# EDGAR Filing Document

**Accession Number:** 0001588978
**File Stem:** 0001588978-26-000024
**Filing Date:** 2026-6
**Character Count:** 50594
**Document Hash:** 6173c8d7559902475ddd69a0ba4e85c4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001588978-26-000024.hdr.sgml**: 20260601

**ACCESSION NUMBER**: 0001588978-26-000024

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20260601

**DATE AS OF CHANGE**: 20260601

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PROCEPT BioRobotics Corp
- **CENTRAL INDEX KEY:** 0001588978
- **STANDARD INDUSTRIAL CLASSIFICATION:** SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
- **ORGANIZATION NAME:** 08 Industrial Applications and Services
- **EIN:** 260199180
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40797
- **FILM NUMBER:** 261052453

**BUSINESS ADDRESS:**
- **STREET 1:** 150 BAYTECH DRIVE
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95134
- **BUSINESS PHONE:** 6502329832

**MAIL ADDRESS:**
- **STREET 1:** 150 BAYTECH DRIVE
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95134

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM SD**

**Specialized Disclosure Report**

**PROCEPT BIOROBOTICS CORPORATION**

**(Exact name of registrant as specified in its charter)**

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-40797** | **26-0199180** |
| **(State or other jurisdiction** | **(Commission** | **(I.R.S. Employer** |
| **of incorporation)** | **File Number)** | **Identification No.)** |

---

**150 Baytech Drive**

**San Jose, California 95134**

(Address of principal executive offices, including Zip Code)

**Alaleh Nouri**

**Chief Legal Officer**

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(650) 232-7200**

(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 the form applies:

☒ Rule 13 p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2025. <br> ◻ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended _____________.

------

**Section 1 - Conflict Minerals Disclosure**

*Item 1.01 Conflict Minerals Disclosure and Report*

This Specialized Disclosure Report on Form SD of PROCEPT BioRobotics Corporation (the "Company") is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2025 to December 31, 2025.

A copy of the Company's Conflict Minerals Report is filed as Exhibit 1.01 and incorporated herein by reference, and is publicly available on the Company's website at https://ir.procept-biorobotics.com/financial-information/sec-filings. Information posted on or accessible through this website is not incorporated by reference nor otherwise included in this report, and any references to this website are intended to be inactive textual references only.

*Item 1.02 Exhibit*

The Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.

**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 No.** | **Description** |
| 1.01 | <u>[Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD](exhibit101conflictmineralr.htm)</u> |

---

------

**SIGNATURE**

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

---

| | | |
|:---|:---|:---|
| | **PROCEPT BIOROBOTICS CORPORATION** | **PROCEPT BIOROBOTICS CORPORATION** |
| Date: June 1, 2026 | By: | /s/ Alaleh Nouri |
|  |  | Alaleh Nouri |
|  |  | EVP, Chief Legal Officer and Secretary |

---

## Exhibit 1.01

Exhibit 1.01

**PROCEPT BioRobotics Corporation**

**Conflict Minerals Report**

**For the Reporting Period from January 1, 2025 to December 31, 2025**

This Conflict Minerals Report ("Report") of PROCEPT BioRobotics Corporation ("the Company", "we" or "our") for the period January 1, 2025 to December 31, 2025 ("the Reporting Period") has been prepared pursuant to Rule 13p-1, ("Rule 13p-1" or "the Rule"), under the Securities Exchange Act of 1934, as amended. Rule 13p-1 was adopted by the Securities and Exchange Commission ("SEC"), to implement reporting and disclosure requirements for companies that manufacture or contract to manufacture products containing certain minerals specified in the Rule that are necessary to the functionality or production of those products as directed by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 mandates SEC registrants to undertake certain reporting obligations whose manufactured products contain the following specified minerals, also referred to as "Conflict Minerals" are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold ("3TG").

If we know, or have reason to believe, that any of the Conflict Minerals necessary to the functionality or production of our products may have originated in the Democratic Republic of the Congo (the "DRC") and the adjoining countries (the "Covered Countries"), we must perform due diligence on the source and chain of custody of our Conflict Minerals.

As described in this Report, we are uncertain as to whether any of the 3TG present in our supply chain originated in the Covered Countries. Therefore, we performed a reasonable country of origin inquiry, ("RCOI"), to determine whether any of the 3TG in our products originated from the Covered Countries and were not from recycled or scrap sources. Based on the RCOI, we were unable to determine if some of our suppliers sourced 3TG from Covered Countries, and therefore, proceeded to conduct due diligence on our supplier base. We were not able to definitively determine whether the conflict minerals used in our products originated in the Covered Countries, or directly or indirectly financed or benefited any groups involved in armed conflict in the DRC Covered Countries.

**Forward-Looking Statements**

This Conflict Minerals Report contains forward-looking statements, which are based on our current expectations and involve numerous risks and uncertainties that may cause these forward-looking statements to be inaccurate. These statements include statements regarding our goals for future improvements to our due diligence process and to mitigate the risk about the sourcing of our conflict minerals. All forward-looking statements involve risk and uncertainty. Risks that may cause these forward-looking statements to be inaccurate include: failure to carry out these plans in a timely manner or at all; lack of cooperation or progress by our suppliers, their respective suppliers and smelters; lack of progress by smelter or refiner validation programs for conflict minerals (including the possibility of inaccurate information, fraud and other irregularities) or these plans may not be effective. In addition, you should also consider the important factors described in reports and documents that we file from time to time with the SEC, including the factors described under the sections titled "Risk Factors" in the Company's most recently submitted Quarterly or Annual Reports. Except as required by law, we disclaim any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise.

------

Exhibit 1.01

**Company and Product Overview**

We are a surgical robotics company focused on advancing patient care by developing transformative solutions in urology. We develop, manufacture and sell the FDA cleared AquaBeam Robotic System and HYDROS Robotic System, which are advanced, image-guided, surgical robotic systems for use in minimally invasive urologic surgery, with an initial focus on treating benign prostatic hyperplasia, or BPH.

Our robotic systems are highly mobile and compact, requiring no retrofitting of the operating room. The main components of the AquaBeam Robotic System and the HYDROS Robotic System are the conformal planning unit, or CPU, console, motorpack and handpiece with integrated scope. Each AquaBeam Robotic System and HYDROS Robotic System also includes a customized ultrasound set through which ultrasound images are integrated with our systems. The handpiece is the sterile, single-use product that delivers a high-velocity waterjet.

We currently manufacture the AquaBeam Robotic System, the HYDROS Robotic System, the handpiece, integrated scope and other accessories primarily at our headquarter facility in San Jose, California. Additionally, each AquaBeam Robotic System and HYDROS Robotic System is shipped to our customers with an ultrasound system and probe which we contract to be manufactured by third-party manufacturers.

This Report relates to products: (i) for which Conflict Minerals are necessary to their functionality or production; (ii) that were manufactured, or contracted to be manufactured, by us; and (iii) for which the manufacture was completed during the Reporting Period. These products, which are referred to in this Report collectively as the "Covered Products," include the AquaBeam Robotic System, the HYDROS Robotic System, the handpiece, integrated scope manufactured by us, as well as the ultrasound system and probe we contract to be manufactured.

**Supply Chain Overview**

We are a downstream purchaser of products or components that contain Conflict Minerals. As a downstream purchaser, we do not have a direct relationship with the smelters and refiners ("SOR") in our supply chain, and we do not perform or direct audits of these entities.

**Reasonable Country-of-Origin Inquiry**

We conducted a good faith, reasonable country-of-origin inquiry ("RCOI") for the Conflict Minerals that were necessary to the functionality or production of our Covered Products. Our RCOI was reasonably designed to determine whether any of the necessary Conflict Minerals originated in the Covered Countries and whether any of the necessary Conflict Minerals may have been from recycled or scrap sources.

We compiled a list of direct suppliers in the bill of materials for the Covered Products and considered 67 suppliers to fall within the scope of our RCOI. In this Report, we refer to these suppliers as "in-scope suppliers". We then provide such list of "in-scope suppliers" to Assent Inc. ("Assent"), a third-party service provider, who assisted us in conducting a RCOI process to review supply chain and identify risks.

Assent, through the Assent Compliance Manager software platform, contacted all of the 67 "in-scope suppliers" we identified and requested that these suppliers upload a completed Conflict Minerals Reporting Template ("CMRT") directly to the Assent Compliance Manager platform for validation,

------

Exhibit 1.01

assessment, and management. Training and education to guide suppliers on best practices and the use of the CMRT template were included in the communication as well. We also directly contacted suppliers that were unresponsive to Assent's outreach communications and requested that they complete and submit a CMRT.

Assent monitored and tracked all communications in the Assent Compliance Manager for future reporting and management purposes.

Upon receiving CMRTs from suppliers, the Assent Compliance Manager platform classifies them as valid or invalid based on a set criteria of validation errors. For example, if a submitted CMRT contained inconsistent or contradictory responses, it was classified as invalid. At the end of RCOI process, 0 invalid forms were received.

The remainder of this report will provide the supporting details of our Conflict-free Minerals due diligence approach.

**Due Diligence Program**

Pursuant to the Rule, we performed due diligence on the source and origin of 3TG in our products, including the products or components we purchase from suppliers. Our due diligence measures were designed to conform, in all material aspects, to The Organisation of Economic Co-operation and Development ("OECD") due diligence framework consistent with our position as a downstream purchaser in the supply chain. This risk-based due diligence process is based on the following OECD guidance:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1.Establish strong company management systems.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.Identify and assess risk in the supply chain.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3.Design and implement a strategy to respond to identified risk.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4.Carry out audit of the supply chain.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5.Report on supply chain due diligence.

To identify and assess risks associated with Conflict Minerals, we start with analyzing our products to identify those that may contain 3TGs that are necessary to the functionality or manufacture of our products. We then engage relevant suppliers as previously described to determine whether supplied parts containing 3TGs originated in the DRC or one of the Covered Countries or are from recycled or scrap sources.

For the Reporting Period, PROCEPT BioRobotics employed Assent, to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development of additional steps to respond to risk.

We expect to report annually, to the extent required by the Rule, and have posted our Form SD containing this Report on our website at: https://ir.procept-biorobotics.com/financial-information/sec-filings.

**Results of Due Diligence Performed**

The due diligence measures described above revealed the following:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Of the 67 in-scope suppliers contacted for the Reporting Period, approximately 85% (57 suppliers) responded by providing completed CMRTs and the remaining 15% (10 suppliers) did not provide a completed CMRT even after follow-up outreach efforts by Assent and us.

------

Exhibit 1.01

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Of the 57 suppliers that provided completed CMRTs, approximately 30 reported having no Conflict Minerals in their products and 27 reported having Conflict Minerals in their products.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Of the 333 verified smelters and refiners reported by our in-scope suppliers (Appendix 1), approximately 64% have been validated as conformant by at least one independent third-party audit program, or are engaged in an audit program, but are not yet conformant.

Most of our suppliers provided responses on a company-wide basis rather than on the basis of the products supplied to us and, as a result, we are unable to determine which, if any, of the smelters and countries of origin listed in their responses were the actual source of the Conflict Minerals that are necessary to the functionality or production of our Covered Products.

**Identified Smelters and Refiners**

We have listed on Appendix 1 the verified smelters and refiners (by metal) identified by our in-scope suppliers in their completed CMRTs as a result of our RCOI and due diligence, as well as the smelter identification, location and conflict-free certification status of each smelter and refiner based on information from Assent's smelter database.

Out of the 27 suppliers that reported having Conflict Minerals in their products, 24 provided company-level responses regarding all Conflict Minerals used in every component and product manufactured, and 3 suppliers provided part-level responses regarding Conflict Minerals used for the parts used for production of our Covered Products.

**Identified Countries of Origin**

Based on the smelters and refiners listed by in-scope suppliers in completed CMRTs, combined with associated mine country of origin information from Assent's smelter database, the countries of origin may include the countries listed on Appendix 2.

As discussed previously, because most of responding suppliers provided information at the company-level, we believe there are likely countries of origin in Appendix 2 that are not countries of origin of the necessary Conflict Minerals in the Covered Products.

**Future Due Diligence and Risk Mitigation Measures**

As we further develop our Conflict Minerals program, we intend to take the following steps to further enhance our due diligence measures and to mitigate the risk that, with respect to any of the Covered Products, necessary Conflict Minerals were used, directly or indirectly, to finance or benefit armed groups in the Covered Countries:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Encourage our suppliers to implement responsible sourcing by using Conflict Minerals only from smelters or refiners that have been independently certified as conflict-free, including by reiterating our expectations as outlined in our Conflict Minerals policy to in-scope suppliers;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Further develop, refine and implement our risk mitigation strategy for supply chain risks identified in the course of our due diligence; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Continue to engage a third-party service provider to assist with engaging suppliers, collecting, processing and storing supplier responses through an online platform, reviewing and validating supplier responses, identifying and resolving quality control flags, identifying potential risks, and

------

Exhibit 1.01

conducting follow-up outreach with non-responsive suppliers and suppliers identified as having quality control flags.

------

Exhibit 1.01

**Appendix 1**

**Smelters and Refiners by Metal**

For purpose of the "RMAP Audit Status" column in the table below:

"Active" means the smelter or refiner is engaged in the program but not yet conformant.

"Conformant" means the smelter has been independently assessed and found conformant with the relevant RMAP standard.

"Non-Conformant" means the smelter has been independently assessed and found non-conformant with the relevant RMAP standard.

"Not Enrolled" means that the smelter is in communication with RMAP but not "Active" yet or has not taken part in the RMAP program, which can be a result from a lack of interest or other factors. There are various detailed statuses below within "Not Enrolled" status.

"Communication Suspended- Not Interested" means the smelter has strongly communicated a lack of interest in participation.

"Due Diligence Vetting Process" means the smelter does not meet RMI's requirements for participation according to the due diligence vetting process.

"In Communication" means the smelter is not yet active but in communication with RMAP and/or member company.

"Outreach Required" means outreach needed by RMI member companies to contact entity and encourage their participation in RMAP.

"RMI Due Diligence Review - Unable to Proceed" means for facilities that have not met the threshold for Due Diligence Vetting Process after a period of 6 months. Status may change if additional information is submitted.

"RMAP" refers to the Responsible Minerals Assurance Process, which is RMI's audit program.

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Metal** | **Smelter Name** | **Smelter Facility Location** | **Smelter ID** | **RMAP Audit Status** |
| Gold | Agosi AG | Germany | CID000035 | Conformant |
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | CID000185 | Conformant |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | CID000228 | Conformant |
| Tin | Alpha Assembly Solutions Inc | United States Of America | CID000292 | Conformant |
| Tin | PT Aries Kencana Sejahtera | Indonesia | CID000309 | In Communication |
| Tin | PT Premium Tin Indonesia | Indonesia | CID000313 | Conformant |
| Tin | Dongguan Best Alloys Co., Ltd. | China | CID000377 | Conformant |
| Tin | Dowa | Japan | CID000402 | Conformant |
| Tin | EM Vinto | Bolivia (Plurinational State Of) | CID000438 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Tin | Estanho de Rondonia S.A. | Brazil | CID000448 | Conformant |
| Tin | Fenix Metals | Poland | CID000468 | Conformant |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | CID000538 | Conformant |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | CID000555 | Non Conformant |
| Gold | Heraeus Metals Hong Kong Ltd. | China | CID000707 | Conformant |
| Gold | Asahi Refining Canada Ltd. | Canada | CID000924 | Conformant |
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | CID000942 | Non Conformant |
| Tin | China Tin Group Co., Ltd. | China | CID001070 | Conformant |
| Tin | Metallic Resources, Inc. | United States Of America | CID001142 | Conformant |
| Gold | Metalor Technologies (Suzhou) Ltd. | China | CID001147 | Conformant |
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | CID001149 | Conformant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | CID001152 | Conformant |
| Gold | Metalor Technologies S.A. | Switzerland | CID001153 | Conformant |
| Gold | Metalor USA Refining Corporation | United States Of America | CID001157 | Conformant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | CID001161 | Conformant |
| Tin | Mineracao Taboca S.A. | Brazil | CID001173 | Conformant |
| Tin | Minsur | Peru | CID001182 | Conformant |
| Tin | Mitsubishi Materials Corporation | Japan | CID001191 | Conformant |
| Tin | Jiangxi New Nanshan Technology Ltd. | China | CID001231 | Active |
| Tin | Novosibirsk Tin Combine | Russian Federation | CID001305 | RMI Due Diligence Review - Unable to Proceed |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | CID001314 | Conformant |
| Tin | Operaciones Metalurgicas S.A. | Bolivia (Plurinational State Of) | CID001337 | Conformant |
| Tin | PT Mitra Stania Prima | Indonesia | CID001453 | Conformant |
| Tin | PT Prima Timah Utama | Indonesia | CID001458 | Conformant |
| Tin | PT Timah Tbk Kundur | Indonesia | CID001477 | Conformant |
| Tin | PT Timah Tbk Mentok | Indonesia | CID001482 | Conformant |
| Gold | Royal Canadian Mint | Canada | CID001534 | Conformant |
| Tin | Rui Da Hung | Taiwan, Province Of China | CID001539 | Conformant |
| Tin | Thaisarco | Thailand | CID001898 | Conformant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | CID001908 | Non Conformant |
| Gold | United Precious Metal Refining, Inc. | United States Of America | CID001993 | Conformant |
| Tin | VQB Mineral and Trading Group JSC | Viet Nam | CID002015 | Outreach Required |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | CID002036 | Conformant |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | CID002158 | Non Conformant |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | China | CID002180 | Conformant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | CID002468 | Conformant |
| Tin | Melt Metais e Ligas S.A. | Brazil | CID002500 | Non Conformant |
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | CID002503 | Conformant |
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | CID002517 | Conformant |
| Tin | CV Ayi Jaya | Indonesia | CID002570 | Conformant |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | CID002572 | Non Conformant |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002573 | Outreach Required |
| Tin | PT Rajehan Ariq | Indonesia | CID002593 | Conformant |
| Tin | PT Cipta Persada Mulia | Indonesia | CID002696 | Conformant |
| Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | CID002703 | Outreach Required |
| Tin | Resind Industria e Comercio Ltda. | Brazil | CID002706 | Conformant |
| Tin | Super Ligas | Brazil | CID002756 | Conformant |
| Tin | Aurubis Beerse | Belgium | CID002773 | Conformant |
| Tin | Aurubis Berango | Spain | CID002774 | Conformant |
| Tin | PT Bangka Prima Tin | Indonesia | CID002776 | Conformant |
| Tin | Modeltech Sdn Bhd | Malaysia | CID002858 | Non Conformant |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | CID003116 | Conformant |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | CID003190 | Conformant |
| Tin | Tin Technology & Refining | United States Of America | CID003325 | Conformant |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | CID003356 | Non Conformant |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | China | CID003379 | Non Conformant |
| Tin | PT Masbro Alam Stania | Indonesia | CID003380 | Non Conformant |
| Tin | Luna Smelter, Ltd. | Rwanda | CID003387 | Conformant |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | CID003397 | Conformant |
| Tin | Precious Minerals and Smelting Limited | India | CID003409 | Non Conformant |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | CID003410 | Outreach Required |
| Tin | PT Mitra Sukses Globalindo | Indonesia | CID003449 | Conformant |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | CID003486 | Active |
| Tin | CRM Synergies | Spain | CID003524 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | CID003582 | Conformant |
| Tin | PT Putera Sarana Shakti (PT PSS) | Indonesia | CID003868 | Conformant |
| Tin | Mining Minerals Resources SARL | Congo, Democratic Republic Of The | CID004065 | Conformant |
| Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | Japan | CID004403 | Conformant |
| Tin | Malaysia Smelting Corporation Berhad (Port Klang) | Malaysia | CID004434 | Conformant |
| Tin | RIKAYAA GREENTECH PRIVATE LIMITED | India | CID004692 | Outreach Required |
| Tin | Woodcross Smelting Company Limited | Uganda | CID004724 | Conformant |
| Tin | Global Advanced Metals Greenbushes Pty Ltd. | Australia | CID004754 | Conformant |
| Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd | China | CID004796 | Outreach Required |
| Tin | P Kay Metal, Inc | United States Of America | CID005189 | Conformant |
| Tungsten | Xiamen Tungsten Co., Ltd. | China | CID002082 | Conformant |
| Tungsten | A.L.M.T. Corp. | Japan | CID000004 | Conformant |
| Gold | Advanced Chemical Company | United States Of America | CID000015 | Conformant |
| Gold | Aida Chemical Industries Co., Ltd. | Japan | CID000019 | Conformant |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | CID000041 | Conformant |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | CID000058 | Conformant |
| Gold | Argor-Heraeus S.A. | Switzerland | CID000077 | Conformant |
| Gold | Asahi Pretec Corp. | Japan | CID000082 | Conformant |
| Gold | Asaka Riken Co., Ltd. | Japan | CID000090 | Conformant |
| Tungsten | Kennametal Huntsville | United States Of America | CID000105 | Conformant |
| Gold | Aurubis AG | Germany | CID000113 | Conformant |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | CID000128 | Conformant |
| Gold | Boliden Ronnskar | Sweden | CID000157 | Conformant |
| Gold | C. Hafner GmbH + Co. KG | Germany | CID000176 | Conformant |
| Gold | Chimet S.p.A. | Italy | CID000233 | Conformant |
| Gold | Chugai Mining | Japan | CID000264 | Conformant |
| Gold | DSC (Do Sung Corporation) | Korea, Republic Of | CID000359 | Conformant |
| Gold | Dowa | Japan | CID000401 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | CID000425 | Conformant |
| Gold | LT Metal Ltd. | Korea, Republic Of | CID000689 | Conformant |
| Gold | Heimerle + Meule GmbH | Germany | CID000694 | Conformant |
| Gold | Heraeus Germany GmbH Co. KG | Germany | CID000711 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | CID000801 | Conformant |
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | CID000807 | Conformant |
| Gold | Istanbul Gold Refinery | Turkey | CID000814 | Conformant |
| Gold | Japan Mint | Japan | CID000823 | Conformant |
| Tungsten | Japan New Metals Co., Ltd. | Japan | CID000825 | Conformant |
| Gold | Jiangxi Copper Co., Ltd. | China | CID000855 | Conformant |
| Gold | Asahi Refining USA Inc. | United States Of America | CID000920 | Conformant |
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | CID000937 | Conformant |
| Gold | Kazzinc | Kazakhstan | CID000957 | Conformant |
| Tungsten | Kennametal Fallon | United States Of America | CID000966 | Conformant |
| Gold | Kennecott Utah Copper LLC | United States Of America | CID000969 | Conformant |
| Gold | Kojima Chemicals Co., Ltd. | Japan | CID000981 | Conformant |
| Gold | LS MnM Inc. | Korea, Republic Of | CID001078 | Conformant |
| Gold | Materion | United States Of America | CID001113 | Conformant |
| Gold | Matsuda Sangyo Co., Ltd. | Japan | CID001119 | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | CID001163 | Conformant |
| Tantalum | Mineracao Taboca S.A. | Brazil | CID001175 | Conformant |
| Gold | Mitsubishi Materials Corporation | Japan | CID001188 | Conformant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001193 | Conformant |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | CID001220 | Conformant |
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | CID001236 | Conformant |
| Gold | Nihon Material Co., Ltd. | Japan | CID001259 | Conformant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | CID001325 | Conformant |
| Gold | MKS PAMP SA | Switzerland | CID001352 | Conformant |
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | CID001397 | Conformant |
| Gold | PX Precinox S.A. | Switzerland | CID001498 | Conformant |
| Gold | Rand Refinery (Pty) Ltd. | South Africa | CID001512 | Conformant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | CID001522 | Conformant |
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | CID001585 | Conformant |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | CID001622 | Conformant |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | CID001736 | Conformant |
| Gold | Solar Applied Materials Technology Corp. | Taiwan, Province Of China | CID001761 | Conformant |
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | CID001798 | Conformant |
| Tantalum | Taki Chemical Co., Ltd. | Japan | CID001869 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | CID001875 | Conformant |
| Tantalum | Telex Metals | United States Of America | CID001891 | Conformant |
| Gold | Shandong Gold Smelting Co., Ltd. | China | CID001916 | Conformant |
| Gold | Tokuriki Honten Co., Ltd. | Japan | CID001938 | Conformant |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | CID001980 | Conformant |
| Gold | Valcambi S.A. | Switzerland | CID002003 | Conformant |
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | CID002030 | Conformant |
| Gold | Yamakin Co., Ltd. | Japan | CID002100 | Conformant |
| Gold | Yokohama Metal Co., Ltd. | Japan | CID002129 | Conformant |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | CID002224 | Conformant |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | CID002243 | Conformant |
| Gold | SAFINA A.S. | Czechia | CID002290 | Conformant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | CID002315 | Active |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | CID002316 | Conformant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | CID002317 | Conformant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | CID002319 | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | CID002320 | Conformant |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | CID002321 | Conformant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | CID002494 | Conformant |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | CID002502 | Conformant |
| Tantalum | D Block Metals, LLC | United States Of America | CID002504 | Conformant |
| Tantalum | FIR Metals & Resource Ltd. | China | CID002505 | Conformant |
| Gold | MMTC-PAMP India Pvt., Ltd. | India | CID002509 | Conformant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | CID002511 | Conformant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | CID002512 | Conformant |
| Tantalum | KEMET de Mexico | Mexico | CID002539 | Conformant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | CID002551 | Conformant |
| Gold | T.C.A S.p.A | Italy | CID002580 | Conformant |
| Gold | REMONDIS PMR B.V. | Netherlands | CID002582 | Conformant |
| Tungsten | Niagara Refining LLC | United States Of America | CID002589 | Conformant |
| Gold | Korea Zinc Co., Ltd. | Korea, Republic Of | CID002605 | Conformant |
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | CID002615 | Conformant |
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | CID002707 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Gold | Abington Reldan Metals, LLC | United States Of America | CID002708 | Conformant |
| Gold | Italpreziosi | Italy | CID002765 | Conformant |
| Gold | WIELAND Edelmetalle GmbH | Germany | CID002778 | Conformant |
| Tantalum | Jiangxi Tuohong New Raw Material | China | CID002842 | Conformant |
| Gold | Bangalore Refinery | India | CID002863 | Conformant |
| Gold | SungEel HiMetal Co., Ltd. | Korea, Republic Of | CID002918 | Conformant |
| Gold | Planta Recuperadora de Metales SpA | Chile | CID002919 | Conformant |
| Gold | NH Recytech Company | Korea, Republic Of | CID003189 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | CID003424 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | CID003425 | Conformant |
| Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | CID003575 | Conformant |
| Gold | Gold by Gold Colombia | Colombia | CID003641 | Conformant |
| Gold | Coimpa Industrial LTDA | Brazil | CID004010 | Conformant |
| Gold | GG Refinery Ltd. | Tanzania, United Republic Of | CID004506 | Conformant |
| Gold | Impala Platinum - Platinum Metals Refinery (PMR) | South Africa | CID004714 | Conformant |
| Gold | Elite Industech Co., Ltd. | Taiwan, Province Of China | CID004755 | Conformant |
| Gold | Caridad | Mexico | CID000180 | Outreach Required |
| Gold | Cendres + Metaux S.A. | Switzerland | CID000189 | Non Conformant |
| Gold | Yunnan Copper Industry Co., Ltd. | China | CID000197 | Outreach Required |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | CID000218 | Conformant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | CID000258 | Conformant |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | China | CID000291 | Conformant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | CID000343 | Outreach Required |
| Tantalum | F&X Electro-Materials Ltd. | China | CID000460 | Conformant |
| Gold | JSC Novosibirsk Refinery | Russian Federation | CID000493 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | Global Tungsten & Powders LLC | United States Of America | CID000568 | Conformant |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | China | CID000616 | Conformant |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | CID000671 | Outreach Required |
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | CID000767 | Outreach Required |
| Tungsten | Hunan Jintai New Material Co., Ltd. | China | CID000769 | Non Conformant |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | CID000773 | Outreach Required |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Gold | HwaSeong CJ CO., LTD. | Korea, Republic Of | CID000778 | Communication Suspended - Not Interested |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | CID000914 | Conformant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | CID000917 | Conformant |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | CID000927 | RMI Due Diligence Review - Unable to Proceed |
| Gold | JSC Uralelectromed | Russian Federation | CID000929 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Kazakhmys Smelting LLC | Kazakhstan | CID000956 | Outreach Required |
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | CID001029 | Non Conformant |
| Gold | Lingbao Gold Co., Ltd. | China | CID001056 | Outreach Required |
| Tantalum | AMG Brasil | Brazil | CID001076 | Conformant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | CID001093 | Outreach Required |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001192 | Conformant |
| Tantalum | NPM Silmet AS | Estonia | CID001200 | Conformant |
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | CID001204 | RMI Due Diligence Review - Unable to Proceed |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | CID001277 | Conformant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | CID001326 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | CID001362 | Outreach Required |
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | CID001386 | RMI Due Diligence Review - Unable to Proceed |
| Tin | PT Artha Cipta Langgeng | Indonesia | CID001399 | Active |
| Gold | Sabin Metal Corp. | United States Of America | CID001546 | Communication Suspended - Not Interested |
| Gold | Samduck Precious Metals | Korea, Republic Of | CID001555 | Non Conformant |
| Gold | Samwon Metals Corp. | Korea, Republic Of | CID001562 | Communication Suspended - Not Interested |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | CID001619 | Outreach Required |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | CID001756 | RMI Due Diligence Review - Unable to Proceed |
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | CID001769 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Super Dragon Technology Co., Ltd. | Taiwan, Province Of China | CID001810 | Outreach Required |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | CID001909 | Outreach Required |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | CID001947 | Outreach Required |
| Gold | Torecom | Korea, Republic Of | CID001955 | Non Conformant |
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | CID001969 | Conformant |
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | CID002044 | Conformant |
| Gold | Morris and Watson | New Zealand | CID002282 | Outreach Required |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | CID002313 | Communication Suspended - Not Interested |
| Gold | Umicore Precious Metals Thailand | Thailand | CID002314 | Non Conformant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | CID002492 | Conformant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | CID002506 | Conformant |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | CID002508 | Conformant |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | China | CID002513 | Non Conformant |
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | CID002515 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Singway Technology Co., Ltd. | Taiwan, Province Of China | CID002516 | Non Conformant |
| Gold | Shandong Humon Smelting Co., Ltd. | China | CID002525 | Outreach Required |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | CID002527 | Outreach Required |
| Tungsten | H.C. Starck Tungsten GmbH | Germany | CID002541 | Conformant |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002542 | Conformant |
| Tungsten | Masan High-Tech Materials | Viet Nam | CID002543 | Conformant |
| Tantalum | TANIOBIS Co., Ltd. | Thailand | CID002544 | Conformant |
| Tantalum | TANIOBIS GmbH | Germany | CID002545 | Conformant |
| Tantalum | Materion Newton Inc. | United States Of America | CID002548 | Conformant |
| Tantalum | TANIOBIS Japan Co., Ltd. | Japan | CID002549 | Conformant |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002550 | Conformant |
| Tantalum | Global Advanced Metals Boyertown | United States Of America | CID002557 | Conformant |
| Tantalum | Global Advanced Metals Aizu | Japan | CID002558 | Conformant |
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | CID002560 | Non Conformant |
| Gold | Emirates Gold DMCC | United Arab Emirates | CID002561 | Non Conformant |
| Gold | International Precious Metal Refiners | United Arab Emirates | CID002562 | Outreach Required |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Gold | Fujairah Gold FZC | United Arab Emirates | CID002584 | Outreach Required |
| Gold | Shirpur Gold Refinery Ltd. | India | CID002588 | Outreach Required |
| Gold | Marsam Metals | Brazil | CID002606 | Non Conformant |
| Tungsten | China Molybdenum Tungsten Co., Ltd. | China | CID002641 | Conformant |
| Tungsten | Hydrometallurg, JSC | Russian Federation | CID002649 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | Unecha Refractory metals plant | Russian Federation | CID002724 | Non Conformant |
| Gold | Shenzhen CuiLu Gold Co., Ltd. | China | CID002750 | Outreach Required |
| Gold | Albino Mountinho Lda. | Portugal | CID002760 | Outreach Required |
| Gold | SAAMP | France | CID002761 | Non Conformant |
| Gold | L'Orfebre S.A. | Andorra | CID002762 | Non Conformant |
| Gold | 8853 S.p.A. | Italy | CID002763 | Non Conformant |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | CID002779 | Conformant |
| Tungsten | Moliren Ltd. | Russian Federation | CID002845 | RMI Due Diligence Review - Unable to Proceed |
| Gold | AU Traders and Refiners | South Africa | CID002850 | Non Conformant |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | India | CID002852 | Non Conformant |
| Gold | Modeltech Sdn Bhd | Malaysia | CID002857 | Non Conformant |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | CID002865 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | CID002867 | Outreach Required |
| Gold | Pease & Curren | United States Of America | CID002872 | Communication Suspended - Not Interested |
| Gold | JALAN & Company | India | CID002893 | Outreach Required |
| Gold | ABC Refinery Pty Ltd. | Australia | CID002920 | Outreach Required |
| Gold | Safimet S.p.A | Italy | CID002973 | Non Conformant |
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | CID003153 | Outreach Required |
| Gold | African Gold Refinery | Uganda | CID003185 | RMI Due Diligence Review - Unable to Proceed |
| Gold | Gold Coast Refinery | Ghana | CID003186 | Outreach Required |
| Gold | QG Refining, LLC | United States Of America | CID003324 | Outreach Required |
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | CID003348 | Outreach Required |
| Gold | CGR Metalloys Pvt Ltd. | India | CID003382 | Outreach Required |
| Gold | Sovereign Metals | India | CID003383 | Outreach Required |
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan, Province Of China | CID003407 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | CID003408 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | CID003416 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | Hubei Green Tungsten Co., Ltd. | China | CID003417 | Conformant |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | CID003427 | Non Conformant |
| Gold | Augmont Enterprises Private Limited | India | CID003461 | Non Conformant |
| Gold | Kundan Care Products Ltd. | India | CID003463 | Outreach Required |
| Tungsten | Cronimet Brasil Ltda | Brazil | CID003468 | Conformant |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | India | CID003487 | Outreach Required |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | India | CID003488 | Outreach Required |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | India | CID003489 | Outreach Required |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | India | CID003490 | Outreach Required |
| Gold | K.A. Rasmussen | Norway | CID003497 | Outreach Required |
| Gold | Alexy Metals | United States Of America | CID003500 | Non Conformant |
| Gold | MD Overseas | India | CID003548 | Outreach Required |
| Gold | Metallix Refining Inc. | United States Of America | CID003557 | Outreach Required |
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | China | CID003609 | Non Conformant |
| Tungsten | OOO "Technolom" 2 | Russian Federation | CID003612 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | OOO "Technolom" 1 | Russian Federation | CID003614 | RMI Due Diligence Review - Unable to Proceed |
| Gold | WEEEREFINING | France | CID003615 | Non Conformant |
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | China | CID003662 | Outreach Required |
| Gold | Dongwu Gold Group | China | CID003663 | Outreach Required |
| Gold | Sam Precious Metals | United Arab Emirates | CID003666 | Outreach Required |
| Tantalum | 5D Production OU | Estonia | CID003926 | Outreach Required |
| Tungsten | Tungsten Vietnam Joint Stock Company | Viet Nam | CID003993 | Conformant |
| Tungsten | Nam Viet Cromit Joint Stock Company | Viet Nam | CID004034 | Outreach Required |
| Tantalum | PowerX Ltd. | Rwanda | CID004054 | Conformant |
| Tungsten | Lianyou Resources Co., Ltd. | Taiwan, Province Of China | CID004397 | Conformant |
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | China | CID004430 | Conformant |

---

------

Exhibit 1.01

---

| | | | | |
|:---|:---|:---|:---|:---|
| Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. | China | CID004435 | Outreach Required |
| Tungsten | KENEE MINING VIETNAM COMPANY LIMITED | Viet Nam | CID004619 | Conformant |
| Gold | Attero Recycling Pvt Ltd | India | CID004697 | Outreach Required |
| Gold | SOLEIL METALS (Chala One Plant) | Peru | CID004704 | Active |
| Gold | SOLEIL METALS (YAKARI Plant) | Peru | CID004705 | Active |
| Tantalum | Jiangxi Sanshi Nonferrous Metals Co., Ltd | China | CID004813 | Active |
| Gold | NOBLE METAL SERVICES | United States Of America | CID003690 | Outreach Required |
| Tungsten | Philippine Carreytech Metal Corp. | Philippines | CID004438 | Non Conformant |
| Tungsten | Philippine Bonway Manufacturing Industrial Corporation | Philippines | CID004797 | Conformant |
| Tungsten | Jing Yuan Tungsten Technology Co., Ltd. | Taiwan, Province Of China | CID005012 | Conformant |
| Gold | TITAN COMPANY LIMITED, JEWELLERY DIVISION | India | CID004491 | Non Conformant |
| Gold | Minera Titán del Perú SRL (MTP) - Belen Plant | Peru | CID005014 | Non Conformant |
| Tungsten | S.P.T. spol.s r.o. | Czechia | CID005068 | Conformant |
| Tungsten | Tungamoy Metals Inc. | Korea, Republic Of | CID005248 | Conformant |
| Tin | PT Mitra Graha Raya | India | CID004685 | In Communication |
| Gold | Gasabo Gold Refinery Ltd | Rwanda | CID005006 | RMI Due Diligence Review - Unable to Proceed |
| Tungsten | Uzbek Refractory and Heat-Resistant Metals | Uzbekistan | CID002660 | Active |
| Tin | Conecsus LLC | United States Of America | CID003504 | Active |

---

------

Exhibit 1.01

**Appendix 2**

**Potential Countries of Origin of Conflict Minerals**

---

| |
|:---|
| China |
| Brazil |
| Australia |
| Japan |
| Canada |
| United States |
| Indonesia |
| Peru |
| Germany |
| Malaysia |
| Chile |
| India |
| Austria |
| Korea |
| Argentina |
| Mongolia |
| Thailand |
| Portugal |
| Colombia |
| Spain |
| Niger |
| Nigeria |
| Belgium |
| Russian Federation |
| Guyana |
| United Kingdom |
| Hungary |
| Ecuador |
| Kazakhstan |
| Cambodia |
| Myanmar |
| Luxembourg |
| Ireland |
| Switzerland |
| France |
| Ethiopia |
| Singapore |
| Namibia |
| Mexico |
| Israel |
| Estonia |
| Taiwan |

---

------

Exhibit 1.01

---

| |
|:---|
| Democratic Republic of Congo |
| Viet Nam |
| Sierra Leone |
| Egypt |
| Madagascar |
| Netherlands |
| Rwanda |
| Hong Kong |
| Mozambique |
| Slovakia |
| Panama |
| South Africa |
| Burundi |
| Congo |
| Bolivia (Plurinational State of) |
| Suriname |
| Philippines |
| Andorra |
| Tanzania |
| Zimbabwe |
| Guinea |
| Djibouti |
| Zambia |
| Turkey |
| Angola |
| Sudan |
| Uzbekistan |
| Italy |
| South Sudan |
| Ghana |
| Sweden |
| Eritrea |
| Papua New Guinea |
| Saudi Arabia |
| United Arab Emirates |
| Belarus |
| Poland |
| Mali |
| El Salvador |
| Burkina Faso |
| New Zealand |
| Guatemala |
| Azerbaijan |
| Finland |
| Nicaragua |

---

------

Exhibit 1.01

---

| |
|:---|
| Morocco |
| Armenia |
| Liechtenstein |
| Uganda |
| Honduras |
| Jersey |
| Benin |
| Kyrgyzstan |
| Dominica |
| Georgia |
| Dominican Republic |
| Liberia |
| Mauritania |
| Bulgaria |
| Senegal |
| Tajikistan |
| Central African Republic |
| Lithuania |
| Botswana |
| Cyprus |
| Fiji |
| Kenya |
| Oman |
| Serbia |
| Uruguay |
| Bermuda |
| Solomon Islands |
| Albania |
| Norway |

---

<br>