Delaware
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000-25426
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74-1871327
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(State or other jurisdiction of incorporation or organization)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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11500 North MoPac Expressway
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78759
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Austin, Texas
(Address of principal executive offices)
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(Zip Code)
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R. Eddie Dixon, Jr.
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(512) 683-0100
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⌧
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Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019.
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Item 1.01
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Conflict Minerals Disclosure and Report
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Item 1.02
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Exhibit
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Item 2.01
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Exhibits
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Exhibit 1.01
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2019 Conflict Minerals Report of National Instruments Corporation as required by Items 1.01 and 1.02 of this Form SD.
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NATIONAL INSTRUMENTS CORPORATION
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By:
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/s/ R. Eddie Dixon, Jr.
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R. Eddie Dixon, Jr.
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Vice President, General Counsel, and Secretary
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Exhibit No.
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Description
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1.01
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I.
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Introduction
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II.
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Overview
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III.
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Due Diligence Measures Performed by The Company
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a.
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Conflict minerals team – The Company established a conflict minerals team that includes individuals from the relevant business units and departments, including trade compliance, procurement,
sales, and legal. The team was structured to include the involvement from those in upper management roles, including the VP of Manufacturing, Director of Trade Compliance, and Global Supply Chain Operations Manager, to ensure that critical
information, including the Company’s conflict minerals policy, reached relevant employees and suppliers.
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b.
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Conflict minerals policy – The Company adopted and published a policy establishing the expectations of our suppliers. The policy resides on our corporate website (http://ni.com/conflictminerals). The
Company’s expectation for the responsible sourcing of minerals is also incorporated into the Company’s terms and conditions with suppliers.
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c.
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Supplier engagement – The Company communicated its conflict minerals policy and provided educational materials to our in-scope suppliers. Suppliers were informed when the request for information was initiated
on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program. NI also communicated its conflict minerals position statement to its suppliers
through the NI Supplier Handbook, available online at ni.com/en-us/about-ni/suppliers.html, which is designed to inform potential and existing suppliers about the Company. Finally, NI requires that its suppliers abide by the NI Supplier
Code of Conduct and the labor, health and safety, environmental, and ethics standards of the most current version of the Responsible Business Alliance (RBA) Code of Conduct.
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d.
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Company level grievance mechanism – As recommended by the OECD Due Diligence Guidance, the Company has a grievance mechanism in place as a risk-awareness system for conflict minerals issues. NI maintains an
ethics hotline pursuant to which stakeholders, internal and external, may confidentially report concerns involving conflict minerals, either electronically or by phone.
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e.
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Records management – The Company will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines of five years.
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a.
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Identified products in scope – Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should
be deemed in-scope as described by the Adopting Release. As most NI hardware products contain at least one of the Conflict Minerals this disclosure includes information on a company level basis that includes general information for all NI
products.
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b.
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Conducted RCOI – The Company utilized the most recent version of the industry-developed CMRT to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers
who provide materials and components for NI products. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI. See Appendix I for a list of countries of origin
identified through the RCOI process.
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c.
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Completed additional follow-up – The Company contacted direct suppliers multiple times as needed to help ensure compliance with our request for detailed conflict minerals information. We also worked to
clarify and validate the accuracy of information provided by our suppliers.
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d.
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Identified smelters or refiners (“SORs”) – The Company compiled a list of SORs in our supply chain using our suppliers’ responses in their CMRTs. The Company reconciled this list to the list of smelter
facilities designated by the RMI’s Responsible Minerals Assurance Process (“RMAP”). The RMAP completes independent, third-party audits of smelters and refiners to determine which can be validated as having systems in place that ensure the
minerals are responsible sourced according to the OECD Due Diligence Guidance. The Company maintains a database of smelter aliases to reconcile suppliers’ smelters lists to the list of RMI SORs. We have provided that list in this report
within section IV – Product Description; Processing Facilities.
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a.
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Reporting results to senior management – The Conflict Minerals team reports the results of our RCOI to upper management which included the team’s plan to respond to risks identified in the due diligence
processes.
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b.
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Designed and implemented a plan – The Company used established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT, as well as, any additional documentation furnished
to support those responses and the suppliers’ due diligence processes. The resulting risk ratings were used to develop specific supplier outreach to address the identified risks and to take corrective actions with suppliers found not in
compliance with the Company’s conflict minerals policy.
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c.
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Identified SORs – As part of the risk mitigation process, the Company reconciled the list of SORs collected from suppliers to the list of smelter facilities validated by the RMI. The Company maintains a
database of smelter aliases to reconcile suppliers’ smelters lists to the list of RMI SORs.
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IV.
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Product Description; Processing Facilities
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Metal
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Standard Smelter Name
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Smelter Country
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Entity ID
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Gold
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Aida Chemical Industries Co., Ltd.
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JAPAN
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CID000019
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Gold
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Allgemeine Gold-und Silberscheideanstalt A.G.
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GERMANY
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CID000035
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Gold
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Argor-Heraeus S.A.
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SWITZERLAND
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CID000077
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Gold
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Asahi Pretec Corp.
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JAPAN
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CID000082
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Gold
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Asahi Refining Canada Ltd.
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CANADA
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CID000924
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Gold
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Asahi Refining USA Inc.
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UNITED STATES OF AMERICA
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CID000920
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Gold
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Asahi Riken Co., Ltd.
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JAPAN
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CID000090
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Gold
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Dowa
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JAPAN
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CID000401
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Gold
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Heraeus Metals Hong Kong Ltd.
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CHINA
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CID000707
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Gold
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Heraeus Precious Metals GmbH & Co. KG
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GERMANY
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CID000711
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Gold
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Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
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CHINA
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CID000801
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Gold
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Ishifuku Metal Industry Co., Ltd.
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JAPAN
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CID000807
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Gold
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Jiangxi Copper Co., Ltd.
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CHINA
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CID000855
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Gold
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JX Nippon Mining & Metals Co., Ltd.
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JAPAN
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CID000937
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Gold
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Kennecott Utah Copper LLC
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UNITED STATES OF AMERICA
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CID000969
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Gold
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Kojima Chemicals Co., Ltd.
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JAPAN
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CID000981
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Gold
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LS-NIKKO Copper Inc.
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KOREA, REPUBLIC OF
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CID001078
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Gold
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Materion
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UNITED STATES OF AMERICA
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CID001113
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Gold
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Matsuda Sangyo Co., Ltd.
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JAPAN
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CID001119
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Gold
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Metalor Technologies (Hong Kong) Ltd.
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CHINA
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CID001149
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Gold
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Metalor Technologies (Singapore) Pte., Ltd.
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SINGAPORE
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CID001152
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Gold
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Metalor Technologies S.A.
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SWITZERLAND
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CID001153
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Gold
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Metalor USA Refining Corporation
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UNITED STATES OF AMERICA
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CID001157
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Gold
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Metalurgica Met-Mex Penoles S.A. De C.V.
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MEXICO
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CID001161
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Gold
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Mitsubishi Materials Corporation
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JAPAN
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CID001188
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Gold
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Mitsui Mining and Smelting Co., Ltd.
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JAPAN
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CID001193
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Gold
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Nihon Material Co., Ltd.
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JAPAN
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CID001259
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Gold
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PAMP S.A.
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SWITZERLAND
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CID001352
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Gold
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Rand Refinery (Pty) Ltd.
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SOUTH AFRICA
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CID001512
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Gold
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Royal Canadian Mint
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CANADA
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CID001534
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Gold
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SEMPSA Joyeria Plateria S.A.
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SPAIN
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CID001585
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Gold
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Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
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CHINA
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CID001622
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Gold
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Solar Applied Materials Technology Corp.
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TAIWAN, PROVINCE OF CHINA
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CID001761
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Gold
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Sumitomo Metal Mining Co., Ltd.
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JAPAN
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CID001798
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Gold
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Tanaka Kikinzoku Kogyo K.K.
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JAPAN
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CID001875
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Gold
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The Refinery of Shandong Gold Mining Co., Ltd.
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CHINA
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CID001916
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Gold
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Tokuriki Honten Co., Ltd.
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JAPAN
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CID001938
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Gold
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Umicore Brasil Ltda.
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BRAZIL
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CID001977
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Gold
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Umicore S.A. Business Unit Precious Metals Refining
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BELGIUM
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CID001980
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Gold
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Valcambi S.A.
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SWITZERLAND
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CID002003
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Gold
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Western Australian Mint (T/a The Perth Mint)
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AUSTRALIA
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CID002030
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Tantalum
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F&X Electro-Materials Ltd.
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CHINA
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CID000460
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Tantalum
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Global Advanced Metals Aizu
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JAPAN
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CID002558
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Tantalum
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Global Advanced Metals Boyertown
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UNITED STATES OF AMERICA
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CID002557
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Tantalum
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H.C. Starck Co., Ltd.
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THAILAND
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CID002544
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Tantalum
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H.C. Starck Hermsdorf GmbH
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GERMANY
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CID002547
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Tantalum
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H.C. Starck Inc.
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UNITED STATES OF AMERICA
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CID002548
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Tantalum
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H.C. Starck Ltd.
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JAPAN
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CID002549
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Tantalum
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H.C. Starck Smelting GmbH & Co. KG
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GERMANY
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CID002550
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Tantalum
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H.C. Starck Tantalum and Niobium GmbH
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GERMANY
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CID002545
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Tantalum
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Ningxia Orient Tantalum Industry Co., Ltd.
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CHINA
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CID001277
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Tantalum
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Solikamsk Magnesium Works OAO
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RUSSIAN FEDERATION
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CID001769
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Tantalum
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Ulba Metallurgical Plant JSC
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KAZAKHSTAN
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CID001969
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Tin
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Alpha
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UNITED STATES OF AMERICA
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CID000292
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Tin
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China Tin Group Co., Ltd.
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CHINA
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CID001070
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Tin
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Dowa
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JAPAN
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CID000402
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Tin
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EM Vinto
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BOLIVIA (PLURINATIONAL STATE OF)
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CID000438
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Tin
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Estanho de Rondonia S.A.
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BRAZIL
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CID000448
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Tin
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Fenix Metals
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POLAND
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CID000468
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Tin
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Gejiu Kai Meng Industry and Trade LLC
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CHINA
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CID000942
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Tin
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Gejiu Non-Ferrous Metal Processing Co., Ltd.
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CHINA
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CID000538
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Tin
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Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
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CHINA
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CID001908
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Tin
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Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
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CHINA
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CID003116
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Tin
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Magnu's Minerais Metais e Ligas Ltda.
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BRAZIL
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CID002468
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Tin
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Malaysia Smelting Corporation (MSC)
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MALAYSIA
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CID001105
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Tin
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Metallic Resources, Inc.
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UNITED STATES OF AMERICA
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CID001142
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Tin
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Metallo Belgium N.V.
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BELGIUM
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CID002773
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Tin
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Mineracao Taboca S.A.
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BRAZIL
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CID001173
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Tin
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Minsur
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PERU
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CID001182
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Tin
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Mitsubishi Materials Corporation
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JAPAN
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CID001191
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Tin
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Operaciones Metalurgicas S.A.
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BOLIVIA (PLURINATIONAL STATE OF)
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CID001337
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Tin
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PT Mitra Stania Prima
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INDONESIA
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CID001453
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Tin
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PT Refined Bangka Tin
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INDONESIA
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CID001460
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Tin
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PT Timah Tbk Kundur
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INDONESIA
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CID001477
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Tin
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PT Timah Tbk Mentok
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INDONESIA
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CID001482
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Tin
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Rui Da Hung
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TAIWAN, PROVINCE OF CHINA
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CID001539
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Tin
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Soft Metais Ltda.
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BRAZIL
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CID001758
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Tin
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Thaisarco
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THAILAND
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CID001898
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Tin
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White Solder Metalurgia e Mineracao Ltda.
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BRAZIL
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CID002036
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Tin
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Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
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CHINA
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CID002158
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Tin
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Yunnan Tin Company Limited
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CHINA
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CID002180
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Tungsten
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A.L.M.T. Corp.
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JAPAN
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CID000004
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Tungsten
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Chongyi Zhangyuan Tungsten Co., Ltd.
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CHINA
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CID000258
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Tungsten
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Ganzhou Huaxing Tungsten Products Co., Ltd.
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CHINA
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CID000875
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Tungsten
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Ganzhou Seadragon W & Mo Co., Ltd.
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CHINA
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CID002494
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Tungsten
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Global Tungsten & Powders Corp.
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UNITED STATES OF AMERICA
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CID000568
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Tungsten
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H.C. Starck Smelting GmbH & Co. KG
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GERMANY
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CID002542
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Tungsten
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Hunan Chunchang Nonferrous Metals Co., Ltd.
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CHINA
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CID000769
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Tungsten
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Kennametal Huntsville
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UNITED STATES OF AMERICA
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CID000105
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Tungsten
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Xiamen Tungsten (H.C.) Co., Ltd.
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CHINA
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CID002320
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Tungsten
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Xiamen Tungsten Co., Ltd.
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CHINA
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CID002082
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V.
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Future Due Diligence
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•
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Review the conflict minerals policy statement and update if necessary.
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Continue to collect responses from suppliers using the most recent revision of the CMRT.
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Engage with suppliers that did not provide a response in 2019 or provided incomplete responses to enhance our data collection for 2020.
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Monitor and track performance of risk mitigation efforts.
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•
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Continue engagement with smelters by sending letters to those that have not been audited as conformant.
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•
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Continue to send messages to our suppliers to engage with these smelters.
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Collect from suppliers product-level or user-defined level responses where useful.
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Compare and validate RCOI results to information collected via independent third-party audit programs, such as the RMI, and through our Company’s
own coordinated outreach to smelters.
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Encourage responsible sourcing from the DRC and adjoining countries.
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Mineral Country of Origin
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Argentina
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Mexico
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Australia
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Mongolia
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Austria
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Mozambique
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Benin
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Myanmar
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Bolivia (Plurinational State of)
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Namibia
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Brazil
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Nicaragua
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Burundi*
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Niger
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Canada
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Nigeria
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Chile
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Peru
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China
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Portugal
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Colombia
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Russian Federation
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Congo, Democratic Republic of the*
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Rwanda*
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Ecuador
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Sierra Leone
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Eritrea
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Somaliland
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Ethiopia
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South Africa
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France
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Spain
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Germany
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Swaziland
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Ghana
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Taiwan
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Guinea
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Tanzania*
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Guyana
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Thailand
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India
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Togo
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Indonesia
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Uganda*
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Japan
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United Kingdom
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Laos
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United States of America
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Madagascar
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Uzbekistan
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Malaysia
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Viet Nam
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Mali
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Zimbabwe
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Mauritania
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