UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

Specialized Disclosure Report

 

Sangoma Technologies Corporation

 

(Exact name of registrant as specified in its charter)

 

Ontario, Canada 001-41175 Not Applicable
(State or other jurisdiction of incorporation or
organization)
(Commission File Number) (IRS Employer
Identification No.)

 

100 Renfrew Drive, Suite 100, Markham, Ontario, L3R 9R6

 

(Address of principal executive offices) (Zip Code)

 

Samantha Reburn, Chief Legal Officer and Corporate Secretary

Tel: 905-474-1990 ext. 4134

 

(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:

 

x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2023

 

¨ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended 2023.

 

 

 

 

 

 

Section 1 - Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

This Form SD of Sangoma Technologies Corporation (the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and Form SD for the reporting period from January 1, 2023 to December 31, 2023. The Company has filed herewith as Exhibit 1.01 its Conflict Minerals Report for the calendar year ended December 31, 2023, which is incorporated herein by reference. The Conflict Minerals Report is also available at https://www.sangoma.com/why-sangoma/investor-relations/. The foregoing reference to the Company’s website is provided for convenience only. The contents of the Company’s website are not incorporated by reference into this Form SD, including any attachments hereto, in any respects, nor are they deemed to be filed with the United States Securities and Exchange Commission.

 

Item 1.02 Exhibit

 

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

 

Section 2

 

Not applicable.

 

Section 3 - Exhibits

 

Item 3.01 Exhibits

 

Exhibit 1.01 – Conflict Minerals Report for the calendar year ended December 31, 2023

 

 

 

 

SIGNATURE

 

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 undersigned hereunto duly authorized.

 

SANGOMA TECHNOLOGIES CORPORATION  
     
By: /s/ Samantha Reburn  
May 22, 2024  
Samantha Reburn  
Chief Legal Officer and Corporate Secretary  

 

 

 

Exhibit 1.01

 

Sangoma Technologies Corporation

Conflict Minerals Report

For the Calendar Year Ended December 31, 2023

 

This conflict minerals report (this “Conflict Minerals Report”) for Sangoma Technologies Corporation (collectively, the “Company”, “Sangoma”, “we”, “our” or “us”) is being filed with the United States Securities and Exchange Commission (the “SEC”) pursuant to Rule 13p-1 (the “Rule”) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Form SD for the reporting period from January 1, 2023 to December 31, 2023. The Rule was adopted by the SEC to implement reporting and disclosure requirements related to Conflict Minerals (as defined below) as directed by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. “Conflict Minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives (collectively, “Conflict Minerals”), which are limited to tin, tantalum, tungsten, and gold (“3TG”) for purposes of this Conflict Minerals Report. For products which contain Conflict Minerals, registrants must conduct in good faith a reasonable country of origin inquiry (an “RCOI”) designed to determine whether any of the Conflict Minerals originated in the Democratic Republic of the Congo or an adjoining country (which encompasses Angola, Burundi, The Central African Republic, The Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia) (collectively, the “Covered Countries”). Numerous terms in this Conflict Minerals Report are defined in the Rule and SEC Release No. 34-67716 issued by the SEC on August 22, 2012, and the reader of this Conflict Minerals Report is referred to these materials for such definitions. This Conflict Minerals Report is not audited as provided by the April 2014 public statement made by the SEC’s Division of Corporation Finance.

 

Conflict Minerals Disclosure

 

1. Company Overview

 

The Company is a trusted leader in delivering value-based Communications as a Service (CaaS) solutions for businesses of all sizes. The Company simplifies communications by providing businesses with the industry’s most comprehensive suite of cloud-native communications solutions, which work together seamlessly to streamline business processes. The Company provides businesses with a complete solution, including cloud software, endpoints, and connectivity – all delivered and supported by the Company’s expert team.

 

2. Overview of Products

 

In addition to the CaaS solutions, the Company also offers network interconnection products, such as session border controller (SBCs), gateways and PSTN interface and media processing boards. The Company contracts to manufacture certain of its network interconnection products that contain Conflict Minerals that are necessary to the functionality or production of such products (together, the “Covered Products”). For a further discussion of the Company’s products, including the Covered Products, please refer to the Annual Information Form of the Company for the year ended June 30, 2023 (filed as Exhibit 99.1 to the Company's Annual Report on Form 40-F for the year ended June 30, 2023, which was filed with the SEC on September 27, 2023 (the “Annual Report”)).

 

3. Supply Chain Overview and Due Diligence

 

The Company does not engage in the actual mining of Conflict Minerals nor does it make purchases of raw ore or unrefined Conflict Minerals, and makes no purchases in the Covered Countries. Rather, the Company’s manufacturing process is significantly removed from the mining, smelting and/or refining of 3TG minerals, and there are numerous third parties in the supply chain between the original sources of 3TG minerals and the ultimate manufacture of our products. Therefore, tracing these minerals to their sources is a challenge that requires the Company to rely on its direct and indirect suppliers in its efforts to achieve supply chain transparency, including obtaining information regarding the origin of the 3TG minerals. More specifically, the Company continues to rely upon its direct and indirect suppliers to provide information on the origin of Conflict Minerals contained in the Covered Products, including the sources of Conflict Minerals that are supplied to those manufacturers.

 

 

 

 

The Company has taken certain measures to identify the source of Conflict Minerals used in its products, including:

 

·Assessing whether the Conflict Minerals were necessary to the functionality or production of the products;

 

·Conducting an RCOI by requiring our direct and indirect suppliers to complete the Responsible Minerals Initiative’s Conflict Minerals Reporting Template (the “CMRT”), which is regarded as the most common reporting tool for Conflict Minerals content and sourcing information worldwide;

 

·Including Conflict Minerals-related requirements in our purchasing documents to direct suppliers;

 

·Reviewing responses received from suppliers and following up on incomplete responses;

 

·Sending reminders to suppliers who did not respond to the Company’s requests; and

 

·Filing an annual report with the SEC on Form SD that includes a conflict minerals report.

 

4. Reasonable Country of Origin Inquiry Results and Conclusion

 

As required by the Rule, the Company undertook an analysis and determined that the Covered Products contain one or more Conflict Minerals, which are necessary to the Covered Products’ functionality or production. Accordingly, as required by the Rule, the Company conducted in good faith an RCOI regarding those Conflict Minerals, which was designed to determine whether any of those Conflict Minerals originated a Covered Country or are from recycled or scrap sources, as each defined in the Rule. To this end, the Company sent communications to each third-party manufacturer of the Covered Products explaining the requirements of the Rule and its applicability to the Company and seeking the certification from each third-party manufacturer that the Conflict Minerals in the applicable Covered Product did not originate in a Covered Country and/or to provide answers to the CMRT reflecting the Company’s position on the supply chain.

 

The Company received back a majority of responses to its requests for information from these third-party suppliers. A list of smelters and refiners that sourced 3TG for our products contracted to be manufactured during the reporting period covered by this Conflict Minerals Report is attached hereto as Exhibit A. Each CMRT received from third-party suppliers identified lists of smelters or refiners, and their countries of origin, which may supply Conflict Minerals utilized in the Covered Products. The Company exercised due diligence to determine the source and chain of custody of the 3TG necessary to the functionality or production of the Covered Products as required by the Rule. Certain responses to the Company’s RCOI regarding the origin or source of the 3TG contained in the components sold to the Company by its third-party suppliers did not provide the Company with sufficient information to conclusively determine whether the 3TG originated from a Covered Country, or whether such 3TG came from recycled or scrap sources. However, based on the information that has been obtained from the Company’s third-party suppliers as of the date hereof, the Company has reason to believe that a portion of the Conflict Minerals used in the Covered Products may have originated in the Covered Countries set forth on Exhibit B and may not be exclusively from scrap or recycled sources. Furthermore, the necessary 3TG in our products which may have originated from outside the Covered Countries came from one or more of the countries listed in the attached Exhibit C.

 

We believe our RCOI process was reasonably designed and performed in good faith, but there are inherent limitations in the information provided to us by third parties, including the possibility of information being inaccurate, incomplete or falsified despite our efforts to validate and confirm the information. Because of the relatively small amount of the Company’s components that contain Conflict Minerals and the fact that the Company’s third-party suppliers are several steps removed from the applicable smelters and refiners, the Company has assessed, and will continue to assess, if any additional actions can or should be implemented that would improve the information gathered from its due diligence to ensure compliance with its reporting requirements under the Rule.

 

 

 

 

5. Non-Conformant or Sanctioned Smelters

 

Our version 6.31 CMRT (the “v6.31 CMRT”) consists of a compilation of 3TG Smelters or Refiners (“SORs”) received from our suppliers for the 2023 reporting period. The CMRT is regularly updated, and we required use of version 6.31, which was released on May 26, 2023, for reporting. We are aware that some of these SORs are no longer considered RMAP eligible and may no longer have an audit status of conformant. Some of these SORs on the v6.31 CMRT were either active or conformant for at least part of the 2023 reporting period and were reported by our suppliers as used in their supply chains; therefore, we must continue to report them on our CMRT. Sangoma has no direct affiliation or business with the SORs and instead relies on information from a multi-level upstream supply base. Based on these factors and the size of our supply chain, we are unable to provide a specific removal date at this time as we have no direct influence over (i) the supply base purchasing sources and (ii) related budgetary constraints.

 

We are committed to responsible sourcing and conformance with global standards. As part of our due diligence procedures, we conduct a review of the supply chain and seek to promote supplier direct/indirect contact with the smelters to encourage RMAP conformance and/or participation. In the case of smelters which are unable (or unwilling) to conform to RMAP audit standards, we will thereafter work collaboratively with our supply chain to disengage from these smelters and/or find alternative sourcing locations should they remain non-conformant. We reviewed the smelters of concern and have provided comments below regarding the RMAP “non-conformant” and/or “high risk” smelters. Each of the sanctioned SORs identified in our due diligence process are listed on Exhibit D attached hereto.

 

·Russia Sanctioned Smelters: Government sanctions against Russia took effect beginning as of March 2022 in connection with the Russian-Ukrainian conflict. The Responsible Minerals Initiative (“RMI”) has noted the Russia-related sanctions are not retroactive and became effective as of March 2022 to present date. Due to the continued Russian presence and ongoing conflict in Ukraine, and ceased RMAP assessments in Russia, the amount of ineligible, sanctioned and/or non-conformant smelters significantly increased during the 2023 reporting cycle. We must report applicable smelters in our CMRT after they are identified in the supply chain by one (or more) of our suppliers. As part of our due diligence procedures for the 2023 reporting period, we have contacted the applicable suppliers regarding next steps, remediation and/or disengagement procedures from these sanctioned smelters, and will continue to collaborate with our supply chain in an attempt to disengage from these smelters and/or find alternative sourcing locations should they remain ineligible due to government sanctions.

 

·RMAP Non-Conformant Smelters: The SORs in these categories are not necessarily a “high risk” due to sourcing locations; instead, “high risk” constitutes a non-conformant category due to the RMAP audit status. In particular, these SORs are non-conformant due to ineligibility to participate in RMAP or failed RMAP inspections. The applicable SOR is deemed non-conformant if (i) its systems, processes, and practices significantly deviate from the standard requirements or assessment criteria, (ii) sanctions are imposed on the smelter, (iii) the smelter refuses to participate in the assessment process, or (iv) the smelter does not provide adequate access to facilities, personnel and/or evidence to complete the assessment. The CMRT contains smelters that are non-conformant, and we are therefore engaging with our suppliers to encourage RMAP conformance. Proof of participation in audit programs, conflict free evidence and/or corrective action plans are requested from our suppliers. As part of our due diligence procedures, we will collaborate with our suppliers to remove the applicable non-conformant SORs from their supply chains should they remain non-conformant with RMAP audit standards.

 

·Democratic Republic of the Congo (the “DRC”) and Conflict Affected and High-Risk Areas (“CAHRAs”) Regions:  SORs that are RMI compliant can source from the DRC and CAHRAs, but must continue to demonstrate the undertaking of due diligence actions to reasonably ensure that minerals are sourced responsibly and align with the European policies on conflict prevention and the development of local communities. When non-conformant status is noted for SORs sourcing from the DRC and/or CAHRAs, due diligence efforts are performed to advise the supplier of the non-conformant status. This notification includes the referenced CMRT along with the high-risk and/or non-conformant smelter report. Suppliers are encouraged to contact SORs directly (and indirectly) to encourage RMAP conformance and/or participation, and to provide proposed next steps, due diligence procedures and/or corrective actions that are being taken for these SORs. Additionally, alternative supply chain sourcing is encouraged for SORs, which remain non-conformant or are unwilling (or unable) to participate in the RMAP.

 

 

 

 

·Uyghur Forced Labor Prevention Act (the “UFLPA”):  Some SORs have been identified as having possible links to sourcing and/or refining operations in China’s Xinjiang Uyghur Autonomous Region, which makes them subject to the UFLPA. Suppliers have been recontacted for due diligence programs or compliance procedures regarding responsible sourcing from these areas.

 

·Office of Foreign Assets Control Sanctions: One of our SORs, African Gold Refinery, was identified as being sanctioned by the U.S. Department of the Treasury’s Office of Foreign Assets Control. While Sangoma has no direct business with this SOR, such SOR was reported as being utilized by certain of our suppliers in their supply chains. As part of our escalation process, we contacted the applicable suppliers regarding next steps, remediation and/or disengagement procedures from the sanctioned SOR, and will seek to collaborate with our supply chain to disengage from such SOR. Several of our suppliers have removed the applicable SOR from their supply chain, and the escalation process remains ongoing with respect to certain other suppliers.

 

6. Continued Steps to Mitigate Risk

 

We intend to continue improving our RCOI process and to further mitigate risk that any Conflict Minerals in our products could benefit armed groups in a Covered Country contributing to human rights violations through the following measures:

 

·Continuing to conduct and report annually on supply chain RCOI for the applicable Conflict Minerals;

 

·Examining the possibility of including Conflict Mineral-related clauses in new or renewed supplier agreements such as requiring representations of compliance; and

 

·Engaging with suppliers and using commercially reasonable efforts to direct them, where appropriate, to training resources to attempt to improve the content of the supplier survey results.

 

Moreover, we continually look to improve on our due diligence processes. As the SEC and Organization for Economic Co-operation and Development provide more guidance on this process, we will implement necessary measures to report on our Conflict Minerals status. We will work with our direct suppliers to get more relevant and complete data on the source and chain of custody of the Conflict Minerals used in our products and will continue to refine the list of relevant suppliers.

 

7. Cautionary Note Regarding Forward-Looking Statements

 

Certain statements contained in this Conflict Minerals Report constitute forward-looking statements within the meaning of Canadian securities legislation, Section 21E of the Exchange Act and Section 27A of the Securities Act of 1933, as amended. Please see “Forward Looking Information” in the Annual Information Form of the Company for the year ended June 30, 2023 filed as Exhibit 99.1 to the Annual Report for a discussion of the risks, uncertainties, assumptions and other factors that could cause the actual results and performance of the Company to vary and deviate from those forward-looking statements. Readers are cautioned that such risks, uncertainties and assumptions are not exhaustive, and the Company does not undertake any obligation to update, modify or revise any forward-looking statements, whether as a result of future events, newly obtained information or otherwise, except as may be required by applicable laws. Moreover, given that forward-looking statements involve significant and inherent risks, uncertainties and assumptions, readers of this Conflict Minerals Report are strongly advised not to place any undue reliance on any such information.

 

 

 

 

Exhibit A

 

Smelters and Refiners Reported in the Company’s Supply Chain as of May 13, 2024

 

Metal Smelter Name Smelter Country
Gold Advanced Chemical Company UNITED STATES OF AMERICA
Gold Aida Chemical Industries Co., Ltd. JAPAN
Gold Agosi AG GERMANY
Gold Almalyk Mining and Metallurgical Complex (AMMC) UZBEKISTAN
Gold AngloGold Ashanti Corrego do Sitio Mineracao BRAZIL
Gold Argor-Heraeus S.A. SWITZERLAND
Gold Asahi Pretec Corp. JAPAN
Gold Asaka Riken Co., Ltd. JAPAN
Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S. TURKEY
Gold Aurubis AG GERMANY
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines) PHILIPPINES
Gold Boliden AB SWEDEN
Gold C. Hafner GmbH + Co. KG GERMANY
Gold Caridad MEXICO
Gold CCR Refinery - Glencore Canada Corporation CANADA
Gold Cendres + Metaux S.A. SWITZERLAND
Gold Yunnan Copper Industry Co., Ltd. CHINA
Gold Chimet S.p.A. ITALY
Gold Chugai Mining JAPAN
Gold Daye Non-Ferrous Metals Mining Ltd. CHINA
Gold DSC (Do Sung Corporation) KOREA, REPUBLIC OF
Gold Dowa JAPAN
Gold Eco-System Recycling Co., Ltd. East Plant JAPAN
Gold JSC Novosibirsk Refinery RUSSIAN FEDERATION
Gold Refinery of Seemine Gold Co., Ltd. CHINA
Gold Guoda Safina High-Tech Environmental Refinery Co., Ltd. CHINA
Gold Hangzhou Fuchunjiang Smelting Co., Ltd. CHINA
Gold LT Metal Ltd. KOREA, REPUBLIC OF
Gold Heimerle + Meule GmbH GERMANY
Gold Heraeus Metals Hong Kong Ltd. CHINA
Gold Heraeus Germany GmbH Co. KG GERMANY

 

 

 

 

Metal Smelter Name Smelter Country
Gold Hunan Chenzhou Mining Co., Ltd. CHINA
Gold Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. CHINA
Gold HwaSeong CJ CO., LTD. KOREA, REPUBLIC OF
Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. CHINA
Gold Ishifuku Metal Industry Co., Ltd. JAPAN
Gold Istanbul Gold Refinery TURKEY
Gold Japan Mint JAPAN
Gold Jiangxi Copper Co., Ltd. CHINA
Gold Asahi Refining USA Inc. UNITED STATES OF AMERICA
Gold Asahi Refining Canada Ltd. CANADA
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant RUSSIAN FEDERATION
Gold JSC Uralelectromed RUSSIAN FEDERATION
Gold JX Nippon Mining & Metals Co., Ltd. JAPAN
Gold Kazakhmys Smelting LLC KAZAKHSTAN
Gold Kazzinc KAZAKHSTAN
Gold Kennecott Utah Copper LLC UNITED STATES OF AMERICA
Gold Kojima Chemicals Co., Ltd. JAPAN
Gold Kyrgyzaltyn JSC KYRGYZSTAN
Gold L'azurde Company For Jewelry SAUDI ARABIA
Gold Lingbao Gold Co., Ltd. CHINA
Gold Lingbao Jinyuan Tonghui Refinery Co., Ltd. CHINA
Gold LS-NIKKO Copper Inc. KOREA, REPUBLIC OF
Gold Luoyang Zijin Yinhui Gold Refinery Co., Ltd. CHINA
Gold Materion UNITED STATES OF AMERICA
Gold Matsuda Sangyo Co., Ltd. JAPAN
Gold Metalor Technologies (Suzhou) Ltd. CHINA
Gold Metalor Technologies (Hong Kong) Ltd. CHINA
Gold Metalor Technologies (Singapore) Pte., Ltd. SINGAPORE
Gold Metalor Technologies S.A. SWITZERLAND
Gold Metalor USA Refining Corporation UNITED STATES OF AMERICA
Gold Metalurgica Met-Mex Penoles S.A. De C.V. MEXICO
Gold Mitsubishi Materials Corporation JAPAN
Gold Mitsui Mining and Smelting Co., Ltd. JAPAN

 

 

 

 

Metal Smelter Name Smelter Country
Gold Moscow Special Alloys Processing Plant RUSSIAN FEDERATION
Gold Nadir Metal Rafineri San. Ve Tic. A.S. TURKEY
Gold Navoi Mining and Metallurgical Combinat UZBEKISTAN
Gold Nihon Material Co., Ltd. JAPAN
Gold Ohura Precious Metal Industry Co., Ltd. JAPAN
Gold OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) RUSSIAN FEDERATION
Gold MKS PAMP SA SWITZERLAND
Gold Penglai Penggang Gold Industry Co., Ltd. CHINA
Gold Prioksky Plant of Non-Ferrous Metals RUSSIAN FEDERATION
Gold PT Aneka Tambang (Persero) Tbk INDONESIA
Gold PX Precinox S.A. SWITZERLAND
Gold Rand Refinery (Pty) Ltd. SOUTH AFRICA
Gold Royal Canadian Mint CANADA
Gold Sabin Metal Corp. UNITED STATES OF AMERICA
Gold Samduck Precious Metals KOREA, REPUBLIC OF
Gold Samwon Metals Corp. KOREA, REPUBLIC OF
Gold SEMPSA Joyeria Plateria S.A. SPAIN
Gold Shandong Tiancheng Biological Gold Industrial Co., Ltd. CHINA
Gold Shandong Zhaojin Gold & Silver Refinery Co., Ltd. CHINA
Gold Sichuan Tianze Precious Metals Co., Ltd. CHINA
Gold SOE Shyolkovsky Factory of Secondary Precious Metals RUSSIAN FEDERATION
Gold Solar Applied Materials Technology Corp. TAIWAN, PROVINCE OF CHINA
Gold Sumitomo Metal Mining Co., Ltd. JAPAN
Gold Super Dragon Technology Co., Ltd. TAIWAN, PROVINCE OF CHINA
Gold Tanaka Kikinzoku Kogyo K.K. JAPAN
Gold Great Wall Precious Metals Co., Ltd. of CBPM CHINA
Gold Shandong Gold Smelting Co., Ltd. CHINA
Gold Tokuriki Honten Co., Ltd. JAPAN
Gold Tongling Nonferrous Metals Group Co., Ltd. CHINA
Gold Torecom KOREA, REPUBLIC OF
Gold Umicore S.A. Business Unit Precious Metals Refining BELGIUM

 

 

 

 

Metal Smelter Name Smelter Country
Gold United Precious Metal Refining, Inc. UNITED STATES OF AMERICA
Gold Valcambi S.A. SWITZERLAND
Gold Western Australian Mint (T/a The Perth Mint) AUSTRALIA
Gold Yamakin Co., Ltd. JAPAN
Gold Yokohama Metal Co., Ltd. JAPAN
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation CHINA
Gold Gold Refinery of Zijin Mining Group Co., Ltd. CHINA
Gold Morris and Watson NEW ZEALAND
Gold SAFINA A.S. CZECHIA
Gold Guangdong Jinding Gold Limited CHINA
Gold Umicore Precious Metals Thailand THAILAND
Gold Geib Refining Corporation UNITED STATES OF AMERICA
Gold MMTC-PAMP India Pvt., Ltd. INDIA
Gold KGHM Polska Miedz Spolka Akcyjna POLAND
Gold Fidelity Printers and Refiners Ltd. ZIMBABWE
Gold Singway Technology Co., Ltd. TAIWAN, PROVINCE OF CHINA
Gold Shandong Humon Smelting Co., Ltd. CHINA
Gold Shenzhen Zhonghenglong Real Industry Co., Ltd. CHINA
Gold Al Etihad Gold Refinery DMCC UNITED ARAB EMIRATES
Gold Emirates Gold DMCC UNITED ARAB EMIRATES
Gold International Precious Metal Refiners UNITED ARAB EMIRATES
Gold Kaloti Precious Metals UNITED ARAB EMIRATES
Gold Sudan Gold Refinery SUDAN
Gold T.C.A S.p.A ITALY
Gold REMONDIS PMR B.V. NETHERLANDS
Gold Fujairah Gold FZC UNITED ARAB EMIRATES
Gold Industrial Refining Company BELGIUM
Gold Shirpur Gold Refinery Ltd. INDIA
Gold Korea Zinc Co., Ltd. KOREA, REPUBLIC OF
Gold Marsam Metals BRAZIL
Gold TOO Tau-Ken-Altyn KAZAKHSTAN
Gold Abington Reldan Metals, LLC UNITED STATES OF AMERICA
Gold Shenzhen CuiLu Gold Co., Ltd. CHINA
Gold Albino Mountinho Lda. PORTUGAL
Gold SAAMP FRANCE

 

 

 

 

Metal Smelter Name Smelter Country
Gold L'Orfebre S.A. ANDORRA
Gold 8853 S.p.A. ITALY
Gold Italpreziosi ITALY
Gold WIELAND Edelmetalle GmbH GERMANY
Gold Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH AUSTRIA
Gold AU Traders and Refiners SOUTH AFRICA
Gold GGC Gujrat Gold Centre Pvt. Ltd. INDIA
Gold Sai Refinery INDIA
Gold Modeltech Sdn Bhd MALAYSIA
Gold Bangalore Refinery INDIA
Gold Kyshtym Copper-Electrolytic Plant ZAO RUSSIAN FEDERATION
Gold Degussa Sonne / Mond Goldhandel GmbH GERMANY
Gold Pease & Curren UNITED STATES OF AMERICA
Gold JALAN & Company INDIA
Gold SungEel HiMetal Co., Ltd. KOREA, REPUBLIC OF
Gold Planta Recuperadora de Metales SpA CHILE
Gold ABC Refinery Pty Ltd. AUSTRALIA
Gold Safimet S.p.A ITALY
Gold State Research Institute Center for Physical Sciences and Technology LITHUANIA
Gold African Gold Refinery UGANDA
Gold Gold Coast Refinery GHANA
Gold NH Recytech Company KOREA, REPUBLIC OF
Gold QG Refining, LLC UNITED STATES OF AMERICA
Gold Dijllah Gold Refinery FZC UNITED ARAB EMIRATES
Gold CGR Metalloys Pvt Ltd. INDIA
Gold Sovereign Metals INDIA
Gold C.I Metales Procesados Industriales SAS COLOMBIA
Gold Eco-System Recycling Co., Ltd. North Plant JAPAN
Gold Eco-System Recycling Co., Ltd. West Plant JAPAN
Gold Augmont Enterprises Private Limited INDIA
Gold Kundan Care Products Ltd. INDIA
Gold Emerald Jewel Industry India Limited (Unit 1) INDIA
Gold Emerald Jewel Industry India Limited (Unit 2) INDIA
Gold Emerald Jewel Industry India Limited (Unit 3) INDIA
Gold Emerald Jewel Industry India Limited (Unit 4) INDIA

 

 

 

 

Metal Smelter Name Smelter Country
Gold K.A. Rasmussen NORWAY
Gold Alexy Metals UNITED STATES OF AMERICA
Gold Sancus ZFS (L’Orfebre, SA) COLOMBIA
Gold Sellem Industries Ltd. MAURITANIA
Gold MD Overseas INDIA
Gold Metallix Refining Inc. UNITED STATES OF AMERICA
Gold Metal Concentrators SA (Pty) Ltd. SOUTH AFRICA
Gold WEEEREFINING FRANCE
Gold Gold by Gold Colombia COLOMBIA
Gold Dongwu Gold Group CHINA
Gold Sam Precious Metals UNITED ARAB EMIRATES
Gold Coimpa Industrial LTDA BRAZIL
Tantalum Guangdong Rising Rare Metals-EO Materials Ltd. CHINA
Tantalum Changsha South Tantalum Niobium Co., Ltd. CHINA
Tantalum F&X Electro-Materials Ltd. CHINA
Tantalum XIMEI RESOURCES (GUANGDONG) LIMITED CHINA
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. CHINA
Tantalum Jiujiang Tanbre Co., Ltd. CHINA
Tantalum AMG Brasil BRAZIL
Tantalum Metallurgical Products India Pvt., Ltd. INDIA
Tantalum Mineracao Taboca S.A. BRAZIL
Tantalum Mitsui Mining and Smelting Co., Ltd. JAPAN
Tantalum NPM Silmet AS ESTONIA
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. CHINA
Tantalum QuantumClean UNITED STATES OF AMERICA
Tantalum Yanling Jincheng Tantalum & Niobium Co., Ltd. CHINA
Tantalum Solikamsk Magnesium Works OAO RUSSIAN FEDERATION
Tantalum Taki Chemical Co., Ltd. JAPAN
Tantalum Telex Metals UNITED STATES OF AMERICA
Tantalum Ulba Metallurgical Plant JSC KAZAKHSTAN
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. CHINA
Tantalum D Block Metals, LLC UNITED STATES OF AMERICA
Tantalum FIR Metals & Resource Ltd. CHINA

 

 

 

 

Metal Smelter Name Smelter Country
Tantalum Jiujiang Zhongao Tantalum & Niobium Co., Ltd. CHINA
Tantalum XinXing HaoRong Electronic Material Co., Ltd. CHINA
Tantalum Jiangxi Dinghai Tantalum & Niobium Co., Ltd. CHINA
Tantalum KEMET de Mexico MEXICO
Tantalum TANIOBIS Co., Ltd. THAILAND
Tantalum TANIOBIS GmbH GERMANY
Tantalum Materion Newton Inc. UNITED STATES OF AMERICA
Tantalum TANIOBIS Japan Co., Ltd. JAPAN
Tantalum TANIOBIS Smelting GmbH & Co. KG GERMANY
Tantalum Global Advanced Metals Boyertown UNITED STATES OF AMERICA
Tantalum Global Advanced Metals Aizu JAPAN
Tantalum Resind Industria e Comercio Ltda. BRAZIL
Tantalum Jiangxi Tuohong New Raw Material CHINA
Tantalum RFH Yancheng Jinye New Material Technology Co., Ltd. CHINA
Tantalum 5D Production OU ESTONIA
Tantalum PowerX Ltd. RWANDA
Tin PT Rajehan Ariq INDONESIA
Tin Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. CHINA
Tin Alpha UNITED STATES OF AMERICA
Tin PT Aries Kencana Sejahtera INDONESIA
Tin PT Premium Tin Indonesia INDONESIA
Tin Dowa JAPAN
Tin EM Vinto BOLIVIA (PLURINATIONAL STATE OF)
Tin Estanho de Rondonia S.A. BRAZIL
Tin Fenix Metals POLAND
Tin Gejiu Non-Ferrous Metal Processing Co., Ltd. CHINA
Tin Gejiu Zili Mining And Metallurgy Co., Ltd. CHINA
Tin Gejiu Kai Meng Industry and Trade LLC CHINA
Tin China Tin Group Co., Ltd. CHINA
Tin Malaysia Smelting Corporation (MSC) MALAYSIA
Tin Metallic Resources, Inc. UNITED STATES OF AMERICA
Tin Mineracao Taboca S.A. BRAZIL

 

 

 

 

Metal Smelter Name Smelter Country
Tin Minsur PERU
Tin Mitsubishi Materials Corporation JAPAN
Tin Jiangxi New Nanshan Technology Ltd. CHINA
Tin Novosibirsk Tin Combine RUSSIAN FEDERATION
Tin O.M. Manufacturing (Thailand) Co., Ltd. THAILAND
Tin Operaciones Metalurgicas S.A. BOLIVIA (PLURINATIONAL STATE OF)
Tin PT Artha Cipta Langgeng INDONESIA
Tin PT Babel Inti Perkasa INDONESIA
Tin PT Babel Surya Alam Lestari INDONESIA
Tin PT Bangka Tin Industry INDONESIA
Tin PT Belitung Industri Sejahtera INDONESIA
Tin PT Bukit Timah INDONESIA
Tin PT Mitra Stania Prima INDONESIA
Tin PT Panca Mega Persada INDONESIA
Tin PT Prima Timah Utama INDONESIA
Tin PT Refined Bangka Tin INDONESIA
Tin PT Sariwiguna Binasentosa INDONESIA
Tin PT Stanindo Inti Perkasa INDONESIA
Tin PT Timah Tbk Kundur INDONESIA
Tin PT Timah Tbk Mentok INDONESIA
Tin PT Timah Nusantara INDONESIA
Tin PT Tinindo Inter Nusa INDONESIA
Tin PT Tommy Utama INDONESIA
Tin Rui Da Hung TAIWAN, PROVINCE OF CHINA
Tin Thaisarco THAILAND
Tin Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. CHINA
Tin VQB Mineral and Trading Group JSC VIET NAM
Tin White Solder Metalurgia e Mineracao Ltda. BRAZIL
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd. CHINA
Tin Tin Smelting Branch of Yunnan Tin Co., Ltd. CHINA
Tin CV Venus Inti Perkasa INDONESIA
Tin Magnu's Minerais Metais e Ligas Ltda. BRAZIL
Tin PT Tirus Putra Mandiri INDONESIA
Tin Melt Metais e Ligas S.A. BRAZIL
Tin PT ATD Makmur Mandiri Jaya INDONESIA
Tin O.M. Manufacturing Philippines, Inc. PHILIPPINES

 

 

 

 

Metal Smelter Name Smelter Country
Tin CV Ayi Jaya INDONESIA
Tin Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company VIET NAM
Tin Nghe Tinh Non-Ferrous Metals Joint Stock Company VIET NAM
Tin Tuyen Quang Non-Ferrous Metals Joint Stock Company VIET NAM
Tin PT Cipta Persada Mulia INDONESIA
Tin An Vinh Joint Stock Mineral Processing Company VIET NAM
Tin Resind Industria e Comercio Ltda. BRAZIL
Tin Super Ligas BRAZIL
Tin Aurubis Beerse BELGIUM
Tin Aurubis Berango SPAIN
Tin PT Bangka Prima Tin INDONESIA
Tin PT Sukses Inti Makmur INDONESIA
Tin PT Menara Cipta Mulia INDONESIA
Tin Modeltech Sdn Bhd MALAYSIA
Tin Guangdong Hanhe Non-Ferrous Metal Co., Ltd. CHINA
Tin Chifeng Dajingzi Tin Industry Co., Ltd. CHINA
Tin PT Bangka Serumpun INDONESIA
Tin Pongpipat Company Limited MYANMAR
Tin Tin Technology & Refining UNITED STATES OF AMERICA
Tin Dongguan CiEXPO Environmental Engineering Co., Ltd. CHINA
Tin PT Rajawali Rimba Perkasa INDONESIA
Tin Luna Smelter, Ltd. RWANDA
Tin Yunnan Yunfan Non-ferrous Metals Co., Ltd. CHINA
Tin Precious Minerals and Smelting Limited INDIA
Tin Gejiu City Fuxiang Industry and Trade Co., Ltd. CHINA
Tin PT Mitra Sukses Globalindo INDONESIA
Tin CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda BRAZIL
Tin CRM Synergies SPAIN
Tin Fabrica Auricchio Industria e Comercio Ltda. BRAZIL
Tin DS Myanmar MYANMAR
Tin PT Putera Sarana Shakti (PT PSS) INDONESIA
Tin Mining Minerals Resources SARL CONGO, DEMOCRATIC REPUBLIC OF THE

 

 

 

 

Metal Smelter Name Smelter Country
Tungsten A.L.M.T. Corp. JAPAN
Tungsten Kennametal Huntsville UNITED STATES OF AMERICA
Tungsten Guangdong Xianglu Tungsten Co., Ltd. CHINA
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. CHINA
Tungsten CNMC (Guangxi) PGMA Co., Ltd. CHINA
Tungsten Global Tungsten & Powders Corp. UNITED STATES OF AMERICA
Tungsten Hunan Chenzhou Mining Co., Ltd. CHINA
Tungsten Hunan Jintai New Material Co., Ltd. CHINA
Tungsten Japan New Metals Co., Ltd. JAPAN
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. CHINA
Tungsten Kennametal Fallon UNITED STATES OF AMERICA
Tungsten Wolfram Bergbau und Hutten AG AUSTRIA
Tungsten Xiamen Tungsten Co., Ltd. CHINA
Tungsten Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. CHINA
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. CHINA
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd. CHINA
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. CHINA
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. CHINA
Tungsten Malipo Haiyu Tungsten Co., Ltd. CHINA
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. CHINA
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. CHINA
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. CHINA
Tungsten Asia Tungsten Products Vietnam Ltd. VIET NAM
Tungsten Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch CHINA
Tungsten H.C. Starck Tungsten GmbH GERMANY
Tungsten TANIOBIS Smelting GmbH & Co. KG GERMANY
Tungsten Masan High-Tech Materials VIET NAM
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. CHINA
Tungsten Niagara Refining LLC UNITED STATES OF AMERICA
Tungsten China Molybdenum Tungsten Co., Ltd. CHINA
Tungsten Ganzhou Haichuang Tungsten Co., Ltd. CHINA
Tungsten Hydrometallurg, JSC RUSSIAN FEDERATION
Tungsten Unecha Refractory metals plant RUSSIAN FEDERATION

 

 

 

 

Metal Smelter Name Smelter Country
Tungsten Philippine Chuangxin Industrial Co., Inc. PHILIPPINES
Tungsten ACL Metais Eireli BRAZIL
Tungsten Moliren Ltd. RUSSIAN FEDERATION
Tungsten Fujian Ganmin RareMetal Co., Ltd. CHINA
Tungsten Lianyou Metals Co., Ltd. TAIWAN, PROVINCE OF CHINA
Tungsten JSC "Kirovgrad Hard Alloys Plant" RUSSIAN FEDERATION
Tungsten NPP Tyazhmetprom LLC RUSSIAN FEDERATION
Tungsten Hubei Green Tungsten Co., Ltd. CHINA
Tungsten Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. BRAZIL
Tungsten Cronimet Brasil Ltda BRAZIL
Tungsten Artek LLC RUSSIAN FEDERATION
Tungsten Fujian Xinlu Tungsten Co., Ltd. CHINA
Tungsten OOO “Technolom” 2 RUSSIAN FEDERATION
Tungsten OOO “Technolom” 1 RUSSIAN FEDERATION
Tungsten LLC Vostok RUSSIAN FEDERATION
Tungsten YUDU ANSHENG TUNGSTEN CO., LTD. CHINA
Tungsten HANNAE FOR T Co., Ltd. KOREA, REPUBLIC OF
Tungsten Tungsten Vietnam Joint Stock Company VIET NAM
Tungsten Nam Viet Cromit Joint Stock Company VIET NAM
Tungsten DONGKUK INDUSTRIES CO., LTD. KOREA, REPUBLIC OF

 

 

 

 

EXHIBIT B

 

Covered Countries from Which the Company’s Necessary 3TG

May Have Originated as of May 13, 2024

 

1.Democratic Republic of Congo

 

2.Rwanda

 

3.Uganda

 

 

 

 

EXHIBIT C

 

Countries, Outside of the Covered Countries, from Which the Company’s Necessary 3TG May Have Originated as of May 13, 2024

 

Andorra 

Australia 

Austria 

Belgium 

Bolivia 

Brazil 

Canada 

Chile 

China 

Colombia 

Czechia 

Estonia 

France 

Germany 

Ghana 

India 

Indonesia 

Italy 

Japan 

Kazakhstan 

Republic of Korea

Kyrgystan 

Lithuania 

Macedonia 

Malaysia 

Mauritania 

Mexico 

Myanmar 

Netherlands 

New Zealand 

Norway 

Peru

 

 

 

 

Philippines 

Poland 

Portugal 

Russian Federation 

Saudi Arabia

Singapore 

South Africa 

Spain 

Sudan

Sweden 

Switzerland 

Taiwan 

Thailand 

Turkey 

United Arab Emirates 

United States of America 

Uzbekistan 

Vietnam 

Zimbabwe

 

 

 

 

EXHIBIT D

 

Non-Conformant or Sanctioned SORs as of May 13, 2024

 

Mineral Smelter Name Location
Gold OJSC Novosibirsk Refinery RUSSIAN FEDERATION
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant RUSSIAN FEDERATION
Gold JSC Uralelectromed RUSSIAN FEDERATION
Gold Moscow Special Alloys Processing Plant RUSSIAN FEDERATION
Tin Novosibirsk Processing Plant Ltd. RUSSIAN FEDERATION
Gold OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) RUSSIAN FEDERATION
Gold Prioksky Plant of Non-Ferrous Metals RUSSIAN FEDERATION
Gold SOE Shyolkovsky Factory of Secondary Precious Metals RUSSIAN FEDERATION
Tantalum Solikamsk Magnesium Works OAO RUSSIAN FEDERATION
Gold Fidelity Printers and Refiners Ltd. ZIMBABWE
Tungsten Hydrometallurg, JSC RUSSIAN FEDERATION
Tungsten Moliren Ltd. RUSSIAN FEDERATION
Gold Kyshtym Copper-Electrolytic Plant ZAO RUSSIAN FEDERATION
Gold African Gold Refinery UGANDA
Tungsten JSC "Kirovgrad Hard Alloys Plant" RUSSIAN FEDERATION
Tungsten NPP Tyazhmetprom LLC RUSSIAN FEDERATION
Tungsten Artek LLC RUSSIAN FEDERATION
Tungsten OOO “Technolom” 2 RUSSIAN FEDERATION
Tungsten OOO “Technolom” 1 RUSSIAN FEDERATION
Tungsten LLC Vostok RUSSIAN FEDERATION

 

 

 

 


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