INGN Inogen Inc

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

INOGEN, INC.

(Exact name of registrant as specified in its charter)

 

 

Delaware		001-36309		33-0989359
(State or other jurisdiction of incorporation)		(Commission File Number)		(IRS Employer Identification No.)

 

859 Ward Drive, Goleta, CA		93111
(Address of principal executive offices)		(Zip Code)

 

Michael Bourque

Executive Vice President,

Chief Financial Officer, and Treasurer

(805) 562-0500

(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, 2023.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

For the reporting period from January 1, 2023 to December 31, 2023, Inogen, Inc. (the “Company”) evaluated its current products and determined that certain “conflict minerals,” as defined in Section 1, Item 1.01(d)(3) of Form SD, are necessary to the functionality or production of products manufactured by the Company, which are referred to in this Form SD as “necessary conflict minerals.” Accordingly, the Company conducted a reasonable country of origin inquiry to determine whether during 2023 its necessary conflict minerals originated in the Democratic Republic of the Congo or certain adjoining countries, which are referred to in this Form SD collectively as the “covered countries.” The Company then conducted due diligence designed to conform to the Organisation for Economic Co-operation and Development, or OECD, Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas in order to determine whether any of the Company’s necessary conflict minerals originated from any of the covered countries and whether these conflict minerals benefited, directly or indirectly, armed groups in any of the covered countries.

Conflict Minerals Disclosure

In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and this Specialized Disclosure Report on Form SD, the Company is filing a Conflict Minerals Report as Exhibit 1.01 hereto. A copy of this Form SD and the Conflict Minerals Report are publicly available at http://investor.inogen.com/.

Item 1.02 Exhibit

In accordance with Rule 13p-1, and Item 2.01 of Form SD, the Company is filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

Section 2 – Exhibits

Item 2.01 Exhibits

The following exhibit is filed as part of this Form SD.

 

Exhibit No.		Description
1.01		Inogen, Inc. Conflict Minerals Report as required by Items 1.01 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.

 

 

INOGEN, INC.

(Registrant)

 

Date: May 31, 2024		By:		/s/ Michael Bourque
				Michael Bourque
				Executive Vice President, Chief Financial Officer Treasurer
				(Principal Financial and Accounting Officer)

 

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Exhibit 1.01

 

Inogen, Inc.

Conflict Minerals Report

For The Reporting Period from January 1, 2023 to December 31, 2023

 

Cautionary Note Concerning Forward-Looking Statements: This Conflict Minerals Report contains forward-looking statements within the meaning of federal securities laws. These forward-looking statements include statements concerning Inogen’s objectives for its conflict minerals policy and compliance initiatives and actions it intends to take relating to conflict minerals. Forward-looking statements involve substantial risks and uncertainties that could cause actual results to differ materially from currently anticipated results. When considering forward-looking statements, you should consider, among other factors, the risk factors described in the reports and other filings that Inogen files with the United States Securities and Exchange Commission, including Inogen’s Annual Report on Form 10-K for the year ended December 31, 2023 and its subsequent Quarterly Reports on Form 10-Q. The risk factors included in these filings are not exhaustive, and risks that are not identified therein could materially affect whether Inogen realizes the results anticipated or implied by any forward-looking statements contained in this Conflict Minerals Report. Except as required by law, Inogen disclaims any obligation to update these forward-looking statements, whether as a result of new information, future events, or otherwise.

 

Introduction

 

This Conflict Minerals Report (this “Report”) for Inogen, Inc. (“Inogen” or “we” or “our”) covers the reporting period from January 1, 2023 to December 31, 2023 and is presented in accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”). This Report is filed as Exhibit 1.01 to our Specialized Disclosure Report on Form SD (the “Form SD”). A copy of this Report and the Form SD are publicly available on our website at http://investor.inogen.com/. Information contained on, or that can be accessed through, our website, does not constitute part of this Report and inclusion of our website address in this Report is an inactive textual reference only.

 

In 2010, the United States enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section 1502 of the Act relates to conflict minerals and requires companies subject to the Act to file a Form SD annually with the United States Securities and Exchange Commission (“SEC”) to disclose whether the minerals specified in Rule 13p-1 and their derivatives, limited to tungsten, tantalum, tin, and gold (referred to as the “3TG”), used in their products benefited, directly or indirectly, armed groups in the Democratic Republic of the Congo and the nine countries with which it shares an internationally recognized border: Angola, Burundi, Central African Republic, Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia (collectively, the “Covered Countries”). This Report, which is an exhibit to our Form SD, describes the design and implementation of our conflict minerals due diligence measures undertaken, including a description of how these measures were designed to determine, to our knowledge, the source mines, countries of origin, and processing facilities for 3TG contained in components used in our products.

 

Inogen Background and Covered Products

 

We are a medical technology company that primarily develops, manufactures and markets innovative portable oxygen concentrators used to deliver supplemental long-term oxygen therapy to patients suffering from chronic respiratory conditions. We manufacture our products at our facility in Plano, Texas and at our contract manufacturer, Foxconn, located in the Czech Republic. In the United States, we market and distribute our products directly to consumers, through a wide variety of direct-to-consumer marketing strategies including a physician referral model, as well as through distributors, resellers, private label partners, and home medical equipment providers. In addition, we sell through distributors, resellers, and home medical equipment providers in certain markets within Europe, the Asia-Pacific region, Latin America, the Middle East, and Africa. Our manufacturing operations require a wide variety of raw materials that we rely on third-party manufacturers to supply.

 

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We have determined that one or more of the 3TG may be necessary to the functionality or production of the oxygen concentrators we manufactured during 2023, including our Inogen One G3, Inogen One G4 and Inogen One G5, Inogen At Home and Rove 6. As a result, all of our Inogen One products are considered “covered products” for purposes of this Report.

 

Our supply chain with respect to the covered products is complex, and there are many third-parties in the supply chain between the original source of the 3TG and the manufacturer of the covered products. We do not purchase raw ore or unrefined 3TG directly and make no purchases in the Covered Countries. As a result, and as described more fully below, we rely on our suppliers to provide information on the origin of the conflict minerals contained in our products.

 

Inogen Reasonable Country of Origin Inquiry

 

In accordance with Rule 13p-1 and Form SD, we determined that one or more of the 3TG may be necessary to the functionality or production of our products and that such 3TG are incorporated into our products during the manufacturing process. Accordingly, we undertook a reasonable country of origin inquiry (“RCOI”). This good faith RCOI was reasonably designed to determine whether any of the 3TG incorporated into our products originated in the Covered Countries.

 

Our RCOI consisted principally of submitting the conflict minerals reporting template (the “RMI Template”) prepared by the Responsible Minerals Initiative (“RMI”), an initiative of the Responsible Business Alliance, to suppliers of components for our products that are considered necessary to the functionality or production of our products and for which any 3TG or their derivatives may be included (“first-tier suppliers”). We reviewed all responses for completeness, reasonableness, and consistency, and we followed up for corrections and clarifications as we determined appropriate.

 

Inogen’s Due Diligence Process

 

Our due diligence measures were designed to conform, in all material respects, with the framework in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Framework”). The objectives of our diligence initiative were to determine, to the best of our ability, whether one or more of the 3TG is incorporated into our products; whether any such 3TG incorporated into our products was necessary for the functionality and/or production of our products; the source and chain of custody of the 3TG necessary for the functionality and/or production of our products; and whether any such 3TG originated in the Covered Countries. In the event that 3TG from the Covered Countries which benefit armed groups are found in our supply chain, we will take appropriate actions in a timely manner to resolve the situation.

 

Due diligence measures that we implemented included, but were not limited, to the following:

 

1. Establishment of Internal Management Systems

 

a. Conflict Minerals Policy. In 2015, we adopted a written policy relating to the use of conflict minerals in our supply chain, which we updated in 2020 and continue to review on a periodic basis. We have communicated this written policy to our first-tier suppliers. A copy of Inogen’s Conflict Minerals Policy is publicly available at https://investor.inogen.com/corporate-governance/governance-documents.

 

b. Internal Management to Support Supply Chain Due Diligence. The Inogen accounting department has been charged with the management of our conflict minerals program, working in collaboration with members from our operations team in Texas and our contract manufacturer in the Czech Republic.

 

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c. Controls and Transparency. As described above, we undertook a RCOI with respect to conflict minerals in our supply chain by providing the RMI Template to our first-tier suppliers to gather information about their use of 3TG, the smelters and refiners in their supply chain that are included in our products, and the countries of origin for 3TG used in our products. We reviewed all responses for completeness, reasonableness, and consistency. We followed up for corrections and clarifications as we determined appropriate.

 

d. Supplier Engagement. We continue to engage actively with our first-tier suppliers to strengthen our relationship with them. We have communicated to our suppliers our commitment to source conflict minerals in a manner that does not, directly or indirectly, benefit armed groups in the Covered Countries. We will consider alternative arrangements for our supply needs if our suppliers are unable to cooperate in our due diligence efforts.

 

e. Grievance Mechanism. Our Code of Ethics and Conduct includes procedures for reporting violations of our policies, and we provide mechanisms for anonymous reporting of violations or concerns about the conduct of our business, including the implementation and enforcement of our Conflict Minerals Policy.

 

2. Identification and Assessment of Risks in the Supply Chain

 

As discussed above, we identified our first-tier suppliers and relied on them to provide the necessary information about the use of 3TG in the products we purchase and incorporate into the manufacturing process of our oxygen concentrators, and the source of such 3TG. Similarly, our first-tier suppliers rely on information provided by their suppliers to provide information regarding the country of origin of 3TG included in our products.

 

3. Designing and Implementing a Strategy to Respond to Identified Risks

 

We will review circumstances in which certain suppliers are unable to provide us with complete or reliable responses to the RMI Template including, without limitation, considering whether to continue such contract or relationship or find a replacement supplier.

 

4. Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

 

We do not have a direct relationship with any smelters or refiners in our supply chain. As a result, we do not and cannot conduct any audits directly. Instead, we have supported the development and implementation of independent third-party audits of smelters such as the Responsible Minerals Assurance Program (“RMAP”) by encouraging our suppliers to purchase materials from audited, conflict-free smelters and determining whether the smelters that were used to process these minerals were validated as conflict-free by the RMAP.

 

5. Reporting on Supply Chain Due Diligence

 

We publicly filed the Form SD and this Report with the SEC. A copy of this Report and the Form SD are publicly available at http://investor.inogen.com/. This Report includes information about the RCOI methodology utilized by the Company, the design of our due diligence process in conformance with the OECD Framework, the list of known smelters and refiners utilized in our supply chain identified in our due diligence process, and a description of our products that incorporate 3TG necessary to the functionality or production of such products.

 

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Smelters and Refiners in Inogen’s Supply Chain

 

We adopted RMI’s industry approach to trace back the origin of 3TG by identifying smelters, refineries, or recyclers and scrap supplier sources. We have leveraged industry initiatives such as the RMAP, which is a voluntary initiative in which an independent third-party audits smelters and refineries to determine if all of the minerals processed by the smelter or refiner originated from conflict free sources. Participation in the RMAP provides us with verified information about the sourcing activities of the smelters and refiners in our supply chain.

 

As discussed above, we submitted the RMI Template to our first-tier suppliers. Most of the responses received from our first-tier suppliers provided information at company/division levels, rather than specific product/part number levels. As a result, we were unable to determine whether or to what extent any of the 3TG reported as used by these first-tier suppliers was contained specifically in components supplied to us. We also were unable to validate whether the smelters or refiners reported by such first-tier suppliers are in our supply chain. Accordingly, based on information that was provided by our first-tier suppliers or that was otherwise obtained through our due diligence process, we are unable to determine and describe all facilities used to process the 3TG contained in our covered products.

 

Based on the information that was provided by our suppliers and otherwise obtained through the due diligence process, we believe that, to the extent reasonably determinable, the facilities that were used to process the 3TG contained in the covered products may have included the smelters and refiners listed in Annex A attached hereto. This table includes only facilities that are listed in the RMI Smelter Reference List as of May 25, 2024. However, because of the over-reporting nature of the information collection process, and the nature of the supply chains and goods, we are unaware if any of these smelters or refiners is or was active in our supply chain. An indication of “Conformant” in the far-right column of the table indicates that the smelter or refinery has successfully completed an assessment against the applicable RMAP standard or an equivalent cross-recognized assessment or is presently undergoing a re-audit to maintain its “conflict free” designation. An indication of “Active” in the far-right column of the table indicates that the smelter or refinery has not yet received a “conflict free” designation but is undergoing an audit process that will determine such status. An indication of “Unknown” in the far-right column of the table indicates that the smelter or refinery was not included in the RMI “Conformant” or “Active” lists and thus the facility’s designation is undeterminable.

 

Because the RMI Smelter Reference List generally did not indicate individual countries of origin of the conflict minerals processed by smelters and refiners, we were not able to determine the countries of origin of the 3TG processed by the listed smelters and refiners with greater specificity. Furthermore, as stated earlier, submission of these smelters by our first-tier suppliers does not guarantee that these smelters or refiners are present in the Company’s supply chain as our first-tier suppliers were generally only able to provide company-level RMI Templates and not able to provide product-level RMI Templates directly linking those smelters or refiners to the covered products. Therefore, based on our due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the 3TG contained in the covered products.

 

Additional Risk Factors

 

The statements above are based on the RCOI process and due diligence performed in good faith by Inogen. These statements are based on the infrastructure and information available at the time. A number of factors could introduce errors or otherwise affect our 3TG status. These factors include, but are not limited to, gaps in supplier data; gaps in smelter data; errors or omissions by suppliers; errors or omissions by smelters; the definition of a smelter not being finalized at the end of the 2023 reporting period; all instances of 3TG necessary to the functionality or manufacturing of our products not yet having been identified; gaps in supplier education and knowledge; timeliness of data; public information not discovered during a reasonable search; errors in public data; language barriers and translation; supplier and smelter unfamiliarity with the protocols for identifying and sourcing potential 3TG; oversight or errors in conflict free smelter audits; Covered Countries sourced materials being declared secondary materials; companies going out of business in 2023; certification programs being not equally advanced for all industry segments and metals; and smuggling of 3TG from the Covered Countries to other countries.

 

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Future Steps

 

We have communicated our expectations to our first-tier suppliers regarding our commitment to sourcing minerals for our products in a manner that does not, directly, or indirectly, finance or benefit armed groups in the Democratic Republic of the Congo or adjoining countries. We expect to continue our engagement with our relevant suppliers over the next year to build their knowledge and capacity, so they are able to provide us with more complete and accurate information on the source and chain of custody of the 3TG included in components and parts purchased by us and incorporated into our products.

 

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Annex A

2023 Facility and Country List*

 

						Compliance
Metal		Smelter		Country		Status
Gold		8853 S.p.A.		ITALY		Unknown
Gold		ABC Refinery Pty Ltd.		AUSTRALIA		Unknown
Gold		Abington Reldan Metals, LLC		UNITED STATES OF AMERICA		Conformant
Gold		Advanced Chemical Company		UNITED STATES OF AMERICA		Active
Gold		African Gold Refinery*		UGANDA		Unknown
Gold		Agosi AG		GERMANY		Conformant
Gold		Western Australian Mint (T/a The Perth Mint)		AUSTRALIA		Conformant
Gold		Aida Chemical Industries Co., Ltd.		JAPAN		Conformant
Gold		Dowa		JAPAN		Conformant
Gold		Al Etihad Gold Refinery DMCC		UNITED ARAB EMIRATES		Unknown
Gold		Albino Mountinho Lda.		PORTUGAL		Unknown
Gold		Alexy Metals		UNITED STATES OF AMERICA		Unknown
Gold		Almalyk Mining and Metallurgical Complex (AMMC)		UZBEKISTAN		Conformant
Gold		Asahi Pretec Corp.		JAPAN		Conformant
Gold		AngloGold Ashanti Corrego do Sitio Mineracao		BRAZIL		Conformant
Gold		Tongling Nonferrous Metals Group Co., Ltd.		CHINA		Unknown
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		Atasay Kuyumculuk Sanayi Ve Ticaret A.S.		TURKEY		Unknown
Gold		AU Traders and Refiners		SOUTH AFRICA		Unknown
Gold		Augmont Enterprises Private Limited		INDIA		Unknown
Gold		Aurubis AG		GERMANY		Conformant
Gold		Bangalore Refinery		INDIA		Active
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		Caridad		MEXICO		Unknown
Gold		CCR Refinery - Glencore Canada Corporation		CANADA		Conformant
Gold		Cendres + Metaux S.A.		SWITZERLAND		Unknown
Gold		CGR Metalloys Pvt Ltd.		INDIA		Unknown
Gold		Yunnan Copper Industry Co., Ltd.		CHINA		Unknown
Gold		Chimet S.p.A.		ITALY		Conformant
Gold		Zhongyuan Gold Smelter of Zhongjin Gold Corporation		CHINA		Conformant
Gold		Shandong Gold Smelting Co., Ltd.		CHINA		Conformant
Gold		Chugai Mining		JAPAN		Conformant
Gold		Daye Non-Ferrous Metals Mining Ltd.		CHINA		Unknown
Gold		Degussa Sonne / Mond Goldhandel GmbH		GERMANY		Unknown
Gold		Dijllah Gold Refinery FZC		UNITED ARAB EMIRATES		Unknown
Gold		DSC (Do Sung Corporation)		KOREA, REPUBLIC OF		Conformant
Gold		Dongwu Gold Group		CHINA		Unknown
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		JSC Ekaterinburg Non-Ferrous Metal Processing Plant		RUSSIAN FEDERATION		Unknown

 

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						Compliance
Metal		Smelter		Country		Status
Gold		Emerald Jewel Industry India Limited (Unit 1)		INDIA		Unknown
Gold		Emerald Jewel Industry India Limited (Unit 2)		INDIA		Unknown
Gold		Emerald Jewel Industry India Limited (Unit 3)		INDIA		Unknown
Gold		Emerald Jewel Industry India Limited (Unit 4)		INDIA		Unknown
Gold		Emirates Gold DMCC		UNITED ARAB EMIRATES		Unknown
Gold		Moscow Special Alloys Processing Plant*		RUSSIAN FEDERATION		Unknown
Gold		Fidelity Printers and Refiners Ltd.		ZIMBABWE		Unknown
Gold		JSC Novosibirsk Refinery		RUSSIAN FEDERATION		Unknown
Gold		Fujairah Gold FZC		UNITED ARAB EMIRATES		Unknown
Gold		Gold Refinery of Zijin Mining Group Co., Ltd.		CHINA		Conformant
Gold		GGC Gujrat Gold Centre Pvt. Ltd.		INDIA		Unknown
Gold		Gold by Gold Colombia		COLOMBIA		Conformant
Gold		Gold Coast Refinery		GHANA		Unknown
Gold		Great Wall Precious Metals Co., Ltd. of CBPM		CHINA		Unknown
Gold		Guangdong Jinding Gold Limited		CHINA		Unknown
Gold		Guoda Safina High-Tech Environmental Refinery Co., Ltd.		CHINA		Unknown
Gold		Hangzhou Fuchunjiang Smelting Co., Ltd.		CHINA		Unknown
Gold		LT Metal Ltd.		KOREA, REPUBLIC OF		Conformant
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		Unknown
Gold		Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.		CHINA		Unknown
Gold		HwaSeong CJ CO., LTD.		KOREA, REPUBLIC OF		Unknown
Gold		Industrial Refining Company		BELGIUM		Unknown
Gold		Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.		CHINA		Conformant
Gold		International Precious Metal Refiners		UNITED ARAB EMIRATES		Unknown
Gold		Ishifuku Metal Industry Co., Ltd.		JAPAN		Conformant
Gold		Istanbul Gold Refinery		TURKEY		Conformant
Gold		Italpreziosi		ITALY		Conformant
Gold		JALAN & Company		INDIA		Unknown
Gold		Japan Mint		JAPAN		Conformant
Gold		Jiangxi Copper Co., Ltd.		CHINA		Conformant
Gold		JSC Uralelectromed*		RUSSIAN FEDERATION		Unknown
Gold		JX Nippon Mining & Metals Co., Ltd.		JAPAN		Conformant
Gold		K.A. Rasmussen		NORWAY		Unknown
Gold		Kaloti Precious Metals		UNITED ARAB EMIRATES		Unknown
Gold		Kazakhmys Smelting LLC		KAZAKHSTAN		Unknown
Gold		Kazzinc		KAZAKHSTAN		Conformant
Gold		Kennecott Utah Copper LLC		UNITED STATES OF AMERICA		Conformant
Gold		KGHM Polska Miedz Spolka Akcyjna		POLAND		Conformant
Gold		Yamakin Co., Ltd.		JAPAN		Conformant
Gold		Kojima Chemicals Co., Ltd.		JAPAN		Conformant
Gold		Korea Zinc Co., Ltd.		KOREA, REPUBLIC OF		Conformant
Gold		Kundan Care Products Ltd.		INDIA		Unknown
Gold		Kyrgyzaltyn JSC		KYRGYZSTAN		Unknown
Gold		Kyshtym Copper-Electrolytic Plant ZAO		RUSSIAN FEDERATION		Unknown

 

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						Compliance
Metal		Smelter		Country		Status
Gold		L'azurde Company For Jewelry		SAUDI ARABIA		Unknown
Gold		Lingbao Gold Co., Ltd.		CHINA		Unknown
Gold		Lingbao Jinyuan Tonghui Refinery Co., Ltd.		CHINA		Unknown
Gold		L'Orfebre S.A.		ANDORRA		Conformant
Gold		LS MnM Inc.		KOREA, REPUBLIC OF		Conformant
Gold		Luoyang Zijin Yinhui Gold Refinery Co., Ltd.		CHINA		Unknown
Gold		Marsam Metals		BRAZIL		Unknown
Gold		Materion		UNITED STATES OF AMERICA		Conformant
Gold		Matsuda Sangyo Co., Ltd.		JAPAN		Conformant
Gold		MD Overseas		INDIA		Unknown
Gold		Sumitomo Metal Mining Co., Ltd.		JAPAN		Conformant
Gold		Metal Concentrators SA (Pty) Ltd.		SOUTH AFRICA		Conformant
Gold		Metalurgica Met-Mex Penoles S.A. De C.V.		MEXICO		Conformant
Gold		Metallix Refining Inc.		UNITED STATES OF AMERICA		Unknown
Gold		Umicore S.A. Business Unit Precious Metals Refining		BELGIUM		Conformant
Gold		Metalor Technologies S.A.		SWITZERLAND		Conformant
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 USA Refining Corporation		UNITED STATES OF AMERICA		Conformant
Gold		Mitsubishi Materials Corporation		JAPAN		Conformant
Gold		Mitsui Mining and Smelting Co., Ltd.		JAPAN		Conformant
Gold		MKS PAMP SA		SWITZERLAND		Conformant
Gold		MMTC-PAMP India Pvt., Ltd.		INDIA		Conformant
Gold		Modeltech Sdn Bhd		MALAYSIA		Unknown
Gold		Morris and Watson		NEW ZEALAND		Unknown
Gold		Nadir Metal Rafineri San. Ve Tic. A.S.		TURKEY		Conformant
Gold		Navoi Mining and Metallurgical Combinat		UZBEKISTAN		Conformant
Gold		NH Recytech Company		KOREA, REPUBLIC OF		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		OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)		RUSSIAN FEDERATION		Unknown
Gold		Pease & Curren		UNITED STATES OF AMERICA		Unknown
Gold		Penglai Penggang Gold Industry Co., Ltd.		CHINA		Unknown
Gold		Planta Recuperadora de Metales SpA		CHILE		Conformant
Gold		Prioksky Plant of Non-Ferrous Metals		RUSSIAN FEDERATION		Unknown
Gold		PT Aneka Tambang (Persero) Tbk		INDONESIA		Conformant
Gold		PX Precinox S.A.		SWITZERLAND		Conformant
Gold		QG Refining, LLC		UNITED STATES OF AMERICA		Unknown
Gold		Rand Refinery (Pty) Ltd.		SOUTH AFRICA		Conformant
Gold		Refinery of Seemine Gold Co., Ltd.		CHINA		Unknown
Gold		REMONDIS PMR B.V.		NETHERLANDS		Conformant

 

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						Compliance
Metal		Smelter		Country		Status
Gold		Royal Canadian Mint		CANADA		Conformant
Gold		SAAMP		FRANCE		Unknown
Gold		Sabin Metal Corp.		UNITED STATES OF AMERICA		Unknown
Gold		Safimet S.p.A		ITALY		Unknown
Gold		SAFINA A.S.		CZECHIA		Conformant
Gold		Sai Refinery		INDIA		Unknown
Gold		Samduck Precious Metals		KOREA, REPUBLIC OF		Unknown
Gold		Samwon Metals Corp.		KOREA, REPUBLIC OF		Unknown
Gold		SEMPSA Joyeria Plateria S.A.		SPAIN		Conformant
Gold		Shandong Humon Smelting Co., Ltd.		CHINA		Unknown
Gold		Shandong Tiancheng Biological Gold Industrial Co., Ltd.		CHINA		Unknown
Gold		Shandong Zhaojin Gold & Silver Refinery Co., Ltd.		CHINA		Conformant
Gold		Shenzhen CuiLu Gold Co., Ltd.		CHINA		Unknown
Gold		Shenzhen Zhonghenglong Real Industry Co., Ltd.		CHINA		Unknown
Gold		Shirpur Gold Refinery Ltd.		INDIA		Unknown
Gold		Tanaka Kikinzoku Kogyo K.K.		JAPAN		Conformant
Gold		SOE Shyolkovsky Factory of Secondary Precious Metals		RUSSIAN FEDERATION		Unknown
Gold		Sichuan Tianze Precious Metals Co., Ltd.		CHINA		Conformant
Gold		Singway Technology Co., Ltd.		TAIWAN, PROVINCE OF CHINA		Unknown
Gold		Solar Applied Materials Technology Corp.		TAIWAN, PROVINCE OF CHINA		Conformant
Gold		Sovereign Metals		INDIA		Unknown
Gold		State Research Institute Center for Physical Sciences and Technology		LITHUANIA		Unknown
Gold		Sudan Gold Refinery		SUDAN		Unknown
Gold		SungEel HiMetal Co., Ltd.		KOREA, REPUBLIC OF		Conformant
Gold		Super Dragon Technology Co., Ltd.		TAIWAN, PROVINCE OF CHINA		Unknown
Gold		T.C.A S.p.A		ITALY		Conformant
Gold		Tokuriki Honten Co., Ltd.		JAPAN		Conformant
Gold		TOO Tau-Ken-Altyn		KAZAKHSTAN		Conformant
Gold		Torecom		KOREA, REPUBLIC OF		Conformant
Gold		Umicore Precious Metals Thailand		THAILAND		Unknown
Gold		United Precious Metal Refining, Inc.		UNITED STATES OF AMERICA		Conformant
Gold		Valcambi S.A.		SWITZERLAND		Conformant
Gold		WEEEREFINING		FRANCE		Conformant
Gold		WIELAND Edelmetalle GmbH		GERMANY		Conformant
Gold		Yokohama Metal Co., Ltd.		JAPAN		Conformant
Tantalum		5D Production OU		ESTONIA		Unknown
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
Tantalum		Global Advanced Metals Aizu		JAPAN		Conformant
Tantalum		Global Advanced Metals Boyertown		UNITED STATES OF AMERICA		Conformant
Tantalum		XIMEI RESOURCES (GUANGDONG) LIMITED		CHINA		Conformant

 

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						Compliance
Metal		Smelter		Country		Status
Tantalum		TANIOBIS Co., Ltd.		THAILAND		Conformant
Tantalum		Materion Newton Inc.		UNITED STATES OF AMERICA		Conformant
Tantalum		TANIOBIS Japan Co., Ltd.		JAPAN		Conformant
Tantalum		TANIOBIS Smelting GmbH & Co. KG		GERMANY		Conformant
Tantalum		TANIOBIS GmbH		GERMANY		Conformant
Tantalum		Hengyang King Xing Lifeng New Materials Co., Ltd.		CHINA		Conformant
Tantalum		Jiangxi Dinghai Tantalum & Niobium Co., Ltd.		CHINA		Conformant
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		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		QuantumClean		UNITED STATES OF AMERICA		Conformant
Tantalum		Resind Industria e Comercio Ltda.		BRAZIL		Conformant
Tantalum		Yanling Jincheng Tantalum & Niobium Co., Ltd.		CHINA		Conformant
Tantalum		RFH Yancheng Jinye New Material Technology Co., Ltd.		CHINA		Conformant
Tantalum		Solikamsk Magnesium Works OAO		RUSSIAN FEDERATION		Unknown
Tantalum		Taki Chemical Co., Ltd.		JAPAN		Conformant
Tantalum		Telex Metals		UNITED STATES OF AMERICA		Conformant
Tantalum		Ulba Metallurgical Plant JSC		KAZAKHSTAN		Conformant
Tantalum		XinXing HaoRong Electronic Material Co., Ltd.		CHINA		Conformant
Tin		Alpha		UNITED STATES OF AMERICA		Conformant
Tin		An Vinh Joint Stock Mineral Processing Company		VIET NAM		Unknown
Tin		Aurubis Beerse		BELGIUM		Conformant
Tin		Aurubis Berango		SPAIN		Conformant
Tin		PT Bukit Timah		INDONESIA		Conformant
Tin		PT Refined Bangka Tin		INDONESIA		Conformant
Tin		Yunnan Chengfeng Non-ferrous Metals Co., Ltd.		CHINA		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		Tin Smelting Branch of Yunnan Tin Co., Ltd.		CHINA		Conformant
Tin		CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda		BRAZIL		Conformant
Tin		CRM Synergies		SPAIN		Conformant
Tin		CV Ayi Jaya		INDONESIA		Conformant
Tin		PT Aries Kencana Sejahtera		INDONESIA		Conformant
Tin		PT Premium Tin Indonesia		INDONESIA		Conformant
Tin		PT Rajehan Ariq		INDONESIA		Conformant
Tin		CV Venus Inti Perkasa		INDONESIA		Conformant
Tin		Dongguan CiEXPO Environmental Engineering Co., Ltd.		CHINA		Unknown

 

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						Compliance
Metal		Smelter		Country		Status
Tin		Dowa		JAPAN		Conformant
Tin		DS Myanmar		MYANMAR		Conformant
Tin		Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company		VIET NAM		Unknown
Tin		EM Vinto		BOLIVIA (PLURINATIONAL STATE OF)		Conformant
Tin		Estanho de Rondonia S.A.		BRAZIL		Conformant
Tin		Fabrica Auricchio Industria e Comercio Ltda.		BRAZIL		Conformant
Tin		Fenix Metals		POLAND		Conformant
Tin		Minsur		PERU		Conformant
Tin		Gejiu City Fuxiang Industry and Trade Co., Ltd.		CHINA		Unknown
Tin		Gejiu Kai Meng Industry and Trade LLC		CHINA		Unknown
Tin		Gejiu Non-Ferrous Metal Processing Co., Ltd.		CHINA		Conformant
Tin		Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.		CHINA		Unknown
Tin		Gejiu Zili Mining And Metallurgy Co., Ltd.		CHINA		Unknown
Tin		Guangdong Hanhe Non-Ferrous Metal Co., Ltd.		CHINA		Conformant
Tin		HuiChang Hill Tin Industry Co., Ltd.		CHINA		Conformant
Tin		Malaysia Smelting Corporation (MSC)		MALAYSIA		Conformant
Tin		Mitsubishi Materials Corporation		JAPAN		Conformant
Tin		PT Timah Tbk Mentok		INDONESIA		Conformant
Tin		Jiangxi New Nanshan Technology Ltd.		CHINA		Conformant
Tin		PT Timah Tbk Kundur		INDONESIA		Conformant
Tin		Luna Smelter, Ltd.		RWANDA		Conformant
Tin		Magnu's Minerais Metais e Ligas Ltda.		BRAZIL		Conformant
Tin		Melt Metais e Ligas S.A.		BRAZIL		Unknown
Tin		Metallic Resources, Inc.		UNITED STATES OF AMERICA		Conformant
Tin		Mineracao Taboca S.A.		BRAZIL		Conformant
Tin		VQB Mineral and Trading Group JSC		VIET NAM		Unknown
Tin		Modeltech Sdn Bhd		MALAYSIA		Unknown
Tin		Nghe Tinh Non-Ferrous Metals Joint Stock Company		VIET NAM		Unknown
Tin		Novosibirsk Tin Combine		RUSSIAN FEDERATION		Unknown
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		Pongpipat Company Limited		MYANMAR		Unknown
Tin		Precious Minerals and Smelting Limited		INDIA		Active
Tin		PT Artha Cipta Langgeng		INDONESIA		Conformant
Tin		PT ATD Makmur Mandiri Jaya		INDONESIA		Conformant
Tin		PT Babel Inti Perkasa		INDONESIA		Conformant
Tin		PT Babel Surya Alam Lestari		INDONESIA		Conformant
Tin		PT Bangka Prima Tin		INDONESIA		Conformant
Tin		PT Bangka Tin Industry		INDONESIA		Active
Tin		PT Belitung Industri Sejahtera		INDONESIA		Conformant
Tin		PT Cipta Persada Mulia		INDONESIA		Conformant

 

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						Compliance
Metal		Smelter		Country		Status
Tin		PT Menara Cipta Mulia		INDONESIA		Conformant
Tin		PT Mitra Stania Prima		INDONESIA		Conformant
Tin		PT Mitra Sukses Globalindo		INDONESIA		Conformant
Tin		PT Panca Mega Persada		INDONESIA		Unknown
Tin		PT Prima Timah Utama		INDONESIA		Conformant
Tin		PT Putera Sarana Shakti (PT PSS)		INDONESIA		Conformant
Tin		PT Rajawali Rimba Perkasa		INDONESIA		Conformant
Tin		PT Sariwiguna Binasentosa		INDONESIA		Conformant
Tin		PT Stanindo Inti Perkasa		INDONESIA		Conformant
Tin		PT Sukses Inti Makmur (SIM)		INDONESIA		Conformant
Tin		PT Tinindo Inter Nusa		INDONESIA		Conformant
Tin		PT Tirus Putra Mandiri		INDONESIA		Unknown
Tin		PT Tommy Utama		INDONESIA		Conformant
Tin		Resind Industria e Comercio Ltda.		BRAZIL		Conformant
Tin		Rui Da Hung		TAIWAN, PROVINCE OF CHINA		Conformant
Tin		Super Ligas		BRAZIL		Conformant
Tin		Thaisarco		THAILAND		Conformant
Tin		Tin Technology & Refining		UNITED STATES OF AMERICA		Conformant
Tin		Tuyen Quang Non-Ferrous Metals Joint Stock Company		VIET NAM		Unknown
Tin		White Solder Metalurgia e Mineracao Ltda.		BRAZIL		Conformant
Tin		Yunnan Yunfan Non-ferrous Metals Co., Ltd.		CHINA		Conformant
Tungsten		A.L.M.T. Corp.		JAPAN		Conformant
Tungsten		ACL Metais Eireli		BRAZIL		Unknown
Tungsten		Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.		BRAZIL		Unknown
Tungsten		Artek LLC		RUSSIAN FEDERATION		Unknown
Tungsten		Asia Tungsten Products Vietnam Ltd.		VIET NAM		Conformant
Tungsten		Kennametal Huntsville		UNITED STATES OF AMERICA		Conformant
Tungsten		Guangdong Xianglu Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch		CHINA		Conformant
Tungsten		China Molybdenum Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		Chongyi Zhangyuan Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		CNMC (Guangxi) PGMA Co., Ltd.		CHINA		Unknown
Tungsten		Cronimet Brasil Ltda		BRAZIL		Conformant
Tungsten		DONGKUK INDUSTRIES CO., LTD.		KOREA, REPUBLIC OF		Unknown
Tungsten		Fujian Xinlu Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		Ganzhou Jiangwu Ferrotungsten Co., Ltd.		CHINA		Conformant
Tungsten		Ganzhou Seadragon W & Mo Co., Ltd.		CHINA		Conformant
Tungsten		Hubei Green Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		Global Tungsten & Powders LLC		UNITED STATES OF AMERICA		Conformant
Tungsten		TANIOBIS Smelting GmbH & Co. KG		GERMANY		Conformant
Tungsten		H.C. Starck Tungsten GmbH		GERMANY		Conformant
Tungsten		HANNAE FOR T Co., Ltd.		KOREA, REPUBLIC OF		Unknown
Tungsten		Hunan Jintai New Material Co., Ltd.		CHINA		Unknown
Tungsten		Hunan Chenzhou Mining Co., Ltd.		CHINA		Conformant
Tungsten		Hydrometallurg, JSC		RUSSIAN FEDERATION		Unknown

 

 

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						Compliance
Metal		Smelter		Country		Status
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		Unknown
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		JSC "Kirovgrad Hard Alloys Plant"		RUSSIAN FEDERATION		Unknown
Tungsten		Kennametal Fallon		UNITED STATES OF AMERICA		Conformant
Tungsten		Lianyou Metals Co., Ltd.		TAIWAN, PROVINCE OF CHINA		Conformant
Tungsten		LLC Vostok*		RUSSIAN FEDERATION		Unknown
Tungsten		Malipo Haiyu Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		Masan High-Tech Materials		VIET NAM		Conformant
Tungsten		Moliren Ltd.		RUSSIAN FEDERATION		Unknown
Tungsten		Niagara Refining LLC		UNITED STATES OF AMERICA		Conformant
Tungsten		NPP Tyazhmetprom LLC		RUSSIAN FEDERATION		Unknown
Tungsten		OOO “Technolom” 1		RUSSIAN FEDERATION		Unknown
Tungsten		OOO “Technolom” 2		RUSSIAN FEDERATION		Unknown
Tungsten		Philippine Chuangxin Industrial Co., Inc.		PHILIPPINES		Conformant
Tungsten		Tungsten Vietnam Joint Stock Company		VIET NAM		Conformant
Tungsten		Unecha Refractory metals plant		RUSSIAN FEDERATION		Unknown
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		Unknown

 

*Certain Tier 1 suppliers reported the presence of entities that have been sanctioned by the United States Department of Treasury, Office of Foreign Assets Control. Because of the over-reporting nature of the information collection process, and the nature of the supply chains and goods, we are unaware if any of these smelters or refiners is or was active in our supply chain, including any of the sanctioned entities.

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