<SEC-DOCUMENT>0001193125-20-155905.txt : 20200529
<SEC-HEADER>0001193125-20-155905.hdr.sgml : 20200529
<ACCEPTANCE-DATETIME>20200529165404
ACCESSION NUMBER:		0001193125-20-155905
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		2
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20191231
</ITEM>
<ITEM>
<ITEM-NUMBER>1.02
<ITEM-PERIOD>20191231
</ITEM>
</RULE>
FILED AS OF DATE:		20200529
DATE AS OF CHANGE:		20200529

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CORNING INC /NY
		CENTRAL INDEX KEY:			0000024741
		STANDARD INDUSTRIAL CLASSIFICATION:	DRAWING AND INSULATING NONFERROUS WIRE [3357]
		IRS NUMBER:				160393470
		STATE OF INCORPORATION:			NY
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-03247
		FILM NUMBER:		20928853

	BUSINESS ADDRESS:	
		STREET 1:		ONE RIVERFRONT PLAZA
		CITY:			CORNING
		STATE:			NY
		ZIP:			14831
		BUSINESS PHONE:		6079749000

	MAIL ADDRESS:	
		STREET 1:		ONE RIVERFRONT PLAZA
		CITY:			CORNING
		STATE:			NY
		ZIP:			14831

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	CORNING GLASS WORKS
		DATE OF NAME CHANGE:	19890512
</SEC-HEADER>
<DOCUMENT>
<TYPE>SD
<SEQUENCE>1
<FILENAME>d913992dsd.htm
<DESCRIPTION>SD
<TEXT>
<HTML><HEAD>
<TITLE>SD</TITLE>
</HEAD>
 <BODY BGCOLOR="WHITE">


<Center><DIV STYLE="width:8.5in" align="left">
 <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="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:12pt; font-family:Times New Roman" ALIGN="center"><B>S<SMALL>PECIALIZED</SMALL> D<SMALL>ISCLOSURE</SMALL> R<SMALL>EPORT</SMALL> </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>CORNING INCORPORATED </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 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">


<TR>

<TD WIDTH="34%"></TD>

<TD VALIGN="bottom"></TD>
<TD WIDTH="32%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="32%"></TD></TR>


<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" ALIGN="center"><B>New York</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">1-3247</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">16-0393470</FONT></B></TD></TR>
<TR STYLE="page-break-inside:avoid ; 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 No.)</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 Number)</B></P></TD></TR>
<TR STYLE="font-size:1pt">
<TD HEIGHT="16"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" ALIGN="center"><B>One&nbsp;Riverfront&nbsp;Plaza,&nbsp;Corning&nbsp;New&nbsp;York</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>14831</B></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="top" ALIGN="center"><B>(Address of Principal Executive Offices)</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>(Zip Code)</B></TD></TR>
<TR STYLE="font-size:1pt">
<TD HEIGHT="16"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" ALIGN="center"><B>Daniel P. Christmas</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">(607)&nbsp;974-9000</FONT></B></TD></TR>
<TR STYLE="font-size:1pt">
<TD HEIGHT="13" COLSPAN="5"></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="top" COLSPAN="5" ALIGN="center"><B>(Name and telephone number, including area code, of the person to contact in connection with this report.)</B></TD></TR>
</TABLE> <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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left">&#9746;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Rule <FONT STYLE="white-space:nowrap">13p-1</FONT> under the Securities Exchange Act (17 CFR <FONT
STYLE="white-space:nowrap">240.13p-1)</FONT> for the reporting period from January 1 to December</B><B></B><B>&nbsp;31, 2019.</B> </P></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>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Section&nbsp;1 - 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">Corning Incorporated evaluated its current product lines and determined that certain products we manufacture or contract to manufacture contain tin, tantalum,
tungsten and/or gold (3TG). The results of our reasonable country of origin inquiry and due diligence are contained in the Conflict Minerals Report filed herewith. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">A copy of the Company&#146;s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available on the Investor Relations page of
Corning&#146;s website (see <U>http://www.corning.com/investor_relations/index.aspx</U> and click on &#147;View All Filings&#148;). </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">As specified in Section&nbsp;2, Item 2.01, Corning Incorporated is hereby filing its Conflict Minerals Report 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 - 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="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The following exhibit is filed as part of this report </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">


<TR>

<TD></TD>

<TD VALIGN="bottom" WIDTH="10%"></TD>
<TD WIDTH="87%"></TD></TR>
<TR STYLE="page-break-inside:avoid ; 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; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Exhibit&nbsp;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; display:table-cell; font-size:8pt; font-family:Times New Roman; "><B>Description</B></P></TD></TR>


<TR STYLE="font-size:1pt">
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>1.01</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="d913992dex101.htm">Conflict Minerals Report of Corning Incorporated. </A></TD></TR>
</TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">
 <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; font-size:10pt; font-family:Times New Roman">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. </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:10pt" ALIGN="center">


<TR>

<TD WIDTH="3%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="32%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="31%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="31%"></TD></TR>


<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" COLSPAN="3"><B>CORNING&nbsp;INCORPORATED</B></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"></TD></TR>
<TR STYLE="font-size:1pt">
<TD HEIGHT="16"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">By:</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">/s/ Eric S. Musser</P></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman" ALIGN="center">May&nbsp;29, 2020</P></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Eric S. Musser</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">(Date)</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">President&nbsp;&amp; Chief Operating Officer</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"></TD></TR>
</TABLE>
</DIV></Center>

</BODY></HTML>
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-1.01
<SEQUENCE>2
<FILENAME>d913992dex101.htm
<DESCRIPTION>EX-1.01
<TEXT>
<HTML><HEAD>
<TITLE>EX-1.01</TITLE>
</HEAD>
 <BODY BGCOLOR="WHITE">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="right"><B>Exhibit 1.01 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Corning Incorporated </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 Year Ended December 31, 2019 </B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">This
Conflict Minerals Report (CMR) for the year ended December 31, 2019 is presented to comply with Rule <FONT STYLE="white-space:nowrap">13p-1</FONT> under the Securities Exchange Act of 1934 (the Rule). The Rule was adopted by the Securities and
Exchange Commission (SEC) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Rule imposes certain reporting
obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. Conflict Minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and
their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">This report is available on the Investor Relations page of
Corning&#146;s website (see <U>http://www.corning.com/investor_relations/index.aspx</U> and click on &#147;View All Filings&#148;). </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 style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>1.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Company Overview </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">This report has been prepared by management of Corning Incorporated (herein referred to as &#147;Corning,&#148; the &#147;Company,&#148; &#147;we,&#148;
&#147;us,&#148; or &#147;our&#148;). The information includes the activities of all majority-owned subsidiaries and variable interest entities that are required to be consolidated in accordance with US Generally Accepted Accounting Principles. It
does not include the activities of subsidiaries or variable interest entities that are not required to be consolidated. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Corning is a world leader in the
manufacture of specialty glass and ceramics. Drawing on nearly 170 years of materials science and process engineering knowledge, Corning creates and makes keystone components that enable high-technology systems for consumer electronics, mobile
emissions control, telecommunications and life sciences. Corning operates in five reportable segments: Display Technologies, Optical Communications, Environmental Technologies, Specialty Materials and Life Sciences. Corning manufactures and
processes products at approximately 105 plants in 15 countries. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>2.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Products Overview </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Corning&#146;s principal products, by segment, are as follows: </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Corning&#146;s Display Technologies segment manufactures glass substrates for active matrix liquid crystal displays (LCDs) that are used primarily in notebook
computers and flat panel displays. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Corning&#146;s Optical Communications segment is classified into two main product groupings &#150; carrier network and
enterprise network. The carrier network product group consists primarily of products and solutions for optical-based communications infrastructure for services such as video, data and voice communications. The enterprise network product group
consists primarily of optical-based communication networks sold to businesses, governments and individuals for their own use. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Corning&#146;s
Environmental Technologies segment manufactures ceramic substrates and filter products for emissions control in mobile and stationary applications around the world. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Specialty Materials segment manufactures products that provide more than 150 material formulations for glass, glass ceramics and fluoride crystals to meet
demand for unique customer needs. Consequently, this&nbsp;segment operates in a wide variety of commercial and industrial markets that include display optics and components, semiconductor optics components, aerospace and defense, astronomy,
ophthalmic products, telecommunications components and cover glass that is optimized for portable display devices and televisions. </P>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Corning&#146;s Life Sciences segment is a leading developer, manufacturer and global supplier of scientific
laboratory products, including general labware and equipment, as well as specialty surfaces, media and reagents, that are used for cell culture research, bioprocessing, genomics, drug discovery, microbiology and chemistry. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">All other segments at Corning that do not meet the quantitative threshold for separate reporting have been grouped as &#147;All Other&#148; in our financial
reporting documentation. This group is primarily comprised of the results of the pharmaceutical technologies business and new product lines and development projects, as well as certain corporate investments. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>3.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Supply Chain Overview </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Corning maintains complex and diverse supply chains across its reported segments, involving thousands of suppliers to the Company. We rely on our direct
suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us &#150; including sources of 3TG that are supplied to them from lower tier suppliers. Contracts with our suppliers are frequently in force
for three years or more and we cannot unilaterally impose new contract terms and flow-down requirements. Corning has incorporated a clause to relevant agreements that requires suppliers to provide information about the source of conflict minerals
and smelters. Based upon these contractual requirements and our supplier relationships, we work annually with selected suppliers to ensure they provide us the 3TG sourcing information required. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Based upon technical knowledge regarding our products, as well as the results of the prior supplier surveys regarding conflict minerals, relevant personnel in
each of our reported segments identified the suppliers to survey regarding whether the components or materials supplied to Corning by such suppliers contain 3TG. We relied upon these suppliers, approximately 166 in total, to provide us with
information about whether the components or materials supplied to Corning contain 3TG; and if so, the source of such 3TG. Our direct suppliers are similarly reliant upon information provided by their suppliers, or in the case of distributors from
whom we purchase components or materials, reliant upon the manufacturers of such items. Many of our larger suppliers are also SEC registrants and subject to the Rule. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>4.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Reasonable Country of Origin Inquiry (RCOI) and RCOI Conclusion </B></P></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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>4.1</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Requests for Information </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">We surveyed those suppliers described above using version 5.12 of the conflict minerals reporting template developed by the Electronic Industry
Citizenship Coalition<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> (EICC<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP>) and The Global <FONT STYLE="white-space:nowrap">e-Sustainability</FONT> Initiative (GeSI), known as the
Responsible Minerals Initiative (&#147;RMI&#148;) Reporting Template (or the &#147;CMRT&#148;). The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company&#146;s supply
chain. It includes questions regarding a company&#146;s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the CMRT contains questions about the origin of
conflict minerals included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool are available on Responsible Business Alliance&#146;s website. The CMRT is being used by
many companies in their due diligence processes related to 3TG. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">To determine whether any 3TG necessary to our products originated in the
Covered Countries, we retained a third-party service provider, Assent Compliance (&#147;Assent&#148;) to assist us in surveying our supply chain. During our supplier survey, we contacted suppliers via the Assent Compliance Manager (&#147;ACM&#148;),
a SaaS platform provided by Assent that enables its users to complete and track supplier communications as well as allows suppliers to upload completed CMRTs directly to the platform for assessment and management. The use of the CMRT allowed for
some elimination of irrelevant suppliers. Specifically, question one of the CMRT asks suppliers whether any 3TGs are necessary to the functionality or production of their products. We also reviewed the supplier list to ensure that irrelevant or
&#147;out of scope&#148; suppliers were removed from the survey process (e.g., the removal of suppliers who provided only packaging to Corning). </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Assent requested that all <FONT STYLE="white-space:nowrap">in-scope</FONT> suppliers complete a CMRT and included training and education to
guide suppliers on best practices and the use of the template. Assent monitored and tracked all communications in the ACM for future reporting and transparency. Corning directly contacted suppliers that were unresponsive to Assent&#146;s
communications during the diligence process and requested that such suppliers complete and submit the CMRT to Assent. </P>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>4.2</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Survey Responses </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Where the CMRT responses included the names of entities listed by our suppliers as smelters or refiners, we consulted the RMI
publicly-available information to determine whether such entities had been identified as certified Conflict-Free. In some cases, the CMRT responses did not provide smelter information; this was one of the items that we typically requested in <FONT
STYLE="white-space:nowrap">follow-up</FONT> communications with suppliers. Ultimately, some suppliers were unable to provide us with smelter information because they were engaged in their own efforts to obtain that information from their suppliers.
</P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Through Assent&#146;s platform automated data validation was performed on all submitted CMRTs. The goal of data validation is to increase
the accuracy of submissions and identify any contradictory answers in the CMRT. This data validation is based on logical sequencing and required correlations between the CMRT questions (for example, if a supplier does not report having received
information from 100% of its 3TG sources, it cannot logically offer definitive statements in response to certain other questions). </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">All
submitted CMRTs are first accepted and then classified as valid or invalid so that their data is still retained. Suppliers are contacted in regard to invalid forms and are encouraged to resubmit a valid form. As of May&nbsp;15, 2020, there were two
(2)&nbsp;invalid supplier submissions in Corning&#146;s supplier survey that could not be corrected. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Many of the responses we received
provided data at a company or divisional level or, as described above, were unable to specify with certainty all of the smelters or refiners used for components supplied to Corning. In some instances, we engaged in
<FONT STYLE="white-space:nowrap">follow-up</FONT> communications with suppliers to request that they provide a CMRT response specific to the components or materials supplied to Corning; however, in many cases, the suppliers were unable to do so
because they were unable to obtain detailed information from their own suppliers. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>4.3</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>RCOI Conclusion </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Based upon the results of our RCOI, we were able to determine that no 3TGs are contained in the products sold by Corning&#146;s Environmental
Technologies segment. In Corning&#146;s Display Technologies segment, our RCOI determined that tin contained in the products sold by this segment is sourced from the Covered Countries, but only from RMI compliant smelters. For Corning&#146;s Optical
Communications, Specialty Materials, and Life Sciences segments, we were unable to conclusively determine whether the 3TG in the products for such segments originated in the Covered Countries because of the incomplete information received from our
supply chain. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Based on RCOI responses we have received from certain suppliers, we believe that certain of the 3TG contained in the
products for our Optical Communications, Specialty Materials, and/or Life Sciences segments may have originated in the Democratic Republic of the Congo or an adjoining country (the Covered Countries). Thus, we are required under the Rule to conduct
due diligence on the source and chain of custody of those minerals as well as those in the supply chain for our Display Technologies segment and submit to the SEC a Conflict Minerals Report as an Exhibit to Form SD. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Due Diligence Program </B></P></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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>5.1</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Design of Due Diligence </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Our due diligence measures have been designed to conform, in all material respects, with the framework in The Organization for Economic <FONT
STYLE="white-space:nowrap">Co-operation</FONT> and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition, 2013 (OECD Guidance) and the related Supplements for
gold and for tin, tantalum and tungsten. The Guidance identifies five steps for due diligence that should be implemented and provides guidance as to how to achieve each step. We developed our due diligence process to address each of these five
steps, namely: </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">1.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Establishing strong company management systems regarding conflict minerals; </P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">2.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Identifying and assessing risks in our supply chain; </P></TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">3.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Designing and implementing a strategy to respond to identified risks in our supply chain;
</P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">4.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Utilizing independent third-party audits of supply chain diligence; and </P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">5.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Publicly reporting on our supply chain due diligence </P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">We are a downstream supplier, many steps removed from the mining of 3TGs. A large number of suppliers, through multiple tiers of distribution,
supply the components and materials integrated into our products. Furthermore, we do not purchase raw ore or unrefined conflict minerals or make purchases from the Covered Countries directly. The origin of the conflict minerals cannot be determined
with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other conflict mineral containing derivatives. The smelters and refiners consolidate raw ore and represent the best actors in the total supply chain to
possess knowledge of the origin of the ores they procure. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>5.2</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Establish Strong Company Management Systems </B></P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.2.1</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Conflict Minerals Policy </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">We have adopted the following revised conflict minerals policy, effective March 2019: </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman"><B>Background on Conflict Minerals </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Conflict minerals refer to the mineral precursors of the metals tantalum, tin, tungsten, and gold (3TG), which are found in small amounts in
virtually all electronic products. Revenue from mining these minerals in the Democratic Republic of Congo (DRC) and nine neighboring countries has been linked to funding for groups engaged in extreme violence and human rights atrocities. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Pursuant to the Dodd&#150;Frank Wall Street Reform and Consumer Protection Act, public companies in the US that make products for which 3TG
metals (tantalum, tin, tungsten&nbsp;&amp; gold) are necessary to the functionality or production of that product are required to assess their supply chains and report on the source of these materials. Corning Incorporated (&#147;Corning&#148;) is a
public company, and therefore is committed to complying with this law. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman"><B>Corning Incorporated&#146;s Corporate Position on Conflict
Minerals </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">At Corning, corporate social responsibility is a proactive commitment to preserving the trust of our stakeholders. The
commitment contributes to sustainable economic and environmental development through all our business activities &#150; how we operate, what we sell, how we give, and how we support our people, the communities in which we operate, and society at
large. Any connection between the materials used in Corning products and armed violence or human rights abuses is unacceptable. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Corporate
social responsibility is intrinsic to Corning&#146;s heritage and it is integral to how we build value and trust in our company. It is also a demonstration of how we live our Values which represent the unchanging moral and ethical compass that
guides everything we do. More information about Sustainability at Corning can be found here. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">The 3TG supply chain is complex, typically
including many stages between Corning and the smelters that purchase and process the ore into metals. The greatest risk of conflict minerals entering our supply chain is through these smelters&#146; ore purchasing practices. We require our suppliers
to source 3TG for Corning products only from smelters that comply with the Responsible Minerals Initiative&#146;s (RMI, formerly the Conflict Free Sourcing Initiative) Responsible Minerals Assurance Process (RMAP, formerly the Conflict-Free Smelter
Program), which requires a third-party sourcing audit. To monitor 3TG suppliers&#146; performance, we assess their responses to the RMI&#146;s Conflict Minerals Reporting Template, and request corrective action where needed, including the removal
from our supply chain of smelters that pose a risk. </P>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">More information about the Responsible Minerals Initiative can be found here. Our due
diligence measures implemented as part of our conflict minerals program have been designed to conform, in all material respects, with the framework in The Organization for Economic <FONT STYLE="white-space:nowrap">Co-operation</FONT> and Development
(OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Corning requires our
suppliers to comply with our requests to provide complete and accurate Conflict Minerals Reporting Templates, and to perform further due diligence as required about the source of any conflict minerals in their products which are provided to us in
order to ensure alignment throughout the supply chain. Failure to provide this information to Corning when requested may result in removal from active status as a Corning supplier. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Our conflict minerals policy is publicly available on our website at the following
link:<U>http://www.corning.com/worldwide/en/sustainability/processes/supply-chain-social-responsibility/social/conflict-minerals-policy.html</U>. </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.2.2</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Internal Team </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Corning has established a cross-functional Conflict Minerals Compliance Team for managing our conflict minerals program. Our Conflict Minerals
Compliance Team includes a steering team sponsored by the Senior Vice President, Global Supply Chain as well as executive-level representatives from the company&#146;s finance and legal functions. Reporting to the steering team is a core working
team, which is led by our Global Supply Management organization. This core team, which includes subject matter experts from relevant functions such as finance, legal, and global supply management, is responsible for implementing our conflict
minerals compliance strategy. Senior management is briefed about the results of our due diligence efforts on an annual basis. Corning also uses a third-party service provider, Assent, to assist us with evaluating supply chain information regarding
3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that we will undertake with suppliers regarding conflict minerals. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Corning leverages Assent&#146;s Managed Services in order to work with dedicated program specialists who support Corning&#146;s conflict
minerals program. Corning communicates regularly with the Assent team in order to receive updates on program status. Each member of Assent&#146;s Customer Success team is trained in conflict minerals compliance and understands the intricacies of the
CMRT and conflict minerals reporting, as well as Section&nbsp;1502 of the Dodd-Frank Act. </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.2.3</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Control Systems </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">As we do not typically have a direct relationship with 3TG smelters and refiners, we have relied upon industry-wide initiatives to disclose
upstream actors in the supply chain. Specifically, as part of our due diligence efforts we have utilized the smelter information provided by the Responsible Minerals Initiative. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">In addition, with the assistance of personnel from Corning&#146;s accounting, compliance and reporting function, we previously developed a
detailed risk control matrix through which Corning&#146;s conflict minerals program can be evaluated and monitored. </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.2.4</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Supplier Engagement </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">With respect to the OECD requirement to strengthen engagement with suppliers, we have added a conflict minerals clause to our purchase order
terms and conditions and relevant contract templates in order to communicate to suppliers our expectations and requirements regarding the sourcing of and disclosure of conflict minerals. We also include our Supplier Code of Conduct in our supplier
contracts, which contains Corning&#146;s expectations for suppliers with respect to humane labor conditions, health and safety, and environmental factors, among others. A copy of our Supplier Code of Conduct is available at <FONT
STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap">http://www.corning.com/worldwide/en/sustainability/articles/processes/supply-chain-management/supplier-code-of-conduct.html.</FONT></FONT> </P>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.2.5</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Grievance Mechanism </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Corning&#146;s Supplier Code of Conduct, referenced in 5.2.4 above, instructs suppliers that questions or concerns may be submitted to
Corning&#146;s third-party telephone and web hotline service. This hotline is also described in Corning&#146;s Code of Conduct, as referenced above. These phone or web services can be used to make an anonymous report and are available on a 24/7
basis. Corning maintains a robust internal compliance and ethics program under the oversight of a Vice President and Chief Compliance Officer to ensure that all such reports are properly investigated, reported and remediated as required. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Violations or grievances at the industry level can be reported to the RMI directly as well. This can be done at
http://www.responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievance-mechanism/. </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.2.6</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Maintain Records </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Corning has an existing document retention policy which governs the retention of documentation relevant to our due diligence efforts. We also
implemented a document retention policy through Assent to retain conflict minerals related documents, including supplier responses to CMRTs. Assent stores all of the information and findings from this process in a database that can be audited by
internal or external parties. </P> <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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>5.3</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Identify and Assess Risks in the Supply Chain </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Because of our size, the complexity of our products, and the depth and breadth of our supply chain, it is difficult to identify actors upstream
from our direct suppliers. One method for identifying risks in our supply chain is through automatic checks in the ACM system based on criteria established by Assent for supplier responses as outlined above. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">In accordance with OECD Guidelines, it is important to understand risk levels associated with conflict minerals in the supply chain. Smelters
or refiners not being certified <FONT STYLE="white-space:nowrap">DRC-Conflict</FONT> Free pose a significant risk to the supply chain. Certain of the responses provided by our suppliers via the CMRT included the names of facilities listed by the
suppliers as smelters or refiners. We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. Assent compared these facilities listed in the responses
to the list of smelters and refiners maintained by the RMI and, if a supplier indicated that the facility was certified as &#147;Conflict-Free,&#148; confirmed that the name was listed by RMI. As of May&nbsp;15, 2020, of the 303 legitimate smelter
and refiners identified by our suppliers, we have validated 235 smelters or refiners as Responsible Minerals Assurance Process (&#147;RMAP&#148;) conformant. Due to the provision of a mix of company-level, product-level and user defined CMRTs, we
cannot definitively determine the connection of any smelters or refiners listed in them to our <FONT STYLE="white-space:nowrap">in-scope</FONT> products. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assessed according to red flag indicators defined in
the OECD Guidance. Assent determines the level of risk that each smelter poses to the supply chain by identifying the following red flags: </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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Geographic proximity to the DRC and Covered Countries; </P></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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Responsible Minerals Assurance Process (RMAP) audit status; </P></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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Credible evidence of unethical or conflict sourcing </P></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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Known mineral source country of origin; </P></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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Peer Assessments conducted by credible third-party sources. </P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Based on these criteria the following facilities have been identified as being of highest concern to the supply chain: </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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Tony Goetz NV - CID002587 </P></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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Kaloti Precious Metals - CID002563 </P></TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">African Gold Refinery Limited (AGR) - CID003185 </P></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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Fidelity Printers and Refiners - CID002515 </P></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 style = "page-break-inside:avoid">
<TD WIDTH="10%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">Sudan Gold Refinery - CID002567 </P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">As part of our risk management plan under the OECD Guidance, when these facilities were reported on a CMRT by one of the suppliers we surveyed,
risk mitigation activities were initiated. Through our third-party vendor, Assent Compliance, submissions that included any of the above facilities immediately produced a receipt instructing the supplier to take their own risk mitigation actions,
including submission of a product specific CMRT to better identify the connection to products that they supply to Corning, and escalating up to removal of these high-risk smelters from their supply chain. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">As per the OECD Guidance, risk mitigation will depend on the supplier&#146;s specific context. Suppliers are given clear performance objectives
within reasonable timeframes with the ultimate goal of progressive elimination of these red flags from the supply chain. In addition, suppliers are guided to the Assent University learning platform to engage in educational materials on mitigating
the risk of smelters or refiners on the supply chain. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Additionally, suppliers are evaluated on program strength (further assisting in
identifying risk in the supply chain). Evaluating and tracking the strength of the program meets the OECD Due Diligence Guidelines and can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the
strength of the program are based on these four questions in the CMRT: </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">A. Have you established a conflict minerals sourcing policy? </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">E. Have you implemented due diligence measures for conflict-free sourcing? </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">G. Do you review due diligence information received from your suppliers against your company&#146;s expectations? </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">H. Does your review process include corrective action management? </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">When suppliers meet or exceed those criteria (Yes to at least A, E, G, H), they are deemed to have a strong program. When suppliers do not meet
those criteria, they are deemed to have a weak program. At this time, 19 of our responsive suppliers have been identified as having a weak program. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>5.4</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Design and Implement a Strategy to Respond to Risks </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Corning has developed processes to assess and respond to the risks identified in the supply chain. Corning has a responsible minerals sourcing
program through which its conflict minerals program is implemented, managed and monitored. As the program progresses, escalations are sent to <FONT STYLE="white-space:nowrap">non-responsive</FONT> suppliers to outline the importance of a response
via CMRTs and to outline the required cooperation for compliance to the conflict minerals rules and Corning&#146;s expectations. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">As
described in our conflict minerals policy, we intend to engage with any of our suppliers whom we have reason to believe are supplying us with 3TG from sources that may support conflict in the DRC or any adjoining country to appropriately address the
situation, which may include establishing an alternative source of 3TG that does not support such conflict, as provided in the OECD guidance. The result and timing will depend upon factors such as the criticality of the specific part and the
availability of alternate suppliers. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">In cases where suppliers have continuously been
<FONT STYLE="white-space:nowrap">non-responsive</FONT> or are not committed to corrective action plans, Corning will assess if replacing that supplier is feasible. The results of the program and risk assessment are shared with the Conflict Minerals
Compliance Team and the leadership of Corning&#146;s Global Supply Management function to ensure transparency within the company. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">As of
the date of this filing, we have found no instances where it was necessary to terminate a contract or find a replacement supplier due to 3TG sourced from the Covered Countries. </P>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>5.5</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Carry out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply
Chain </B></P></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Corning does not have a direct relationship with 3TG smelters and refiners, nor do we perform direct audits of
these entities within our supply chain. However, we do rely on third-party audits of smelters and refiners conducted as part of the RMAP. The RMAP uses independent private-sector auditors, and audits the source, including the mines of origin, and
the chain of custody of the conflict minerals used by smelters and refiners that agree to participate in the program. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">In early 2020,
Corning became a member of the Responsible Minerals Initiative, enabling us to expand our industry collaborative efforts through RMI membership and to utilize RMI&#146;s flagship Responsible Minerals Assurance Process (RMAP) through our supply chain
as described above. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Assent also directly contacts smelters and refiners that are not currently enrolled in the RMAP to encourage their
participation and gather information regarding each facilities&#146; sourcing practices on behalf of its compliance partners. Corning is a signatory of this communication in accordance with the requirements of downstream companies detailed in the
OECD Guidance. </P> <P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">Through the company&#146;s membership with the RMI, smelters or refiners have been encouraged to participate in the RMAP.
Any smelters or refiners that were reported by suppliers who were not part of the RMAP were also contacted directly by Assent to encourage them to participate in the RMAP. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>5.6</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Report on Supply Chain Due Diligence </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">In addition to this report, see our website at
<U><FONT STYLE="white-space:nowrap">http://www.corning.com/worldwide/en/about-us/suppliers.html</FONT></U> for further information about Corning&#146;s commercial relationships with and expectations of its suppliers. </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.6.1</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Due Diligence Process </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Corning conducted a survey of its relevant suppliers (as described above) using the template originally developed jointly by the Electronic
Industry Citizenship Coalition<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP> (EICC<SUP STYLE="font-size:85%; vertical-align:top">&reg;</SUP>) and The Global <FONT STYLE="white-space:nowrap">e-Sustainability</FONT> Initiative (GeSI),
known as the Responsible Minerals Initiative Reporting Template (the &#147;CMRT&#148;). The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company&#146;s supply chain. It
includes questions regarding a company&#146;s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the CMRT contains questions about the origin of conflict minerals
included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool is available on RMI&#146;s website and via the website of Assent Compliance, our third-party provider. </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.6.2</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Survey Responses </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Corning surveyed approximately 166 suppliers based upon the likelihood that such suppliers supplied materials or components to Corning that
contained one or more 3TG, and we received responses from 75% of the suppliers we surveyed. Corning&#146;s response rate for 2019 was approximately 12% lower than the previous year, likely as a result of the impact of the <FONT
STYLE="white-space:nowrap">COVID-19</FONT> pandemic occurring during the reporting cycle. A total of nine (9)&nbsp;suppliers indicated in their survey responses that they sourced 3TG from the Covered Countries, but those 3TG were &#147;conflict
free.&#148; Eight (8)&nbsp;of the suppliers surveyed stated that the 3TG they sourced came from outside of the Covered Countries, and 45 suppliers reported as &#147;undeterminable&#148; in regard to sourcing 3TGs from the Covered Countries. </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.6.3</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Efforts to Determine Country of Origin of Mine or 3TG </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">We have determined that seeking information about 3TG smelters and refiners in our supply chain through the use of the CMRT with our relevant
suppliers represents the most reasonable effort we are able to make to determine the mines or locations of origin of the 3TG in our supply chain. </P>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.6.4</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Efforts to Identify Smelters or Refiners </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Because of the incomplete information provided to us by our suppliers in response to our surveys, or the receipt of company-level responses
that do not provide information specific to materials or components supplied to Corning, in many cases the smelters and refiners we have identified to date cannot be tied to specific Corning products. However, in certain instances, our suppliers did
provide CMRTs specific to the products supplied to Corning. We have reported all legitimate smelter or refiner information included in the CMRTs we received on Appendix A to this report, recognizing as stated above that not all such smelters or
refiners can definitively be tied to Corning products. Of the 303 legitimate smelters identified on the CMRTs we received, as of May&nbsp;15, 2020 235 were identified as RMAP Conformant and six (6)&nbsp;were actively working toward a &#147;conflict
free&#148; designation. As noted, our list of processing smelters and refiners disclosed in Appendix A may contain more facilities than those that processed the conflict minerals actually contained in our 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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><B>5.6.5</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Countries of Origin </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:9%; font-size:10pt; font-family:Times New Roman">Appendix B includes an aggregated list of the countries of origin from which the reported facilities collectively source conflict minerals,
based on information provided by suppliers and the RMI. As mentioned in the above section, many responses were provided at the company level, therefore, Appendix B may contain more countries than those that the conflict minerals used in our products
are sourced from. </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 style = "page-break-inside:avoid">
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="5%" VALIGN="top" ALIGN="left"><B>6.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Steps to be taken to mitigate risk </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; margin-left:4%; font-size:10pt; font-family:Times New Roman">We have taken and/or intend to continue to take the following steps to improve the due diligence conducted to further mitigate any risk that
the necessary conflict minerals in our products could benefit armed groups in the DRC or adjoining countries: </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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">A.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Include a conflict minerals flow-down clause in relevant new or renewed supplier contracts.
</P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">B.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Include a step to our new supplier enrollment process to directly identify new suppliers who could potentially
supply Corning with products or materials containing 3TG. </P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">C.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Partner with a third-party company, Assent Compliance, which specializes in conducting conflict minerals
compliance programs, to improve the accuracy and efficiency of our supplier survey and reporting process. </P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">D.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Engage with suppliers to attempt to increase the response rate and improve the content of the supplier survey
responses. </P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">E.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Engage any of our suppliers found to be supplying us with 3TG from sources that support conflict in the DRC or
any adjoining country to address the situation, which will include establishing an alternative source of 3TG that does not support such conflict, with timing depending on factors such as the criticality of the specific part and the availability of
alternate suppliers. </P></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 style = "page-break-inside:avoid">
<TD WIDTH="9%">&nbsp;</TD>
<TD WIDTH="4%" VALIGN="top" ALIGN="left">F.</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Maintain Corning&#146;s membership in the Responsible Minerals Initiative, enabling us to expand our industry
collaborative efforts through RMI membership and to utilize RMI&#146;s flagship Responsible Minerals Assurance Process (RMAP) through our supply chain. </P></TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>FORWARD-LOOKING STATEMENTS </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>The statements in this Quarterly Report on Form <FONT STYLE="white-space:nowrap">10-Q,</FONT> in reports subsequently filed by Corning with the Securities
and Exchange Commission (&#147;SEC&#148;) on Forms <FONT STYLE="white-space:nowrap">8-K,</FONT> and related comments by management that are not historical facts or information and contain words such as &#147;will,&#148; &#147;believe,&#148;
&#147;anticipate,&#148; &#147;expect,&#148; &#147;intend,&#148; &#147;plan,&#148; &#147;seek,&#148; &#147;see,&#148; &#147;would,&#148; and &#147;target&#148; and similar expressions are forward-looking statements. Such statements relate to future
events that by their nature address matters that are, to different degrees, uncertain. These forward-looking statements relate to, among other things, the company&#146;s future operating performance, the company&#146;s share of new and existing
markets, the company&#146;s revenue and earnings growth rates, the company&#146;s ability to innovate and commercialize new products, and the company&#146;s implementation of cost-reduction initiatives and measures to improve pricing, including the
optimization of the company&#146;s manufacturing capacity. </B></P>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Appendix A </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>RMI Smelter List<SUP STYLE="font-size:85%; vertical-align:top">1</SUP> </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:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">8853 S.p.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ITALY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002763</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Abington Reldan Metals, LLC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002708</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Non Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Advanced Chemical Company</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000015</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">African Gold Refinery</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UGANDA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003185</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Aida Chemical Industries Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000019</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Al Etihad Gold Refinery DMCC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED ARAB EMIRATES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002560</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Allgemeine <FONT STYLE="white-space:nowrap">Gold-und</FONT> Silberscheideanstalt A.G.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000035</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Almalyk Mining and Metallurgical Complex (AMMC)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UZBEKISTAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000041</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">AngloGold Ashanti Corrego do Sitio Mineracao</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000058</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Argor-Heraeus S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SWITZERLAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000077</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Asahi Pretec Corp.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000082</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Asahi Refining Canada Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CANADA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000924</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Asahi Refining USA Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000920</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Asaka Riken Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000090</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Atasay Kuyumculuk Sanayi Ve Ticaret A.S.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">TURKEY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000103</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Due Diligence Vetting Process</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">AU Traders and Refiners</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SOUTH AFRICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002850</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Aurubis AG</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000113</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Bangalore Refinery</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002863</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Bangko Sentral ng Pilipinas (Central Bank of the Philippines)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PHILIPPINES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000128</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Boliden AB</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SWEDEN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000157</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">C. Hafner GmbH + Co. KG</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000176</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">C.I Metales Procesados Industriales SAS</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">COLOMBIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003421</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">In Communication</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR></TABLE> <P STYLE="line-height:8.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000;width:11%">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left"><SUP STYLE="font-size:85%; vertical-align:top">1</SUP>&nbsp;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">This Exhibit contains all legitimate smelter or refiner information we received on the CMRTs provided by our
suppliers in response to our survey requests. Because these CMRTs in some instances contained incomplete information, or were not specific to the products supplied to Corning, many of these smelters and refiners cannot be tied to specific Corning
products. </P></TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Caridad</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">MEXICO</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000180</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Communication Suspended - Not Interested</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CCR Refinery - Glencore Canada Corporation</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CANADA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000185</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Cendres + Metaux S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SWITZERLAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000189</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CGR Metalloys Pvt Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003382</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Chimet S.p.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ITALY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000233</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Chugai Mining</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000264</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Daye <FONT STYLE="white-space:nowrap">Non-Ferrous</FONT> Metals Mining Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000343</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">In Communication</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Degussa Sonne / Mond Goldhandel GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002867</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Dijllah Gold Refinery FZC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED ARAB EMIRATES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003348</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">In Communication</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">DODUCO Contacts and Refining GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000362</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Dowa</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000401</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">DS PRETECH Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003195</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">DSC (Do Sung Corporation)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000359</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"><FONT STYLE="white-space:nowrap">Eco-System</FONT> Recycling Co., Ltd. East Plant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000425</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"><FONT STYLE="white-space:nowrap">Eco-System</FONT> Recycling Co., Ltd. North Plant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003424</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"><FONT STYLE="white-space:nowrap">Eco-System</FONT> Recycling Co., Ltd. West Plant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003425</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Emirates Gold DMCC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED ARAB EMIRATES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002561</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Fidelity Printers and Refiners Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ZIMBABWE</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002515</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Due Diligence Vetting Process</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Fujairah Gold FZC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED ARAB EMIRATES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002584</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GCC Gujrat Gold Centre Pvt. Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002852</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">In Communication</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Geib Refining Corporation</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002459</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Gold Coast Refinery</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GHANA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003186</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Gold Refinery of Zijin Mining Group Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002243</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Great Wall Precious Metals Co., Ltd. of CBPM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001909</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Guangdong Jinding Gold Limited</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002312</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Guoda Safina High-Tech Environmental Refinery Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000651</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hangzhou Fuchunjiang Smelting Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000671</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Heimerle + Meule GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000694</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Heraeus Metals Hong Kong Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000707</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Heraeus Precious Metals GmbH&nbsp;&amp; Co. KG</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000711</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hunan Chenzhou Mining Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000767</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000773</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">HwaSeong CJ CO., LTD.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000778</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Communication Suspended - Not Interested</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000801</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">International Precious Metal Refiners</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED ARAB EMIRATES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002562</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ishifuku Metal Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000807</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Istanbul Gold Refinery</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">TURKEY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000814</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Italpreziosi</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ITALY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002765</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JALAN&nbsp;&amp; Company</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002893</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Japan Mint</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000823</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Copper Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000855</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JSC Ekaterinburg <FONT STYLE="white-space:nowrap">Non-Ferrous</FONT> Metal Processing Plant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000927</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RMI Due Diligence Review - Unable to Proceed</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JSC Uralelectromed</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000929</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JX Nippon Mining&nbsp;&amp; Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000937</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kaloti Precious Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED ARAB EMIRATES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002563</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RMI Due Diligence Review - Unable to Proceed</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kazakhmys Smelting LLC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KAZAKHSTAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000956</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">In Communication</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kazzinc</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KAZAKHSTAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000957</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kennecott Utah Copper LLC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000969</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KGHM Polska Miedz Spolka Akcyjna</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">POLAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002511</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kojima Chemicals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000981</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Korea Zinc Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002605</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kyrgyzaltyn JSC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KYRGYZSTAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001029</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kyshtym Copper-Electrolytic Plant ZAO</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002865</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">L&#146;azurde Company For Jewelry</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SAUDI ARABIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001032</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RMI Due Diligence Review - Unable to Proceed</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Lingbao Gold Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001056</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Lingbao Jinyuan Tonghui Refinery Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001058</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">L&#146;Orfebre S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ANDORRA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002762</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top"><FONT STYLE="white-space:nowrap">LS-NIKKO</FONT> Copper Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001078</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">LT Metal Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000689</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Luoyang Zijin Yinhui Gold Refinery Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001093</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Marsam Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002606</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Materion</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001113</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Matsuda Sangyo Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001119</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metalor Technologies (Hong Kong) Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001149</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metalor Technologies (Singapore) Pte., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SINGAPORE</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001152</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metalor Technologies (Suzhou) Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001147</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metalor Technologies S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SWITZERLAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001153</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metalor USA Refining Corporation</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001157</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metalurgica <FONT STYLE="white-space:nowrap">Met-Mex</FONT> Penoles S.A. De C.V.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">MEXICO</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001161</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Mitsubishi Materials Corporation</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001188</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Mitsui Mining and Smelting Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001193</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">MMTC-PAMP India Pvt., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002509</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Modeltech Sdn Bhd</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">MALAYSIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002857</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Non Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Morris and Watson</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">NEW ZEALAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002282</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Communication Suspended - Not Interested</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Moscow Special Alloys Processing Plant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001204</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Nadir Metal Rafineri San. Ve Tic. A.S.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">TURKEY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001220</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Navoi Mining and Metallurgical Combinat</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UZBEKISTAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001236</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">NH Recytech Company</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003189</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Non Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Nihon Material Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001259</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">AUSTRIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002779</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ohura Precious Metal Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001325</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">OJSC &#147;The Gulidov Krasnoyarsk <FONT STYLE="white-space:nowrap">Non-Ferrous</FONT> Metals Plant&#148; (OJSC Krastsvetmet)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001326</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">OJSC Novosibirsk Refinery</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000493</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PAMP S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SWITZERLAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001352</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Pease&nbsp;&amp; Curren</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002872</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Penglai Penggang Gold Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001362</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Planta Recuperadora de Metales SpA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHILE</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002919</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Prioksky Plant of <FONT STYLE="white-space:nowrap">Non-Ferrous</FONT> Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001386</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PT Aneka Tambang (Persero) Tbk</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDONESIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001397</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PX Precinox S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SWITZERLAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001498</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">QG Refining, LLC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003324</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Rand Refinery (Pty) Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SOUTH AFRICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001512</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Refinery of Seemine Gold Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000522</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">REMONDIS PMR B.V.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">NETHERLANDS</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002582</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Royal Canadian Mint</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CANADA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001534</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SAAMP</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">FRANCE</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002761</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Sabin Metal Corp.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001546</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Safimet S.p.A</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ITALY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002973</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SAFINA A.S.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CZECH REPUBLIC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002290</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Active</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Sai Refinery</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002853</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Samduck Precious Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001555</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Samwon Metals Corp.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001562</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Communication Suspended - Not Interested</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SAXONIA Edelmetalle GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002777</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SEMPSA Joyeria Plateria S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SPAIN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001585</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Shandong Humon Smelting Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002525</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Shandong Tiancheng Biological Gold Industrial Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001619</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Shandong Zhaojin Gold&nbsp;&amp; Silver Refinery Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001622</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Sichuan Tianze Precious Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001736</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Singway Technology Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">TAIWAN, PROVINCE OF CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002516</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SOE Shyolkovsky Factory of Secondary Precious Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001756</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Solar Applied Materials Technology Corp.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">TAIWAN, PROVINCE OF CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001761</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Sovereign Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003383</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">State Research Institute Center for Physical Sciences and Technology</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">LITHUANIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003153</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Sudan Gold Refinery</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SUDAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002567</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Sumitomo Metal Mining Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001798</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SungEel HiMetal Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002918</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">T.C.A S.p.A</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ITALY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002580</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Tanaka Kikinzoku Kogyo K.K.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001875</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">The Refinery of Shandong Gold Mining Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001916</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Tokuriki Honten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001938</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Tongling Nonferrous Metals Group Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001947</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Tony Goetz NV</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BELGIUM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002587</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Non Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">TOO <FONT STYLE="white-space:nowrap">Tau-Ken-Altyn</FONT></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KAZAKHSTAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002615</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Torecom</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001955</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Umicore Brasil Ltda.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001977</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Umicore Precious Metals Thailand</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">THAILAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002314</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Umicore S.A. Business Unit Precious Metals Refining</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BELGIUM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001980</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">United Precious Metal Refining, Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001993</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Valcambi S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SWITZERLAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002003</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Western Australian Mint (T/a The Perth Mint)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">AUSTRALIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002030</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">WIELAND Edelmetalle GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002778</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yamakin Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002100</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yokohama Metal Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002129</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yunnan Copper Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000197</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Gold</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Zhongyuan Gold Smelter of Zhongjin Gold Corporation</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002224</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Asaka Riken Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000092</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Changsha South Tantalum Niobium Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000211</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CP Metals Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003402</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">D Block Metals, LLC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002504</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Exotech Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000456</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">F&amp;X Electro-Materials Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000460</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">FIR Metals&nbsp;&amp; Resource Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002505</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Global Advanced Metals Aizu</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002558</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Global Advanced Metals Boyertown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002557</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Guangdong Zhiyuan New Material Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000616</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">H.C. Starck Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">THAILAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002544</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">H.C. Starck Hermsdorf GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002547</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">H.C. Starck Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002548</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">H.C. Starck Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002549</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">H.C. Starck Smelting GmbH&nbsp;&amp; Co. KG</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002550</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">H.C. Starck Tantalum and Niobium GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002545</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hengyang King Xing Lifeng New Materials Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002492</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Dinghai Tantalum&nbsp;&amp; Niobium Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002512</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Tuohong New Raw Material</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002842</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JiuJiang JinXin Nonferrous Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000914</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiujiang Tanbre Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000917</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiujiang Zhongao Tantalum&nbsp;&amp; Niobium Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002506</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KEMET Blue Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">MEXICO</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002539</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">LSM Brasil S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001076</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metallurgical Products India Pvt., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001163</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Mineracao Taboca S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001175</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Mitsui Mining and Smelting Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001192</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ningxia Orient Tantalum Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001277</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">NPM Silmet AS</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ESTONIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001200</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PRG Dooel</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">NORTH MACEDONIA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002847</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">QuantumClean</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001508</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Resind Industria e Comercio Ltda.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002707</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Solikamsk Magnesium Works OAO</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001769</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Taki Chemical Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001869</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Telex Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001891</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ulba Metallurgical Plant JSC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KAZAKHSTAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001969</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">XinXing HaoRong Electronic Material Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002508</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tantalum</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yanling Jincheng Tantalum&nbsp;&amp; Niobium Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001522</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Alpha</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000292</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">An Vinh Joint Stock Mineral Processing Company</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">VIET NAM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002703</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000228</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Chifeng Dajingzi Tin Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003190</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">China Tin Group Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001070</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Dongguan CiEXPO Environmental Engineering Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003356</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Non Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Dowa</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000402</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Electro-Mechanical Facility of the Cao Bang Minerals&nbsp;&amp; Metallurgy Joint Stock Company</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">VIET NAM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002572</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Non Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">EM Vinto</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BOLIVIA (PLURINATIONAL STATE OF)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000438</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Estanho de Rondonia S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000448</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">In Communication</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Fenix Metals</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">POLAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000468</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Gejiu City Fuxiang Industry and Trade Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003410</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Gejiu Kai Meng Industry and Trade LLC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000942</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Gejiu <FONT STYLE="white-space:nowrap">Non-Ferrous</FONT> Metal Processing Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000538</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001908</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Gejiu Zili Mining And Metallurgy Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000555</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Guangdong Hanhe <FONT STYLE="white-space:nowrap">Non-Ferrous</FONT> Metal Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003116</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Guanyang Guida Nonferrous Metal Smelting Plant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002849</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">HuiChang Hill Tin Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002844</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Huichang Jinshunda Tin Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000760</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi New Nanshan Technology Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001231</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Luna Smelter, Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RWANDA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003387</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ma&#146;anshan Weitai Tin Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003379</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Magnu&#146;s Minerais Metais e Ligas Ltda.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002468</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Malaysia Smelting Corporation (MSC)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">MALAYSIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001105</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Melt Metais e Ligas S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002500</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metallic Resources, Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001142</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metallo Belgium N.V.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BELGIUM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002773</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Metallo Spain S.L.U.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">SPAIN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002774</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Mineracao Taboca S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001173</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Minsur</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PERU</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001182</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Mitsubishi Materials Corporation</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001191</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Modeltech Sdn Bhd</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">MALAYSIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002858</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Non Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Nghe Tinh <FONT STYLE="white-space:nowrap">Non-Ferrous</FONT> Metals Joint Stock Company</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">VIET NAM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002573</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">O.M. Manufacturing (Thailand) Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">THAILAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001314</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">O.M. Manufacturing Philippines, Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PHILIPPINES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002517</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Operaciones Metalurgicas S.A.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BOLIVIA (PLURINATIONAL STATE OF)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001337</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Pongpipat Company Limited</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">MYANMAR</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003208</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Precious Minerals and Smelting Limited</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003409</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Active</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PT Artha Cipta Langgeng</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDONESIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001399</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PT ATD Makmur Mandiri Jaya</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDONESIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002503</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PT Menara Cipta Mulia</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDONESIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002835</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PT Mitra Stania Prima</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDONESIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001453</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PT Refined Bangka Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDONESIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001460</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PT Timah Tbk Kundur</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDONESIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001477</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PT Timah Tbk Mentok</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">INDONESIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001482</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Resind Industria e Comercio Ltda.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002706</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Rui Da Hung</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">TAIWAN, PROVINCE OF CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001539</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Soft Metais Ltda.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001758</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Super Ligas</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002756</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Thai Nguyen Mining and Metallurgy Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">VIET NAM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002834</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Thaisarco</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">THAILAND</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001898</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Tin Technology&nbsp;&amp; Refining</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003325</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Tuyen Quang <FONT STYLE="white-space:nowrap">Non-Ferrous</FONT> Metals Joint Stock Company</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">VIET NAM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002574</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">White Solder Metalurgia e Mineracao Ltda.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002036</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yunnan Chengfeng <FONT STYLE="white-space:nowrap">Non-ferrous</FONT> Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002158</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yunnan Tin Company Limited</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002180</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tin</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yunnan Yunfan <FONT STYLE="white-space:nowrap">Non-ferrous</FONT> Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003397</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">A.L.M.T. Corp.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000004</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">ACL Metais Eireli</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002833</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">BRAZIL</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003427</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Active</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Asia Tungsten Products Vietnam Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">VIET NAM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002502</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Chenzhou Diamond Tungsten Products Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002513</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">China Molybdenum Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002641</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">In Communication</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Chongyi Zhangyuan Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000258</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CNMC (Guangxi) PGMA Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000281</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Outreach Required</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CP Metals Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003448</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Active</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Fujian Ganmin RareMetal Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003401</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Fujian Jinxin Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000499</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ganzhou Haichuang Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002645</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ganzhou Huaxing Tungsten Products Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000875</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ganzhou Jiangwu Ferrotungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002315</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Ganzhou Seadragon W&nbsp;&amp; Mo Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002494</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Global Tungsten&nbsp;&amp; Powders Corp.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000568</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Guangdong Xianglu Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000218</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">H.C. Starck Smelting GmbH&nbsp;&amp; Co. KG</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002542</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">H.C. Starck Tungsten GmbH</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">GERMANY</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002541</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hunan Chenzhou Mining Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000766</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002579</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hunan Chunchang Nonferrous Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000769</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hunan Litian Tungsten Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003182</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Hydrometallurg, JSC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002649</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Japan New Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JAPAN</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000825</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangwu H.C. Starck Tungsten Products Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002551</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Gan Bei Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002321</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Minmetals Gao&#146;an <FONT STYLE="white-space:nowrap">Non-ferrous</FONT> Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002313</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Communication Suspended - Not Interested</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Tonggu <FONT STYLE="white-space:nowrap">Non-ferrous</FONT> Metallurgical&nbsp;&amp; Chemical Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002318</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Xianglu Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002647</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Active</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Xinsheng Tungsten Industry Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002317</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Jiangxi Yaosheng Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002316</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">JSC &#147;Kirovgrad Hard Alloys Plant&#148;</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003408</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Active</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Uknown</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unknown</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kennametal Fallon</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000966</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Kennametal Huntsville</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID000105</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KGETS Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003388</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Lianyou Metals Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">TAIWAN, PROVINCE OF CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID003407</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Malipo Haiyu Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002319</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Masan Tungsten Chemical LLC (MTC)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">VIET NAM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002543</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Moliren Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002845</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Niagara Refining LLC</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">UNITED STATES OF AMERICA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002589</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Philippine Chuangxin Industrial Co., Inc.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">PHILIPPINES</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002827</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Tejing (Vietnam) Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">VIET NAM</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID001889</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Unecha Refractory metals plant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">RUSSIAN FEDERATION</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002724</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Wolfram Bergbau und Hutten AG</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">AUSTRIA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002044</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Woltech Korea Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">KOREA, REPUBLIC OF</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002843</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Xiamen Tungsten (H.C.) Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002320</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD></TR>
<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Xiamen Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002082</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR></TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">

<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>

<TD WIDTH="9%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="25%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="17%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="15%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="8%"></TD>

<TD VALIGN="bottom" WIDTH="1%"></TD>
<TD WIDTH="10%"></TD></TR>

<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:8pt">
<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; ">Metal</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Standard Smelter Name</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter Facility</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Location</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Smelter</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">ID</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">RMI Audit</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Status</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Conflict</P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Free?</P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">Source&nbsp;from<BR>DRC?</P></TD></TR>


<TR BGCOLOR="#cceeff" STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Xinfeng Huarui Tungsten&nbsp;&amp; Molybdenum New Material Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002830</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Tungsten</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Xinhai Rendan Shaoguan Tungsten Co., Ltd.</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">CHINA</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">CID002095</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Conformant</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Yes</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">No</TD></TR>
</TABLE>
</DIV></Center>


<p style="margin-top:1em; margin-bottom:0em; page-break-before:always">
<HR SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Appendix B </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Country of Origin Information </B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">This list
of potential countries of origin is populated based on publicly available information, our RCOI and due diligence. It is important to note that this is also based on company level responses and therefore, it is not certain which of these countries
of origin can be specifically linked to our products. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Argentina, Australia, Austria, Azerbaijan, Benin, Bolivia (Plurinational State of), Botswana,
Brazil, Burkina Faso, Burundi, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Cuba, Cyprus, Dominican Republic, Ecuador, Egypt, Eritrea, Ethiopia, Fiji, Finland, France, Georgia, Germany, Ghana, Guatemala, Guinea, Guyana,
Honduras, India, Indonesia, Iran, Ivory Coast, Japan, Kazakhstan, Kenya, Laos, Liberia, Madagascar, Malaysia, Mali, Mauritania, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Netherlands, New Zealand, Nicaragua, Niger, Nigeria, Papua New Guinea,
Peru, Philippines, Portugal, Puerto Rico, Russian Federation, Rwanda, Senegal, Serbia, Sierra Leone, Slovakia, Solomon Islands, Somaliland, South Africa, Spain, Suriname, Swaziland, Sweden, Taiwan, Tajikistan, Tanzania, Thailand, Togo, Turkey,
Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uruguay, Uzbekistan, Venezuela, Viet Nam, Zambia, Zimbabwe. </B></P>
</DIV></Center>

</BODY></HTML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
