UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
NetApp, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 000-27130 | 77-0307520 | ||||||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS. Employer Identification No.) |
495 East Java Drive
Sunnyvale, CA 94089
(Address of principal executive offices)
Matthew K. Fawcett
Senior Vice President, General Counsel and Secretary
NetApp, Inc.
(408) 822-6000
(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:
| x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015. |
Section 1—Conflict Minerals Disclosure
Items 1.01 and 1.02 Conflict Minerals Disclosure and Report; Exhibit
A copy of NetApp, Inc.’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD and is available at the following address: http://investors.netapp.com/sec.cfm.
Section 2—Exhibits
Item 2.01 Exhibits
| Exhibit No. |
Description | |
| 1.01 | Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. | |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
| NETAPP, INC. | ||||||
| Matthew K. Fawcett |
May 27, 2016 | |||||
| By: | Matthew K. Fawcett | |||||
| Its: | Senior Vice President, General Counsel & Secretary | |||||
Exhibit 1.01
Conflict Minerals Report of NetApp, Inc.
For the Calendar Year Ended December 31, 2015
This Conflict Minerals Report contains forward-looking statements. These statements include statements regarding NetApp’s goals for its Conflict Minerals policy and the actions that NetApp intends to take to improve transparency and reporting. All forward-looking statements involve risk and uncertainty. When considering these statements, you should also consider the important factors described in reports and documents NetApp files from time to time with the Securities and Exchange Commission, including the factors described under the sections titled “Risk Factors” in NetApp’s most recently filed Annual and Quarterly Reports on Forms 10-K and 10-Q, respectively. Except as required by law, NetApp disclaims any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise.
This is the Conflict Minerals Report for NetApp, Inc. (“NetApp”) for calendar year 2015 prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”).
Introduction
NetApp is a leading provider of innovative storage systems and data management solutions that form the foundation for efficient and flexible IT infrastructures.
Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the rules promulgated thereunder (together “Section 1502”) require NetApp to perform certain due diligence procedures and disclose information about the use and origin of certain minerals if these minerals are deemed to be necessary to the functionality or production of a product manufactured or contracted to be manufactured by NetApp. The NetApp products that contain minerals or metals are its hardware products (storage systems and subsystems) that NetApp contracts to manufacture and sells directly or through resellers. The specific minerals covered by these rules consist of tin, tantalum, tungsten and gold and are referred to as “Conflict Minerals.”
Conflict Minerals are necessary to the functionality or production of the storage systems and subsystems that NetApp contracts to manufacture. Components and subassemblies that are made in part using Conflict Minerals are sourced from a global supply base that includes distributors, value-added resellers, original equipment manufacturers, original design manufacturers and contract manufacturers.
In accordance with Section 1502, NetApp has performed a “reasonable country of origin inquiry” (“RCOI”) on minerals that were in NetApp’s supply chain for calendar year 2015 to determine whether these minerals were sourced from the Democratic Republic of the Congo or adjoining countries (the “Covered Countries”) and has conducted due diligence measures as described below.
Due Diligence Procedures
In accordance with Rule 13p-1, NetApp undertook due diligence procedures to determine the source and chain of custody of the Conflict Minerals used in its products. NetApp designed its due diligence measures for each of the Conflict Minerals to conform, in all material respects, with the due diligence framework in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition (OECD 2013) (“OECD Framework”) and related supplements. NetApp’s due diligence measures included:
| 1. | Establishing strong company management systems for conflict minerals supply chain; |
| 2. | Identifying and assessing risk in the supply chain; |
| 3. | Designing and implementing strategies to respond to identified risks; |
| 4. | Supporting industry associations that carry out independent third party audits of smelter/refiner’s due diligence practices; and |
| 5. | Reporting annually on our supply chain due diligence activities. |
STEP 1: Establish strong company management systems
| a) | Identified an executive sponsor for NetApp’s supply chain transparency objectives to provide internal leadership and guidance to attain NetApp’s goal of determining the countries of origin of the Conflict Minerals that are necessary for the production or functionality of its products and eliminating sources of Conflict Minerals that benefit armed groups. |
| b) | Adopted and posted a Conflict Minerals policy (discussed further below) on its website. NetApp requested all vendors and suppliers of materials that could potentially contain Conflict Minerals (the “in scope suppliers”) to comply with the requirements of Section 1502, if applicable, and to support NetApp’s compliance. NetApp continues to educate suppliers on its Conflict Minerals policy. |
| c) | Included Section 1502 requirement contractually in its Master Supply Agreements, requiring suppliers to provide necessary information. |
| d) | Adopted internal processes, procedures and systems to capture, maintain, retrieve and report on supplier sourcing of Conflict Minerals to further improve transparency and the ability to report on NetApp’s sourcing of Conflict Minerals in accordance with Section 1502 in coming years. |
| e) | Utilized the Conflict Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (the “CMRT”) sent to NetApp’s in scope suppliers via a third party provider (Resilinc) to gather information on the chain of custody of the necessary Conflict Minerals included in NetApp products (the “RCOI Survey”). |
| f) | Instituted Conflict Minerals risk assessment as part of the NetApp product development process. |
| g) | Identified personnel within NetApp responsible for the NetApp sustainability program, including responsibility for day-to-day consideration and review of compliance requirements related to the Section 1502. |
| h) | Increased resources available for Conflict Minerals program to develop enhanced data analytics and support program goals. |
STEP 2: Identify and assess risks in the supply chain
| a) | Performed a risk assessment of all parts represented within its product lines followed by a supplier risk assessment. Suppliers were first assessed by determining whether they supplied hardware, software or services. If the supplier was determined to supply hardware, NetApp assessed whether the materials supplied by the supplier could potentially contain Conflict Minerals. Finally, suppliers were surveyed to determine whether they sourced Conflict Minerals from the Covered Countries. |
| b) | Provided letters to suppliers explaining NetApp’s country of origin inquiry and due diligence efforts and requesting supplier cooperation. Suppliers were offered training materials on the requirements of Section 1502, NetApp’s plan to achieve compliance with such requirements and NetApp’s goal of achieving responsible sourcing from its suppliers. |
| c) | Partnered with a third party provider to conduct a RCOI Survey of NetApp’s in scope suppliers in order to gather information on countries of origin and identify smelters or refiners. The RCOI survey documentation aligned with the CMRT (version 4.0). The in scope suppliers were asked to identify the smelters and refiners who contributed to the materials contained in parts and components that they supplied to NetApp. |
| d) | The in scope suppliers that responded to NetApp’s RCOI Survey account for 95% of component spend for calendar year 2015, an increase from 90% in 2014. This improvement is due to an increased effort on following up with non-responsive suppliers. |
| e) | Compared smelters and refiners identified against the list of those on CFSI’s Conflict Free Smelter Program’s lists for tantalum, tin, tungsten and gold), including those that have received a “conflict free” designation by participating in an independent third party audit. |
| f) | Performed enhanced data analytics to ensure identification of all in scope suppliers throughout NetApp’s entire supply chain. |
| g) | Analyzed CMRT responses and provided feedback to suppliers. |
STEP 3: Design and implement a strategy to respond to identified risks
| a) | NetApp has established a supplier Conflict Minerals policy, which outlines NetApp’s requirements for its suppliers: |
| a. | Sourcing minerals from socially responsible suppliers; |
| b. | Requesting suppliers downstream to source minerals from socially responsible suppliers; |
| c. | Providing NetApp with prompt, truthful, and accurate information regarding each supply source and the nature of the sourcing materials as it relates to the requirements of Section 1502; and |
| d. | Cooperating with regular business reviews, surveys, and audits undertaken by or for NetApp so that it can comply with the requirements of Section 1502. |
| b) | Through calendar year 2015, NetApp continued to flow down its Conflict Minerals policy to its entire supply base. This has aided in defining sourcing requirements for products supplied to NetApp. |
| c) | NetApp’s supplier qualification and assessment program includes audits of supplier representations of their status to validate their previous and current reporting. |
| d) | In 2015, NetApp led Conflict Minerals forums and collaborated with industry peers to define and improve best practices, and encourage responsible sourcing. |
| e) | In calendar year 2016, NetApp plans to: |
| a. | Continue to work with its top materials-spend suppliers to improve transparency and reporting. Concurrently, through its supplier performance management process, NetApp continues to assess risk for its supply base that are not improving their level of transparency required by Section 1502 to promote its intended purpose. NetApp will work with suppliers with underdeveloped processes, providing information and guidance in an attempt to increase transparency. |
| b. | Compare RCOI Survey responses to information collected via independent conflict free smelter validation programs, such as CFSI’s Conflict-Free Smelter Program, to identify unknown or unrecognized smelters or refiners. NetApp will contact in scope suppliers with unknown or unrecognized smelters or refiners and request their participation in improving data accuracy and promoting CFSI’s efforts. |
| c. | Continue its participation in Conflict Minerals forums and collaborating with industry peers to define best practices, and encourage responsible sourcing. NetApp will continue to support CFSI in its efforts to increase the number of smelters and refiners validated as “conflict free.” |
STEP 4: Support industry associations that carry out independent third party audits of smelter/refiner’s due diligence practices
As a member of the Electronic Industry Citizenship Coalition, or “EICC,” NetApp will continue to participate in the CFSI to assist in increasing the number of smelters and refiners directly and indirectly in its supply base that have been validated as “conflict free” under the CFSI’s Conflict-Free Smelter Program, which uses an independent third-party audit to identify smelters and refiners that have systems in place to assure sourcing of only conflict-free materials. Due to ongoing litigation concerning Section 1502, NetApp was not required to obtain a third party independent audit of its own due diligence process and compliance efforts and results in 2015 but may be required to do so in 2016.
STEP 5: Report annually on supply chain due diligence
NetApp’s Conflict Minerals policy, Form SD and this Conflict Minerals Report are currently posted on NetApp’s public website:
http://investors.netapp.com/corporate-governance.cfm;
http://investors.netapp.com/sec.cfm; and
http://www.netapp.com/us/company/our-story/conflict-minerals.aspx.
Results of Due Diligence
NetApp, as a purchaser, is many steps removed from the mining of the Conflict Minerals and does not purchase raw ore or unrefined Conflict Minerals, nor does it purchase bulk Conflict Minerals in the form of ingots or bullion for use in it products. The origin of NetApp’s Conflict Minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other derivatives. The smelters and refiners are consolidating points for raw ore and are in the best position in the total supply chain to know the origin of the ores.
Based on the information that was provided by NetApp’s in scope suppliers and otherwise obtained through its due diligence efforts described herein, NetApp believes that the facilities listed in Appendix A were used to process a portion of the necessary Conflict Minerals contained in NetApp’s products for calendar year 2015. Furthermore, NetApp has reasonably determined from information provided by the CFSP and otherwise obtained through NetApp’s due diligence efforts, that it does not have sufficient information to determine whether portions of its products contain recycled or scrap sources.
Appendix A
Smelters or Refiners (SORs) that may be used to process the Conflict Minerals contained in NetApp’s Products.
SOR Status as of December 31, 2015: “CFSP Listed” indicates SOR is publicly listed on the CFSP web site and considered “conflict-free” as of the date indicated based on the criteria used by CFSI to assess SORs. “Unknown” indicates SOR is either in process for CFSP assessment or has not started the process as of the date indicated.
| Metal | Name of SOR | Country Location of SOR |
CFSP Status | |||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Conghua Tantalum and Niobium Smeltry | China | CFSP Listed | |||
| Tantalum | D Block Metals, LLC | United States | CFSP Listed | |||
| Tantalum | Duoluoshan | China | CFSP Listed | |||
| Tantalum | Exotech Inc. | United States | CFSP Listed | |||
| Tantalum | F&X Electro-Materials Ltd. | China | CFSP Listed | |||
| Tantalum | FIR Metals & Resource Ltd. | China | CFSP Listed | |||
| Tantalum | Global Advanced Metals Aizu | Japan | CFSP Listed | |||
| Tantalum | Global Advanced Metals Boyertown | United States | CFSP Listed | |||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch | China | CFSP Listed | |||
| Tantalum | H.C. Starck Co., Ltd. | Thailand | CFSP Listed | |||
| Tantalum | H.C. Starck GmbH Goslar | Germany | CFSP Listed | |||
| Tantalum | H.C. Starck GmbH Laufenburg | Germany | CFSP Listed | |||
| Tantalum | H.C. Starck Hermsdorf GmbH | Germany | CFSP Listed | |||
| Tantalum | H.C. Starck Inc. | United States | CFSP Listed | |||
| Tantalum | H.C. Starck Ltd. | Japan | CFSP Listed | |||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | Germany | CFSP Listed | |||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Hi-Temp Specialty Metals, Inc. | United States | CFSP Listed | |||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | CFSP Listed | |||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | CFSP Listed | |||
| Tantalum | KEMET Blue Metals | Mexico | CFSP Listed | |||
| Tantalum | KEMET Blue Powder | United States | CFSP Listed | |||
| Tantalum | King-Tan Tantalum Industry Ltd. | China | CFSP Listed | |||
| Tantalum | LSM Brasil S.A. | Brazil | CFSP Listed | |||
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | CFSP Listed | |||
| Tantalum | Mineração Taboca S.A. | Brazil | CFSP Listed | |||
| Tantalum | Mitsui Mining & Smelting | Japan | CFSP Listed | |||
| Tantalum | Molycorp Silmet A.S. | Estonia | CFSP Listed |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Plansee SE Liezen | Austria | CFSP Listed | |||
| Tantalum | Plansee SE Reutte | Austria | CFSP Listed | |||
| Tantalum | QuantumClean | United States | CFSP Listed | |||
| Tantalum | Resind Indústria e Comércio Ltda. | Brazil | CFSP Listed | |||
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | CFSP Listed | |||
| Tantalum | Taki Chemicals | Japan | CFSP Listed | |||
| Tantalum | Telex Metals | United States | CFSP Listed | |||
| Tantalum | Tranzact, Inc. | United States | CFSP Listed | |||
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | CFSP Listed | |||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | China | CFSP Listed | |||
| Tantalum | Zhuzhou Cemented Carbide | China | CFSP Listed | |||
| Tin | Alpha | United States | CFSP Listed | |||
| Tin | An Thai Minerals Co., Ltd. | Vietnam | Unknown | |||
| Tin | An Vinh Joint Stock Mineral Processing Company | Vietnam | Unknown | |||
| Tin | China Tin Group Co., Ltd. | China | Unknown | |||
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | China | Unknown | |||
| Tin | Cooperativa Metalurgica de Rondônia Ltda. | Brazil | CFSP Listed | |||
| Tin | CV Ayi Jaya | Indonesia | CFSP Listed | |||
| Tin | CV Gita Pesona | Indonesia | CFSP Listed | |||
| Tin | CV Serumpun Sebalai | Indonesia | CFSP Listed | |||
| Tin | CV United Smelting | Indonesia | CFSP Listed | |||
| Tin | CV Venus Inti Perkasa | Indonesia | CFSP Listed | |||
| Tin | Dowa | Japan | CFSP Listed | |||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Co | Vietnam | Unknown | |||
| Tin | Elmet S.L.U. | Spain | CFSP Listed | |||
| Tin | EM Vinto | Bolivia | CFSP Listed | |||
| Tin | Estanho de Rondônia S.A. | Brazil | Unknown | |||
| Tin | Feinhütte Halsbrücke GmbH | Germany | Unknown | |||
| Tin | Fenix Metals | Poland | CFSP Listed | |||
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | Unknown | |||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | CFSP Listed | |||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | Unknown | |||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | Unknown | |||
| Tin | Huichang Jinshunda Tin Co., Ltd. | China | Unknown | |||
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | China | CFSP Listed | |||
| Tin | Linwu Xianggui Ore Smelting Co., Ltd. | China | Unknown |
| Tin | Magnu’s Minerais Metais e Ligas Ltda. | Brazil | CFSP Listed | |||
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | CFSP Listed | |||
| Tin | Melt Metais e Ligas S.A. | Brazil | CFSP Listed | |||
| Tin | Metallic Resources, Inc. | United States | CFSP Listed | |||
| Tin | Metallo-Chimique N.V. | Belgium | CFSP Listed | |||
| Tin | Mineração Taboca S.A. | Brazil | CFSP Listed | |||
| Tin | Minsur | Peru | CFSP Listed | |||
| Tin | Mitsubishi Materials Corporation | Japan | CFSP Listed | |||
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | China | Unknown | |||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam | Unknown | |||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | CFSP Listed | |||
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | CFSP Listed | |||
| Tin | Operaciones Metalurgical S.A. | Bolivia | CFSP Listed | |||
| Tin | Phoenix Metal Ltd. | Rwanda | Unknown | |||
| Tin | PT Aries Kencana Sejahtera | Indonesia | CFSP Listed | |||
| Tin | PT Artha Cipta Langgeng | Indonesia | CFSP Listed | |||
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | CFSP Listed | |||
| Tin | PT Babel Inti Perkasa | Indonesia | CFSP Listed | |||
| Tin | PT Bangka Prima Tin | Indonesia | CFSP Listed | |||
| Tin | PT Bangka Tin Industry | Indonesia | CFSP Listed | |||
| Tin | PT Belitung Industri Sejahtera | Indonesia | CFSP Listed | |||
| Tin | PT BilliTin Makmur Lestari | Indonesia | CFSP Listed | |||
| Tin | PT Bukit Timah | Indonesia | CFSP Listed | |||
| Tin | PT Cipta Persada Mulia | Indonesia | CFSP Listed | |||
| Tin | PT DS Jaya Abadi | Indonesia | CFSP Listed | |||
| Tin | PT Eunindo Usaha Mandiri | Indonesia | CFSP Listed | |||
| Tin | PT Inti Stania Prima | Indonesia | CFSP Listed | |||
| Tin | PT Justindo | Indonesia | CFSP Listed | |||
| Tin | PT Mitra Stania Prima | Indonesia | CFSP Listed | |||
| Tin | PT Panca Mega Persada | Indonesia | CFSP Listed | |||
| Tin | PT Prima Timah Utama | Indonesia | CFSP Listed | |||
| Tin | PT Refined Bangka Tin | Indonesia | CFSP Listed | |||
| Tin | PT Sariwiguna Binasentosa | Indonesia | CFSP Listed | |||
| Tin | PT Stanindo Inti Perkasa | Indonesia | CFSP Listed | |||
| Tin | PT Sukses Inti Makmur | Indonesia | CFSP Listed | |||
| Tin | PT Sumber Jaya Indah | Indonesia | CFSP Listed | |||
| Tin | PT Timah (Persero) Tbk Kundur | Indonesia | CFSP Listed | |||
| Tin | PT Timah (Persero) Tbk Mentok | Indonesia | CFSP Listed | |||
| Tin | PT Tinindo Inter Nusa | Indonesia | CFSP Listed | |||
| Tin | PT Tirus Putra Mandiri | Indonesia | Unknown |
| Tin | PT Tommy Utama | Indonesia | Unknown | |||
| Tin | PT Wahana Perkit Jaya | Indonesia | CFSP Listed | |||
| Tin | Resind Indústria e Comércio Ltda. | Brazil | CFSP Listed | |||
| Tin | Rui Da Hung | Taiwan | CFSP Listed | |||
| Tin | Soft Metais Ltda. | Brazil | CFSP Listed | |||
| Tin | Thaisarco | Thailand | CFSP Listed | |||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam | Unknown | |||
| Tin | VQB Mineral and Trading Group JSC | Vietnam | CFSP Listed | |||
| Tin | White Solder Metalurgia e Mineração Ltda. | Brazil | CFSP Listed | |||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | Unknown | |||
| Tin | Yunnan Tin Group (Holding) Co., Ltd. | China | Unknown | |||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | Japan | CFSP Listed | |||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Vietnam | CFSP Listed | |||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | China | Unknown | |||
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | China | Unknown | |||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Ganxian Shirui New Material Co., Ltd. | China | Unknown | |||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | China | Unknown | |||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Global Tungsten & Powders Corp. | United States | CFSP Listed | |||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | CFSP Listed | |||
| Tungsten | H.C. Starck GmbH | Germany | CFSP Listed | |||
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | Germany | CFSP Listed | |||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China | Unknown | |||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | China | Unknown | |||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Hydrometallurg, JSC | Russian Federation | CFSP Listed | |||
| Tungsten | Japan New Metals Co., Ltd. | Japan | CFSP Listed | |||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Unknown | |||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | China | Unknown | |||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Unknown | |||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Unknown |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | Unknown | |||
| Tungsten | Kennametal Fallon | United States | Unknown | |||
| Tungsten | Kennametal Huntsville | United States | CFSP Listed | |||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Niagara Refining LLC | United States | CFSP Listed | |||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Vietnam | CFSP Listed | |||
| Tungsten | Pobedit, JSC | Russian Federation | Unknown | |||
| Tungsten | Sanher Tungsten Vietnam Co., Ltd. | Vietnam | Unknown | |||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam | CFSP Listed | |||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | Vietnam | CFSP Listed | |||
| Tungsten | Wolfram Bergbau und Hütten AG | Austria | CFSP Listed | |||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Xiamen Tungsten Co., Ltd. | China | CFSP Listed | |||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China | CFSP Listed | |||
| Gold | Advanced Chemical Company | United States | Unknown | |||
| Gold | Aida Chemical Industries Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Aktyubinsk Copper Company TOO | Kazakhstan | Unknown | |||
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | Unknown | |||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | CFSP Listed | |||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Unknown | |||
| Gold | AngloGold Ashanti Córrego do Sítio Mineração | Brazil | CFSP Listed | |||
| Gold | Argor-Heraeus S.A. | Switzerland | CFSP Listed | |||
| Gold | Asahi Pretec Corp. | Japan | CFSP Listed | |||
| Gold | Asahi Refining Canada Ltd. | Canada | CFSP Listed | |||
| Gold | Asahi Refining USA Inc. | United States | CFSP Listed | |||
| Gold | Asaka Riken Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | CFSP Listed | |||
| Gold | Aurubis AG | Germany | CFSP Listed | |||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | CFSP Listed | |||
| Gold | Bauer Walser AG | Germany | Unknown | |||
| Gold | Boliden AB | Sweden | CFSP Listed | |||
| Gold | C. Hafner GmbH + Co. KG | Germany | CFSP Listed | |||
| Gold | Caridad | Mexico | Unknown | |||
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | CFSP Listed | |||
| Gold | Cendres + Métaux S.A. | Switzerland | Unknown | |||
| Gold | Chimet S.p.A. | Italy | CFSP Listed | |||
| Gold | Chugai Mining | Japan | Unknown | |||
| Gold | Daejin Indus Co., Ltd. | Republic Of Korea | Unknown | |||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | Unknown |
| Gold | DODUCO GmbH | Germany | CFSP Listed | |||
| Gold | Dowa | Japan | CFSP Listed | |||
| Gold | DSC (Do Sung Corporation) | Republic Of Korea | Unknown | |||
| Gold | Eco-System Recycling Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Elemetal Refining, LLC | United States | CFSP Listed | |||
| Gold | Faggi Enrico S.p.A. | Italy | Unknown | |||
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | China | Unknown | |||
| Gold | Geib Refining Corporation | United States | Unknown | |||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | Unknown | |||
| Gold | Guangdong Jinding Gold Limited | China | Unknown | |||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | Unknown | |||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | Unknown | |||
| Gold | Heimerle + Meule GmbH | Germany | CFSP Listed | |||
| Gold | Heraeus Ltd. Hong Kong | China | CFSP Listed | |||
| Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | CFSP Listed | |||
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | Unknown | |||
| Gold | Hwasung CJ Co., Ltd. | Republic Of Korea | Unknown | |||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | Unknown | |||
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Istanbul Gold Refinery | Turkey | CFSP Listed | |||
| Gold | Japan Mint | Japan | CFSP Listed | |||
| Gold | Jiangxi Copper Co., Ltd. | China | CFSP Listed | |||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | CFSP Listed | |||
| Gold | JSC Uralelectromed | Russian Federation | CFSP Listed | |||
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Kazakhmys Smelting LLC | Kazakhstan | Unknown | |||
| Gold | Kazzinc | Kazakhstan | CFSP Listed | |||
| Gold | Kennecott Utah Copper LLC | United States | CFSP Listed | |||
| Gold | KGHM Polska Miedź Spółka Akcyjna | Poland | Unknown | |||
| Gold | Kojima Chemicals Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | Unknown | |||
| Gold | L’azurde Company For Jewelry | Saudi Arabia | CFSP Listed | |||
| Gold | Lingbao Gold Co., Ltd. | China | Unknown | |||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | Unknown | |||
| Gold | LS-NIKKO Copper Inc. | Republic Of Korea | CFSP Listed | |||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | Unknown | |||
| Gold | Materion | United States | CFSP Listed | |||
| Gold | Matsuda Sangyo Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | CFSP Listed |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | CFSP Listed | |||
| Gold | Metalor Technologies (Suzhou) Ltd. | China | Unknown | |||
| Gold | Metalor Technologies S.A. | Switzerland | CFSP Listed | |||
| Gold | Metalor USA Refining Corporation | United States | CFSP Listed | |||
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | Mexico | CFSP Listed | |||
| Gold | Mitsubishi Materials Corporation | Japan | CFSP Listed | |||
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | CFSP Listed | |||
| Gold | MMTC-PAMP India Pvt., Ltd. | India | CFSP Listed | |||
| Gold | Morris and Watson | New Zealand | Unknown | |||
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | CFSP Listed | |||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | Turkey | CFSP Listed | |||
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | Unknown | |||
| Gold | Nihon Material Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | Austria | CFSP Listed | |||
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | CFSP Listed | |||
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | Russian Federation | CFSP Listed | |||
| Gold | OJSC Novosibirsk Refinery | Russian Federation | Unknown | |||
| Gold | PAMP S.A. | Switzerland | CFSP Listed | |||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | Unknown | |||
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | CFSP Listed | |||
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | CFSP Listed | |||
| Gold | PX Précinox S.A. | Switzerland | CFSP Listed | |||
| Gold | Rand Refinery (Pty) Ltd. | South Africa | CFSP Listed | |||
| Gold | Republic Metals Corporation | United States | CFSP Listed | |||
| Gold | Royal Canadian Mint | Canada | CFSP Listed | |||
| Gold | Sabin Metal Corp. | United States | Unknown | |||
| Gold | Samduck Precious Metals | Republic Of Korea | Unknown | |||
| Gold | SAMWON Metals Corp. | Republic Of Korea | Unknown | |||
| Gold | SAXONIA Edelmetalle GmbH | Germany | Unknown | |||
| Gold | Schone Edelmetaal B.V. | Netherlands | CFSP Listed | |||
| Gold | SEMPSA Joyería Platería S.A. | Spain | CFSP Listed | |||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | Unknown | |||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | CFSP Listed | |||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | CFSP Listed | |||
| Gold | Singway Technology Co., Ltd. | Taiwan | CFSP Listed | |||
| Gold | So Accurate Group, Inc. | United States | Unknown | |||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | Unknown | |||
| Gold | Solar Applied Materials Technology Corp. | Taiwan | CFSP Listed | |||
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | CFSP Listed |
| Gold | T.C.A S.p.A | Italy | CFSP Listed | |||
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | CFSP Listed | |||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | China | CFSP Listed | |||
| Gold | Tokuriki Honten Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | Unknown | |||
| Gold | Torecom | Republic Of Korea | Unknown | |||
| Gold | Umicore Brasil Ltda. | Brazil | CFSP Listed | |||
| Gold | Umicore Precious Metals Thailand | Thailand | CFSP Listed | |||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | CFSP Listed | |||
| Gold | United Precious Metal Refining, Inc. | United States | CFSP Listed | |||
| Gold | Valcambi S.A. | Switzerland | CFSP Listed | |||
| Gold | Western Australian Mint trading as The Perth Mint | Australia | CFSP Listed | |||
| Gold | WIELAND Edelmetalle GmbH | Germany | Unknown | |||
| Gold | Yamamoto Precious Metal Co., Ltd. | Japan | CFSP Listed | |||
| Gold | Yokohama Metal Co., Ltd. | Japan | Unknown | |||
| Gold | Yunnan Copper Industry Co., Ltd. | China | Unknown | |||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | CFSP Listed | |||
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery | China | CFSP Listed |