UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
QUANTUM CORPORATION
(Exact name of registrant as specified in its charter)
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Delaware | 001-13449 |
(State or other jurisdiction of incorporation) | (Commission file number) |
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224 Airport Parkway, Suite 550, San Jose, California | 95110 |
(Address of principal executive offices) | (Zip code) |
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Brian E. Cabrera, Chief Administrative Officer (408) 944-4000 |
(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:
☒ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2023.
☐ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the fiscal year ended December 31, 2023.
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Quantum Corporation (the “Company”) files this Form SD pursuant to Rule 13p-1 of the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2023 to December 31, 2023.
A copy of the Company’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD and is available at the following address: https://investors.quantum.com/financial-information/sec-filings.
Item 1.02 Exhibit
A copy of the Company’s Conflict Minerals Report is filed as Exhibit 1.01 to this Form SD.
Section 2 - Resource Extraction Issuer Disclosure
Item 2.01 Resource Extraction Issuer Disclosure and Report
Not applicable.
Section 3 – Exhibits
Item 3.01 Exhibits
The following is filed as an exhibit to this Form SD.
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.
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QUANTUM CORPORATION |
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/s/ Brian E. Cabrera |
Brian E. Cabrera |
Senior Vice President, Chief Administrative Officer, and Corporate Secretary |
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Date: May 30, 2024 |
Exhibit 1.01
Quantum Corporation
Conflict Minerals Report for the Calendar Year Ended December 31, 2023
This conflict minerals report contains forward-looking statements. These statements include Quantum’s goals for its conflict minerals program and the actions Quantum 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 Quantum files from time to time with the Securities and Exchange Commission, including the factors described under the sections titled “Risk Factors” in Quantum’s most recently filed Annual and Quarterly Reports on Forms 10-K and 10-Q, respectively. Except as required by law, Quantum disclaims any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise. Any references to our website do not incorporate website information unless specifically indicated.
INTRODUCTION
This conflict minerals report for Quantum Corporation (Quantum, we, us, or the Company) is filed for the calendar year ended December 31, 2023 (CY23) in accordance with Securities Exchange Act Rule 13p-1 (Rule 13p-1).
Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Section 1502) requires Quantum to perform certain due diligence and disclosure activities regarding the use and origin of tin, tantalum, tungsten, and gold (3TG) in our supply chain, if they are deemed necessary to the functionality or production of our products.
We source components and subassemblies containing 3TG from a global supply base that includes distributors, value-added resellers, original equipment manufacturers, original design manufacturers, contract manufacturers, and parts brokers. Our suppliers are responsible for procuring most of the raw materials used in the production process. We must therefore rely on our supply chain partners to provide information on their 3TG sources.
In accordance with Section 1502 and Rule 13p-1, we have undertaken a reasonable country of origin inquiry (RCOI) into the 3TG present in our CY23 supply chain. The RCOI is intended to determine whether these minerals may have originated from the Democratic Republic of the Congo or adjoining countries (Covered Countries), or from recycled or scrap sources. As part of the RCOI, we conducted the due diligence measures described below.
DUE DILIGENCE RESULTS
Our RCOI process is designed in good faith to produce due diligence results. That said, we are unable to guarantee that there are no inaccuracies, incompleteness, or falsities in the conflict minerals reporting templates (CMRTs) we receive, despite our reasonable efforts to review them. In addition, since most suppliers provide company-level CMRTs rather than versions specific to components sold to Quantum, we are unable to reasonably determine that all of the identified 3TG sources are actually incorporated into our products.
Based on the information available to us, we are unable to reasonably and reliably ascertain the source and chain of custody of all 3TG necessary to the functionality or production of our products. However, we have not identified any instances in which our sourcing of necessary conflict minerals directly or indirectly financed or benefitted armed groups in the Covered Countries. We also do not believe that the 3TG used in our products originated from recycled or scrap sources.
We expect our supply chain to use only smelters or refiners that have achieved or are actively progressing toward RMI conflict-free status. We continue to believe that over time, our due diligence efforts will incrementally improve and yield more complete information, particularly as suppliers improve the accuracy of their own data and more smelters and refiners participate in a third-party audit process.
An independent private sector audit of our conflict minerals report was not required for CY23.
DUE DILIGENCE PROCEDURES
Our due diligence procedures are designed to materially conform with the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition. Specifically, our 3TG due diligence measures include:
1. Establishing strong company management systems;
2. Identifying and assessing supply chain risk;
3. Designing and implementing a strategy to respond to identified risks;
4. Supporting industry organizations that perform independent audits of supply chain due diligence; and
5. Publicly reporting on supply chain due diligence.
We establish strong company management systems.
1.We require suppliers to comply with our Environmental Requirements Specification and Business Partner Code of Conduct, which mandate adherence to applicable conflict minerals regulations. We also expect suppliers to comply with the Responsible Business Alliance Code of Conduct.
2.Our internal conflict minerals management processes are led by our legal department, with assistance from our supply chain and engineering teams. We periodically update senior management regarding the status of our conflict minerals compliance efforts.
3.As we do not have direct relationships with 3TG smelters and refiners, we leverage third-party industry resources including our Responsible Minerals Initiative (RMI) membership to obtain facility information and influence supply chain practices. In CY23, we also contracted with GreenSoft Technology, Inc. (GreenSoft) to help us gather, analyze, and address conflict minerals data and compliance status.
4.We have longstanding grievance mechanisms allowing employees and suppliers to report violations of our policies to our internal ethics committee and our anonymous third-party reporting hotline. Information about these mechanisms is available in our code of conduct, which is posted on the Investor Relations section of our website.
5.We retain records relevant to our 3TG due diligence and reporting efforts.
We identify and assess supply chain risk.
1.We maintain RMI membership to evaluate and disclose identified smelters and refiners in our supply chain as part of our risk assessment plan. We provide feedback, either directly or through GreenSoft, to applicable suppliers when we believe reporting may be incomplete, inaccurate, or that identified 3TG sources were not participating in a conflict-free supply chain.
2.We ask our suppliers to report supply chain data using the current version of the RMI CMRT. We have determined that requiring CMRTs represents the most reasonable and consistent approach to identifying 3TG origins in our supply chain. We have historically focused on obtaining CMRTs from at least 80% of the suppliers we identify as providing components or parts actively used in our products. We obtained responses from 93% of the suppliers contacted for CY23 data, excluding those whose products do not include 3TG.
3.We assess risk by reviewing each supplier’s CMRT and comparing it to relevant RMI facility databases. In CY23, we utilized GreenSoft to gather, analyze, and aggregate CMRT data, helping to identify risks associated with unvalidated smelters and refiners in our supply chain.
4.Many of our suppliers and contract manufacturers are Responsible Business Alliance members and require compliance with its code of conduct in their own supply chains.
We design and implement a strategy to respond to identified risks.
1.We implement, manage, and monitor conflict minerals compliance as part of our larger corporate compliance program. Updates regarding risks arising from 3TG in the supply chain are periodically provided to members of the senior management team.
2.Our suppliers and contract manufacturers are required to provide CMRTs and support a conflict-free supply chain. We engage GreenSoft to identify and evaluate smelter and refiner data included on CMRTs against assessments in the RMI database and request corrections from suppliers where we identify data inconsistencies or inaccuracies.
3.We request data from suppliers we reasonably believe, based on part type and material, supply us with 3TG. Suppliers providing CMRTs that suggest their supply chains may support conflict in the Covered Countries are encouraged to establish alternative 3TG sources and mitigate continued use of potentially nonconformant smelters.
4.Some suppliers are unable to represent to us that 3TG facilities identified in their CMRTs actually relate to components supplied to us. Because the industry’s CMRT information collection process tends to be over-inclusive and CMRTs typically include company-level data rather than product-level data, we are unable to confirm that such smelters are active in our
supply chain. In addition, some facilities reported to us are not confirmed to be verified smelters or refiners. Of those locations that we verified, 72% are conformant, active, under review, or in communication with RMI. We will continue to encourage suppliers to utilize only RMI conformant smelters in their supply chains.
We support industry organizations that perform independent audits of supply chain due diligence.
We do not have a direct relationship with 3TG smelters and refiners in our supply chain and do not perform or control audits of their practices. We are an RMI member and compare supplier CMRTs with RMI databases as described above. We consider smelters and refiners identified by the RMI as conformant to be conflict-free.
We publicly report on due diligence activities.
A copy of our conflict minerals report is available at https://investors.quantum.com/financial-information/sec-filings.
OUR ONGOING RISK MITIGATION EFFORTS
We expect to continue improving our supply chain due diligence efforts to mitigate the risk that the necessary 3TG in our products benefit armed groups in the Covered Countries. Among other things, those measures may include:
1.Assessing the presence of 3TG in our supply chain and requesting supplier updates on their efforts to reduce 3TG sourced from Covered Countries in our supply chain.
2.Clearly communicating our expectations for supplier sourcing performance and transparency and requiring 3TG compliance processes in new supplier qualifications.
3.Increasing the quality of information in RCOI responses and continuing to compare RCOI results to information collected via independent validation programs.
4.Providing internal and external training about our responsible sourcing efforts.
Table 1 - Potential Smelters and Refiners Used and Country of Origin Data
The information provided in the table below represents data aggregated from CMRTs received from our supply chain, and includes only entities which RMI recognizes as valid smelters or refiners. Inclusion on this list is not intended to confirm that conflict minerals were actually provided for use in Quantum products. We cannot rule out that there are entries in the list below that do not relate directly to our products.
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| Smelter ID | Metal (*) | Standard Smelter Name | Country location | RMAP Assessment Status |
| CID004010 | Gold | Coimpa Industrial LTDA | BRAZIL | Conformant |
| CID003666 | Gold | Sam Precious Metals | UNITED ARAB EMIRATES | Outreach required |
| CID003663 | Gold | Dongwu Gold Group | CHINA | Outreach Required |
| CID003641 | Gold | Gold by Gold Colombia | COLOMBIA | Conformant |
| CID003615 | Gold | WEEEREFINING | FRANCE | Conformant |
| CID003575 | Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | Conformant |
| CID003557 | Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | Outreach required |
| CID003548 | Gold | MD Overseas | INDIA | Outreach required |
| CID003500 | Gold | Alexy Metals | UNITED STATES OF AMERICA | Non Conformant |
| CID003497 | Gold | K.A. Rasmussen | NORWAY | Outreach Required |
| CID003490 | Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | Outreach required |
| CID003489 | Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | Outreach required |
| CID003488 | Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | Outreach required |
| CID003487 | Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | Outreach required |
| CID003463 | Gold | Kundan Care Products Ltd. | INDIA | Outreach required |
| CID003461 | Gold | Augmont Enterprises Private Limited | INDIA | Non Conformant |
| CID003425 | Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | Conformant |
| CID003424 | Gold | Eco-System Recycling Co., Ltd. North Plant | JAPAN | Conformant |
| CID003383 | Gold | Sovereign Metals | INDIA | Outreach Required |
| CID003382 | Gold | CGR Metalloys Pvt Ltd. | INDIA | Outreach Required |
| CID003348 | Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | Outreach Required |
| CID003324 | Gold | QG Refining, LLC | UNITED STATES OF AMERICA | Outreach Required |
| CID003189 | Gold | NH Recytech Company | KOREA, REPUBLIC OF | Conformant |
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| CID003186 | Gold | Gold Coast Refinery | GHANA | Outreach Required |
| CID003185 | Gold | African Gold Refinery* | UGANDA | RMI Due Diligence Review - Unable to Proceed |
| CID003153 | Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | Outreach Required |
| CID002973 | Gold | Safimet S.p.A | ITALY | Non Conformant |
| CID002920 | Gold | ABC Refinery Pty Ltd. | AUSTRALIA | Outreach Required |
| CID002919 | Gold | Planta Recuperadora de Metales SpA | CHILE | Conformant |
| CID002918 | Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID002893 | Gold | JALAN & Company | INDIA | Outreach Required |
| CID002872 | Gold | Pease & Curren | UNITED STATES OF AMERICA | Communication Suspended - Not Interested |
| CID002867 | Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | Outreach Required |
| CID002865 | Gold | KYSHTYM COPPER-ELECTROLYTIC PLANT ZAO | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID002863 | Gold | Bangalore Refinery | INDIA | Active |
| CID002857 | Gold | Modeltech Sdn Bhd | MALAYSIA | Non Conformant |
| CID002853 | Gold | Sai Refinery | INDIA | Outreach Required |
| CID002852 | Gold | GGC Gujrat Gold Centre Pvt. Ltd. | INDIA | Non Conformant |
| CID002850 | Gold | AU Traders and Refiners | SOUTH AFRICA | Non Conformant |
| CID002779 | Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | Conformant |
| CID002778 | Gold | WIELAND Edelmetalle GmbH | GERMANY | Conformant |
| CID002765 | Gold | Italpreziosi | ITALY | Conformant |
| CID002763 | Gold | 8853 S.p.A. | ITALY | Non Conformant |
| CID002762 | Gold | L'Orfebre S.A. | ANDORRA | Conformant |
| CID002761 | Gold | SAAMP | FRANCE | Non Conformant |
| CID002760 | Gold | Albino Mountinho Lda. | PORTUGAL | Outreach Required |
| CID002750 | Gold | Shenzhen CuiLu Gold Co., Ltd. | CHINA | Outreach Required |
| CID002708 | Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | Conformant |
| CID002615 | Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | Conformant |
| CID002606 | Gold | Marsam Metals | BRAZIL | Non Conformant |
| CID002605 | Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID002588 | Gold | Shirpur Gold Refinery Ltd. | INDIA | Outreach Required |
| CID002587 | Gold | Industrial Refining Company | BELGIUM | Non Conformant |
| CID002584 | Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | Outreach Required |
| CID002582 | Gold | REMONDIS PMR B.V. | NETHERLANDS | Conformant |
| CID002580 | Gold | T.C.A S.p.A | ITALY | Conformant |
| CID002567 | Gold | Sudan Gold Refinery | SUDAN | Outreach Required |
| CID002563 | Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | RMI Due Diligence Review - Unable to Proceed |
| CID002562 | Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | Outreach required |
| CID002561 | Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | Non Conformant |
| CID002560 | Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | Non Conformant |
| CID002527 | Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | Outreach Required |
| CID002525 | Gold | Shandong Humon Smelting Co., Ltd. | CHINA | Outreach Required |
| CID002516 | Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Non Conformant |
| CID002515 | Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | RMI Due Diligence Review - Unable to Proceed |
| CID002511 | Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | Conformant |
| CID002509 | Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | Conformant |
| CID002314 | Gold | Umicore Precious Metals Thailand | THAILAND | Non Conformant |
| CID002312 | Gold | Guangdong Jinding Gold Limited | CHINA | Outreach Required |
| CID002290 | Gold | Safina a.s. | CZECHIA | Conformant |
| CID002282 | Gold | Morris and Watson | NEW ZEALAND | Outreach required |
| CID002243 | Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | Conformant |
| CID002224 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | Conformant |
| CID002129 | Gold | Yokohama Metal Co., Ltd. | JAPAN | Conformant |
| CID002100 | Gold | Yamakin Co., Ltd. | JAPAN | Conformant |
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| CID002030 | Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | Conformant |
| CID002003 | Gold | Valcambi S.A. | SWITZERLAND | Conformant |
| CID001993 | Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | Conformant |
| CID001980 | Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | Conformant |
| CID001955 | Gold | Torecom | KOREA, REPUBLIC OF | Conformant |
| CID001947 | Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | Outreach Required |
| CID001938 | Gold | Tokuriki Honten Co., Ltd. | JAPAN | Conformant |
| CID001916 | Gold | Shandong gold smelting Co., Ltd. | CHINA | Conformant |
| CID001909 | Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | Outreach Required |
| CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | Conformant |
| CID001810 | Gold | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Outreach Required |
| CID001798 | Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Conformant |
| CID001761 | Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID001756 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID001736 | Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | Conformant |
| CID001622 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | Conformant |
| CID001619 | Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | Outreach Required |
| CID001585 | Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | Conformant |
| CID001562 | Gold | SAMWON METALS Corp. | KOREA, REPUBLIC OF | Communication Suspended - Not Interested |
| CID001555 | Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | Non Conformant |
| CID001546 | Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | Communication Suspended - Not Interested |
| CID001534 | Gold | Royal Canadian Mint | CANADA | Conformant |
| CID001512 | Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | Conformant |
| CID001498 | Gold | PX Precinox S.A. | SWITZERLAND | Conformant |
| CID001397 | Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | Conformant |
| CID001386 | Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID001362 | Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | Outreach Required |
| CID001352 | Gold | MKS PAMP SA | SWITZERLAND | Conformant |
| CID001326 | Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID001325 | Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | Conformant |
| CID001259 | Gold | Nihon Material Co., Ltd. | JAPAN | Conformant |
| CID001236 | Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | Conformant |
| CID001220 | Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | Conformant |
| CID001204 | Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID001193 | Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| CID001188 | Gold | Mitsubishi Materials Corporation | JAPAN | Conformant |
| CID001161 | Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | Conformant |
| CID001157 | Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | Conformant |
| CID001153 | Gold | Metalor Technologies S.A. | SWITZERLAND | Conformant |
| CID001152 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | Conformant |
| CID001149 | Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | Conformant |
| CID001147 | Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | Conformant |
| CID001119 | Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Conformant |
| CID001113 | Gold | Materion | UNITED STATES OF AMERICA | Conformant |
| CID001093 | Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | Outreach Required |
| CID001078 | Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | Conformant |
| CID001058 | Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | Outreach Required |
| CID001056 | Gold | Lingbao Gold Co., Ltd. | CHINA | Outreach Required |
| CID001032 | Gold | L'azurde Company For Jewelry | SAUDI ARABIA | RMI Due Diligence Review - Unable to Proceed |
| CID001029 | Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | Non Conformant |
| CID000981 | Gold | Kojima Chemicals Co., Ltd. | JAPAN | Conformant |
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| CID000969 | Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | Conformant |
| CID000957 | Gold | Kazzinc | KAZAKHSTAN | Conformant |
| CID000956 | Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | Outreach required |
| CID000937 | Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | Conformant |
| CID000929 | Gold | JSC Uralelectromed | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID000927 | Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID000924 | Gold | Asahi Refining Canada Ltd. | CANADA | Conformant |
| CID000920 | Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | Conformant |
| CID000855 | Gold | Jiangxi Copper Co., Ltd. | CHINA | Conformant |
| CID000823 | Gold | Japan Mint | JAPAN | Conformant |
| CID000814 | Gold | Istanbul Gold Refinery | TURKEY | Conformant |
| CID000807 | Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | Conformant |
| CID000801 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | Conformant |
| CID000778 | Gold | HwaSeong CJ Co., Ltd. | KOREA, REPUBLIC OF | Communication Suspended - Not Interested |
| CID000773 | Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | Outreach Required |
| CID000767 | Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | Outreach Required |
| CID000711 | Gold | Heraeus Germany GmbH Co. KG | GERMANY | Conformant |
| CID000707 | Gold | Heraeus Metals Hong Kong Ltd. | CHINA | Conformant |
| CID000694 | Gold | Heimerle + Meule GmbH | GERMANY | Conformant |
| CID000689 | Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID000671 | Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | Outreach Required |
| CID000651 | Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | Outreach Required |
| CID000522 | Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | Outreach Required |
| CID000493 | Gold | JSC Novosibirsk Refinery | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID000425 | Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | Conformant |
| CID000401 | Gold | Dowa | JAPAN | Conformant |
| CID000359 | Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | Conformant |
| CID000343 | Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | Outreach required |
| CID000264 | Gold | Chugai Mining | JAPAN | Conformant |
| CID000233 | Gold | Chimet S.p.A. | ITALY | Conformant |
| CID000197 | Gold | Yunnan Copper Industry Co., Ltd. | CHINA | Outreach Required |
| CID000189 | Gold | Cendres + Metaux S.A. | SWITZERLAND | Non Conformant |
| CID000185 | Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Conformant |
| CID000180 | Gold | Caridad | MEXICO | Outreach Required |
| CID000176 | Gold | C. Hafner GmbH + Co. KG | GERMANY | Conformant |
| CID000157 | Gold | Boliden AB | SWEDEN | Conformant |
| CID000128 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | Conformant |
| CID000113 | Gold | Aurubis AG | GERMANY | Conformant |
| CID000103 | Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | Outreach Required |
| CID000090 | Gold | Asaka Riken Co., Ltd. | JAPAN | Conformant |
| CID000082 | Gold | Asahi Pretec Corp. | JAPAN | Conformant |
| CID000077 | Gold | Argor-Heraeus S.A. | SWITZERLAND | Conformant |
| CID000058 | Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | Conformant |
| CID000041 | Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | Conformant |
| CID000035 | Gold | Agosi AG | GERMANY | Conformant |
| CID000019 | Gold | Aida Chemical Industries Co., Ltd. | JAPAN | Conformant |
| CID000015 | Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | Active |
| CID004054 | Tantalum | PowerX Ltd. | RWANDA | Conformant |
| CID003926 | Tantalum | 5D Production OU | ESTONIA | Outreach Required |
| CID003583 | Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CHINA | Conformant |
| CID002842 | Tantalum | Jiangxi Tuohong New Raw Material | CHINA | Conformant |
| CID002707 | Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| CID002558 | Tantalum | Global Advanced Metals Aizu | JAPAN | Conformant |
| | | | | | | | | | | | | | |
| CID002557 | Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | Conformant |
| CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant |
| CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | Conformant |
| CID002548 | Tantalum | Materion Newton Inc. | UNITED STATES OF AMERICA | Conformant |
| CID002545 | Tantalum | TANIOBIS GmbH | GERMANY | Conformant |
| CID002544 | Tantalum | TANIOBIS Co., Ltd. | THAILAND | Conformant |
| CID002539 | Tantalum | KEMET de Mexico | MEXICO | Conformant |
| CID002512 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID002508 | Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | Conformant |
| CID002506 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID002505 | Tantalum | FIR Metals & Resource Ltd. | CHINA | Conformant |
| CID002504 | Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | Conformant |
| CID002492 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | Conformant |
| CID001969 | Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | Conformant |
| CID001891 | Tantalum | Telex Metals | UNITED STATES OF AMERICA | Conformant |
| CID001869 | Tantalum | Taki Chemical Co., Ltd. | JAPAN | Conformant |
| CID001769 | Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID001522 | Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID001508 | Tantalum | QuantumClean | UNITED STATES OF AMERICA | Conformant |
| CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | Conformant |
| CID001200 | Tantalum | NPM Silmet AS | ESTONIA | Conformant |
| CID001192 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| CID001175 | Tantalum | Mineracao Taboca S.A. | BRAZIL | Conformant |
| CID001163 | Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | Conformant |
| CID001076 | Tantalum | AMG Brasil | BRAZIL | Conformant |
| CID000917 | Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | Conformant |
| CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | Conformant |
| CID000616 | Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | Conformant |
| CID000460 | Tantalum | F&X Electro-Materials Ltd. | CHINA | Conformant |
| CID004065 | Tin | Mining Minerals Resources SARL | CONGO, DEMOCRATIC REPUBLIC OF THE | Conformant |
| CID003868 | Tin | PT Putera Sarana Shakti (PT PSS) | INDONESIA | Conformant |
| CID003831 | Tin | DS Myanmar | MYANMAR | Conformant |
| CID003582 | Tin | Fabrica Auricchio Industria e Comercio Ltda. | BRAZIL | Conformant |
| CID003524 | Tin | CRM Synergies | SPAIN | Conformant |
| CID003486 | Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | Conformant |
| CID003449 | Tin | PT Mitra Sukses Globalindo | INDONESIA | Conformant |
| CID003410 | Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | Outreach Required |
| CID003409 | Tin | Precious Minerals and Smelting Limited | INDIA | Active |
| CID003397 | Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
| CID003387 | Tin | Luna Smelter, Ltd. | RWANDA | Conformant |
| CID003381 | Tin | PT Rajawali Rimba Perkasa | INDONESIA | Conformant |
| CID003356 | Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | Non Conformant |
| CID003325 | Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | Conformant |
| CID003208 | Tin | Pongpipat Company Limited | MYANMAR | Outreach Required |
| CID003205 | Tin | PT Bangka Serumpun | INDONESIA | Conformant |
| CID003190 | Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | Conformant |
| CID003116 | Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | Conformant |
| CID002858 | Tin | Modeltech Sdn Bhd | MALAYSIA | Non Conformant |
| CID002835 | Tin | PT Menara Cipta Mulia | INDONESIA | Conformant |
| CID002816 | Tin | PT Sukses Inti Makmur | INDONESIA | Conformant |
| CID002776 | Tin | PT Bangka Prima Tin | INDONESIA | Conformant |
| CID002774 | Tin | Aurubis Berango | SPAIN | Conformant |
| CID002773 | Tin | Aurubis Beerse | BELGIUM | Conformant |
| CID002756 | Tin | Super Ligas | BRAZIL | Conformant |
| | | | | | | | | | | | | | |
| CID002706 | Tin | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| CID002703 | Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | Outreach Required |
| CID002696 | Tin | PT Cipta Persada Mulia | INDONESIA | Conformant |
| CID002574 | Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | Outreach Required |
| CID002573 | Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | Outreach Required |
| CID002572 | Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | Non Conformant |
| CID002570 | Tin | CV Ayi Jaya | INDONESIA | Conformant |
| CID002517 | Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | Conformant |
| CID002503 | Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Conformant |
| CID002500 | Tin | Melt Metais e Ligas S.A. | BRAZIL | Non Conformant |
| CID002478 | Tin | PT Tirus Putra Mandiri | INDONESIA | Communication Suspended - Not Interested |
| CID002468 | Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Conformant |
| CID002455 | Tin | CV Venus Inti Perkasa | INDONESIA | Conformant |
| CID002180 | Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CHINA | Conformant |
| CID002158 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
| CID002036 | Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | Conformant |
| CID002015 | Tin | VQB Mineral and Trading Group JSC | VIET NAM | Outreach Required |
| CID001908 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | Non Conformant |
| CID001898 | Tin | Thaisarco | THAILAND | Conformant |
| CID001539 | Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID001493 | Tin | PT Tommy Utama | INDONESIA | Conformant |
| CID001490 | Tin | PT Tinindo Inter Nusa | INDONESIA | Conformant |
| CID001482 | Tin | PT Timah Tbk Mentok | INDONESIA | Conformant |
| CID001477 | Tin | PT Timah Tbk Kundur | INDONESIA | Conformant |
| CID001468 | Tin | PT Stanindo Inti Perkasa | INDONESIA | Conformant |
| CID001463 | Tin | PT Sariwiguna Binasentosa | INDONESIA | Conformant |
| CID001460 | Tin | PT REFINED BANGKA TIN | INDONESIA | Conformant |
| CID001458 | Tin | PT Prima Timah Utama | INDONESIA | Conformant |
| CID001457 | Tin | PT Panca Mega Persada | INDONESIA | Outreach Required |
| CID001453 | Tin | PT Mitra Stania Prima | INDONESIA | Conformant |
| CID001428 | Tin | PT Bukit Timah | INDONESIA | Conformant |
| CID001421 | Tin | PT Belitung Industri Sejahtera | INDONESIA | Conformant |
| CID001419 | Tin | PT Bangka Tin Industry | INDONESIA | Active |
| CID001406 | Tin | PT Babel Surya Alam Lestari | INDONESIA | Conformant |
| CID001402 | Tin | PT Babel Inti Perkasa | INDONESIA | Conformant |
| CID001399 | Tin | PT Artha Cipta Langgeng | INDONESIA | Conformant |
| CID001337 | Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| CID001314 | Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | Conformant |
| CID001305 | Tin | Novosibirsk Tin Combine | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID001231 | Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | Conformant |
| CID001191 | Tin | Mitsubishi Materials Corporation | JAPAN | Conformant |
| CID001182 | Tin | Minsur | PERU | Conformant |
| CID001173 | Tin | Mineracao Taboca S.A. | BRAZIL | Conformant |
| CID001142 | Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | Conformant |
| CID001105 | Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | Conformant |
| CID001070 | Tin | China Tin Group Co., Ltd. | CHINA | Conformant |
| CID000942 | Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | Non Conformant |
| CID000555 | Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | Non Conformant |
| CID000538 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | Conformant |
| CID000468 | Tin | Fenix Metals | POLAND | Conformant |
| CID000448 | Tin | Estanho de Rondonia S.A. | BRAZIL | Conformant |
| CID000438 | Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| | | | | | | | | | | | | | |
| CID000402 | Tin | Dowa | JAPAN | Conformant |
| CID000313 | Tin | PT Premium Tin Indonesia | INDONESIA | Conformant |
| CID000309 | Tin | PT Aries Kencana Sejahtera | INDONESIA | Conformant |
| CID000292 | Tin | Alpha | UNITED STATES OF AMERICA | Conformant |
| CID000228 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | Conformant |
| CID004060 | Tungsten | DONGKUK INDUSTRIES CO., LTD. | KOREA, REPUBLIC OF | Outreach Required |
| CID004034 | Tungsten | Nam Viet Cromit Joint Stock Company | VIET NAM | Outreach Required |
| CID003993 | Tungsten | Tungsten Vietnam Joint Stock Company | VIET NAM | Conformant |
| CID003978 | Tungsten | HANNAE FOR T Co., Ltd. | KOREA, REPUBLIC OF | Outreach Required |
| CID003662 | Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CHINA | Outreach Required |
| CID003643 | Tungsten | LLC Vostok | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID003614 | Tungsten | OOO “Technolom” 1 | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID003612 | Tungsten | OOO “Technolom” 2 | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID003609 | Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CHINA | Conformant |
| CID003553 | Tungsten | Artek LLC | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID003468 | Tungsten | Cronimet Brasil Ltda | BRAZIL | Conformant |
| CID003427 | Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | Non Conformant |
| CID003417 | Tungsten | Hubei Green Tungsten Co., Ltd. | CHINA | Conformant |
| CID003416 | Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID003408 | Tungsten | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID003407 | Tungsten | Lianyou Metals Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID002845 | Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID002833 | Tungsten | ACL Metais Eireli | BRAZIL | Non Conformant |
| CID002827 | Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | Conformant |
| CID002724 | Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | Non Conformant |
| CID002649 | Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | RMI Due Diligence Review - Unable to Proceed |
| CID002641 | Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | Conformant |
| CID002589 | Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | Conformant |
| CID002551 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | Conformant |
| CID002543 | Tungsten | Masan High-Tech Materials | VIET NAM | Conformant |
| CID002542 | Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant |
| CID002541 | Tungsten | H.C. Starck Tungsten GmbH | GERMANY | Conformant |
| CID002513 | Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CHINA | Conformant |
| CID002502 | Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | Conformant |
| CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | Conformant |
| CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | Conformant |
| CID002320 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Conformant |
| CID002319 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | Conformant |
| CID002318 | Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | Conformant |
| CID002317 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | Conformant |
| CID002316 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | Conformant |
| CID002315 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | Conformant |
| CID002313 | Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | Communication Suspended - Not Interested |
| CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | Conformant |
| CID002044 | Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | Conformant |
| CID000966 | Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | Conformant |
| CID000825 | Tungsten | Japan New Metals Co., Ltd. | JAPAN | Conformant |
| CID000769 | Tungsten | Hunan Jintai New Material Co., Ltd. | CHINA | Non Conformant |
| | | | | | | | | | | | | | |
| CID000766 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | Conformant |
| CID000568 | Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | Conformant |
| CID000281 | Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | Outreach Required |
| CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | Conformant |
| CID000218 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Conformant |
| CID000105 | Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | Conformant |
| CID000004 | Tungsten | A.L.M.T. Corp. | JAPAN | Conformant |
*Some suppliers are unable to represent to us that 3TG facilities identified in their CMRTs actually relate to components supplied to us. Because the industry’s CMRT information collection process tends to be over-inclusive and CMRTs typically include company-level data rather than product-level data, we are unable to confirm that such smelters are active in our supply chain. More specifically, this entity was sanctioned by the United States Department of Treasury, Office of Foreign Assets Control on March 17, 2022. Quantum does not have sufficient information to conclude that African Gold Refinery Limited was actually part of its supply chain after the sanction’s effective date.
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