# EDGAR Filing Document

**Accession Number:** 0000845982
**File Stem:** 0000950103-26-007566
**Filing Date:** 2026-5
**Character Count:** 34063
**Document Hash:** be443d16de098d959641c703f8a8ac0e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950103-26-007566.hdr.sgml**: 20260521

**ACCESSION NUMBER**: 0000950103-26-007566

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20260521

**DATE AS OF CHANGE**: 20260521

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SMITH & NEPHEW PLC
- **CENTRAL INDEX KEY:** 0000845982
- **STANDARD INDUSTRIAL CLASSIFICATION:** ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842]
- **ORGANIZATION NAME:** 08 Industrial Applications and Services
- **EIN:** 000000000
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-14978
- **FILM NUMBER:** 261005817

**BUSINESS ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** BUILDING 5, CROXLEY PARK
- **STREET 2:** HATTERS LANE
- **CITY:** WATFORD, HERTFORDSHIRE
- **PROVINCE COUNTRY:** X0
- **ZIP:** WD18 8YE
- **BUSINESS PHONE:** 44 (0) 1923 477 100

**MAIL ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** BUILDING 5, CROXLEY PARK
- **STREET 2:** HATTERS LANE
- **CITY:** WATFORD, HERTFORDSHIRE
- **PROVINCE COUNTRY:** X0
- **ZIP:** WD18 8YE

**UNITED STATES<br> SECURITIES AND EXCHANGE COMMISSION<br> Washington, D.C. 20549**

**___________________**

**FORM SD**

**___________________**

**Specialized Disclosure Report**

---

| | | |
|:---|:---|:---|
| **SMITH & NEPHEW PLC** | **SMITH & NEPHEW PLC** | **SMITH & NEPHEW PLC** |
| (Exact name of the registrant as specified in its charter) | (Exact name of the registrant as specified in its charter) | (Exact name of the registrant as specified in its charter) |
| England and Wales | 1-14978 |  |
| (State or other jurisdiction of<br> Incorporation or organization) | (Commission<br> File Number) | IRS Employer Identification No. |
| Building 5, Croxley Park, Hatters Lane<br> Watford, England, WD18 8YE |  | N/A |
| (Address of principal executive offices) |  | (Zip code) |
| Helen Barraclough |  | +44-01903-477317 |
| (Name and telephone number, including area code, of the<br> person to contact in connection with this report.) | (Name and telephone number, including area code, of the<br> person to contact in connection with this report.) | (Name and telephone number, including area code, of the<br> person to contact in connection with this report.) |

---

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

<u>X</u> Rule 13p-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 reporting period from January 1 to December 31, 2025.

**Section 1 - Conflict Minerals Disclosure**

Item 1.01 Conflict Minerals Disclosure and Report; Item 1.02 Exhibit

**Conflict Minerals Disclosure**

A copy of Smith & Nephew plc's Conflict Minerals Report for the year ended December 31, 2025 is provided as Exhibit 1.01 hereto and is publicly available at https://www.smith-nephew.com/en/who-we-are/sustainability/conflict-minerals#reports

**Section 2 – Resource Extraction Issuer Disclosure and Report**

Item 2.01 Resource Extraction Issuer Disclosure and Report

Not applicable.

**Section 3 – Exhibits**

Item 3.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.

**SIGNATURES**

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

---

| | | |
|:---|:---|:---|
| Date: May 21, 2026 | **SMITH & NEPHEW PLC** | **SMITH & NEPHEW PLC** |
|  | By: | /s/ Helen Barraclough |
|  | Name: | Helen Barraclough |
|  | Title: | Company Secretary |

---

## Exhibit 1.01

**Exhibit 1.01**

**CONFLICT MINERALS REPORT for the year ending December 31, 2025**

**Introduction**

Smith & Nephew plc, also referred to as "Smith & Nephew", the "company", "we", "our", and "us" is a global medical technology business. We have products in the following fields: Orthopaedic Reconstruction, Advanced Wound Management, Sports Medicine and Trauma & Extremities.

This Conflict Minerals Report (CMR) for the year ended December 31, 2025, is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule) and Form SD. The Rule imposes certain reporting obligations on U.S. Securities and Exchange Commission (SEC) issuers whose manufactured products contain certain minerals which are "necessary to the functionality or production" of their products. These minerals are cassiterite, columbite, tantalite (coltan), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten (collectively, 3TG or Conflict Minerals). The Rule focuses on 3TG emanating from the Democratic Republic of the Congo (DRC) region and nine adjoining countries (collectively 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 Smith & Nephew products that were manufactured, or contracted to be manufactured, during calendar year 2025 and that contain 3TGs. Third party products that Smith & Nephew sells but does not manufacture or contract to manufacture are outside the scope of this CMR.

**Executive Summary**

Whilst Smith & Nephew's products may contain components or materials that utilize 3TG, Smith & Nephew does not purchase 3TG directly from mines, smelters, or refiners. The majority of Smith & Nephew's suppliers and their upstream suppliers are not directly subject to the Rule issued pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Smith & Nephew is reliant on the provision of information by its suppliers to determine whether any 3TG in its products originated in the Covered Countries.

Smith & Nephew performed a Reasonable Country of Origin Inquiry (RCOI) on suppliers believed to provide Smith & Nephew with materials or components containing 3TGs necessary to the functionality or production of Smith & Nephew's products. Smith & Nephew's suppliers identified 332 valid smelters and refineries (smelters) in their supply chains. Of these 332 smelters, Smith & Nephew identified 48 as sourcing (or there was a reason to believe they may be sourcing) from the Covered Countries. Smith & Nephew's due diligence review indicated that 32 of these smelters have been audited and recognized as conflict free by the Responsible Minerals Assurance Process (RMAP). Risk mitigation was conducted on the remaining 16 smelters.

**Company Management Systems** 

Smith & Nephew established robust management systems according to Step 1 of the OECD Due Diligence Guidance. Smith & Nephew's systems included:

&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;o Implemented
 a conflict minerals policy.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;o Policy
 made publicly available:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;▪ https://www.smith-nephew.com/en/who-we-are/sustainability/conflict-minerals

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

&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;o Maintained
 an internal cross functional team to support supply chain due diligence.

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

&nbsp;&nbsp;&nbsp;&nbsp;· Step
 1C - Establish a system of transparency, information collection and control over the supply
 chain.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;o Implemented
 a process to collect required supplier 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 CMR.

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

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;o Directly
 engaged suppliers during RCOI process.

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

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;o Added
 Conflict Minerals compliance requirements to new supplier contracts and Smith & Nephew's
 Code of Conduct, Business Principles and Third Party Guide.

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

&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;o 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;o Smith
 & Nephew's ethics violations reporting system allows employees to voice confidentially
 without any fear of retribution, any concerns with the violations of the Smith & Nephew's
 Conflict Minerals policy.

**RCOI**

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

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

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

*Supplier RCOI*

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

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

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

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

&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;• Reviewing the final smelter list
 (and compared it to industry peers) to determine if Smith & Nephew identified reasonably
 all of the smelters in its supplier's supply chains.

For the 2025 reporting period, Smith & Nephew's RCOI process was executed by Claigan Environmental Inc., a third-party contractor. Smith & Nephew's suppliers identified 332 smelters in their supply chains. The specific list of smelters is included in the "Smelter and Refineries" section at the end of this CMR.

*Smelter RCOI*

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

**Due Diligence**

Smith & Nephew'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*

Smith & Nephew's smelter RCOI and due diligence process were designed to:

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

&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;• 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).

Smith & Nephew's smelter RCOI and Due Diligence Process included the following:

&nbsp;&nbsp;&nbsp;&nbsp;• For each smelter identified by
 its suppliers:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;o Smith
 & Nephew attempted direct engagement with suppliers to determine whether or not the smelters
 identified source from the Covered Countries.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;o 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 Covered Countries, and were not recognized as conflict
 free by the RMAP, Smith & Nephew reviewed publicly available information to determine
 if there was any contrary evidence to the smelter's declaration. The sources reviewed
 included:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;▪ Public
 internet search (e.g., Google) of the facility in combination with each of the Covered Countries

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;▪ Review
 of NGO publications

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;▪ Publications
 by the U.N. Groups of Experts concerning the DRC

&nbsp;&nbsp;&nbsp;&nbsp;• For smelters whose status could
 not be confirmed by direct engagement with suppliers, Smith & Nephew 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;o Smith
 & Nephew reviewed the same sources as those used to compare against smelter sourcing
 declarations.

&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), Smith & Nephew sought to identify whether such smelters have been audited
 and recognized as conflict free by the RMAP.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;o For
 high-risk smelters that have not been audited and recognized as conflict free by the RMAP,
 Smith & Nephew 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.

Smith & Nephew's suppliers identified 332 valid smelters and refineries (smelters) in their supply chains. Of these 332 smelters, Smith & Nephew identified 48 as sourcing (or there was a reason to believe they may be sourcing) from the Covered Countries. Smith & Nephew's due diligence review indicated that 32 of these smelters have been audited and recognized as conflict free by the Responsible Minerals Assurance Process (RMAP). Risk mitigation was conducted on the remaining 16 smelters.

**Risk Mitigation**

Smith & Nephew conducted risk mitigation on 16 smelters that were not recognized as conformant to the RMAP. Smith & Nephew's risk mitigation was designed in accordance with Step 3B of the OECD Due Diligence Guidance and was reported to Smith & Nephew's Sr. Director, ESG Regulations and Reporting, in accordance with Step 3A of the OECD Due Diligence Guidance.

As part of Smith & Nephew's risk mitigation process, additional due diligence was performed to determine if there was any reason to believe the relevant smelters directly or indirectly financed or benefited armed groups in the DRC or adjoining countries. Notifications were issued to relevant suppliers regarding engaging smelters, either directly or through any necessary upstream suppliers, to promote participation in the RMAP. Suppliers were requested to consider removal of non RMAP conformant smelters from their supply chains, if smelters are unwilling or unable to participate in the RMAP.

Smith & Nephew will continue to engage with its suppliers on an ongoing basis with regards to these efforts and to ensure appropriate risk mitigation.

**Improvement Plan**

Smith & Nephew has a global, multi-tier, significantly complex and highly regulated supply chain. Supply chain changes carry long lead times and the necessity for extensive quality and safety related due diligence checks, as well as in certain instances, the obtaining of approvals from regulators. Smith & Nephew therefore works collaboratively with suppliers to educate and manage change on an ongoing basis and to ensure conformance with Smith & Nephew's Conflict Minerals Policy.

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

&nbsp;&nbsp;&nbsp;&nbsp;a) Including Conflict Minerals compliance
 requirements in all new and renewing supplier contracts potentially in scope.

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

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

&nbsp;&nbsp;&nbsp;&nbsp;d) Follow up in 2026 on smelters requiring
 risk mitigation and implement corrective and preventative actions where risks cannot be appropriately
 mitigated.

**Smelters and Refineries**

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

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| | |
|:---|:---|
| **Metal** | **Smelter** |
| Gold | 8853 S.p.A. |
| Gold | ABC Refinery Pty Ltd. |
| Gold | Abington Reldan Metals, LLC |
| Gold | Advanced Chemical Company |
| Gold | African Gold Refinery |
| Gold | Agosi AG |
| Gold | Aida Chemical Industries Co., Ltd. |
| Gold | Al Etihad Gold Refinery DMCC |
| Gold | Albino Mountinho Lda. |
| Gold | Alexy Metals |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) |
| Gold | AngloGold Ashanti Córrego do Sítio Mineração |
| Gold | Argor-Heraeus S.A. |
| Gold | ASAHI METALFINE, Inc. |
| Gold | Asahi Refining Canada Ltd. |
| Gold | Asahi Refining USA Inc. |
| Gold | Asaka Riken Co., Ltd. |
| Gold | Attero Recycling Pvt Ltd |
| Gold | AU Traders and Refiners |
| Gold | Augmont Enterprises Private Limited |
| Gold | Aurubis AG, Hamburg |
| Gold | Bangalore Refinery |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
| Gold | Boliden Mineral AB (Ronnskar) |
| Gold | C. Hafner GmbH + Co. KG |
| Gold | Caridad |
| Gold | Cendres + Métaux S.A. |

---

---

| | |
|:---|:---|
| Gold | CGR Metalloys Pvt Ltd. |
| Gold | Chimet S.p.A. |
| Gold | Chugai Mining |
| Gold | Coimpa Industrial LTDA |
| Gold | Daye Non-Ferrous Metals Mining Ltd. |
| Gold | Degussa Sonne / Mond Goldhandel GmbH |
| Gold | Dijllah Gold Refinery FZC |
| Gold | Dongwu Gold Group |
| Gold | Dowa |
| Gold | DSC (Do Sung Corporation) |
| Gold | Eco-System Recycling Co., Ltd. East Plant |
| Gold | Eco-System Recycling Co., Ltd. North Plant |
| Gold | Eco-System Recycling Co., Ltd. West Plant |
| Gold | Elite Industech Co., Ltd. |
| Gold | Emerald Jewel Industry India Limited (Unit 1) |
| Gold | Emerald Jewel Industry India Limited (Unit 2) |
| Gold | Emerald Jewel Industry India Limited (Unit 3) |
| Gold | Emerald Jewel Industry India Limited (Unit 4) |
| Gold | Emirates Gold DMCC |
| Gold | Fidelity Printers and Refiners Ltd. |
| Gold | Fujairah Gold FZC |
| Gold | Gasabo Gold Refinery Ltd |
| Gold | GG Refinery Ltd. |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. |
| Gold | Glencore Canada Corporation - CCR Refinery |
| Gold | Gold by Gold Colombia |
| Gold | Gold Coast Refinery |
| Gold | Gold Corporation - The Perth Mint |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. |
| Gold | Heimerle + Meule GmbH |
| Gold | Heraeus Limited Hong Kong (HLH) |
| Gold | Heraeus Precious Metals Germany (HPMG) |
| Gold | Hunan Chenzhou Mining Co., Ltd. |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. |
| Gold | HwaSeong CJ Co., Ltd. |
| Gold | Impala Platinum - Platinum Metals Refinery (PMR) |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. |
| Gold | International Precious Metal Refiners |

---

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| | |
|:---|:---|
| Gold | Ishifuku Metal Industry Co., Ltd. |
| Gold | Istanbul Gold Refinery |
| Gold | Italpreziosi |
| Gold | JALAN & Company |
| Gold | Japan Mint |
| Gold | Jiangxi Copper Co., Ltd. |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
| Gold | JSC Novosibirsk Refinery |
| Gold | JSC Uralelectromed |
| Gold | JX Advanced Metals Corporation |
| Gold | K.A. Rasmussen |
| Gold | Kazakhmys Smelting LLC |
| Gold | Kazzinc |
| Gold | Kennecott Utah Copper LLC |
| Gold | KGHM Polska Miedź Spółka Akcyjna |
| Gold | Kojima Chemicals Co., Ltd. |
| Gold | Korea Zinc Co., Ltd. |
| Gold | Kundan Care Products Ltd. |
| Gold | Kyrgyzaltyn JSC |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO |
| Gold | L'Orfebre S.A. |
| Gold | Lingbao Gold Co., Ltd. |
| Gold | LS MnM Inc. |
| Gold | LT Metal Ltd. |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. |
| Gold | Marsam Metals |
| Gold | Materion |
| Gold | Matsuda Sangyo Co., Ltd. |
| Gold | MD Overseas |
| Gold | Metal Concentrators SA (Pty) Ltd. |
| Gold | Metallix Refining Inc. |
| Gold | Metalor Technologies (Hong Kong) Ltd. |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. |
| Gold | Metalor Technologies (Suzhou) Ltd. |
| Gold | Metalor Technologies S.A. |
| Gold | Metalor USA Refining Corporation |
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. |
| Gold | Minera Titan del Peru SRL (MTP) - Belen Plant |
| Gold | Mitsubishi Materials Corporation |

---

---

| | |
|:---|:---|
| Gold | Mitsui Mining and Smelting Co., Ltd. |
| Gold | MKS PAMP SA |
| Gold | MMTC-PAMP India Pvt., Ltd. |
| Gold | Modeltech Sdn Bhd |
| Gold | Morris and Watson |
| Gold | Moscow Special Alloys Processing Plant |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. |
| Gold | Navoi Mining and Metallurgical Combinat |
| Gold | NH Recytech Company |
| Gold | Nihon Material Co., Ltd. |
| Gold | NOBLE METAL SERVICES |
| Gold | Oegussa Oesterreichische Gold- und Silber-Scheideanstalt Gesm.b.H. |
| Gold | Ohura Precious Metal Industry Co., Ltd. |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) |
| Gold | Pease & Curren |
| Gold | Penglai Penggang Gold Industry Co., Ltd. |
| Gold | Planta Recuperadora de Metales SpA |
| Gold | Prioksky Plant of Non-Ferrous Metals |
| Gold | PT Aneka Tambang (Persero) Tbk |
| Gold | PX Précinox S.A. |
| Gold | QG Refining, LLC |
| Gold | Rand Refinery (Pty) Ltd. |
| Gold | REMONDIS PMR B.V. |
| Gold | Royal Canadian Mint |
| Gold | SAAMP |
| Gold | Sabin Metal Corp. |
| Gold | Safimet S.p.A |
| Gold | SAFINA A.S. |
| Gold | SAM Precious Metals FZ-LLC |
| Gold | Samduck Precious Metals |
| Gold | Samwon Metals Corp. |
| Gold | SEMPSA Joyería Platería S.A. |
| Gold | Shandong Gold Smelting Co., Ltd. |
| Gold | Shandong Humon Smelting Co., Ltd. |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. |
| Gold | Shenzhen CuiLu Gold Co., Ltd. |
| Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. |

---

---

| | |
|:---|:---|
| Gold | Shirpur Gold Refinery Ltd. |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. |
| Gold | Singway Technology Co., Ltd. |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals |
| Gold | Solar Applied Materials Technology Corp. |
| Gold | SOLEIL METALS (Chala One Plant) |
| Gold | SOLEIL METALS (YAKARI Plant) |
| Gold | Sovereign Metals |
| Gold | State Research Institute Center for Physical Sciences and Technology |
| Gold | Sumitomo Metal Mining Co., Ltd. |
| Gold | SungEel HiMetal Co., Ltd. |
| Gold | Super Dragon Technology Co., Ltd. |
| Gold | T.C.A S.p.A |
| Gold | Tanaka Kikinzoku Kogyo K.K. |
| Gold | TITAN COMPANY LIMITED, JEWELLERY DIVISION |
| Gold | Tokuriki Honten Co., Ltd. |
| Gold | Tongling (Jinguan) Nonferrous Jinguan Copper Industry |
| Gold | TOO Tau-Ken-Altyn |
| Gold | Torecom |
| Gold | Umicore Precious Metals Thailand |
| Gold | Umicore S.A. Business Unit Precious Metals Refining |
| Gold | United Precious Metal Refining, Inc. |
| Gold | Valcambi S.A. |
| Gold | WEEEREFINING |
| Gold | WIELAND Edelmetalle GmbH |
| Gold | Yamakin Co., Ltd. |
| Gold | Yokohama Metal Co., Ltd. |
| Gold | Yunnan Copper Southwest Copper Branch |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation |
| Gold | Zijin Mining Group Gold Smelting Co. Ltd. |
| Tantalum | 5D Production OU |
| Tantalum | AMG Brasil |
| Tantalum | D Block Metals, LLC |
| Tantalum | F&X Electro-Materials Ltd. |
| Tantalum | FIR Metals & Resource Ltd. |
| Tantalum | Global Advanced Metals Aizu |
| Tantalum | Global Advanced Metals Boyertown |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. |

---

---

| | |
|:---|:---|
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
| Tantalum | Jiangxi Suns Nonferrous Materials Co. Ltd. |
| Tantalum | Jiangxi Tuohong New Raw Material |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. |
| Tantalum | Jiujiang Tanbre Co., Ltd. |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. |
| Tantalum | KEMET de Mexico |
| Tantalum | Materion Newton Inc. |
| Tantalum | Metallurgical Products India Pvt., Ltd. |
| Tantalum | Mineração Taboca S.A. |
| Tantalum | Mitsui Kinzoku Company, Limited |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. |
| Tantalum | NPM Silmet AS |
| Tantalum | PowerX Ltd. |
| Tantalum | Resind Indústria e Comércio Ltda. |
| Tantalum | Solikamsk Magnesium Works OAO |
| Tantalum | Taki Chemical Co., Ltd. |
| Tantalum | TANIOBIS Co., Ltd. |
| Tantalum | TANIOBIS GmbH |
| Tantalum | TANIOBIS Japan Co., Ltd. |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG |
| Tantalum | Telex Metals |
| Tantalum | Ulba Metallurgical Plant JSC |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. |
| Tin | Alpha Assembly Solutions Inc |
| Tin | An Vinh Joint Stock Mineral Processing Company |
| Tin | Aurubis Beerse |
| Tin | Aurubis Berango |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. |
| Tin | China Tin Group Co., Ltd. |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda |
| Tin | CRM Synergies |
| Tin | CV Ayi Jaya |
| Tin | Dongguan Best Alloys Co., Ltd. |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. |
| Tin | Dowa |

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| | |
|:---|:---|
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company |
| Tin | EM Vinto |
| Tin | Estanho de Rondônia S.A. |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. |
| Tin | Fenix Metals |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. |
| Tin | Gejiu Kai Meng Industry and Trade LLC |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. |
| Tin | Global Advanced Metals Greenbushes Pty Ltd. |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. |
| Tin | HuiChang Hill Tin Industry Co., Ltd. |
| Tin | Jiangxi New Nanshan Technology Ltd. |
| Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd |
| Tin | Luna Smelter, Ltd. |
| Tin | Ma'anshan Weitai Tin Co., Ltd. |
| Tin | Magnu's Minerais Metais e Ligas Ltda. |
| Tin | Malaysia Smelting Corporation (MSC) |
| Tin | Malaysia Smelting Corporation Berhad (Port Klang) |
| Tin | Melt Metais e Ligas S.A. |
| Tin | Metallic Resources, Inc. |
| Tin | Mineração Taboca S.A. |
| Tin | Mining Minerals Resources SARL |
| Tin | Minsur |
| Tin | Mitsubishi Materials Corporation |
| Tin | Modeltech Sdn Bhd |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company |
| Tin | Novosibirsk Tin Combine |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. |
| Tin | O.M. Manufacturing Philippines, Inc. |
| Tin | Operaciones Metalúrgicas S.A. |
| Tin | P Kay Metal, Inc |
| Tin | Precious Minerals and Smelting Limited |
| Tin | PT Aries Kencana Sejahtera |
| Tin | PT Arsed Indonesia |
| Tin | PT ATD Makmur Mandiri Jaya |
| Tin | PT Bangka Prima Tin |
| Tin | PT Cipta Persada Mulia |

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| | |
|:---|:---|
| Tin | PT Masbro Alam Stania |
| Tin | PT Mitra Stania Prima |
| Tin | PT Mitra Sukses Globalindo |
| Tin | PT Premium Tin Indonesia |
| Tin | PT Prima Timah Utama |
| Tin | PT Putera Sarana Shakti (PT PSS) |
| Tin | PT Rajehan Ariq |
| Tin | PT Timah Tbk Kundur |
| Tin | PT Timah Tbk Mentok |
| Tin | Resind Indústria e Comércio Ltda. |
| Tin | RIKAYAA GREENTECH PRIVATE LIMITED |
| Tin | Rui Da Hung |
| Tin | Super Ligas |
| Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. |
| Tin | Thaisarco |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. |
| Tin | Tin Technology & Refining |
| Tin | VQB Mineral and Trading Group JSC |
| Tin | White Solder Metalurgia e Mineração Ltda. |
| Tin | Woodcross Smelting Company Limited |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. |
| Tungsten | A.L.M.T. Corp. |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. |
| Tungsten | Asia Tungsten Products Vietnam Ltd. |
| Tungsten | China Molybdenum Tungsten Co., Ltd. |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. |
| Tungsten | Cronimet Brasil Ltda |
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. |
| Tungsten | Global Tungsten & Powders LLC. |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. |
| Tungsten | H.C. Starck Tungsten GmbH |
| Tungsten | Hubei Green Tungsten Co., Ltd. |
| Tungsten | Hunan Jintai New Material Co., Ltd. |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch |
| Tungsten | Hydrometallurg, JSC |
| Tungsten | Japan New Metals Co., Ltd. |

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| | |
|:---|:---|
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. |
| Tungsten | Jing Yuan Tungsten Technology Co., Ltd. |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" |
| Tungsten | KENEE MINING VIETNAM COMPANY LIMITED |
| Tungsten | Kennametal Fallon |
| Tungsten | Kennametal Huntsville |
| Tungsten | LAOS SOUTHERN MINING SMELTING SOLE CO.,LTD |
| Tungsten | Lianyou Metals Co., Ltd. |
| Tungsten | Lianyou Resources Co., Ltd. |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. |
| Tungsten | Masan High-Tech Materials |
| Tungsten | Moliren Ltd. |
| Tungsten | Nam Viet Cromit Joint Stock Company |
| Tungsten | Niagara Refining LLC |
| Tungsten | NPP Tyazhmetprom LLC |
| Tungsten | OOO "Technolom" 1 |
| Tungsten | OOO "Technolom" 2 |
| Tungsten | Philippine Bonway Manufacturing Industrial Corporation |
| Tungsten | Philippine Carreytech Metal Corp. |
| Tungsten | S.P.T. spol.s r.o. |
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG |
| Tungsten | Tungsten Vietnam Joint Stock Company |
| Tungsten | Unecha Refractory Metals Plant |
| Tungsten | Wolfram Bergbau and Hütten AG |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. |
| Tungsten | Xiamen Tungsten Co., Ltd. |
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. |

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Forty-eight of the smelters above 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 covered country by the smelter. Given the limitation on the specificity of the smelters' disclosures, the identified Covered Countries are the Democratic Republic of the Congo, Rwanda, Burundi, Uganda, Tanzania, South Sudan, Zambia, Central African Republic and Angola.