# EDGAR Filing Document

**Accession Number:** 0001033767
**File Stem:** 0001193125-26-246194
**Filing Date:** 2026-5
**Character Count:** 40612
**Document Hash:** 2d3ef62920a70e95a256bf12697fe195
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-26-246194.hdr.sgml**: 20260529

**ACCESSION NUMBER**: 0001193125-26-246194

**CONFORMED SUBMISSION TYPE**: SD

**PUBLIC DOCUMENT COUNT**: 6

**FILED AS OF DATE**: 20260529

**DATE AS OF CHANGE**: 20260529

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** UNITED MICROELECTRONICS CORP
- **CENTRAL INDEX KEY:** 0001033767
- **STANDARD INDUSTRIAL CLASSIFICATION:** SEMICONDUCTORS & RELATED DEVICES [3674]
- **ORGANIZATION NAME:** 04 Manufacturing
- **EIN:** 000000000
- **STATE OF INCORPORATION:** F5
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SD
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-15128
- **FILM NUMBER:** 261038871

**BUSINESS ADDRESS:**
- **STREET 1:** 8F, NO.68, SEC. 1, NEIHU RD.,
- **CITY:** TAIPEI
- **STATE:** F5
- **ZIP:** 11493
- **BUSINESS PHONE:** 886-2-2658-9168

**MAIL ADDRESS:**
- **STREET 1:** 8F, NO.68, SEC. 1, NEIHU RD.,
- **CITY:** TAIPEI
- **STATE:** F5
- **ZIP:** 11493

**FORM SD** 

**Specialized Disclosure Report** 

## United Microelectronics Corporation ("UMC")
**(Exact name of registrant as specified in its charter)** 

**State or other jurisdiction of incorporation or organization: Taiwan, R.O.C.** 

**Address of principal executive offices & Zip Code: No.3, Li-Hsin Road. II, Hsinchu Science Park, Hsinchu City, Taiwan 30077, R.O.C.** 

**Commission File Number: 001-15128** 

**Name and telephone number, including area code, of the person to contact in connection with this report: Christine Chen, telephone number: +886-3-5782258 Ext.32148** 

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 Disclosures** 

**Item 1.01 Conflict Minerals Disclosure and Report** 

The Specialized Disclosure Report and Conflict Minerals Report for United Microelectronics Corporation ("UMC") filed as Exhibit 1.01.

Available internet website link for this Conflict Minerals Disclosures:

This Form SD is posted on UMC's public website at:

English version: <u>http://www.umc.com/English/CSR/c_3.asp</u>

Chinese version: <u>http://www.umc.com/chinese/CSR/c_3.asp</u>

**Item 1.02 Exhibit** 

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

**Section 2- Exhibits** 

**Item 2.01 Exhibits** 

Exhibit 1.01 – The Conflict Minerals Report 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, UMC has duly caused this Form SD to be signed on its behalf by the duly authorized undersigned.

United Microelectronics Corporation

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| |
|:---|
| /s/ Ming Hsu |
| Ming Hsu |
| President & COO |
| Date: May 29, 2026 |

---

## Exhibit 1.01

**Exhibit 1.01** 

**Exhibit 1.01 Conflict Minerals Disclosure and Report** 

In accordance with the execution of this Form SD, UMC has concluded in good faith that during 2025

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) UMC is a manufacturer and seller of patterned semiconductor wafers and/or die cut from such wafers. Certain
materials, including tantalum, tin, gold, and tungsten ("Conflict Minerals"), may be used in the production or functionality of some of our products, depending on their specific requirements. UMC conducts due diligence in accordance with
applicable regulations to determine the presence and source of any such minerals in its supply chain.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) In addition to a supply chain control system supervising all new and existing material suppliers' and
contractors' Conflict Minerals usage, UMC has adopted RBA (Responsible Business Alliance) RMI (Responsible Minerals Initiative) "Conflict Minerals Reporting Template" to conduct a country of origin inquiry regarding those Conflict
Minerals utilized by UMC and UMC's contractors. UMC has been the member of RMI and conducted on-site auditing activities of supply chain companies to check the suppliers' and contractors'
relevant data. All the aforementioned membership and implemented mechanisms enhance UMC's supply chain management with information reasonably necessary for the compliance with the rules and regulations in relation to the Conflict Minerals.
After the reasonable country of origin inquiry and auditing activities, UMC is of the opinion that Conflict Minerals utilized by UMC and UMC's contractors are all conflict-free. Responses from these consolidated suppliers are summarized as
exhibit (a):

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) UMC also consolidated its subsidiary companies to perform a country of origin inquiry similar to that described
in the above paragraph (b). All these consolidated subsidiary companies determine that Conflict Minerals utilized by them and their contractors are all conflict-free. Responses from these consolidated subsidiary companies are summarized as exhibit
(b):

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&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) The disclosure of UMC's related material suppliers, outsourcing companies and subsidiary companies for
the most recent 5 years is displayed in the following trend chart; all suppliers and companies are conflict-free.

![LOGO](g142231dsp_5.jpg)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(e) Summary smelters come from the country list as exhibit (c):

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(f) Total smelter list as shown in exhibit (d):

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(g) Countries origin of Covered Minerals as exhibit (e):

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**About UMC** 

**UMC's Business** 

UMC (NYSE: UMC, TWSE: 2303) is a leading global semiconductor foundry. The company provides high quality IC production with a focus on both logic and specialty technologies to serve every major sector of the electronics industry. UMC's comprehensive technology and manufacturing solutions include logic/RF, display driver IC, embedded flash, RFSOI/BCD on 8" & 12" wafers and IATF-16949 automotive manufacturing certification for all wafer fabs. UMC operates 12 fabs that are located throughout Asia with a maximum capacity of more than 750,000 8-inch equivalent wafers per month. The company employs approximately 19,000 people worldwide, with offices in Taiwan, China, United States, Europe, Japan, Korea and Singapore. For more information, please visit: <u>http://www.umc.com.</u>

**UMC's Products Covered by this Report** 

UMC is a manufacturer and seller of patterned semiconductor wafers ("product" or "products") and/or die cut from such wafers. Certain materials, including but not limited to tantalum, tin, gold, and tungsten ("Conflict Minerals"), may be necessary for the functionality or production of some products manufactured by UMC or contracted by UMC to be manufactured.

This report relates to products: (i) for which Conflict Minerals are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured by UMC.

On the basis of a reasonable country of origin inquiry and investigation measures described herein, UMC source Conflict Minerals material from conflict-free smelter or refiners.

We have approximately 3,000 suppliers. As a "downstream" company with many tiers in our supply chain, we generally do not have a direct relationship with Conflict Minerals smelters and refiners. It is difficult for us to identify actors upstream from our direct material suppliers, and we rely on our direct material suppliers to provide information on the smelters and refiners as well as the origin of Conflict Minerals contained in parts, products or services supplied to us, including sources of Conflict Minerals that are supplied to them from their upstream suppliers. These direct material suppliers similarly rely on information provided by their suppliers.

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We are a member of the Responsible Minerals Initiative (RMI). The RMI is a broad-based initiative to develop control systems regarding smelters and refiners through independently validated audits under the RMI's Conflict-Free Smelter Program.

**Reasonable Country of Origin Inquiry** 

UMC conducted efforts in good faith to determine whether the Conflict Minerals found in our products may have originated in the Covered Countries or are from recycled or scrap sources.

The head technician of our Manufacture Technical Developer (MTD) dept. supported the effort to filter out material suppliers and outsourcing suppliers that were most likely to provide material, products or services containing Conflict Minerals, and we sent 730 surveys to relevant suppliers and subsidiaries (total 45 suppliers & subsidiaries) in 2025.

All related suppliers & subsidiaries were notified through a defined process via both email and personalized contact, which included offers of assistance and further information to the supplier & subsidiaries about the requirements of the U.S. SEC Rule (the "Rule") and the compliance program.

The Conflict Minerals compliance program includes automated data validation on all submitted Questionnaires. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the Questionnaire. All submitted forms are accepted and classified as valid or invalid such that all data is retained.

Based on the suppliers and subsidiaries responses received regarding the Company's Conflict Minerals, which included thousands of alleged smelter or refiner names, we compiled a list of unique smelters or refiners, including information regarding associated countries of origin. UMC performed the check on the smelters or refiners on the unique list that were known, reasonably believed, or that had unknown sources from the "Covered Countries" or that had unknown sourcing in general.

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**UMC Conflict Minerals Management** 

**UMC Conflict Minerals Management Workflow**![LOGO](g142231g0514113710595.jpg)

**UMC Conflict Minerals Management Steps** 

**Step 1: Establish Strong Company Management Procedure** 

UMC has established a management procedure to determine the source and chain of custody of Conflict Minerals in our supply chain.

***a. Mission Statement.*** We have adopted a Conflict Minerals mission statement that outlines to suppliers and customers our commitment to responsible sourcing of Conflict Minerals throughout our global supply chain and to comply with the Rule. The Mission Statement is publicly available on our website at: http://www.umc.com/chinese/CSR/c_3.asp

***b. Internal Team.*** Our management procedure includes oversight of our Conflict Minerals and investigation processes by a team made up of representatives from UMC such as:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• MTD & Product manufactory Dept.: to filter out the material suppliers and outsourcing suppliers that
were most likely to provide material, products or services containing Conflict Minerals.

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&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Procurement Dept.: sourcing Conflict-Free material suppliers and review supply chain Conflict-Minerals status.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Quality Insurance Dept.: to design a mechanism to ask for suppliers' Conflict-Minerals statement
announcement in the New Material Evaluation Form.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• Information Technology (IT) Dept.: Coding Conflict Minerals statement announcement in New Material Evaluation
Form.

***c. Control Systems.*** We utilize the Questionnaire sent to our suppliers & subsidiaries to gather information on the chain of custody of the Conflict Minerals included in our products & material. In addition, we are a member of the Conflict-Free Sourcing Initiative, an industry-wide initiative working to develop conflict-free supply chains.

***d. Supplier Engagement.*** We have communicated to the suppliers & subsidiaries obligations under the Rule by distributing to them background information on the Rule along with the Questionnaire. In addition, through our Vendor, we provide training materials on Conflict Minerals compliance to suppliers & subsidiaries. We are integrating a Conflict Minerals compliance provision into our purchasing SOP with material suppliers that sets forth UMC's expectations that such material suppliers will cooperate with UMC's Conflict Minerals and due diligence measures as required by the Rule.

**e. *Grievance Mechanism*.** We have a company level Helpline that provides employees and suppliers with a mechanism to report violations of our policies or other concerns.

**Step 2: Identify and Assess Risk in the Supply Chain** 

*a. Distribution of Questionnaires to* suppliers & subsidiaries.

In 2025, we distributed the Questionnaire to suppliers & subsidiaries in order to gather information on our supply chain, including (i) whether any of the minerals which could potentially be classified as Conflict Minerals are contained in materials they supplied to UMC (Conflict Minerals declaration), (ii) whether those minerals are necessary to the functionality or production in which they are used (Process information), and (iii) the smelter and refiners and whether those minerals originated from the Covered Countries (the newest RBA CMRT report).

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*b. Assessment of* suppliers & subsidiaries *responses*.

We reviewed each response from suppliers & subsidiaries to assess the adequacy of such response. If supplier responses indicate that Conflict Minerals contained in products provided to UMC may have originated from the Covered Countries, then such responses are sent to the Conflict Minerals team for further review and determination of follow-up steps.

**Step 3: Design and Implement a Strategy to Respond to Identified Risks** 

We have a risk management plan to address concerns that a supplier may be providing to UMC products that contain Conflict Minerals sourced from the Covered Countries. If a supplier indicates that its products may contain Conflict Minerals sourced from the Covered Countries, we will follow up with the supplier to gather more information, including the basis for the information provided and other information regarding the sourcing country and smelter. Identified risks will be reported to the Conflict Minerals Team, which will determine appropriate follow-up actions, if any, to mitigate risks. There have been no known instances of high risk issues in the supply chain that require follow-up actions to be considered.

To ensure that supplier & subsidiaries understand our expectations with respect to compliance with the Rule, we distribute background information on the Rule, along with our Mission Statement on Conflict Minerals compliance to the suppliers & subsidiaries in addition to the Questionnaire on our website at: http://www.umc.com/chinese/CSR/c_3.asp.

**Step 4: Tracing lot traceability & Audit for Suppliers' Supply Chain investigated to identify Points in the Supply Chain** 

UMC relies on the RMI's Conflict-Free Smelter Program to perform lot traceability audits of smelters and refiners. We validate whether any Conflict Minerals sourced from the Covered Countries is conflict-free based on the information provided by our Supplier Group and on the information available from RMI.

Following up with an onsite audit to make sure our suppliers complied with RMI's Conflict-Free rules, we used a lot traceability mechanism to investigate 8 suppliers' materials to verify that they were Conflict-Free in 2025 The onsite audit results met our Conflict-Free policy.

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Below is our supply chain Conflict minerals assessment and on site audit performance:

![LOGO](g142231dsp_11.jpg)

**Step 5: Labelled product with Conflict Minerals FREE** 

UMC has labelled our products as conflict-free with a visible sticker to stress Conflict Minerals FREE

![LOGO](g142231g0514113712396.jpg) _ _

**Step 6: Report on Supply Chain Status** 

This Conflict Minerals Report shall be filed with the SEC and is publicly available at http://www.umc.com/english/CSR/C_3.asp

**UMC Policy of Conflict Minerals** 

Ensure all the suppliers source materials from conflict-free smelters or refiners.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(a)** **Commitment of Conflict Minerals** 

UMC is a party to the global consensus for supporting supply chain and source management and uses certified sources of minerals from non-conflict areas. UMC also requires suppliers to ensure that their supplied materials to UMC and the supply chain are free from Conflict Minerals. When selecting new suppliers or assessing existing suppliers, UMC requires all of our suppliers to source the Covered Minerals from smelters or refiners who have been certified by independent third parties under the RMI's Responsible Minerals Assurance Process (RMAP).

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&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(b)** **Management of Conflict Minerals** 

At UMC, we enforce Conflict Minerals management according to the Disclosures Relating to Conflict Minerals prescribed in Rule 13p-1 of the U.S. Securities and Exchange Act of 1934 of the US Securities and Exchange Commission (SEC). During new supplier selection, UMC requires new suppliers to introduce assessment systems and to present sourcing of minerals from conflict regions. Existing suppliers are also required to actively investigate and verify specified materials (gold, tantalum, tin, and tungsten), sign agreements prohibiting the use of Conflict Minerals, or provide a declaration thereof. UMC also exercises Conflict Minerals Investigation when implementing our investigations, and annual supplier audits were carried out to check whether upstream smelters / refiners of the suppliers utilize Conflict Minerals. Lot traceability for the supply chain is in place to ensure that no Conflict Minerals have been used. UMC is also an active participant of global advocacy groups such as the Responsible Minerals Initiative (RMI) of RBA. Information on suppliers that meet conflict mineral requirements was acquired from the Responsible Minerals Assurance Process (RMAP) as a basis for supply chain and source management. Suppliers were also required to refer to the latest Conflict Minerals Reporting Template of RBA to provide information related to Conflict Minerals. Dedicated UMC personnel were assigned to verify a supplier's compliance to RBA standards for ensuring the total exclusion of Conflict Minerals usage.

In addition to implementing Conflict Minerals management according to corporate policy and commitment, UMC also submits Specialized Disclosure (SD) forms to the U.S. SEC while publishing the completed forms on its official website to declare the outcomes of Conflict Minerals management efforts and demonstrate our commitment to corporate social responsibilities.

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**EXHIBIT** 

**(a)** **Summary for Suppliers Smelter List:** 

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| | | | | | |
|:---|:---|:---|:---|:---|:---|
| Supplier<br>code | Metal | UMC<br>(Taiwan) | UMC<br>(SG Branch) | Subsidiary<br>companies | Outsourcing |
| A | Gold |  |  |  | V |
| A | Tin |  |  |  | V |
| C | Tantalum | V | V |  |  |
| D | Tungsten | V |  | V |  |
| E | Tantalum | V | V | V |  |
| G | Gold |  |  |  | V |
| G | Tantalum | V | V | V |  |
| I | Tungsten | V | V |  |  |
| J | Tantalum |  |  | V |  |
| K | Tantalum |  |  | V |  |
| K | Tungsten |  |  | V |  |
| M | Tungsten | V |  | V |  |
| T | Gold |  |  | V |  |
| W | Gold | V |  |  |  |
| W | Tantalum | V |  |  |  |
| W | Tungsten |  |  | V |  |
| AA | Gold | V |  |  |  |
| AB | Gold |  |  | V |  |
| AC | Gold |  |  |  | V |
| AC | Tin |  |  |  | V |
| AG | Tungsten | V | V | V |  |
| AL | Gold |  |  |  | V |
| AL | Tin |  |  |  | V |
| AL | Tungsten |  |  |  | V |
| AO | Tantalum | V | V | V |  |
| AO | Tungsten | V |  | V |  |
| AQ | Tantalum |  |  | V |  |
| AQ | Tungsten |  |  | V |  |
| AR | Tantalum |  |  | V |  |
| AS | Tungsten |  |  | V |  |
| AV | Tantalum | V |  |  |  |
| AY | Tantalum |  | V | V |  |
| AZ | Tantalum | V |  |  |  |
| BA | Tungsten | V |  |  |  |
| BB | Tungsten |  |  | V |  |

---

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**(b)** **Summary for subsidiary smelter list:** 

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| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| Subsidiary<br>companies | Supplier<br>code | Source of<br>Smelter<br>Identification<br>Number | Smelter ID | Metal | Smelter Name | Smelter Country |
| Hejin | AS | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA |
| Hejin | BB | RMI | CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA |
| USCXM | E | RMI | CID000616 | Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA |
| USCXM | E | RMI | CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| USCXM | G | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | THAILAND |
| USCXM | G | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN |
| USCXM | G | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY |
| USCXM | G | RMI | CID002545 | Tantalum | TANIOBIS GmbH | GERMANY |
| USCXM | G | RMI | CID001969 | Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN |
| USCXM | G | RMI | CID002558 | Tantalum | Global Advanced Metals Aizu | JAPAN |
| USCXM | G | RMI | CID002504 | Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA |
| USCXM | G | RMI | CID001163 | Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA |
| USCXM | G | RMI | CID002557 | Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA |
| USCXM | G | RMI | CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA |
| USCXM | G | RMI | CID001522 | Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA |
| USCXM | G | RMI | CID002506 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA |
| USCXM | G | RMI | CID001192 | Tantalum | Mitsui Mining & Smelting | JAPAN |
| USCXM | G | RMI | CID000917 | Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA |
| USCXM | AG | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA |
| USCXM | AG | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA |
| USCXM | AO | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | THAILAND |
| USCXM | AO | RMI | CID002545 | Tantalum | TANIOBIS GmbH | GERMANY |
| USCXM | AO | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN |
| USCXM | AO | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY |
| USCXM | AQ | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | THAILAND |
| USCXM | AQ | RMI | CID002545 | Tantalum | TANIOBIS GmbH | GERMANY |
| USCXM | AQ | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN |
| USCXM | AQ | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY |
| USCXM | AQ | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA |
| USCXM | AQ | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA |
| USCXM | AR | RMI | CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| USCXM | AY | RMI | CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |

---

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| | | | | | |
|:---|:---|:---|:---|:---|:---|
| USJCD | RMI | CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA |
| USJC D | RMI | CID000568 | Tungsten | Global Tungsten & Powders LLC | UNITED STATES OF AMERICA |
| USJC D | RMI | CID000825 | Tungsten | Japan New Metals Co., Ltd. | JAPAN |
| USJC D | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA |
| USJC D | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA |
| USJC D | RMI | CID002551 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA |
| USJC E | RMI | CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| USJC E | RMI | CID002505 | Tantalum | FIR Metals & Resource Ltd. | CHINA |
| USJC G | RMI | CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA |
| USJC G | RMI | CID000917 | Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA |
| USJC G | RMI | CID001163 | Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA |
| USJC G | RMI | CID001192 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN |
| USJC G | RMI | CID001522 | Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA |
| USJC G | RMI | CID001969 | Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN |
| USJC G | RMI | CID002504 | Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA |
| USJC G | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | THAILAND |
| USJC G | RMI | CID002545 | Tantalum | TANIOBIS GmbH | GERMANY |
| USJC G | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN |
| USJC G | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY |
| USJC G | RMI | CID002557 | Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA |
| USJC G | RMI | CID002558 | Tantalum | Global Advanced Metals Aizu | JAPAN |
| Wavetek J | RMI | CID000616 | Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA |
| Wavetek J | RMI | CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA |
| Wavetek J | RMI | CID000917 | Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA |
| Wavetek J | RMI | CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| Wavetek J | RMI | CID001522 | Tantalum | Yanling Jincheng Tantalum Co., Ltd. | CHINA |
| Wavetek J | RMI | CID001969 | Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN |
| Wavetek J | RMI | CID002492 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA |
| Wavetek J | RMI | CID002506 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA |
| Wavetek J | RMI | CID002548 | Tantalum | Materion Newton Inc. | UNITED STATES OF AMERICA |
| Wavetek J | RMI | CID002842 | Tantalum | Jiangxi Tuohong New Raw Material | CHINA |
| Wavetek K | RMI | CID000460 | Tantalum | F&X Electro-Materials Ltd. | CHINA |
| Wavetek K | RMI | CID002548 | Tantalum | Materion Newton Inc. | UNITED STATES OF AMERICA |

---

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| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| Wavetek | K | RMI | CID001192 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN |
| Wavetek | K | RMI | CID000966 | Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA |
| Wavetek | K | RMI | CID000105 | Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA |
| Wavetek | M | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA |
| Wavetek | M | RMI | CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA |
| Wavetek | T | RMI | CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN |
| Wavetek | W | RMI | CID002044 | Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA |
| Wavetek | AB | RMI | CID001119 | Gold | Matsuda Sangyo Co., Ltd. | JAPAN |
| Wavetek | AG | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA |
| Wavetek | AG | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA |
| Wavetek | AO | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA |
| Wavetek | AO | RMI | CID000568 | Tungsten | Global Tungsten & Powders LLC | UNITED STATES OF AMERICA |

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**(c)** **Summary for Smelter Country List:** 

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| | | | | |
|:---|:---|:---|:---|:---|
| Country/Metal | Gold | Tantalum | Tin | Tungsten |
| AUSTRIA |  |  |  | V |
| BELGIUM | V |  | V |  |
| BOLIVIA (PLURINATIONAL STATE OF) |  |  | V |  |
| BRAZIL |  | V | V |  |
| CHINA | V | V | V | V |
| GERMANY | V | V |  |  |
| INDIA |  | V |  |  |
| INDONESIA |  |  | V |  |
| ITALY | V |  |  |  |
| JAPAN | V | V | V | V |
| KAZAKHSTAN |  | V |  |  |
| KOREA |  | V |  |  |
| MALAYSIA |  |  | V |  |
| PERU |  |  | V |  |
| POLAND |  |  | V |  |
| SINGAPORE | V |  |  |  |
| SPAIN | V |  |  |  |
| SWITZERLAND | V |  |  |  |
| TAIWAN, PROVINCE OF CHINA | V |  | V |  |
| THAILAND |  | V | V |  |
| UNITED STATES OF AMERICA | V | V |  | V |

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**(d)** **Total Smelter List:** 

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| | | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|
| Supplier<br>code | Source of<br>Smelter<br>Identification<br>Number | Smelter ID | Metal | Smelter Reference List | Smelter Name | Smelter Facility<br>Location:<br> State / Province | Smelter<br>Country | Assessment<br>Status |
|  A | RMI | CID000035 | Gold | Agosi AG | Agosi AG | Baden-Württemberg | GERMANY | Conformant |
|  A | RMI | CID000077 | Gold | Argor-Heraeus S.A. | Argor-Heraeus S.A. | Ticino | SWITZERLAND | Conformant |
|  A | RMI | CID000082 | Gold | ASAHI METALFINE, Inc. | ASAHI METALFINE, Inc. | Ibaraki | JAPAN | Conformant |
|  A | RMI | CID000113 | Gold | Aurubis AG | Aurubis AG | Hamburg | GERMANY | Conformant |
|  A | RMI | CID000176 | Gold | C. Hafner GmbH + Co. KG | C. Hafner GmbH + Co. KG | Baden-Württemberg | GERMANY | Conformant |
|  A | RMI | CID000233 | Gold | Chimet S.p.A. | Chimet S.p.A. | Toscana | ITALY | Conformant |
|  A | RMI | CID000694 | Gold | Heimerle + Meule GmbH | Heimerle + Meule GmbH | Baden-Württemberg | GERMANY | Conformant |
|  A | RMI | CID000711 | Gold | Heraeus Germany GmbH Co. KG | Heraeus Germany GmbH Co. KG | Hessen | GERMANY | Conformant |
|  A | RMI | CID000807 | Gold | Ishifuku Metal Industry Co., Ltd. | Ishifuku Metal Industry Co., Ltd. | Saitama | JAPAN | Conformant |
|  A | RMI | CID000920 | Gold | Asahi Refining USA Inc. | Asahi Refining USA Inc. | Utah | UNITED STATES OF AMERICA | Conformant |
|  A | RMI | CID000937 | Gold | JX Nippon Mining & Metals Co., Ltd. | JX Nippon Mining & Metals Co., Ltd. | Ôita | JAPAN | Conformant |
|  A | RMI | CID000981 | Gold | Kojima Chemicals Co., Ltd. | Kojima Chemicals Co., Ltd. | Saitama | JAPAN | Conformant |
|  A | RMI | CID001119 | Gold | Matsuda Sangyo Co., Ltd. | Matsuda Sangyo Co., Ltd. | Saitama | JAPAN | Conformant |
|  A | RMI | CID001147 | Gold | Metalor Technologies (Suzhou) Ltd. | Metalor Technologies (Suzhou) Ltd. | Jiangsu Sheng | CHINA | Conformant |
|  A | RMI | CID001149 | Gold | Metalor Technologies (Hong Kong) Ltd. | Metalor Technologies (Hong Kong) Ltd. | Hong Kong SAR | CHINA | Conformant |
|  A | RMI | CID001152 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | Metalor Technologies (Singapore) Pte., Ltd. | South West | SINGAPORE | Conformant |
|  A | RMI | CID001153 | Gold | Metalor Technologies S.A. | Metalor Technologies S.A. | Neuchâtel | SWITZERLAND | Conformant |
|  A | RMI | CID001157 | Gold | Metalor USA Refining Corporation | Metalor USA Refining Corporation | Massachusetts | UNITED STATES OF AMERICA | Conformant |
|  A | RMI | CID001173 | Tin | Mineracao Taboca S.A. | Mineracao Taboca S.A. | São Paulo | BRAZIL | Conformant |
|  A | RMI | CID001182 | Tin | Minsur | Minsur | Ika | PERU | Conformant |
|  A | RMI | CID001188 | Gold | Mitsubishi Materials Corporation | Mitsubishi Materials Corporation | Tokyo | JAPAN | Conformant |
|  A | RMI | CID001193 | Gold | Mitsui Mining and Smelting Co., Ltd. | Mitsui Mining and Smelting Co., Ltd. | Hiroshima | JAPAN | Conformant |
|  A | RMI | CID001259 | Gold | Nihon Material Co., Ltd. | Nihon Material Co., Ltd. | Chiba | JAPAN | Conformant |
|  A | RMI | CID001337 | Tin | Operaciones Metalurgicas S.A. | Operaciones Metalurgicas S.A. | Oruro | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
|  A | RMI | CID001585 | Gold | SEMPSA Joyeria Plateria S.A. | SEMPSA Joyeria Plateria S.A. | Madrid, Comunidad de | SPAIN | Conformant |

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| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
|  A | RMI | CID001798 | Gold | Sumitomo Metal Mining Co., Ltd. | Ehime | JAPAN | Conformant |
|  A | RMI | CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. | Kanagawa | JAPAN | Conformant |
|  A | RMI | CID001938 | Gold | Tokuriki Honten Co., Ltd. | Saitama | JAPAN | Conformant |
|  A | RMI | CID001980 | Gold | Umicore S.A. Business Unit Precious Metals Refining | Antwerpen | BELGIUM | Conformant |
|  A | RMI | CID002773 | Tin | Aurubis Beerse | Antwerpen | BELGIUM | Conformant |
|  A | RMI | CID002778 | Gold | WIELAND Edelmetalle GmbH | Baden-Württemberg | GERMANY | Conformant |
|  A | RMI | CID002844 | Tin | HuiChang Hill Tin Industry Co., Ltd. | Jiangxi Sheng | CHINA | Conformant |
|  A | RMI | CID003116 | Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | Guangdong Sheng | CHINA | Conformant |
|  AA | RMI | CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. | Kanagawa | JAPAN | Conformant |
|  AB | RMI | CID001119 | Gold | Matsuda Sangyo Co., Ltd. | Saitama | JAPAN | Conformant |
|  AC | RMI | CID002773 | Tin | Aurubis Beerse | Antwerpen | BELGIUM | Conformant |
|  AC | RMI | CID001173 | Tin | Mineracao Taboca S.A. | São Paulo | BRAZIL | Conformant |
|  AC | RMI | CID001182 | Tin | Minsur | Ika | PERU | Conformant |
|  AC | RMI | CID001337 | Tin | Operaciones Metalurgicas S.A. | Oruro | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
|  AC | RMI | CID001477 | Tin | PT Timah Tbk Kundur | Riau | INDONESIA | Conformant |
|  AC | RMI | CID001482 | Tin | PT Timah Tbk Mentok | Kepulauan Bangka Belitung | INDONESIA | Conformant |
|  AC | RMI | CID001898 | Tin | Thaisarco | Phuket | THAILAND | Conformant |
|  AC | RMI | CID000468 | Tin | Fenix Metals | Podkarpackie | POLAND | Conformant |
|  AC | RMI | CID000538 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | Yunnan Sheng | CHINA | Conformant |
|  AC | RMI | CID001191 | Tin | Mitsubishi Materials Corporation | Hyôgo | JAPAN | Conformant |
|  AC | RMI | CID000402 | Tin | Dowa | Akita | JAPAN | Conformant |
|  AC | RMI | CID001539 | Tin | Rui Da Hung | Taoyuan | TAIWAN, PROVINCE OF CHINA | Conformant |
|  AC | RMI | CID004434 | Tin | Malaysia Smelting Corporation Berhad (Port Klang) | Selangor | MALAYSIA | Conformant |
|  AC | RMI | CID000313 | Tin | PT Premium Tin Indonesia | Kepulauan Bangka Belitung | INDONESIA | Conformant |
|  AC | RMI | CID001453 | Tin | PT Mitra Stania Prima | Kepulauan Bangka Belitung | INDONESIA | Conformant |
|  AC | RMI | CID002503 | Tin | PT ATD Makmur Mandiri Jaya | Kepulauan Bangka Belitung | INDONESIA | Conformant |
|  AC | RMI | CID003449 | Tin | PT Mitra Sukses Globalindo | Kepulauan Bangka Belitung | INDONESIA | Conformant |

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| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
|  AC | RMI | CID001761 | Gold | Solar Applied Materials Technology Corp. | Tainan | TAIWAN, PROVINCE OF CHINA | Conformant |
|  AC | RMI | CID000707 | Gold | Heraeus Metals Hong Kong Ltd. | Hong Kong SAR | CHINA | Conformant |
|  AG | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Jiangxi Sheng | CHINA | Conformant |
|  AG | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AG | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Jiangxi Sheng | CHINA | Conformant |
|  AG | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AG | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Jiangxi Sheng | CHINA | Conformant |
|  AG | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AG | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Jiangxi Sheng | CHINA | Conformant |
|  AG | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AL | RMI | CID001761 | Gold | Solar Applied Materials Technology Corp. | Tainan | TAIWAN, PROVINCE OF CHINA | Conformant |
|  AL | RMI | CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | Jiangxi Sheng | CHINA | Conformant |
|  AL | RMI | CID002320 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AL | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AL | RMI | CID000825 | Tungsten | Japan New Metals Co., Ltd. | Akita | JAPAN | Conformant |
|  AL | RMI | CID001898 | Tin | Thaisarco | Phuket | THAILAND | Conformant |
|  AL | RMI | CID004434 | Tin | Malaysia Smelting Corporation Berhad (Port Klang) | Selangor | MALAYSIA | Conformant |
|  AO | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | Rayong | THAILAND | Conformant |
|  AO | RMI | CID002545 | Tantalum | TANIOBIS GmbH | Niedersachsen | GERMANY | Conformant |
|  AO | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | Ibaraki | JAPAN | Conformant |
|  AO | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | Baden-Württemberg | GERMANY | Conformant |
|  AO | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | Rayong | THAILAND | Conformant |
|  AO | RMI | CID002545 | Tantalum | TANIOBIS GmbH | Niedersachsen | GERMANY | Conformant |
|  AO | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | Ibaraki | JAPAN | Conformant |
|  AO | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | Baden-Württemberg | GERMANY | Conformant |
|  AO | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AO | RMI | CID000568 | Tungsten | Global Tungsten & Powders LLC | Pennsylvania | UNITED STATES OF AMERICA | Conformant |
|  AO | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |

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| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
|  AO | RMI | CID000568 | Tungsten | Global Tungsten & Powders LLC | Pennsylvania | UNITED STATES OF AMERICA | Conformant |
|  AO | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AO | RMI | CID000568 | Tungsten | Global Tungsten & Powders LLC | Pennsylvania | UNITED STATES OF AMERICA | Conformant |
|  AO | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | Rayong | THAILAND | Conformant |
|  AO | RMI | CID002545 | Tantalum | TANIOBIS GmbH | Niedersachsen | GERMANY | Conformant |
|  AO | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | Ibaraki | JAPAN | Conformant |
|  AO | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | Baden-Württemberg | GERMANY | Conformant |
|  AQ | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | Rayong | THAILAND | Conformant |
|  AQ | RMI | CID002545 | Tantalum | TANIOBIS GmbH | Niedersachsen | GERMANY | Conformant |
|  AQ | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | Ibaraki | JAPAN | Conformant |
|  AQ | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | Baden-Württemberg | GERMANY | Conformant |
|  AQ | RMI | CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Jiangxi Sheng | CHINA | Conformant |
|  AQ | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AR | RMI | CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | Ningxia Huizi Zizhiqu | CHINA | Conformant |
|  AS | RMI | CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | Fujian Sheng | CHINA | Conformant |
|  AV | RMI | CID002544 | Tantalum | TANIOBIS Co., Ltd. | Rayong | THAILAND | Conformant |
|  AV | RMI | CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | Ibaraki | JAPAN | Conformant |
|  AV | RMI | CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | Baden-Württemberg | GERMANY | Conformant |
|  AV | RMI | CID002545 | Tantalum | TANIOBIS GmbH | Niedersachsen | GERMANY | Conformant |
|  AY | RMI | CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | Ningxia Huizi Zizhiqu | CHINA | Conformant |
|  AY | RMI | CID000291 | Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | Guangdong Sheng | CHINA | Conformant |
|  AY | RMI | CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | Ningxia Huizi Zizhiqu | CHINA | Conformant |
|  AZ | RMI | CID002550 | Tantalum | Smelter not listed | Sejong City | KOREA, REPUBLIC OF | Conformant |
|  BA | CID002321 | CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | JiangXi | CHINA | Conformant |
|  BB | RMI | CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | Jiangxi | CHINA | Conformant |

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**(e) Countries origin of Covered Minerals** 

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| | | |
|:---|:---|:---|
| Australia | Belarus | Bolivia |
| Brazil | Burundi | Canada |
| China | El Salvador | Estonia |
| Ethiopia | France | Germany |
| Hong Kong | India | Indonesia |
| Ireland | Israel | Japan |
| Madagascar | Mexico | Mozambique |
| Namibia | Nigeria | Russian Federation |
| Sierra Leone | Singapore | Spain |
| Thailand | United Kingdom | United States of America |
| Zimbabwe |  |  |

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