<SEC-DOCUMENT>0001104659-21-075079.txt : 20210601
<SEC-HEADER>0001104659-21-075079.hdr.sgml : 20210601
<ACCEPTANCE-DATETIME>20210601164606
ACCESSION NUMBER:		0001104659-21-075079
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		2
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20201231
</ITEM>
<ITEM>
<ITEM-NUMBER>1.02
<ITEM-PERIOD>20201231
</ITEM>
</RULE>
FILED AS OF DATE:		20210601
DATE AS OF CHANGE:		20210601

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			NRG ENERGY, INC.
		CENTRAL INDEX KEY:			0001013871
		STANDARD INDUSTRIAL CLASSIFICATION:	ELECTRIC SERVICES [4911]
		IRS NUMBER:				411724239
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-15891
		FILM NUMBER:		21985980

	BUSINESS ADDRESS:	
		STREET 1:		804 CARNEGIE CENTER
		STREET 2:		-
		CITY:			PRINCETON
		STATE:			NJ
		ZIP:			08540
		BUSINESS PHONE:		609-524-4500

	MAIL ADDRESS:	
		STREET 1:		804 CARNEGIE CENTER
		STREET 2:		-
		CITY:			PRINCETON
		STATE:			NJ
		ZIP:			08540

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	NRG ENERGY INC
		DATE OF NAME CHANGE:	19960509
</SEC-HEADER>
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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 18pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>UNITED STATES</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 18pt"><B>SECURITIES AND
EXCHANGE COMMISSION<BR>
&nbsp;</B></FONT><B><FONT STYLE="font-size: 10pt">Washington, DC 20549</FONT></B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 18pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>FORM SD</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>Specialized Disclosure Report</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 18pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>NRG Energy, Inc.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">(Exact name of registrant as specified in its charter)</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

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    <TD STYLE="text-align: center; vertical-align: top; width: 34%"><B>Delaware</B></TD>
    <TD STYLE="text-align: center; vertical-align: bottom; width: 1%"><B>&nbsp;</B></TD>
    <TD STYLE="text-align: center; vertical-align: top; width: 32%"><B>001-15891</B></TD>
    <TD STYLE="text-align: center; vertical-align: bottom; width: 1%"><B>&nbsp;</B></TD>
    <TD STYLE="text-align: center; vertical-align: top; width: 32%"><B>41-1724239</B></TD></TR>
  <TR>
    <TD STYLE="text-align: center; vertical-align: top">(State or other jurisdiction of<BR> incorporation) &nbsp;</TD>
    <TD STYLE="text-align: center; vertical-align: bottom">&nbsp; &nbsp;</TD>
    <TD STYLE="text-align: center; vertical-align: top">(Commission File Number) &nbsp;</TD>
    <TD STYLE="text-align: center; vertical-align: bottom">&nbsp; &nbsp;</TD>
    <TD STYLE="text-align: center; vertical-align: top">(I.R.S. Employer Identification<BR> Number) &nbsp;</TD></TR>
  </TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

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    <TD STYLE="text-align: center; vertical-align: top; width: 50%"><B>910 Louisiana Street, Houston, Texas</B></TD>
    <TD STYLE="vertical-align: bottom; width: 1%"><B>&nbsp;</B></TD>
    <TD STYLE="vertical-align: top; font-size: 10pt; text-align: center; width: 49%"><B>77002</B></TD></TR>
  <TR>
    <TD STYLE="text-align: center; vertical-align: top">(Address of principal executive offices) &nbsp;</TD>
    <TD STYLE="vertical-align: bottom">&nbsp; &nbsp;</TD>
    <TD STYLE="text-align: center; vertical-align: top">(Zip Code) &nbsp;</TD></TR>
  </TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
  <TR>
    <TD STYLE="text-align: center; vertical-align: top; width: 50%; padding-right: 3pt; padding-left: 3pt">Name and telephone number, including area code, of<BR> person to contact in connection with this report: &nbsp;</TD>
    <TD STYLE="vertical-align: bottom; width: 1%; padding-right: 3pt; padding-left: 3pt">&nbsp; &nbsp;</TD>
    <TD STYLE="text-align: center; vertical-align: top; width: 49%; padding-right: 3pt; padding-left: 3pt"><B>Michael Bramnick<BR> Chief Compliance Officer<BR> (713) 537-3000</B> &nbsp;</TD></TR>
  </TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; text-align: left; margin-top: 0pt; margin-bottom: 0pt">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: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><FONT STYLE="font-family: Wingdings">&#120;</FONT> <FONT STYLE="font-family: Times New Roman, Times, Serif">Rule
13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.</FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Section 1 &mdash; Conflict Minerals Disclosure</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Item 1.01 Conflict Minerals Disclosure and Report</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">NRG Energy, Inc. (&ldquo;NRG&rdquo; or the &ldquo;Company&rdquo;) has
evaluated its current product lines and determined that certain products it manufactures or contracts to manufacture contain tin, tungsten,
tantalum and/or gold (&ldquo;3TGs&rdquo;). On the basis of the responses to the Company&rsquo;s reasonable country of origin inquiries,
the Company is unable to determine that the 3TGs necessary to the functionality or production of its products did not originate in the
Democratic Republic of Congo or any of the other Covered Countries as defined under Rule 13p-1 of the Securities Exchange Act of 1934,
as amended. As a result, the Company has prepared a conflict minerals report, which is attached as Exhibit 1.01 to this Form SD and available
on the Company&rsquo;s website at http://investors.nrg.com/phoenix.zhtml?c=121544&amp;p=irol-sec.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Item 1.02 Exhibit</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">See Item 1.01 and Item 2.01.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Section 2 &mdash; Exhibits</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Item 2.01 Exhibits</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><A HREF="tm2118131d1_ex1-01.htm" STYLE="-sec-extract: exhibit">Exhibit 1.01 &mdash; Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.</A></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>SIGNATURES</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>

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    <TD><B>&nbsp;</B> &nbsp;</TD>
    <TD COLSPAN="2"><B>NRG Energy, Inc.</B> &nbsp;</TD></TR>
  <TR STYLE="vertical-align: top">
    <TD><B>&nbsp;</B> &nbsp;</TD>
    <TD COLSPAN="2"><B>(Registrant)</B> &nbsp;</TD></TR>
  <TR STYLE="vertical-align: top">
    <TD STYLE="width: 52%"><B>&nbsp;</B> &nbsp;</TD>
    <TD STYLE="width: 4%"><B>&nbsp;</B> &nbsp;</TD>
    <TD STYLE="width: 44%"><B>&nbsp;</B> &nbsp;</TD></TR>
  <TR STYLE="vertical-align: top">
    <TD><B>&nbsp;</B> &nbsp;</TD>
    <TD><B>&nbsp;</B> &nbsp;</TD>
    <TD><B>&nbsp;</B> &nbsp;</TD></TR>
  <TR STYLE="vertical-align: top">
    <TD>&nbsp; &nbsp;</TD>
    <TD>By: &nbsp;</TD>
    <TD STYLE="border-bottom: black 1pt solid">/s/ Michael Bramnick &nbsp;</TD></TR>
  <TR STYLE="vertical-align: top">
    <TD>&nbsp; &nbsp;</TD>
    <TD COLSPAN="2">Michael Bramnick &nbsp;</TD></TR>
  <TR STYLE="vertical-align: top">
    <TD>&nbsp; &nbsp;</TD>
    <TD COLSPAN="2">Chief Compliance Officer &nbsp;</TD></TR>
  </TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Date: May 31, 2021</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: right">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: right"><B>Exhibit 1.01</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>NRG Energy, Inc.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>Conflict Minerals Report</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>For The Year Ended December 31, 2020</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Overview</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">This report for the year ended December 31, 2020,
is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the &ldquo;Rule&rdquo;). The Rule was adopted by the
Securities and Exchange Commission (&ldquo;SEC&rdquo;) 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 (&ldquo;Dodd-Frank Act&rdquo;). The term &ldquo;conflict
minerals&rdquo; is defined as columbite-tantalite (coltan), cassiterite, gold, wolframite and their derivatives, which are limited to
tantalum, tin and tungsten. For the purposes of this report, tin, tungsten, tantalum and gold will collectively be referred to as &ldquo;3TGs&rdquo;.
The term &ldquo;Covered Countries&rdquo; for purposes of the Rule are the Democratic Republic of the Congo (the &ldquo;DRC&rdquo;) and
the following adjoining countries: the Republic of the Congo, the Central African Republic, South Sudan, Rwanda, Uganda, Zambia, Burundi,
Tanzania and Angola.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">This report has been prepared by management of
the Company (herein referred to as &ldquo;NRG,&rdquo; the &ldquo;Company,&rdquo; &ldquo;we,&rdquo; &ldquo;us,&rdquo; or &ldquo;our&rdquo;)
with the assistance of our third-party vendor, Assent Compliance (&ldquo;Assent&rdquo;). The information includes the activities of all
majority-owned subsidiaries and consolidated joint ventures. It does not include the activities of minority-owned subsidiaries and variable
interest entities that are not required to be consolidated.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Company Overview</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">NRG Energy, Inc., or NRG or the Company, is an
integrated power company built on dynamic retail brands with diverse generation assets. NRG brings the power of energy to customers by
producing and selling electricity and related products and services in major competitive power and gas markets in the U.S. and Canada
in a manner that delivers value to all of NRG's stakeholders. The Company sells energy, services, and innovative, sustainable products
and services directly to retail customers under the brand names NRG, Reliant, Direct Energy, Green Mountain Energy, Stream, and XOOM Energy,
as well as other brand names owned by NRG, supported by approximately 23,000 MW of generation, including approximately 4,850 MW of fossil
generation assets held for sale as of March 31, 2021. NRG was incorporated as a Delaware corporation on May 29, 1992.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">On September 16, 2014, NRG acquired Goal Zero
LLC (&ldquo;Goal Zero&rdquo;), a provider of portable solar power and battery pack products and accessories. As a result of the acquisition,
Goal Zero became a wholly owned indirect subsidiary of NRG. This report is made on behalf of Goal Zero and Reliant, which also contracts
for the manufacture of certain products for sale, hereinafter collectively referred to as &ldquo;NRG.&rdquo;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Product Overview</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">NRG conducted an analysis of the materials used
in the production of products manufactured on behalf of its subsidiaries and determined that substantially all of such products may contain
3TGs. The Company expects that 3TGs may be found in those products within the following component parts:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in"><FONT STYLE="font-family: Times New Roman, Times, Serif">&#8729;</FONT>&nbsp;Tantalum,
used in capacitors;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in"><FONT STYLE="font-family: Times New Roman, Times, Serif">&#8729;</FONT>&nbsp;Tin,
used in soldered components;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in"><FONT STYLE="font-family: Times New Roman, Times, Serif">&#8729;</FONT>&nbsp;Tungsten,
used in coatings, alloys, heating elements and electrodes; and</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in"><FONT STYLE="font-family: Times New Roman, Times, Serif">&#8729;</FONT>&nbsp;Gold,
used in circuit boards, electrodes and electronic components.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">&nbsp;</P>


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&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Therefore, NRG concluded that it was subject to
the Rule and thus required to conduct a good-faith, reasonable country of origin inquiry (&ldquo;RCOI&rdquo;) reasonably designed to determine
whether any of the necessary 3TGs in our products either originated in the Covered Countries or came from recycled or scrap materials.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Policies relating to Conflict Minerals</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">NRG&rsquo;s applicable supply contracts require
suppliers to represent and ensure that they supply only 3TGs that are &ldquo;conflict free&rdquo; as that term is defined in the Rule,
unless otherwise agreed to by the parties. NRG also requires that its applicable suppliers agree that they will inform all of their own
suppliers of this policy and undertake to ensure that such policy is complied with throughout the supply chain. NRG reserves the right,
in such contracts, to audit its suppliers&rsquo; compliance at any time, and to terminate supply agreements if there is a material breach
of the agreement.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">In addition, in May 2016, NRG adopted manufacturing
standards (the &ldquo;Manufacturing Standards&rdquo;) with which all contract manufacturers of the Company are required to comply. The
Manufacturing Standards address compliance with laws and regulations, and require manufacturers to abide by the applicable laws and regulations
of the country in which they are doing business, including, but not limited to, laws related to labor practices, health and safety, environmental
responsibility, and anti-corruption. We believe that the standards also set requirements based on industry best practices and international
conventions, including those related to 3TGs.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Manufacturing &amp; Supply Chain</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">No NRG subsidiary directly manufactures any products.
They contract for the manufacture and assembly of its products through a competitive global supply process. The suppliers then source
both raw materials and purchased parts. For example, Goal Zero has 16 direct material suppliers globally, and there are generally multiple
tiers between the 3TG mines and Goal Zero&rsquo;s direct suppliers. Therefore, we rely on the direct suppliers to provide information
on the origin of the 3TGs contained in components and materials supplied to Goal Zero &mdash; including sources of 3TGs that are supplied
to them from lower tier suppliers. Contracts with suppliers are frequently in force for multiple years and we cannot always unilaterally
impose new contract terms and flow-down requirements. As we enter into new contracts, we are requiring such suppliers to provide information
about the presence of conflict minerals in the products they supply to us and about the smelter sources of any 3TGs.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Reasonable Country of Origin Inquiry</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">The Rule requires us to conduct in good faith
an RCOI. As part of our RCOI, we implemented a survey process for assessing our current products and the supply chain associated with
the components and materials that go into these products. Given the limited number of direct suppliers for NRG&rsquo;s applicable products,
we determined at this time to include all of Goal Zero&rsquo;s suppliers who provided parts or components that we reasonably believed
were likely to contain 3TGs, based upon spend data through September 30, 2020, in our survey process. We also confirmed that our supplier
list did not materially change between September 30, 2020, and December 31, 2020.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">To determine whether necessary 3TGs in our products
originated in Covered Countries, we retained Assent Compliance (&ldquo;Assent&rdquo;), our third-party service provider, to assist us
in reviewing our supply chain. We provided a list composed of suppliers associated with the Covered Products to Assent for upload to the
Assent Compliance Manager tool (&ldquo;ACM&rdquo;). We deemed it impractical to filter this list further to exclude some possibly irrelevant
suppliers because we could not determine definitively the presence or absence of conflict minerals in all parts supplied to NRG for our
products.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Through its SaaS platform which enables its users
to complete and track supplier communications as well as allow suppliers to upload completed CMRTs directly to the platform for assessment
and management, Assent then requested that all identified suppliers provide information to us regarding 3TGs and smelters, using the template
provided by the Responsible Business Alliance-RBA and the Global e-Sustainability Initiative (&ldquo;GeSI&rdquo;), known as the Conflict
Minerals Reporting Template (&ldquo;CMRT&rdquo;). The CMRT was developed to facilitate disclosure and communication of information regarding
smelters and refiners that provide material to a manufacturer&rsquo;s supply chain. It includes questions about a direct supplier&rsquo;s
conflict minerals policy, its due diligence process, and information about its supply chain such as the names and locations of smelters
and refiners as well as the origin of 3TGs used by those facilities.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Assent requested that all suppliers complete
a CMRT and included training and education to guide suppliers on best practices and the use of this template. Assent monitored and
tracked all communications in the ACM for future reporting and transparency. NRG directly contacted suppliers that were unresponsive
to Assent&rsquo;s communications during the diligence process and requested such suppliers to complete the CMRT form and submit such
form to Assent. Our program continues to include automated data validation on all submitted CMRTs. The goal of data validation is to
increase the accuracy of submissions and identify any contradictory answers in the CMRT.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">This data validation is based on:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-family: Symbol">&middot;</FONT></TD><TD STYLE="text-align: justify">For the CMRT to be complete, the minimum requirement is filling out the company information section (rows
8-22) and answering the first question (rows 26-29). No yellow cells should be left in the CMRT</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-family: Symbol">&middot;</FONT></TD><TD STYLE="text-align: justify">Must list at least one smelter for each mineral claimed in question 1 (on the &lsquo;Smelter List&rsquo;
tab)</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-family: Symbol">&middot;</FONT></TD><TD STYLE="text-align: justify">A supplier cannot determine 3TG sourcing from DRC (question 3) if all suppliers have not been contacted
and smelters verified:</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-family: Symbol">&middot;</FONT></TD><TD STYLE="text-align: justify">Questions 3 and 4 can&rsquo;t be &lsquo;No&rsquo; if question 7 is &lsquo;No&rsquo; because you can&rsquo;t
determine that none of the smelters&rsquo; source 3TG from the covered countries if you haven&rsquo;t yet identified all smelters that
supply the 3TG.</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-family: Symbol">&middot;</FONT></TD><TD STYLE="text-align: justify">Must define declaration scope or class - whether the CMRT is company, product or user-defined (row 9)</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-family: Symbol">&middot;</FONT></TD><TD STYLE="text-align: justify">Must list parts on the product list tab if the declaration scope is product level (row 9)</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-family: Symbol">&middot;</FONT></TD><TD STYLE="text-align: justify">Must provide company name, contact/authorizer details and an effective date (rows 8 - 22)</TD></TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">All submitted forms are accepted and classified
as valid or invalid so that data is still retained. Suppliers are contacted regarding invalid forms and are encouraged to submit a valid
form. Suppliers are also provided with guidance on how to correct these validation errors. All responded suppliers provided valid submissions.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Efforts to Determine Mine or Location of Origin</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Our reasonable country of origin inquiry consisted
of surveying tier one (direct) suppliers. We utilized the CMRT template, which includes information regarding the smelters, origin of
conflict minerals, supplier due diligence program and whether the material originates from recycled or scrap sources. The tier one suppliers
performed similar reasonable country of origin inquiry procedures to identify the chain of custody from their suppliers back to the smelter
and origin. We relied on the good faith efforts of the tier one suppliers to provide us with reasonable information and representations
relating to the smelter and country of origin. The smelter or refiner facilities that were identified are contained in Appendix A. See
&ldquo;Smelters or Refiners and Country of Origin of 3TGs&rdquo; below for more detail regarding the information contained in Appendix
A.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">We have determined that requesting NRG&rsquo;s
applicable direct suppliers complete the CMRT represents our reasonable best efforts to determine the mine or locations of origin of 3TGs
in our supply chain.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Conclusion</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">We were unable with assurance to determine the
origin of the 3TGs in all of Goal Zero&rsquo;s products and therefore cannot exclude the possibility that some may have originated in
the Covered Countries. For that reason, we are required under the Rule to submit to the SEC this report as an Exhibit to Form SD.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">This report is publicly available on our website
at http://investors.nrg.com/phoenix.zhtml?c=121544&amp;p=irol-sec.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.25in; text-align: justify; text-indent: -0.25in"><B>Due Diligence
Process </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">In accordance with the Rule, we undertook due
diligence efforts to determine the country, mine or location of origin and facilities used to produce the conflict minerals used in our
products. Our due diligence measures have been designed to conform, in all material respects, with the internationally-recognized framework
in The Organisation for Economic Co-operation and Development (&ldquo;OECD&rdquo;) in the publication <I>OECD (2016) Due Diligence Guidance
for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas</I>: <I>Third Edition, OECD Publishing</I> (&ldquo;OECD
Guidance&rdquo;) and the related Supplements for gold and for tin, tantalum and tungsten.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">The Guidance identifies five steps for due diligence
that should be implemented and explains how to achieve each step. We developed our due diligence process to address each of these five
steps, namely:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">1.</TD><TD STYLE="text-align: justify">Establishing strong company management systems regarding conflict minerals;</TD></TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"></P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">2.</TD><TD>Identifying and assessing risks in our supply chain;</TD></TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"></P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">3.</TD><TD STYLE="text-align: justify">Designing and implementing a strategy to respond to identified risks in our supply chain;</TD></TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"></P>

<TABLE CELLPADDING="0" CELLSPACING="0" STYLE="width: 100%; font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top; text-align: justify">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in; text-align: left">4.</TD><TD STYLE="text-align: justify">Utilizing independent third-party audits of supply chain diligence;
and</TD>
</TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"></P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">5.</TD><TD STYLE="text-align: justify">Publicly reporting on our supply chain due diligence</TD></TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">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, Goal Zero does not purchase raw ore or unrefined conflict minerals or make purchases from the Covered
Countries. 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: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">The OECD Guidance specifies that the requirements
for compliance should reflect a company&rsquo;s position in the supply chain. In particular, the OECD Guidance states that the implementation
of due diligence should be tailored to a company&rsquo;s activities and relationships and that the nature and extent of due diligence
may vary based on a company&rsquo;s size, products, relationships with suppliers and other factors. Due to practical difficulties associated
with supply chain complexities, the OECD Guidance advises that downstream companies exercise due diligence primarily by establishing controls
over their immediate suppliers. Accordingly, we rely primarily on our tier 1 (direct) suppliers to provide information with respect to
the origin of the conflict minerals contained in the components and materials supplied to us.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>Due Diligence
Performed</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>1. <U>Establish
Strong Management Systems</U></B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Internal Compliance Team</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">NRG&rsquo;s management system for conflict minerals
covering calendar year 2020 was sponsored by our Chief Compliance Officer and was supported by appropriate members of the management team,
and a team of subject matter experts from relevant functions such as Corporate Compliance, Supply Chain, and Legal. The team of subject
matter experts was responsible for implementing our conflict minerals compliance strategy for calendar year 2020, and was led by the Chief
Compliance Officer, who acted as the executive conflict minerals program manager. The Audit Committee of the Board of Directors of the
Company (the &ldquo;Audit Committee&rdquo;) and senior management have been and continue to be informed about the results of our due diligence
efforts on a regular basis.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">In addition, NRG engaged Assent to query NRG&rsquo;s
applicable direct suppliers, which were identified to Assent by us in connection with our due diligence process, as well as to assist
us in executing the due diligence process as described in this report.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Internal Controls</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">We have put into place necessary controls to promote
compliance with the Rule. Controls include, but are not limited to, the NRG Code of Conduct (as defined below), the Manufacturing Standards,
and conflict mineral compliance language in all of NRG&rsquo;s applicable supplier agreements.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Grievance Mechanisms</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">NRG has a Code of Conduct whereby employees and
third-parties can learn about NRG&rsquo;s policies (the &ldquo;NRG Code of Conduct&rdquo;). The NRG Code of Conduct, which is posted on
NRG&rsquo;s public website and its internal intranet site, contains multiple methods to report violations of NRG&rsquo;s policies. In
addition, NRG has a Supplier Code of Conduct containing similar information to the NRG Code of Conduct. The NRG Code of Conduct establishes
the manner in which employees and others may report any matters they believe may violate the NRG Code of Conduct, and for the investigation
and resolution of all such reports. They include the Ethics Alertline at nrg.alertline.com and the NRG Ethics Helpline at 888-263-0463,
which permits individuals to provide confidential and anonymous reporting. The NRG Ethics Helpline (888-263-0463) and Alertline (www.nrg.alertline.com)
are available 24 hours a day, seven days a week. They are administered by an outside company to ensure confidentiality and anonymity,
if desired. Calls are not traced or recorded, and NRG does not keep any identifiable information regarding the sender of an online communication.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">NRG&rsquo;s Code of Conduct is accessible on the
Company&rsquo;s website at https://investors.nrg.com/static-files/3911d684-818a-46f7-af82-23702c264ecc.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Supplier Engagement</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">With respect to the OECD requirement to strengthen
engagement with suppliers, we have utilized the CMRT version 6.01 or higher and the Assent Compliance Manager web-based reporting tool
for collecting conflict minerals declarations from NRG&rsquo;s applicable suppliers. The use of these tools has allowed us to assist suppliers
in understanding our expectations and requirements and increase the rate of responses we have received from our suppliers to our survey
requests. As an improvement, this year we used Assent&rsquo;s learning management system, Assent University, to make conflict minerals
training courses available to all of our in-scope suppliers.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">We believe that the combination of the Supplier
Code of Conduct, our Conflict Minerals Policy, and direct engagement with suppliers for Conflict Minerals training and requests constitute
a strong program when it comes to supplier engagement.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Maintain records</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">NRG has a document retention policy, which requires
the Company to retain relevant documentation for a period of 7 years. We implemented a document retention policy through Assent to retain
conflict minerals related documents, including supplier responses to CMRTs. We store 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: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>2. </B>&nbsp;<B><U>Identify
and Assess Risk in the Supply Chain</U></B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Our reasonable country of origin inquiry consisted
of surveying tier one suppliers. We utilized the CMRT template, which includes information regarding the smelters, origin of conflict
minerals, supplier due diligence program and whether the material originates from recycled or scrap sources. We worked with suppliers
to identify the downstream sources of their conflict minerals through the CMRTs and follow-up on invalid responses on the CMRTs, and used
a risk-based assessment of identified smelters and assessment of the conflict minerals programs of its suppliers, as described below.
All of the information and findings from this process and activities are stored in a database maintained by Assent that can be tracked
and audited.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">One risk we identified with respect to the reporting
period ended 2020 related to the nature of the responses received. 50% of all responses received provided data at a company level or were
unable to specify the smelters or refiners used for 3TGs in the components supplied to us. Additionally, some suppliers indicated that
they received information regarding their supply chains from fewer than 75% of their suppliers and, therefore, they could not provide
a comprehensive list of all smelters or refiners in their supply chains.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">In accordance with OECD Guidelines, it is important
to understand risk levels associated with conflict minerals in the supply chain. Smelters not being certified DRC-Conflict Free pose a
significant risk to the Supply Chain. The Assent Compliance Manager software classifies each listed smelter or refiner as high, medium
or low risk based on three scoring criteria: Responsible Minerals Assurance Process &ndash; RMAP audit status, geographic proximity to
the Covered Countries, and known or plausible evidence of unethical or conflict sourcing.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Risks were identified by assessing the due diligence
practices of smelters and refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their
CMRT declarations. Assent compared these facilities listed in the responses to the list of smelters and refiners maintained by the RMI
to ensure that the facilities met the RMI definition of a 3TGs processing facility that was operational during the 2020 calendar year.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">In order to assess the risk that any of these
smelters posed to our supply chain, Assent determined if the smelter had been audited against a standard in conformance with the OECD
Guidance, such as the RMAP. We do not typically have a direct relationship with 3TGs smelters and refiners and do not perform or direct
audits of these entities within our supply chain. Smelters that have completed an RMAP audit are considered to be DRC-Conflict Free. In
cases where the smelter&rsquo;s due diligence practices have not been audited against the RMAP standard, a potential supply chain risk
exists.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">As of May 10, 2021, we have validated 44 smelters
or refiners and are working to validate the additional smelter/refiner entries from the submitted CMRTs. Due to the provision of primarily
supplier-level CMRTs, we cannot definitely determine their connection to the Covered Products.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Each facility that meets the RMI definition of
a smelter or refiner of a 3TGs mineral is assessed according to red flag indicators defined in the OECD Guidance. Assent uses numerous
factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags. These factors include:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">&#9679;</TD><TD STYLE="text-align: justify"><FONT STYLE="font-size: 10pt">Geographic proximity to the DRC and covered countries;</FONT></TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">&#9679;</TD><TD STYLE="text-align: justify"><FONT STYLE="font-size: 10pt">Known mineral source country of origin;</FONT></TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">&#9679;</TD><TD STYLE="text-align: justify"><FONT STYLE="font-size: 10pt">Responsible Minerals Assurance Process (RMAP) audit status;</FONT></TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">&#9679;</TD><TD STYLE="text-align: justify"><FONT STYLE="font-size: 10pt">Credible evidence of unethical or conflict sourcing;</FONT></TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">&#9679;</TD><TD STYLE="text-align: justify"><FONT STYLE="font-size: 10pt">Peer Assessments conducted by credible third-party sources. </FONT></TD></TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">As part of our risk management plan under the
OECD Guidance, when facilities with red flags were reported on a CMRT by one of the suppliers surveyed, risk mitigation activities are
initiated. Through Assent Compliance, submissions that include any red flag facilities immediately produce 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 Goal Zero, and escalating up to removal of these red flag smelters from their supply chain.<BR>
<BR>
As per the OECD Guidance, risk mitigation will depend on the supplier&rsquo;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="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Additionally, suppliers are evaluated on program
strength (further assisting in identifying risk in the supply chain). Evaluating and tracking the strength of the program does meet 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="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="margin: 0pt 0 0pt 0.25in; font: 10pt Times New Roman, Times, Serif; text-align: justify"> A. Have you established a conflict minerals sourcing policy?</P>



<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.25in; text-align: justify">D. Have you implemented due diligence
measures for conflict-free sourcing?</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.25in; text-align: justify">F. Do you review due diligence information
received from your suppliers against your company&rsquo;s expectations?</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.25in; text-align: justify">G. Does your review process include
corrective action management?</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">When suppliers meet or exceed the criteria (by
responding Yes to questions A, E, G and H set forth above), they are deemed to have a strong program. When suppliers do not meet the criteria,
they are deemed to have a weak program. As of May 10, 2021, 3 of our responded suppliers have been identified as having a weak program.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">If any smelter or refiner is not recognized by
the RMI CFSI, we conduct outreach and research to gain more information about whether they are a smelter or a refiner, sourcing practices,
location, and country of origin. Additionally, if any smelter is not certified conflict-free, we conduct outreach providing education
on the RMAP and encouraging them to join this program. Through Assent, any CMRTs submitted by our suppliers that included any Red Flag
smelters were asked to submit a product-level CMRT so we could determine if there was a connection between the red flag smelters originally
listed and the products they supply to us. Suppliers were notified of the fact that one or more high-risk smelters appeared on their CMRT
and were encouraged to engage in risk mitigation activities.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Neither NRG nor Goal Zero have a direct relationship
with any smelters and refiners and, as a result, do not perform or direct audits of these entities within their supply chain. Smelter
and refiner information was captured as part of the CMRT, as some suppliers provided the names of facilities it used as smelters or refiners.
After obtaining the CMRT through the due diligence processes described above, we compared the smelters and refiners used by relevant suppliers
against an independently verified list of smelters and refiners leveraging the audit results from the RMI (http://www.responsiblemineralsinitiative.org
) (which website is not incorporated by reference herein) as well as responses in the CMRT to gather the country, location and mine of
origin information.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>3. </B>&nbsp;<B><U>Design
and Implement a Strategy to Respond to Risks</U></B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">NRG has created a risk management plan, through
which the conflict minerals program is implemented, managed and monitored. The status of and any updates to this risk management plan
are provided regularly to the Audit Committee and to senior management.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">As part of our risk management plan, to ensure
our applicable suppliers understand our expectations, we have communicated directly with these suppliers (orally and in writing), and
included relevant information in our contracts with these suppliers, the Manufacturing Standards and the NRG Code of Conduct.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">As described above, NRG reserves the right to
terminate supplier agreements where we have reason to believe they are supplying us with 3TGs from sources that may support conflict in
the Covered Countries. Should a supplier report information on a CMRT that would lead us to believe that their sourcing of 3TGs would
support such conflict, we would engage in risk mitigation activities with such supplier.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">We believe that the inquiries and investigations
described above represent a reasonable effort to determine the mines or locations of origin of the 3TGs in Goal Zero&rsquo;s products,
including (1) seeking information about 3TG smelters and refiners in NRG&rsquo;s supply chain through requesting that suppliers complete
the CMRT, (2) verifying those smelters and refiners with the expanding RMI lists, (3) conducting the due diligence review, and (4) obtaining
additional documentation and verification, as applicable.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>4. </B>&nbsp;<B><U>Carry
out Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain</U></B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Since NRG does not source directly from smelter
or refiner processing facilities, we rely on the RMAP to oversee and coordinate third-party audits of these facilities, which include
audits conducted by RMI. The RMAP audit protocols and procedures were designed by the RMI who engage specially trained third-party auditors
to independently verify that these smelters and refiners can be deemed conflict-free. We utilize the information provided by the RMI to
validate the sourcing practices of processing facilities in NRG&rsquo;s supply chain. We also rely upon various industry efforts to influence
smelters and refineries to undergo audits and become certified, as appropriate.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>Due Diligence
Results</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Survey Results</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Utilizing the process outlined above, we received
responses from 100% of the suppliers surveyed for the 2020 reporting year. We requested that the surveyed suppliers report at an aggregate
company level, specifically with respect to any products sold to NRG. We reviewed the responses to determine whether further engagement
with these suppliers was warranted. We considered untimely or incomplete responses as well as inconsistencies within the data reported
in the CMRT in making this determination. Assent then worked directly with suppliers to provide revised responses.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">All final CMRT submissions were reviewed and validated
to ensure no inaccuracies or gaps in data were found. All responded suppliers provided valid CMRT submissions.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Smelters and Refiners</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">The information that we received from a majority
of our applicable suppliers was at a company-wide level. Thus, the smelters or refiners identified by the suppliers contained in the tables
below may contain smelters or refiners that processed conflict minerals that were supplied to other customers, but not to us. As a result,
we are unable to conclusively determine whether the smelters or refiners included in the tables below were used to process the conflict
minerals necessary to the functionality or production of NRG products during calendar year 2020. Because of this uncertainty, we are also
unable to conclusively determine whether each of the countries of origin listed below were the country of origin of conflict minerals
in such products during calendar year 2020, and therefore also unable to conclusively determine the source and chain of custody of those
conflict minerals. In addition, the third-party audits conducted by the RMI and the information that we receive from our applicable suppliers
may yield inaccurate or incomplete information. For example, the information received may be incomplete because a supplier may not have
received accurate and complete conflict minerals information from all of the suppliers in its own supply chain. We also do not have access
to audit reports or detailed findings of the third-party audits conducted as part of the RMAP and, as a result, are not responsible for
the quality of these audits or the audit findings.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">At our direction, Assent compared the facilities
listed in the responses in the CMRTs to the list of smelters maintained by the RMI, and confirmed that the names were listed by RMI. As
of May 10, 2021, we have confirmed that 44 smelters or refiners provided in our suppliers CMRTs were included on this list.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">If a supplier indicated that a facility was certified
as &ldquo;Conflict-Free,&rdquo; Assent then confirmed that it was listed as such by RMI. Based on the smelter and refiner lists provided
by suppliers through the CMRTs and validated against the RMI legitimate smelters and refiners information as described above, we are aware
of: (i) 41 &ldquo;Conflict-Free&rdquo; smelters or refiners, (ii) 1 smelter or refiner that has begun the process to be validated as Conflict-Free,
which are deemed as active in the RMAP but have not yet been validated as &ldquo;Conflict-Free&rdquo;; and (iii) 0 smelters or refiners
that are not Conflict-Free and have not started the process to become &ldquo;Conflict-Free.&rdquo; Attached as Appendix A is a list of
all of the smelters and refiners listed by our suppliers in their completed CMRTs that appear on the lists of smelters maintained by the
RMI. Since many of the CMRTs we received from our suppliers were made on a company or division level basis, rather than on a product-level
basis, we are not able to identify which smelters or refiners listed on Appendix A actually processed the 3TGs contained in our products.
Therefore, our list of processing smelters and refiners disclosed in Appendix A may contain more facilities than those that actually processed
the conflict minerals contained in our products.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><B>Countries of Origin</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">Confirmed smelter or refiner sourcing is not generally
available through public information sources related to the smelter or refiner however <U>Appendix B</U> does include an aggregate country
list of known smelter or refiner sourcing countries. Despite the additional smelter information obtained from these suppliers, in most
cases information has been provided on a company or division level, rather than on a product level. Therefore, we cannot ascertain whether
the smelters identified by our applicable suppliers are related to any parts or components actually provided to us by such suppliers.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.5in; text-align: justify; text-indent: -0.5in"><B>Steps to be
taken to mitigate risk</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">We intend to take the following steps to improve
the due diligence conducted to further mitigate any risk that any conflict minerals in our products have been sourced from the Covered
Countries:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">a)</TD><TD STYLE="text-align: justify">Continue to require conflict minerals compliance language in our supplier agreements and refine our internal
operating procedures to continue to move towards a &ldquo;DRC conflict free&rdquo; supply chain.</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">b)</TD><TD STYLE="text-align: justify">In the event that any of our suppliers are found to be providing products containing 3TGs from sources
that support conflict in the Covered Countries, work with them to establish alternative sources of 3TGs.</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">c)</TD><TD STYLE="text-align: justify">Continue to monitor and track the due diligence progress of our non-RMI suppliers, including the usage
of smelters and refiners which have been certified by the RMI.</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">d)</TD><TD STYLE="text-align: justify">Continue to invest in conflict minerals due diligence tools.</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">e)</TD><TD STYLE="text-align: justify">Continue to work closely with our third-party conflict minerals service provider to obtain CMRTs on a
product-specific basis to enable us to determine which smelters and refiners actually process 3TGs contained in our products.</TD></TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><U>Appendix A</U></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
  <TR STYLE="vertical-align: bottom">
    <TD STYLE="border-bottom: Black 1pt solid; white-space: nowrap; width: 9%"><FONT STYLE="font-size: 10pt"><B>Metal</B></FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap; width: 1%">&nbsp;</TD>
    <TD STYLE="border-bottom: Black 1pt solid; white-space: nowrap; width: 43%"><FONT STYLE="font-size: 10pt"><B>Smelter Name</B></FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap; width: 1%">&nbsp;</TD>
    <TD STYLE="border-bottom: Black 1pt solid; white-space: nowrap; width: 30%"><FONT STYLE="font-size: 10pt"><B>Smelter Location</B></FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap; width: 1%">&nbsp;</TD>
    <TD STYLE="border-bottom: Black 1pt solid; white-space: nowrap; width: 15%"><FONT STYLE="font-size: 10pt"><B>Smelter ID</B></FONT></TD></TR>
  <TR STYLE="vertical-align: bottom">
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap"><FONT STYLE="font-size: 1pt">&nbsp;</FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap"><FONT STYLE="font-size: 1pt">&nbsp;</FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap"><FONT STYLE="font-size: 1pt">&nbsp;</FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap"><FONT STYLE="font-size: 1pt">&nbsp;</FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap"><FONT STYLE="font-size: 1pt">&nbsp;</FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap"><FONT STYLE="font-size: 1pt">&nbsp;</FONT></TD>
    <TD STYLE="padding-bottom: 1pt; white-space: nowrap"><FONT STYLE="font-size: 1pt">&nbsp;</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Argor-Heraeus S.A.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">SWITZERLAND</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000077</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Asaka Riken Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">JAPAN</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000090</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold Refinery of Zijin Mining Group Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002243</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Heraeus Metals Hong Kong Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000707</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Heraeus Precious Metals GmbH &amp; Co. KG</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">GERMANY</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000711</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000773</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Jiangxi Copper Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000855</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">JX Nippon Mining &amp; Metals Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">JAPAN</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000937</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Metalor Technologies (Hong Kong) Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001149</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Metalor Technologies (Singapore) Pte., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">SINGAPORE</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001152</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Metalor Technologies (Suzhou) Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001147</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Metalor Technologies S.A.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">SWITZERLAND</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001153</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Shandong Zhaojin Gold &amp; Silver Refinery Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001622</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Singway Technology Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">TAIWAN, PROVINCE OF CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002516</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Solar Applied Materials Technology Corp.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">TAIWAN, PROVINCE OF CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001761</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tanaka Kikinzoku Kogyo K.K.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">JAPAN</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001875</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">The Refinery of Shandong Gold Mining Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001916</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Western Australian Mint (T/a The Perth Mint)</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">AUSTRALIA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002030</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Yunnan Copper Industry Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000197</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gold</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Zhongyuan Gold Smelter of Zhongjin Gold Corporation</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002224</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tantalum</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Global Advanced Metals Boyertown</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">UNITED STATES OF AMERICA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002557</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Alpha</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">UNITED STATES OF AMERICA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000292</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000228</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">China Tin Group Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001070</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">EM Vinto</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">BOLIVIA (PLURINATIONAL STATE OF)</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000438</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gejiu Kai Meng Industry and Trade LLC</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000942</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gejiu Non-Ferrous Metal Processing Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000538</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001908</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Guangdong Hanhe Non-Ferrous Metal Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID003116</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Malaysia Smelting Corporation (MSC)</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">MALAYSIA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001105</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Metallo Belgium N.V.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">BELGIUM</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002773</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Mineracao Taboca S.A.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">BRAZIL</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001173</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Minsur</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">PERU</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001182</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Mitsubishi Materials Corporation</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">JAPAN</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001191</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Operaciones Metalurgicas S.A.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">BOLIVIA (PLURINATIONAL STATE OF)</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001337</FONT></TD></TR>

<TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">PT Bangka Serumpun</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">INDONESIA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID003205</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">PT Timah Tbk Kundur</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">INDONESIA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001477</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">PT Timah Tbk Mentok</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">INDONESIA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001482</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Thaisarco</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">THAILAND</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID001898</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Yunnan Chengfeng Non-ferrous Metals Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002158</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tin</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Yunnan Tin Company Limited</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002180</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tungsten</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Chongyi Zhangyuan Tungsten Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000258</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: rgb(204,238,255)">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tungsten</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Ganzhou Huaxing Tungsten Products Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID000875</FONT></TD></TR>
  <TR STYLE="vertical-align: bottom; background-color: White">
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Tungsten</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">Xiamen Tungsten Co., Ltd.</FONT></TD>
    <TD COLSPAN="2" STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CHINA</FONT></TD>
    <TD STYLE="padding-bottom: 3pt; white-space: nowrap"><FONT STYLE="font-size: 10pt">CID002082</FONT></TD></TR>
  </TABLE>
<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><U>Appendix B</U></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B><U>Countries of Origin</U></B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Below is an aggregated list of countries of origin, to the extent known,
from which the SORs listed in Annex A are believed to have sourced conflict minerals. 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 linked to our products.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Afghanistan; Albania; Angola; Argentina; Armenia; Australia; Austria;
Belgium; Bolivia; Brazil; Burundi; Cambodia; Canada; Central African Republic; Chile; China; Colombia; Czech Republic; Djibouti; DRC or
an adjoining country (Covered Countries); Ecuador; Egypt; England; Estonia; Ethiopia; France; Germany; Guyana; Hungary; India; Indonesia;
Ireland; Israel; Ivory Coast; Japan; Kazakhstan; Kenya; Kyrgyzstan; Laos; Luxembourg; Madagascar; Malaysia; Mexico; Mongolia; Morocco;
Mozambique; Myanmar; Namibia; Netherlands; Niger; Nigeria; Papua New Guinea; Peru; Philippines; Poland; Portugal; Republic Of Korea; Russia;
Rwanda; Saudi Arabia; Sierra Leone; Singapore; Slovakia; South Africa; Spain; Suri; Suriname; Sweden; Switzerland; Tanzania; Thailand;
Uganda; United Kingdom; USA; Uzbekistan; Vietnam; Zambia; Zimbabwe.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>


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