SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

QUALYS, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-35662   77-0534145

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

919 E. Hillsdale Boulevard, 4th Floor, Foster City, California 94404

(Address of principal executive offices) (Zip Code)

Bruce K. Posey, Vice President, General Counsel and Corporate Secretary

(650) 801-6100

(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:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.

 

 

 


Section 1 – Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2018 to December 31, 2018, Qualys, Inc. (“Qualys” or the “Company”) evaluated its current products and determined that certain products it manufactures, or causes to be manufactured, contain gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives (“Conflict Minerals”). Following this initial determination, the Company conducted a reasonable country of origin inquiry and additional due diligence designed to 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, including the related supplements on gold, tin, tantalum and tungsten (the “Framework”), in order to determine whether the Conflict Minerals contained in the Company’s products originated from the Democratic Republic of Congo, the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia or Angola (collectively, the “Covered Countries”).

Based on these due diligence efforts, the Company has reason to believe that certain Conflict Minerals contained in its products may have originated in the Covered Countries and may not be Conflict Minerals from recycled or scrap sources. However, the Company does not have sufficient information to conclusively determine the countries of origin of the Conflict Minerals contained in its products or whether such Conflict Minerals are from recycled or scrap sources. The Company conducted due diligence on the source and chain of custody of these Conflict Minerals and prepared the Conflict Minerals Report attached hereto as Exhibit 1.01.

Conflict Minerals Disclosure

This Form SD of Qualys is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2018 to December 31, 2018.

A copy of Qualys’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, and is publicly available at https://investor.qualys.com/financials-filings/sec-filings.

Item 1.02 Exhibit

As specified in Section 2, Item 2.01 of this Form SD, Qualys is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

Section 2 – Exhibits

Item 2.01 Exhibits.

Exhibit 1.01 – 2018 Conflict Minerals Report of Qualys, Inc. as required by Items 1.01 and 1.02 of 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.

 

Qualys, Inc.
By:   /s/ Bruce K. Posey
Name:   Bruce K. Posey
Title:   Vice President, General Counsel and Corporate Secretary

Date: May 31, 2019

EX-1.01

Exhibit 1.01

Qualys, Inc.

Conflict Minerals Report

For The Reporting Period from January 1, 2018 to December 31, 2018

This Conflict Minerals Report (this “Report”) of Qualys, Inc. (“we,” “Qualys” or the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2018 to December 31, 2018 (the “Reporting Period”).

The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products where the minerals specified in the Rule are necessary to the functionality or production of those products. The specified minerals are referred to as “Conflict Minerals,” which include gold, columbite-tantalite (coltan), cassiterite, wolframite and their derivatives, which are limited to tantalum, tin and tungsten. The “Covered Countries” for purposes of the Rule and this Report are the Democratic Republic of Congo (the “DRC”), the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.

Company Overview

We are a pioneer and leading provider of a cloud-based platform delivering security and compliance solutions that enable organizations to identify security risks to their information technology (IT) infrastructures, help protect their IT systems and applications from ever-evolving cyber-attacks and achieve compliance with internal policies and external regulations. Our cloud solutions address the growing security and compliance complexities and risks that are amplified by the dissolving boundaries between internal and external IT infrastructures and web environments, the rapid adoption of cloud computing, containers and serverless IT models, and the proliferation of geographically dispersed IT assets. Our integrated suite of security and compliance solutions delivered on our Qualys cloud platform (Qualys Cloud Platform) enables our customers to identify and manage their IT assets, collect and analyze large amounts of IT security data, discover and prioritize vulnerabilities, recommend remediation actions and verify the implementation of such actions. Organizations use our integrated suite of solutions delivered on our Qualys Cloud Platform to cost-effectively obtain a unified view of their IT asset inventory as well as security and compliance posture across globally-distributed IT infrastructures as our solution offers a single platform for information technology, information security, application security, endpoint, developer security and cloud teams.

Our cloud platform utilizes physical and virtual sensors, and cloud agents that provide our customers with continuous visibility enabling customers to respond to threats immediately. The Qualys Cloud Platform automatically gathers and analyzes security and compliance data in a scalable, state-of-the-art backend. The technology underlying our cloud infrastructure enables us to ingest, process, analyze and store a high volume of sensor data coming from our agents, scanners and passive analyzers, and correlate information at very high speeds in a distributed manner for millions of devices.

Description of the Company’s Products Covered by this Report

This Report relates to our managed scanner appliances: (i) for which Conflict Minerals are necessary to their functionality or production, (ii) that were manufactured, or contracted to be manufactured, by the Company, and (iii) for which the manufacture was completed during the Reporting Period. In this Report, we refer to these products collectively as the “Covered Products.”

Description of the Company’s Reasonable Country of Origin Inquiry

We have determined that Conflict Minerals are necessary to the functionality or production of the Covered Products that were manufactured or contracted to be manufactured by us during the Reporting Period. As a result, we conducted in good faith a reasonable country of origin inquiry (“RCOI”) reasonably designed to determine if any of these Conflict Minerals originated in the Covered Countries and whether any of the Conflict Minerals may be from recycled or scrap sources.

Our supply chain is complex, and there are many third parties in the supply chain between the ultimate manufacturer of the Covered Products and the original sources of Conflict Minerals. We do not directly purchase Conflict Minerals from mines, smelters or refiners. Therefore, we must rely on our contract manufacturers to provide information regarding the country of origin of Conflict Minerals that are included in the Covered Products. In designing our RCOI, we determined to survey all of our first tier contract manufacturers.

As such, our RCOI primarily consisted of requesting the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”) be completed and returned to us from our first tier contract manufacturers. Responses were reviewed for completeness, reasonableness, and consistency, and we followed up with our contract manufacturers for corrections and clarifications as needed.


We requested from our eight contract manufacturers that they complete the CMRT, and we received a 100% response rate. One manufacturer reported that it did not source from the Covered Countries. Based on the smelter lists provided by our suppliers via the CMRTs, an aggregate of 297 facilities or smelters were used by our contract manufacturers to fulfill their requirements for Conflict Minerals. Of these 297 facilities and smelters, we have identified 253 facilities or smelters that are deemed to be compliant with the Conflict-Free Smelter Program (“CFSP”). There are two more smelters or refiners that are deemed “active” by the CFSP, which means such smelters or refiners have committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs: LBMA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification. The remaining 42 facilities or smelters identified by our contract manufacturers are not on the CFSI lists for compliant or active smelters. We have assessed these 42 facilities and determined that most of these are of low risk due to their geographic location. There are two smelters or refiners that may be considered at greater risk because they are geographically located in Africa. However, there is no guarantee that these 42 facilities or smelters are present in our supply chain as our contract manufacturers were only able to provide company-level CMRTs, rather than product-level CMRTs directly linking smelters or refiners to the Covered Products.

Based on these due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the Conflict Minerals contained in the Covered Products or whether the Conflict Minerals in the Covered Products are from recycled or scrap sources.

Description of the Company’s Due Diligence Process

Based on the information provided by our contract manufacturers, we performed additional due diligence on the source and chain of custody of these Conflict Minerals which was designed to conform to 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, including the related supplements on gold, tin, tantalum and tungsten (the “Framework”), in order to determine if any Conflict Minerals included in our Covered Products may have originated in the Covered Countries and if so, whether they benefited armed groups in those countries.

After performing the RCOI and due diligence designed to conform with the Framework, we were unable to comprehensively establish the origin of all Conflict Minerals used in our Covered Products, the facilities used to process them, their country of origin, and their mine or location of origin.

In accordance with the five-step Framework, the design of our due diligence includes the following five steps: (i) establishment of strong company management systems, (ii) identification and assessment of risks in the supply chain, (iii) designing and implementing a strategy to respond to identified risks, (iv) carrying out an independent third-party audit of smelter’s/refiner’s due diligence practices, and (v) reporting on supply chain due diligence. A description of certain activities undertaken by us with respect to each of the five steps of the Framework is described below.

 

1.

Establishment of Strong Company Management Systems

We have completed a number of steps to establish a management system for addressing the sourcing of Conflict Minerals in our Covered Products. These actions include:

 

  a.

Adopt and Commit to a Supply Chain Policy for Conflict Minerals: We are committed to sourcing minerals for our products in a manner that does not finance or benefit armed groups in the Covered Countries. We have a Code of Business Conduct and Ethics (“Code of Conduct”) available at https://investor.qualys.com/corporate-governance/overview which requires honest and ethical conduct and compliance with all applicable laws. Our Code of Conduct provides that we select suppliers not only on the merits of their products and services, but also on their business practices and that we will not establish business relationships with any suppliers if we know or have reason to believe that their business practices violate any applicable laws. Information contained on, or that can be accessed through, our website, does not constitute part of this Report and inclusion of our website address in this Report is an inactive textual reference only.

 

  b.

Internal Management to Support Supply Chain Due Diligence: Our management has established an internal compliance team which includes members from our operations, legal and finance departments, charged with the development and implementation of our Conflict Minerals Program.

 

  c.

Controls and Transparency to Support Supply Chain Diligence: As described above, we undertook a RCOI with respect to the Conflict Minerals in our supply chain by requesting the CMRT be completed by each of our contract manufacturers to gather information about their use of Conflict Minerals, the smelters and refiners in their supply chain that are included in our Covered Products, and the countries of origin for such Conflict Minerals.

 

  d.

Supplier Engagement: We continue to actively engage with our contract manufacturers to strengthen our relationship with them. We have communicated to our contract manufacturers our commitment to sourcing Conflict Minerals in a manner that does not benefit armed groups in the Covered Countries. Further, we will continue to engage with our suppliers and encourage them to provide responses at a product level so that we can fully assess our supply chain.


Lastly, we have communicated to our contract vendors who have listed facilities or smelters which have an indeterminable status, that we are evaluating their responses and may elect to seek alternative arrangements with other contract manufacturers. We expect to continue our efforts to ensure that the minerals in our products do not originate from the Covered Countries and do not directly or indirectly finance armed conflict or benefit armed groups.

 

  e.

Grievance Mechanism: Our Code of Conduct includes procedures for reporting violations of our Code of Conduct, including how to report such violations anonymously. We believe that this is an appropriate mechanism for our employees to report violations of our Code of Conduct.

 

2.

Identification and Assessment of Risks in the Supply Chain

Because of our position within our supply chain, it is difficult for us to identify actors upstream from our first tier contract manufacturers. As discussed above, we identified eight first tier contract manufacturers and we have relied upon them to provide us with the necessary information about the source of Conflict Minerals contained in the products that we contract with them to manufacture for us. Our contract manufacturers are similarly reliant upon information provided by their suppliers to provide information regarding the country of origin of Conflict Minerals that are included in the Covered Products.

 

3.

Designing and Implementing a Strategy to Respond to Identified Risks

We address any risks identified through the process described in Step 2 above on a case-by-case basis. During the Reporting Period, when our contract manufacturers did not provide us with complete or reliable responses to the CMRT, such matters were reported to members of our executive management team who considered a variety of responses to such manufacturers, including seeking alternative arrangements, with the further input from our internal compliance team. However, we have not yet identified any circumstances to date where it was necessary to terminate a contract or find a replacement contract manufacturer.

 

4.

Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

We do not have a direct relationship with any smelters or refiners in our supply chain and, therefore, we do not directly conduct audits. Instead, we have supported the development and implementation of independent third party audits of smelters such as the Conflict-Free Smelter Program by encouraging our contract manufacturers to purchase materials from audited, conflict-free smelters and determining whether the smelters that were used to process these minerals were validated as conflict-free as part of the Conflict-Free Smelter Program.

 

5.

Reporting on Supply Chain Due Diligence

In 2018, we publicly filed the Form SD and this Report with the SEC, and a copy of this Report and the Form SD are publicly available at https://investor.qualys.com/financials-filings/sec-filings.

This Report includes information about the RCOI we undertook, our due diligence process designed to conform with the OECD Guidelines, the list of known smelters and refiners utilized in our supply chain identified in our due diligence process, and a description of our products that incorporate Conflict Minerals necessary to the functionality or production of such products.

Findings and Conclusions

Based on the information that was provided by our contract manufacturers and otherwise obtained through the due diligence process, we believe that, to the extent reasonably determinable, the facilities that were used to process the Conflict Minerals contained in the Covered Products included the smelters and refiners listed in Annex I below.

This table includes only facilities that are listed in the CMRT as “known smelters or refineries.” An indication of “Full Compliant” in the far right column of the table indicates that the smelter or refinery has received a “conflict free” designation from an independent third party audit program. An indication of “Active” in the far right column of the table indicates that the smelter or refinery has committed to undergo a CFSP audit or is participating in one of the cross-recognized certification programs: LBMA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification. An indication of “Indeterminable” in the far right column of the table indicates that the smelter or refinery was not included in the CFSI compliant or active lists and thus, the facility’s designation is indeterminable.


Because the CFSI lists generally did not indicate individual countries of origin of the Conflict Minerals processed by compliant smelters and refiners, we were not able to determine the countries of origin of the Conflict Minerals processed by the listed compliant smelters and refiners with greater specificity. In addition, for the listed compliant smelters and refiners, origin information is not disclosed by the CFSI. Furthermore, as stated earlier, submission of these smelters by our contract manufacturers does not guarantee that these smelters or refiners are present in the Company’s supply chain as our contract manufacturers were only able to provide company-level CMRTs and not able to provide product-level CMRTs directly linking those smelters or refiners to the Covered Products. Therefore, based on our due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the Conflict Minerals contained in the Covered Products or whether the Conflict Minerals in the Covered Products are from recycled or scrap sources.

ANNEX I- SMELTER LIST

 

Gold   Advanced Chemical Company   UNITED STATES OF AMERICA   Full Compliant
Gold   Aida Chemical Industries Co., Ltd.   JAPAN   Full Compliant
Gold   Allgemeine Gold-und Silberscheideanstalt A.G.   GERMANY   Full Compliant
Gold   Almalyk Mining and Metallurgical Complex (AMMC)   UZBEKISTAN   Full Compliant
Gold   AngloGold Ashanti Corrego do Sitio Mineracao   BRAZIL   Full Compliant
Gold   Argor-Heraeus S.A.   SWITZERLAND   Full Compliant
Gold   Asahi Pretec Corp.   JAPAN   Full Compliant
Gold   Asaka Riken Co., Ltd.   JAPAN   Full Compliant
Gold   Aurubis AG   GERMANY   Full Compliant
Gold   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   PHILIPPINES   Full Compliant
Gold   Boliden AB   SWEDEN   Full Compliant
Gold   C. Hafner GmbH + Co. KG   GERMANY   Full Compliant
Gold   Caridad   MEXICO   Indeterminable
Gold   CCR Refinery -Glencore Canada Corporation   CANADA   Full Compliant
Gold   Cendres + Metaux S.A.   SWITZERLAND   Full Compliant
Gold   Chimet S.p.A.   ITALY   Full Compliant
Gold   Chugai Mining   JAPAN   Active
Gold   Daejin Indus Co., Ltd.   KOREA, REPUBLIC OF   Full Compliant
Gold   Daye Non-Ferrous Metals Mining Ltd.   CHINA   Indeterminable
Gold   DSC (Do Sung Corporation)   KOREA, REPUBLIC OF   Full Compliant
Gold   DODUCO Contacts and Refining GmbH   GERMANY   Full Compliant
Gold   Dowa   JAPAN   Full Compliant
Gold   Eco-System Recycling Co., Ltd.   JAPAN   Full Compliant
Gold   OJSC Novosibirsk Refinery   RUSSIAN FEDERATION   Full Compliant
Gold   Refinery of Seemine Gold Co., Ltd.   CHINA   Indeterminable
Gold   Guoda Safina High-Tech Environmental Refinery Co., Ltd.   CHINA   Indeterminable
Gold   Hangzhou Fuchunjiang Smelting Co., Ltd.   CHINA   Indeterminable
Gold   HeeSung Metal Ltd.   KOREA, REPUBLIC OF   Full Compliant
Gold   Heimerle + Meule GmbH   GERMANY   Full Compliant
Gold   Heraeus Metals Hong Kong Ltd.   CHINA   Full Compliant
Gold   Heraeus Precious Metals GmbH & Co. KG   GERMANY   Full Compliant
Gold   Hunan Chenzhou Mining Co., Ltd.   CHINA   Indeterminable
Gold   HwaSeong CJ CO., LTD.   KOREA, REPUBLIC OF   Indeterminable
Gold   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.   CHINA   Full Compliant
Gold   Ishifuku Metal Industry Co., Ltd.   JAPAN   Full Compliant
Gold   Istanbul Gold Refinery   TURKEY   Full Compliant
Gold   Japan Mint   JAPAN   Full Compliant
Gold   Jiangxi Copper Co., Ltd.   CHINA   Full Compliant
Gold   Asahi Refining USA Inc.   UNITED STATES OF AMERICA   Full Compliant
Gold   Asahi Refining Canada Ltd.   CANADA   Full Compliant
Gold   JSC Uralelectromed   RUSSIAN FEDERATION   Full Compliant
Gold   JX Nippon Mining & Metals Co., Ltd.   JAPAN   Full Compliant
Gold   Kazakhmys Smelting LLC   KAZAKHSTAN   Indeterminable
Gold   Kazzinc   KAZAKHSTAN   Full Compliant
Gold   Kennecott Utah Copper LLC   UNITED STATES OF AMERICA   Full Compliant
Gold   Kojima Chemicals Co., Ltd.   JAPAN   Full Compliant
Gold   Kyrgyzaltyn JSC   KYRGYZSTAN   Full Compliant
Gold   Lingbao Gold Co., Ltd.   CHINA   Indeterminable
Gold   Lingbao Jinyuan Tonghui Refinery Co., Ltd.   CHINA   Indeterminable
Gold   LS-NIKKO Copper Inc.   KOREA, REPUBLIC OF   Full Compliant
Gold   Luoyang Zijin Yinhui Gold Refinery Co., Ltd.   CHINA   Indeterminable
Gold   Materion   UNITED STATES OF AMERICA   Full Compliant
Gold   Matsuda Sangyo Co., Ltd.   JAPAN   Full Compliant
Gold   Metalor Technologies (Suzhou) Ltd.   CHINA   Full Compliant
Gold   Metalor Technologies (Hong Kong) Ltd.   CHINA   Full Compliant
Gold   Metalor Technologies (Singapore) Pte., Ltd.   SINGAPORE   Full Compliant
Gold   Metalor Technologies S.A.   SWITZERLAND   Full Compliant
Gold   Metalor USA Refining Corporation   UNITED STATES OF AMERICA   Full Compliant
Gold   Metalurgica Met-Mex Penoles S.A. De C.V.   MEXICO   Full Compliant
Gold   Mitsubishi Materials Corporation   JAPAN   Full Compliant


Gold   Mitsui Mining and Smelting Co., Ltd.   JAPAN   Full Compliant
Gold   Moscow Special Alloys Processing Plant   RUSSIAN FEDERATION   Full Compliant
Gold   Nadir Metal Rafineri San. Ve Tic. A.S.   TURKEY   Full Compliant
Gold   Navoi Mining and Metallurgical Combinat   UZBEKISTAN   Indeterminable
Gold   Nihon Material Co., Ltd.   JAPAN   Full Compliant
Gold   Ohura Precious Metal Industry Co., Ltd.   JAPAN   Full Compliant
Gold   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)   RUSSIAN FEDERATION   Full Compliant
Gold   PAMP S.A.   SWITZERLAND   Full Compliant
Gold   Penglai Penggang Gold Industry Co., Ltd.   CHINA   Indeterminable
Gold   Prioksky Plant of Non-Ferrous Metals   RUSSIAN FEDERATION   Full Compliant
Gold   PT Aneka Tambang (Persero) Tbk   INDONESIA   Full Compliant
Gold   PX Precinox S.A.   SWITZERLAND   Full Compliant
Gold   Rand Refinery (Pty) Ltd.   SOUTH AFRICA   Full Compliant
Gold   Royal Canadian Mint   CANADA   Full Compliant
Gold   Sabin Metal Corp.   UNITED STATES OF AMERICA   Indeterminable
Gold   Samduck Precious Metals   KOREA, REPUBLIC OF   Indeterminable
Gold   Samwon Metals Corp.   KOREA, REPUBLIC OF   Indeterminable
Gold   SEMPSA Joyeria Plateria S.A.   SPAIN   Full Compliant
Gold   Shandong Tiancheng Biological Gold Industrial Co., Ltd.   CHINA   Indeterminable
Gold   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.   CHINA   Full Compliant
Gold   Sichuan Tianze Precious Metals Co., Ltd.   CHINA   Full Compliant
Gold   SOE Shyolkovsky Factory of Secondary Precious Metals   RUSSIAN FEDERATION   Full Compliant
Gold   Solar Applied Materials Technology Corp.   TAIWAN, PROVINCE OF CHINA   Full Compliant
Gold   Sumitomo Metal Mining Co., Ltd.   JAPAN   Full Compliant
Gold   Tanaka Kikinzoku Kogyo K.K.   JAPAN   Full Compliant
Gold   Great Wall Precious Metals Co., Ltd. of CBPM   CHINA   Indeterminable
Gold   The Refinery of Shandong Gold Mining Co., Ltd.   CHINA   Full Compliant
Gold   Tokuriki Honten Co., Ltd.   JAPAN   Full Compliant
Gold   Torecom   KOREA, REPUBLIC OF   Full Compliant
Gold   Umicore Brasil Ltda.   BRAZIL   Full Compliant
Gold   Umicore S.A. Business Unit Precious Metals Refining   BELGIUM   Full Compliant
Gold   United Precious Metal Refining, Inc.   UNITED STATES OF AMERICA   Full Compliant
Gold   Valcambi S.A.   SWITZERLAND   Full Compliant
Gold   Western Australian Mint (T/a The Perth Mint)   AUSTRALIA   Full Compliant
Gold   Yamakin Co., Ltd.   JAPAN   Full Compliant
Gold   Yokohama Metal Co., Ltd.   JAPAN   Full Compliant
Gold   Zhongyuan Gold Smelter of Zhongjin Gold Corporation   CHINA   Full Compliant
Gold   Gold Refinery of Zijin Mining Group Co., Ltd.   CHINA   Full Compliant
Gold   Morris and Watson   NEW ZEALAND   Indeterminable
Gold   Guangdong Jinding Gold Limited   CHINA   Indeterminable
Gold   Umicore Precious Metals Thailand   THAILAND   Full Compliant
Gold   Geib Refining Corporation   UNITED STATES OF AMERICA   Full Compliant
Gold   MMTC-PAMP India Pvt., Ltd.   INDIA   Full Compliant
Gold   Republic Metals Corporation   UNITED STATES OF AMERICA   Indeterminable
Gold   KGHM Polska Miedz Spolka Akcyjna   POLAND   Active
Gold   Singway Technology Co., Ltd.   TAIWAN, PROVINCE OF CHINA   Full Compliant
Gold   Al Etihad Gold LLC   UNITED ARAB EMIRATES   Full Compliant
Gold   Emirates Gold DMCC   UNITED ARAB EMIRATES   Full Compliant
Gold   T.C.A S.p.A   ITALY   Full Compliant
Gold   Remondis Argentia B.V.   NETHERLANDS   Full Compliant
Gold   Korea Zinc Co., Ltd.   KOREA, REPUBLIC OF   Full Compliant
Gold   Marsam Metals   BRAZIL   Full Compliant
Gold   TOO Tau-Ken-Altyn   KAZAKHSTAN   Indeterminable
Gold   Abington Reldan Metals, LLC   UNITED STATES OF AMERICA   Indeterminable
Gold   SAAMP   FRANCE   Full Compliant
Gold   L’Orfebre S.A.   ANDORRA   Full Compliant
Gold   Italpreziosi   ITALY   Full Compliant
Gold   SAXONIA Edelmetalle GmbH   GERMANY   Full Compliant
Gold   WIELAND Edelmetalle GmbH   GERMANY   Full Compliant
Gold   Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH   AUSTRIA   Full Compliant
Gold   AU Traders and Refiners   SOUTH AFRICA   Full Compliant
Gold   GCC Gujrat Gold Centre Pvt. Ltd.   INDIA   Indeterminable
Gold   Sai Refinery   INDIA   Indeterminable
Gold   Modeltech Sdn Bhd   MALAYSIA   Indeterminable
Gold   Bangalore Refinery   INDIA   Full Compliant
Gold   Kyshtym Copper-Electrolytic Plant ZAO   RUSSIAN FEDERATION   Indeterminable
Gold   Morris and Watson Gold Coast   AUSTRALIA   Indeterminable
Gold   Degussa Sonne / Mond Goldhandel GmbH   GERMANY   Indeterminable
Gold   Pease & Curren   UNITED STATES OF AMERICA   Indeterminable
Gold   SungEel HiMetal Co., Ltd.   KOREA, REPUBLIC OF   Full Compliant
Gold   Planta Recuperadora de Metales SpA   CHILE   Full Compliant
Gold   Safimet S.p.A   ITALY   Full Compliant
Gold   State Research Institute Center for Physical Sciences and Technology   LITHUANIA   Indeterminable
Tantalum   Asaka Riken Co., Ltd.   JAPAN   Full Compliant
Tantalum   Changsha South Tantalum Niobium Co., Ltd.   CHINA   Full Compliant
Tantalum   Guangdong Rising Rare Metals-EO Materials Ltd.   CHINA   Full Compliant


Tantalum   Exotech Inc.   UNITED STATES OF AMERICA   Full Compliant
Tantalum   F&X Electro-Materials Ltd.   CHINA   Full Compliant
Tantalum   Guangdong Zhiyuan New Material Co., Ltd.   CHINA   Full Compliant
Tantalum   JiuJiang JinXin Nonferrous Metals Co., Ltd.   CHINA   Full Compliant
Tantalum   Jiujiang Tanbre Co., Ltd.   CHINA   Full Compliant
Tantalum   LSM Brasil S.A.   BRAZIL   Full Compliant
Tantalum   Metallurgical Products India Pvt., Ltd.   INDIA   Full Compliant
Tantalum   Mineracao Taboca S.A.   BRAZIL   Full Compliant
Tantalum   Mitsui Mining and Smelting Co., Ltd.   JAPAN   Full Compliant
Tantalum   NPM Silmet AS   ESTONIA   Full Compliant
Tantalum   Ningxia Orient Tantalum Industry Co., Ltd.   CHINA   Full Compliant
Tantalum   QuantumClean   UNITED STATES OF AMERICA   Full Compliant
Tantalum   RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.   CHINA   Full Compliant
Tantalum   Solikamsk Magnesium Works OAO   RUSSIAN FEDERATION   Full Compliant
Tantalum   Taki Chemical Co., Ltd.   JAPAN   Full Compliant
Tantalum   Telex Metals   UNITED STATES OF AMERICA   Full Compliant
Tantalum   Ulba Metallurgical Plant JSC   KAZAKHSTAN   Full Compliant
Tantalum   Yichun Jin Yang Rare Metal Co., Ltd.   CHINA   Indeterminable
Tantalum   Hengyang King Xing Lifeng New Materials Co., Ltd.   CHINA   Full Compliant
Tantalum   D Block Metals, LLC   UNITED STATES OF AMERICA   Full Compliant
Tantalum   FIR Metals & Resource Ltd.   CHINA   Full Compliant
Tantalum   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.   CHINA   Full Compliant
Tantalum   XinXing HaoRong Electronic Material Co., Ltd.   CHINA   Full Compliant
Tantalum   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.   CHINA   Full Compliant
Tantalum   KEMET Blue Metals   MEXICO   Full Compliant
Tantalum   H.C. Starck Co., Ltd.   THAILAND   Full Compliant
Tantalum   H.C. Starck Tantalum and Niobium GmbH   GERMANY   Full Compliant
Tantalum   H.C. Starck Hermsdorf GmbH   GERMANY   Full Compliant
Tantalum   H.C. Starck Inc.   UNITED STATES OF AMERICA   Full Compliant
Tantalum   H.C. Starck Ltd.   JAPAN   Full Compliant
Tantalum   H.C. Starck Smelting GmbH & Co. KG   GERMANY   Full Compliant
Tantalum   Global Advanced Metals Boyertown   UNITED STATES OF AMERICA   Full Compliant
Tantalum   Global Advanced Metals Aizu   JAPAN   Full Compliant
Tantalum   KEMET Blue Powder   UNITED STATES OF AMERICA   Full Compliant
Tantalum   Resind Industria e Comercio Ltda.   BRAZIL   Full Compliant
Tantalum   Jiangxi Tuohong New Raw Material   CHINA   Full Compliant
Tantalum   Power Resources Ltd.   MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF   Full Compliant
Tantalum   Jiujiang Janny New Material Co., Ltd.   CHINA   Full Compliant
Tin   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.   CHINA   Full Compliant
Tin   Jiangxi Ketai Advanced Material Co., Ltd.   CHINA   Indeterminable
Tin   CNMC (Guangxi) PGMA Co., Ltd.   CHINA   Indeterminable
Tin   Alpha   UNITED STATES OF AMERICA   Full Compliant
Tin   CV Gita Pesona   INDONESIA   Full Compliant
Tin   PT Aries Kencana Sejahtera   INDONESIA   Full Compliant
Tin   PT Premium Tin Indonesia   INDONESIA   Full Compliant
Tin   CV United Smelting   INDONESIA   Full Compliant
Tin   Dowa   JAPAN   Full Compliant
Tin   EM Vinto   BOLIVIA (PLURINATIONAL STATE OF)   Full Compliant
Tin   Estanho de Rondonia S.A.   BRAZIL   Indeterminable
Tin   Fenix Metals   POLAND   Full Compliant
Tin   Gejiu Non-Ferrous Metal Processing Co., Ltd.   CHINA   Full Compliant
Tin   Gejiu Zili Mining And Metallurgy Co., Ltd.   CHINA   Full Compliant
Tin   Huichang Jinshunda Tin Co., Ltd.   CHINA   Full Compliant
Tin   Gejiu Kai Meng Industry and Trade LLC   CHINA   Full Compliant
Tin   China Tin Group Co., Ltd.   CHINA   Full Compliant
Tin   Malaysia Smelting Corporation (MSC)   MALAYSIA   Full Compliant
Tin   Metallic Resources, Inc.   UNITED STATES OF AMERICA   Full Compliant
Tin   Mineracao Taboca S.A.   BRAZIL   Full Compliant
Tin   Minsur   PERU   Full Compliant
Tin   Mitsubishi Materials Corporation   JAPAN   Full Compliant
Tin   Jiangxi New Nanshan Technology Ltd.   CHINA   Full Compliant
Tin   O.M. Manufacturing (Thailand) Co., Ltd.   THAILAND   Full Compliant
Tin   Operaciones Metalurgical S.A.   BOLIVIA (PLURINATIONAL STATE OF)   Full Compliant
Tin   PT Artha Cipta Langgeng   INDONESIA   Full Compliant
Tin   PT Babel Inti Perkasa   INDONESIA   Full Compliant
Tin   PT Bangka Tin Industry   INDONESIA   Full Compliant
Tin   PT Belitung Industri Sejahtera   INDONESIA   Full Compliant
Tin   PT Bukit Timah   INDONESIA   Full Compliant
Tin   PT DS Jaya Abadi   INDONESIA   Full Compliant
Tin   PT Eunindo Usaha Mandiri   INDONESIA   Indeterminable
Tin   PT Karimun Mining   INDONESIA   Full Compliant
Tin   PT Mitra Stania Prima   INDONESIA   Full Compliant
Tin   PT Panca Mega Persada   INDONESIA   Full Compliant
Tin   PT Prima Timah Utama   INDONESIA   Full Compliant
Tin   PT Refined Bangka Tin   INDONESIA   Full Compliant
Tin   PT Sariwiguna Binasentosa   INDONESIA   Full Compliant


Tin   PT Stanindo Inti Perkasa   INDONESIA   Full Compliant
Tin   PT Sumber Jaya Indah   INDONESIA   Full Compliant
Tin   PT Timah (Persero) Tbk Kundur   INDONESIA   Full Compliant
Tin   PT Timah (Persero) Tbk Mentok   INDONESIA   Full Compliant
Tin   PT Tinindo Inter Nusa   INDONESIA   Full Compliant
Tin   PT Tommy Utama   INDONESIA   Full Compliant
Tin   Rui Da Hung   TAIWAN, PROVINCE OF CHINA   Full Compliant
Tin   Soft Metais Ltda.   BRAZIL   Full Compliant
Tin   Thaisarco   THAILAND   Full Compliant
Tin   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.   CHINA   Full Compliant
Tin   White Solder Metalurgia e Mineracao Ltda.   BRAZIL   Full Compliant
Tin   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.   CHINA   Full Compliant
Tin   Yunnan Tin Company Limited   CHINA   Full Compliant
Tin   CV Venus Inti Perkasa   INDONESIA   Full Compliant
Tin   Magnu’s Minerais Metais e Ligas Ltda.   BRAZIL   Full Compliant
Tin   Melt Metais e Ligas S.A.   BRAZIL   Full Compliant
Tin   PT ATD Makmur Mandiri Jaya   INDONESIA   Full Compliant
Tin   O.M. Manufacturing Philippines, Inc.   PHILIPPINES   Full Compliant
Tin   PT Inti Stania Prima   INDONESIA   Full Compliant
Tin   CV Ayi Jaya   INDONESIA   Full Compliant
Tin   Nghe Tinh Non-Ferrous Metals Joint Stock Company   VIET NAM   Indeterminable
Tin   Tuyen Quang Non-Ferrous Metals Joint Stock Company   VIET NAM   Indeterminable
Tin   CV Dua Sekawan   INDONESIA   Full Compliant
Tin   CV Tiga Sekawan   INDONESIA   Full Compliant
Tin   An Vinh Joint Stock Mineral Processing Company   VIET NAM   Indeterminable
Tin   Resind Industria e Comercio Ltda.   BRAZIL   Full Compliant
Tin   Super Ligas   BRAZIL   Indeterminable
Tin   Metallo Belgium N.V.   BELGIUM   Full Compliant
Tin   Metallo Spain S.L.U.   SPAIN   Full Compliant
Tin   PT Bangka Prima Tin   INDONESIA   Full Compliant
Tin   PT Sukses Inti Makmur   INDONESIA   Full Compliant
Tin   PT Kijang Jaya Mandiri   INDONESIA   Full Compliant
Tin   PT Menara Cipta Mulia   INDONESIA   Full Compliant
Tin   HuiChang Hill Tin Industry Co., Ltd.   CHINA   Full Compliant
Tin   Gejiu Fengming Metallurgy Chemical Plant   CHINA   Full Compliant
Tin   Guanyang Guida Nonferrous Metal Smelting Plant   CHINA   Full Compliant
Tin   Modeltech Sdn Bhd   MALAYSIA   Full Compliant
Tin   Gejiu Jinye Mineral Company   CHINA   Full Compliant
Tin   PT Lautan Harmonis Sejahtera   INDONESIA   Full Compliant
Tin   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.   CHINA   Full Compliant
Tin   Chifeng Dajingzi Tin Industry Co., Ltd.   CHINA   Full Compliant
Tin   PT Bangka Serumpun   INDONESIA   Full Compliant
Tin   Tin Technology & Refining   UNITED STATES OF AMERICA   Full Compliant
Tungsten   A.L.M.T. TUNGSTEN Corp.   JAPAN   Full Compliant
Tungsten   Kennametal Huntsville   UNITED STATES OF AMERICA   Full Compliant
Tungsten   Guangdong Xianglu Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Chongyi Zhangyuan Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Fujian Jinxin Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Global Tungsten & Powders Corp.   UNITED STATES OF AMERICA   Full Compliant
Tungsten   Hunan Chenzhou Mining Co., Ltd.   CHINA   Full Compliant
Tungsten   Hunan Chunchang Nonferrous Metals Co., Ltd.   CHINA   Full Compliant
Tungsten   Japan New Metals Co., Ltd.   JAPAN   Full Compliant
Tungsten   Ganzhou Huaxing Tungsten Products Co., Ltd.   CHINA   Full Compliant
Tungsten   Kennametal Fallon   UNITED STATES OF AMERICA   Full Compliant
Tungsten   Tejing (Vietnam) Tungsten Co., Ltd.   VIET NAM   Full Compliant
Tungsten   Vietnam Youngsun Tungsten Industry Co., Ltd.   VIET NAM   Indeterminable
Tungsten   Wolfram Bergbau und Hutten AG   AUSTRIA   Full Compliant
Tungsten   Xiamen Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Xinhai Rendan Shaoguan Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Ganzhou Jiangwu Ferrotungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Jiangxi Yaosheng Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Jiangxi Xinsheng Tungsten Industry Co., Ltd.   CHINA   Full Compliant
Tungsten   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   CHINA   Full Compliant
Tungsten   Malipo Haiyu Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Xiamen Tungsten (H.C.) Co., Ltd.   CHINA   Full Compliant
Tungsten   Jiangxi Gan Bei Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Ganzhou Seadragon W & Mo Co., Ltd.   CHINA   Full Compliant
Tungsten   Asia Tungsten Products Vietnam Ltd.   VIET NAM   Full Compliant
Tungsten   Chenzhou Diamond Tungsten Products Co., Ltd.   CHINA   Full Compliant
Tungsten   Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.   CHINA   Indeterminable
Tungsten   H.C. Starck Tungsten GmbH   GERMANY   Full Compliant
Tungsten   H.C. Starck Smelting GmbH & Co. KG   GERMANY   Full Compliant
Tungsten   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   VIET NAM   Full Compliant
Tungsten   Jiangwu H.C. Starck Tungsten Products Co., Ltd.   CHINA   Full Compliant
Tungsten   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji   CHINA   Full Compliant
Tungsten   Niagara Refining LLC   UNITED STATES OF AMERICA   Full Compliant


Tungsten   Ganzhou Haichuang Tungsten Co., Ltd.   CHINA   Full Compliant
Tungsten   Hydrometallurg, JSC   RUSSIAN FEDERATION   Full Compliant
Tungsten   Unecha Refractory metals plant   RUSSIAN FEDERATION   Full Compliant
Tungsten   South-East Nonferrous Metal Company Limited of Hengyang City   CHINA   Full Compliant
Tungsten   Philippine Chuangxin Industrial Co., Inc.   PHILIPPINES   Full Compliant
Tungsten   Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.   CHINA   Full Compliant
Tungsten   ACL Metais Eireli   BRAZIL   Full Compliant
Tungsten   Woltech Korea Co., Ltd.   KOREA, REPUBLIC OF   Full Compliant
Tungsten   Moliren Ltd.   RUSSIAN FEDERATION   Full Compliant

Future Steps

We have communicated our expectations to our contract manufacturers regarding our commitment to sourcing minerals for our products in a manner that does not finance or benefit armed groups in the Covered Countries. Since the end of 2018, we have continued, and plan to continue, to increase our engagement with our relevant first-tier contract manufacturers in order to build their knowledge and capacity so they are able to provide us with more complete and accurate information on the source and chain of custody of Conflict Minerals in our supply chain.

Additional Risk Factors

The statements above are based on the RCOI process and due diligence performed in good faith by Qualys. These statements are based on the infrastructure and information available at the time. A number of factors could introduce errors or otherwise affect our Conflict Minerals status. These factors include, but are not limited to, gaps in supplier data, gaps in smelter data, errors or omissions by suppliers, errors or omissions by smelters, the definition of a smelter not being finalized at the end of the 2018 reporting period, all instances of Conflict Minerals necessary to the functionality or manufacturing of our products possibly not yet having been identified, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, errors in public data, language barriers and translation, supplier and smelter unfamiliarity with the protocol, oversight or errors in conflict free smelter audits, Covered Countries’ sourced materials being declared secondary materials, companies going out of business in 2018, certification programs being not equally advanced for all industry segments and metals, and smuggling of Conflict Minerals from the Covered Countries to other countries.