report**

**AZENTA, INC.**

(Exact Name of Registrant as Specified in Charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **0-25434** | **04-3040660** |
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |

---

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| | |
|:---|:---|
| **200 Summit Drive, 6<sup>th</sup> Floor, Burlington, MA** | **01803** |
| (Address of Principal Executive Offices) | (Zip Code) |

---

<u>Ephraim Starr</u>   <u>978-262-2400</u> <br> 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.

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**Section 1 - Conflict Minerals Disclosure**

**Item 1.01 Conflict Minerals Disclosure and Report**

A copy of the Conflict Minerals Report of Azenta, Inc. for calendar year 2025 is filed as Exhibit 1.01 to this Form SD and is publicly available on Azenta, Inc.'s website at https://investors.azenta.com/corporate-governance.

**Item 1.02 Exhibit**

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.

**Section 2** – **Exhibits**

**Item 2.01 Exhibits**

The following Exhibit is filed as a part of this report:

Exhibit 1.01 [Conflict Minerals Report for the year ended December 31, 2025](ex_968241.htm)

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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 undersigned hereunto duly authorized.

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| | |
|:---|:---|
| AZENTA, INC. |  |
| /s/ Ephraim Starr |  |
| Ephraim Starr | Date: May 26, 2026 |
| Senior Vice President, General Counsel and Secretary |  |

---

## Exhibit 1.01

**Exhibit 1.01**

Introduction

Azenta, Inc., also referred to as "Azenta", "we", "our", and "us", is a leading global provider of biological and chemical compound sample exploration and management solutions for the life sciences industry. The Company supports its customers from research and clinical development to commercialization with its sample management and automated storage, as well as genomic services expertise to help its customers bring impactful therapies to market faster. The Company understands the importance of sample integrity and offers a broad portfolio of products and services supporting customers at every stage of the life cycle of samples, including procurement, automated storage systems, genomic services and a multitude of sample consumables, informatics and data software, and sample repository services. The Company's expertise, global footprint, and leadership positions enable it to be a trusted global partner to pharmaceutical, biotechnology, and life sciences research institutions.

This CMR is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the "Rule"). The Rule imposes certain reporting obligations on U.S. Securities and Exchange Commission ("SEC") issuers whose manufactured products contain certain minerals necessary for the functionality or production of those products. These minerals are cassiterite, columbite-tantalite (coltan), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten ("3TG" or "Conflict Minerals"). The Rule focuses on 3TG emanating from the Democratic Republic of the Congo ("DRC") region and nine adjoining countries (together, the "Covered Countries"). If an issuer has reason to believe that any of the Conflict Minerals in their supply chain may have originated in the Covered Countries, or if they are unable to determine the country of origin of those Conflict Minerals, then the issuer must exercise due diligence on the Conflict Minerals' source and chain of custody and submit a CMR to the SEC that includes a description of those due diligence measures.

This CMR relates to the process undertaken for Azenta products manufactured or contracted to be manufactured during calendar year 2025 that contain Conflict Minerals.

Executive Summary

Azenta performed a Reasonable Country of Origin Inquiry (RCOI) on suppliers believed to provide Azenta with materials or components containing 3TGs necessary to the manufacturing of Azenta's products. Azenta's suppliers identified 335 valid smelters and refineries ("smelters"). Of these 335 smelters, Azenta identified 48 as sourcing (or there was a reason to believe they may be sourcing) from the Covered Countries. Azenta's due diligence review indicated that 32 of these smelters have been audited and are conformant to the Reasonable Minerals Assurance Process ("RMAP"). The remaining 16 smelters are subject to Azenta's risk mitigation process in accordance with the OECD Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High-Risk Areas (OECD Due Diligence Guidance).

Company Management Systems

Azenta established strong management systems in accordance with Step 1 of the OECD Due Diligence Guidance.

Azenta's systems included

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Step 1A - Adopt, and clearly communicate to suppliers and the public, a company policy for the supply chain of minerals originating from conflict-affected and high-risk areas.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Implemented a conflict minerals policy

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Policy made publicly available

• https://investors.azenta.com/corporate-governance

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Policy communicated directly to suppliers as part of RCOI process

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Step 1B - Structure internal management to support supply chain due diligence

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Maintained an internal cross-functional team to support supply chain due diligence

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Appointed a member of the senior staff with the necessary competence, knowledge, and experience to oversee supply chain due diligence

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Applied the resources necessary to support the operation and monitoring of these processes, including internal resources and external consulting support.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Step 1C - Establish a system of transparency, information collection and control over the supply chain · Implemented a process to collect required suppliers and smelter RCOI and due diligence data. Full details on the supply chain data gathering are included in the RCOI and due diligence sections of this Report.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Step 1D - Strengthen company engagement with suppliers ·

Directly engaged suppliers during RCOI process.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Reviewed supplier responses as part of RCOI process.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Added conflict minerals compliance to new supplier contracts and Azenta's supplier code of conduct.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Implemented a plan to improve the quantity and quality of supplier and smelter responses year over year.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Step 1E - Establish a company and/or mine-level grievance mechanism.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Recognized the RMAP's three audit protocols for gold, tin/tantalum, and tungsten as valid sources of smelter or mine-level grievances.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Azenta's ethics violations reporting system allows employees to voice concerns confidentially without any fear of retribution, any concerns with the violations of Azenta's conflict minerals policy

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Reasonable Country of Origin Inquiry (RCOI)

Azenta designed its RCOI process in accordance with Steps 2A and 2B of the OECD Due Diligence Guidance. Azenta's RCOI process involved two stages:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Stage 1 - Supplier RCOI (Step 2A of the OECD Due Diligence Guidance)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Stage 2 - Smelter RCOI (Step 2B of the OECD Due Diligence Guidance)

Supplier RCOI

Azenta designed its supplier RCOI process to, to the best of Azenta's efforts, identify the smelters in Azenta's supply chain in accordance with Step 2A of the OECD Due Diligence Guidance. Azenta's supplier RCOI process for the 2025 reporting period included the following

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Developing a list of suppliers providing 3TG containing components to Azenta.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Contacting each supplier and requesting the industry standard Conflict Minerals Reporting Template ("CMRT"), including smelter information.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Reviewing supplier responses for accuracy and completeness.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Amalgamating supplier-provided smelters into a single unique list of smelters meeting the definition of a smelter under one of three industry-recognized audit protocols.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Reviewing the final smelter list (and comparing it to industry peers) to determine if Azenta identified all of the smelters in their supply chain reasonably.

For the 2025 reporting period, Azenta's RCOI process was executed by Claigan Environmental Inc. ("Claigan").

Azenta's suppliers identified 335 smelters in their supply chain. The specific list of smelters is included in the Smelter and Refineries section at the end of this report.

Smelter RCOI

Due to the overlap between supplier RCOI and smelter due diligence, the smelter RCOI process is summarized in the due diligence section of this report.

Due Diligence

Azenta's Due Diligence Process was designed in accordance with the applicable sections of Steps 2, 3, and 4 of the OECD Due Diligence Guidance.

Smelter RCOI and Due Diligence

Azenta's smelter RCOI and due diligence process were designed to

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Identify the scope of the risk assessment of the mineral supply chain (OECD Step 2B).

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Assess whether the smelters/refiners have carried out all elements of due diligence for responsible supply chains of minerals from conflict-affected and high-risk areas (OECD Step 2C).

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Where necessary, carry out, including through participation in industry-driven programs, joint spot checks at the mineral smelter/refiner's own facilities (OECD Step 2D).

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Azenta's smelter RCOI and Due Diligence Process included the following -

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• For each smelter identified in Azenta's supply chain

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Azenta attempted direct engagement with the smelter to determine whether or not the smelter sources from the DRC or the surrounding countries

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• For smelters that declared directly (e.g. email correspondence, publicly available conflict minerals policy, or information available on their website) or through their relevant industry association that they did not source from the DRC or surrounding countries, and were not conformant to the RMAP, Azenta reviewed publicly available information to determine if there was any contrary evidence to the smelter's declaration. The sources reviewed included

• Public internet search (Google) of the facility in combination with each of the Covered Countries

• Review of specific NGO publications. NGO publications reviewed included

• SWISSAID

• Global Witness

• Southern Africa Resource Watch

• The Business and Human Rights Resource Centre

• Radio Okapi

• The most recent UN Group of Experts report on the DRC

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• For smelters that did not respond to direct engagement, Azenta reviewed publicly available sources to determine if there was any reason to believe that the smelter may have sourced from the Covered Countries during the reporting period.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Azenta reviewed the same sources as those used to compare against smelter sourcing declarations.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• For high-risk smelters (smelters that are sourcing from or there is reason to believe they may be sourcing from the Covered Countries) and are not conformant to the RMAP, Azenta communicates the risk to a designated member of senior management (OECD Step 3A) and conducts risk mitigation on the smelter according to OECD Step 3B.

For the 2025 reporting period, Azenta's smelter RCOI and Due Diligence process was executed by Claigan Environmental Inc. (Claigan).

Azenta's suppliers identified 335 smelters. Azenta identified 48 smelters that source from, or for which there is reason to believe they may source from, the Covered Countries. Azenta determined that 32 of the 48 smelters have been audited and are compliant with the RMAP. Azenta conducted risk mitigation on the remaining 16 smelters.

Risk Mitigation

Azenta's risk mitigation was designed in accordance with Step 3B of the OECD Due Diligence Guidance and was reported to the Vice President and General Counsel, in accordance with Step 3A of the OECD Due Diligence Guidance. Azenta's risk mitigation process included the following -

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Additional due diligence to determine if there was any reason to believe the applicable smelter directly or indirectly finances or benefits armed groups in the DRC or adjoining countries.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Verifying with internal stakeholders and relevant suppliers whether 3TGs from the applicable smelter were actually in Azenta's supply chain in the 2025 reporting period.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Direct engagement with the high-risk smelter to verify risk and to encourage the smelter to become conflict-free.

Improvement Plan

Azenta is taking and will continue to take the following steps to improve the due diligence conducted to further mitigate the risk that the necessary conflict minerals in Azenta's products could directly or indirectly benefit or finance armed groups in the Covered Countries:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;a. Including a conflict minerals clause in all new and renewed supplier contracts.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;b. Continuing to drive our suppliers to obtain current, accurate, and complete information about the smelters in their supply chain.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;c. Engaging smelters sourcing from the Covered Countries to be audited and certified to a protocol recognized by the RMAP.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;d. Follow up in 2026 on smelters requiring risk mitigation, but not removal from Azenta's supply chain.

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Smelters and Refineries

Below are the smelters reported to Azenta as likely in Azenta's supply chain in the 2025 reporting period.

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| | | |
|:---|:---|:---|
| **Metal** | **Standard Smelter Name** | **Smelter ID** |
| Gold | 8853 S.p.A. | CID002763 |
| Gold | ABC Refinery Pty Ltd. | CID002920 |
| Gold | Abington Reldan Metals, LLC | CID002708 |
| Gold | Advanced Chemical Company | CID000015 |
| Gold | African Gold Refinery | CID003185 |
| Gold | Agosi AG | CID000035 |
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 |
| Gold | Al Etihad Gold Refinery DMCC | CID002560 |
| Gold | Albino Mountinho Lda. | CID002760 |
| Gold | Alexy Metals | CID003500 |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 |
| Gold | AngloGold Ashanti Córrego do Sítio Mineração | CID000058 |
| Gold | Argor-Heraeus S.A. | CID000077 |
| Gold | ASAHI METALFINE, Inc. | CID000082 |
| Gold | Asahi Refining Canada Ltd. | CID000924 |
| Gold | Asahi Refining USA Inc. | CID000920 |
| Gold | Asaka Riken Co., Ltd. | CID000090 |
| Gold | Attero Recycling Pvt Ltd | CID004697 |
| Gold | AU Traders and Refiners | CID002850 |
| Gold | Augmont Enterprises Private Limited | CID003461 |
| Gold | Aurubis AG, Hamburg | CID000113 |
| Gold | Bangalore Refinery | CID002863 |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 |
| Gold | Boliden Mineral AB (Ronnskar) | CID000157 |
| Gold | C. Hafner GmbH + Co. KG | CID000176 |
| Gold | Caridad | CID000180 |
| Gold | Cendres + Métaux S.A. | CID000189 |
| Gold | CGR Metalloys Pvt Ltd. | CID003382 |
| Gold | Chimet S.p.A. | CID000233 |
| Gold | Chugai Mining | CID000264 |
| Gold | Coimpa Industrial LTDA | CID004010 |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 |
| Gold | Dijllah Gold Refinery FZC | CID003348 |
| Gold | Dongwu Gold Group | CID003663 |
| Gold | Dowa | CID000401 |
| Gold | DSC (Do Sung Corporation) | CID000359 |
| Gold | Eco-System Recycling Co., Ltd. East Plant | CID000425 |
| Gold | Eco-System Recycling Co., Ltd. North Plant | CID003424 |
| Gold | Eco-System Recycling Co., Ltd. West Plant | CID003425 |
| Gold | Elite Industech Co., Ltd. | CID004755 |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | CID003487 |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | CID003488 |

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| | | |
|:---|:---|:---|
| Gold | Emerald Jewel Industry India Limited (Unit 3) | CID003489 |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | CID003490 |
| Gold | Emirates Gold DMCC | CID002561 |
| Gold | Fidelity Printers and Refiners Ltd. | CID002515 |
| Gold | Fujairah Gold FZC | CID002584 |
| Gold | Gasabo Gold Refinery Ltd | CID005006 |
| Gold | GG Refinery Ltd. | CID004506 |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | CID002852 |
| Gold | Glencore Canada Corporation - CCR Refinery | CID000185 |
| Gold | Gold by Gold Colombia | CID003641 |
| Gold | Gold Coast Refinery | CID003186 |
| Gold | Gold Corporation - The Perth Mint | CID002030 |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 |
| Gold | Heimerle + Meule GmbH | CID000694 |
| Gold | Heraeus Limited Hong Kong (HLH) | CID000707 |
| Gold | Heraeus Precious Metals Germany (HPMG) | CID000711 |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CID000773 |
| Gold | HwaSeong CJ Co., Ltd. | CID000778 |
| Gold | Impala Platinum - Platinum Metals Refinery (PMR) | CID004714 |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 |
| Gold | International Precious Metal Refiners | CID002562 |
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 |
| Gold | Istanbul Gold Refinery | CID000814 |
| Gold | Italpreziosi | CID002765 |
| Gold | JALAN & Company | CID002893 |
| Gold | Japan Mint | CID000823 |
| Gold | Jiangxi Copper Co., Ltd. | CID000855 |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 |
| Gold | JSC Novosibirsk Refinery | CID000493 |
| Gold | JSC Uralelectromed | CID000929 |
| Gold | JX Advanced Metals Corporation | CID000937 |
| Gold | K.A. Rasmussen | CID003497 |
| Gold | Kazakhmys Smelting LLC | CID000956 |
| Gold | Kazzinc | CID000957 |
| Gold | Kennecott Utah Copper LLC | CID000969 |
| Gold | KGHM Polska Miedź Spółka Akcyjna | CID002511 |
| Gold | Kojima Chemicals Co., Ltd. | CID000981 |
| Gold | Korea Zinc Co., Ltd. | CID002605 |
| Gold | Kundan Care Products Ltd. | CID003463 |
| Gold | Kyrgyzaltyn JSC | CID001029 |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 |
| Gold | L'Orfebre S.A. | CID002762 |
| Gold | Lingbao Gold Co., Ltd. | CID001056 |
| Gold | LS MnM Inc. | CID001078 |

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| | | |
|:---|:---|:---|
| Gold | LT Metal Ltd. | CID000689 |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 |
| Gold | Marsam Metals | CID002606 |
| Gold | Materion | CID001113 |
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 |
| Gold | MD Overseas | CID003548 |
| Gold | Metal Concentrators SA (Pty) Ltd. | CID003575 |
| Gold | Metallix Refining Inc. | CID003557 |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 |
| Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 |
| Gold | Metalor Technologies S.A. | CID001153 |
| Gold | Metalor USA Refining Corporation | CID001157 |
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | CID001161 |
| Gold | Minera Titan del Peru SRL (MTP) - Belen Plant | CID005014 |
| Gold | Mitsubishi Materials Corporation | CID001188 |
| Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 |
| Gold | MKS PAMP SA | CID001352 |
| Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 |
| Gold | Modeltech Sdn Bhd | CID002857 |
| Gold | Morris and Watson | CID002282 |
| Gold | Moscow Special Alloys Processing Plant | CID001204 |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | CID001220 |
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 |
| Gold | NH Recytech Company | CID003189 |
| Gold | Nihon Material Co., Ltd. | CID001259 |
| Gold | NOBLE METAL SERVICES | CID003690 |
| Gold | Oegussa Oesterreichische Gold- und Silber-Scheideanstalt Gesm.b.H. | CID002779 |
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 |
| Gold | Pease & Curren | CID002872 |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 |
| Gold | Planta Recuperadora de Metales SpA | CID002919 |
| Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 |
| Gold | PT Aneka Tambang (Persero) Tbk | CID001397 |
| Gold | PX Précinox S.A. | CID001498 |
| Gold | QG Refining, LLC | CID003324 |
| Gold | Rand Refinery (Pty) Ltd. | CID001512 |
| Gold | REMONDIS PMR B.V. | CID002582 |
| Gold | Royal Canadian Mint | CID001534 |
| Gold | SAAMP | CID002761 |
| Gold | Sabin Metal Corp. | CID001546 |
| Gold | Safimet S.p.A | CID002973 |
| Gold | SAFINA A.S. | CID002290 |
| Gold | SAM Precious Metals FZ-LLC | CID003666 |

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| | | |
|:---|:---|:---|
| Gold | Samduck Precious Metals | CID001555 |
| Gold | Samwon Metals Corp. | CID001562 |
| Gold | SEMPSA Joyería Platería S.A. | CID001585 |
| Gold | Shandong Gold Smelting Co., Ltd. | CID001916 |
| Gold | Shandong Humon Smelting Co., Ltd. | CID002525 |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 |
| Gold | Shenzhen CuiLu Gold Co., Ltd. | CID002750 |
| Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. | CID004435 |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CID002527 |
| Gold | Shirpur Gold Refinery Ltd. | CID002588 |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 |
| Gold | Singway Technology Co., Ltd. | CID002516 |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 |
| Gold | Solar Applied Materials Technology Corp. | CID001761 |
| Gold | SOLEIL METALS (Chala One Plant) | CID004704 |
| Gold | SOLEIL METALS (YAKARI Plant) | CID004705 |
| Gold | Sovereign Metals | CID003383 |
| Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 |
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 |
| Gold | SungEel HiMetal Co., Ltd. | CID002918 |
| Gold | Super Dragon Technology Co., Ltd. | CID001810 |
| Gold | T.C.A S.p.A | CID002580 |
| Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 |
| Gold | TITAN COMPANY LIMITED, JEWELLERY DIVISION | CID004491 |
| Gold | Tokuriki Honten Co., Ltd. | CID001938 |
| Gold | Tongling (Jinguan) Nonferrous Jinguan Copper Industry | CID001947 |
| Gold | TOO Tau-Ken-Altyn | CID002615 |
| Gold | Torecom | CID001955 |
| Gold | Umicore Precious Metals Thailand | CID002314 |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 |
| Gold | United Precious Metal Refining, Inc. | CID001993 |
| Gold | Valcambi S.A. | CID002003 |
| Gold | WEEEREFINING | CID003615 |
| Gold | WIELAND Edelmetalle GmbH | CID002778 |
| Gold | Yamakin Co., Ltd. | CID002100 |
| Gold | Yokohama Metal Co., Ltd. | CID002129 |
| Gold | Yunnan Copper Southwest Copper Branch | CID000197 |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 |
| Gold | Zijin Mining Group Gold Smelting Co. Ltd. | CID002243 |
| Tantalum | 5D Production OU | CID003926 |
| Tantalum | AMG Brasil | CID001076 |
| Tantalum | D Block Metals, LLC | CID002504 |
| Tantalum | F&X Electro-Materials Ltd. | CID000460 |
| Tantalum | FIR Metals & Resource Ltd. | CID002505 |

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| | | |
|:---|:---|:---|
| Tantalum | Global Advanced Metals Aizu | CID002558 |
| Tantalum | Global Advanced Metals Boyertown | CID002557 |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 |
| Tantalum | Jiangxi Suns Nonferrous Materials Co. Ltd. | CID004813 |
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 |
| Tantalum | KEMET de Mexico | CID002539 |
| Tantalum | Materion Newton Inc. | CID002548 |
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 |
| Tantalum | Mineração Taboca S.A. | CID001175 |
| Tantalum | Mitsui Kinzoku Company, Limited | CID001192 |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 |
| Tantalum | NPM Silmet AS | CID001200 |
| Tantalum | PowerX Ltd. | CID004054 |
| Tantalum | Resind Indústria e Comércio Ltda. | CID002707 |
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 |
| Tantalum | Taki Chemical Co., Ltd. | CID001869 |
| Tantalum | TANIOBIS Co., Ltd. | CID002544 |
| Tantalum | TANIOBIS GmbH | CID002545 |
| Tantalum | TANIOBIS Japan Co., Ltd. | CID002549 |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | CID002550 |
| Tantalum | Telex Metals | CID001891 |
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CID000616 |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 |
| Tin | Alpha Assembly Solutions Inc | CID000292 |
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 |
| Tin | Aurubis Beerse | CID002773 |
| Tin | Aurubis Berango | CID002774 |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 |
| Tin | China Tin Group Co., Ltd. | CID001070 |
| Tin | Conecsus LLC | CID003504 |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | CID003486 |
| Tin | CRM Synergies | CID003524 |
| Tin | CV Ayi Jaya | CID002570 |
| Tin | Dongguan Best Alloys Co., Ltd. | CID000377 |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CID003356 |
| Tin | Dowa | CID000402 |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 |

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| | | |
|:---|:---|:---|
| Tin | EM Vinto | CID000438 |
| Tin | Estanho de Rondônia S.A. | CID000448 |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | CID003582 |
| Tin | Fenix Metals | CID000468 |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CID003410 |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 |
| Tin | Global Advanced Metals Greenbushes Pty Ltd. | CID004754 |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 |
| Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 |
| Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd | CID004796 |
| Tin | Luna Smelter, Ltd. | CID003387 |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | CID003379 |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 |
| Tin | Malaysia Smelting Corporation (MSC) | CID001105 |
| Tin | Malaysia Smelting Corporation Berhad (Port Klang) | CID004434 |
| Tin | Melt Metais e Ligas S.A. | CID002500 |
| Tin | Metallic Resources, Inc. | CID001142 |
| Tin | Mineração Taboca S.A. | CID001173 |
| Tin | Mining Minerals Resources SARL | CID004065 |
| Tin | Minsur | CID001182 |
| Tin | Mitsubishi Materials Corporation | CID001191 |
| Tin | Modeltech Sdn Bhd | CID002858 |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 |
| Tin | Novosibirsk Tin Combine | CID001305 |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 |
| Tin | O.M. Manufacturing Philippines, Inc. | CID002517 |
| Tin | Operaciones Metalúrgicas S.A. | CID001337 |
| Tin | P Kay Metal, Inc | CID005189 |
| Tin | Precious Minerals and Smelting Limited | CID003409 |
| Tin | PT Aries Kencana Sejahtera | CID000309 |
| Tin | PT Arsed Indonesia | CID005067 |
| Tin | PT ATD Makmur Mandiri Jaya | CID002503 |
| Tin | PT Bangka Prima Tin | CID002776 |
| Tin | PT Cipta Persada Mulia | CID002696 |
| Tin | PT Masbro Alam Stania | CID003380 |
| Tin | PT Mitra Stania Prima | CID001453 |
| Tin | PT Mitra Sukses Globalindo | CID003449 |
| Tin | PT Premium Tin Indonesia | CID000313 |
| Tin | PT Prima Timah Utama | CID001458 |
| Tin | PT Putera Sarana Shakti (PT PSS) | CID003868 |
| Tin | PT Rajehan Ariq | CID002593 |
| Tin | PT Timah Tbk Kundur | CID001477 |

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| | | |
|:---|:---|:---|
| Tin | PT Timah Tbk Mentok | CID001482 |
| Tin | Resind Indústria e Comércio Ltda. | CID002706 |
| Tin | RIKAYAA GREENTECH PRIVATE LIMITED | CID004692 |
| Tin | Rui Da Hung | CID001539 |
| Tin | Super Ligas | CID002756 |
| Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | CID004403 |
| Tin | Thaisarco | CID001898 |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CID002180 |
| Tin | Tin Technology & Refining | CID003325 |
| Tin | VQB Mineral and Trading Group JSC | CID002015 |
| Tin | White Solder Metalurgia e Mineração Ltda. | CID002036 |
| Tin | Woodcross Smelting Company Limited | CID004724 |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CID003397 |
| Tungsten | A.L.M.T. Corp. | CID000004 |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | CID003427 |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 |
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CID002641 |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 |
| Tungsten | Cronimet Brasil Ltda | CID003468 |
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CID003609 |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 |
| Tungsten | Global Tungsten & Powders LLC. | CID000568 |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 |
| Tungsten | H.C. Starck Tungsten GmbH | CID002541 |
| Tungsten | Hubei Green Tungsten Co., Ltd. | CID003417 |
| Tungsten | Hunan Jintai New Material Co., Ltd. | CID000769 |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CID002513 |
| Tungsten | Hydrometallurg, JSC | CID002649 |
| Tungsten | Japan New Metals Co., Ltd. | CID000825 |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 |
| Tungsten | Jing Yuan Tungsten Technology Co., Ltd. | CID005012 |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | CID003408 |
| Tungsten | KENEE MINING VIETNAM COMPANY LIMITED | CID004619 |
| Tungsten | Kennametal Fallon | CID000966 |
| Tungsten | Kennametal Huntsville | CID000105 |
| Tungsten | LAOS SOUTHERN MINING SMELTING SOLE CO.,LTD | CID005017 |
| Tungsten | Lianyou Metals Co., Ltd. | CID003407 |
| Tungsten | Lianyou Resources Co., Ltd. | CID004397 |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 |

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| | | |
|:---|:---|:---|
| Tungsten | Masan High-Tech Materials | CID002543 |
| Tungsten | Moliren Ltd. | CID002845 |
| Tungsten | Nam Viet Cromit Joint Stock Company | CID004034 |
| Tungsten | Niagara Refining LLC | CID002589 |
| Tungsten | NPP Tyazhmetprom LLC | CID003416 |
| Tungsten | OOO "Technolom" 1 | CID003614 |
| Tungsten | OOO "Technolom" 2 | CID003612 |
| Tungsten | Philippine Bonway Manufacturing Industrial Corporation | CID004797 |
| Tungsten | Philippine Carreytech Metal Corp. | CID004438 |
| Tungsten | S.P.T. spol.s r.o. | CID005068 |
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | CID004430 |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | CID002542 |
| Tungsten | Tungamoy Metals Inc. | CID005248 |
| Tungsten | Tungsten Vietnam Joint Stock Company | CID003993 |
| Tungsten | Unecha Refractory Metals Plant | CID002724 |
| Tungsten | Uzbekistan Technological Metallurgical Complex JSC | CID002660 |
| Tungsten | Wolfram Bergbau and Hütten AG | CID002044 |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 |
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 |
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CID003662 |

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Forty-eight of the smelters above were declared to be sourcing or there was reason to believe are sourcing from the Covered Countries. Under the SEC Final Rule, the requirement is to identify whether or not a smelter is sourcing from the Covered Countries; there is no requirement to identify the specific country covered by the smelter. Given the limitation on the specificity of the smelters' disclosures, the identified Covered Countries are The Democratic Republic of Congo, Burundi, Rwanda, Uganda and Tanzania.

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