# EDGAR Filing Document

**Accession Number:** 0001567094
**File Stem:** 0001193125-26-242234
**Filing Date:** 2026-5
**Character Count:** 43766
**Document Hash:** b74f46e9936651271890fedb5dad20f7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-26-242234.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001193125-26-242234

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20260528

**DATE AS OF CHANGE**: 20260527

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CNH Industrial N.V.
- **CENTRAL INDEX KEY:** 0001567094
- **STANDARD INDUSTRIAL CLASSIFICATION:** CONSTRUCTION MACHINERY & EQUIP [3531]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 000000000
- **STATE OF INCORPORATION:** P7
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36085
- **FILM NUMBER:** 261027715

**BUSINESS ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** CRANES FARM ROAD
- **CITY:** BASILDON, ESSEX
- **PROVINCE COUNTRY:** X0
- **ZIP:** SS14 3AD
- **BUSINESS PHONE:** 011 44 1268 533000

**MAIL ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** CRANES FARM ROAD
- **CITY:** BASILDON, ESSEX
- **PROVINCE COUNTRY:** X0
- **ZIP:** SS14 3AD

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FI CBM Holdings N.V.
- **DATE OF NAME CHANGE:** 20130115

**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION** 

**Washington, D.C. 20549** 

**FORM SD** 

**Specialized Disclosure Report** 

## CNH INDUSTRIAL N.V.
**(Exact Name of Registrant as Specified in Its Charter)** 

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| | | |
|:---|:---|:---|
| **Netherlands** | **001-36085** | **98-1125413** |
| **(State or Other Jurisdiction of**<br> **Incorporation or Organization)** | **(Commission File Number)** | **(IRS Employer**<br> **Identification Number** |

---

**Cranes Farm Road, Basildon, Essex, SS14 3AD, United Kingdom** 

**(Address of Registrant's Principal Executive Offices)** 

**Britton Worthen; Telephone: 630-642-9715** 

**(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 CNH Industrial N.V.'s Conflict Minerals Report for the year ended December 31, 2025 is provided as Exhibit 1.01 hereto and is publicly available at <u>https://www.cnh.com/en-US/Investor-Relations/financial_information/sec_filin</u>gs

Item 1.02 Exhibit

CNH Industrial N.V. has filed, as Exhibit 1.01 to this Specialized Disclosure Report on Form SD, a Conflict Minerals Report. Section 2 – Exhibits

Item 2.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report for the year ended December 31, 2025 as required by Items 1.01 and 1.02 of this Form SD.

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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.

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| | | |
|:---|:---|:---|
|  Date: May 27, 2026 | **CNH INDUSTRIAL N.V.**<br> (Registrant) | **CNH INDUSTRIAL N.V.**<br> (Registrant) |
|  | By: | /s/ Britton Worthen |
|  |  | Name: Britton Worthen |
|  |  | Title: Chief Legal and Compliance Officer |

---

## Exhibit 1.01

Exhibit 1.01

CNH Industrial N.V.

Conflict Minerals Report

For The Year Ended December 31, 2025

**I. Introduction and Company Overview** 

This report has been prepared by CNH Industrial N.V. pursuant to Rule 13p-1 (the "Rule") promulgated under the Securities Exchange Act of 1934 (the "Exchange Act"). References to internet websites herein are provided only as required by the Rule and information available through these websites is not incorporated by reference into this Form SD. Unless otherwise specified, the terms "we," "us," "our," "CNH," and the "Company" refer to CNH Industrial N.V., a public limited liability company (*naamloze vennootschap*) organized under the laws of the Netherlands, together with its consolidated subsidiaries or any one or more of them, as the context may require.

With 2025 total revenues of $18.1 billion, CNH is a leading global equipment company that develops, manufactures and sells agricultural and construction equipment. In addition, CNH's Financial Services segment offers an array of financial products and services, including retail and wholesale financing. CNH's global network includes industrial, commercial and financial services subsidiaries located in 32 countries and a commercial presence in approximately 166 countries. The Agriculture segment develops, manufactures, distributes and supports a full line of agriculture equipment, implements and precision agriculture solutions. The Agriculture segment also supports customers throughout the equipment lifecycle with aftermarket solutions including guidance, automated steering systems, and application control products across a full line of equipment. Agriculture's product lines include tractors, harvesters, hay and forage equipment, seeding and planting equipment, and self-propelled sprayers. The Construction segment develops, manufactures, distributes and supports a full line of construction equipment including excavators, crawler dozers, graders, wheel loaders, backhoe loaders, skid steer loaders, and compact track loaders, along with a wide variety of attachments. The Construction segment also supports customers throughout the equipment lifecycle with aftermarket solutions that enhance productivity and equipment performance across the full product line.

Our products are highly complex, typically containing thousands of parts from many direct suppliers. We have relationships with a vast network of suppliers throughout the world. Many of our suppliers are located outside the United States and include entities that are not subject to the disclosure requirements of the Rule. In addition, there are generally multiple tiers between the 3TG mines and our suppliers. Therefore, we must rely on our direct suppliers to work with their suppliers to provide us with information on the origin of the 3TG contained in components and materials purchased by us.

**II. Reasonable Country of Origin Inquiry ("RCOI")** 

We conducted a good faith reasonable country of origin inquiry ("RCOI") that was reasonably designed to determine whether our products contain conflict minerals that originated in the Democratic Republic of the Congo or an adjoining country (the "Covered Countries"). This RCOI was made by inquiry of our suppliers to determine the country of origin of the components provided to CNH Industrial. Our RCOI was started by identification of relevant suppliers and a survey of those relevant suppliers.

Because of the scope and complexity of our supply chain, we developed a risk-based approach that focused on our major direct suppliers as well as direct suppliers that we believed were likely to provide us with components containing 3TG (collectively, the "Surveyed Suppliers"). Surveyed Suppliers represented approximately 80% of the purchases (by dollar value) that we made for goods from suppliers. For 2025, we received responses from more than 85% of our Surveyed Suppliers equaling 622 total responses.

We requested that all Surveyed Suppliers provide information to us regarding 3TG and smelters using the template developed by the Responsible Minerals Initiative ("RMI"), known as the Conflict Minerals Reporting Template (the "Template"). The Template is a free, standardized reporting template that facilitates disclosure and communication of information regarding smelters and refiners that provide 3TG to a manufacturer's supply chain. It includes questions regarding a direct supplier's conflict-free policy and its due diligence process, and requests information about its supply chain such as the names and locations of smelters and refiners as well as the origin of 3TG used by such smelters and refiners. The information we receive is submitted into an electronic database to facilitate information analysis.

**III. Design of Due Diligence Framework** 

In addition to the RCOI, pursuant to the Rule, we undertook due diligence efforts on the source and country of origin of 3TG in our supply chain. The Rule requires that a registrant's due diligence follow a nationally or internationally recognized due diligence framework. Presently, the only nationally or internationally recognized due diligence framework available is the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and related Supplements for each of the conflict minerals (the "OECD Guidance"). The OECD Guidance is a framework for risk-based due diligence for responsible supply chains of conflict minerals from conflict-affected and high-risk areas that is described in the five-steps noted in Section IV below.

CNH Industrial designed its due diligence measures to be in conformity, in all material respects, with the OECD Guidance.

**IV. Due Diligence Performed** 

This Section IV describes measures performed by us to exercise due diligence on the source and chain of custody on the 3TG contained in our products.

<u>OECD Step 1. Establish Strong Company Management Systems</u>

Conflict Minerals Policy

CNHI Industrial has implemented a compliance program and a Conflict Minerals Policy intended to promote the responsible sourcing of 3TG from the Democratic Republic of the Congo and adjoining countries (the "Covered Countries"), where revenues from the extraction of these natural resources have historically funded armed conflict and human rights abuses. Our conflict minerals policy is publicly available on our website at <u>https://s205.q4cdn.com/962820841/files/doc_downloads/sustainability/CNH_Industrial_Conflict_Minerals_Policy_2015.pdf</u>

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Internal Team

We have established a management system to support supply chain due diligence related to goods that may contain 3TG. Our management system includes a cross-functional executive steering committee (the "Steering Committee") sponsored by senior legal and compliance staff, and a team of subject matter experts from functions such as purchasing, sustainability and research and development. The next level of the management system is a team of subject matter experts ("CM Team") from relevant functions within the Company, including procurement, quality, product safety, internal audit, and legal. The CM Team is responsible for implementing the Company's due diligence procedures.

Control Systems

We do not have a direct relationship with 3TG smelters and refiners; therefore, we rely on our direct suppliers to provide information on the origin of the 3TG contained in the components and materials supplied to us. We are a member of RMI (RMI Member Code: CNHI). RMI is an initiative developed to identify and disclose upstream actors in the supply chain, including 3TG smelters and refiners. RMI program initiatives include the Responsible Minerals Assurance Process ("RMAP"), which identifies smelters and refiners that source minerals in conformance with RMAP, and the Template. We use the Template in our RCOI and RMAP data and information in our identification and assessment of risks in the supply chain. The control systems that we have in place include, but are not limited to, a dedicated email address for conflict minerals information, supplier retention response through our third-party software tool and a smelter outreach program through RMI.

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Supplier Engagement

We have provided the Surveyed Suppliers with instructions for responding to the Template and how to access our third-party software tool. Surveyed Suppliers also have access to a conflict minerals compliance e-mail address, monitored by a member of the Conflict Minerals working group, which Surveyed Suppliers could use to seek assistance in interpreting and completing the Template. Our standard purchase order terms and conditions and purchase agreements require our suppliers to provide us with supporting information and documentation evidencing due diligence of 3TG in their respective supply chains. We have adopted and made available to our suppliers a Supplier Code of Conduct that requires, among other things, all suppliers to exercise due diligence, in accordance with the OECD Guidance on its entire supply chain with respect to the sourcing of all 3TG to determine whether those metals are from the Covered Countries and, if so, to determine whether those metals directly or indirectly financed or benefited armed groups that are perpetrators of serious human rights abuses in the Covered Countries.

Grievance Mechanism

We have processes to collect and act on concerns expressed by employees and others about possible improper or unethical business practices, violations of company policies (including our Code of Conduct, the Supplier Code of Conduct and Conflict Minerals Policy) or applicable laws. This grievance mechanism is described in our Conflict Minerals Policy.

<u>OECD Step 2. Identify and Assess Risks in the Supply Chain</u>

Our method for determining the country of origin of 3TG contained in our products was to conduct a supply-chain survey with Surveyed Suppliers using the Template. We have implemented a third-party software solution to collect and manage supplier CMRT data. We use this third-party solution to analyze the CMRT data provided by suppliers, aggregate the supplier CMRT data for our reporting, and follow up with any supplier whose CMRT data we identified to contain incomplete or potentially inaccurate data. We rely on our suppliers to provide information on the origin of 3TG contained in the components and materials supplied to us. These suppliers are similarly reliant upon information provided by their suppliers. Smelters and refiners identified by a supplier in response to our supply-chain survey are compared against the RMI list to identify and assist in assessing the risk that the 3TG used in our products may have originated in the Covered Countries.

<u>OECD Step 3. Design and Implement a Strategy to Respond to Identified Risks</u>

Suppliers are instructed to adhere to our Supplier Code of Conduct that requires, among other things, all suppliers to exercise due diligence, in accordance with the OECD Guidance, on its entire supply chain with respect to the sourcing of all 3TG to determine whether those metals are from the Covered Countries and, if so, to determine whether those metals directly or indirectly financed or benefited armed groups that are perpetrators of serious human rights abuses in the Covered Countries.

We have an internal escalation process for following up with unresponsive suppliers to increase the response rate, and we follow-up with the Surveyed Suppliers that provide incomplete or inconsistent responses. Finally, we follow up with Surveyed Suppliers who listed non-compliant smelters or refiners in their CMRT.

<u>OECD Step 4. Carry Out Independent Third-Party Audit of Supply Chain Due Diligence At Identified Points In The Supply Chain</u>

We support audits of 3TG smelters and refiners conducted by third parties through our membership in RMI. RMI developed the RMAP, which uses an independent third-party audit to identify smelters and refiners that have management systems and sourcing practices in place to conform with RMAP protocols and global standards.

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<u>OECD Step 5. Report Annually on Supply Chain Due Diligence</u>

This Conflict Minerals Report constitutes our annual report on our 3TG due diligence, is available on our website

<u>https://www.cnh.com/en-US/Investor-Relations/financial_information/sec_filin</u>gs and is filed with the United States Securities and Exchange Commission.

**V. Due Diligence Results:** 

<u>Survey Responses</u>

We reviewed the Surveyed Supplier responses, including those not provided on the Template, to determine whether further engagement was necessary. When reviewing the Surveyed Supplier responses, we focused on incomplete responses as well as inconsistencies within the data reported by those suppliers. We worked directly with such suppliers in an effort to secure revised responses.

The Company relies on its suppliers to provide information on the origin of conflict minerals contained in the material supplied to the Company. In turn, those suppliers are reliant on the information supplied by their suppliers. The vast majority of the responses received provided data only with respect to the supplier's overall 3TG sourcing, without specifying if the 3TG was used in the specific goods supplied to us. Consequently, we cannot be certain that the smelters or refiners identified by the vast majority of our Surveyed Suppliers supplied 3TG to us rather than to other customers of that Surveyed Supplier.

A minority of responses listed specific smelters or refiners. Such responses collectively identified 304 unique facilities as identified by the RMI, of which 210 were included on the RMAP Conformant Smelters and Refiners List. We also identified 3 smelters that may be sourcing from the Covered Countries and may not have been from recycled or scrap resources. These three processing facilities have been validated as compliant with RMAP protocols. Please see <u>Attachment A</u> for a list of smelters and refiners reported to us by the Surveyed Suppliers that listed specific smelters or refiners. The smelters or refiners listed in <u>Attachment A</u> may have processed the 3TG necessary for our products, but we do not have sufficient information to establish a direct link between our products and the smelters or refiners listed in <u>Attachment A</u>.

**VI. Efforts to Determine Mine or Location of Origin** 

We requested our suppliers complete the Template, which includes questions regarding the locations of smelters and refiners or origin for the minerals. When a supplier cannot directly obtain information beyond smelter or refiner name, we consult the RMI to determine the country of origin and whether the smelter or refiner has been validated as RMAP conformant.

**VII. Steps To Be Taken to Mitigate Risk** 

Going forward, we intend to continue working with our suppliers to improve the quality of the information provided. To the extent that we are able to influence the sourcing decisions of our direct suppliers, we intend to encourage these suppliers to source Conflict Minerals from smelters and refiners that have been determined by RMI to conform to the RMAP or an equivalent third-party audit program. As we enter into new, long-term supply agreements with direct suppliers, we will incorporate terms that obligate our direct suppliers to provide information in sufficient detail to enable us to comply with our due diligence and disclosure requirements under the Rule. We will also provide our direct suppliers with additional instructions regarding our third-party software tool, and we will continue to work with our direct suppliers to educate them about the Rule and our Conflict Minerals Policy. We also intend to continue to participate in RMI meetings in order to gather best practices and collaborate with industry peers.

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Caution Concerning Forward-Looking Statements

Certain statements in this report may be "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995 and Section 21E of the Securities Exchange Act of 1934. These statements may include terminology such as "may", "will", "expect", "could", "should", "intend", "estimate", "anticipate", "believe", "outlook", "continue", "remain", "on track", "design", "target", "objective", "goal", "forecast", "projection", "prospects", "plan", or similar terminology. Forward-looking statements are not guarantees of future performance. Rather, they are based on current views and assumptions and involve known and unknown risks, uncertainties and other factors, many of which are outside our control and are difficult to predict. If any of these risks and uncertainties materialize or other assumptions underlying any of the forward-looking statements prove to be incorrect, the actual results or developments may differ materially from any future results or developments expressed or implied by the forward-looking statements. Actual results could differ materially from those anticipated in such forward-looking statements. Forward-looking statements speak only as of the date on which such statements are made, and we undertake no obligation to update or revise publicly any forward-looking statements.

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**<u>Attachment A</u>** 

The processing facilities listed in the table below represent the smelters and refiners provided by the Surveyed Suppliers that provided a list of smelters or refiners.\* The smelters or refiners may have processed the 3TG necessary for our products, but we do not have sufficient information to determine with certainty that is the case. Additionally, we are unable to conclusively determine the country-of-origin information for our necessary 3TG, but based on the data gathered from RMI, we believe that the sources may include the countries listed following the table.

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| | | | |
|:---|:---|:---|:---|
| **Metal** | **Smelter** | **Smelter Country** | **RMI Assessment** |
| Gold | 8853 S.p.A. | ITALY | Non Conformant |
| Gold | ABC Refinery Pty Ltd. | AUSTRALIA | Outreach Required |
| Gold | ASAHI METALFINE, Inc. | JAPAN | Conformant |
| Gold | AU Traders and Refiners | SOUTH AFRICA | Non Conformant |
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | Conformant |
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | Conformant |
| Gold | Agosi AG | GERMANY | Conformant |
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | Conformant |
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | Non Conformant |
| Gold | Albino Mountinho Lda. | PORTUGAL | Outreach Required |
| Gold | Alexy Metals | UNITED STATES OF AMERICA | Non Conformant |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | Conformant |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | Conformant |
| Gold | Argor-Heraeus S.A. | SWITZERLAND | Conformant |
| Gold | Asahi Refining Canada Ltd. | CANADA | Conformant |
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | Conformant |
| Gold | Asaka Riken Co., Ltd. | JAPAN | Conformant |
| Gold | Attero Recycling Pvt Ltd | INDIA | Outreach required |
| Gold | Augmont Enterprises Private Limited | INDIA | Non Conformant |
| Gold | Aurubis AG | GERMANY | Conformant |
| Gold | Bangalore Refinery | INDIA | Conformant |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | Conformant |
| Gold | Boliden Ronnskar | SWEDEN | Conformant |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | Conformant |
| Gold | CGR Metalloys Pvt Ltd. | INDIA | Outreach Required |
| Gold | Caridad | MEXICO | Outreach Required |
| Gold | Cendres + Metaux S.A. | SWITZERLAND | Non Conformant |
| Gold | Chimet S.p.A. | ITALY | Conformant |
| Gold | Chugai Mining | JAPAN | Conformant |
| Gold | Coimpa Industrial LTDA | BRAZIL | Conformant |
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | Conformant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | Outreach required |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | Outreach Required |
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | Outreach Required |
| Gold | Dongwu Gold Group | CHINA | Outreach Required |
| Gold | Dowa | JAPAN | Conformant |
| Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | Conformant |
| Gold | Eco-System Recycling Co., Ltd. North Plant | JAPAN | Conformant |
| Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | Conformant |
| Gold | Elite Industech Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | Outreach required |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | Outreach required |

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| | | | |
|:---|:---|:---|:---|
| Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | Outreach required |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | Outreach required |
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | Non Conformant |
| Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | Outreach Required |
| Gold | GG Refinery Ltd. | TANZANIA, UNITED REPUBLIC OF | Conformant |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | INDIA | Non Conformant |
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Conformant |
| Gold | Gold Coast Refinery | GHANA | Outreach Required |
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | Conformant |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | Conformant |
| Gold | Gold by Gold Colombia | COLOMBIA | Conformant |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | Outreach Required |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | Outreach Required |
| Gold | Heimerle + Meule GmbH | GERMANY | Conformant |
| Gold | Heraeus Germany GmbH Co. KG | GERMANY | Conformant |
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | Conformant |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | Outreach Required |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | Outreach Required |
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | Communication Suspended - Not Interested |
| Gold | Impala Platinum - Platinum Metals Refinery (PMR) | SOUTH AFRICA | Conformant |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | Conformant |
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | Outreach required |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | Conformant |
| Gold | Istanbul Gold Refinery | TURKEY | Conformant |
| Gold | Italpreziosi | ITALY | Conformant |
| Gold | JALAN & Company | INDIA | Outreach Required |
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | Conformant |
| Gold | Japan Mint | JAPAN | Conformant |
| Gold | Jiangxi Copper Co., Ltd. | CHINA | Conformant |
| Gold | K.A. Rasmussen | NORWAY | Outreach Required |
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | Conformant |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | Outreach required |
| Gold | Kazzinc | KAZAKHSTAN | Conformant |
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | Conformant |
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | Conformant |
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| Gold | Kundan Care Products Ltd. | INDIA | Outreach required |
| Gold | L'Orfebre S.A. | ANDORRA | Non Conformant |
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | RMI Due Diligence Review - Unable to Proceed |
| Gold | LS MnM Inc. | KOREA, REPUBLIC OF | Conformant |
| Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | Conformant |
| Gold | Lingbao Gold Co., Ltd. | CHINA | Outreach Required |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | Outreach Required |
| Gold | MD Overseas | INDIA | Outreach required |
| Gold | MKS PAMP SA | SWITZERLAND | Conformant |
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | Conformant |
| Gold | Materion | UNITED STATES OF AMERICA | Conformant |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Conformant |

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| | | | |
|:---|:---|:---|:---|
| Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | Conformant |
| Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | Outreach required |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | Conformant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | Conformant |
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | Conformant |
| Gold | Metalor Technologies S.A. | SWITZERLAND | Conformant |
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | Conformant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | Conformant |
| Gold | Minera Titan del Peru SRL (MTP) - Belen Plant | PERU | Active |
| Gold | Mitsubishi Materials Corporation | JAPAN | Conformant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| Gold | Modeltech Sdn Bhd | MALAYSIA | Non Conformant |
| Gold | Morris and Watson | NEW ZEALAND | Outreach required |
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | Conformant |
| Gold | NOBLE METAL SERVICES | UNITED STATES OF AMERICA | Outreach required |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | Conformant |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | Conformant |
| Gold | Nihon Material Co., Ltd. | JAPAN | Conformant |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | Conformant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | Conformant |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | Conformant |
| Gold | PX Precinox S.A. | SWITZERLAND | Conformant |
| Gold | Pease & Curren | UNITED STATES OF AMERICA | Communication Suspended - Not Interested |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | Outreach Required |
| Gold | Planta Recuperadora de Metales SpA | CHILE | Conformant |
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | Outreach Required |
| Gold | REMONDIS PMR B.V. | NETHERLANDS | Conformant |
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | Conformant |
| Gold | Royal Canadian Mint | CANADA | Conformant |
| Gold | SAAMP | FRANCE | Non Conformant |
| Gold | SAFINA A.S. | CZECHIA | Conformant |
| Gold | SAM Precious Metals FZ-LLC | UNITED ARAB EMIRATES | Outreach Required |
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | Conformant |
| Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. | CHINA | Outreach Required |
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | Communication Suspended - Not Interested |
| Gold | Safimet S.p.A | ITALY | Non Conformant |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | Non Conformant |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | Communication Suspended - Not Interested |
| Gold | Shandong Gold Smelting Co., Ltd. | CHINA | Conformant |
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | Outreach Required |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | Outreach Required |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | Conformant |
| Gold | Shenzhen CuiLu Gold Co., Ltd. | CHINA | Outreach Required |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | Outreach Required |
| Gold | Shirpur Gold Refinery Ltd. | INDIA | Outreach Required |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | Conformant |
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Non Conformant |

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| | | | |
|:---|:---|:---|:---|
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | Conformant |
| Gold | Sovereign Metals | INDIA | Outreach Required |
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | Outreach Required |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Conformant |
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| Gold | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Outreach Required |
| Gold | T.C.A S.p.A | ITALY | Conformant |
| Gold | TITAN COMPANY LIMITED, JEWELLERY DIVISION | INDIA | Non Conformant |
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | Conformant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | Conformant |
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | Conformant |
| Gold | Torecom | KOREA, REPUBLIC OF | Non Conformant |
| Gold | Umicore Precious Metals Thailand | THAILAND | Non Conformant |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | Conformant |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | Conformant |
| Gold | Valcambi S.A. | SWITZERLAND | Conformant |
| Gold | WEEEREFINING | FRANCE | Non Conformant |
| Gold | WIELAND Edelmetalle GmbH | GERMANY | Conformant |
| Gold | Yamakin Co., Ltd. | JAPAN | Conformant |
| Gold | Yokohama Metal Co., Ltd. | JAPAN | Conformant |
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | Outreach Required |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | Conformant |
| Tin | Alpha Assembly Solutions Inc | UNITED STATES OF AMERICA | Conformant |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIETNAM | Outreach Required |
| Tin | Aurubis Beerse | BELGIUM | Conformant |
| Tin | Aurubis Berango | SPAIN | Conformant |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | Active |
| Tin | CRM Synergies | SPAIN | Conformant |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | Conformant |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | Conformant |
| Tin | China Tin Group Co., Ltd. | CHINA | Conformant |
| Tin | Dongguan Best Alloys Co., Ltd. | CHINA | Conformant |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | Non Conformant |
| Tin | Dowa | JAPAN | Conformant |
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIETNAM | Non Conformant |
| Tin | Estanho de Rondonia S.A. | BRAZIL | Conformant |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | BRAZIL | Conformant |
| Tin | Fenix Metals | POLAND | Conformant |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | Outreach Required |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | Non Conformant |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | Conformant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | Non Conformant |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | Non Conformant |
| Tin | Global Advanced Metals Greenbushes Pty Ltd. | AUSTRALIA | Conformant |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | Conformant |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | Conformant |

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| | | | |
|:---|:---|:---|:---|
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | Active |
| Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd | CHINA | Outreach Required |
| Tin | Luna Smelter, Ltd. | RWANDA | Conformant |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | CHINA | Non Conformant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Conformant |
| Tin | Malaysia Smelting Corporation Berhad (Port Klang) | MALAYSIA | Conformant |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | Non Conformant |
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | Conformant |
| Tin | Mineracao Taboca S.A. | BRAZIL | Conformant |
| Tin | Mining Minerals Resources SARL | CONGO, DEMOCRATIC REPUBLIC OF THE | Conformant |
| Tin | Minsur | PERU | Conformant |
| Tin | Mitsubishi Materials Corporation | JAPAN | Conformant |
| Tin | Modeltech Sdn Bhd | MALAYSIA | Non Conformant |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | Conformant |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | Conformant |
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| Tin | P Kay Metal, Inc | UNITED STATES OF AMERICA | Conformant |
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Conformant |
| Tin | PT Arsed Indonesia | INDONESIA | Conformant |
| Tin | PT Bangka Prima Tin | INDONESIA | Conformant |
| Tin | PT Cipta Persada Mulia | INDONESIA | Conformant |
| Tin | PT Mitra Stania Prima | INDONESIA | Conformant |
| Tin | PT Mitra Sukses Globalindo | INDONESIA | Conformant |
| Tin | PT Premium Tin Indonesia | INDONESIA | Conformant |
| Tin | PT Prima Timah Utama | INDONESIA | Conformant |
| Tin | PT Putera Sarana Shakti (PT PSS) | INDONESIA | Conformant |
| Tin | PT Rajehan Ariq | INDONESIA | Conformant |
| Tin | PT Timah Tbk Kundur | INDONESIA | Conformant |
| Tin | PT Timah Tbk Mentok | INDONESIA | Conformant |
| Tin | RIKAYAA GREENTECH PRIVATE LIMITED | INDIA | Outreach required |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | Conformant |
| Tin | Super Ligas | BRAZIL | Conformant |
| Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | JAPAN | Conformant |
| Tin | Thaisarco | THAILAND | Conformant |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CHINA | Conformant |
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | Conformant |
| Tin | VQB Mineral and Trading Group JSC | VIETNAM | Outreach Required |
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | Conformant |
| Tin | Woodcross Smelting Company Limited | UGANDA | Conformant |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Non Conformant |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
| Tantalum | 5D Production OU | ESTONIA | Outreach Required |
| Tantalum | AMG Brasil | BRAZIL | Conformant |
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | Conformant |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | Conformant |
| Tantalum | FIR Metals & Resource Ltd. | CHINA | Conformant |

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| | | | |
|:---|:---|:---|:---|
| Tantalum | Global Advanced Metals Aizu | JAPAN | Conformant |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | Conformant |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | Conformant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | Conformant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| Tantalum | Jiangxi Suns Nonferrous Materials Co. Ltd. | CHINA | Active |
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | Conformant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | Conformant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | Conformant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| Tantalum | KEMET de Mexico | MEXICO | Conformant |
| Tantalum | Materion Newton Inc. | UNITED STATES OF AMERICA | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | Conformant |
| Tantalum | Mineracao Taboca S.A. | BRAZIL | Conformant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| Tantalum | NPM Silmet AS | ESTONIA | Conformant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | Conformant |
| Tantalum | PowerX Ltd. | RWANDA | Conformant |
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CHINA | Conformant |
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| Tantalum | TANIOBIS Co., Ltd. | THAILAND | Conformant |
| Tantalum | TANIOBIS GmbH | GERMANY | Conformant |
| Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | Conformant |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant |
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | Conformant |
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | Conformant |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | Conformant |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | Conformant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| Tungsten | A.L.M.T. Corp. | JAPAN | Conformant |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIETNAM | Conformant |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | Outreach Required |
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Cronimet Brasil Ltda | BRAZIL | Conformant |
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CHINA | Non Conformant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | Non Conformant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | Conformant |
| Tungsten | Global Tungsten & Powders LLC | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | Conformant |
| Tungsten | Hubei Green Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Hunan Jintai New Material Co., Ltd. | CHINA | Non Conformant |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CHINA | Non Conformant |
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | Conformant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | Conformant |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | Communication Suspended - Not Interested |

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| | | | |
|:---|:---|:---|:---|
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | Conformant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | Conformant |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Jing Yuan Tungsten Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| Tungsten | KENEE MINING VIETNAM COMPANY LIMITED | VIETNAM | Conformant |
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Lianyou Metals Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| Tungsten | Lianyou Resources Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Masan High-Tech Materials | VIETNAM | Conformant |
| Tungsten | Nam Viet Cromit Joint Stock Company | VIETNAM | Outreach Required |
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Philippine Bonway Manufacturing Industrial Corporation | PHILIPPINES | Conformant |
| Tungsten | Philippine Carreytech Metal Corp. | PHILIPPINES | Non Conformant |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | Conformant |
| Tungsten | S.P.T. spol.s r.o. | CZECHIA | Conformant |
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | CHINA | Conformant |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant |
| Tungsten | Tungamoy Metals Inc. | KOREA, REPUBLIC OF | Conformant |
| Tungsten | Tungsten Vietnam Joint Stock Company | VIETNAM | Conformant |
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Conformant |
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CHINA | Outreach Required |

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\* Processing facility name and location as reported by the Responsible Minerals Initiative (RMI)

Country of Origin for the Conflict Minerals processed by the facilities listed above may include:

Andorra, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, Colombia, Democratic Republic of the Congo, Czechia, Estonia, France, Germany, Ghana, India, Indonesia, Italy, Japan, Kazakhstan, Korea (Republic Of), Lithuania, Malaysia, Mexico, Netherlands, New Zealand, Norway, Peru, Philippines, Poland, Portugal, Rwanda, Saudi Arabia, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan (Province Of China), United Republic of Tanzania, Thailand, Turkey, Uganda, United Arab Emirates, United States Of America, Uzbekistan, Vietnam