Exhibit 1.01

 

NRG Energy, Inc. – Conflict Minerals Report for the Year Ended December 31, 2025

 

Introduction

 

This report for the year ended December 31, 2025, is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”). The term “conflict minerals” is defined as columbite-tantalite (coltan), cassiterite, gold, wolframite and their derivatives, which are limited to tantalum, tin and tungsten. For the purposes of this report, tin, tungsten, tantalum and gold will collectively be referred to as “3TGs”. The term “Covered Countries” for purposes of the Rule are the Democratic Republic of the Congo (the “DRC”) and the following adjoining countries: the Republic of the Congo, the Central African Republic, South Sudan, Rwanda, Uganda, Zambia, Burundi, Tanzania and Angola.

 

Company Overview

 

This report has been prepared by the management of NRG Energy, Inc. (herein referred to as “NRG,” the “Company,” “we,” “us,” or “our”) with the assistance of our third-party vendor, Assent Compliance (“Assent”). The information includes the activities of all majority-owned subsidiaries and consolidated joint ventures. It does not include the activities of minority-owned subsidiaries and variable interest entities that are not required to be consolidated.

 

NRG Energy, Inc., or NRG or the Company, serves electricity, natural gas, and smart-home technology solutions to approximately 8 million residential customers (comprised of 6 million retail energy and 2 million smart home), in addition to large commercial and industrial, data center, and wholesale customers. Across North America, NRG is redefining customers’ experience with energy under brand names such as NRG, Reliant, Direct Energy, Green Mountain Energy, and Vivint. NRG was incorporated as a Delaware corporation on May 29, 1992.

 

Description of Products

 

NRG does not directly manufacture any products. NRG contracts for the manufacture and assembly of its products through a competitive global supply process. The suppliers then source both raw materials and purchased parts. Eight suppliers of NRG were identified to be within the scope of the Rule.

 

There are multiple tiers between the 3TG mines and NRG’s direct suppliers. Therefore, we rely on the direct suppliers to provide information on the origin of the 3TGs contained in components and materials supplied to NRG — including sources of 3TGs that are supplied to them from lower tier suppliers.

 

 

 

 

NRG conducted an analysis of the materials used in the production of products manufactured on its behalf. NRG expects that 3TGs may be found in those products within the following component parts:

 

·Tantalum, used in capacitors;

 

·Tin, used in soldered components;

 

·Tungsten, used in coatings, alloys, heating elements and electrodes; and

 

·Gold, used in circuit boards, electrodes and electronic components.

 

Conflict Minerals Program

 

NRG has actively engaged with its customers and suppliers for several years with respect to the use of conflict minerals. NRG’s applicable supply contracts require suppliers to represent and ensure that they supply only 3TGs that are “conflict-free” as that term is defined in the Rule, unless otherwise agreed to by the parties. NRG also requires that its applicable suppliers agree that they will inform all of their own suppliers of this policy and undertake to ensure that such policy is complied with throughout the supply chain. NRG reserves the right, in such contracts, to audit its suppliers’ compliance at any time, and to terminate supply agreements if there is a material breach of the agreement.

 

In addition, in May 2016, NRG adopted its Human Rights & Social Responsibility Standards for Manufacturer (the “Manufacturing Standards”) with which all contracted manufacturers of the Company are required to comply, which can be found at https://investors.nrg.com/static-files/b383e0f6-a2bf-467d-b8e8-4052d4941884. The Manufacturing Standards address compliance with laws and regulations, and require manufacturers to abide by the applicable laws and regulations of the country in which they are doing business, including, but not limited to, laws related to labor practices, health and safety, environmental responsibility, and anti-corruption. NRG employs third-party auditors to periodically audit contract manufacturers against the Manufacturing Standards, and reports such results to the Audit Committee of the Board of Directors (the “Audit Committee”). We believe that the standards also set requirements based on industry best practices and international conventions, including those related to 3TGs.

 

Reasonable Country of Origin Inquiry

 

To determine whether necessary 3TGs in our products originated in the Covered Countries, we retained Assent, a third-party service provider, to assist us in reviewing our supply chain and identifying risks. We provided a list composed of suppliers associated with the in-scope products to Assent for upload to the Assent Compliance Manager.

 

 

 

 

To trace materials, and demonstrate transparency procured by the supply chain, NRG utilized the Conflict Minerals Reporting Template (“CMRT”) Version 6.5 or higher to conduct a survey of all in-scope suppliers.

 

During the supplier survey, the Company contacted suppliers via the Assent Compliance Manager, a software-as-a-service (SaaS) platform provided by Assent that enables its users to complete and track supplier communications and allows suppliers to upload completed CMRTs directly to the platform for validation, assessment and management. The Assent Compliance Manager also provides functionality that meets the OECD Guidance process expectations by evaluating the quality of each supplier response and assigning a health score based on the supplier’s declaration of process engagement. Additionally, the metrics provided in this report, as well as the step-by-step process for supplier engagement and upstream due diligence investigations, are managed through this platform.

 

Via the Assent Compliance Manager and Assent team, NRG then requested that all identified in-scope suppliers complete a CMRT. Training and education to guide suppliers on best practices and the use of this template was included. Assent monitored and tracked all communications in the Assent Compliance Manager for future reporting and transparency. NRG directly contacted suppliers that were unresponsive to Assent’s communications during the diligence process and requested these suppliers complete the CMRT and submit it to Assent.

 

Our program continues to include automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. This data validation is based on questions within the declaration tab of the CMRT, which helps identify areas that require further classification or risk assessment, as well as understand the due diligence efforts of Tier 1 suppliers. The results of this data validation contribute to the program’s health assessment and are shared with the suppliers to ensure they understand areas that require clarification or improvement.

 

All submitted forms are accepted and classified as valid or invalid based on a set criteria of validation errors. Suppliers are contacted regarding invalid forms and are encouraged to correct validated errors to resubmit a valid form. Suppliers are also provided with guidance on how to correct these validation errors in the form of feedback to their CMRT submission, training courses, and direct engagement help through Assent’s multilingual Supplier Experience team. Since some suppliers may remain unresponsive to feedback, NRG tracks program gaps to account for future improvement opportunities.

 

For the 2025 reporting year, NRG identified 8 suppliers that were within the scope of the Rule, all of which provided completed CMRTs. This resulted in a total response rate of 100%.

 

 

 

 

Due Diligence

 

Design of Due Diligence

 

NRG designed its due diligence measures to conform, in all material respects, with the framework in the OECD Guidance and the related supplements. The program aligns with the five steps for due diligence that are described by the OECD Guidance and the Company continues to evaluate market expectations for data collection and reporting to leverage continuous improvement opportunities.

 

Due diligence requires the Company’s necessary reliance on data provided by direct suppliers and third-party audit programs. There is a risk of incomplete or inaccurate data as the process cannot be fully owned by the Company. However, through active risk identification, and risk assessment, as well as continued outreach and process validation, risk gaps can be mitigated. This aligns with industry standards and market expectations for downstream companies’ due diligence.

 

Due Diligence Performed

 

1) Establish Strong Company Management Systems

 

Internal Compliance Team

 

NRG’s management system for conflict minerals covering reporting year 2025 was sponsored by our Chief Compliance Officer and was supported by appropriate members of the executive and management teams, and a team of subject matter experts from relevant functions such as Corporate Compliance, Supply Chain, and Legal. The team of subject matter experts was responsible for implementing our conflict minerals compliance strategy for reporting year 2025, and was led by the Chief Compliance Officer, who acted as the executive conflict minerals program manager. The Audit Committee and senior management have been and continue to be informed about the results of our due diligence efforts.

 

The Company has also engaged a third-party service provider, Assent, to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that the Company will undertake with suppliers and/or respective stakeholders in regard to conflict minerals.

 

The Company leverages Assent’s managed services in order to work with dedicated program specialists who support NRG’s conflict minerals program. The Company communicates regularly with the Assent team in order to receive updates on program status. Each member of Assent’s Customer Success team is trained in conflict minerals compliance and understands the intricacies of reporting templates such as CMRT and conflict mineral reports, as well as Section 1502 of the Dodd-Frank Act.

 

 

 

 

Control Systems

 

The Company expects all suppliers to have policies and procedures in place to ensure that 3TGs used in the production of the products sold to NRG are “conflict free or responsibly sourced.” This means that the products should not contain minerals (3TGs) sourced from areas associated with widespread human rights abuses or violations of law. The Company expects direct suppliers to provide information on the origin of the 3TGs contained in components and materials supplied, including sources of 3TGs that are supplied to them from lower-tier suppliers.

 

NRG’s Supplier Code of Conduct applies to all direct suppliers and outlines certain expected behaviours and practices. The Supplier Code of Conduct is available on NRG’s website1 and is provided to all direct suppliers. If a supplier does not meet the Company’s requirements, the relationship with this supplier will be evaluated.

 

Supplier Engagement

 

NRG has a strong relationship with Tier 1 direct suppliers. NRG has leveraged processes and educational opportunities in order to ensure non-English speaking suppliers have access to a free platform to upload their CMRTs, help desk support, and other multilingual resources. NRG’s suppliers are able to leverage Assent’s team of supplier support specialists to ensure they receive appropriate support and understand how to properly complete a CMRT. Suppliers are provided guidance in their native language, if needed.

 

The Company engages with suppliers directly to request a valid (free of validated errors) CMRT for the products that they supply to the Company. With respect to the OECD requirement to strengthen engagement with suppliers, we have developed an internal procedure that includes supplier risk identification process that then leads to further steps of supplier engagement in the form of escalations, such as in-person meetings and/or corrective actions. Feedback from this engagement process has allowed the Company to oversee improvements in supplier responses and supplier compliance for this initiative.

 

Additionally, NRG includes contractual provisions relating to compliance with conflict mineral laws in supplier contracts as a requirement of doing business with NRG. When entering into or renewing supplier contracts, a clause is added that requires suppliers to provide information about the source of 3TGs and smelters.

 

The Company continues to place a strong emphasis on supplier education and training. To accomplish this, Assent’s online resources are leveraged, and all in-scope suppliers have been provided with access to their library of conflict minerals training and support resources. Also, Assent’s automated feedback process that notifies suppliers of risks associated with their CMRT submission serves to educate suppliers of certain conflict minerals’ risks.

 

 

1 Available at https://www.nrg.com/assets/documents/suppliers/nrg_2025_supplier_code_of_conduct.pdf

 

 

 

 

We believe that the combination of the Supplier Code of Conduct, our conflict mineral-related contract language, and direct engagement with suppliers for conflict minerals training and support constitute a strong supplier engagement program.

 

Grievance Mechanisms

 

The Company established multiple longstanding grievance and reporting mechanisms whereby employees and suppliers can report violations of NRG’s policies, including conflict minerals. NRG has a Code of Conduct whereby employees and third parties can learn about NRG’s policies (the “NRG Code of Conduct”).  The NRG Code of Conduct, which is posted on NRG’s public website and its internal intranet site, contains multiple methods to report violations of NRG’s policies. In addition, the Supplier Code of Conduct contains similar information to the NRG Code of Conduct. The NRG Code of Conduct establishes the manner in which employees and others may report any matters they believe may violate the NRG Code of Conduct, and for the investigation and resolution of all such reports. They include the Ethics Alert line at nrg.alertline.com and the NRG Ethics Helpline at 888-263-0463, which permits individuals to provide confidential and anonymous reporting. The NRG Ethics Helpline (888-263-0463) and Ethics Alert line (nrg.alertline.com) are available 24 hours a day, seven days a week. They are administered by an outside company to ensure confidentiality and anonymity, if desired. Calls are not traced or recorded, and NRG does not keep any identifiable information regarding the sender of an online communication.

 

NRG’s Code of Conduct is accessible on the Company’s website at https://investors.nrg.com/static-files/3911d684-818a-46f7-af82-23702c264ecc.

 

Violations or grievances at the industry level can be reported to the Responsible Minerals Initiative (“RMI”) directly as well. This can be done at http://www.responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievance-mechanism/

 

Maintain Records

 

The Company has adopted a policy to retain relevant documentation for a period of five years. Through Assent, a document retention policy to retain conflict minerals related documents, including supplier responses to CMRTs and the sources identified within each reporting period, has been implemented. The Company stores all the information and findings from this process in a database that can be audited by internal or external parties.

 

 

 

 

2) Identifying & Assessing Risk in the Supply Chain

 

Supplier Risk Evaluation

 

Risks associated with Tier 1 suppliers’ due diligence processes were assessed by their declaration responses on a CMRT, which the Assent Compliance Manager identifies automatically based on established criteria. These risks are addressed by Assent staff and members of the Company’s internal conflict minerals team, who engage with suppliers to gather pertinent data and ask for corrective actions if needed, performing an overall assessment of the supplier’s conformity status, which is referred to as “conflict minerals status.”

 

Risks at the supplier level may include non-responsive suppliers or incomplete CMRTs. In cases where a company-level CMRT (such as when a company declares there are no 3TGs in any of its products) is submitted, NRG is unable to determine if all of the specified smelters/refiners were used for 3TGs in the products supplied to the Company.

 

Assent’s supplier risk assessment (flagging suppliers’ risk as high, medium, low) identifies problematic suppliers in a company’s supply chain. The risk assessment is derived from the smelter validation process, which establishes risk at the smelter level via an analysis that takes into account multiple conflict minerals factors.

 

Smelter/Refiners Risk Evaluation

 

Other supply chain risks were identified by assessing the due diligence practices and audit status of smelters/refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. Assent’s smelter validation program compared listed facilities to the list of smelters/refiners consolidated by the RMI to ensure that the facilities met the recognized definition of a 3TGs processing facility that was operational during the 2025 calendar year.

 

Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (RMAP). NRG does not have a direct relationship with smelters/refiners and does not perform direct audits of these entities within their pre-supply chain. Smelters/refiners that are conformant to RMAP audit standards are considered to have their sourcing validated as “conflict free or responsibly sourced.” In cases where the smelter/refiner’s due diligence practices have not been audited against the RMAP standard or are considered non-conformant by RMAP, further due diligence steps are followed to notify suppliers reporting these facilities. Smelters/refiners are actively monitored to proactively identify other risks pertaining to conflict minerals.

 

 

 

 

Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assessed according to red-flag indicators defined in the OECD Guidance. Assent uses numerous factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags. These factors include:

 

·Geographic proximity to conflict-affected and high-risk areas.

 

·Known mineral source country of origin.

 

·RMAP audit status.

 

·Credible evidence of unethical or conflict sourcing.

 

·Peer assessments conducted by credible third-party sources.

 

·Sanctions risks.

 

Risk mitigation activities are initiated whenever a supplier’s CMRT reports facilities of concern. Through Assent, suppliers with submissions that included any smelters of concern were immediately provided with feedback instructing suppliers to take their own independent risk mitigation actions. Examples include the submission of a product-specific CMRT to better identify the connection to products that they supply to NRG.

 

As per the OECD Guidance, risk mitigation will depend on the supplier’s specific circumstances and context. Suppliers are given clear performance objectives within reasonable timeframes with the goal of progressive elimination of these smelters of concern from the supply chain.

 

In addition, suppliers are guided to Assent’s educational materials on mitigating the risks identified through the data collection process.

 

Suppliers are also evaluated on program strength, which assists the Company in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the program is based on certain questions in the CMRT related to the suppliers’ conflict minerals practices and policies.

 

3) Design & Implement A Strategy to Respond to Risks

 

Together with Assent, NRG developed processes to assess and respond to the risks identified in the supply chain. NRG has created a risk management plan, through which the conflict minerals program is implemented, managed, and monitored. As the program progresses, escalations are sent to non-responsive suppliers to outline the importance of a response via CMRTs and to outline the required cooperation for compliance to the conflict minerals rules and the Company’s expectations. The status of any updates to this risk management plan are provided regularly to the Audit Committee and to senior management.

 

As part of our risk management plan, to ensure our applicable suppliers understand our expectations, we have communicated directly with these suppliers (orally and in writing), and included relevant information in our contracts with these suppliers, including the Manufacturing Standards and the NRG Code of Conduct.

 

As described above, NRG reserves the right to terminate supplier agreements where we have reason to believe they are supplying us with 3TGs from sources that may support conflict in the Covered Countries. Should a supplier report information on a CMRT that would lead us to believe that their sourcing of 3TGs would support such conflict, we would engage in risk mitigation activities with such supplier.

 

 

 

 

We believe that the inquiries and investigations described above represent a reasonable effort to determine the mines or locations of origin of the 3TGs in NRG’s products, including (1) seeking information about 3TG smelters and refiners in NRG’s supply chain through requesting that suppliers complete the CMRT, (2) verifying those smelters and refiners with expanding the RMI lists, (3) conducting the due diligence review, and (4) obtaining additional documentation and verification, as applicable.

 

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

 

NRG does not have a direct relationship with any 3TG smelters/refiners and does not perform or direct audits of these entities within the supply chain. Instead, we rely on the RMAP to oversee and coordinate third-party audits of these facilities, which include audits conducted by the RMI. The RMAP audit protocols and procedures were designed by the RMI who engage specially trained third-party auditors to independently verify that these smelters and refiners can be deemed conflict-free. We utilize the information provided by the RMI to validate the sourcing practices of processing facilities in NRG’s supply chain.

 

Assent directly engages smelters/refiners that are not currently enrolled in an industry recognized audit/assessment program to encourage their participation and for those smelters/refiners already conformant to the corresponding program’s standards, Assent thanks them for their efforts on behalf of its compliance partners. NRG is a signatory of these communications in accordance with the requirements of downstream companies detailed in the OECD Guidance.

 

5) Report Annually on Supply Chain Due Diligence

 

NRG has published the Form SD for the year ended December 31, 2025. This report is available on the Investor Relations section of the Company’s website. Information found on or accessed through this website is not considered part of this report and is not incorporated by reference herein. NRG has also publicly filed a Form SD and this report with the SEC.

 

This year the Company has also considered impacts from the EU Conflict Minerals Regulation when disclosing details with regards to due diligence efforts. The Company will continue to expand efforts both for transparency through the data collection process and risk evaluation, as well as the disclosure of efforts through the form of public report.

 

Due Diligence Results

 

Supply Chain Outreach Results

 

Supply chain outreach is required to identify the upstream sources of origin of tin, tantalum, tungsten, and gold. Following the industry standard process, CMRTs are sent to and requested from Tier 1 suppliers, who are expected to follow this process until the smelter/refiner sources are identified. All of our 8 in-scope suppliers responded to our outreach.

 

 

 

 

Upstream Data Transparency

 

Appendix A includes all smelters/refiners that suppliers listed in completed CMRTs that met the recognized definition of a 3TGs processing facility and were operational during the 2025 calendar year. As is a common practice when requests are sent upstream in the supply chain, those who purchase materials from smelters may not be able to discern exactly which company’s product lines the materials may end up in. As a result, those providing the smelters/refiners have the practice to list all smelters/refiners they may purchase from within the reporting period. Therefore, the smelters/refiners (as sources) listed in Appendix A are likely to be more comprehensive than the list of smelters/refiners which actually processed the 3TGs contained in the Company’s products.

 

Although the potential for over-reporting is understood, NRG has taken measures to validate all smelter/refiner data against validated audit programs and databases intended to verify the material types and mine sources of origin.

 

Suppliers that identified these specific smelters of concern on their CMRT were contacted in accordance with the OECD Guidance, as stipulated in the previous sections.

 

Status  Number of identified smelters/refiners 
RMAP Conformant  203 
RMAP Active  4 
Not Enrolled  0 
Non-Conformant  12 

 

Countries of Origin

 

Appendix B presents an aggregated list of countries from which the reported facilities collectively source 3TGs based on a reasonable identification of country of origin data obtained via Assent’s supply chain database (or other RCOI sources, should NRG choose to utilize alternative data). As previously noted, over-reporting may occur, resulting in Appendix B including more countries than those strictly relevant to the products of NRG.

 

 

 

 

Steps to Be Taken to Mitigate Risk

 

For the 2026 reporting year, NRG has taken, or intends to take, the following steps to improve the due diligence conducted to further mitigate any risk that the necessary 3TGs in the Company’s products could originate from conflict-affected and high-risk areas:

 

·Continue to evaluate upstream sources through a broader set of tools to evaluate risk.  These include, but are not limited to:

 

·Using a comprehensive smelter and refiner library with detailed status and notes for each entity.

 

·Scanning for verifiable media sources on each smelter and refiner to flag risk issues.

 

·Comparing the list of smelters/refiners against government watch and denied parties lists.

 

·Engage with suppliers more closely, and provide more information and training resources regarding responsible sourcing of 3TGs.

 

·Encourage suppliers to have due diligence procedures in place for their supply chains to improve the content of the responses from such suppliers.

 

·Continue to include a conflict minerals flow-down clause in new or renewed supplier contracts, as well as included in the terms and conditions of each purchase order issued.

 

·Following the OECD Guidance process, increase the emphasis on clean and validated smelter and refiner information from the supply chain through feedback and detailed smelter analysis.

 

 

 

 

Appendix A: Smelter List for NRG Energy, Inc.

 

Metal Smelter Name Smelter Facility Location Smelter ID RMAP Audit Status
Tungsten A.L.M.T. Corp. Japan CID000004 Conformant
Gold Advanced Chemical Company United States Of America CID000015 Conformant
Gold Aida Chemical Industries Co., Ltd. Japan CID000019 Conformant
Gold Agosi AG Germany CID000035 Conformant
Gold Almalyk Mining and Metallurgical Complex (AMMC) Uzbekistan CID000041 Conformant
Gold AngloGold Ashanti Corrego do Sitio Mineracao Brazil CID000058 Conformant
Gold Argor-Heraeus S.A. Switzerland CID000077 Conformant
Gold Asahi Pretec Corp. Japan CID000082 Conformant
Gold Asaka Riken Co., Ltd. Japan CID000090 Conformant
Tungsten Kennametal Huntsville United States Of America CID000105 Conformant
Gold Aurubis AG Germany CID000113 Conformant
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines) Philippines CID000128 Conformant
Gold Boliden Ronnskar Sweden CID000157 Conformant
Gold C. Hafner GmbH + Co. KG Germany CID000176 Conformant
Gold CCR Refinery - Glencore Canada Corporation Canada CID000185 Conformant
Tungsten Guangdong Xianglu Tungsten Co., Ltd. China CID000218 Conformant

 

 

 

 

Tin Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. China CID000228 Conformant
Gold Chimet S.p.A. Italy CID000233 Conformant
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. China CID000258 Conformant
Gold Chugai Mining Japan CID000264 Conformant
Tantalum Guangdong Rising Rare Metals-EO Materials Ltd. China CID000291 Conformant
Tin Alpha Assembly Solutions Inc United States Of America CID000292 Conformant
Tin PT Premium Tin Indonesia Indonesia CID000313 Conformant
Gold DSC (Do Sung Corporation) Korea, Republic Of CID000359 Conformant
Gold Dowa Japan CID000401 Conformant
Tin Dowa Japan CID000402 Conformant
Gold Eco-System Recycling Co., Ltd. East Plant Japan CID000425 Conformant
Tin EM Vinto Bolivia (Plurinational State Of) CID000438 Conformant
Tin Estanho de Rondonia S.A. Brazil CID000448 Conformant
Tantalum F&X Electro-Materials Ltd. China CID000460 Conformant
Tin Fenix Metals Poland CID000468 Conformant
Tin Gejiu Non-Ferrous Metal Processing Co., Ltd. China CID000538 Conformant
Tungsten Global Tungsten & Powders LLC United States Of America CID000568 Conformant
Tantalum XIMEI RESOURCES (GUANGDONG) LIMITED China CID000616 Conformant
Gold LT Metal Ltd. Korea, Republic Of CID000689 Conformant
Gold Heimerle + Meule GmbH Germany CID000694 Conformant

 

 

 

 

Gold Heraeus Metals Hong Kong Ltd. China CID000707 Conformant
Gold Heraeus Germany GmbH Co. KG Germany CID000711 Conformant
Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. China CID000801 Conformant
Gold Ishifuku Metal Industry Co., Ltd. Japan CID000807 Conformant
Gold Istanbul Gold Refinery Turkey CID000814 Conformant
Gold Japan Mint Japan CID000823 Conformant
Tungsten Japan New Metals Co., Ltd. Japan CID000825 Conformant
Gold Jiangxi Copper Co., Ltd. China CID000855 Conformant
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. China CID000914 Conformant
Tantalum Jiujiang Tanbre Co., Ltd. China CID000917 Conformant
Gold Asahi Refining USA Inc. United States Of America CID000920 Conformant
Gold Asahi Refining Canada Ltd. Canada CID000924 Conformant
Gold JX Nippon Mining & Metals Co., Ltd. Japan CID000937 Conformant
Gold Kazzinc Kazakhstan CID000957 Conformant
Tungsten Kennametal Fallon United States Of America CID000966 Conformant
Gold Kennecott Utah Copper LLC United States Of America CID000969 Conformant
Gold Kojima Chemicals Co., Ltd. Japan CID000981 Conformant
Tin China Tin Group Co., Ltd. China CID001070 Conformant
Tantalum AMG Brasil Brazil CID001076 Conformant
Gold LS MnM Inc. Korea, Republic Of CID001078 Conformant
Gold Materion United States Of America CID001113 Conformant

 

 

 

 

Gold Matsuda Sangyo Co., Ltd. Japan CID001119 Conformant
Tin Metallic Resources, Inc. United States Of America CID001142 Conformant
Gold Metalor Technologies (Suzhou) Ltd. China CID001147 Conformant
Gold Metalor Technologies (Hong Kong) Ltd. China CID001149 Conformant
Gold Metalor Technologies (Singapore) Pte., Ltd. Singapore CID001152 Conformant
Gold Metalor Technologies S.A. Switzerland CID001153 Conformant
Gold Metalor USA Refining Corporation United States Of America CID001157 Conformant
Gold Metalurgica Met-Mex Penoles S.A. De C.V. Mexico CID001161 Conformant
Tantalum Metallurgical Products India Pvt., Ltd. India CID001163 Conformant
Tin Mineracao Taboca S.A. Brazil CID001173 Conformant
Tantalum Mineracao Taboca S.A. Brazil CID001175 Conformant
Tin Minsur Peru CID001182 Conformant
Gold Mitsubishi Materials Corporation Japan CID001188 Conformant
Tin Mitsubishi Materials Corporation Japan CID001191 Conformant
Tantalum Mitsui Mining and Smelting Co., Ltd. Japan CID001192 Conformant
Gold Mitsui Mining and Smelting Co., Ltd. Japan CID001193 Conformant
Tantalum NPM Silmet AS Estonia CID001200 Conformant

 

 

 

 

Gold Nadir Metal Rafineri San. Ve Tic. A.S. Turkey CID001220 Conformant
Gold Navoi Mining and Metallurgical Combinat Uzbekistan CID001236 Conformant
Gold Nihon Material Co., Ltd. Japan CID001259 Conformant
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. China CID001277 Conformant
Tin O.M. Manufacturing (Thailand) Co., Ltd. Thailand CID001314 Conformant
Gold Ohura Precious Metal Industry Co., Ltd. Japan CID001325 Conformant
Tin Operaciones Metalurgicas S.A. Bolivia (Plurinational State Of) CID001337 Conformant
Gold MKS PAMP SA Switzerland CID001352 Conformant
Gold PT Aneka Tambang (Persero) Tbk Indonesia CID001397 Conformant
Tin PT Mitra Stania Prima Indonesia CID001453 Conformant
Tin PT Prima Timah Utama Indonesia CID001458 Conformant
Tin PT Timah Tbk Kundur Indonesia CID001477 Conformant
Tin PT Timah Tbk Mentok Indonesia CID001482 Conformant
Gold PX Precinox S.A. Switzerland CID001498 Conformant
Gold Rand Refinery (Pty) Ltd. South Africa CID001512 Conformant
Tantalum Yanling Jincheng Tantalum & Niobium Co., Ltd. China CID001522 Conformant
Gold Royal Canadian Mint Canada CID001534 Conformant

 

 

 

 

Tin Rui Da Hung Taiwan, Province Of China CID001539 Conformant
Gold SEMPSA Joyeria Plateria S.A. Spain CID001585 Conformant
Gold Sichuan Tianze Precious Metals Co., Ltd. China CID001736 Conformant
Gold Solar Applied Materials Technology Corp. Taiwan, Province Of China CID001761 Conformant
Gold Sumitomo Metal Mining Co., Ltd. Japan CID001798 Conformant
Tantalum Taki Chemical Co., Ltd. Japan CID001869 Conformant
Gold Tanaka Kikinzoku Kogyo K.K. Japan CID001875 Conformant
Tantalum Telex Metals United States Of America CID001891 Conformant
Tin Thaisarco Thailand CID001898 Conformant
Gold Tokuriki Honten Co., Ltd. Japan CID001938 Conformant
Tantalum Ulba Metallurgical Plant JSC Kazakhstan CID001969 Conformant
Gold Umicore S.A. Business Unit Precious Metals Refining Belgium CID001980 Conformant
Gold United Precious Metal Refining, Inc. United States Of America CID001993 Conformant
Gold Valcambi S.A. Switzerland CID002003 Conformant
Gold Western Australian Mint (T/a The Perth Mint) Australia CID002030 Conformant
Tin White Solder Metalurgia e Mineracao Ltda. Brazil CID002036 Conformant
Tungsten Wolfram Bergbau und Hutten AG Austria CID002044 Conformant

 

 

 

 

Tungsten Xiamen Tungsten Co., Ltd. China CID002082 Conformant
Gold Yamakin Co., Ltd. Japan CID002100 Conformant
Gold Yokohama Metal Co., Ltd. Japan CID002129 Conformant
Tin Tin Smelting Branch of Yunnan Tin Co., Ltd. China CID002180 Conformant
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation China CID002224 Conformant
Gold SAFINA A.S. Czechia CID002290 Conformant
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. China CID002315 Active
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd. China CID002316 Conformant
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. China CID002317 Conformant
Tungsten Malipo Haiyu Tungsten Co., Ltd. China CID002319 Conformant
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. China CID002320 Conformant
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. China CID002321 Conformant
Tin Magnu's Minerais Metais e Ligas Ltda. Brazil CID002468 Conformant
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. China CID002492 Conformant

 

 

 

 

Tungsten Ganzhou Seadragon W & Mo Co., Ltd. China CID002494 Conformant
Tungsten Asia Tungsten Products Vietnam Ltd. Viet Nam CID002502 Conformant
Tin PT ATD Makmur Mandiri Jaya Indonesia CID002503 Conformant
Tantalum D Block Metals, LLC United States Of America CID002504 Conformant
Tantalum FIR Metals & Resource Ltd. China CID002505 Conformant
Tantalum Jiujiang Zhongao Tantalum & Niobium Co., Ltd. China CID002506 Conformant
Gold MMTC-PAMP India Pvt., Ltd. India CID002509 Conformant
Gold KGHM Polska Miedz Spolka Akcyjna Poland CID002511 Conformant
Tantalum Jiangxi Dinghai Tantalum & Niobium Co., Ltd. China CID002512 Conformant
Tin O.M. Manufacturing Philippines, Inc. Philippines CID002517 Conformant
Tantalum KEMET de Mexico Mexico CID002539 Conformant
Tungsten H.C. Starck Tungsten GmbH Germany CID002541 Conformant
Tungsten TANIOBIS Smelting GmbH & Co. KG Germany CID002542 Conformant
Tungsten Masan High-Tech Materials Viet Nam CID002543 Conformant
Tantalum TANIOBIS Co., Ltd. Thailand CID002544 Conformant
Tantalum TANIOBIS GmbH Germany CID002545 Conformant
Tantalum Materion Newton Inc. United States Of America CID002548 Conformant

 

 

 

 

Tantalum TANIOBIS Japan Co., Ltd. Japan CID002549 Conformant
Tantalum TANIOBIS Smelting GmbH & Co. KG Germany CID002550 Conformant
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. China CID002551 Conformant
Tantalum Global Advanced Metals Boyertown United States Of America CID002557 Conformant
Tantalum Global Advanced Metals Aizu Japan CID002558 Conformant
Gold T.C.A S.p.A Italy CID002580 Conformant
Gold REMONDIS PMR B.V. Netherlands CID002582 Conformant
Tungsten Niagara Refining LLC United States Of America CID002589 Conformant
Tin PT Rajehan Ariq Indonesia CID002593 Conformant
Gold Korea Zinc Co., Ltd. Korea, Republic Of CID002605 Conformant
Gold TOO Tau-Ken-Altyn Kazakhstan CID002615 Conformant
Tungsten China Molybdenum Tungsten Co., Ltd. China CID002641 Conformant
Tin PT Cipta Persada Mulia Indonesia CID002696 Conformant
Tin Resind Industria e Comercio Ltda. Brazil CID002706 Conformant
Tantalum Resind Industria e Comercio Ltda. Brazil CID002707 Conformant
Gold Abington Reldan Metals, LLC United States Of America CID002708 Conformant
Tin Super Ligas Brazil CID002756 Conformant
Gold Italpreziosi Italy CID002765 Conformant
Tin Aurubis Beerse Belgium CID002773 Conformant
Tin Aurubis Berango Spain CID002774 Conformant

 

 

 

 

Tin PT Bangka Prima Tin Indonesia CID002776 Conformant
Gold WIELAND Edelmetalle GmbH Germany CID002778 Conformant
Tantalum Jiangxi Tuohong New Raw Material China CID002842 Conformant
Gold SungEel HiMetal Co., Ltd. Korea, Republic Of CID002918 Conformant
Gold Planta Recuperadora de Metales SpA Chile CID002919 Conformant
Tin Guangdong Hanhe Non-Ferrous Metal Co., Ltd. China CID003116 Conformant
Gold NH Recytech Company Korea, Republic Of CID003189 Conformant
Tin Chifeng Dajingzi Tin Industry Co., Ltd. China CID003190 Conformant
Tin Tin Technology & Refining United States Of America CID003325 Conformant
Tin Luna Smelter, Ltd. Rwanda CID003387 Conformant
Tin Yunnan Yunfan Non-ferrous Metals Co., Ltd. China CID003397 Conformant
Tungsten Lianyou Metals Co., Ltd. Taiwan, Province Of China CID003407 Conformant
Tungsten Hubei Green Tungsten Co., Ltd. China CID003417 Conformant
Gold Eco-System Recycling Co., Ltd. North Plant Japan CID003424 Conformant
Gold Eco-System Recycling Co., Ltd. West Plant Japan CID003425 Conformant
Tin PT Mitra Sukses Globalindo Indonesia CID003449 Conformant
Tungsten Cronimet Brasil Ltda Brazil CID003468 Conformant
Tin CRM Synergies Spain CID003524 Conformant

 

 

 

 

Gold Metal Concentrators SA (Pty) Ltd. South Africa CID003575 Conformant
Gold Gold by Gold Colombia Colombia CID003641 Conformant
Tin PT Putera Sarana Shakti (PT PSS) Indonesia CID003868 Conformant
Tungsten Tungsten Vietnam Joint Stock Company Viet Nam CID003993 Conformant
Gold Coimpa Industrial LTDA Brazil CID004010 Conformant
Tantalum PowerX Ltd. Rwanda CID004054 Conformant
Tin Mining Minerals Resources SARL Congo, Democratic Republic Of The CID004065 Conformant
Tungsten Lianyou Resources Co., Ltd. Taiwan, Province Of China CID004397 Conformant
Tin Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. Japan CID004403 Conformant
Tungsten Shinwon Tungsten (Fujian Shanghang) Co., Ltd. China CID004430 Conformant
Tin Malaysia Smelting Corporation Berhad (Port Klang) Malaysia CID004434 Conformant
Gold GG Refinery Ltd. Tanzania, United Republic Of CID004506 Conformant
Tungsten KENEE MINING VIETNAM COMPANY LIMITED Viet Nam CID004619 Conformant
Tin Woodcross Smelting Company Limited Uganda CID004724 Conformant

 

 

 

 

Gold Elite Industech Co., Ltd. Taiwan, Province Of China CID004755 Conformant
Gold Shandong Zhaojin Gold & Silver Refinery Co., Ltd. China CID001622 Conformant
Gold Shandong Gold Smelting Co., Ltd. China CID001916 Conformant
Gold Gold Refinery of Zijin Mining Group Co., Ltd. China CID002243 Conformant
Tantalum XinXing HaoRong Electronic Material Co., Ltd. China CID002508 Conformant
Tin CV Ayi Jaya Indonesia CID002570 Conformant
Gold Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH Austria CID002779 Conformant
Gold Bangalore Refinery India CID002863 Conformant
Tungsten Fujian Xinlu Tungsten Co., Ltd. China CID003609 Non Conformant
Tin Dongguan Best Alloys Co., Ltd. China CID000377 Conformant
Tin Jiangxi New Nanshan Technology Ltd. China CID001231 Active
Gold Torecom Korea, Republic Of CID001955 Non Conformant
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd. China CID002158 Non Conformant
Tin Melt Metais e Ligas S.A. Brazil CID002500 Non Conformant

 

 

 

 

Tungsten Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch China CID002513 Non Conformant
Gold L'Orfebre S.A. Andorra CID002762 Non Conformant
Tin Precious Minerals and Smelting Limited India CID003409 Non Conformant
Tin CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda Brazil CID003486 Active
Tin Fabrica Auricchio Industria e Comercio Ltda. Brazil CID003582 Conformant
Gold WEEEREFINING France CID003615 Non Conformant
Tungsten Philippine Carreytech Metal Corp. Philippines CID004438 Non Conformant
Gold TITAN COMPANY LIMITED, JEWELLERY DIVISION India CID004491 Non Conformant
Gold Impala Platinum - Platinum Metals Refinery (PMR) South Africa CID004714 Conformant
Tin Global Advanced Metals Greenbushes Pty Ltd. Australia CID004754 Conformant
Tantalum Jiangxi Sanshi Nonferrous Metals Co., Ltd China CID004813 Active
Gold Minera Titán del Perú SRL (MTP) - Belen Plant Peru CID005014 Non Conformant
Tin P Kay Metal, Inc United States Of America CID005189 Conformant
Tin PT Masbro Alam Stania Indonesia CID003380 Non Conformant

 

 

 

 

Appendix B: Countries of Origin for NRG Energy, Inc.

 

China Belgium Egypt Uzbekistan United Arab Emirates
Brazil United Kingdom Madagascar Belarus Bulgaria
Australia Ecuador Rwanda Papua New Guinea Uganda
Japan Hungary Mozambique Italy Kyrgyzstan
Canada Kazakhstan Netherlands Djibouti Georgia
Peru Russian Federation Panama Sweden Dominican Republic
Indonesia Luxembourg Burundi Poland Kenya
United States Cambodia Congo El Salvador Liberia
Germany Myanmar Slovakia Mali Mauritania
Malaysia Ireland South Africa Burkina Faso New Zealand
Chile France Bolivia (Plurinational State of) Eritrea Tajikistan
India Singapore Suriname Saudi Arabia Senegal
Austria Switzerland Philippines Guatemala Uruguay
Argentina Ethiopia Andorra Finland Albania
Korea Namibia Tanzania Benin Oman
Mongolia Mexico Guinea Azerbaijan Fiji
Colombia Israel Zambia Nicaragua Cyprus
Spain Estonia Sudan Honduras Botswana
Nigeria Taiwan Angola Morocco Bermuda
Portugal Democratic Republic of Congo Zimbabwe Dominica Lithuania
Niger Viet Nam Ghana Jersey Serbia
Thailand Hong Kong South Sudan Liechtenstein Central African Republic
Guyana Sierra Leone Turkey Armenia