<SEC-DOCUMENT>0001564590-19-020812.txt : 20190530
<SEC-HEADER>0001564590-19-020812.hdr.sgml : 20190530
<ACCEPTANCE-DATETIME>20190530102208
ACCESSION NUMBER:		0001564590-19-020812
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		2
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20181231
</ITEM>
<ITEM>
<ITEM-NUMBER>1.02
<ITEM-PERIOD>20181231
</ITEM>
</RULE>
FILED AS OF DATE:		20190530
DATE AS OF CHANGE:		20190530

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			ADTRAN INC
		CENTRAL INDEX KEY:			0000926282
		STANDARD INDUSTRIAL CLASSIFICATION:	TELEPHONE & TELEGRAPH APPARATUS [3661]
		IRS NUMBER:				630918200
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-24612
		FILM NUMBER:		19865007

	BUSINESS ADDRESS:	
		STREET 1:		901 EXPLORER BLVD
		CITY:			HUNTSVILLE
		STATE:			AL
		ZIP:			35806
		BUSINESS PHONE:		2569638220

	MAIL ADDRESS:	
		STREET 1:		901 EXPLORER BLVD
		CITY:			HUNTSVILLE
		STATE:			AL
		ZIP:			35806
</SEC-HEADER>
<DOCUMENT>
<TYPE>SD
<SEQUENCE>1
<FILENAME>adtn-sd.htm
<DESCRIPTION>SD
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adtn-sd.htm
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">UNITED STATES</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SECURITIES AND EXCHANGE COMMISSION</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Washington, D.C. 20549</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">FORM SD</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Specialized Disclosure Report</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">ADTRAN, Inc.</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-style:italic;font-size:11pt;font-family:Times New Roman;font-weight:normal;text-transform:none;font-variant: normal;">(Exact name of Registrant as specified in its charter)</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">&nbsp;&nbsp;&nbsp;&nbsp; </p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Delaware<br /><font style="font-weight:normal;">(</font><font style="font-style:italic;font-weight:normal;">State of Incorporation</font><font style="font-weight:normal;">)</font></p></td>
<td valign="top"  style="width:33.3%;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">000-24612<font style="font-weight:normal;"><br />(</font><font style="font-style:italic;font-weight:normal;">Commission file number</font><font style="font-weight:normal;">)</font></p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;">&nbsp;</p></td>
<td valign="top"  style="width:33.32%;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">63-0918200<br /><font style="font-weight:normal;">(</font><font style="font-style:italic;font-weight:normal;">I.R.S. Employer</font><font style="font-weight:normal;"><br /></font><font style="font-style:italic;font-weight:normal;">Identification Number)</font></p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">901 Explorer Boulevard, Huntsville, Alabama 35806-2807</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-style:italic;font-size:11pt;font-family:Times New Roman;font-weight:normal;text-transform:none;font-variant: normal;">(Address of principal executive offices, including zip code)</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(256) 963-8000</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-style:italic;font-size:11pt;font-family:Times New Roman;font-weight:normal;text-transform:none;font-variant: normal;">(Registrant's telephone number, including area code)</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">_______________</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">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="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:MS Gothic;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:MS Gothic;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#9746;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:11pt;">Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.</p></td></tr></table></div>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:12pt;font-family:Courier;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU2"></a><br /></p>
<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
<hr style="page-break-after:always;width:100%;">
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;font-size:12pt;font-family:Courier;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-weight:bold;font-size:11pt;font-family:Times New Roman;">Section 1 &#8211; Conflict Minerals Disclosure</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 1.01<font style="margin-left:36pt;">Conflict Minerals Disclosure and Report</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">This Form SD of ADTRAN, Inc. (hereinafter referred to as &#8220;ADTRAN,&#8221; the &#8220;Company,&#8221; &#8220;we,&#8221; &#8220;us,&#8221; or &#8220;our&#8221;) is filed pursuant to Rule 13p-1 (the &#8220;Rule&#8221;) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period January 1, 2018 to December 31, 2018.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">ADTRAN has prepared a Conflict Minerals Report, filed hereto as Exhibit 1.01. This Conflict Minerals Report includes a discussion of the due diligence procedures performed and the disclosures required by the Rule.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">We have disclosed the information above, along with a copy of our Conflict Minerals Report and related materials, on our website, <font style="text-decoration:underline;">www.adtran.com</font> under the links &#8220;About &#8211; Corporate Overview &#8211; Management System.&#8221;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 1.02<font style="margin-left:36pt;">Exhibits</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Section 2 &#8211; Exhibits</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 2.01<font style="margin-left:36pt;">Exhibits</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Exhibit 1.01 &#8211; <a href="adtn-ex101_14.htm"><font style="text-decoration:underline;">Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.</font></a></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><br /></p>
<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
<hr style="page-break-after:always;width:100%;">
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU3"></a><font style="font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SIGNATURES</font></p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Pursuant to the requirements of the Securities and 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="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:left;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:11pt;font-family:CG Times;letter-spacing:-0.1pt;font-style:normal;text-transform:none;font-variant: normal;">ADTRAN, Inc.<br />(Registrant)</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:11pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Date:&nbsp;&nbsp;May 30, 2019</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">/s/ Michael Foliano</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Michael Foliano</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Senior Vice President of Finance and</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;">&nbsp;</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:11pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Chief Financial Officer</p></td>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(Principal Accounting Officer)</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Exhibit 1.01</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-style:normal;text-transform:none;font-variant: normal;">Conflict Minerals Report of ADTRAN, Inc.</p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-style:normal;text-transform:none;font-variant: normal;"><font style="text-decoration:underline;">Company Overview</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">ADTRAN, Inc. (NASDAQ:ADTN) is a leading global provider of networking and communications equipment, serving a diverse domestic and international customer base in 68 countries that includes Tier-1, 2 and 3 service providers, Cable/MSOs and distributed enterprises. Our innovative solutions and services enable voice, data, video and internet communications across a variety of network infrastructures and are currently in use by millions worldwide. </p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-style:normal;text-transform:none;font-variant: normal;"><font style="text-decoration:underline;">Supply Chain and Facilities</font></p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">ADTRAN procures the parts and components that we use to assemble our products from a large number of suppliers through a worldwide sourcing program. Certain key components used in our products are currently available from only a single source, and other key components are available from a limited number of sources.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">We typically manufacture our lower-volume, higher-mix product assemblies at our manufacturing site in Huntsville, Alabama. We continue to build and test new product prototypes and many of our initial production units for our products in Huntsville, and later transfer the production of high-volume, low-mix assemblies to our subcontractors.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">To comply with the Rule, ADTRAN had to first determine the applicability of the Rule to our products; conduct a reasonable country of origin inquiry for those products that we have reason to believe contain tin, tungsten, tantalum or gold (collectively, &#8220;3TG,&#8221; or &#8220;conflict minerals&#8221;); and conduct any necessary due diligence to determine the supply chain for such conflict minerals. </p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-style:normal;text-transform:none;font-variant: normal;"><font style="text-decoration:underline;">Reasonable Country of Origin Inquiry (RCOI) </font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Due to the Company&#8217;s production of multiple products through a complex supply chain, ADTRAN utilizes a wide variety of worldwide materials. Our Conflict Minerals Program is designed to conduct a RCOI regarding conflict minerals that are used in the parts and components that we procure as well as the smelters and refiners used to provide those minerals. In accordance with the Rule, our RCOI process was designed to include 100% of the components and materials for which conflict minerals are necessary to the functionality or production of a product manufactured or contracted to be manufactured by ADTRAN in calendar year 2018.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">All 436 affected suppliers and original manufacturers were contacted, provided with ADTRAN&#8217;s Conflict Minerals Policy, and requested to provide conflict minerals data in a Conflict Minerals Reporting Template (CMRT). As ADTRAN does not source conflict minerals directly from smelters or refiners, our process leverages the CMRT. ADTRAN received responses accounting for 96.76% of ADTRAN&#8217;s total annual spend in the parts and components that we procure, which reflected a 3.76% increase in responses over the prior year. After receiving all CMRTs, we utilized the Responsible Minerals Initiative (RMI) Conflict-Free Smelter List to validate all smelters. </p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-style:normal;text-transform:none;font-variant: normal;"><font style="text-decoration:underline;">Design of Due Diligence</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Our due diligence process, detailed below, has been designed to conform, in all material respects, with the framework in the Organization for Economic Cooperation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. The OECD Guidelines outline the reasonable practices used to identify the sources of conflict material.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;">Step 1:&nbsp;&nbsp;Identify and Assess Risk in the Supply Chain</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Our program identifies and assesses risk in the supply chain by first identifying those suppliers that provide components and materials that use conflict minerals. We then require each applicable supplier to complete and return a CMRT submission, where it is measured against three key criteria:</p>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">The Supplier&#8217;s Conflict Mineral Program Status; and</font></p></td></tr></table></div>
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<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">The Supplier&#8217;s known smelter and/or refiners list.</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU2"></a><font style="font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The Supplier&#8217;s Declaration Scope requires the supplier to declare the use of conflict minerals in the production of the components and materials that ADTRAN sources from that supplier to manufacture its products in calendar year 2018. It requires responses to the following questions:</font></p>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Is any 3TG intentionally added or used in the product(s) or in the production process?&nbsp;&nbsp;</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Does any 3TG remain in the product(s)? </font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Do any of the smelters in your supply chain source the 3TG from the covered countries?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Does 100 percent of the 3TG (necessary to the functionality or production of your products) originate from recycled or scrap sources?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">What percentage of relevant suppliers have provided a response to your supply chain survey?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Have you identified all of the smelters supplying the 3TG to your supply chain?</font></p></td></tr></table></div>
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<p style="margin-top:0pt;margin-bottom:10pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Has all applicable smelter information received by your company been reported in this declaration?</font></p></td></tr></table></div>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The answers to these questions allow ADTRAN to evaluate the use of conflict minerals in the supplier&#8217;s components and materials, whether those materials originated from the Democratic Republic of the Congo (&#8220;DRC&#8221;) or an adjoining country (collectively, the &#8220;DRC region&#8221;), and whether the supplier has evaluated its upstream suppliers of conflict minerals and established the smelter or refiner responsible for conflict minerals. In addition, all suppliers are required to provide a complete list (by name) of the smelters that are used.</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The Supplier&#8217;s Conflict Mineral Program Status requires the supplier to declare the maturity of their conflict minerals program, which allows ADTRAN to determine with a reasonable certainty the accuracy (or risk) of the Supplier&#8217;s Declaration Scope. It requires responses to the following questions:</p>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Have you established a conflict minerals sourcing policy? </font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Is your conflict minerals sourcing policy publicly available on your website?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Do you require your direct suppliers to be conflict-free?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Do you require your direct suppliers to source the 3TG from smelters whose due diligence practices have been validated by an independent third-party audit program?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Have you implemented due diligence measures for conflict-free sourcing?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Does your company conduct Conflict Minerals survey(s) of your relevant supplier(s)?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Do you review due diligence information received from your suppliers against your company&#8217;s expectations?</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Does your review process include corrective action management?</font></p></td></tr></table></div>
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<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-top:0pt;margin-bottom:10pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Is your company required to file an annual conflict minerals disclosure with the Securities and Exchange Commission?</font></p></td></tr></table></div>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">These answers enable ADTRAN to evaluate the risk associated with the supplier&#8217;s declaration and whether a reasonable determination can be made on the conflict status of that component or material. If a supplier has a mature conflict mineral program with upstream due diligence and RMI smelters identified, the risk associated with their declaration is low. However, if a supplier has an immature or non-existent conflict mineral program and cannot provide upstream due diligence, the risk associated with their declaration is high, requiring ADTRAN to take corrective actions to enable a reasonable determination of conflict mineral status.</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The supplier&#8217;s known smelter and/or refiner disclosure requires the supplier to provide all known smelters and refiners that are currently utilized in the manufacturing of their products. This allows ADTRAN to determine with a reasonable certainty any risks in regard to sourcing of minerals from the DRC region. ADTRAN utilizes the most current RMI Conformant and Active Smelter Lists to validate smelters. </p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">All CMRTs received from our suppliers and manufacturers for the reporting year of 2018 are archived in our internal database. </p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:6.86%;font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU3"></a><font style="font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;">Step </font><font style="font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;">2</font><font style="font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;">:&nbsp;&nbsp;</font><font style="font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;">Design and Implement a Strategy to Respond to Identified Risks </font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:6.86%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">ADTRAN&#8217;s due diligence process includes managing our suppliers at the outset of our engagement. Each of our suppliers and original manufacturers of the components and materials for which conflict minerals are necessary to the functionality or production of a product manufactured or contracted to be manufactured by ADTRAN in calendar year 2018 is required to adhere to our Conflict Minerals Policy, which is available on our website at www.adtran.com under the links &#8220;About &#8211; Corporate Overview &#8211; Management System.&#8221; In it, we outline our expectations for our suppliers, which includes encouraging our suppliers to:</p>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Adopt a conflict minerals policy to reasonably ensure that tantalum, tin, tungsten and gold used in the products that they manufacture are conflict free;</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Establish their Conflict Mineral Status via the timely completion of the CMRT;</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Establish their own Conflict Free Due Diligence Program to ensure that their supply chain is conflict free, including passing down CMRTs to their suppliers; and</font></p></td></tr></table></div>
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<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-top:0pt;margin-bottom:10pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Ensure that parts and products provided to ADTRAN originated from a RMI Conformant Smelter as validated by Responsible Minerals Assurance Process (&#8220;RMAP&#8221;).</font></p></td></tr></table></div>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Conflict minerals compliance is included in commercial contracts and written agreements. We have an internal team tasked with supporting supply chain due diligence in accordance with the RBA CMRT for upstream due diligence. All CMRT responses from suppliers and source smelters are reviewed to ensure compliance with our Conflict Minerals Policy and archived. We have implemented a RCOI process utilizing the RMI Smelter/Refiner List to validate our smelters and refiners. </p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:6.86%;font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;">Step 3:&nbsp;&nbsp;Evaluate Strong Company Management Systems</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Our program provides regular updates of the supply chain conflict mineral status to designated senior management. </p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Suppliers are evaluated based on their answers to the CMRT as well as their provided smelters and refiners. A cumulative risk score is derived based on their provided responses that quantify the conflict minerals risk associated with a particular supplier. Corrective actions are identified as applicable and suppliers are required to resubmit the CMRT for future evaluation. For those suppliers that have provided smelters or refiners that are not certified Conflict Free, the conflict minerals team continually assesses the risk level associated with each supplier and reports those findings to management. Recommendations are made to management to either:</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Continue trading through the course of measurable risk mitigation efforts;</font></p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Temporarily suspend trading while pursuing ongoing measurable risk mitigation; or</font></p></td></tr></table></div>
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<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
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<p style="margin-top:0pt;margin-bottom:10pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
<td valign="top">
<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Disengage with a supplier in cases where mitigation appears not feasible or unacceptable.</font></p></td></tr></table></div>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">ADTRAN&#8217;s goal is to manage risks with a supplier through measurable risk mitigation. We provide educational references and materials on conflict minerals compliance to our suppliers to assist them with better understanding the principles on building a conflict minerals program and managing their risk with upstream suppliers. All suppliers that provide smelters or refiners that are not classified as certified conflict free are classified as having actual or potential risk.</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;">Step 4:&nbsp;&nbsp;Carry Out Independent Private Sector Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Our program was not required to obtain an independent private sector audit as our products are not described as &#8220;DRC conflict free.&#8221;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<hr style="page-break-after:always;width:100%;">
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU4"></a><font style="font-weight:bold;font-style:italic;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;text-transform:none;font-variant: normal;">Step 5:&nbsp;&nbsp;Report on Supply Chain Due Diligence</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-weight:bold;;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">As a result of the due diligence measures described above, ADTRAN has determined use of certain products that contain conflict minerals. In addition to our RCOI due diligence described above, we have conducted further diligence with our suppliers who have identified smelters and refiners that may have processed conflict minerals as reflected in the table below. Due to our position in the supply chain, we rely on our suppliers for accurate smelter and refinery information and consequently, our due diligence measures do not provide absolute certainty regarding the source of the necessary conflict minerals contained in the scope of products we manufacture. </p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">With respect to 2019, we anticipate implementing additional steps to improve the information gathered from our due diligence. These steps include:</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<div align="left">
<table border="0" cellspacing="0" cellpadding="0"  style="border-collapse:collapse; width:100%;">
<tr>
<td valign="top" style="width:10.3%;white-space:nowrap">
<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
<td valign="top" style="width:3.43%;white-space:nowrap">
<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
<td valign="top">
<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Increasing the response rate of suppliers&#8217; smelter surveys;</font></p></td></tr></table></div>
<div align="left">
<table border="0" cellspacing="0" cellpadding="0"  style="border-collapse:collapse; width:100%;">
<tr>
<td valign="top" style="width:10.3%;white-space:nowrap">
<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
<td valign="top" style="width:3.43%;white-space:nowrap">
<p style="margin-bottom:0pt;margin-top:0pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
<td valign="top">
<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Engaging with suppliers and directing them to training; and</font></p></td></tr></table></div>
<div align="left">
<table border="0" cellspacing="0" cellpadding="0"  style="border-collapse:collapse; width:100%;">
<tr>
<td valign="top" style="width:10.3%;white-space:nowrap">
<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;">&nbsp;</p></td>
<td valign="top" style="width:3.43%;white-space:nowrap">
<p style="margin-top:0pt;margin-bottom:10pt;font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:'Times New Roman';letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#x2022;</font></p></td>
<td valign="top">
<p style="margin-top:0pt;margin-bottom:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';font-size:11pt;"><font style="font-family:Times New Roman;">Increasing the country of origin identification for known smelters/refiners.</font></p></td></tr></table></div>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The following table summarizes the identified smelters and refiners that may have processed conflict minerals:</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<div align="left">
<table border="0" cellspacing="0" cellpadding="0" style="border-collapse:collapse;  margin-left:6.86%;width:86.26%;">
<tr style="height:15.7pt;">
<td valign="bottom"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-left:solid 0.75pt #000000;white-space:nowrap;">
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:11pt;">&nbsp;</p></td>
<td colspan="3" valign="bottom"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-left:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Country of Origin</p></td>
<td colspan="3" valign="bottom"  style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Smelter/Refiner Status</p></td>
</tr>
<tr style="height:31.4pt;">
<td valign="middle"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-left:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Conflict Mineral</p></td>
<td valign="middle"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Non-DRC Region Sourced</p></td>
<td valign="middle"  style="width:14%; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">DRC Region Sourced <sup style="font-size:85%; vertical-align:top">(1)</sup></p></td>
<td valign="middle"  style="width:15%; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Sourcing Not Disclosed&#160;<sup style="font-size:85%; vertical-align:top">(2)</sup></p></td>
<td valign="middle"  style="width:12%; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Active<sup style="font-size:85%; vertical-align:top"> (3)</sup></p></td>
<td valign="middle"  style="width:12%; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Conformant <sup style="font-size:85%; vertical-align:top">(4)</sup></p></td>
<td valign="middle"  style="width:12%; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Other <sup style="font-size:85%; vertical-align:top">(5)</sup></p></td>
</tr>
<tr style="height:16.45pt;">
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-left:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Gold</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">100</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">0</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:15%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">5</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">3</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">102</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">62</p></td>
</tr>
<tr style="height:16.45pt;">
<td valign="bottom"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-left:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Tantalum</p></td>
<td valign="bottom"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">40</p></td>
<td valign="bottom"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">0</p></td>
<td valign="bottom"  style="width:15%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">0</p></td>
<td valign="bottom"  style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">0</p></td>
<td valign="bottom"  style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">40</p></td>
<td valign="bottom"  style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">14</p></td>
</tr>
<tr style="height:16.45pt;">
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-left:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Tin</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">70</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">0</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:15%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">7</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">2</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">75</p></td>
<td valign="bottom"  BGCOLOR="#CFF0FC" style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">34</p></td>
</tr>
<tr style="height:16.45pt;">
<td valign="bottom"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-left:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Tungsten</p></td>
<td valign="bottom"  style="width:14%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">37</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">1</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">3</p></td>
<td valign="bottom"  style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">1</p></td>
<td valign="bottom"  style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;white-space:nowrap;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">40</p></td>
<td valign="bottom"  style="width:12%; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-right:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">16</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:8pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The smelters and refiners reflected in the table were identified by the suppliers to us as potentially being part of our 2018 supply chain. However, not all of the included smelters and refiners are believed by us to have processed the conflict minerals contained in the products that we manufactured. Many of the suppliers report to us the conflict minerals contained in all of their products, not just those in the products that they sold to ADTRAN. Some suppliers may have also reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the smelters and refiners reflected above may not be all of the smelters and refiners in our supply chain, since some suppliers were unable to identify all of the smelters and refiners used to process the necessary conflict minerals content contained in the products that they manufactured and not all of the suppliers responded to our inquiries. The smelter/refinery status and origin reflected in the table is based solely on information made available by the RMAP. All compliance status information in the table is as of May 14, 2019.</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-family:Times New Roman;font-size:8pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.86%;text-indent:0%;font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">We note the following in connection with the information contained in the foregoing table:</p>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">1.</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">&#8220;DRC Region Sourced&#8221; means the DRC and its adjoining countries. Origin information was derived from information made available through the Conflict &#8211;Free Smelter Program. According to this information, some of the compliant smelters and refiners may have sourced from both within the DRC Region and from outside the DRC Region. For these smelters and refiners, we were not able to determine the country of origin of the conflict minerals specific to our products. Therefore, not all of the country of origin information reflected in the table may apply to the necessary conflict minerals contained in the products that we manufactured. If a smelter or refiner sourced from multiple sources, it is included in the table under each applicable category.</p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">2.</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">A smelter or refiner is indicated as &#8220;Sourcing Not Disclosed&#8221; if the country of origin of the conflict minerals processed by the smelter or refiner was not disclosed by the certifying party.</p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">3.</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">&#8220;Active&#8221; means that the smelter or refiner was listed as an &#8220;Active Smelter&#8221; through RMAP.</p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">4.</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">&#8220;Conformant&#8221; means that the smelter or refiner was listed as a &#8220;Fully Conformant Smelter&#8221; through RMAP.</p></td></tr></table></div>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:8pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">5.</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:8pt;">A smelter or refiner is listed as &#8220;Other&#8221; if it was not active.</p></td></tr></table></div>
<p style="margin-top:0pt;margin-bottom:0pt;margin-left:10.3%;text-indent:0%;font-family:Times New Roman;font-size:8pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-style:normal;text-transform:none;font-variant: normal;"><font style="text-decoration:underline;">Additional Risk Factors</font></p>
<p style="margin-top:11pt;margin-bottom:0pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The statements above are based on the RCOI process and due diligence performed in good faith by ADTRAN, based on the infrastructure and information available at the time. A number of factors could introduce errors or otherwise affect our conflict declaration including, but not limited to: gaps in supplier data; gaps in smelter data; errors or omissions by suppliers; errors or omissions by smelters; and gaps in supplier education and knowledge. Not all instances of conflict minerals necessary to the functionality or production of a product manufactured or contracted to be manufactured by ADTRAN in calendar year 2018 are known, despite the reasonable efforts undertaken by the Company. </p>
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