UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

Specialized Disclosure Report

 

 

 

 

LOGO

Apple Inc.

(Exact name of registrant as specified in its charter)

 

 

 

California   001-36743   94-2404110

(State or other jurisdiction

of incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

1 Infinite Loop

Cupertino, California 95014

(Address of principal executive offices) (Zip Code)

D. Bruce Sewell

Senior Vice President,

General Counsel and Secretary

(408) 996-1010

(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

Conflict Minerals Disclosure

A copy of Apple Inc.’s (“Apple’s”) Conflict Minerals Report for the reporting period January 1, 2015 to December 31, 2015 is provided as Exhibit 1.01 hereto and is publicly available at investor.apple.com/sec.cfm. Apple’s determination and related disclosures relating to materials that may come from recycled and scrap sources are included in Apple’s Conflict Minerals Report and incorporated by reference herein.

Section 2 – Exhibits

Item 2.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report for the reporting period January 1, 2015 to December 31, 2015.

* * * * *

 

2


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

Apple Inc.

 

By:

 

/s/ D. Bruce Sewell

   

Date: March 30, 2016

 

D. Bruce Sewell

   
 

Senior Vice President,

   
 

General Counsel and Secretary

   

 

3


EXHIBIT INDEX

 

Exhibit

Number

  

Description

1.01    Conflict Minerals Report for the reporting period January 1, 2015 to December 31, 2015.

 

4


EX-1.01

Exhibit 1.01

 

 

LOGO

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 1


CONFLICT MINERALS REPORT

Overview of Apple’s Commitment To Responsible Sourcing

Apple is committed to responsible sourcing, and working to ensure that the minerals in its products do not finance armed conflict is an important part of its dedication to operate a responsible supply chain. As of December 31, 2015, after five years of devoted effort, 100% of the identified smelters and refiners in Apple’s supply chain for current products were participating in an independent third party conflict minerals audit (“Third Party Audit”) program. Apple believes that this effort has driven awareness and improved sourcing practices across a wide base of smelters and refiners that supply the industry well beyond Apple.

While this is an important milestone, and may be viewed by some companies as grounds to declare themselves “conflict free,” Apple does not believe that Third Party Audit program participation alone is sufficient to label products “conflict free.” Apple believes it has more work to do. In 2016, Apple is turning its attention to two key areas: enhancing due diligence in the gold supply chain and helping improve local incident reporting and issue resolution.

Apple plans to continue to review in detail credible reports of incidents in the Democratic Republic of the Congo (the “DRC”) and adjoining countries (collectively, the “Region”) that may potentially connect to Apple’s supply chain and confirm the transparent reporting and resolution of any incidents related to armed groups where these incidents may reasonably relate to its supply chain. Additionally, Apple intends to further its efforts to drive smelters and refiners to comply with Third Party Audits, and Apple will continue to remove from its supply chain those smelters or refiners that do not comply.

Apple recognizes that it will take the contributions of many different stakeholders to effect lasting change in the minerals sector of the Region. Accordingly, Apple will continue its efforts to partner with like-minded companies, directly engage with key non-government and government organizations, and work with Third Party Audit program facilitators to drive improvements aimed at the ultimate objective of protecting human rights in the Region.

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 2


Details of Apple’s Approach to Responsible Sourcing

Foundational Due Diligence: Third Party Audit Program Participation

Apple believes that foundational conflict minerals due diligence necessitates having all smelters and refiners in Apple’s supply chain participating in a Third Party Audit program. Third Party Audits typically involve an examination of individual purchasing transactions on a sample basis to assess the reasonableness and effectiveness of conflict mineral sourcing practices at the particular smelter or refiner.

Currently there exist a number of different Third Party Audit programs. Apple principally supports the work of the Conflict Free Sourcing Initiative (the “CFSI”). Apple has served in leadership roles supporting the CFSI’s Third Party Audit program—the Conflict Free Smelter Program (the “CFSP”). Apple also supports the efforts of other Third Party Audit programs, such as those carried out by the London Bullion Market Association (the “LBMA”), the Responsible Jewellery Council and ITRI through its Tin Supply Chain Initiative (“iTSCi”), to be better aligned with 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.

Apple believes that Third Party Audits play a significant role in providing assurances that smelters and refiners have due diligence systems in place to ensure that their operations and sourcing do not support conflict in the Region. To expand the number of smelters and refiners participating in a Third Party Audit program, Apple representatives have worked directly on the ground with smelters and refiners since 2011 to assist them with the audit process, and Apple representatives also have provided due diligence assistance to many smelters and refiners.

 

 

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 3


Further Due Diligence: Incident Review and Resolution

As part of its reasonable due diligence, Apple takes additional steps beyond the foundational due diligence embodied by Third Party Audit programs for smelters and refiners. These steps include detailed review of credible reports of incidents which may potentially connect to Apple’s supply chain, and confirming that incidents related to armed groups which may reasonably relate to Apple’s supply chain are transparently reported and addressed.

Apple reviewed more than 700 iTSCi reports for 2015 relating to incidents, potentially associated with mine sites connected to various smelters in Apple’s supply chain. These smelters also support many other companies in the electronics industry. Based on its review, Apple found that in a few cases individuals associated or potentially associated with armed groups, in particular the police in the DRC and the DRC national army, were alleged to be involved in incidents linked to smelters in Apple’s supply chain. While, to date, Apple does not have reason to believe that these incidents resulted in associated specified minerals being included in Apple’s products, Apple remains concerned about a number of reported incidents. Accordingly, Apple is actively engaged with appropriate stakeholders to better understand incident reports and how they are addressed and, in the case of three specific incidents, continues to actively investigate the follow-up actions that have been taken to address these incidents.

Driving Measurable Progress for the Collective Good

In response to concerns raised that gold, columbite-tantalite (coltan), cassiterite, wolframite, tantalum, tin, and tungsten (collectively, the “Subject Minerals”) from the Region were supporting conflict by armed groups, Apple determined to expand its smelter and refiner base participating in Third Party Audit programs rather than simply ban minerals from the Region in its supply chain. Apple’s decision was intended in part to increase the number of such participating smelters and refiners across the industry, not only in Apple’s supply chain. What began with 109 identified non-compliant smelters and refiners at the end of 2010, turned into significant, measurable progress over a few short years.

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 4


 

LOGO

By the end of 2013, 44% of smelters and refiners were participating in a Third Party Audit program. While this was more than double the number of participating smelters and refiners at the end of 2012, it was still a long way from Apple’s goal of 100% smelter and refiner participation. In order to achieve this goal, Apple increased the pressure each year. In 2014, Apple began publishing the names, countries and compliance status of smelters and refiners in its supply chain. Beginning in 2014, Apple also launched supply chain wide campaigns that established strict deadlines for smelters and refiners to demonstrate their commitment to undergo a Third Party Audit or be removed from Apple’s supply chain.

Leveraging Expertise to Drive Desired Outcomes

Knowing that sustainable responsible sourcing cannot be achieved by pressure alone, Apple began offering assistance and support to smelters and refiners, as well as suppliers. Since 2011, Apple representatives and subject matter experts have met in the field with smelters and refiners to encourage participation and offer audit preparation assistance (see Annex I: 2015 Due Diligence Measures Performed, point 2, for 2015 details). And in an effort to strengthen alignment with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, including the related supplements on tantalum, tin, tungsten, and gold (the “OECD Due Diligence Guidance”), in 2015 Apple notified smelters and refiners of identified risks and requested they report on and respond to those risks.

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 5


Apple has also been conducting spot audits since 2013 to assess suppliers’ understanding of due diligence requirements. In order to better support suppliers having to change sourcing or push smelters or refiners to become compliant, in 2015 Apple provided in-person training to 58 suppliers not yet meeting Apple’s requirements and developed a web-based training tool. Relevant training materials have been made available to partners outside of Apple’s supply chain in order to be further developed for use industry-wide. Apple believes that making these materials available will strengthen supplier due diligence across the industry.

The combination of training, public reporting and a ticking clock drove the number from 82 smelters and refiners participating in a Third Party Audit program by the end of 2013 to 242 participating smelters and refiners by the end of 2015. Of these 242 participating smelters and refiners, 86% had already completed a Third Party Audit by the end of 2015, while the other 14% were in the process of undergoing such a Third Party Audit as of December 31, 2015.

Still, some smelters and refiners chose not to take advantage of Apple’s assistance programs, while others refused to take part in any Third Party Audit entirely. Neither pressure nor incentives for help were enough to persuade them to comply. Accordingly, Apple directed the removal of 35 smelters and refiners not willing to participate in a Third Party Audit, and as of December 31, 2015, these 35 smelters and refiners are no longer reported in Apple’s supply chain. In addition, Apple has notified its suppliers that it has recently required the removal of another refiner from its supply chain for its failure to satisfy requirements in connection with its Third Party Audit and its subsequent delisting by the LBMA after December 31, 2015. Apple has had no choice but to remove these smelters and refiners from its supply chain, as Apple views compliance as non-negotiable.

Going to Greater Lengths on the Ground

In 2015, Apple personnel spent hundreds of hours in the Region, to better understand the challenges of conducting effective due diligence in high-risk areas. Based on this work, Apple is focusing further attention on two key areas: allegations of illicit trade of gold and local incident reporting in existing traceability systems.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 6


The focus on gold was chosen because of the low number of gold mine sites participating in a traceability program, and a high concentration of armed groups purportedly involved in the gold trade. Accordingly, Apple initiated an independent third party investigation of its gold supply chain, and, as part of this investigation, uncovered specific allegations of, among other things, smuggling of gold that could be associated with armed groups (see Annex I for further details). Though still unsubstantiated, Apple continues to investigate such allegations in order to determine their veracity. Where necessary, Apple will consider and address, if reasonably practical, the situation, to the extent it relates to Apple’s supply chain.

Considering reports from numerous groups and organizations related to traceability gaps, stolen minerals, and fraudulent use of tags, Apple has focused on local incident reporting to determine if local systems are effectively able to capture and remediate incidents when they arise, and if any incidents of concern may be associated with Apple’s supply chain. Apple’s review identified incidents of varying nature and concern, including, among others, incidents involving theft of, and/or fraud in connection with, tags and minerals and military and police levies or payments at or near mine sites. As of the date of this report, not all 2015 incidents have been publicly reported, fully traced to minerals associated with smelters, resolved or remediated. Notwithstanding these limitations, Apple has sought to confirm that every relevant identified incident was followed up including, where appropriate, by applicable local authorities.

Based on the reports reviewed by Apple and additional information provided by iTSCi, Apple has received confirmation that three incidents linked to smelters reported in Apple’s supply chain have occurred in which individuals identified as members or potential members of organizations within the meaning of “armed groups,” as defined in Item 1.01(d)(2) of Form SD, in particular the police in the DRC and the DRC national army, were alleged to be involved. Each incident appears to have involved no more than a few individuals in isolated theft, illegal tax or similar criminal activity, potentially for personal gain, and, based on information received to date, the alleged perpetrators have been sanctioned or the specific incident has otherwise received some level of official redress by the local authorities. Apple continues to actively investigate the follow-up actions that have been taken to address these incidents. However, with respect to these three incidents, Apple has not, to date, been able to determine whether specific minerals were included in Apple’s products. The challenges with tracking specific mineral quantities through the supply chain currently prevent the traceability of any specific mineral shipment through the entire manufacturing process.

 

 

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 7


Apple believes there is little doubt that there is a need to enhance gold trading due diligence, to increase local stakeholder involvement, and to ensure that Third Party Audit programs reinforce requirements for smelter and refiners to be aware of and follow-up on the resolution of incidents. Accordingly, Apple has taken initial steps to address identified deficiencies and incidents by contributing to Partnership Africa Canada to develop responsible gold traceability programs and channels for legally traded artisanal gold. Additionally, Apple has funded the first comprehensive due diligence training that brought together more than 60 DRC government and civil society actors from multiple territories to deepen their understanding of the incident reporting process. Apple also has funded the development of training materials to clarify the iTSCi incident reporting process.

To better understand how due diligence programs impact changes on the ground, Apple and its consultants also reviewed various program reports, including those from relevant government and non-governmental reporting organizations. Apple found that the lack of consistency in data across programs hampered the opportunity to assess the impacts of in-region initiatives. As a result, Apple is working with partners to learn how better data coordination may be achieved, and intends to take further steps to develop comparable metrics that can assess the impact of responsible sourcing initiatives in the Region.

Recognizing that creating sustainable change on the ground in the Region will take the efforts of many actors, Apple has provided financial support for several in-region programs. Apple intends to continue working collaboratively to push those systems designed to ensure smelters and refiners are sourcing responsibly to become consistently accurate and secure and yield the high standards of transparency and accountability that Apple demands. The broader change that needs to occur will only be possible with continued strategic collaboration across law enforcement, governments, non-governmental organizations and multiple industries.

 

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 8


Risk Mitigation and Future Due Diligence Measures

Apple designed its due diligence measures to conform to OECD Due Diligence Guidance. Apple’s supply chain mapping and due diligence activities have highlighted specific improvements Apple intends to pursue not only to advance its own due diligence measures but also to mitigate and address systemic risks:

 

   

Continuing to pressure smelters and refiners to participate in Third Party Audit programs and work with iTSCi to improve capabilities of reporting and addressing risks in the supply chain;

 

   

Continuing to work with its suppliers to help them better understand and fully satisfy Apple’s Subject Minerals requirements;

 

   

Continuing to engage with Third Party Audit programs to support OECD Due Diligence Guidance to better align and address gaps in the systems, processes and protocols for audit programs;

 

   

Continuing to encourage improved monitoring, transparent reporting (including the ongoing development of incident classification and follow-up expectations), and alignment both in the iTSCi system and through additional in-region programs and stakeholders to contribute to a more lasting impact in the mineral supply chain and governance of the Region; and

 

   

Accelerating enforcement and reporting through partnerships with government and non-government organizations as well as companies and other actors similarly committed to driving sustainable change in the Region.

Determination

Based on the information provided by Apple’s suppliers and its own due diligence efforts through December 31, 2015 (see Annex I), Apple believes that the facilities that may have been used to process the Subject Minerals in Apple’s products include the smelters and refiners listed in Annex II below.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 9


Through the smelter and refiner identification and validation process, Apple has identified a total of 284 smelters and refiners as potential sources of Subject Minerals that, initially, were believed to have been in its supply chain at some point during 2015 (see Annex II). Of this group, 242 smelters and refiners were determined to be in Apple’s supply chain as of December 31, 2015. Of the remaining 42, Apple determined that seven smelters and refiners were found to be inoperative during 2015 and the remaining 35 reported smelters and refiners were actively removed from Apple’s supply chain at the request of Apple. Of these 35 removed smelters and refiners, 24 had been reported in previous Apple Conflict Minerals Reports and the remaining were newly identified and reported to Apple in 2015. While mineral stock from removed smelters and refiners may remain in Apple’s supply chain, Apple has no reason to believe that any of the foregoing 42 smelters and refiners were sourcing minerals from the Region.

Apple’s reasonable country of origin inquiry is based on Third Party Audit information and, to the extent that country of origin information has not been audited, additional information collected by it and others. To the extent reasonably possible, Apple has documented the country of origin of identified smelters and refiners based on information received through the CFSP, surveys of smelters and refiners, and/or third party reviews of publicly available information. However, some country of origin information has not been audited by a third party because, among other reasons, applicable smelters and refiners have gone out of operation before completing a Third Party Audit, smelters and refiners have not gone through a Third Party Audit, or the Third Party Audit does not yet include reporting of country of origin information. Therefore, Apple does not have sufficient information to conclusively determine the countries of origin of the Subject Minerals in all of its products; however, based on the information provided by Apple’s suppliers, smelters, and refiners, as well as from the CFSP and other sources, Apple believes that the Subject Minerals contained in its products originate from the countries listed in Annex III below, as well as from recycled and scrap sources.

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 10


Of all of the smelters and refiners of Subject Minerals identified for 2015, Apple found no reasonable basis for concluding that any such smelter or refiner sourced Subject Minerals that directly or indirectly finance or benefit armed groups. The 29 smelters and refiners known to be sourcing from the DRC or an adjoining country all completed a Third Party Audit.* Of these 29 smelters and refiners, 23 have undergone a Third Party Audit requiring the review of the smelter or refiner’s traceability of Subject Minerals and the smelter or refiner’s country of origin information in addition to a validation of its due diligence systems. The remaining six were audited with respect to their due diligence systems and Apple expects them, as part of their next Third Party Audit, to have their country of origin information audited.

About this Report

This report has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1 to December 31, 2015.

This report relates to the process undertaken for Apple products that were manufactured, or contracted to be manufactured, during 2015 and that contain Subject Minerals.

These products are Apple’s iPhone®, iPad®, Mac®, iPod®, Apple TV®, Apple Watch®, Beats® products, displays, and Apple accessories. Third party products that Apple retails but that it does not manufacture or contract to manufacture are outside of the scope of this report. The smelters and refiners identified in this report include smelters and refiners producing service or spare parts contract manufactured in 2015 for use in connection with the subsequent service of previously sold products, including products serviced in subsequent years using those parts. This report does not include smelters and/or refiners of tantalum, tin, tungsten, and gold included in end-of-life service parts for products that Apple no longer manufactures or contracts to manufacture.

 

 

*

The foregoing does not include smelters and refiners indirectly sourcing from the DRC or adjoining countries by acquiring Subject Minerals from these 29 smelters and refiners.

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 11


This report’s use of the terms “smelters” and “refiners” refers to the facilities processing primary Subject Minerals to retail purity. Apple suppliers have in some cases reported smelters and refiners that Apple believes are not operational or may have been misidentified as smelters and refiners. As a result, Apple continues to conduct independent research on smelters and refiners and to work with suppliers throughout its supply chain to re-validate, improve, and refine their reported information, taking into account supply chain fluctuations and other changes in status or scope and relationships over time. “Identified” smelters and refiners are those that (i) have been reported in supplier surveys, (ii) Apple believes are currently operational, were operational at some point during the applicable year or, while inoperative, were capable of re-engagement with minimal delay or effort, and (iii) otherwise meet the definition of a smelter or refiner. As part of its reasonable country of origin inquiry, Apple concluded that several processing facilities are using only recycled material. Facilities that process only secondary materials (i.e., scrap or recycled material) are excluded from the scope of this report, except where the entity has undergone a Third Party Audit and is otherwise identified in Annex II.

Participating smelters and refiners are those that have agreed to participate in, or have been found compliant with, the CFSP or cross-recognized independent third party conflict minerals audit programs confirming their conflict mineral sourcing practices. Such programs may also include audits of traceability requirements, conformity with OECD Due Diligence Guidance, management systems, and/or risk assessments. Cross-recognized independent third party conflict minerals audit programs include the LBMA’s Responsible Gold Program and the Responsible Jewellery Council Chain-of-Custody Certification. Throughout this report the audits by these programs are included in references to “Third Party Audit” programs.

This report includes forward-looking statements, within the meaning of the Private Securities Litigation Reform Act of 1995, that involve risks and uncertainties. Forward-looking statements provide current expectations of future events based on certain assumptions and include any statement that does not directly relate to any historical or current fact. Forward-looking statements can also be identified by words such as “expects,” “plans,” “intends,” “will,” “may,” and similar terms. Forward-looking statements are not guarantees of future performance. Apple assumes no obligation to revise or update any forward-looking statements for any reason, except as required by law. Subsequent events may affect Apple’s future determinations under Rule 13p-1.

 

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | 12


ANNEX I

Design of Due Diligence

Apple designed its due diligence measures to conform to the OECD Due Diligence Guidance.

2015 Due Diligence Measures Performed:

 

  1.

Apple required relevant suppliers to source from smelters and refiners that have participated in an independent Third Party Audit program. As such, Apple identified smelters and refiners that did not meet this requirement and informed relevant suppliers of these smelters and refiners.

 

  2.

Apple provided audit preparation assistance and remediation support to certain individual smelters and refiners, by assessing, improving or correcting their current due diligence practices and documentation to the industry standard required to pass an independent Third Party Audit.

 

  3. In order to determine whether reported smelters and refiners, identified as potentially sourcing Subject Minerals from the DRC or adjoining countries, may be associated with armed groups:

 

   

Apple compared information provided by the CFSP against other publicly available information. This publicly available information included investigation reports from non-governmental organizations and international organizations that have conducted investigations on individuals and companies associated with armed groups.

 

   

Apple reviewed the public regional bi-annual iTSCi incident reports that were still open at the beginning of 2015. This review concluded that there were reports of relevant incidents involving armed groups and smelters and refiners potentially in Apple’s supply chain. This finding triggered further review of iTSCi incident reports and iTSCi member reports opened in January – December of 2015 to identify which reports related to armed group interference in the mineral supply chain, whether these incidents had been followed-up and remediated, and whether the incidents could be linked to smelters and refiners in Apple’s supply chain.

 

  4.

In response to the delisting of the Al Kaloti Jewelers Factory Limited (“Al Kaloti”) in April 2015, from the Dubai Good Delivery list, Apple commissioned a third party consultant to conduct an independent investigation on potential links between Al Kaloti and refiners that have been reported in Apple’s supply chain. The objective of the investigation was to identify whether reported gold refiners may be associated with armed groups. The initial investigation was completed in September 2015, and further follow up is ongoing.

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-1


ANNEX II

Smelters And Refiners Reported In Apple’s Supply Chain As Of December 31, 2015.

Smelters or refiners that complete a Third Party Audit will be approved for Apple’s supply chain; otherwise, such smelters and refiners will be removed from Apple’s supply chain.

 

    

Subject
Metal

  

Facility Name of Smelter of Refiner

  

Country

location of

Smelter or

Refiner

1

   Gold    Aida Chemical Industries Co., Ltd.*    Japan

2

   Gold    Allgemeine Gold-und Silberscheideanstalt AG    Germany

3

   Gold    Almalyk Mining and Metallurgical Complex    Uzbekistan

4

   Gold    AngloGold Ashanti Córrego do Sítio Mineraçäo    Brazil

5

   Gold    Argor-Heraeus S.A.    Switzerland

6

   Gold    Asahi Pretec Corp.    Japan

7

   Gold    Asahi Refining Canada, Ltd.    Canada

8

   Gold    Asahi Refining USA, Inc.    United States

9

   Gold    Asaka Riken Co., Ltd.*    Japan

10

   Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Turkey

11

   Gold    Aurubis AG    Germany

12

   Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines

13

   Gold    Boliden AB    Sweden

14

   Gold    C. Hafner GmbH + Co. KG    Germany

15

   Gold    CCR Refinery – Glencore Canada Corp.    Canada

16

   Gold    Cendres + Métaux S.A.    Switzerland

17

   Gold    Chimet S.p.A.    Italy

18

   Gold    Daejin Indus Co., Ltd.    Republic of Korea

19

   Gold    Doduco GmbH    Germany

20

   Gold    Dowa    Japan

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-2


21

   Gold    DSC (Do Sung Corp.)    Republic of Korea

22

   Gold    ECO-System Recycling Co., Ltd.*    Japan

23

   Gold    Elemetal Refining, LLC    United States

24

   Gold    Faggi Enrico S.p.A.    Italy

25

   Gold    Great Wall Precious Metals Co., LTD. of CBPM    China

26

   Gold    Heimerle + Meule GmbH*    Germany

27

   Gold    Heraeus Ltd. Hong Kong    China

28

   Gold    Heraeus Precious Metals GmbH & Co. KG    Germany

29

   Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China

30

   Gold    Ishifuku Metal Industry Co., Ltd.    Japan

31

   Gold    Istanbul Gold Refinery    Turkey

32

   Gold    Japan Mint    Japan

33

   Gold    Jiangxi Copper Co., Ltd.    China

34

   Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Russia

35

   Gold    JSC UralElectromed    Russia

36

   Gold    JX Nippon Mining & Metals Co., Ltd.    Japan

37

   Gold    Kazzinc    Kazakhstan

38

   Gold    Kennecott Utah Copper, LLC    United States

39

   Gold    Kojima Chemicals Co., Ltd.    Japan

40

   Gold    Kyrgyzaltyn JSC    Kyrgyzstan

41

   Gold    L’ azurde Co. For Jewelry**    Saudi Arabia

42

   Gold    LS-NIKKO Copper, Inc.    Republic of Korea

43

   Gold    Materion    United States

44

   Gold    Matsuda Sangyo Co., Ltd.    Japan

45

   Gold    Metalor Technologies (Hong Kong), Ltd.    China

46

   Gold    Metalor Technologies (Singapore) Pte., Ltd.    Singapore

47

   Gold    Metalor Technologies (Suzhou) Ltd.    China

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-3


48

   Gold    Metalor Technologies S.A.    Switzerland

49

   Gold    Metalor USA Refining Corp.    United States

50

   Gold    Metalúrgica Met-Mex Peñoles S.A. de C.V.    Mexico

51

   Gold    Mitsubishi Materials Corp.    Japan

52

   Gold    Mitsui Mining and Smelting Co., Ltd.    Japan

53

   Gold    MMTC-PAMP India Pvt., Ltd.    India

54

   Gold    Moscow Special Alloys Processing Plant    Russia

55

   Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    Turkey

56

   Gold    Navoi Mining and Metallurgy Combinat    Uzbekistan

57

   Gold    Nihon Material Co., Ltd.    Japan

58

   Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    Austria

59

   Gold    Ohura Precious Metal Industry Co., Ltd.    Japan

60

   Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Russia

61

   Gold    OJSC Novosibirsk Refinery    Russia

62

   Gold    PAMP S.A.    Switzerland

63

   Gold    Prioksky Plant of Non-Ferrous Metals    Russia

64

   Gold    PT Aneka Tambang (Persero) Tbk    Indonesia

65

   Gold    PX Précinox S.A.    Switzerland

66

   Gold    Rand Refinery (Pty) Ltd.    South Africa

67

   Gold    Republic Metals Corp.    United States

68

   Gold    Royal Canadian Mint    Canada

69

   Gold    Samduck Precious Metals    Republic of Korea

70

   Gold    Schone Edelmetaal B.V.    Netherlands

71

   Gold    SEMPSA Joyería Platería S.A.    Spain

72

   Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China

73

   Gold    Sichuan Tianze Precious Metals Co., Ltd.    China

74

   Gold    Singway Technology Co., Ltd.    Taiwan

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-4


75

  

Gold

   SOE Shyolkovsky Factory of Secondary Precious Metals   

Russia

76

  

Gold

   Solar Applied Materials Technology Corp.   

Taiwan

77

  

Gold

   Sumitomo Metal Mining Co., Ltd.   

Japan

78

  

Gold

   T.C.A. S.p.A   

Italy

79

  

Gold

   Tanaka Kikinzoku Kogyo K.K.   

Japan

80

  

Gold

   The Refinery of Shandong Gold Mining Co., Ltd.   

China

81

  

Gold

   Tokuriki Honten Co., Ltd.   

Japan

82

  

Gold

   Torecom   

Republic of Korea

83

  

Gold

   Umicore Brasil Ltda.   

Brazil

84

  

Gold

   Umicore Precious Metals Thailand   

Thailand

85

  

Gold

   Umicore S.A. Business Unit Precious Metals Refining   

Belgium

86

  

Gold

   United Precious Metal Refining, Inc.*   

United States

87

  

Gold

   Valcambi S.A.   

Switzerland

88

  

Gold

   Western Australian Mint trading as The Perth Mint   

Australia

89

  

Gold

   Yamamoto Precious Metal Co., Ltd.*   

Japan

90

  

Gold

   Yokohama Metal Co., Ltd.**   

Japan

91

  

Gold

   Zhongyuan Gold Smelter of Zhongjin Gold Corp.   

China

92

  

Gold

   Zijin Mining Group Co., Ltd. Gold Refinery   

China

93

  

Tantalum

   Changsha South Tantalum Niobium Co., Ltd.   

China

94

  

Tantalum

   Conghua Tantalum and Niobium Smeltry   

China

95

  

Tantalum

   D Block Metals, LLC*   

United States

96

  

Tantalum

   Duoluoshan   

China

97

  

Tantalum

   Exotech, Inc.   

United States

98

  

Tantalum

   F&X Electro-Materials, Ltd.   

China

99

  

Tantalum

   FIR Metals & Resource Ltd.   

China

100

  

Tantalum

   Global Advanced Metals Aizu   

Japan

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-5


101

  

Tantalum

   Global Advanced Metals Boyertown   

United States

102

  

Tantalum

   Guangdong Zhiyuan New Material Co., Ltd.   

China

103

  

Tantalum

   H.C. Starck Co., Ltd.*   

Thailand

104

  

Tantalum

   H.C. Starck GmbH Goslar   

Germany

105

  

Tantalum

   H.C. Starck GmbH Laufenburg   

Germany

106

  

Tantalum

   H.C. Starck Hermsdorf GmbH   

Germany

107

  

Tantalum

   H.C. Starck Smelting GmbH & Co. KG   

Germany

108

  

Tantalum

   H.C. Starck, Inc.   

United States

109

  

Tantalum

   H.C. Starck, Ltd.   

Japan

110

  

Tantalum

   Hengyang King Xing Lifeng New Materials Co., Ltd.   

China

111

  

Tantalum

   Hi-Temp Specialty Metals, Inc.*   

United States

112

  

Tantalum

   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.   

China

113

  

Tantalum

   JiuJiang JinXin Nonferrous Metals Co., Ltd.   

China

114

  

Tantalum

   JiuJiang Tanbre Co., Ltd.   

China

115

  

Tantalum

   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.   

China

116

  

Tantalum

   Kemet Blue Metals   

Mexico

117

  

Tantalum

   KEMET Blue Powder   

United States

118

  

Tantalum

   King-Tan Tantalum Industry, Ltd.   

China

119

  

Tantalum

   LSM Brasil S.A.   

Brazil

120

  

Tantalum

   Metallurgical Products India Pvt., Ltd.   

India

121

  

Tantalum

   Mineração Taboca S.A.   

Brazil

122

  

Tantalum

   Mitsui Mining & Smelting*   

Japan

123

  

Tantalum

   Molycorp Silmet A.S.   

Estonia

124

  

Tantalum

   Ningxia Orient Tantalum Industry Co., Ltd.   

China

125

  

Tantalum

   Plansee SE Liezen   

Austria

126

  

Tantalum

   Plansee SE Reutte   

Austria

127

  

Tantalum

   QuantumClean*   

United States

128

  

Tantalum

   Resind Indústria e Comércio, Ltda.   

Brazil

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-6


129

  

Tantalum

   RFH Tantalum Smeltry Co., Ltd.   

China

130

  

Tantalum

   Solikamsk Magnesium Works OAO   

Russia

131

  

Tantalum

   Taki Chemicals   

Japan

132

  

Tantalum

   Telex Metals   

United States

133

  

Tantalum

   Tranzact, Inc.*   

United States

134

  

Tantalum

   Ulba Metallurgical Plant JSC   

Kazakhstan

135

  

Tantalum

   XinXing Haorong Electronic Material Co., Ltd.   

China

136

  

Tantalum

   Yichun Jin Yang Rare Metal Co., Ltd.   

China

137

  

Tantalum

   Zhuzhou Cement Carbide   

China

138

  

Tin

   Alpha   

United States

139

  

Tin

   An Vinh Joint Stock Mineral Processing Co.   

Vietnam

140

  

Tin

   China Tin Group Co., Ltd.   

China

141

  

Tin

   Cooperativa Metalurgica de Rondônia Ltda.   

Brazil

142

  

Tin

   CV Ayi Jaya   

Indonesia

143

  

Tin

   CV Gita Pesona   

Indonesia

144

  

Tin

   CV Serumpun Sebalai   

Indonesia

145

  

Tin

   CV United Smelting   

Indonesia

146

  

Tin

   CV Venus Inti Perkasa   

Indonesia

147

  

Tin

   Dowa   

Japan

148

  

Tin

   Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Co.   

Vietnam

149

  

Tin

   Elmet S.L.U. (Metallo Group)*   

Spain

150

  

Tin

   EM Vinto   

Bolivia

151

  

Tin

   Feinhütte Halsbrücke GmbH   

Germany

152

  

Tin

   Fenix Metals   

Poland

153

  

Tin

   Gejiu Kai Meng Industry and Trade LLC   

China

154

  

Tin

   Gejiu Non-Ferrous Metal Processing Co., Ltd.   

China

155

  

Tin

   Jiangxi Ketai Advanced Material Co., Ltd.   

China

156

  

Tin

   Magnu’s Minerais Metais e Ligas, Ltda.   

Brazil

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-7


157

  

Tin

   Malaysia Smelting Corp. (MSC)   

Malaysia

158

  

Tin

   Melt Metais e Ligas S.A.   

Brazil

159

  

Tin

   Metallic Resources, Inc.   

United States

160

  

Tin

   Metallo-Chimique N.V.   

Belgium

161

  

Tin

   Mineração Taboca S.A.   

Brazil

162

  

Tin

   Minsur   

Peru

163

  

Tin

   Mitsubishi Materials Corp.*   

Japan

164

  

Tin

   Nghe Tinh Non-Ferrous Metals Joint Stock Co.   

Vietnam

165

  

Tin

   O.M. Manufacturing (Thailand) Co., Ltd.*   

Thailand

166

  

Tin

   O.M. Manufacturing Philippines, Inc.*   

Philippines

167

  

Tin

   Operaciones Metalurgical S.A.   

Bolivia

168

  

Tin

   PT Aries Kencana Sejahtera   

Indonesia

169

  

Tin

   PT Artha Cipta Langgeng   

Indonesia

170

  

Tin

   PT ATD Makmur Mandiri Jaya   

Indonesia

171

  

Tin

   PT Babel Inti Perkasa   

Indonesia

172

  

Tin

   PT Bangka Prima Tin   

Indonesia

173

  

Tin

   PT Bangka Tin Industry   

Indonesia

174

  

Tin

   PT Belitung Industri Sejahtera   

Indonesia

175

  

Tin

   PT BilliTin Makmur Lestari   

Indonesia

176

  

Tin

   PT Bukit Timah   

Indonesia

177

  

Tin

   PT Cipta Persada Mulia   

Indonesia

178

  

Tin

   PT DS Jaya Abadi   

Indonesia

179

  

Tin

   PT Eunindo Usaha Mandiri   

Indonesia

180

  

Tin

   PT Inti Stania Prima   

Indonesia

181

  

Tin

   PT Justindo   

Indonesia

182

  

Tin

   PT Mitra Stania Prima   

Indonesia

183

  

Tin

   PT Panca Mega Persada   

Indonesia

184

  

Tin

   PT Prima Timah Utama   

Indonesia

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-8


185

  

Tin

  

PT Sariwiguna Binasentosa

  

Indonesia

186

  

Tin

   PT Stanindo Inti Perkasa   

Indonesia

187

  

Tin

   PT Sumber Jaya Indah   

Indonesia

188

  

Tin

   PT Timah (Persero) Tbk Kundur   

Indonesia

189

  

Tin

   PT Timah (Persero) Tbk Mentok   

Indonesia

190

  

Tin

   PT Tinindo Inter Nusa   

Indonesia

191

  

Tin

   PT Wahana Parkit Jaya   

Indonesia

192

  

Tin

   PT Refined Bangka Tin**   

Indonesia

193

  

Tin

   Resind Indústria e Comércio, Ltda.   

Brazil

194

  

Tin

   Rui Da Hung   

Taiwan

195

  

Tin

   Soft Metais, Ltda.   

Brazil

196

  

Tin

   Thaisarco   

Thailand

197

  

Tin

   Tuyen Quang Non-Ferrous Metals Joint Stock Co.   

Vietnam

198

  

Tin

   VQB Mineral and Trading Group JSC   

Vietnam

199

  

Tin

   White Solder Metalurgia e Mineração, Ltda.   

Brazil

200

  

Tin

   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.   

China

201

  

Tin

   Yunnan Tin Co., Ltd.**   

China

202

  

Tungsten

   A.L.M.T. Tungsten Corp.   

Japan

203

  

Tungsten

   Asia Tungsten Products Vietnam Ltd.   

Vietnam

204

  

Tungsten

   Chenzhou Diamond Tungsten Products Co., Ltd.   

China

205

  

Tungsten

   Chongyi Zhangyuan Tungsten Co., Ltd.   

China

206

  

Tungsten

   Dayu Weiliang Tungsten Co., Ltd.   

China

207

  

Tungsten

   Dayu Jincheng Tungsten Industry Co., Ltd.   

China

208

  

Tungsten

   FuJian JinXin Tungsten Co., Ltd.   

China

209

  

Tungsten

   Ganzhou Huaxing Tungsten Products Co., Ltd.   

China

210

  

Tungsten

   Ganzhou Jiangwu Ferrotungsten Co., Ltd.   

China

211

  

Tungsten

   Ganzhou Non-ferrous Metals Smelting Co., Ltd.   

China

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-9


212

  

Tungsten

   Ganzhou Seadragon W & Mo Co., Ltd.   

China

213

  

Tungsten

   Ganzhou Yatai Tungsten Co., Ltd.   

China

214

  

Tungsten

   Global Tungsten & Powders Corp.   

United States

215

  

Tungsten

   Guangdong Xianglu Tungsten Co., Ltd.   

China

216

  

Tungsten

   H.C. Starck GmbH   

Germany

217

  

Tungsten

   H.C. Starck Smelting GmbH & Co. KG*   

Germany

218

  

Tungsten

   Hunan Chenzhou Mining Co., Ltd.   

China

219

  

Tungsten

   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji   

China

220

  

Tungsten

   Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin   

China

221

  

Tungsten

   Hunan Chunchang Nonferrous Metals Co., Ltd.   

China

222

  

Tungsten

   Hydrometallurg, JSC   

Russia

223

  

Tungsten

   Japan New Metals Co., Ltd.   

Japan

224

  

Tungsten

   Jiangwu H.C. Starck Tungsten Products Co., Ltd.   

China

225

  

Tungsten

   Jiangxi Gan Bei Tungsten Co., Ltd.   

China

226

  

Tungsten

   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   

China

227

  

Tungsten

   Jiangxi Xinsheng Tungsten Industry Co., Ltd.   

China

228

  

Tungsten

   Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.   

China

229

  

Tungsten

   Jiangxi Yaosheng Tungsten Co., Ltd.   

China

230

  

Tungsten

   Kennametal Fallon   

United States

231

  

Tungsten

   Kennametal Huntsville   

United States

232

  

Tungsten

   Malipo Haiyu Tungsten Co., Ltd.   

China

233

  

Tungsten

   Niagara Refining LLC   

United States

234

  

Tungsten

   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   

Vietnam

235

  

Tungsten

   Pobedit, JSC*   

Russia

236

  

Tungsten

   Sanher Tungsten Vietnam Co., Ltd.   

Vietnam

237

  

Tungsten

   Tejing (Vietnam) Tungsten Co., Ltd.       

Vietnam

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-10


238

  

Tungsten

   Vietnam Youngsun Tungsten Industry Co., Ltd.   

Vietnam

239

  

Tungsten

   Wolfram Bergbau und Hütten AG   

Austria

240

  

Tungsten

   Xiamen Tungsten (H.C.) Co., Ltd.   

China

241

  

Tungsten

   Xiamen Tungsten Co., Ltd.   

China

242

  

Tungsten

   Xinhai Rendan Shaoguan Tungsten Co., Ltd.   

China

Smelters And Refiners Identified In Apple’s Supply Chain During 2015 But Subsequently Determined to Be Inoperative Or Removed Prior to December 31, 2015.

Some smelters or refiners that are no longer reported in Apple’s supply chain may currently be participating in a Third Party Audit.

 

    

Subject
Mineral

  

Facility Name of Smelter or Refiner

  

Country

location of

Smelter or

Refiner

1

  

Gold

   Advanced Chemical Co.    United States

2

  

Gold

   Caridad    Mexico

3

  

Gold

   Daye Non-Ferrous Metals Mining Ltd.    China

4

  

Gold

   Gansu Seemine Material High-Tech Co., Ltd.    China

5

  

Gold

   Guangdong Jinding Gold Ltd.    China

6

  

Gold

   Hangzhou Fuchunjiang Smelting Co., Ltd.    China

7

  

Gold

   Hunan Chenzhou Mining Group Co., Ltd.    China

8

  

Gold

   Hwasung CJ Co., Ltd.    Republic of Korea

9

  

Gold

   KGHM Polska Miedź Spółka Akcyjna    Poland

10

  

Gold

   Korea Metal Co., Ltd.    Republic of Korea

11

  

Gold

   Lingbao Gold Co., Ltd.    China

12

  

Gold

   Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China

13

  

Gold

   Luoyang Zijin Yinhui Metal Smelting Co., Ltd.    China

14

  

Gold

   Morris and Watson    New Zealand

15

  

Gold

   OJSC Kolyma Refinery        Russia

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-11


16

  

Gold

   Penglai Penggang Gold Industry Co., Ltd.    China

17

  

Gold

   Sabin Metal Corp.    United States

18

  

Gold

   Samwon Metals Corp.    Republic of Korea

19

  

Gold

   Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China

20

  

Gold

   Tongling Nonferrous Metals Group Holdings Co., Ltd.    China

21

  

Gold

   Wieland Edelmetalle GmbH    Germany

22

  

Gold

   Yantai Guoda Safina High-Advanced Refining Co. Ltd.    China

23

  

Gold

   Yunnan Copper Industry Co., Ltd.    China

24

  

Tin

   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China

25

  

Tin

   CNMC (Guangxi) PGMA Co., Ltd.    China

26

  

Tin

   Estanho de Rondônia S.A.    Brazil

27

  

Tin

   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China

28

  

Tin

   Gejiu Zi-Li    China

29

  

Tin

   Huichang Jinshunda Tin Co., Ltd.    China

30

  

Tin

   Linwu Xianggui Smelter Co.    China

31

  

Tin

   Nankang Nanshan Tin Manufactory Co., Ltd.    China

32

  

Tin

   PT Alam Lestari Kencana    Indonesia

33

  

Tin

   PT Bangka Kudai Tin    Indonesia

34

  

Tin

   PT Bangka Putra Karya    Indonesia

35

  

Tin

   PT Bangka Timah Utama Sejahtera    Indonesia

36

  

Tin

   PT Karimun Mining**    Indonesia

37

  

Tin

   PT Seirama Tin Investment    Indonesia

38

  

Tin

   PT Timah Nusantara    Indonesia

39

  

Tin

   PT Tirus Putra Mandiri    Indonesia

40

  

Tin

   PT Tommy Utama**    Indonesia

41

  

Tungsten

   Ganxian Shirui New Material Co., Ltd.    China

42

  

Tungsten

  

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

   China

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-12


*

The smelter/refiner is believed to process Subject Minerals solely from recycled or scrap sources. It is listed alongside smelters and refiners in this Annex to highlight its efforts to complete a Third Party Audit. Other smelters and refiners determined to be processing Subject Minerals solely from recycled or scrap sources, which have not undergone a Third Party Audit or which are not seeking to participate in a Third Party Audit, are not listed.

**

The smelter/refiner has changed its compliance or operational status since December 31, 2015.

Note: Smelter and refiner facility names originate from information provided by the LBMA and/or the CFSP.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-13


ANNEX III

 

Argentina

Australia

Austria

Azerbaijan

Belgium

Bolivia

Botswana

Brazil

Burkina Faso

Burundi*

Cambodia

Canada

Chile

China

Colombia

Côte D’Ivoire

Czech Republic

Democratic Republic of the Congo*

Djibouti

Dominican Republic

Ecuador

Egypt

Estonia

Ethiopia

Finland

France

Germany

Ghana

Guinea

Guyana

Hungary

India

Indonesia

Ireland

Israel

Japan

Kazakhstan

Kenya

Kyrgyz Republic

Laos

Liberia

Luxembourg

Madagascar

Malaysia

Mali

Mauritania

Mauritius

Mongolia

Mozambique

Myanmar

Namibia

Netherlands

Nigeria

Peru

Poland

Portugal

Republic of Korea

Russia

Rwanda*

Sierra Leone

Singapore

Slovakia

South Africa

Spain

Suriname

Sweden

Switzerland

Taiwan

Tanzania*

Thailand

United Kingdom

United States

Uzbekistan

Vietnam

Zambia*

Zimbabwe

 
* The DRC or Adjoining Countries

 

 

 

 

Apple Inc. | 2015 Conflict Minerals Report | A-14