<SEC-DOCUMENT>0001553350-17-000664.txt : 20170522
<SEC-HEADER>0001553350-17-000664.hdr.sgml : 20170522
<ACCEPTANCE-DATETIME>20170522163711
ACCESSION NUMBER:		0001553350-17-000664
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		2
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20161231
</ITEM>
<ITEM>
<ITEM-NUMBER>1.02
<ITEM-PERIOD>20161231
</ITEM>
</RULE>
FILED AS OF DATE:		20170522
DATE AS OF CHANGE:		20170522

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			PRO DEX INC
		CENTRAL INDEX KEY:			0000788920
		STANDARD INDUSTRIAL CLASSIFICATION:	SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			CA

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-14942
		FILM NUMBER:		17861392

	BUSINESS ADDRESS:	
		STREET 1:		2361 MCGAW AVENUE
		CITY:			IRVINE
		STATE:			CA
		ZIP:			92614
		BUSINESS PHONE:		949-769-3231

	MAIL ADDRESS:	
		STREET 1:		2361 MCGAW AVENUE
		CITY:			IRVINE
		STATE:			CA
		ZIP:			92614

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	PRO-DEX, INC.
		DATE OF NAME CHANGE:	20151110

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	CONTEXT CAPITAL FUNDS
		DATE OF NAME CHANGE:	20151104

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	PRO DEX INC
		DATE OF NAME CHANGE:	19920703
</SEC-HEADER>
<DOCUMENT>
<TYPE>SD
<SEQUENCE>1
<FILENAME>pdex_sd.htm
<DESCRIPTION>SPECIALIZED DISCLOSURE REPORT
<TEXT>
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<HEAD>
<TITLE>SPECIALIZED DISCLOSURE REPORT</TITLE>
<META NAME="keywords" CONTENT="&#10; &nbsp;">
<META NAME="author" CONTENT="Hal Hurwitz">
<META NAME="date" CONTENT="05/22/2017">
</HEAD>
<BODY style="margin-top:0;font-family:Times New Roman; font-size:10pt; color:#000000">
<P style="line-height:8pt; margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center>&nbsp;</P>
<P style="line-height:16pt; margin:0px; font-family:Calibri,Times New Roman; font-size:16pt" align=center><B>UNITED STATES</B></P>
<P style="line-height:16pt; margin:0px; font-family:Calibri,Times New Roman; font-size:16pt" align=center><B>SECURITIES AND EXCHANGE COMMISSION</B></P>
<P style="line-height:12pt; margin:0px; font-family:Calibri,Times New Roman; font-size:12pt" align=center><B>Washington, D.C. 20549</B></P>
<P style="line-height:10pt; margin:0px" align=center><BR></P>
<P style="line-height:10pt; margin:0px" align=center><BR></P>
<P style="line-height:16pt; margin:0px; font-family:Calibri,Times New Roman; font-size:16pt" align=center><B>Form SD</B></P>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=center><B>S</B><FONT style="font-size:6pt"><B>PECIALIZED</B></FONT><B>&nbsp;D</B><FONT style="font-size:6pt"><B>ISCLOSURE</B></FONT><B> R</B><FONT style="font-size:6pt"><B>EPORT</B></FONT></P>
<P style="line-height:10pt; margin:0px" align=center><BR></P>
<P style="line-height:20pt; margin:0px; font-family:Calibri,Times New Roman; font-size:20pt" align=center><B>Pro-Dex, Inc.</B></P>
<P style="line-height:8.75pt; margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(Exact Name of Registrant as Specified in Charter)</I></P>
<P style="margin:0px" align=center><BR></P>
<TABLE style="margin-top:0px; font-size:10pt" cellpadding=0 cellspacing=0 align=center><TR height=0 style="font-size:0"><TD width=237.4 /><TD width=9.133 /><TD width=169.6 /><TD width=9.133 /><TD width=237.533 /></TR>
<TR><TD style="margin-top:0px" valign=top width=237.4><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>COLORADO</B></P>
</TD><TD style="margin-top:0px" valign=bottom width=9.133><P style="margin:0px; font-family:Calibri,Times New Roman">&nbsp;</P>
</TD><TD style="margin-top:0px" valign=top width=169.6><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>000-14942</B></P>
</TD><TD style="margin-top:0px" valign=bottom width=9.133><P style="margin:0px; font-family:Calibri,Times New Roman">&nbsp;</P>
</TD><TD style="margin-top:0px" valign=top width=237.533><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>84-1261240</B></P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=top width=237.4><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(State or Other Jurisdiction of Incorporation)</I></P>
</TD><TD style="margin-top:0px" valign=bottom width=9.133><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt"><I>&nbsp;</I></P>
</TD><TD style="margin-top:0px" valign=top width=169.6><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(Commission File Number)</I></P>
</TD><TD style="margin-top:0px" valign=bottom width=9.133><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt"><I>&nbsp;</I></P>
</TD><TD style="margin-top:0px" valign=top width=237.533><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(IRS Employer Identification Number)</I></P>
</TD></TR>
</TABLE>
<P style="line-height:10pt; margin:0px" align=center><BR></P>
<TABLE style="margin-top:0px; font-size:10pt" cellpadding=0 cellspacing=0 align=center><TR height=0 style="font-size:0"><TD width=306.467 /><TD width=18.267 /><TD width=135.933 /></TR>
<TR><TD style="margin-top:0px" valign=top width=306.467><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>2361 McGaw Avenue,</B></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>Irvine, California</B></P>
</TD><TD style="margin-top:0px" valign=bottom width=18.267><P style="margin:0px; font-family:Calibri,Times New Roman">&nbsp;</P>
</TD><TD style="margin-top:0px" valign=bottom width=135.933><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>92614</B></P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=bottom width=306.467><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(Address of Principal Executive Offices)</I></P>
</TD><TD style="margin-top:0px" valign=bottom width=18.267><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt"><I>&nbsp;</I></P>
</TD><TD style="margin-top:0px" valign=bottom width=135.933><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(Zip Code)</I></P>
</TD></TR>
</TABLE>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman"><B>&nbsp;</B></P>
<TABLE style="margin-top:0px; font-size:10pt" cellpadding=0 cellspacing=0 align=center><TR height=0 style="font-size:0"><TD width=192.6 /><TD width=12.733 /><TD width=161.867 /></TR>
<TR><TD style="margin-top:0px" valign=bottom width=192.6><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>Alisha K. Charlton</B></P>
</TD><TD style="margin-top:0px" valign=bottom width=12.733><P style="margin:0px; font-family:Calibri,Times New Roman">&nbsp;</P>
</TD><TD style="margin-top:0px" valign=bottom width=161.867><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>(949)769-3231</B></P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=bottom width=367.2 colspan=3><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>&nbsp;(Name and telephone number, including area code, of the person to contact in connection with this report.)</I></P>
</TD></TR>
</TABLE>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify>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="line-height:8pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin-top:0px; margin-bottom:-2px; width:24px; font-family:Wingdings; float:left">&#254;</P>
<P style="line-height:10pt; margin:0px; padding-left:24px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.</P>
<P style="line-height:8pt; margin:0px; font-family:Calibri,Times New Roman; font-size:8pt; clear:left">&nbsp;</P>
<P style="line-height:8pt; margin:0px"><BR></P>
<P style="margin:0px"><BR></P>
<P style="margin:0px"><BR></P>
<A NAME="sA67992FE53A8FE263F39CE662119F5E2"></A><P style="line-height:10pt; margin:0px"><BR></P>
<P style="margin:0px"><BR></P>
<P style="line-height:10pt; margin:0px"><BR>
<BR></P>
<HR style="margin-bottom:9.6px; padding-top:9.6px" noshade size=1.333>
<P style="line-height:10pt; margin:0px; page-break-before:always"><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify><B>Section 1 - Conflict Minerals Disclosure</B></P>
<P style="line-height:12pt; margin:0px" align=justify><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify><B>Item 1.01 and 1.02 Conflict Minerals Disclosure and Report, Exhibit</B></P>
<P style="line-height:10pt; margin:0px" align=justify><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify>A copy of Pro-Dex, Inc.&#146;s (&#147;Company,&#148; &#147;Pro-Dex,&#148; &#147;we,&#148; &#147;our,&#148; &#147;us&#148;) Conflict Minerals Report for this reporting period January&nbsp;1, 2016 to December&nbsp;31, 2016 is provided as Exhibit&nbsp;1.01 hereto and is publicly available at www.pro-dex.com/investor-relations. Pro-Dex&#146;s determination related to disclosures relating to conflict minerals is included in our Conflict Minerals Report and incorporated by reference herein.</P>
<P style="line-height:10pt; margin:0px" align=justify><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify>We undertook due diligence measures, including surveying our direct suppliers through an industry-standard survey template for conflict minerals, to try to determine the sources of these minerals, which we purchase through a complex supply chain. Currently, we do not have sufficient information from all our suppliers or other sources to determine the country of origin of the conflict minerals used in our products or to identify the facilities used to process those conflict minerals.</P>
<P style="line-height:12pt; margin:0px" align=justify><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify><B>Section 2 - Exhibits</B></P>
<P style="line-height:12pt; margin:0px" align=justify><BR></P>
<P style="line-height:11.5pt; margin:0px; font-family:Calibri,Times New Roman" align=justify><B>Item 2.01 Exhibits</B></P>
<P style="line-height:12pt; margin:0px" align=justify><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman; color:#0000FF" align=justify><A HREF="pdex_ex1z01.htm"><U>Exhibit 1.01</U></A><FONT style="color:#000000"> - Conflict Minerals Report for the reporting period January&nbsp;1, 2016 to December&nbsp;31, 2016</FONT></P>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="margin:0px"><BR></P>
<A NAME="sc8cc7616cedf483baf3547a01a04d688"></A><P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:11.05pt; margin:0px" align=center><BR>
<BR></P>
<HR style="margin-bottom:9.6px; padding-top:9.6px" noshade size=1.333>
<P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman; page-break-before:always" align=center><B>SIGNATURES</B></P>
<P style="line-height:11.05pt; margin:0px"><BR></P>
<P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.</P>
<P style="line-height:11.05pt; margin:0px"><BR></P>
<P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">Date: May 22, 2017</P>
<P style="line-height:11.05pt; margin:0px"><BR></P>
<DIV align=right><TABLE style="margin-top:0px; font-size:10pt" cellpadding=0 cellspacing=0><TR height=0 style="font-size:0"><TD width=277.2 /></TR>
<TR><TD style="margin-top:0px" valign=top width=277.2><P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman"><B>PRO-DEX, INC.</B></P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=top width=277.2><P style="margin:0px; padding:0px">&nbsp;</P></TD></TR>
<TR><TD style="margin-top:0px; border-bottom:1px solid #000000" valign=top width=277.2><P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">/s/ Alisha K. Charlton</P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=top width=277.2><P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">Alisha K. Charlton</P>
<P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">&nbsp;Chief Financial Officer</P>
</TD></TR>
</TABLE></DIV>
<P style="line-height:11.05pt; margin:0px"><BR></P>
<P style="margin:0px" align=center><BR></P>
<P style="margin:0px" align=center><BR></P>
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</DOCUMENT>
<DOCUMENT>
<TYPE>EX-1.01
<SEQUENCE>2
<FILENAME>pdex_ex1z01.htm
<DESCRIPTION>CONFLICT MINERALS REPORT
<TEXT>
<!doctype html public "-//IETF//DTD HTML//EN">
<HTML>
<HEAD>
<TITLE>Conflict Minerals Report</TITLE>
<META NAME="keywords" CONTENT="&#10; &nbsp;">
<META NAME="author" CONTENT="Hal Hurwitz">
<META NAME="date" CONTENT="05/22/2017">
</HEAD>
<BODY style="margin-top:0;font-family:Times New Roman; font-size:10pt; color:#000000">
<P style="margin:0px; font-family:Calibri,Times New Roman; font-size:11pt" align=center>&nbsp;</P>
<P style="margin:0px" align=center><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=right><B>Exhibit 1.01</B></P>
<P style="margin:0px" align=right><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>Pro-Dex, Inc.</B></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>Conflict Minerals Report</B></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>For the Reporting Period January 1, 2016 to December 31, 2016</B></P>
<P style="margin:0px" align=center><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=justify>This Conflict Minerals Report (&#147;Report&#148;) for the year ended December 31, 2016 is presented to comply with Rule&nbsp;13p-1 under the Securities Exchange Act of 1934, as amended (the &#147;Rule&#148;). This Report relates to the process undertaken for Pro-Dex products that were manufactured, or contracted to be manufactured, during calendar year 2016 and that contain gold, columbite-tantalite (coltan), cassiterite, wolframite, tantalum, tin, and tungsten (collectively, the &#147;Conflict Minerals&#148;). This Report has not been audited.</P>
<P style="margin:0px" align=justify><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman"><B>Product Overview</B></P>
<P style="margin:0px"><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=justify>Pro-Dex designs and produces powered surgical and dental instruments and motion control products used in the medical, factory automation and scientific research industries. Our products are found in hospitals, dental offices, medical engineering labs, scientific research facilities and high-tech manufacturing operations around the world. Third party products that are not manufactured, or contracted to be manufactured, by Pro-Dex are outside the scope of this Report.</P>
<P style="margin:0px" align=center><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman"><B>Statement Regarding Conflict Minerals</B></P>
<P style="margin:0px"><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=justify>We are committed to the maintenance of a supply chain that aligns with the requirements of the Rule, and to continuing our evaluation of our quality management system (&#147;QMS&#148;) to provide for continued compliance.</P>
<P style="margin:0px"><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman"><B>Due Diligence Program</B></P>
<P style="margin:0px" align=center><BR></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=justify>Based on our assessment of products known to be in our supply chain and a survey of responses received from those in our supply chain, we implemented a due diligence program (&#147;Due Diligence Program&#148;) to evaluate the source of certain Conflict Minerals included in our supply chain, as follows:</P>
<P style="margin:0px" align=justify><BR></P>
<A NAME="_BPDC_LN_INS_1004"></A><P style="margin-top:0px; margin-bottom:-2px; text-indent:24px; width:48px; font-family:Calibri,Times New Roman; float:left"><I>1.</I></P>
<P style="margin:0px; padding-left:48px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify><I>Establish Company Management Systems</I></P>
<P style="margin:0px; clear:left" align=justify><BR></P>
<P style="margin:0px; padding-left:24px; font-family:Calibri,Times New Roman" align=justify>Our evaluation of the source of Conflict Minerals was incorporated into our QMS, a component of which is our internal compliance auditing that is conducted at scheduled frequencies and comprehensively reviewed annually.</P>
<P style="margin:0px" align=justify><BR></P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:24px; width:48px; font-family:Calibri,Times New Roman; float:left"><I>2.</I></P>
<P style="margin:0px; padding-left:48px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify><I>Identify and Assess Risks in the Supply Chain</I></P>
<P style="margin:0px; clear:left" align=justify><BR></P>
<P style="margin:0px; padding-left:24px; font-family:Calibri,Times New Roman" align=justify>Cross-functional teams, including Quality Assurance/Regulatory Affairs, Engineering, Materials/Production Management and Finance, reviewed our regulatory compliance matters in connection with the Rule. </P>
<P style="margin:0px" align=center><BR></P>
<P style="margin:0px; padding-left:24px; font-family:Calibri,Times New Roman" align=justify>We performed a product assessment to identify products and materials that were suspect or high-risk for Conflict Minerals, and maintained a list of such material and components.</P>
<P style="margin:0px" align=center><BR></P>
<P style="margin:0px; padding-left:24px; font-family:Calibri,Times New Roman" align=justify>We surveyed the suppliers of the suspect, high-risk and other components used in our products identified as containing Conflict Minerals and reviewed the responses that we received so as to evaluate and classify the use of Conflict Minerals and to determine necessary follow up. Based upon the responses received to date of the forty-nine components identified, suppliers of forty-four of those components indicate they are conflict free and suppliers of the remaining five components indicate the source is indeterminate.</P>
<P style="margin:0px" align=justify><BR></P>
<P style="margin:0px" align=center><BR>
<BR></P>
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<P style="margin:0px; font-family:Calibri,Times New Roman; font-size:11pt; page-break-before:always" align=center>&nbsp;</P>
<P style="margin:0px" align=center><BR></P>
<P style="margin:0px" align=center><BR></P>
<A NAME="_BPDC_LN_INS_1003"></A><P style="margin-top:0px; margin-bottom:-2px; text-indent:24px; width:48px; font-family:Calibri,Times New Roman; float:left"><I>3.</I></P>
<P style="margin:0px; padding-left:48px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify><I>Design and Implement a Strategy to Respond to Identified Risks</I></P>
<P style="margin:0px; clear:left" align=justify><BR></P>
<P style="margin:0px; padding-left:24px; font-family:Calibri,Times New Roman" align=justify>QMS procedures were established and updated, to provide for compliance with reporting and disclosure requirements of the Rule and concomitant supportive guidance documents, summarized as follows: </P>
<P style="margin:0px" align=justify><BR></P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:48px; width:72px; font-family:Calibri,Times New Roman; float:left">a.</P>
<P style="margin:0px; padding-left:72px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Policy: Defines policy and responsibilities</P>
<P style="margin:0px; clear:left" align=center><BR></P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:108px; width:128px; font-family:Calibri,Times New Roman; float:left">I.</P>
<P style="margin:0px; padding-left:128px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Policy defining </P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:144px; width:168px; font-family:Calibri,Times New Roman; clear:left; float:left">1.</P>
<P style="margin:0px; padding-left:168px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>QMS SOP 99M2002 Purchasing</P>
<P style="margin:0px; clear:left" align=justify><BR></P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:48px; width:72px; font-family:Calibri,Times New Roman; float:left">b.</P>
<P style="margin:0px; padding-left:72px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Procedures &#150; defines methods, requirements and responsibilities</P>
<P style="margin:0px; clear:left" align=justify><BR></P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:108px; width:128px; font-family:Calibri,Times New Roman; float:left">I.</P>
<P style="margin:0px; padding-left:128px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Material/Supplier Controls to provide that procured materials are identified and evaluated with respect to conflict minerals. Procedures include reference to corrective action/escalation methods.</P>
<P style="margin:0px; padding-left:120px; font-family:Calibri,Times New Roman; clear:left" align=justify>&nbsp;</P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:144px; width:168px; font-family:Calibri,Times New Roman; float:left">1.</P>
<P style="margin:0px; padding-left:168px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>QMS SOP 99M2002 Purchasing </P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:144px; width:168px; font-family:Calibri,Times New Roman; clear:left; float:left">2.</P>
<P style="margin:0px; padding-left:168px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>QMS SOP 99MP3005 Supplier Evaluation and Monitoring</P>
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<P style="margin-top:0px; margin-bottom:-2px; text-indent:108px; width:128px; font-family:Calibri,Times New Roman; float:left">II.</P>
<P style="margin:0px; padding-left:128px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Design Controls to provide that new or modified materials&#146; impact to conflict minerals and materials requirements is considered.</P>
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<P style="margin-top:0px; margin-bottom:-2px; text-indent:144px; width:168px; font-family:Calibri,Times New Roman; float:left">1.</P>
<P style="margin:0px; padding-left:168px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>QMS SOP 99E2003 Design Controls</P>
<P style="margin-top:0px; margin-bottom:-2px; text-indent:144px; width:168px; font-family:Calibri,Times New Roman; clear:left; float:left">2.</P>
<P style="margin:0px; padding-left:168px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>QMS SOP 99E2001 Engineering and Document Change</P>
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<P style="margin-top:0px; margin-bottom:-2px; text-indent:108px; width:128px; font-family:Calibri,Times New Roman; float:left">III.</P>
<P style="margin:0px; padding-left:128px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Risk Management to identify activities to evaluate risks associated with conflict minerals.</P>
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<P style="margin-top:0px; margin-bottom:-2px; text-indent:144px; width:168px; font-family:Calibri,Times New Roman; float:left">1.</P>
<P style="margin:0px; padding-left:168px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>QMS SOP E2006 Risk Management</P>
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<P style="margin-top:0px; margin-bottom:-2px; text-indent:108px; width:128px; font-family:Calibri,Times New Roman; float:left">IV.</P>
<P style="margin:0px; padding-left:128px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Corrective Action &#150; Defines methods to respond to identified risks, nonconforming issues and activities associated with corrective action. </P>
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<P style="margin-top:0px; margin-bottom:-2px; text-indent:144px; width:168px; font-family:Calibri,Times New Roman; float:left">1.</P>
<P style="margin:0px; padding-left:168px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>QMS SOP 99Q2015 Corrective and Preventive Action</P>
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<A NAME="_BPDC_LN_INS_1002"></A><P style="margin-top:0px; margin-bottom:-2px; text-indent:24px; width:48px; font-family:Calibri,Times New Roman; float:left"><I>4.</I></P>
<P style="margin:0px; padding-left:48px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify><I>Independent Third Party Audits of Smelter/Refiner Due Diligence Practices</I></P>
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<P style="margin:0px; padding-left:24px; font-family:Calibri,Times New Roman" align=justify>Procedures implemented define the methods and frequency associated with required audits.</P>
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<P style="margin-top:0px; margin-bottom:-2px; text-indent:48px; width:72px; font-family:Calibri,Times New Roman; float:left">a.</P>
<P style="margin:0px; padding-left:72px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>99P2004 Supplier Auditing</P>
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<A NAME="_BPDC_LN_INS_1001"></A><P style="margin-top:0px; margin-bottom:-2px; text-indent:24px; width:48px; font-family:Calibri,Times New Roman; float:left"><I>5.</I></P>
<P style="margin:0px; padding-left:48px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify><I>Reporting and Records </I></P>
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<P style="margin:0px; padding-left:24px; font-family:Calibri,Times New Roman" align=justify>Reporting procedures implemented integrate the results of the procedures described above with our financial reporting controls.</P>
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<P style="margin:0px; padding-left:24px; font-family:Calibri,Times New Roman" align=justify>Recordkeeping procedures define methods to collect, identify, store, access, maintain and dispose of our records and documents associated with conflict minerals in conformity with record-retention requirements of all regulatory agencies and legislation to which we are subject.</P>
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<P style="margin-top:0px; margin-bottom:-2px; text-indent:48px; width:72px; font-family:Calibri,Times New Roman; float:left">a.</P>
<P style="margin:0px; padding-left:72px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>QMS SOP 99Q2020 Records and Document Storage and Disposition</P>
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<P style="margin:0px; font-family:Calibri,Times New Roman"><B>Reasonable Country of Origin Inquiry and Conclusion</B></P>
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<P style="margin:0px; font-family:Calibri,Times New Roman" align=justify>After complying with the steps set forth by our Due Diligence Program, we have determined &nbsp;that we manufacture products containing Conflict Minerals in a manner necessary to the functionality of products manufactured, or contracted to be manufactured, by us. &nbsp;As of the date of this Report, we have not identified any Conflict Minerals in our supply chain that are sourced from the Democratic Republic of the Congo (&#147;DRC&#148;) or adjoining countries. &nbsp;However, because it will take time for many of our suppliers to verify the origin of all of the Conflict Minerals, we do not have sufficient information to definitively determine the origin of all of the Conflict Minerals that are subject to this Report, and as such, we have concluded that our supply chain remains &#147;DRC conflict undeterminable.&#148;</P>
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