Electro Scientific Industries, Inc.
ELECTRO SCIENTIFIC INDUSTRIES INC (Form: SD, Received: 05/31/2017 17:06:07)


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
FORM SD
 
SPECIALIZED DISCLOSURE REPORT
 
 
ELECTRO SCIENTIFIC INDUSTRIES, INC.
(Exact name of registrant as specified in its charter)
 
 

 
 
 
 
 
OREGON
 
0-12853
 
93-0370304
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)
 
 
13900 NW Science Park Drive, Portland, Oregon
 
97229
(Address of principal executive offices)
 
(Zip Code)
 
 
 
 
 
Paul Oldham
503-641-4141
(Name and telephone number, including area code, of the person to contact in connection with this report)
 
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:

a
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.






Section 1 - Conflict Minerals Disclosure

Electro Scientific Industries, Inc., including its subsidiaries (ESI), is a leading supplier of innovative laser-based manufacturing solutions for the microtechnology industry. Our advanced laser systems enable precise structuring of micron to submicron features in components and devices which are used in a wide variety of end products in the consumer electronics, computer, semiconductor, communications and other markets. These features enable our customers to achieve functionality, or improve yield and productivity in their manufacturing processes that can be critical to their profitability. Founded in 1944, ESI is headquartered in Portland, Oregon, with global operations and subsidiaries in Asia, Canada, Europe and the United States.

ESI has evaluated its product lines for the year ending December 31, 2016 in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 and the Security and Exchange Commission’s adopting release (collectively, the Rule), and in accordance with ESI’s Conflict Minerals Policy Statement. That statement is also publicly available on our website at http://investors.esi.com/governance.cfm.

After ESI reviewed its product lines to make an initial determination of whether it manufactured or contracted to manufacture products as to which “conflict minerals” (as defined in the Rule) were necessary for the functionality or production of the product, ESI conducted a “reasonable country of origin inquiry” (RCOI) consistent with the Rule. ESI’s RCOI employed a combination of measures to determine whether the necessary conflict minerals in its products originated from the Democratic Republic of the Congo and its adjoining countries (as defined in the Rule, Covered Countries). ESI’s primary means of determining country of origin of necessary conflict minerals was by conducting a supply-chain survey with direct suppliers using the EICC/GeSI Conflict Minerals Reporting Template. To identify and assess risk in the supply chain, ESI reviewed those suppliers who provide the substantial majority of our components and whose products the Company believes are likely to contain conflict minerals. The components provided by these suppliers represented approximately 80% of component costs incurred by the Company during 2016. ESI conducted a survey of suppliers to determine whether conflict minerals necessary to the functionality or production of components contained in our products were or were not sourced from the DRC or other Covered Countries (as defined in the Rule). We utilized a third-party service provider to administer components of this due diligence with appropriate oversight by ESI. Additionally, ESI used the Conflict Free Smelter Initiative (CFSI) website (http://www.conflictfreesourcing.org/), smelter company websites and other online tools to provide additional country of origin information.

ESI has concluded that during calendar 2016:
a.
ESI has manufactured or contracted to manufacture products as to which conflict minerals are necessary to the functionality or production of ESI’s products.
b.
Based on ESI’s RCOI, ESI knows or has reason to believe that a portion of its necessary conflict minerals originated or may have originated in a Covered Country, and is unable to determine that those necessary conflict minerals did not come from recycled or scrap sources.

This Specialized Disclosure Report on Form SD associated Conflict Minerals Report are posted to ESI’s Internet site at www.esi.com/sec.cfm.
    
Section 2 - Exhibits

Exhibit 1.01 - Conflict Minerals Report.






SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: May 31, 2017
 
 
 
 
 
 
Electro Scientific Industries, Inc.
 
 
 
 
By:
 
/s/ Paul Oldham
 
Name:
 
Paul Oldham
 
Title:
 
Senior Vice President of Administration, Chief Financial Officer and Corporate Secretary




Exhibit 1.01

Electro Scientific Industries Inc.
Conflict Minerals Report
For The Year Ended December 31, 2016

Electro Scientific Industries Inc., collectively with its subsidiaries (ESI), presents this report for the year ended December 31, 2016 to comply with Rule 13p-1 under the Securities Exchange Act of 1934 and the Security and Exchange Commission’s adopting release (the “Rule”).

We have decided to conduct due diligence of our supply chain based on our (1) review of our product lines, (2) determination of which suppliers have a meaningful risk of supplying components that contain conflict minerals (as defined in the Rule) that are necessary to the functionality or production of the products we manufacture or contract to manufacture, and (3) reasonable country of origin inquiry described in our Specialized Disclosure Report to which this report accompanies.

Our due diligence measures have been designed to conform, in all material respects, with the framework in the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas ( (OECD 2016 Framework) and related Supplements for gold, tantalum, tin and tungsten.

Our supply chain is complex and there are multiple tiers between ESI and the mines. We rely on our suppliers to provide information on the origin of the conflict minerals contained in components which are included in our products. To identify and assess risk in the supply chain, we engaged those suppliers who provide the substantial majority of our components or whose products we believe are likely to contain conflict minerals. The components provided by these suppliers represented approximately 80% of component costs incurred by us during 2016. We conducted a survey of suppliers to determine whether conflict minerals necessary to the functionality or production of components contained in our products were or were not sourced from the DRC or other Covered Countries (as defined in the Rule). We utilized a third-party service provider to administer components of this due diligence with appropriate oversight by ESI. The survey requested suppliers to provide the country of origin of any conflict minerals and the facilities used to process these minerals.

We received responses from approximately 90% of the suppliers surveyed containing the names and locations of smelters and refiners which process conflict minerals used in components provided by our suppliers. We reviewed and compared the responses with other information in our possession or publicly available and, where appropriate, made further inquiries of our suppliers. The initial and subsequent responses from suppliers did not contain sufficient information to determine the country of origin of all the conflict minerals in our products. Below is a summary of the information collected from all supply-chain survey respondents.
Conflict Mineral
Countries of origin may include the following
Tantalum
Democratic Republic of the Congo*
Tin
Democratic Republic of the Congo*
Tungsten
Indeterminate
Gold
Indeterminate
*The reported tantalum and tin from the DRC was reported by smelters who have been audited and registered as conflict free by the Conflict Free Smelter Initiative (CFSI), which is internationally recognized for conflict free smelter audits.
The smelters and refiners identified by our suppliers are listed in Appendix A below.

Our products for which conflict minerals are necessary to the functionality or production include, but are not limited to, laser ablation products, laser processing system products, microfabrication products, laser component products, FPD repair & failure analysis products, LED wafer scriber products, laser fuse processing products, laser trimming products, vision products, wafer dicing products, wafer mark products, electrical tester products, inspection products, tooling products, pyroflex products and solar market application products.

We expect to take the following steps to mitigate the risk that the necessary conflict minerals in our products do not benefit armed groups in the Democratic Republic of Congo (DRC) or any Covered Countries, including:

Attempting to increase the response rate of suppliers and improve the content of the responses.
Attempting to validate supplier responses using information collected via independent conflict free smelter validation programs such as the EICC/GeSI Conflict Free Smelter Program.




Exhibit 1.01

Appendix A: Smelter and Refiner List
Metal
Smelter Name
Smelter Country
Smelter Identification
Gold
Abington Reldan Metals, LLC
UNITED STATES OF AMERICA
CID002708
Gold
Advanced Chemical Company
UNITED STATES OF AMERICA
CID000015
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
CID002560
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
CID000058
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
Gold
Asahi Pretec Corp.
JAPAN
CID000082
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
Gold
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
CID000920
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
Gold
AURA-II
UNITED STATES OF AMERICA
CID002851
Gold
Aurubis AG
GERMANY
CID000113
Gold
Bangalore Refinery
INDIA
CID002863
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Gold
Boliden AB
SWEDEN
CID000157
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
Gold
Caridad
MEXICO
CID000180
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
Gold
Cendres + Métaux S.A.
SWITZERLAND
CID000189
Gold
Chimet S.p.A.
ITALY
CID000233
Gold
Chugai Mining
JAPAN
CID000264
Gold
Daejin Indus Co., Ltd.
KOREA (REPUBLIC OF)
CID000328
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
Gold
DODUCO GmbH
GERMANY
CID000362
Gold
Dowa
JAPAN
CID000401
Gold
DSC (Do Sung Corporation)
KOREA (REPUBLIC OF)
CID000359
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
Gold
Elemetal Refining, LLC
UNITED STATES OF AMERICA
CID001322
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
CID002515
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CHINA
CID000522
Gold
Geib Refining Corporation
UNITED STATES OF AMERICA
CID002459
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
CID001909
Gold
Guangdong Jinding Gold Limited
CHINA
CID002312



Exhibit 1.01

Gold
Gujarat Gold Centre
INDIA
CID002852
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
Gold
Heraeus Ltd. Hong Kong
CHINA
CID000707
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000767
Gold
HwaSeong CJ Co., Ltd.
KOREA (REPUBLIC OF)
CID000778
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Gold
Istanbul Gold Refinery
TURKEY
CID000814
Gold
Japan Mint
JAPAN
CID000823
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
CID002563
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
Gold
Kazzinc
KAZAKHSTAN
CID000957
Gold
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
CID000969
Gold
KGHM Polska MiedŸ Spó³ka Akcyjna
POLAND
CID002511
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Gold
Korea Zinc Co., Ltd.
KOREA (REPUBLIC OF)
CID002605
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
Gold
Lingbao Gold Co., Ltd.
CHINA
CID001056
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
Gold
LS-NIKKO Copper Inc.
KOREA (REPUBLIC OF)
CID001078
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
Gold
Materion
UNITED STATES OF AMERICA
CID001113
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
Gold
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
CID001157
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
MEXICO
CID001161
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Gold
Modeltech Sdn Bhd
MALAYSIA
CID002857
Gold
Morris and Watson
NEW ZEALAND
CID002282



Exhibit 1.01

Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
TURKEY
CID001220
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Gold
PAMP S.A.
SWITZERLAND
CID001352
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Gold
PX Précinox S.A.
SWITZERLAND
CID001498
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Gold
Remondis Argentia B.V.
NETHERLANDS
CID002582
Gold
Republic Metals Corporation
UNITED STATES OF AMERICA
CID002510
Gold
Royal Canadian Mint
CANADA
CID001534
Gold
SAAMP
FRANCE
CID002761
Gold
Sabin Metal Corp.
UNITED STATES OF AMERICA
CID001546
Gold
SAFINA A.S.
CZECH REPUBLIC
CID002290
Gold
Sai Refinery
INDIA
CID002853
Gold
Samduck Precious Metals
KOREA (REPUBLIC OF)
CID001555
Gold
Samwon Metals Corp.
KOREA (REPUBLIC OF)
CID001562
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
Gold
Schone Edelmetaal B.V.
NETHERLANDS
CID001573
Gold
SEMPSA Joyería Platería S.A.
SPAIN
CID001585
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
CID001619
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID002516
Gold
So Accurate Group, Inc.
UNITED STATES OF AMERICA
CID001754
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
CID001761
Gold
Sudan Gold Refinery
SUDAN
CID002567
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
Gold
T.C.A S.p.A
ITALY
CID002580
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916



Exhibit 1.01

Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
CID001947
Gold
Tony Goetz NV
BELGIUM
CID002587
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
CID002615
Gold
Torecom
KOREA (REPUBLIC OF)
CID001955
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
Gold
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
CID001993
Gold
Universal Precious Metals Refining Zambia
ZAMBIA
CID002854
Gold
Valcambi S.A.
SWITZERLAND
CID002003
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
CID002030
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Gold
Yamamoto Precious Metal Co., Ltd.
JAPAN
CID002100
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
CID000197
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
CHINA
CID002243
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Tantalum
Conghua Tantalum and Niobium Smeltry
CHINA
CID000291
Tantalum
D Block Metals, LLC
UNITED STATES OF AMERICA
CID002504
Tantalum
Duoluoshan
CHINA
CID000410
Tantalum
E.S.R. Electronics
UNITED STATES OF AMERICA
CID002590
Tantalum
Exotech Inc.
UNITED STATES OF AMERICA
CID000456
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
Tantalum
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
CID002557
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
Tantalum
H.C. Starck GmbH Goslar
GERMANY
CID002545
Tantalum
H.C. Starck GmbH Laufenburg
GERMANY
CID002546
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
Tantalum
H.C. Starck Inc.
UNITED STATES OF AMERICA
CID002548
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002550
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES OF AMERICA
CID000731



Exhibit 1.01

Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Tantalum
KEMET Blue Metals
MEXICO
CID002539
Tantalum
KEMET Blue Powder
UNITED STATES OF AMERICA
CID002568
Tantalum
King-Tan Tantalum Industry Ltd.
CHINA
CID000973
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
Tantalum
Mineração Taboca S.A.
BRAZIL
CID001175
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001192
Tantalum
Molycorp Silmet A.S.
ESTONIA
CID001200
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
Tantalum
Plansee SE Liezen
AUSTRIA
CID002540
Tantalum
Plansee SE Reutte
AUSTRIA
CID002556
Tantalum
Power Resources Ltd.
MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF)
CID002847
Tantalum
QuantumClean
UNITED STATES OF AMERICA
CID001508
Tantalum
Resind Indústria e Comércio Ltda.
BRAZIL
CID002707
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CHINA
CID001522
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
Tantalum
Telex Metals
UNITED STATES OF AMERICA
CID001891
Tantalum
Tranzact, Inc.
UNITED STATES OF AMERICA
CID002571
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
CID002307
Tantalum
Zhuzhou Cemented Carbide Group Co., Ltd.
CHINA
CID002232
Tin
Alpha
UNITED STATES OF AMERICA
CID000292
Tin
An Thai Minerals Co., Ltd.
VIET NAM
CID002825
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
CID002703
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000278
Tin
Cooperativa Metalurgica de Rondônia Ltda.
BRAZIL
CID000295
Tin
CV Ayi Jaya
INDONESIA
CID002570
Tin
CV Dua Sekawan
INDONESIA
CID002592
Tin
CV Gita Pesona
INDONESIA
CID000306
Tin
CV Serumpun Sebalai
INDONESIA
CID000313
Tin
CV Tiga Sekawan
INDONESIA
CID002593



Exhibit 1.01

Tin
CV United Smelting
INDONESIA
CID000315
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
Tin
Dowa
JAPAN
CID000402
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
CID002572
Tin
Elmet S.L.U.
SPAIN
CID002774
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
CID000438
Tin
Estanho de Rondônia S.A.
BRAZIL
CID000448
Tin
Fenix Metals
POLAND
CID000468
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
CID002848
Tin
Gejiu Jinye Mineral Company
CHINA
CID002859
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
CID000555
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
CID000244
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Tin
Metallic Resources, Inc.
UNITED STATES OF AMERICA
CID001142
Tin
Metallo-Chimique N.V.
BELGIUM
CID002773
Tin
Mineração Taboca S.A.
BRAZIL
CID001173
Tin
Minsur
PERU
CID001182
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Tin
Modeltech Sdn Bhd
MALAYSIA
CID002858
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
CID001231
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002573
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Tin
Operaciones Metalurgical S.A.
BOLIVIA (PLURINATIONAL STATE OF)
CID001337
Tin
Phoenix Metal Ltd.
RWANDA
CID002507
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
Tin
PT Bukit Timah
INDONESIA
CID001428
Tin
PT Cipta Persada Mulia
INDONESIA
CID002696



Exhibit 1.01

Tin
PT DS Jaya Abadi
INDONESIA
CID001434
Tin
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
Tin
PT Inti Stania Prima
INDONESIA
CID002530
Tin
PT Justindo
INDONESIA
CID000307
Tin
PT Karimun Mining
INDONESIA
CID001448
Tin
PT Kijang Jaya Mandiri
INDONESIA
CID002829
Tin
PT Lautan Harmonis Sejahtera
INDONESIA
CID002870
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Tin
PT O.M. Indonesia
INDONESIA
CID002757
Tin
PT Panca Mega Persada
INDONESIA
CID001457
Tin
PT Prima Timah Utama
INDONESIA
CID001458
Tin
PT Refined Bangka Tin
INDONESIA
CID001460
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
CID001477
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
CID001482
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
Tin
PT Tirus Putra Mandiri
INDONESIA
CID002478
Tin
PT Tommy Utama
INDONESIA
CID001493
Tin
PT Wahana Perkit Jaya
INDONESIA
CID002479
Tin
Resind Indústria e Comércio Ltda.
BRAZIL
CID002706
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
CID001539
Tin
Soft Metais Ltda.
BRAZIL
CID001758
Tin
Thaisarco
THAILAND
CID001898
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002574
Tin
VQB Mineral and Trading Group JSC
VIET NAM
CID002015
Tin
White Solder Metalurgia e Mineração Ltda.
BRAZIL
CID002036
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
Tin
Yunnan Tin Company Limited
CHINA
CID002180
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
CID000004
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
CHINA
CID002518
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CHINA
CID000345
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
CID002536
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
CID000568
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218



Exhibit 1.01

Tungsten
H.C. Starck GmbH
GERMANY
CID002541
Tungsten
H.C. Starck Smelting GmbH & Co.KG
GERMANY
CID002542
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
CID002647
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
CID002535
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Tungsten
Kennametal Fallon
UNITED STATES OF AMERICA
CID000966
Tungsten
Kennametal Huntsville
UNITED STATES OF AMERICA
CID000105
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Tungsten
Moliren Ltd
RUSSIAN FEDERATION
CID002845
Tungsten
Niagara Refining LLC
UNITED STATES OF AMERICA
CID002589
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
CID002543
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
CID002827
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
CID002815
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
CID002724
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
CID002011
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
CID002044
Tungsten
Woltech Korea Co., Ltd.
KOREA (REPUBLIC OF)
CID002843
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095