Omnicell, Inc.
OMNICELL, Inc (Form: SD, Received: 05/31/2017 15:14:14)




UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


__________________________
FORM SD

Specialized Disclosure Report
__________________________

Omnicell, Inc.
(Exact name of the registrant as specified in its charter)
______________________
DELAWARE
000-33043
94-3166458
(State or Other Jurisdiction of Incorporation)
(Commission File Number)
(IRS Employer Identification Number)

590 East Middlefield Road, Mountain View, California
94043
(Address of Principal Executive Offices)
(Zip Code)

Peter Kuipers
(650) 251-6100
(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:
ý Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1, 2016 to December 31, 2016.






1




Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
This Specialized Disclosure Report on Form SD (the “Form SD”) of Omnicell Inc. (“Omnicell” or the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period January 1, 2016 to December 1, 2016.

A copy of the Omnicell’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, is hereby incorporated by reference herein, and is publicly available on the Company’s website, http://ir.omnicell.com/sec.cfm.

Item 1.02 Exhibit
As specified in Section 2, Item 2.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this report.

Section 2 - Exhibits

Item 2.01 Exhibits

The following exhibit is filed as part of this report.

Exhibit No.
 
Description
1.01
 
Conflict Minerals Report of Omnicell Inc. for the reporting period from January 1, 2016 to
December 31, 2016.

* * * * *

2




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.
Omnicell, Inc.
 
 
(Registrant)
 
 
 
 
 
By: /s/ Peter J. Kuipers
 
May 31, 2017
Peter J. Kuipers, Executive Vice President & Chief Financial Officer
 
(Date)

3




EXHIBIT INDEX

Exhibit No.
 
Description
1.01
 
Conflict Minerals Report of Omnicell Inc. for the reporting period from January 1, 2016 to
December 31, 2016.


4


Exhibit 1.01


Conflict Minerals Report of Omnicell Inc. for the reporting period from
January 1, 2016 to December 31, 2016


Introduction

This Conflict Minerals Report (the “Report”) of Omnicell, Inc. (hereinafter referred to as “Omnicell” or the “Company”) has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”), as amended, for the reporting period from January 1, 2016 to December 31, 2016 (the “Reporting Period”). Numerous other terms in this Report are defined in SEC Release No. 34-67716 issued by the Securities and Exchange Commission on August 22, 2012, and the reader is referred to those sources for such definitions.

The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products and the minerals specified in the Rule are necessary to the functionality or production of those products. The specified minerals, which the Company collectively refers to in this Report as “3TG” or “Conflict Minerals,” are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten. The “Covered Countries,” for the purposes of the Rule and this Report, are the Democratic Republic of the Congo (DRC) and each adjoining country.


Company Profile

Omnicell is headquartered in the United States with a small number of operations offices located globally. The Company provides automation, software analytics and medication adherence solutions that function on proprietary electronic hardware for acute and non-acute healthcare institutions. This Report relates to products: (i) for which Conflict Minerals are necessary to their functionality or production; (ii) that were manufactured, or contracted to be manufactured, by the Company; and (iii) for which the manufacture was completed during calendar year 2016.

These products, which are referred to in this Report collectively as the “Covered Products,” are the following: secure dispensing systems; storage, retrieval and packaging systems; tissue center; specialty modules; supply management systems; pharmacy sealers; semi-automated filling equipment and pharmacy automated systems for medication packaging. The Company is at the end of a very long supply chain where it manufactures or contracts to manufacture products and does not directly source raw materials nor specifically design Conflict Minerals into its product.

1




Reasonable Country-of-Origin Inquiry

The Company determined that the highest risk of products containing potential 3TG comes from our original equipment manufacturers (OEMs), contract manufacturers, electromechanical and metals suppliers (including off-the-shelf suppliers). Based on these criteria, the Company reviewed its list of suppliers in 2016 and determined that 39 suppliers fall within scope. For those 39 suppliers, the Company conducted a good faith, reasonable country-of-origin inquiry (RCOI) to determine whether any of the necessary Conflict Minerals originated in the Covered Countries and whether any of the necessary Conflict Minerals may be from recycled or scrap sources. To that end, these suppliers were contacted and asked to complete a Conflict Minerals Reporting Template (CMRT) from the Conflict Free Sourcing Initiative (CFSI). The Company reviewed and analyzed the quality of the responses and assessed the risk level of these suppliers. Of the suppliers contacted, 59% responded to the request, 49% provided CMRTs, 41% did not provide a response, and 10% provided a company declaration in lieu of a completed CMRT.


Design of Due Diligence

The Company’s due diligence measures have been designed to conform, in all material respects, to the framework in the Organisation for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High Risk Areas: Second Edition, including the related supplements on gold, tin, tantalum and tungsten (the “OECD Guidance”), as it relates to the Company’s position in the minerals supply chain as a “downstream” purchaser.


The Company’s conflict minerals Policy may be found on its external website: http://www.omnicell.com/About_Omnicell/Environmental_Sustainability/Conflict_Minerals_Policy.aspx


Description of Due Diligence Measures
The Company’s due diligence measures performed with respect to Covered Products for the Reporting Period included the following:
Review risk assessment with the Company’s Conflict Minerals Council, a cross-functional team comprised of senior and executive management, and provided updates regarding the Company’s Conflict Minerals program.
Review of supplier CMRTs and comparison of smelter lists against the lists of active or compliant smelters made available by the CFSI; where suppliers provided CMRTs with inconsistent or incomplete information, the Company continues to follow up with those suppliers during quarterly business reviews.

2





Results of Due Diligence Performed

The following is the outcome of the CMRT review;

In general, the quality of reporting and supplier due diligence practices appears to have declined since last year. However, this may be partly because the scope of the due diligence increased to include distributors for the first time, in addition to the Company’s key suppliers. The addition of distributors was a study to see how Conflict Minerals programs are being accepted within the industry. As a result, the Company has communicated expectations to its key suppliers, especially with regard to removing non-CFSI compliant smelters from their supply chains and does not think that distributors have a responsibility for conflict minerals since they are intermediaries between customers and manufacturers.
Of the 19 suppliers that provided a CMRT, seven provided CMRTs with some inconsistent or incomplete information.
Of those 19 suppliers, 10 suppliers reported that they do not have supply chain mapping and due diligence measures in place.
Four suppliers did not provide CMRTs, but instead provided declarations and letters.
Two of the Company’s major contract manufacturers provided CMRTs that reflected deterioration in reporting practices compared to 2015, including an increase in inconsistent or incomplete information. In one case, the CMRT showed an increase in the proportion of smelters or refiners that had not been independently validated to be conflict-free; however consistency improved on certain questions, while the tier 2 suppliers’ response rate was above 50%. In the other case, the tier 2 supplier response rate was around 70%, and the smelter list included only CFSI-validated smelters, which was not the case for 2015.
One supplier was identified as a “low-risk supplier” in the last CMRT review for 2015, but this year, the supplier displayed a deterioration in the quality of reporting, indicating a lower tier 2 supplier response rate and sourcing in 2016 from one non-CFSI-validated smelter.
In response to one major contract manufacturer’s poor performance, the Company has made the decision to significantly decrease the amount sourced from this supplier. The Company has specifically reached out to this contract manufacturer to urge them to no longer source from non-CFSI-approved smelters.


The Company has listed on Appendix 1 the smelters and refiners identified by its suppliers as a result of the Company’s RCOI and due diligence. Out of the eight suppliers that provided smelter lists, five provided the smelters at the product level ( i.e. , they provided information for the particular types of products and components they supplied to the Company), two provided smelters at the company level ( i.e ., they provided information regarding all Conflict Minerals used in every component and product they manufacture rather than responses specific to the types of products and components used in the Covered Products) , and one was “user defined.” As a result, some of the smelters and refiners reported to the Company and identified on Appendix 1 may not actually have been used to process the necessary Conflict Minerals in the Covered Products.

3




Future Due Diligence and Risk Mitigation Measures
As the Company further develops its conflict minerals due diligence program, the Company intends to take the following steps to further enhance its due diligence measures and to mitigate the risk that, with respect to any of the Covered Products, necessary Conflict Minerals were used, directly or indirectly, to finance or benefit armed groups in the Covered Countries:

Enhance supplier communication and escalation process to improve due diligence data accuracy and completion and mitigate issues with CMRT responses;
Making requests of additional suppliers in the 2017 calendar reporting period to allow the Company’s third-party consultant to perform an assessment of the CMRT information provided by the supplier;
Encourage its suppliers to implement responsible sourcing by using Conflict Minerals only from smelters or refiners that have been certified conflict-free through the CFSI program;
Continuing to utilize a third-party consultant for review of completed CMRTs from suppliers;
Continuing to utilize third-party consultant for performing conflict minerals assessments including CSFI downstream audits of suppliers.
Not including distributors as part of RCOI.

Inherent Limitations on Due Diligence Measures

The Company’s supply chain with respect to the Covered Products is complex, and its procurement and manufacturing process is significantly removed from the sourcing, mining, smelting and refining of 3TG. As a result, the Company does not have direct contractual relationships with smelters, refiners or mines, and there are many third parties in the supply chain between the ultimate manufacture of the Covered Products and the original sources of Conflict Minerals. Moreover, the Company believes that the smelters and refiners of the Conflict Minerals are best situated to identify the sources of Conflict Minerals and, therefore, has taken steps to identify the applicable smelters and refiners of necessary Conflict Minerals in the Company’s supply chain using the CMRT. However, tracing these minerals to their sources is a challenge that requires the Company to rely on its direct suppliers in its efforts to achieve supply chain transparency, including obtaining information regarding the origin of the necessary Conflict Minerals. The information provided by suppliers or third-party consultants or auditors may be inaccurate or incomplete or subject to other irregularities. In addition, because of the Company’s relative location within the supply chain in relation to the actual extraction and transport of Conflict Minerals, its ability to verify the accuracy of information reported by suppliers is limited. Accordingly, the Company can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary Conflict Minerals in the Covered Products.



4



Cautionary Note on Forward-Looking Statements

Forward-looking statements in this Report are made pursuant to the safe harbor provisions of Section 21E of the Securities Exchange Act of 1934, as amended, and other federal securities laws. Investors are cautioned that statements in this Report that are not strictly historical statements, including without limitation, the Company’s intentions and expectations regarding further supplier engagement, future supplier audits, future due diligence and risk mitigation efforts and strategy, constitute forward-looking statements that involve risks and uncertainties. Words such as “expects,” ”anticipates,” “targets,” “goals,” “projects,” ”intends,” “plans,” “believes,” “seeks,” “estimates,” “evaluates,” variations of these words, and similar expressions are intended to identify such forward-looking statements. Actual results could differ materially from the forward-looking statements. Risks and uncertainties that could cause actual results to differ include, without limitation, risks and uncertainties associated with the progress of industry and other supply chain transparency and smelter or refiner validation programs for Conflict Minerals (including the possibility of inaccurate information, fraud and other irregularities), inadequate supplier education and knowledge, limitations on the ability or willingness of suppliers to provide more accurate, complete and detailed information and limitations on the Company’s ability to verify the accuracy or completeness of any supply chain information provided by suppliers or others.

The Company has provided information as of the date of this Report. Subsequent events, such as the inability or unwillingness of any of our suppliers, smelters or refiners to comply with Omnicell’s Policy, may affect its future determinations under the Rule. In addition, the Company’s due diligence and reporting obligations under the Rule may change in the future and its ability to implement certain processes or obtain information from its suppliers may differ materially from those anticipated or implied in this Report.











5



Appendix 1

Based on the information that was provided by the Company’s suppliers, the Company believes that, to the extent reasonably determinable by the Company, the facilities that may have been used to process the necessary Conflict Minerals contained in the Covered Products included the smelters and refiners identified below. However, as noted above, where the Company’s suppliers provided information on a division- or company-wide basis regarding all Conflict Minerals used in every component and product they manufacture rather than responses specific to the types of products and components supplied to the Company for use in the Covered Products, the smelters and refiners reported to the Company by those suppliers may not actually have been used to process the necessary Conflict Minerals in the Covered Products.

Mineral
Smelter or refiner ID
Smelter or refiner name
CFSI-compliant ("Active"=in audit)
Location of smelter or refiner
Tungsten
CID000004
A.L.M.T. TUNGSTEN Corp.
Yes
JAPAN
Tungsten
CID002833
ACL Metais Eireli
Active
BRAZIL
Gold
CID000015
Advanced Chemical Company
Yes
UNITED STATES OF AMERICA
Gold
CID000019
Aida Chemical Industries Co. Ltd.
Yes
JAPAN
N/A
 
Air Liquide Far Eastern Ltd.
No
TAIWAN
Gold
CID002560
Al Etihad Gold Refinery DMCC
Yes
UNITED ARAB EMIRATES
Gold
CID000035
Allgemeine Gold-und Silberscheideanstalt A.G.
Yes
GERMANY
Gold
CID000041
Almalyk Mining and Metallurgical Complex (AMMC)
Yes
UZBEKISTAN
Tin
CID000292
Alpha
Yes
UNITED STATES OF AMERICA
Tungsten
CID000045
Alta Group
No
UNITED STATES OF
AMERICA
Tin
CID002825
An Thai Minerals Co., Ltd.
No
VIET NAM
Tin
CID002703
An Vinh Joint Stock Mineral Processing Company
No
VIET NAM
Gold
CID000058
AngloGold Ashanti Córrego do Sítio Mineração
Yes
BRAZIL
Gold
CID000077
Argor-Heraeus S.A.
Yes
SWITZERLAND
Gold
CID000082
Asahi Pretec Corp.
Yes
JAPAN
Gold
CID000924
Asahi Refining Canada Limited
Yes
CANADA
Gold
CID000920
Asahi Refining USA Inc.
Yes
UNITED STATES OF AMERICA
Gold
CID000090
Asaka Riken Co Ltd
Yes
JAPAN
Tungsten
CID002502
Asia Tungsten Products Vietnam Ltd.
Yes
VIET NAM
Gold
CID000103
ATAkulche
No
TURKEY
Tungsten
CID000105
ATI Metalworking Products
Yes
UNITED STATES OF AMERICA
Tungsten
4USA001
ATI Tungsten Materials
No
UNITED STATES OF AMERICA
Tungsten
CID000109
Atlantic Metals
No
UNITED STATES OF AMERICA

6



Gold
CID002851
AURA-II
No
UNITED STATES OF AMERICA
Gold
CID000113
Aurubis AG
Yes
GERMANY
Gold
CID002863
Bangalore Refinery
Active
INDIA
Gold
CID000128
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Yes
PHILIPPINES
Gold
CID000141
Bauer Walser AG
No
GERMANY
Tungsten
CID000149
Beijing Zenith Materials
No
CHINA
Gold
CID000157
Boliden AB
Yes
SWEDEN
Gold
CID000176
C. Hafner GmbH + Co. KG
Yes
GERMANY
Gold
CID000180
Caridad
No
MEXICO
Gold
CID000185
CCR Refinery - Glencore Canada Corporation
Yes
CANADA
Gold
CID000189
Cendres + Métaux S.A.
Active
SWITZERLAND
Tungsten
CID000206
ChangChun up-optech
No
CHINA
Tantalum
CID000211
Changsha South Tantalum Niobium Co., Ltd.
Yes
CHINA
Tungsten
4CHN002
Chaozhou Xianglu Tungsten Industry Co Ltd
No
N/A
Tungsten
CID002513
Chenzhou Diamond Tungsten Products Co., Ltd.
Yes
CHINA
Tin
CID000228
Chenzhou Yun Xiang mining limited liability company
Yes
CHINA
Gold
CID000233
Chimet S.p.A.
Yes
ITALY
Tungsten
CID000239
China Minmetals Nonferrous Metals Co Ltd
No
CHINA
Tin
CID000244
China Rare Metal Materials Company
Yes
CHINA
Tin
CID001070
China Tin Group Co., Ltd.
Yes
CHINA
Tungsten
CID000258
Chongyi Zhangyuan Tungsten Co., Ltd.
Yes
CHINA
Gold
CID000264
Chugai Mining
No
JAPAN
Tin
CID000278
CNMC (Guangxi) PGMA Co. Ltd.
No
CHINA
Gold
1CHL014
Codelco
No
CHILE
Tantalum
CID000291
Conghua Tantalum and Niobium Smeltry
Yes
CHINA
Tin
2USA001
Cookson
No
UNITED STATES OF AMERICA
Tin
CID000295
Cooper Santa
Yes
BRAZIL
Tin
CID002570
CV Ayi Jaya
Yes
INDONESIA
Tin
CID002592
CV Dua Sekawan
Yes
INDONESIA
Tin
2IDN003
CV Duta Putra Bangka
No
INDONESIA
Tin
CID000306
CV Gita Pesona
Yes
INDONESIA
Tin
CID000307
CV JusTindo
No
INDONESIA
Tin
CID000308
CV Makmur Jaya
No
INDONESIA
Tin
CID000309
CV Nurjanah
Yes
INDONESIA
Tin
CID000313
CV Serumpun Sebalai
Yes
INDONESIA
Tin
CID002593
CV Tiga Sekawan
Yes
INDONESIA
Tin
CID000315
CV United Smelting
Yes
INDONESIA
Tin
CID002455
CV Venus Inti Perkasa
Yes
INDONESIA
Tantalum
CID002504
D Block Metals, LLC
Yes
UNITED STATES OF AMERICA
Gold
CID000328
Daejin Indus Co. Ltd
Yes
KOREA, REPUBLIC OF
Gold
CID000333
DaeryongENC
No
KOREA, REPUBLIC OF
Gold
CID000343
Daye Non-Ferrous Metals Mining Ltd.
No
CHINA
Tungsten
CID002518
Dayu Jincheng Tungsten Industry Co., Ltd.
No
CHINA

7



Tungsten
CID000345
Dayu Weiliang Tungsten Co., Ltd.
No
CHINA
Gold
CID000359
Do Sung Corporation
Yes
KOREA, REPUBLIC OF
Gold
CID000362
Doduco
Yes
GERMANY
Gold
CID000401
Dowa
Yes
JAPAN
Tin
CID000402
Dowa
Yes
JAPAN
Tantalum
CID000410
Duoluoshan
Yes
CHINA
Tantalum
CID002590
E.S.R. Electronics
No
UNITED STATES OF AMERICA
Gold
CID000425
Eco-System Recycling Co., Ltd.
Yes
JAPAN
Tin
CID002572
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
Active
VIET NAM
Gold
CID001322
Elemetal Refining, LLC
No
UNITED STATES OF AMERICA
Tin
CID002774
Elmet S.L.U.
Yes
SPAIN
Tin
CID000438
EM Vinto
Yes
BOLIVIA (PLURINATIONAL STATE OF)
Gold
CID002561
Emirates Gold DMCC
Yes
UNITED ARAB EMIRATES
Tin
CID000448
Estanho de Rondônia S.A.
No
BRAZIL
Tantalum
CID000456
Exotech Inc.
Yes
UNITED STATES OF AMERICA
Tantalum
CID000460
F&X
Yes
CHINA
Gold
CID002355
Faggi Enrico S.p.A.
No
ITALY
Tin
CID000466
Feinhütte Halsbrücke GmbH
No
GERMANY
Tin
CID000468
Fenix Metals
Yes
POLAND
Gold
CID002515
Fidelity Printers and Refiners Ltd.
No
ZIMBABWE
Tantalum
CID002505
FIR Metals & Resource Ltd.
Yes
CHINA
Gold
CID000493
FSE Novosibirsk Refinery
Yes
RUSSIAN FEDERATION
Tungsten
CID000499
Fujian Jinxin Tungsten Co., Ltd.
Yes
CHINA
Gold
CID000522
Gansu Seemine Material Hi-Tech Co Ltd
No
CHINA
Tungsten
CID002531
Ganxian Shirui New Material Co., Ltd.
No
CHINA
Tungsten
CID000524
Ganzhou Grand Sea W & Mo Group Co Ltd
No
CHINA
Tungsten
CID000875
Ganzhou Huaxing Tungsten Products Co., Ltd.
Yes
CHINA
Tungsten
CID002315
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
Yes
CHINA
Tungsten
CID000868
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
No
CHINA
Tungsten
CID002494
Ganzhou Seadragon W & Mo Co., Ltd.
Yes
CHINA
Tungsten
CID002536
Ganzhou Yatai Tungsten Co., Ltd.
No
CHINA
Gold
CID002459
Geib Refining Corporation
Yes
UNITED STATES OF AMERICA
Tin
CID002848
Gejiu Fengming Metallurgy Chemical Plant
Yes
CHINA
Tin
CID002859
Gejiu Jinye Mineral Company
Yes
CHINA
Tin
CID000942
Gejiu Kai Meng Industry and Trade LLC
Active
CHINA
Tin
CID000538
Gejiu Non-Ferrous Metal Processing Co. Ltd.
Yes
CHINA
Tin
CID001908
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
Active
CHINA
Tin
CID000555
Gejiu Zi-Li
No
CHINA
Tantalum
CID000564
Global Advanced Metals
No
UNITED STATES OF AMERICA
Tantalum
CID002558
Global Advanced Metals Aizu
Yes
JAPAN

8



Tantalum
CID002557
Global Advanced Metals Boyertown
Yes
UNITED STATES OF AMERICA
Tungsten
CID000568
Global Tungsten & Powders Corp.
Yes
UNITED STATES OF AMERICA
Gold, Tin
2CHN013
Gold Bell Group
No
CHINA
Gold
CID001909
Great Wall Precious Metals Co., Ltd. of CBPM
No
CHINA
Gold
CID002312
Guangdong Gaoyao Co
No
CHINA
Tungsten
CID000218
Guangdong Xianglu Tungsten Co., Ltd.
Yes
CHINA
Tantalum
CID000616
Guangdong Zhiyuan New Material Co., Ltd.
Yes
CHINA
Tin
CID002849
Guanyang Guida Nonferrous Metal Smelting Plant
Yes
CHINA
Tantalum
CID002501
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
No
CHINA
Gold
CID000651
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
No
CHINA
Tantalum
CID002544
H.C. Starck Co., Ltd.
Yes
THAILAND
Tungsten
CID002541
H.C. Starck GmbH
Yes
GERMANY
Tantalum
CID002545
H.C. Starck GmbH Goslar
Yes
GERMANY
Tantalum
CID002546
H.C. Starck GmbH Laufenburg
No
GERMANY
Tantalum
CID000654
H.C. Starck Group
No
GERMANY
Tantalum
CID002547
H.C. Starck Hermsdorf GmbH
Yes
GERMANY
Tantalum
CID002548
H.C. Starck Inc.
Yes
UNITED STATES OF AMERICA
Tantalum
CID002549
H.C. Starck Ltd.
Yes
JAPAN
Tantalum
CID002550
H.C. Starck Smelting GmbH & Co. KG
Yes
GERMANY
Tungsten
CID002542
H.C. Starck Smelting GmbH & Co.KG
Yes
GERMANY
Gold
CID000671
Hangzhou Fuchunjiang Smelting Co., Ltd.
No
CHINA
Tantalum
CID000683
HC Starck GmbH
No
GERMANY
Gold
CID000694
Heimerle + Meule GmbH
Yes
GERMANY
Tantalum
CID002492
Hengyang King Xing Lifeng New Materials Co., Ltd.
Yes
CHINA
Gold
CID000707
Heraeus Ltd. Hong Kong
Yes
CHINA
Gold
CID000711
Heraeus Precious Metals GmbH & Co. KG
Yes
GERMANY
Gold
1CHN065
Heraeus Zhaoyuan Changshu Electronic Material Co., Ltd.
No
CHINA
Tantalum
CID000731
Hi-Temp
Yes
UNITED STATES OF AMERICA
Tin
CID002844
HuiChang Hill Tin Industry Co., Ltd.
Yes
CHINA
Tin
CID000760
Huichang Jinshunda Tin Co. Ltd
Active
CHINA
Tin
2CHN052
Huichang Shun Tin Kam Industries Ltd.
No
CHINA
Tungsten
CID000766
Hunan Chenzhou Mining Co., Ltd.
Yes
CHINA
Tungsten
CID000767
Hunan Chenzhou Mining Co., Ltd.
No
CHINA
Tungsten
CID002579
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
Yes
CHINA
Tungsten
CID002578
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
No
CHINA
Tungsten
CID000769
Hunan Chunchang Nonferrous Metals Co., Ltd.
Yes
CHINA
Tungsten
4CHN023
Hunan Chun-chang Non-ferrous Smelting & Concentrating Co., Ltd.
No
CHINA
Gold
CID000778
Hwasung CJ Co. Ltd
No
KOREA, REPUBLIC OF
Tungsten
CID002649
Hydrometallurg, JSC
Yes
RUSSIAN FEDERATION

9



Gold
CID000801
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
Yes
CHINA
Gold
CID000807
Ishifuku Metal Industry Co., Ltd.
Yes
JAPAN
Gold
CID000814
Istanbul Gold Refinery
Yes
TURKEY
Gold
CID000823
Japan Mint
Yes
JAPAN
Tungsten
CID000825
Japan New Metals Co., Ltd.
Yes
JAPAN
Tungsten
CID002551
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
Yes
CHINA
Gold
CID000855
Jiangxi Copper Co., Ltd.
Yes
CHINA
Tungsten
CID002647
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
No
CHINA
Tantalum
CID002512
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
Yes
CHINA
Tungsten
CID002321
Jiangxi Gan Bei Tungsten Co., Ltd.
Yes
CHINA
Tungsten
CID002313
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
No
CHINA
Tin
CID000864
Jiangxi Nanshan
No
CHINA
Tin
CID001231
Jiangxi Nanshan
Active
CHINA
Tungsten
4CHN009
Jiangxi Rare Earth & Rare Metals Tungsten Group Corp
No
CHINA
Tungsten
CID002318
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
Yes
CHINA
Tantalum
CID002842
Jiangxi Tuohong New Raw Material
Yes
CHINA
Tungsten
CID002317
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Yes
CHINA
Tungsten
CID002535
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
Yes
CHINA
Tungsten
CID002316
Jiangxi Yaosheng Tungsten Co., Ltd.
Yes
CHINA
Tantalum
CID000914
JiuJiang JinXin Nonferrous Metals Co., Ltd.
Yes
CHINA
Tantalum
CID000917
Jiujiang Tanbre Co., Ltd.
Yes
CHINA
Tantalum
CID002506
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
Yes
CHINA
Gold
1USA025
Johnson Matthey Inc
No
UNITED STATES OF AMERICA
Gold
1CAN024
Johnson Matthey Limited
No
CANADA
Gold
CID000927
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Yes
RUSSIAN FEDERATION
Gold
CID000929
JSC Uralelectromed
Yes
RUSSIAN FEDERATION
Gold
CID000937
JX Nippon Mining & Metals Co., Ltd.
Yes
JAPAN
Gold
CID002563
Kaloti Precious Metals
No
UNITED ARAB EMIRATES
Gold
CID000956
Kazakhmys Smelting LLC
No
KAZAKHSTAN
Gold
CID000957
Kazzinc
Yes
KAZAKHSTAN
Tantalum
CID002539
KEMET Blue Metals
Yes
MEXICO
Tantalum
CID002568
KEMET Blue Powder
Yes
UNITED STATES OF AMERICA
Tungsten
CID000966
Kennametal Fallon
Yes
UNITED STATES OF AMERICA
Gold
CID000969
Kennecott Utah Copper LLC
Yes
UNITED STATES OF AMERICA
Gold
CID002511
KGHM Polska MiedŸ Spó³ka Akcyjna
Active
POLAND
Tantalum
CID000973
King-Tan Tantalum Industry Ltd
Yes
CHINA
Gold
CID000981
Kojima Chemicals Co., Ltd
Yes
JAPAN
Gold
CID000988
Korea Metal Co. Ltd
No
KOREA, REPUBLIC OF

10



Gold
CID002605
Korea Zinc Co., Ltd.
Yes
KOREA, REPUBLIC OF
Gold
CID001029
Kyrgyzaltyn JSC
Yes
KYRGYZSTAN
Gold
CID001032
L' azurde Company For Jewelry
No
SAUDI ARABIA
Gold
CID001056
Lingbao Gold Co., Ltd.
No
CHINA
Gold
CID001058
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
No
CHINA
Tin
CID001063
Linwu Xianggui Ore Smelting Co., Ltd.
No
CHINA
Tin
2CHN015
Liuzhou China Tin
No
CHINA
Tantalum
CID001076
LSM Brasil S.A.
Yes
BRAZIL
Gold
CID001078
LS-NIKKO Copper Inc.
Yes
KOREA, REPUBLIC OF
Gold
CID001093
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
No
CHINA
Tin
CID002468
Magnu's Minerais Metais e Ligas LTDA
Yes
BRAZIL
Tin
CID001105
Malaysia Smelting Corp
Yes
MALAYSIA
Tungsten
CID002319
Malipo Haiyu Tungsten Co., Ltd.
Yes
CHINA
Gold
CID001113
Materion
Yes
UNITED STATES OF AMERICA
Gold
CID001119
Matsuda Sangyo Co., Ltd.
Yes
JAPAN
Tin
CID002500
Melt Metais e Ligas S.A.
Yes
BRAZIL
Tin
CID001142
Metallic Resources, Inc.
Yes
UNITED STATES OF AMERICA
Tin
CID001143
Metallo Chimique
No
BELGIUM
Tin
CID002773
Metallo-Chimique N.V.
Yes
BELGIUM
Tantalum
CID001163
Metallurgical Products India (Pvt.) Ltd.
Yes
INDIA
Gold
CID001149
Metalor Technologies (Hong Kong) Ltd
Yes
CHINA
Gold
CID001152
Metalor Technologies (Singapore) Pte. Ltd.
Yes
SINGAPORE
Gold
CID001147
Metalor Technologies (Suzhou) Ltd.
Yes
CHINA
Gold
CID001153
Metalor Technologies S.A.
Yes
SWITZERLAND
Gold
CID001157
Metalor USA Refining Corporation
Yes
UNITED STATES OF AMERICA
Gold
CID001161
Metalúrgica Met-Mex Peñoles S.A. De C.V.
Yes
MEXICO
Tin
CID001173
Mineração Taboca S.A.
Yes
BRAZIL
Tantalum
CID001175
Mineração Taboca S.A.
Yes
BRAZIL
Tin
CID001179
Minmetals Ganzhou Tin Co. Ltd.
No
CHINA
Tin
CID001182
Minsur
Yes
PERU
Gold
CID001188
Mitsubishi Materials Corporation
Yes
JAPAN
Tin
CID001191
Mitsubishi Materials Corporation
Yes
JAPAN
Tantalum
CID001192
Mitsui Mining & Smelting
Yes
JAPAN
Gold
CID001193
Mitsui Mining and Smelting Co., Ltd.
Yes
JAPAN
Gold
CID002509
MMTC-PAMP India Pvt., Ltd.
Yes
INDIA
Gold
CID002857
Modeltech Sdn Bhd
Active
MALAYSIA
Tin
CID002858
Modeltech Sdn Bhd
Active
MALAYSIA
Tungsten
CID002845
Moliren Ltd
Yes
RUSSIAN FEDERATION
Tantalum
CID001200
Molycorp Silmet A.S.
Yes
ESTONIA
Gold
CID002282
Morris and Watson
No
NEW ZEALAND
Gold
CID001204
Moscow Special Alloys Processing Plant
Yes
RUSSIAN FEDERATION
Gold
CID001220
Nadir Metal Rafineri San. Ve Tic. A.ª.
Yes
TURKEY
Gold
CID001228
Nanchang Cemented Carbide Limited Liability Company
No
CHINA
Gold
CID001236
Navoi Mining and Metallurgical Combinat
Active
UZBEKISTAN

11



Tin
CID002573
Nghe Tinh Non-Ferrous Metals Joint Stock Company
No
VIET NAM
Tungsten
CID002589
Niagara Refining LLC
Yes
UNITED STATES OF AMERICA
Gold
CID001259
Nihon Material Co. LTD
Yes
JAPAN
Tantalum
CID001277
Ningxia Orient Tantalum Industry Co., Ltd.
Yes
CHINA
Tin
CID001305
Novosibirsk Integrated Tin Works
No
RUSSIA
Tungsten
CID002543
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Yes
VIET NAM
Tin
CID001314
O.M. Manufacturing (Thailand) Co., Ltd.
Yes
THAILAND
Tin
CID002517
O.M. Manufacturing Philippines, Inc.
Yes
PHILIPPINES
Gold
CID002779
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
Yes
AUSTRIA
Gold
1USA043
Ohio Precious Metals
No
UNITED STATES OF AMERICA
Gold
CID001325
Ohura Precious Metal Industry Co., Ltd
Yes
JAPAN
Gold
CID001326
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
Yes
RUSSIAN FEDERATION
Gold
CID001328
OJSC Kolyma Refinery
No
RUSSIAN FEDERATION
Tin
CID001337
OMSA
Yes
BOLIVIA (PLURINATIONAL STATE OF)
Gold
CID001352
PAMP S.A.
Yes
SWITZERLAND
Gold
1JPN080
Pan Pacific Copper Co. LTD
No
JAPAN
Gold
CID001362
Penglai Penggang Gold Industry Co., Ltd.
No
CHINA
Tungsten
CID002827
Philippine Chuangxin Industrial Co., Inc.
Yes
PHILIPPINES
Tin
CID002507
Phoenix Metal Ltd.
No
RWANDA
Tantalum
CID001368
Plansee
No
AUSTRIA
Tantalum
CID002540
Plansee SE Liezen
No
AUSTRIA
Tantalum
CID002556
Plansee SE Reutte
No
AUSTRIA
Tungsten
CID002532
Pobedit, JSC
No
RUSSIAN FEDERATION
Tantalum
CID002847
Power Resources Ltd.
Yes
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
Gold
CID001386
Prioksky Plant of Non-Ferrous Metals
Yes
RUSSIAN FEDERATION
Tin
CID001393
PT Alam Lestari Kencana
No
INDONESIA
Gold
CID001397
PT Aneka Tambang (Persero) Tbk
Yes
INDONESIA
Tin
CID001399
PT Artha Cipta Langgeng
Yes
INDONESIA
Tin
CID002503
PT ATD Makmur Mandiri Jaya
Yes
INDONESIA
Tin
CID001402
PT Babel Inti Perkasa
Yes
INDONESIA
Tin
CID001406
PT Babel Surya Alam Lestari
No
INDONESIA
Tin
CID001409
PT Bangka Kudai Tin
No
INDONESIA
Tin
CID002776
PT Bangka Prima Tin
Yes
INDONESIA
Tin
CID001412
PT Bangka Putra Karya
No
INDONESIA
Tin
CID001416
PT Bangka Timah Utama Sejahtera
No
INDONESIA
Tin
CID001419
PT Bangka Tin Industry
Yes
INDONESIA
Tin
CID001421
PT Belitung Industri Sejahtera
Yes
INDONESIA
Tin
CID001424
PT BilliTin Makmur Lestari
No
INDONESIA
Tin
CID001428
PT Bukit Timah
Yes
INDONESIA
Tin
CID002696
PT Cipta Persada Mulia
No
INDONESIA
Tin
CID001434
PT DS Jaya Abadi
Yes
INDONESIA
Tin
CID001438
PT Eunindo Usaha Mandiri
Yes
INDONESIA
Tin
CID001442
PT Fang Di MulTindo
No
INDONESIA

12



Tin
CID001445
PT HP Metals Indonesia
No
INDONESIA
Tin
CID002530
PT Inti Stania Prima
Yes
INDONESIA
Tin
CID001448
PT Karimun Mining
Yes
INDONESIA
Tin
CID002829
PT Kijang Jaya Mandiri
Yes
INDONESIA
Tin
CID001449
PT Koba Tin
No
INDONESIA
Tin
CID001453
PT Mitra Stania Prima
Yes
INDONESIA
Tin
CID002757
PT O.M. Indonesia
Yes
INDONESIA
Tin
CID001457
PT Panca Mega Persada
Yes
INDONESIA
Tin
CID001486
PT Pelat Timah Nusantara Tbk
No
INDONESIA
Tin
CID001458
PT Prima Timah Utama
Yes
INDONESIA
Tin
CID001460
PT Refined Bangka Tin
Yes
INDONESIA
Tin
CID001463
PT Sariwiguna Binasentosa
Yes
INDONESIA
Tin
CID001466
PT Seirama Tin Investment
No
INDONESIA
Tin
CID001468
PT Stanindo Inti Perkasa
Yes
INDONESIA
Tin
CID002816
PT Sukses Inti Makmur
Yes
INDONESIA
Tin
CID001471
PT Sumber Jaya Indah
Yes
INDONESIA
Tin
CID001477
PT Tambang Timah
Yes
INDONESIA
Tin
CID001482
PT Timah
Yes
INDONESIA
Tin
2IDN043
PT Timah Nusantara
No
INDONESIA
Tin
CID001490
PT Tinindo Inter Nusa
Yes
INDONESIA
Tin
CID002478
PT Tirus Putra Mandiri
No
INDONESIA
Tin
CID001493
PT Tommy Utama
Yes
INDONESIA
Tin
CID002479
PT Wahana Perkit Jaya
No
INDONESIA
Tin
CID001494
PT Yinchendo Mining Industry
No
INDONESIA
Gold
CID001498
PX Précinox S.A.
Yes
SWITZERLAND
Tantalum
CID001508
QuantumClean
Yes
UNITED STATES OF AMERICA
Gold
CID001512
Rand Refinery (Pty) Ltd
Yes
SOUTH AFRICA
Gold
CID002582
Remondis Argentia B.V.
No
NETHERLANDS
Gold
CID002510
Republic Metals Corporation
Yes
UNITED STATES OF AMERICA
Tin
CID002706
Resind Indústria e Comércio Ltda.
Yes
BRAZIL
Tantalum
CID002707
Resind Indústria e Comércio Ltda.
Yes
BRAZIL
Tantalum
CID001522
RFH
Yes
CHINA
Gold
CID001534
Royal Canadian Mint
Yes
CANADA
Tin
CID001539
Rui Da Hung
Yes
TAIWAN, PROVINCE OF CHINA
Gold
CID002761
SAAMP
No
FRANCE
Gold
CID001546
Sabin Metal Corp.
No
UNITED STATES OF AMERICA
Gold
CID002290
SAFINA A.S.
Active
CZECH REPUBLIC
Gold
CID001555
Samduck Precious Metals
Yes
KOREA, REPUBLIC OF
Gold
CID001562
SAMWON Metals Corp.
No
KOREA, REPUBLIC OF
Tungsten
CID002538
Sanher Tungsten Vietnam Co., Ltd.
No
VIET NAM
Gold
CID002777
SAXONIA Edelmetalle GmbH
Yes
GERMANY
Gold
CID001573
Schone Edelmetaal
Yes
NETHERLANDS
Gold
CID001585
SEMPSA Joyería Platería S.A.
Yes
SPAIN
Gold
CID001619
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
No
CHINA
Gold
CID001622
Shandong Zhaojin Gold & Silver Refinery Co. Ltd
Yes
CHINA

13



Gold
CID001631
Shanghai Gold Exchange
No
CHINA
Tantalum
CID001634
Shanghai Jiangxi Metals Co. Ltd
No
CHINA
Gold
CID001736
Sichuan Tianze Precious Metals Co., Ltd.
Yes
CHINA
Gold
CID002516
Singway Technology Co., Ltd.
Yes
TAIWAN, PROVINCE OF CHINA
Tin
CID001136
Metahub Industries Sdn. Bhd
No
MALAYSIA
Gold
CID001754
So Accurate Group, Inc.
No
UNITED STATES OF AMERICA
Gold
CID001756
SOE Shyolkovsky Factory of Secondary Precious Metals
Yes
RUSSIAN FEDERATION
Tin
CID001758
Soft Metais Ltda.
Yes
BRAZIL
Gold
CID001761
Solar Applied Materials Technology Corp.
Yes
TAIWAN, PROVINCE OF CHINA
Tantalum
CID001769
Solikamsk Magnesium Works OAO
Yes
RUSSIAN FEDERATION
Tungsten
CID002815
South-East Nonferrous Metal Company Limited of Hengyang City
Yes
CHINA
Gold
CID002567
Sudan Gold Refinery
No
SUDAN
Gold
CID001798
Sumitomo Metal Mining Co., Ltd.
Yes
JAPAN
Gold
CID002580
T.C.A S.p.A
Yes
ITALY
Tantalum
CID001869
Taki Chemicals
Yes
JAPAN
Gold
CID001875
Tanaka Kikinzoku Kogyo K.K
Yes
JAPAN
Tungsten
CID001889
Tejing (Vietnam) Tungsten Co., Ltd.
Yes
VIET NAM
Tantalum
CID001891
Telex
Yes
UNITED STATES OF AMERICA
Tin
CID001898
Thaisarco
Yes
THAILAND
Gold
CID001916
The Refinery of Shandong Gold Mining Co. Ltd
Yes
CHINA
Gold
CID001938
Tokuriki Honten Co., Ltd
Yes
JAPAN
Gold
CID001947
Tongling Nonferrous Metals Group Co., Ltd.
No
CHINA
Gold
CID002587
Tony Goetz NV
Active
BELGIUM
Gold
CID001955
Torecom
Yes
KOREA, PEOPLE’S REPUBLIC OF
Tantalum
CID002571
Tranzact, Inc.
Yes
UNITED STATES OF AMERICA
Tin
CID002574
Tuyen Quang Non-Ferrous Metals Joint Stock Company
No
VIET NAM
Tantalum
CID001969
Ulba
Yes
KAZAKHSTAN
Gold
CID001977
Umicore Brasil Ltda
Yes
BRAZIL
Gold
CID002314
Umicore Precious Metals Thailand
Yes
THAILAND
Gold
CID001980
Umicore S.A. Business Unit Precious Metals Refining
Yes
BELGIUM
Tungsten
CID002724
Unecha Refractory metals plant
Yes
RUSSIAN FEDERATION
Gold
CID001993
United Precious Metal Refining, Inc.
Yes
UNITED STATES OF AMERICA
Gold
CID002003
Valcambi S.A.
Yes
SWITZERLAND
Tungsten
CID002011
Vietnam Youngsun Tungsten Industry Co., Ltd
Yes
VIET NAM
Tin
CID002015
VQB Mineral and Trading Group JSC
Yes
VIET NAM
Gold
CID002030
Western Australian Mint trading as The Perth Mint
Yes
AUSTRALIA
Tin
CID002036
White Solder Metalurgia e Mineração Ltda.
Yes
BRAZIL
Gold
CID002778
WIELAND Edelmetalle GmbH
Yes
GERMANY
Tungsten
CID002044
Wolfram Bergbau und Hütten AG
Yes
AUSTRIA

14



Tungsten
CID002047
Wolfram Company CJSC
No
RUSSIAN FEDERATION
Tungsten
CID002843
Woltech Korea Co., Ltd.
Yes
KOREA, PEOPLE’S REPUBLIC OF
Tungsten
CID002320
Xiamen Tungsten (H.C.) Co., Ltd.
Yes
CHINA
Tungsten
CID002082
Xiamen Tungsten Co., Ltd.
Yes
CHINA
Tungsten
CID002830
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
Yes
CHINA
Tungsten
CID002095
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
Yes
CHINA
Tantalum
CID002508
XinXing HaoRong Electronic Material Co., Ltd.
Yes
CHINA
Gold
1CAN064
Xstrata Canada Corporation
No
CANADA
Gold
CID002100
Yamamoto Precious Metal Co., Ltd.
Yes
JAPAN
Tantalum
CID002307
Yichun Jin Yang Rare Metal Co., Ltd
Yes
CHINA
Gold
CID002129
Yokohama Metal Co Ltd
Yes
JAPAN
Tin
CID002158
Yunnan Chengfeng
Active
CHINA
Gold
CID000197
Yunnan Copper Industry Co Ltd
No
CHINA
Tin
CID002180
Yunnan Tin Company Group Limited
Yes
CHINA
Gold
CID002224
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
Yes
CHINA
Tantalum
CID002232
Zhuzhou Cement Carbide
Yes
CHINA
Tungsten
CID002236
Zhuzhou Cemented Carbide Group Co Ltd
No
CHINA
Gold
CID002243
Zijin Mining Group Co. Ltd
Yes
CHINA








15