UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
ROCKET LAB USA, INC.
(Exact Name of Registrant as Specified in its Charter)
| Delaware | 001-39560 | 98-1550340 | ||||||
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||||||
| 3881 McGowen Street | ||||||||
| Long Beach, California | 90808 | |||||||
| (Address of Principal Executive Offices) | (Zip Code) | |||||||
| Arjun Kampani | (714) 465-5737 | |||||||
| (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, 2024.
☐ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended ____.
Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Rocket Lab USA, Inc. (including its consolidated subsidiaries, the “Company”) is filing this Form SD pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 for the reporting period from January 1, 2024 to December 31, 2024 (the “Reporting Period”).
For the Reporting Period, the Company conducted, in good faith, a reasonable country of origin inquiry (“RCOI”) regarding the conflict minerals (as defined in Item 1.01(d)(3) of Form SD), that are necessary to the functionality or production of products that the Company manufactures or contracts to manufacture (the “Minerals”). The inquiry was reasonably designed to determine if the Minerals originated in the Democratic Republic of the Congo or an adjoining country (the “Covered Countries”) or are from recycled or scrap sources.
Conflict Minerals Disclosure
Based on the results of our RCOI, we have reason to believe that certain Minerals contained in our products for the Reporting Period may have originated in the Covered Countries and may not have been from recycled or scrap sources. We therefore conducted due diligence on the source and chain of custody of these Minerals and prepared a Conflict Minerals Report. A copy of the Company’s Conflict Minerals Report for the Reporting Period is publicly available at https://investors.rocketlabusa.com.
Item 1.02 Exhibit
The Company’s Conflict Minerals Report for the Reporting Period is filed as Exhibit 1.01 hereto.
Section 2 - Resource Extraction Issuer Disclosure
Item 2.01 Resource Extraction Issuer Disclosure and Report
Not Applicable.
Section 3 - Exhibits
Item 3.01 Exhibits
List below the following exhibit filed as part of this report.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| ROCKET LAB USA, INC. | |||||||||||
| Date: | May 20, 2025 | By: | /s/ Arjun Kampani | ||||||||
| Arjun Kampani Senior Vice President, General Counsel and Corporate Secretary | |||||||||||
Exhibit 1.01
Rocket Lab USA Conflict Minerals Report for the Year Ended December 31, 2024
Introduction
Rocket Lab USA, Inc., on behalf of itself and its subsidiaries, is a Delaware corporation with its headquarters located at 3881 McGowen St, Long Beach, CA, US, 90808-1702 (also referred to as “Rocket Lab,” “the Company,” “we,” “our,” and “us”) is an end-to-end space company delivering reliable launch services, spacecraft, satellite components, and on-orbit management.
This Conflict Minerals Report (“CMR”) for the year ended December 31, 2024, is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule imposes certain reporting obligations on U.S. Securities and Exchange Commission (“SEC”) issuers whose manufactured products contain certain minerals which are necessary to the functionality or production of their products. These minerals are cassiterite, columbite- tantalite (coltan), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten (“3TG” or “Conflict Minerals”). The Rule focuses on 3TG originating from the Democratic Republic of Congo (“DRC”) region and nine adjoining countries (together, the “Covered Countries”).
This CMR relates to the process undertaken for Rocket Lab products that were manufactured, or contracted to be manufactured, during calendar year 2024 and that contain Conflict Minerals.
Executive Summary
We performed a Reasonable Country of Origin Inquiry (“RCOI”) on suppliers we believe provided materials or components containing 3TGs necessary to the manufacturing of our products during calendar year 2024. Our suppliers identified 345 valid smelters and refineries (“Smelters”). Of these 345 Smelters, we identified 49 as sourcing (or there was a reason to believe they may be sourcing) from the Covered Countries. Our due diligence review indicated that 34 of these Smelters have been audited and recognized as conformant to the Responsible Minerals Assurance Process (“RMAP”). The remaining 15 Smelters potentially sourcing from the Covered Countries were subject to our risk mitigation process which is in accordance with the OECD Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”).
Company Management Systems
Rocket Lab established strong management systems based on Step 1 of the OECD Guidance.
•Step 1A - Adopt, and clearly communicate to suppliers and the public, a company policy for the supply chain of minerals originating from conflict-affected and high-risk areas. We adopted a conflict minerals policy that is publicly available at the link provided below.
https://www.rocketlabusa.com/terms-and-conditions
•Step 1B - Structure internal management to support supply chain due diligence. We maintain a cross-functional internal team to support our supply chain due diligence efforts. These efforts are overseen by the Director of Central Procurement.
•Step 1C - Establish a system of transparency, information collection and control over the supply chain. We implemented a detailed process to collect required supplier and smelter RCOI and due diligence data. Full details on the supply chain data gathering are included in the RCOI and due diligence sections of this Report.
•Step 1D - Strengthen company engagement with suppliers. We engage directly with suppliers during the RCOI process. We have also implemented a plan to improve the quantity and quality of supplier and smelter responses year-over-year. In 2025, Rocket Lab implemented a comprehensive Supplier Code of Conduct, requiring our suppliers to respect human rights in their operations and sourcing of materials. The Code of Conduct is available at the following link:
https://www.rocketlabusa.com/assets/Uploads/Appendix-of-RL-SR-001Rev-1.0.pdf
•Step 1E - Establish a company level grievance mechanism. We have an established an internal whistleblower policy and anonymous reporting system that allows employees to voice concerns about suspected violations of our Conflict Minerals Policy.
Reasonable Country of Origin Inquiry (RCOI)
We designed our RCOI process in accordance with Step 2A and 2B of the OECD Guidance. Our RCOI process involved two stages:
•Stage 1 - Supplier RCOI (Step 2A of the OECD Guidance)
•Stage 2 - Smelter RCOI (Step 2B of the OECD Guidance)
For the 2024 reporting period, Rocket Lab’s RCOI process was executed by Claigan Environmental Inc. (“Claigan”).
Supplier RCOI
We designed our supplier RCOI process to identify the smelters in our supply chain. Our supplier RCOI process for the 2024 reporting period included:
•developing a list of suppliers providing 3TG containing components;
•contacting each supplier and requesting Conflict Minerals data using the industry-standard Conflict Minerals Reporting Template (“CMRT”)
•reviewing supplier responses for accuracy and completeness;
•aggregating supplier-provided smelters into a single unique list of smelters meeting the definition of a smelter under one of three industry-recognized audit protocols; and
•reviewing the final smelter list (and compared it to industry peers) to determine if we reasonably identified all the smelters in our supply chain.
Through the supplier RCOI process we identified 345 Smelters in our supply chain.
Smelter RCOI
Due to the overlap between smelter RCOI and smelter due diligence, the smelter RCOI process is summarized in the due diligence section of this report.
Due Diligence
Rocket Lab’s Due Diligence Process was designed in accordance with the applicable sections of Steps 2, 3, and 4 of the OECD Guidance. For the 2024 reporting period, Rocket Lab’s smelter RCOI and Due Diligence process were executed by Claigan.
Smelter RCOI and Due Diligence
Rocket Lab’s smelter RCOI and due diligence processes were designed to meet the criteria of Step 2 of the OECD Guidance.
We engaged with each smelter identified in our supply chain to determine whether or not they sourced from the Covered Countries. For smelters that confirmed, either directly or through industry associations, that they did not source from the Covered Countries but who were not recognized as conformant to the RMAP, we reviewed publicly available information to determine whether there was any contrary evidence that contradicted the smelter’s declaration. In doing so we reviewed sources such as NGO publications, including Global Witness, SWISSAID, Southern Africa Resource Watch, The Business and Human Rights Resource Centre, and Radio Okapi. We also consulted the most recent United Nations Group of Experts reports on the DRC and performed public internet searches.
If smelters did not respond to our inquiry, we reviewed the same publicly available sources to determine whether there was reason to believe the smelter may have sourced from the Covered Countries during the reporting period.
We categorize smelters that are sourcing (or that we have reason to believe may be sourcing) from the Covered Countries and not currently RMAP Conformant as high-risk. We expect that all high risk smelters be audited and recognized as conformant with RMAP or be working towards such designation. If any high risk smelters are not recognized as conformant with RMAP, we conduct the risk mitigation procedures described below on all high risk smelters.
Our suppliers identified 345 unique smelters, of which 49 smelters source, or there is a reason to believe they may source, from the Covered Countries. We determined that 34 of these 49 smelters have been audited and recognized as conformant to the RMAP. We conducted risk mitigation on the remaining 15 smelters. One of the 15 identified high-risk smelters was RMAP Conformant for the entirety of the reporting period in question, but was removed from the RMAP Conformant list at the beginning of 2025.
Risk Mitigation
Rocket Lab conducted risk mitigation on 15 Smelters that were not recognized as conformant to the RMAP and were sourcing (or there is a reason to believe they may be sourcing) from the Covered Countries. Rocket Lab’s risk mitigation was designed in accordance with Step 3B of the OECD Guidance and was reported to the General Counsel in accordance with Step 3A of the OECD Guidance.
As part of our risk mitigation process, we performed additional due diligence to determine if there was any reason to believe the smelters directly or indirectly financed or benefited armed groups in the Covered Countries.
We did not require the removal of smelters if there was no reason to believe they were directly or indirectly financing or benefitting armed groups in the Covered Countries. These smelters are scheduled to be re-visited in the 2025 reporting period.
Improvement Plan
Rocket Lab is committed to continuous improvement in our due diligence process to further mitigate the risk that the 3TG materials in our products could directly or indirectly benefit or finance armed groups in the Covered Countries. We will strive to continuously improve our efforts to educate our suppliers, to increase supplier response rates and improve the timeliness, accuracy and comprehensiveness of the supplier survey responses we receive.
Additionally, we seek to enhance our efforts to encourage our suppliers to source from RMAP conformant smelters when sourcing material from the Covered Countries, and will continue outreach efforts with suppliers who listed OFAC-sanctioned smelters in their CMRT to have these smelters removed or confirmed that they are not part of their supply chain for the Company’s products.
Smelters and Refiners
3TG Metal | Standard Smelter Name | Smelter ID | ||||||
Gold | 8853 S.p.A. | CID002763 | ||||||
Gold | ABC Refinery Pty Ltd. | CID002920 | ||||||
Gold | Abington Reldan Metals, LLC | CID002708 | ||||||
Gold | Advanced Chemical Company | CID000015 | ||||||
Gold | African Gold Refinery | CID003185* | ||||||
Gold | Agosi AG | CID000035 | ||||||
Gold | Aida Chemical Industries Co., Ltd. | CID000019 | ||||||
Gold | Al Etihad Gold Refinery DMCC | CID002560 | ||||||
Gold | Albino Mountinho Lda. | CID002760 | ||||||
Gold | Alexy Metals | CID003500 | ||||||
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | ||||||
Gold | AngloGold Ashanti Córrego do Sítio Mineração | CID000058 | ||||||
Gold | Argor-Heraeus S.A. | CID000077 | ||||||
Gold | Asahi Pretec Corp. | CID000082 | ||||||
Gold | Asahi Refining Canada Ltd. | CID000924 | ||||||
Gold | Asahi Refining USA Inc. | CID000920 | ||||||
Gold | Asaka Riken Co., Ltd. | CID000090 | ||||||
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 | ||||||
Gold | Attero Recycling Pvt Ltd | CID004697 | ||||||
Gold | AU Traders and Refiners | CID002850 | ||||||
Gold | Augmont Enterprises Private Limited | CID003461 | ||||||
Gold | Aurubis AG | CID000113 | ||||||
Gold | Bangalore Refinery | CID002863 | ||||||
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | ||||||
Gold | Boliden Ronnskar | CID000157 | ||||||
Gold | C. Hafner GmbH + Co. KG | CID000176 | ||||||
Gold | Caridad | CID000180 | ||||||
Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | ||||||
Gold | Cendres + Métaux S.A. | CID000189 | ||||||
Gold | CGR Metalloys Pvt Ltd. | CID003382 | ||||||
Gold | Chimet S.p.A. | CID000233 | ||||||
Gold | Chugai Mining | CID000264 | ||||||
Gold | Coimpa Industrial LTDA | CID004010 | ||||||
Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | ||||||
Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | ||||||
Gold | Dijllah Gold Refinery FZC | CID003348 | ||||||
Gold | Dongwu Gold Group | CID003663 | ||||||
Gold | Dowa | CID000401 | ||||||
Gold | DSC (Do Sung Corporation) | CID000359 | ||||||
Gold | Eco-System Recycling Co., Ltd. East Plant | CID000425 | ||||||
Gold | Eco-System Recycling Co., Ltd. North Plant | CID003424 | ||||||
Gold | Eco-System Recycling Co., Ltd. West Plant | CID003425 | ||||||
Gold | Elite Industech Co., Ltd. | CID004755 | ||||||
Gold | Emerald Jewel Industry India Limited (Unit 1) | CID003487 | ||||||
Gold | Emerald Jewel Industry India Limited (Unit 2) | CID003488 | ||||||
Gold | Emerald Jewel Industry India Limited (Unit 3) | CID003489 | ||||||
Gold | Emerald Jewel Industry India Limited (Unit 4) | CID003490 | ||||||
Gold | Emirates Gold DMCC | CID002561 | ||||||
Gold | Fidelity Printers and Refiners Ltd. | CID002515 | ||||||
Gold | Fujairah Gold FZC | CID002584 | ||||||
Gold | GG Refinery Ltd. | CID004506 | ||||||
Gold | GGC Gujrat Gold Centre Pvt. Ltd. | CID002852 | ||||||
Gold | Gold by Gold Colombia | CID003641 | ||||||
Gold | Gold Coast Refinery | CID003186 | ||||||
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | ||||||
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | ||||||
Gold | Guangdong Jinding Gold Limited | CID002312 | ||||||
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | ||||||
Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | ||||||
Gold | Heimerle + Meule GmbH | CID000694 | ||||||
Gold | Henan Yuguang Gold & Lead Co., Ltd. | CID002519 | ||||||
Gold | Heraeus Germany GmbH Co. KG | CID000711 | ||||||
Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | ||||||
Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | ||||||
Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CID000773 | ||||||
Gold | HwaSeong CJ Co., Ltd. | CID000778 | ||||||
Gold | Impala Refineries – Platinum Metals Refinery (PMR) | CID004714 | ||||||
Gold | Industrial Refining Company | CID002587 | ||||||
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | ||||||
Gold | International Precious Metal Refiners | CID002562 | ||||||
Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | ||||||
Gold | Istanbul Gold Refinery | CID000814 | ||||||
Gold | Italpreziosi | CID002765 | ||||||
Gold | JALAN & Company | CID002893 | ||||||
Gold | Japan Mint | CID000823 | ||||||
Gold | Jiangxi Copper Co., Ltd. | CID000855 | ||||||
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | ||||||
Gold | JSC Novosibirsk Refinery | CID000493 | ||||||
Gold | JSC Uralelectromed | CID000929* | ||||||
Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | ||||||
Gold | K.A. Rasmussen | CID003497 | ||||||
Gold | Kaloti Precious Metals | CID002563 | ||||||
Gold | Kazakhmys Smelting LLC | CID000956 | ||||||
Gold | Kazzinc | CID000957 | ||||||
Gold | Kennecott Utah Copper LLC | CID000969 | ||||||
Gold | KGHM Polska Miedź Spółka Akcyjna | CID002511 | ||||||
Gold | Kojima Chemicals Co., Ltd. | CID000981 | ||||||
Gold | Korea Zinc Co., Ltd. | CID002605 | ||||||
Gold | Kundan Care Products Ltd. | CID003463 | ||||||
Gold | Kyrgyzaltyn JSC | CID001029 | ||||||
Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 | ||||||
Gold | L'azurde Company For Jewelry | CID001032 | ||||||
Gold | L'Orfebre S.A. | CID002762 | ||||||
Gold | Lingbao Gold Co., Ltd. | CID001056 | ||||||
Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | ||||||
Gold | LS MnM Inc. | CID001078 | ||||||
Gold | LT Metal Ltd. | CID000689 | ||||||
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | ||||||
Gold | Marsam Metals | CID002606 | ||||||
Gold | Materion | CID001113 | ||||||
Gold | Matsuda Sangyo Co., Ltd. | CID001119 | ||||||
Gold | MD Overseas | CID003548 | ||||||
Gold | Metal Concentrators SA (Pty) Ltd. | CID003575 | ||||||
Gold | Metallix Refining Inc. | CID003557 | ||||||
Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 | ||||||
Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | ||||||
Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 | ||||||
Gold | Metalor Technologies S.A. | CID001153 | ||||||
Gold | Metalor USA Refining Corporation | CID001157 | ||||||
Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | CID001161 | ||||||
Gold | Minera Titan del Peru SRL (MTP) - Belen Plant | CID005014 | ||||||
Gold | Mitsubishi Materials Corporation | CID001188 | ||||||
Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | ||||||
Gold | MKS PAMP SA | CID001352 | ||||||
Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | ||||||
Gold | Modeltech Sdn Bhd | CID002857 | ||||||
Gold | Morris and Watson | CID002282 | ||||||
Gold | Moscow Special Alloys Processing Plant | CID001204 | ||||||
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | CID001220 | ||||||
Gold | Navoi Mining and Metallurgical Combinat | CID001236 | ||||||
Gold | NH Recytech Company | CID003189 | ||||||
Gold | Nihon Material Co., Ltd. | CID001259 | ||||||
Gold | NOBLE METAL SERVICES | CID003690 | ||||||
Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | ||||||
Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | ||||||
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | ||||||
Gold | Pease & Curren | CID002872 | ||||||
Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | ||||||
Gold | Planta Recuperadora de Metales SpA | CID002919 | ||||||
Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | ||||||
Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | ||||||
Gold | PX Précinox S.A. | CID001498 | ||||||
Gold | QG Refining, LLC | CID003324 | ||||||
Gold | Rand Refinery (Pty) Ltd. | CID001512 | ||||||
Gold | Refinery of Seemine Gold Co., Ltd. | CID000522 | ||||||
Gold | REMONDIS PMR B.V. | CID002582 | ||||||
Gold | Royal Canadian Mint | CID001534 | ||||||
Gold | SAAMP | CID002761 | ||||||
Gold | Sabin Metal Corp. | CID001546 | ||||||
Gold | Safimet S.p.A | CID002973 | ||||||
Gold | SAFINA A.S. | CID002290 | ||||||
Gold | Sai Refinery | CID002853 | ||||||
Gold | Sam Precious Metals | CID003666 | ||||||
Gold | Samduck Precious Metals | CID001555 | ||||||
Gold | SAMWON Metals Corp. | CID001562 | ||||||
Gold | SEMPSA Joyería Platería S.A. | CID001585 | ||||||
Gold | Shandong Gold Smelting Co., Ltd. | CID001916 | ||||||
Gold | Shandong Humon Smelting Co., Ltd. | CID002525 | ||||||
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | ||||||
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | ||||||
Gold | Shenzhen CuiLu Gold Co., Ltd. | CID002750 | ||||||
Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. | CID004435 | ||||||
Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CID002527 | ||||||
Gold | Shirpur Gold Refinery Ltd. | CID002588 | ||||||
Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | ||||||
Gold | Singway Technology Co., Ltd. | CID002516 | ||||||
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | ||||||
Gold | Solar Applied Materials Technology Corp. | CID001761 | ||||||
Gold | Sovereign Metals | CID003383 | ||||||
Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 | ||||||
Gold | Sudan Gold Refinery | CID002567 | ||||||
Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | ||||||
Gold | SungEel HiMetal Co., Ltd. | CID002918 | ||||||
Gold | Super Dragon Technology Co., Ltd. | CID001810 | ||||||
Gold | T.C.A S.p.A | CID002580 | ||||||
Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | ||||||
Gold | TITAN COMPANY LIMITED, JEWELLERY DIVISION | CID004491 | ||||||
Gold | Tokuriki Honten Co., Ltd. | CID001938 | ||||||
Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 | ||||||
Gold | TOO Tau-Ken-Altyn | CID002615 | ||||||
Gold | Torecom | CID001955 | ||||||
Gold | Umicore Precious Metals Thailand | CID002314 | ||||||
Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | ||||||
Gold | United Precious Metal Refining, Inc. | CID001993 | ||||||
Gold | Valcambi S.A. | CID002003 | ||||||
Gold | WEEEREFINING | CID003615 | ||||||
Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 | ||||||
Gold | WIELAND Edelmetalle GmbH | CID002778 | ||||||
Gold | Yamakin Co., Ltd. | CID002100 | ||||||
Gold | Yokohama Metal Co., Ltd. | CID002129 | ||||||
Gold | Yunnan Copper Industry Co., Ltd. | CID000197 | ||||||
Gold | Zhongkuang Gold Industry Co., Ltd. | CID002214 | ||||||
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | ||||||
Tantalum | 5D Production OU | CID003926 | ||||||
Tantalum | AMG Brasil | CID001076 | ||||||
Tantalum | D Block Metals, LLC | CID002504 | ||||||
Tantalum | F&X Electro-Materials Ltd. | CID000460 | ||||||
Tantalum | FIR Metals & Resource Ltd. | CID002505 | ||||||
Tantalum | Global Advanced Metals Aizu | CID002558 | ||||||
Tantalum | Global Advanced Metals Boyertown | CID002557 | ||||||
Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 | ||||||
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | ||||||
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | ||||||
Tantalum | Jiangxi Suns Nonferrous Materials Co. Ltd. | CID004813 | ||||||
Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | ||||||
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | ||||||
Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 | ||||||
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | ||||||
Tantalum | KEMET de Mexico | CID002539 | ||||||
Tantalum | Materion Newton Inc. | CID002548 | ||||||
Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | ||||||
Tantalum | Mineração Taboca S.A. | CID001175 | ||||||
Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 | ||||||
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | ||||||
Tantalum | NPM Silmet AS | CID001200 | ||||||
Tantalum | PowerX Ltd. | CID004054 | ||||||
Tantalum | QuantumClean | CID001508 | ||||||
Tantalum | Resind Indústria e Comércio Ltda. | CID002707 | ||||||
Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CID003583 | ||||||
Tantalum | Solikamsk Magnesium Works OAO | CID001769 | ||||||
Tantalum | Taki Chemical Co., Ltd. | CID001869 | ||||||
Tantalum | TANIOBIS Co., Ltd. | CID002544 | ||||||
Tantalum | TANIOBIS GmbH | CID002545 | ||||||
Tantalum | TANIOBIS Japan Co., Ltd. | CID002549 | ||||||
Tantalum | TANIOBIS Smelting GmbH & Co. KG | CID002550 | ||||||
Tantalum | Telex Metals | CID001891 | ||||||
Tantalum | Ulba Metallurgical Plant JSC | CID001969 | ||||||
Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CID000616 | ||||||
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 | ||||||
Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 | ||||||
Tin | Alpha Assembly Solutions Inc | CID000292 | ||||||
Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | ||||||
Tin | Aurubis Beerse | CID002773 | ||||||
Tin | Aurubis Berango | CID002774 | ||||||
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | ||||||
Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 | ||||||
Tin | China Tin Group Co., Ltd. | CID001070 | ||||||
Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | CID003486 | ||||||
Tin | CRM Synergies | CID003524 | ||||||
Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CID003356 | ||||||
Tin | Dowa | CID000402 | ||||||
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | ||||||
Tin | EM Vinto | CID000438 | ||||||
Tin | Estanho de Rondônia S.A. | CID000448 | ||||||
Tin | Fabrica Auricchio Industria e Comercio Ltda. | CID003582 | ||||||
Tin | Fenix Metals | CID000468 | ||||||
Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CID003410 | ||||||
Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | ||||||
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | ||||||
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | ||||||
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | ||||||
Tin | Global Advanced Metals Greenbushes Pty Ltd. | CID004754 | ||||||
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 | ||||||
Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | ||||||
Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 | ||||||
Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd | CID004796 | ||||||
Tin | Luna Smelter, Ltd. | CID003387 | ||||||
Tin | Ma'anshan Weitai Tin Co., Ltd. | CID003379 | ||||||
Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 | ||||||
Tin | Malaysia Smelting Corporation (MSC) | CID001105 | ||||||
Tin | Malaysia Smelting Corporation Berhad (Port Klang) | CID004434 | ||||||
Tin | Melt Metais e Ligas S.A. | CID002500 | ||||||
Tin | Metallic Resources, Inc. | CID001142 | ||||||
Tin | Mineração Taboca S.A. | CID001173 | ||||||
Tin | Mining Minerals Resources SARL | CID004065 | ||||||
Tin | Minsur | CID001182 | ||||||
Tin | Mitsubishi Materials Corporation | CID001191 | ||||||
Tin | Modeltech Sdn Bhd | CID002858 | ||||||
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | ||||||
Tin | Novosibirsk Tin Combine | CID001305 | ||||||
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | ||||||
Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | ||||||
Tin | Operaciones Metalúrgicas S.A. | CID001337 | ||||||
Tin | Pongpipat Company Limited | CID003208 | ||||||
Tin | Precious Minerals and Smelting Limited | CID003409 | ||||||
Tin | PT ATD Makmur Mandiri Jaya | CID002503 | ||||||
Tin | PT Bangka Prima Tin | CID002776 | ||||||
Tin | PT Cipta Persada Mulia | CID002696 | ||||||
Tin | PT Mitra Stania Prima | CID001453 | ||||||
Tin | PT Mitra Sukses Globalindo | CID003449 | ||||||
Tin | PT Premium Tin Indonesia | CID000313 | ||||||
Tin | PT Putera Sarana Shakti (PT PSS) | CID003868 | ||||||
Tin | PT Rajehan Ariq | CID002593 | ||||||
Tin | PT Timah Tbk Kundur | CID001477 | ||||||
Tin | PT Timah Tbk Mentok | CID001482 | ||||||
Tin | Resind Indústria e Comércio Ltda. | CID002706 | ||||||
Tin | RIKAYAA GREENTECH PRIVATE LIMITED | CID004692 | ||||||
Tin | Rui Da Hung | CID001539 | ||||||
Tin | Super Ligas | CID002756 | ||||||
Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | CID004403 | ||||||
Tin | Thaisarco | CID001898 | ||||||
Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CID002180 | ||||||
Tin | Tin Technology & Refining | CID003325 | ||||||
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | ||||||
Tin | VQB Mineral and Trading Group JSC | CID002015 | ||||||
Tin | White Solder Metalurgia e Mineração Ltda. | CID002036 | ||||||
Tin | Woodcross Smelting Company Limited | CID004724 | ||||||
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 | ||||||
Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CID003397 | ||||||
Tungsten | A.L.M.T. Corp. | CID000004 | ||||||
Tungsten | ACL Metais Eireli | CID002833 | ||||||
Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | CID003427 | ||||||
Tungsten | Artek LLC | CID003553 | ||||||
Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | ||||||
Tungsten | China Molybdenum Tungsten Co., Ltd. | CID002641 | ||||||
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | ||||||
Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CID000281 | ||||||
Tungsten | Cronimet Brasil Ltda | CID003468 | ||||||
Tungsten | DONGKUK INDUSTRIES CO., LTD. | CID004060 | ||||||
Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CID003609 | ||||||
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | ||||||
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | ||||||
Tungsten | Global Tungsten & Powders LLC. | CID000568 | ||||||
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | ||||||
Tungsten | H.C. Starck Tungsten GmbH | CID002541 | ||||||
Tungsten | HANNAE FOR T Co., Ltd. | CID003978 | ||||||
Tungsten | Hubei Green Tungsten Co., Ltd. | CID003417 | ||||||
Tungsten | Hunan Jintai New Material Co., Ltd. | CID000769 | ||||||
Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CID002513 | ||||||
Tungsten | Hydrometallurg, JSC | CID002649 | ||||||
Tungsten | Japan New Metals Co., Ltd. | CID000825 | ||||||
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | ||||||
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | ||||||
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 | ||||||
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | ||||||
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | ||||||
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | ||||||
Tungsten | JSC "Kirovgrad Hard Alloys Plant" | CID003408 | ||||||
Tungsten | Kenee Mining Corporation Vietnam | CID004619 | ||||||
Tungsten | Kennametal Fallon | CID000966 | ||||||
Tungsten | Kennametal Huntsville | CID000105 | ||||||
Tungsten | LAOS SOUTHERN MINING SMELTING SOLE CO.,LTD | CID005017 | ||||||
Tungsten | Lianyou Metals Co., Ltd. | CID003407 | ||||||
Tungsten | Lianyou Resources Co., Ltd. | CID004397 | ||||||
Tungsten | LLC Vostok | CID003643 | ||||||
Tungsten | MALAMET SMELTING SDN. BHD. | CID004056 | ||||||
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | ||||||
Tungsten | Masan High-Tech Materials | CID002543 | ||||||
Tungsten | Moliren Ltd. | CID002845 | ||||||
Tungsten | Nam Viet Cromit Joint Stock Company | CID004034 | ||||||
Tungsten | Niagara Refining LLC | CID002589 | ||||||
Tungsten | NPP Tyazhmetprom LLC | CID003416 | ||||||
Tungsten | OOO “Technolom” 1 | CID003614 | ||||||
Tungsten | OOO “Technolom” 2 | CID003612 | ||||||
Tungsten | Philippine Bonway Manufacturing Industrial Corporation | CID004797 | ||||||
Tungsten | Philippine Carreytech Metal Corp. | CID004438 | ||||||
Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | ||||||
Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | CID004430 | ||||||
Tungsten | TANIOBIS Smelting GmbH & Co. KG | CID002542 | ||||||
Tungsten | Tungsten Vietnam Joint Stock Company | CID003993 | ||||||
Tungsten | Unecha Refractory Metals Plant | CID002724 | ||||||
Tungsten | Wolfram Bergbau and Hütten AG | CID002044 | ||||||
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | ||||||
Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | ||||||
Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CID003662 | ||||||
Smelter denoted with an (*) has been sanctioned by the U.S. Department of the Treasury’s Office of Foreign Assets Control, and was reported by certain suppliers as potentially in their supply chains. Suppliers generally report at a company-wide level and at the time of reporting none of the suppliers have confirmed the presence of an OFAC sanctioned entity in the parts supplied to Rocket Lab. Rocket Lab has no direct business with this Smelter, and certain suppliers reporting such Smelter are unable to confirm whether or not such Smelter was used in the Company’s products. The Company has escalated its supply chain risk mitigation efforts on these suppliers, and as a result, several of such suppliers removed the applicable Smelter from their supply chain. This escalation process remains in progress.
Forty-nine of the 345 unique Smelters identified during our RCOI either declared that they were sourcing, or there was reason to believe were sourcing, from the Covered Countries. Based on the Smelters’ disclosures and the publicly available information, we have reason to believe these Smelters may be sourcing from the following Covered Countries: The DRC, Burundi, Rwanda, Tanzania, and Uganda. Our due diligence review indicated that 34 of the 49 Smelters have been audited and recognized as conformant to the RMAP.
Additional Risk Factors
The statements included in this Conflict Minerals Report are based on the RCOI process and due diligence performed in good faith by Rocket Lab. These statements are based on the information available at the time. A number of factors could introduce errors or otherwise affect the accuracy of these statements.
These factors include, but are not limited to: (i) gaps in supplier or smelter data, (ii) errors or omissions by suppliers or smelters, (iii) uncertainty or varied interpretations of the disclosure requirements described in the SEC final rules, (iv) all instances of conflict minerals necessary to the functionality or manufacturing of our products may not have been reported correctly by our suppliers, (v) some suppliers and smelters are unfamiliar with the diligence process and information required to be provided, which could lead to inaccurate or incomplete responses, (vi) timeliness of data received from our suppliers, (vii) information that is in the public domain may not be discovered despite having conducted a reasonable search, (viii) there may be errors in publicly available information, (ix) language barriers or errors in translation could lead to inaccurate information, (x) there could be oversights or errors in conflict free smelter audits, (xi) materials sourced from the Covered Countries could be inaccurately declared as sourced from outside the Covered Countries, (xii) illegally tagged Conflict Minerals could be introduced into the supply chain without our knowledge or the knowledge of our suppliers, (xiii) difficulties obtaining information from companies that are no longer in business, and (xiv) smuggling of Conflict Minerals outside the Covered Countries may make identification of their origin more difficult.
This Specialized Disclosure Report on Form SD, including this Conflict Minerals Report filed as Exhibit 1.01 thereto, contains forward looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. These statements include any plans or intentions to improve the number and quality of supplier and smelter response rates and steps we intend to take to mitigate risk in our supply chain. These forward- looking statements involve risks and uncertainties that could cause actual results to differ materially from those projected. In particular, the Company’s risk mitigation and improvement plans may be affected by: (a) changes in global regulations related to the extraction of and disclosure obligations related to Conflict Minerals; (b) the ability of our suppliers and smelters to provide accurate information in response to our requests; (c) the availability of alternate sources of materials necessary to the functionality or production of our products on commercially reasonable terms or at all; (d) the ability of certified smelters to meet demand for raw materials; and (e) limits on our ability to unilaterally influence supplier behavior. These forward- looking statements are made as of the date hereof and we assume no obligation to update such statements.