<SEC-DOCUMENT>0001193125-16-608443.txt : 20160531
<SEC-HEADER>0001193125-16-608443.hdr.sgml : 20160531
<ACCEPTANCE-DATETIME>20160531163135
ACCESSION NUMBER:		0001193125-16-608443
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		2
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20151231
</ITEM>
<ITEM>
<ITEM-NUMBER>1.02
<ITEM-PERIOD>20151231
</ITEM>
</RULE>
FILED AS OF DATE:		20160531
DATE AS OF CHANGE:		20160531

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			LAM RESEARCH CORP
		CENTRAL INDEX KEY:			0000707549
		STANDARD INDUSTRIAL CLASSIFICATION:	SPECIAL INDUSTRY MACHINERY, NEC [3559]
		IRS NUMBER:				942634797
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			0630

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-12933
		FILM NUMBER:		161686285

	BUSINESS ADDRESS:	
		STREET 1:		4650 CUSHING BLVD
		CITY:			FREMONT
		STATE:			CA
		ZIP:			94538
		BUSINESS PHONE:		5106590200

	MAIL ADDRESS:	
		STREET 1:		4650 CUSHING PARKWAY
		CITY:			FREMONT
		STATE:			CA
		ZIP:			94538
</SEC-HEADER>
<DOCUMENT>
<TYPE>SD
<SEQUENCE>1
<FILENAME>d201424dsd.htm
<DESCRIPTION>FORM SD
<TEXT>
<HTML><HEAD>
<TITLE>Form SD</TITLE>
</HEAD>
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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM SD
</B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>SPECIALIZED DISCLOSURE REPORT </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>LAM RESEARCH
CORPORATION </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of registrant as specified in its charter) </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:8pt" ALIGN="center">


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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>0-12933</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>94-2634797</B></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:8pt">
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or other jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of incorporation)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(I.R.S. Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>4650 Cushing Parkway </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Fremont, California 94538 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Address of principal executive offices, including zip code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Douglas R. Bettinger </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Executive Vice President and Chief Financial Officer </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(510) 572-0200 </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Name and
telephone number, including area code, of the person </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>to contact in connection with this report) </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#120;</FONT></TD>
<TD ALIGN="left" VALIGN="top">Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January&nbsp;1 to December&nbsp;31, 2015. </TD></TR></TABLE>
<P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P> <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>

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<HR  SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">

 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Section&nbsp;1 &#150; Conflict Minerals Disclosure </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;1.01. Conflict Minerals Disclosure and Report. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Conflict Minerals Disclosure </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Lam Research Corporation
(the &#147;Company&#148;) conducted in good faith a reasonable country of origin inquiry regarding the conflict minerals (as defined in Form SD) that are necessary to the functionality or production of a product that the Company manufactured or
contracted to have manufactured in calendar year 2015 (the &#147;Covered Minerals&#148;). The inquiry was reasonably designed to determine if the Covered Minerals originated in the Democratic Republic of the Congo or an adjoining country or are from
recycled or scrap sources. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Company has determined that it is required to file, and has filed, a Conflict Minerals Report as Exhibit 1.01 to this Form
SD. The Conflict Minerals Report is also publicly available at <U>http://investor.lamresearch.com/sec.cfm</U>. The content on any web site referred to in this Form SD is not incorporated by reference into this Form SD unless expressly noted. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;1.02. Exhibit. </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Company&#146;s Conflict
Mineral Report is included as Exhibit 1.01 to this report. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Section&nbsp;2 &#150; Exhibits </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;2.01. Exhibits. </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:8pt" ALIGN="center">


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<TD WIDTH="92%"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; width:28.45pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Exhibit<BR>Number</B></P></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; width:39.50pt; font-size:8pt; font-family:Times New Roman"><B>Description</B></P></TD></TR>


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<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>1.01</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Conflict Minerals Report of Lam Research Corporation.</TD></TR>
</TABLE>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">2 </P>


<p Style='page-break-before:always'>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURES </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Date: May&nbsp;31, 2016 </P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><DIV ALIGN="right">
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<TD VALIGN="top" COLSPAN="5"><B>L<SMALL>AM</SMALL> R<SMALL>ESEARCH</SMALL> C<SMALL>ORPORATION</SMALL></B></TD></TR>
<TR STYLE="font-size:1pt">
<TD HEIGHT="16"></TD>
<TD HEIGHT="16" COLSPAN="4"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">By:</TD>
<TD VALIGN="bottom" STYLE="BORDER-BOTTOM:1px solid #000000">&nbsp;</TD>
<TD VALIGN="top" COLSPAN="3" STYLE="BORDER-BOTTOM:1px solid #000000">/s/ Sarah A. O&#146;Dowd</TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom">Name:</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom">Sarah A. O&#146;Dowd</TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Title:</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom">Senior Vice President, Chief Legal Officer and Secretary</TD></TR>
</TABLE></DIV>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">3 </P>


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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>EXHIBIT INDEX </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="92%"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; width:25.30pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Exhibit<BR>No.</B></P></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; width:39.50pt; font-size:8pt; font-family:Times New Roman"><B>Description</B></P></TD></TR>


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<TD HEIGHT="8" COLSPAN="2"></TD></TR>
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<TD VALIGN="top" NOWRAP>1.01</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Conflict Minerals Report of Lam Research Corporation.</TD></TR>
</TABLE>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">4 </P>

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<DOCUMENT>
<TYPE>EX-1.01
<SEQUENCE>2
<FILENAME>d201424dex101.htm
<DESCRIPTION>EX-1.01
<TEXT>
<HTML><HEAD>
<TITLE>EX-1.01</TITLE>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="right"><B><U>Exhibit 1.01 </U></B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>LAM RESEARCH CORPORATION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>CONFLICT MINERALS REPORT </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>For the reporting period from January&nbsp;1, 2015 through December&nbsp;31, 2015 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">This Conflict Minerals Report (this &#147;Report&#148;) of Lam Research Corporation (including its consolidated subsidiaries, the
&#147;Company&#148;) has been prepared pursuant to Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934, for the reporting period January&nbsp;1, 2015 through December&nbsp;31, 2015 (the &#147;Reporting Period&#148;). </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Rule 13p-1, through Form SD, requires the disclosure of certain information if a company manufactures or contracts to manufacture products for
which certain &#147;Subject Minerals&#148; (as defined below) are necessary to the functionality or production of such products. &#147;Subject Minerals&#148; are defined herein as: (i)(a) columbite-tantalite (or coltan), (b)&nbsp;cassiterite,
(c)&nbsp;gold and (d)&nbsp;wolframite, or their derivatives, which are currently limited to tantalum, tin and tungsten; or (ii)&nbsp;any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the
Democratic Republic of the Congo or an adjoining country (collectively, the &#147;Covered Countries&#148;). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company&#146;s operations
may at times manufacture, or contract to manufacture, products for which Subject Minerals are necessary to the functionality or production of those products (collectively, its &#147;products&#148; and, individually, a &#147;product&#148;). As
required by Form SD, the Company has conducted a good faith reasonable country of origin inquiry regarding the Subject Minerals included in its products manufactured or contracted to be manufactured during the Reporting Period, which are referred to
in this Report as the &#147;Covered Minerals,&#148; to determine whether any of such Covered Minerals originated in the Covered Countries and/or whether any of such Covered Minerals may be from recycled or scrap sources. Where applicable, the
Company has conducted additional due diligence regarding the sources of the Covered Minerals. The results of the Company&#146;s reasonable country of origin inquiry regarding the Covered Minerals, as well as its additional due diligence regarding
the sources of the Covered Minerals, are contained in this Report. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>I.</B></TD>
<TD ALIGN="left" VALIGN="top"><B><U>Reasonable Country of Origin Inquiry (&#147;RCOI&#148;)</U> </B></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">A.</TD>
<TD ALIGN="left" VALIGN="top">During the Reporting Period, the Company took the following measures, based on the Organization for Economic Cooperation and Development&#146;s (&#147;OECD&#148;) due diligence framework, including resources provided by
the Conflict-Free Sourcing Initiative (the &#147;CFSI&#148;), in particular the Conflict Minerals Reporting Template (&#147;CMRT&#148;), to determine the source and chain of custody for the Covered Minerals. </TD></TR></TABLE>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">1.</TD>
<TD ALIGN="left" VALIGN="top">The Company contacted its direct-spend suppliers with which the Company spent at least $10,000 during the Reporting Period and which the Company believed could provide materials containing Covered Minerals
(collectively, the &#147;Covered Suppliers&#148;), requesting that such Covered Suppliers complete the CMRT and return it to the Company. </TD></TR></TABLE>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">1 </P>


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<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">2.</TD>
<TD ALIGN="left" VALIGN="top">The Company subsequently: (a)&nbsp;compiled CMRTs that it had received and analyzed the response data; and (b)&nbsp;followed up by e-mail at least once with Covered Suppliers that had provided an incomplete response, no
response, or a response the Company believed required clarification. </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">B.</TD>
<TD ALIGN="left" VALIGN="top">Based upon the measures described in A. above, the Company was unable to determine whether its products manufactured or contracted to be manufactured during the Reporting Period contain Covered Minerals originating in
the Covered Countries. As a result, the Company exercised due diligence on the source and chain of custody of Covered Minerals in its supply chain as described in Part II below. </TD></TR></TABLE>
<P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>II.</B></TD>
<TD ALIGN="left" VALIGN="top"><B><U>Due Diligence and Risk Mitigation</U> </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company&#146;s due diligence process,
which significantly overlaps the Company&#146;s RCOI process described above, is based on the OECD&#146;s due diligence guidelines. In addition to the RCOI, the Company has done the following since the start of 2015 to determine the mine or location
of origin for the Covered Minerals included in its products: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>1.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Company Management Systems </B></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>a.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Maintain Appropriate Organizational Structure to Support Due Diligence </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company has
established an organizational structure to support its due diligence process that includes processes for handling requests for information, escalations to management regarding any issues or problems, surveying of suppliers and documentation of any
responses and red flags associated therewith. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company&#146;s due diligence process is carried out by individuals in the
Company&#146;s supply chain organization, who are supported by an inter-disciplinary support team comprised of members of the legal department, finance, engineering, customer account teams and environmental health and safety departments to help
address any questions associated with the reasonable country of origin inquiry and/or due diligence process. The Company also provides reports and briefings on the requirements and implications to Company management. </P>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>b.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Communicate Conflict Mineral Policy </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company has adopted and communicated to
suppliers and to the public a Conflict Minerals Policy Statement. A copy of the Policy is publicly available at <U>http://www.lamresearch.com/company/corporate-social-responsibility/supply-chain</U>. The content on any web site referred to in this
Report is not incorporated by reference into this Report unless expressly noted. </P>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">2 </P>


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<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>c.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Company Engagement with Suppliers </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company continues to include a standard provision
in the terms and conditions of its purchase orders requiring its suppliers to promptly provide accurate, complete and timely information and documentation to assist the Company as it may request to comply with Rule 13p-1 and Form SD, including
disclosing whether any of the suppliers&#146; deliverables contain Covered Minerals and, if so, to provide such information as the Company may request to allow the Company to determine whether such Covered Minerals are DRC conflict free (as such
term is defined in Form SD). The Company has also incorporated similar requirements into relevant commonly used supplier contract templates to further strengthen supplier engagement in the due diligence process. </P>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>d.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Internal Process Improvements Associated with Covered Minerals </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">For the Reporting
Period, the Company automated the compilation of data from CMRTs it received through the use of Excel macros. This enhanced the organization and collection of data and has helped the Company to analyze responses more efficiently. The Company
continues to evaluate various process improvements that may be available to enhance the management and visibility of Covered Mineral usage and disclosure, including the potential use of automated solutions to facilitate reporting and data
collection. </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>2.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Identify and Assess Risks in the Supply Chain </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company&#146;s methods for
identifying and assessing risks in the supply chain are set forth above in the description of the Company&#146;s RCOI. </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>3.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Design and Implement Strategy to Respond to Risks </B></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>a.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Devise and Implement Risk Management Plan </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company&#146;s risk management plan to
respond to any situations which might arise involving Covered Minerals identified as being sourced from the Covered Countries includes carrying out the due diligence described in this Report, understanding the products impacted by any supplied
materials identified as containing Covered Minerals, understanding the extent of the Company&#146;s reliance on such materials, undertaking additional due diligence and risk mitigation to respond to identified risks, and communicating to the
Company&#146;s suppliers that any Covered Minerals should be sourced responsibly wherever possible. </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>b.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Reporting of Conflict Minerals Surveying Results to Management </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company has apprised
members of senior management of the status and results of the inquiry and due diligence process to allow for any appropriate feedback and guidance. </P>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">3 </P>


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<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>c.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Continued Supplier Engagement </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">When necessary or requested the Company continues to work
with its suppliers to educate them about Subject Minerals and to encourage responsible sourcing and usage of independently certified conflict-free smelters and refiners. </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>4.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Independent Third-Party Audit of Smelter&#146;s / Refiner&#146;s Due Diligence Practices </B></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Where possible, the Company has relied on third party assurances and certifications. For example, the Company accepts as reliable any smelter
that is recognized as conflict-free through the CFSI&#146;s Conflict-Free Smelter Program (&#147;CFSP&#148;). To the extent that other audited supplier certifications are provided to the Company, the Company may consider reliance on a case-by-case
basis. </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Report Annually on Supply Chain Due Diligence </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">This Report and the Company&#146;s prior
annual Conflict Minerals Reports for calendar years 2013 and 2014 are publicly available at <U>http://investor.lamresearch.com/sec.cfm</U>. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>III.</B></TD>
<TD ALIGN="left" VALIGN="top"><B><U>Product Description</U> </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The following products are within the scope of Rule 13p-1
and Form SD. </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>1.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Etch Products </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">A series of wafer fabrication products that selectively remove materials
from the wafer to create features and patterns of a device: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">a.</TD>
<TD ALIGN="left" VALIGN="top">Kiyo<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> product family </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">b.</TD>
<TD ALIGN="left" VALIGN="top">Versys<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> Metal product family </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">c.</TD>
<TD ALIGN="left" VALIGN="top">Flex&#153; product family </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">d.</TD>
<TD ALIGN="left" VALIGN="top">Syndion<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> product family </TD></TR></TABLE> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>2.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Deposition Products </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">A series of high-productivity thin film deposition systems that
form a device&#146;s sub-microscopic layers of conducting (metal) or insulating (dielectric) materials: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">a.</TD>
<TD ALIGN="left" VALIGN="top">SABRE<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> product family </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">b.</TD>
<TD ALIGN="left" VALIGN="top">ALTUS<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> product family </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">c.</TD>
<TD ALIGN="left" VALIGN="top">VECTOR<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> product family </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">d.</TD>
<TD ALIGN="left" VALIGN="top">SPEED<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> product family </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">e.</TD>
<TD ALIGN="left" VALIGN="top">SOLA<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> product family </TD></TR></TABLE>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">4 </P>


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<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>3.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Clean Products </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">A series of single-wafer wet and plasma-based wafer cleaning products
that remove particles and residues from the wafer surface before and after adjacent processes: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">a.</TD>
<TD ALIGN="left" VALIGN="top">DV-Prime<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">b.</TD>
<TD ALIGN="left" VALIGN="top">Da Vinci<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">c.</TD>
<TD ALIGN="left" VALIGN="top">SP Series </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">d.</TD>
<TD ALIGN="left" VALIGN="top">Coronus<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> product family </TD></TR></TABLE>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="8%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">e.</TD>
<TD ALIGN="left" VALIGN="top">EOS<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>4.</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Legacy Products </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Multiple series of refurbished and newly built previous-generation
products from Lam, as the original equipment manufacturer (&#147;OEM&#148;), for applications that do not require the most advanced wafer processing capability. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>IV.</B></TD>
<TD ALIGN="left" VALIGN="top"><B><U>Smelter / Refiner and Country of Origin</U> </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Based solely on information that was
provided by the Covered Suppliers (as described above), some of which was on an entity level without specification as to application with respect to the specific Covered Minerals the Company purchased, and without independent verification, the
Company believes that the facilities that were used to process the Covered Minerals may have included some or all of the CFSI-recognized smelters and/or refiners listed below: </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B><U>Smelter / Refiner Facility Names</U></B> </P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><DIV STYLE="position:relative;float:left; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Advanced Chemical Company </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Aida Chemical Industries Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Allgemeine Gold-und Silberscheideanstalt A.G. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Allied Material (A.L.M.T) Corp </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Almalyk Mining and Metallurgical Complex (AMMC) </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Alpha Metals </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">An Thai Minerals Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">An Vinh Joint Stock Mineral Processing Company </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">AngloGold Ashanti C&oacute;rrego do S&iacute;tio Minera&ccedil;&atilde;o </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Argor-Heraeus SA </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Asahi Pretec Corporation </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Asahi Refining Canada Limited </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Asahi Refining USA Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Asaka Riken Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Asia Tungsten Products Vietnam Ltd.
</P></DIV><DIV STYLE="position:relative;float:left; margin-left:2%; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Aurubis AG </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Bangko Sentral ng Pilipinas (Central Bank of the Philippines) </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Boliden Mineral AB </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">C. Hafner GmbH + Co. KG </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Canada Corporation </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">CCR Refinery&#151;Glencore </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Changsha South Tantalum Niobium Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Chenzhou Diamond Tungsten Products Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Chenzhou Yunxiang Mining and Metallurgy Company Limited </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Chimet S.p.A. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">China Tin Group Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Chongyi Zhangyuan Tungsten Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Cooperativa Metalurgica de Rond&ocirc;nia Ltda. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">CV Ayi Jaya </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">CV Dua Sekawan </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">CV Gita Pesona </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">CV Serumpun Sebalai
</P></DIV><DIV STYLE="position:relative;float:left; margin-left:2%; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">CV Tiga Sekawan </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">CV United Smelting </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">CV Venus Inti Perkasa </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">D Block Metals, LLC </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Daejin Indus Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">DODUCO GmbH </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Dowa Metals&nbsp;&amp; Mining Co. Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Duoluoshan </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Eco-System Recycling Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Electro-Mechanical Facility of the Cao Bang Minerals&nbsp;&amp; Metallurgy Joint Stock Company </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Elemetal Refining, LLC </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Elmet S.L.U. (Metallo Group) </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">EM Vinto </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Emirates Gold DMCC </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Exotech Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">F&amp;X Electro-Materials Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Fenix Metals </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">FIR Metals&nbsp;&amp; Resource Ltd.
</P></DIV><div style="clear:both; height:0pt; font-size:0pt">&nbsp;</div>

 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">5 </P>


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<DIV STYLE="position:relative;float:left; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Fujian Jinxin Tungsten Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Ganzhou Huaxing Tungsten Products Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Ganzhou Jiangwu Ferrotungsten Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Ganzhou Seadragon W &amp; Mo Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Ganzhou Yatai Tungsten Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Geib Refining Corporation </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Geiju Fenmeng Metallurgy Chemical Plant </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Gejiu Non-Ferrous Metal Processing Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Global Advanced Metals Aizu </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Global Advanced Metals Boyertown </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Global Tungsten&nbsp;&amp; Powders Corp USA </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Guangdong Xianglu Tungsten Industry Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Guangdong Zhiyuan New Material Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Guanyang Guida Nonferrous Metal Smelting Plant </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">H.C. Starck Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">H.C. Starck GmbH </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">H.C. Starck GmbH Goslar </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">H.C. Starck GmbH Laufenburg </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">H.C. Starck Hermsdorf GmbH </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">H.C. Starck Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">H.C. Starck Smelting GmbH&nbsp;&amp; Co.KG </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Hangzhou Fuchunjiang Smelting Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Heimerle + Meule GmbH </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Henan Zhongyuan Gold Refinery Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Henan Zhongyuan Gold Smelter of Zhongjin Gold Co. Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Hengyang King Xing Lifeng New Materials Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Heraeus Hanau </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Heraeus Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Heraeus Precious Metals </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Heraeus Precious Metals GmbH&nbsp;&amp; Co. KG
</P></DIV><DIV STYLE="position:relative;float:left; margin-left:2%; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Hi-Temp Specialty Metals, Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">HuiChang Hill Tin Industry Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Hunan Chenzhou Mining Group Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Hunan Chuangda Vanadium Tungsten Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Hunan Chunchang Nonferrous Metals Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Hydrometallurg, JSC </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Ishifuku Metal Industry Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Istanbul Gold Refinery </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Japan Mint </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Japan New Metals Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Jiangxi Copper Company Limited </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Jiangxi Dinghai Tantalum&nbsp;&amp; Niobium Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Jiangxi Gan Bei Tungsten Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Jiangxi Ketai Advanced Material Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Jiangxi Tuohong New Raw Material </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Jiujiang Tanbre Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Jiujiang Zhongao Tantalum&nbsp;&amp; Niobium Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">JSC Ekaterinburg Non-Ferrous Metal Processing Plant </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">JSC Uralelectromed </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">JX Nippon Mining&nbsp;&amp; Metals Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Kai Union Industry and Trade Co., Ltd. (China) </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Kazzinc </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">KEMET Blue Metals </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">KEMET Blue Powder </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Kennametal Huntsville </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Kennecott Utah Copper LLC </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Ketapang </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">King-Tan Tantalum Industry Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Kojima Chemicals Co., Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">LSM Brasil S.A. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">LS-Nikko Copper Inc
</P></DIV><DIV STYLE="position:relative;float:left; margin-left:2%; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Magnu&#146;s Minerais Metais e Ligas Ltda. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Malaysia Smelting Corporation (MSC) </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Malipo Haiyu Tungsten Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Materion </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Matsuda Sangyo Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Melt Metais e Ligas S/A </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Metallic Resources, Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Metallo-Chimique N.V. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Metallurgical Products India Pvt. Ltd. (MPIL) </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Metalor Technologies (Hong Kong) Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Metalor Technologies (Singapore) Pte., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Metalor Technologies SA </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Metalor USA Refining Corporation </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">METAL&Uacute;RGICA MET-MEX PE&Ntilde;OLES, S.A. DE C.V </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Minera&ccedil;&atilde;o Taboca S.A. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Minsur Mines </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Mistubishi Materials Corporation </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Mitsui&nbsp;&amp; Co. Precious Metals Inc. Hong Kong Branch </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Mitsui Mining and Smelting Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">MMTC-PAMP India Pvt., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Molycorp Silmet A.S. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Moscow Special Alloys Processing Plant </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Nadir Metal Rafineri San. Ve Tic. A.S. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Nghe Tinh Non-Ferrous Metals Joint Stock Company </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Niagara Refining LLC </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Nihon Material Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Ningxia Orient Tantalum Industry Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Nui Phao H.C. Starck </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">O.M. Manufacturing Philippines, Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">&Ouml;gussa &Ouml;sterreichische Gold- und Silber-Scheideanstalt GmbH </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Ohura Precious Metal Industry Co., Ltd
</P></DIV><div style="clear:both; height:0pt; font-size:0pt">&nbsp;</div>

 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">6 </P>


<p Style='page-break-before:always'>
<HR  SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">

<DIV STYLE="position:relative;float:left; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">OJSC &#147;The Gulidov Krasnoyarsk Non-Ferrous Metals Plant&#148; (OJSC
Krastsvetmet) </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">OJSC Kolyma Refinery </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Operaciones Metalurgical S.A. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PAMP SA </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Philippine Chuangin Industrial Co., Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Phoenix Metal Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Plansee SE Liezen </P>
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<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Aries Kencana Sejahtera </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Artha Cipta Langgeng </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT ATD Makmur Mandiri Jaya </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Babel Inti Perkasa </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Bangka Prima Tin </P>
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<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Belitung Industri Sejahtera </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT BilliTin Makmur Lestari </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Bukit Timah </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Cipta Persada Mulia </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT DS Jaya Abadi </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Eunindo Usaha Mandiri </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Inti Stania Prima </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Karimun Mining </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Kijang Jaya Mandiri </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Mitra Stania Prima </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Panca Mega Persada </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Prima Timah Utama </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Refined Bangka TIN (RBT) </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Sariwiguna Binasentosa </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Stanindo Inti Perkasa </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Sukses Inti Makmur </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Sumber Jaya Indah </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Timah (Persero) Tbk Kundur </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Timah (Persero) Tbk Mentok </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Timah Nusantara </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT Tinindo Inter Nusa </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PT WAHANA PERKIT JAYA </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">PX Pr&eacute;cinox SA </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">QuantumClean </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Rand Refinery (Pty) Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Republic Metals Corporation
</P></DIV><DIV STYLE="position:relative;float:left; margin-left:2%; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Resind Ind&uacute;stria e Com&eacute;rcio Ltda </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">RFH Tantalum Smeltry Co., Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Royal Canadian Mint </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Rui Da Hung </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Samduck Precious Metals </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">SEMPSA Joyer&iacute;a Plater&iacute;a SA </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Shandong Zhaojin Gold&nbsp;&amp; Silver Refinery Co., Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Shandong Zhaojin Group Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Sichuan Tianze Precious Metals Co., Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Singway Technology Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">SOE Shyolkovsky Factory of Secondary Precious Metals </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Soft Metais, Ltda. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Solar Applied Materials Technology Corp. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Solikamsk Magnesium Works OAO </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Suzhou Xingrui Noble </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">T.C.A S.p.A </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Taki Chemicals </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Tanaka Kikinzoku Group </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Tejing (Vietnam) Tungsten Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Telex Metals </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Thaisarco </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">The Refinery of Shandong Gold Mining Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Tokuriki Honten Co., Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Tranzact, Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Tuyen Quang Non-Ferrous Metals Joint Stock Company </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">ULBA Metallurgical Plant JSC </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Umicore Brasil Ltda </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Umicore Precious Metals Thailand </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">United Precious Metal Refining, Inc. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Valcambi SUISSE </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Vietnam Youngsun Tungsten Industry Co., Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">VQB Mineral and Trading Group JSC </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Wolfram Bergbau und H&uuml;tten AG </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Xiamen Tungsten (H.C.) Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Xinhai Rendan Shaoguan Tungsten Co., Ltd.
</P></DIV><DIV STYLE="position:relative;float:left; margin-left:2%; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">XinXing HaoRong Electronic Material Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Yamamoto Precious Metal Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Yichun Jin Yang Rare Metal Co., Ltd </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Yokohama Metal Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Yunnan Chengfeng Non-ferrous Metals Co., Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Yunnan Tin Company, Ltd. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Zhaoyuan Gold Group </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Zhongyuan Gold Smelter of Zhongjin Gold Corporation </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Zhuzhou Cemented Carbide Works Import and Export Co. </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:10pt; text-indent:-10pt; font-size:10pt; font-family:Times New Roman">Zijin Mining Group Co., Ltd. Gold Refinery
</P></DIV><div style="clear:both; height:0pt; font-size:0pt">&nbsp;</div>

 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">7 </P>


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<HR  SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">

 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">As the Company&#146;s engagement with the supply chain for its products evolves and matures, this list may change
to reflect improvements in the quality of information provided to the Company. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Based solely on information that was provided by the
Covered Suppliers (as described above), some of which was on an entity level without specification as to application with respect to the specific Covered Minerals the Company purchased, and without independent verification, the Company believes that
the countries of origin of the Covered Minerals for the above listed facilities include: </P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><DIV STYLE="position:relative;float:left; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Australia </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Austria
</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Belgium </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Bolivia </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Brazil </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Canada </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">China </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Estonia </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Germany </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">India </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indonesia </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Italy
</P></DIV><DIV STYLE="position:relative;float:left; margin-left:2%; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Japan </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Kazakhstan
</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Korea, Republic of </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Malaysia </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Mexico </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Netherlands </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Peru </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Philippines </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Poland </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Russian Federation </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Rwanda </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Singapore
</P></DIV><DIV STYLE="position:relative;float:left; margin-left:2%; width:31%;padding-right:1%;padding-bottom:8pt;overflow:hidden;padding-top:3pt">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">South Africa </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Spain </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Sweden </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Switzerland </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Taiwan </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Thailand </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Turkey </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">United Arab Emirates </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">United States </P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Uzbekistan </P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Vietnam
</P></DIV><div style="clear:both; height:0pt; font-size:0pt">&nbsp;</div>
 <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Of the 232 unique smelters and refiners
(collectively, &#147;smelters&#148;) identified by the Covered Suppliers (consisting of those entities confirmed to be properly classified as smelters based on the &#147;Smelter Reference List&#148; maintained by the CFSI), a single smelter was
identified as being located in a Covered Country. This smelter is recognized by the CFSI as &#147;Active&#148; in the CFSP, which means that the smelter has agreed to undergo an independent audit and is progressing through the audit and/or
post-audit corrective action process. None of the Covered Suppliers who identified this smelter in their supply chain reported smelter information on the product level. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">As the Company&#146;s engagement with the supply chain for its products evolves and matures, this list may change to reflect improvements in the quality of
information provided to the Company. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Forward-Looking Statement Disclaimer </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman"><I>Statements made in this Report that are not of historical fact are forward-looking statements and are subject to the safe harbor provisions
of the Private Securities Litigation Reform Act of 1995. Such forward-looking statements relate to, but are not limited to, those regarding the Company&#146;s expected future supplier diligence and engagement efforts and development of related due
diligence processes. Some factors that may affect these forward-looking statements include: regulatory changes and judicial developments relating to conflict minerals disclosure; changes in our supply chain, components and parts, or products; and
industry developments relating to supply chain diligence, disclosure and other practices. These forward-looking statements are based on current expectations and are subject to uncertainties and changes in condition, significance, value and effect as
well as other risks, including those detailed in documents filed by us with the Securities and Exchange Commission. These uncertainties and changes could cause actual results to vary from expectations. The Company undertakes no obligation to update
the information or statements made in this Report. </I></P>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">8 </P>

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