EX-1.01 2 conflictmineralsreport2021.htm EX-1.01

Document

Exhibit 1.01

Conflict Minerals Report of Williams-Sonoma, Inc. in Accordance with Rule 13p-1 under the Securities and Exchange Act of 1934

Section 1. Introduction

This is the Conflict Minerals Report of Williams-Sonoma, Inc. (the “Company”) for calendar year 2021 in accordance with Rule 13p-1 (“Rule 13p-1” or the “Conflict Minerals Rule”) under the Securities and Exchange Act of 1934 (the “1934 Act”). The date of filing of this report is May 24, 2022.

This Report contains information regarding all of the Company’s merchandising strategies (Williams Sonoma, Pottery Barn, Pottery Barn Kids, West Elm, Pottery Barn Teen, Williams Sonoma Home, Rejuvenation, and Mark and Graham). Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise defined herein.

This report is available at http://ir.williams-sonomainc.com/sec-filings.

Section 2. Overview

As a retailer of consumer products, the Company is several levels removed from the mining of conflict minerals, does not make direct purchases of raw or unrefined minerals and makes no purchases in a Covered Country (as defined below).

The Company and its merchandising strategies are retailers of high-quality consumer products for the kitchen and home, including kitchen essentials, dinnerware, cookware, electrics, cutlery, furniture, bedding, bathroom accessories, lighting, decorative accessories, rugs, curtains, gifts, hardware, small leather goods, jewelry, and home décor. The Company’s merchandising strategies contract to manufacture some, although not all, of the products they sell. In 2021, the Company purchased merchandise from over 100 suppliers of products containing tin, tungsten, tantalum or gold (“3TGs”).

3TGs are necessary to the functionality of certain lighting and decorative accessories products that the Company contracts to be manufactured (“In-Scope Products”).

Section 3. Conflict Minerals Policy

The Company is committed to corporate responsibility and sustainable practices as is evidenced by our various policies. The Company has established a policy indicating our ongoing efforts in responsible sourcing of Conflict Minerals by our suppliers. The policy is reviewed each year and sent to suppliers for a yearly acknowledgment.

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Section 4. Reasonable Country of Origin Inquiry Information

As required by the Conflict Minerals Rule, the Company conducted a “reasonable country of origin inquiry” (“RCOI”). We designed our RCOI in good faith in an attempt to determine the origin of 3TGs that are necessary to the functionality or production of products that we contract to manufacture. Members of the Company’s Legal Department and Sustainable Development Department identified suppliers of the In-Scope Products that the Company contracted to have manufactured. These suppliers were generally suppliers of lighting products and decorative accessories. All identified suppliers of the In-Scope products, approximately 90 suppliers, were contacted as part of our outreach efforts.

Based on our 2021 RCOI, these suppliers identified over 300 smelters and refiners that may be in our supply chain, which the Company believes represent the majority of the relevant smelters and refiners. Based on our RCOI, for the smelters that were identified, the Company concluded that all but three of these smelters and refiners sourced entirely from outside Democratic Republic of Congo or an adjoining country (“Covered Country”). Two suppliers identified three smelters located in three Covered Countries (Sudan, Uganda, Rwanda), but the suppliers were not able to determine whether the 3TGs that came from these smelters were in products supplied to us.

Section 5. Due Diligence Procedures Performed

The due diligence exercise performed by the Company conformed to an internationally recognized due diligence framework developed by the Organization for Economic Cooperation and Development as part of its “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas” (collectively, the “OECD Guidance”).

In accordance with the OECD Guidance, the Company’s due diligence exercise included: 1) review of the previously-adopted Conflict Minerals Policy, which was then sent to relevant suppliers of the Company’s products; 2) review and assessment of risk in our Company’s supply chain; and 3) review of the strategy to identify and respond to risks in the supply chain. There were no significant changes to the due diligence process since December 31, 2020, the end of the period covered in the Company’s most recent prior Conflict Minerals Report.

Use of RBA Conflict Minerals Reporting Template

In performing our due diligence for 2021, the Company continued to use the Responsible Business Alliance, formerly the Electronic Industry Citizenship Coalition, and Global e-Sustainability Initiative’s (“RBA-GsSI”) Conflict Minerals Reporting Template (“CMRT”). The Company contacted each supplier and requested that it complete the RBA-GsSI CMRT.

Use of a Third-Party Platform for Responses, Support and Review

A third-party vendor was used to streamline this process by allowing suppliers to enter responses via the online RBA-GsSI CMRT. This vendor provided support for suppliers in completing the

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survey and also aggregated the data provided by suppliers so that the Company could review and analyze the data. The vendor also sent reminder emails to each non-responsive supplier requesting completion of the report.

Upon completion of the reports, the vendor then reviewed the responses for plausibility, consistency and gaps as identified in its procedures. It followed up by email or phone with suppliers that submitted a response that triggers specified quality control flags, for example, incomplete responses, failure to acknowledge the conflict minerals policy or listing a smelter in a Covered Country.

Responses from Suppliers

The Company requested that each supplier identify whether 3TGs are used in items produced for the Company, whether the minerals were recycled or scrap, and if not recycled or scrap, all the smelters in the supplier’s supply chain, including the name and country of the smelter, and whether those smelters had been validated as conflict-free in accordance with the CFSI program. The Company performed a good-faith review of the responses received from suppliers and performed an assessment of the data and requested additional information from suppliers as appropriate. All suppliers were asked to review the Conflict Minerals Policy and to sign a form acknowledging the policy.

The Company continued due diligence measures undertaken in 2020 for this 2021 reporting period, including:

•Internal Management Team. The Company continued to have a cross-functional Conflict Minerals compliance team to oversee the diligence process, which consisted of key personnel in the following departments: Global Operations, Sustainable Development, Legal and Accounting.

•External Resources. The Company also used specialist outside counsel and a third-party software platform to assist with RCOI and due diligence.

•Data Collection and Retention. The Company used a software platform for its collection of information from suppliers regarding their use of 3TGs. The Company continued and continues to maintain these records on the software platform.

•Reports to Senior Management. Members of the cross-functional Conflict Minerals compliance team periodically reported to the Company’s General Counsel and Chief Financial Officer on various aspects of the Company’s conflict minerals compliance program, including mitigation efforts, progress and effectiveness of the Conflict Minerals Policy.

•Risk Management Plan. The Company continued to undertake risk mitigation efforts as deemed to be appropriate based on the findings of our supply chain risk assessment. We determined our risk mitigation efforts on a case-by-case basis, considering the particular facts and circumstances and risks identified.

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Section 6. Product Information

3TGs are necessary to the functionality of certain lighting and decorative accessories products that the Company contracts to be manufactured. The In-Scope Products are lighting and decorative accessories, including some seasonal merchandise, bath hardware, jewelry, small appliances, handheld electrics, and tabletop items.

Section 7. Identified Suppliers of Products – Country of Origin Inquiry

Due diligence revealed that necessary 3TGs used in In-Scope Products were derived from the smelters identified below.

Smelter			Country of Origin
L'Orfebre S.A.			ANDORRA
Western Australian Mint (T/a The Perth Mint)			AUSTRALIA
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH			AUSTRIA
Wolfram Bergbau und Hutten AG			AUSTRIA
Industrial Refining Company			BELGIUM
Metallo Belgium N.V.			BELGIUM
Umicore S.A. Business Unit Precious Metals Refining			BELGIUM
EM Vinto			BOLIVIA (PLURINATIONAL STATE OF)
Operaciones Metalurgicas S.A.			BOLIVIA (PLURINATIONAL STATE OF)
ACL Metais Eireli			BRAZIL
Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.			BRAZIL
AngloGold Ashanti Corrego do Sitio Mineracao			BRAZIL
CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda			BRAZIL
Cronimet Brasil Ltda			BRAZIL
Estanho de Rondonia S.A.			BRAZIL
LSM Brasil S.A.			BRAZIL
Magnu's Minerais Metais e Ligas Ltda.			BRAZIL
Marsam Metals			BRAZIL
Melt Metais e Ligas S.A.			BRAZIL
Mineracao Taboca S.A.			BRAZIL
Resind Industria e Comercio Ltda.			BRAZIL
Soft Metais Ltda.			BRAZIL
Super Ligas			BRAZIL
White Solder Metalurgia e Mineracao Ltda.			BRAZIL
Resind Industria e Comercio Ltda.			BRAZIL
Asahi Refining Canada Ltd.			CANADA
CCR Refinery - Glencore Canada Corporation			CANADA
Royal Canadian Mint			CANADA
Planta Recuperadora de Metales SpA			CHILE
Changsha South Tantalum Niobium Co., Ltd.			CHINA

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Chenzhou Diamond Tungsten Products Co., Ltd.			CHINA
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.			CHINA
Chifeng Dajingzi Tin Industry Co., Ltd.			CHINA
China Molybdenum Tungsten Co., Ltd.			CHINA
China Tin Group Co., Ltd.			CHINA
Chongyi Zhangyuan Tungsten Co., Ltd.			CHINA
CNMC (Guangxi) PGMA Co., Ltd.			CHINA
Daye Non-Ferrous Metals Mining Ltd.			CHINA
Dongguan CiEXPO Environmental Engineering Co., Ltd.			CHINA
F&X Electro-Materials Ltd.			CHINA
FIR Metals & Resource Ltd.			CHINA
Fujian Ganmin RareMetal Co., Ltd.			CHINA
Ganzhou Haichuang Tungsten Co., Ltd.			CHINA
Ganzhou Huaxing Tungsten Products Co., Ltd.			CHINA
Ganzhou Jiangwu Ferrotungsten Co., Ltd.			CHINA
Ganzhou Seadragon W & Mo Co., Ltd.			CHINA
Gejiu City Fuxiang Industry and Trade Co., Ltd.			CHINA
Gejiu Kai Meng Industry and Trade LLC			CHINA
Gejiu Non-Ferrous Metal Processing Co., Ltd.			CHINA
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.			CHINA
Gejiu Zili Mining And Metallurgy Co., Ltd.			CHINA
GEM Co., Ltd.			CHINA
Gold Refinery of Zijin Mining Group Co., Ltd.			CHINA
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.			CHINA
Guangdong Jinding Gold Limited			CHINA
Guangdong Xianglu Tungsten Co., Ltd.			CHINA
Guoda Safina High-Tech Environmental Refinery Co., Ltd.			CHINA
Hangzhou Fuchunjiang Smelting Co., Ltd.			CHINA
Hengyang King Xing Lifeng New Materials Co., Ltd.			CHINA
Heraeus Metals Hong Kong Ltd.			CHINA
HuiChang Hill Tin Industry Co., Ltd.			CHINA
Hunan Chenzhou Mining Co., Ltd.			CHINA
Hunan Chunchang Nonferrous Metals Co., Ltd.			CHINA
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.			CHINA
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.			CHINA
Jiangwu H.C. Starck Tungsten Products Co., Ltd.			CHINA
Jiangxi Copper Co., Ltd.			CHINA
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.			CHINA
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.			CHINA
Jiangxi New Nanshan Technology Ltd.			CHINA
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.			CHINA
Jiangxi Tuohong New Raw Material			CHINA
Jiangxi Yaosheng Tungsten Co., Ltd.			CHINA
JiuJiang JinXin Nonferrous Metals Co., Ltd.			CHINA

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Jiujiang Tanbre Co., Ltd.			CHINA
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.			CHINA
Lingbao Gold Co., Ltd.			CHINA
Lingbao Jinyuan Tonghui Refinery Co., Ltd.			CHINA
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.			CHINA
Ma'anshan Weitai Tin Co., Ltd.			CHINA
Malipo Haiyu Tungsten Co., Ltd.			CHINA
Metalor Technologies (Hong Kong) Ltd.			CHINA
Metalor Technologies (Suzhou) Ltd.			CHINA
Ningbo Beilai Tin Industry Co., Ltd			CHINA
Ningxia Orient Tantalum Industry Co., Ltd.			CHINA
Penglai Penggang Gold Industry Co., Ltd.			CHINA
Refinery of Seemine Gold Co., Ltd.			CHINA
SANMENXIA CHAOYANG TECHNOLOGY CO., LTD			CHINA
Shandong Gold Smelting Co., Ltd.			CHINA
Shandong Humon Smelting Co., Ltd.			CHINA
Shandong Tiancheng Biological Gold Industrial Co., Ltd.			CHINA
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.			CHINA
Shenzhen XingHong Tai Tin Company			CHINA
Shenzhen Zhonghenglong Real Industry Co., Ltd.			CHINA
Sichuan Tianze Precious Metals Co., Ltd.			CHINA
Tongling Nonferrous Metals Group Co., Ltd.			CHINA
Xiamen Tungsten (H.C.) Co., Ltd.			CHINA
Xiamen Tungsten Co., Ltd.			CHINA
XIMEI RESOURCES (GUANGDONG) LIMITED			CHINA
XinXing HaoRong Electronic Material Co., Ltd.			CHINA
Yancheng Jinye New Material Technology Co., Ltd.			CHINA
Yanling Jincheng Tantalum & Niobium Co., Ltd.			CHINA
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.			CHINA
Yunnan Copper Industry Co., Ltd.			CHINA
Yunnan Tin Company Limited			CHINA
Yunnan Yunfan Non-ferrous Metals Co., Ltd.			CHINA
Yushan xuang Dajin metalwork LTD			CHINA
Zhongyuan Gold Smelter of Zhongjin Gold Corporation			CHINA
Gejiu Fengming Metallurgy Chemical Plant			CHINA
Huichang Jinshunda Tin Co., Ltd.			CHINA
Guanyang Guida Nonferrous Metal Smelting Plant			CHINA
C.I Metales Procesados Industriales SAS			COLOMBIA
Sancus ZFS (L’Orfebre, SA)			COLOMBIA
SAFINA A.S.			CZECHIA
NPM Silmet AS			ESTONIA
SAAMP			FRANCE
Allgemeine Gold-und Silberscheideanstalt A.G.			GERMANY
Aurubis AG			GERMANY
C. Hafner GmbH + Co. KG			GERMANY
Degussa Sonne / Mond Goldhandel GmbH			GERMANY

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DODUCO Contacts and Refining GmbH			GERMANY
H.C. Starck Hermsdorf GmbH			GERMANY
H.C. Starck Tungsten GmbH			GERMANY
Heimerle + Meule GmbH			GERMANY
Heraeus Germany GmbH Co. KG			GERMANY
SAXONIA Edelmetalle GmbH			GERMANY
TANIOBIS GmbH			GERMANY
TANIOBIS Smelting GmbH & Co. KG			GERMANY
WIELAND Edelmetalle GmbH			GERMANY
Gold Coast Refinery			GHANA
Augmont Enterprises Private Limited			INDIA
Bangalore Refinery			INDIA
CGR Metalloys Pvt Ltd.			INDIA
Emerald Jewel Industry India Limited (Unit 1)			INDIA
Emerald Jewel Industry India Limited (Unit 2)			INDIA
Emerald Jewel Industry India Limited (Unit 3)			INDIA
Emerald Jewel Industry India Limited (Unit 4)			INDIA
GCC Gujrat Gold Centre Pvt. Ltd.			INDIA
JALAN & Company			INDIA
Kundan Care Products Ltd.			INDIA
MD Overseas			INDIA
Metallurgical Products India Pvt., Ltd.			INDIA
MMTC-PAMP India Pvt., Ltd.			INDIA
Precious Minerals and Smelting Limited			INDIA
Sai Refinery			INDIA
Shirpur Gold Refinery Ltd.			INDIA
Sovereign Metals			INDIA
CV Ayi Jaya			INDONESIA
CV Venus Inti Perkasa			INDONESIA
PT Aneka Tambang (Persero) Tbk			INDONESIA
PT Aries Kencana Sejahtera			INDONESIA
PT Artha Cipta Langgeng			INDONESIA
PT ATD Makmur Mandiri Jaya			INDONESIA
PT Babel Surya Alam Lestari			INDONESIA
PT Bangka Serumpun			INDONESIA
PT Lautan Harmonis Sejahtera			INDONESIA
PT Menara Cipta Mulia			INDONESIA
PT Mitra Stania Prima			INDONESIA
PT Mitra Sukses Globalindo			INDONESIA
PT Prima Timah Utama			INDONESIA
PT Rajawali Rimba Perkasa			INDONESIA
PT Rajehan Ariq			INDONESIA
PT Refined Bangka Tin			INDONESIA
PT Stanindo Inti Perkasa			INDONESIA
PT Timah Nusantara			INDONESIA
PT Timah Tbk Kundur			INDONESIA

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PT Timah Tbk Mentok			INDONESIA
PT Tinindo Inter Nusa			INDONESIA
PT DS Jaya Abadi			INDONESIA
PT Bangka Serumpun			INDONESIA
CV Gita Pesona			INDONESIA
CV United Smelting			INDONESIA
PT Babel Inti Perkasa			INDONESIA
PT Bangka Tin Industry			INDONESIA
PT Bukit Timah			INDONESIA
PT Karimun Mining			INDONESIA
PT Panca Mega Persada			INDONESIA
PT Sariwiguna Binasentosa			INDONESIA
PT Sumber Jaya Indah			INDONESIA
PT Inti Stania Prima			INDONESIA
PT Sukses Inti Makmur			INDONESIA
PT Cipta Persada Mulia			INDONESIA
PT Tommy Utama			INDONESIA
CV Dua Sekawan			INDONESIA
PT Bangka Prima Tin			INDONESIA
8853 S.p.A.			ITALY
Chimet S.p.A.			ITALY
Italpreziosi			ITALY
Safimet S.p.A			ITALY
T.C.A S.p.A			ITALY
A.L.M.T. Corp.			JAPAN
Aida Chemical Industries Co., Ltd.			JAPAN
Asahi Pretec Corp.			JAPAN
Asaka Riken Co., Ltd.			JAPAN
Chugai Mining			JAPAN
Dowa			JAPAN
Eco-System Recycling Co., Ltd. East Plant			JAPAN
Eco-System Recycling Co., Ltd. North Plant			JAPAN
Eco-System Recycling Co., Ltd. West Plant			JAPAN
Global Advanced Metals Aizu			JAPAN
Ishifuku Metal Industry Co., Ltd.			JAPAN
Japan Mint			JAPAN
Japan New Metals Co., Ltd.			JAPAN
JX Nippon Mining & Metals Co., Ltd.			JAPAN
Kojima Chemicals Co., Ltd.			JAPAN
Matsuda Sangyo Co., Ltd.			JAPAN
Mitsubishi Materials Corporation			JAPAN
Mitsui Mining and Smelting Co., Ltd.			JAPAN
Nihon Material Co., Ltd.			JAPAN
Ohura Precious Metal Industry Co., Ltd.			JAPAN
Sumitomo Metal Mining Co., Ltd.			JAPAN
Taki Chemical Co., Ltd.			JAPAN

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Tanaka Kikinzoku Kogyo K.K.			JAPAN
TANIOBIS Japan Co., Ltd.			JAPAN
Tokuriki Honten Co., Ltd.			JAPAN
Yamakin Co., Ltd.			JAPAN
Yokohama Metal Co., Ltd.			JAPAN
Kazakhmys Smelting LLC			KAZAKHSTAN
Kazzinc			KAZAKHSTAN
TOO Tau-Ken-Altyn			KAZAKHSTAN
Ulba Metallurgical Plant JSC			KAZAKHSTAN
DSC (Do Sung Corporation)			KOREA, REPUBLIC OF
HwaSeong CJ CO., LTD.			KOREA, REPUBLIC OF
KGETS Co., Ltd.			KOREA, REPUBLIC OF
Korea Zinc Co., Ltd.			KOREA, REPUBLIC OF
LS-NIKKO Copper Inc.			KOREA, REPUBLIC OF
LT Metal Ltd.			KOREA, REPUBLIC OF
NH Recytech Company			KOREA, REPUBLIC OF
Samduck Precious Metals			KOREA, REPUBLIC OF
Samwon Metals Corp.			KOREA, REPUBLIC OF
SungEel HiMetal Co., Ltd.			KOREA, REPUBLIC OF
Torecom			KOREA, REPUBLIC OF
Woltech Korea Co., Ltd.			KOREA, REPUBLIC OF
Kyrgyzaltyn JSC			KYRGYZSTAN
State Research Institute Center for Physical Sciences and Technology			LITHUANIA
Malaysia Smelting Corporation (MSC)			MALAYSIA
Modeltech Sdn Bhd			MALAYSIA
Sellem Industries Ltd.			MAURITANIA
Caridad			MEXICO
KEMET de Mexico			MEXICO
Metalurgica Met-Mex Penoles S.A. De C.V.			MEXICO
Pongpipat Company Limited			MYANMAR
REMONDIS PMR B.V.			NETHERLANDS
Morris and Watson			NEW ZEALAND
K.A. Rasmussen			NORWAY
Minsur			PERU
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)			PHILIPPINES
O.M. Manufacturing Philippines, Inc.			PHILIPPINES
Philippine Chuangxin Industrial Co., Inc.			PHILIPPINES
Fenix Metals			POLAND
KGHM Polska Miedz Spolka Akcyjna			POLAND
Artek LLC			RUSSIAN FEDERATION
Hydrometallurg, JSC			RUSSIAN FEDERATION
JSC "Kirovgrad Hard Alloys Plant"			RUSSIAN FEDERATION
JSC Ekaterinburg Non-Ferrous Metal Processing Plant			RUSSIAN FEDERATION
JSC Novosibirsk Refinery			RUSSIAN FEDERATION
JSC Uralelectromed			RUSSIAN FEDERATION

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Kyshtym Copper-Electrolytic Plant ZAO			RUSSIAN FEDERATION
Moliren Ltd.			RUSSIAN FEDERATION
Moscow Special Alloys Processing Plant			RUSSIAN FEDERATION
Novosibirsk Processing Plant Ltd.			RUSSIAN FEDERATION
NPP Tyazhmetprom LLC			RUSSIAN FEDERATION
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)			RUSSIAN FEDERATION
OOO “Technolom” 1			RUSSIAN FEDERATION
OOO “Technolom” 2			RUSSIAN FEDERATION
Prioksky Plant of Non-Ferrous Metals			RUSSIAN FEDERATION
SOE Shyolkovsky Factory of Secondary Precious Metals			RUSSIAN FEDERATION
Solikamsk Magnesium Works OAO			RUSSIAN FEDERATION
Unecha Refractory metals plant			RUSSIAN FEDERATION
Luna Smelter, Ltd.			RWANDA
L'azurde Company For Jewelry			SAUDI ARABIA
Metalor Technologies (Singapore) Pte., Ltd.			SINGAPORE
AU Traders and Refiners			SOUTH AFRICA
Metal Concentrators SA (Pty) Ltd.			SOUTH AFRICA
Rand Refinery (Pty) Ltd.			SOUTH AFRICA
CRM Synergies			SPAIN
Metallo Spain S.L.U.			SPAIN
SEMPSA Joyeria Plateria S.A.			SPAIN
Sudan Gold Refinery			SUDAN
Boliden AB			SWEDEN
Argor-Heraeus S.A.			SWITZERLAND
Cendres + Metaux S.A.			SWITZERLAND
Metalor Technologies S.A.			SWITZERLAND
PAMP S.A.			SWITZERLAND
PX Precinox S.A.			SWITZERLAND
Valcambi S.A.			SWITZERLAND
Lianyou Metals Co., Ltd.			TAIWAN, PROVINCE OF CHINA
Rui Da Hung			TAIWAN, PROVINCE OF CHINA
Singway Technology Co., Ltd.			TAIWAN, PROVINCE OF CHINA
Solar Applied Materials Technology Corp.			TAIWAN, PROVINCE OF CHINA
O.M. Manufacturing (Thailand) Co., Ltd.			THAILAND
TANIOBIS Co., Ltd.			THAILAND
Thaisarco			THAILAND
Umicore Precious Metals Thailand			THAILAND
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.			TURKEY
Istanbul Gold Refinery			TURKEY
Nadir Metal Rafineri San. Ve Tic. A.S.			TURKEY
African Gold Refinery			UGANDA
Al Etihad Gold Refinery DMCC			UNITED ARAB EMIRATES
Dijllah Gold Refinery FZC			UNITED ARAB EMIRATES
Emirates Gold DMCC			UNITED ARAB EMIRATES
Fujairah Gold FZC			UNITED ARAB EMIRATES

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International Precious Metal Refiners			UNITED ARAB EMIRATES
Kaloti Precious Metals			UNITED ARAB EMIRATES
Advanced Chemical Company			UNITED STATES OF AMERICA
Alexy Metals			UNITED STATES OF AMERICA
Alpha			UNITED STATES OF AMERICA
Asahi Refining USA Inc.			UNITED STATES OF AMERICA
D Block Metals, LLC			UNITED STATES OF AMERICA
Exotech Inc.			UNITED STATES OF AMERICA
Geib Refining Corporation			UNITED STATES OF AMERICA
Global Advanced Metals Boyertown			UNITED STATES OF AMERICA
Global Tungsten & Powders Corp.			UNITED STATES OF AMERICA
H.C. Starck Inc.			UNITED STATES OF AMERICA
Kennametal Fallon			UNITED STATES OF AMERICA
Kennametal Huntsville			UNITED STATES OF AMERICA
Kennecott Utah Copper LLC			UNITED STATES OF AMERICA
Materion			UNITED STATES OF AMERICA
Metallic Resources, Inc.			UNITED STATES OF AMERICA
Metallix Refining Inc.			UNITED STATES OF AMERICA
Metalor USA Refining Corporation			UNITED STATES OF AMERICA
Niagara Refining LLC			UNITED STATES OF AMERICA
Pease & Curren			UNITED STATES OF AMERICA
QG Refining, LLC			UNITED STATES OF AMERICA
QuantumClean			UNITED STATES OF AMERICA
Sabin Metal Corp.			UNITED STATES OF AMERICA
Telex Metals			UNITED STATES OF AMERICA
Tin Technology & Refining			UNITED STATES OF AMERICA
United Precious Metal Refining, Inc.			UNITED STATES OF AMERICA
Almalyk Mining and Metallurgical Complex (AMMC)			UZBEKISTAN
Navoi Mining and Metallurgical Combinat			UZBEKISTAN
An Vinh Joint Stock Mineral Processing Company			VIET NAM
Asia Tungsten Products Vietnam Ltd.			VIET NAM
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company			VIET NAM
Masan High-Tech Materials			VIET NAM
Nghe Tinh Non-Ferrous Metals Joint Stock Company			VIET NAM
Thai Nguyen Mining and Metallurgy Co., Ltd.			VIET NAM
VQB Mineral and Trading Group JSC			VIET NAM
Tuyen Quang Non-Ferrous Metals Joint Stock Company			VIET NAM
Fidelity Printers and Refiners Ltd.			ZIMBABWE

The description of the Company’s due diligence exercise set forth above under the heading “Section 5. Due Diligence Procedures Performed” explains the Company’s efforts to determine the mine or location of origin with the greatest possible specificity.

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Section 8. Future Efforts to Mitigate Risk

The Company intends to continuously improve upon its due diligence efforts related to 3TGs. The Company will continue to:

•Use revised and updated versions of the CMRT for its survey tools;

•Monitor and encourage the continued development and progress of traceability measures for suppliers; and

•Engage with suppliers to provide responses or complete responses in 2022.

Section 9. Forward Looking Statements

This document contains forward-looking statements that involve risks and uncertainties, as well as assumptions that, if they do not fully materialize or are proven incorrect, could cause our results to differ materially from those expressed or implied by such forward-looking statements. You can identify some of the forward-looking statements by the use of forward-looking words, such as “intend” or the use of future tense. Statements concerning current conditions may also be forward-looking if they imply a continuation of current conditions. Examples of forward-looking statements include, but are not limited to, statements concerning the additional steps that the Company intends to take to mitigate risk with respect to 3TGs used in our products and that a smelter in a Covered Country was used by one of our suppliers, although we do not know whether 3TGs from that smelter were used in the products the supplier provided to us.

The risks and uncertainties that could cause our results to differ materially from those expressed or implied by such forward-looking statements include, but are not limited to: (1) the continued implementation of satisfactory traceability and other compliance measures by the Company’s direct, on a timely basis or at all, (2) whether suppliers and other market participants responsibly source 3TGs, and (3) political and regulatory developments, whether in the DRC region, the United States, or elsewhere. You are cautioned not to place undue reliance on these forward-looking statements, which apply only as of the date of filing of this document. All forward-looking statements in this Report are based on information available to us as of the date hereof, and we assume no obligation to update these forward-looking statements.

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