MACOM Technology Solutions Holdings, Inc.
MACOM Technology Solutions Holdings, Inc. (Form: SD, Received: 05/31/2018 07:04:08)

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

Specialized Disclosure Report

 

 

MACOM Technology Solutions Holdings, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-35451   27-0306875

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification No.)

100 Chelmsford Street

Lowell, Massachusetts

  01851
(Address of principal executive offices)   (Zip Code)

John Croteau

President and Chief Executive Officer

MACOM Technology Solutions Holdings, Inc.

(978) 656-2500

(Name and telephone number, including area code, of the person to contact in connection with this report)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017.

 

 

 


Section 1—Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

This Form SD is filed by MACOM Technology Solutions Holdings, Inc. (the “Company”) pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2017 to December 31, 2017.

A copy of the Company’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, and is publicly available at https://www.macom.com/about/quality-reliability.

Item 1.02 Exhibit

The Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.

Section 2 – Exhibits

Item 2.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report for the calendar year ended December 31, 2017.

 

1


SIGNATURES

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

 

MACOM TECHNOLOGY SOLUTIONS HOLDINGS, INC.     

/s/ John Croteau

     Dated: May 31, 2018
By: John Croteau     
       President and Chief Executive Officer     


EXHIBIT INDEX

 

Exhibit   

Description

1.01    Conflict Minerals Report for the calendar year ended December 31, 2017.

Exhibit 1.01

MACOM TECHNOLOGY SOLUTIONS HOLDINGS, INC.

Conflict Minerals Report

For The Year Ended December 31, 2017

Introduction

This Conflict Minerals Report (“CMR”) for the year ended December 31, 2017 is being filed as provided for in Rule 13p-1 and Form SD under the Securities Exchange Act of 1934, as amended (collectively, the “Rule”). As used herein, “Conflict Minerals” or “3TG” are cassiterite, columbite-tantalite (“coltan”), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten.

MACOM Technology Solutions Holdings Inc., also referred to as “the Company”, “MACOM”, “we”, “our”, and “us” is a leading provider of high-performance analog semiconductor solutions that enable next-generation Internet applications, the cloud connected apps economy, and the modern, networked battlefield across the radio frequency, microwave, millimeterwave and lightwave spectrum. We offer a broad portfolio of over 5,000 standard and custom devices, which include integrated circuits, multi-chip modules, power pallets and transistors, diodes, amplifiers, switches and switch limiters, passive and active components and complete subsystems, across more than 60 product lines.

Each of the foregoing product categories contains in-scope products for purposes of our compliance with the Rule. Our in-scope products contained tantalum, tungsten, tin and gold, although not each of our in-scope products contained all of these minerals. We do not directly purchase 3TG from mines, smelters and refiners and instead only purchase products and components that contain 3TG. MACOM does not seek to embargo sourcing from the Democratic Republic of the Congo and its adjoining countries (the “Covered Countries”), and is committed to sourcing responsibly. We have adopted a policy and related procedures, as described below in this CMR, focused on our commitment to sourcing components and materials from suppliers that share our ethical values and that support compliance with MACOM’s disclosure obligations related to 3TG. MACOM further expects all suppliers to seek to purchase materials that contain 3TG from sources determined not to be involved in funding conflict in the Covered Countries.

RCOI and Due Diligence Processes

MACOM determined which of our products and components were potentially in-scope for the purposes of the Rule through product specifications, preliminary supplier analysis and other information known to us concerning the composition of our products. Following our scoping analysis, we also performed a “reasonable country of origin inquiry” (“RCOI”) on suppliers believed to have provided MACOM with materials or components containing 3TG necessary to the functionality or production of MACOM’s products (the “Suppliers”). Our RCOI is discussed in further detail later in this CMR.

Our 3TG due diligence processes were based on the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Third Edition) (the “OECD Due Diligence Guidance”), an internationally recognized due diligence framework. Our diligence measures were based on certain processes put in place for the Company’s RCOI and included the following.

Company Management Systems

MACOM established management systems according to Step 1 of the OECD Due Diligence Guidance. MACOM’s systems included the following:

 

    MACOM has adopted and implemented a conflict minerals policy (the “Policy”). The Policy indicates that we expect all suppliers of our products and materials to cooperate with our 3TG procedures. The Policy is publicly available on MACOM’s website at https://www.macom.com/about/quality-reliability, and is sent to Suppliers as part of the RCOI process. The Policy is also referenced in customer communications.

 

1


    MACOM has structured internal management to support its 3TG compliance program. A member of the senior staff from the Compliance and Quality Systems department leads a team directly responsible for the management of our 3TG compliance program. The team also includes members from our Operations, Legal, Procurement and Quality departments. Senior management and key internal stakeholders receive reports regarding the advancement and conclusions of the program. MACOM has also enlisted a third party information management service provider (the “Service Provider”) and specialist outside counsel to assist in our due diligence and/or other 3TG compliance activities. The measures described in this CMR were either taken by the Company or the Service Provider acting on its behalf.

 

    MACOM’s engagement with suppliers to support their compliance with the Rule includes terms and conditions relating to 3TG compliance in our standard form purchasing terms and conditions. In addition, our templates for supplier agreements also reference 3TG compliance.

 

    MACOM has established a system of transparency, information collection and control over the 3TG supply chain. This system includes a process to collect required supplier RCOI data, utilizing the industry standard Conflict Minerals Reporting Template (“CMRT”). Additional details on supply chain data gathering are included in the RCOI and due diligence sections of this CMR. This information is retained for at least five years, generally in electronic form.

 

    MACOM implemented a plan to improve the quantity and quality of supplier responses year over year. Outreach for specific suppliers is coordinated between MACOM’s 3TG team and our Procurement department to address outstanding and incomplete data.

 

    MACOM has a dedicated Conflict Minerals email address through which MACOM’s employees, suppliers and other third parties can voice any concerns regarding potential violations of MACOM’s conflict minerals policy without any fear of retribution. The dedicated Conflict Minerals email address is conflictminerals@macom.com .

Reasonable Country of Origin Inquiry (RCOI)

MACOM’s RCOI is designed in accordance with Step Two of the OECD Due Diligence Guidance design framework, with the specific goal of determining whether the 3TG in the in-scope products originated from a Covered Country. MACOM’s RCOI process involved two stages: Supplier RCOI and SOR RCOI, as described below.

Supplier RCOI

MACOM designed its Supplier RCOI process to identify the smelters and refiners (the “SORs”) that are potentially in MACOM’s supply chain. Our Supplier RCOI process for the 2017 reporting period included the following:

 

    developing the list of direct Suppliers providing 3TG containing components to MACOM, prioritizing by spend;

 

    contacting each Supplier and requesting a completed industry standard CMRT, including SOR information;

 

    following up by email or phone with Suppliers that did not respond to the request within a specified time frame;

 

    reviewing Supplier responses for accuracy, completeness and plausibility;

 

    amalgamating the Supplier provided SOR information into a single list of SORs meeting the definition of a SOR under the Responsible Minerals Assurance Process (the “RMAP”) protocols for tin, tantalum, tungsten or gold; and

 

2


    reviewing the final SOR list (and comparing it with industry peers) to determine if MACOM reasonably identified all of the SORs in its supply chain.

As of January 2018, we achieved a response rate of 87% for our RCOI supply chain survey. The responding Suppliers represented 99.5% of relevant vendor spend. Through the RCOI process, our Suppliers identified 302 valid SORs. The list of identified SORs is included under the “Identified Smelter and Refiners” section below.

For the 2017 reporting period, MACOM’s RCOI and due diligence was executed by MACOM’s Service Provider.

Due Diligence

MACOM’s due diligence process was designed in accordance with the applicable sections of the OECD Due Diligence Guidance.

SOR RCOI and Due Diligence

MACOM’s SOR RCOI and due diligence process were designed to:

 

    identify the scope of the risk assessment of the 3TG supply chain;

 

    assess whether the SORs have carried out due diligence for responsible supply chains of 3TG from conflict-affected and high-risk areas; and

 

    where necessary, carry out, through participation in industry-driven programs, joint spot checks at the 3TG SORs own facilities.

MACOM’s SOR RCOI and due diligence process for the 2017 reporting period included the following steps for each SOR identified by Suppliers as potentially in MACOM’s supply chain:

 

    Engagement directly with the SOR (including information publicly available on the SOR’s website or its relevant industry association) to ascertain whether or not the SOR sources from the Covered Countries.

 

    For SORs that declared directly or through their relevant industry association that they did not source from the Covered Countries, and were not listed as Conformant by the RMAP, the Service Provider reviewed the SOR’s declaration against publicly available information to determine if there was any contrary evidence to the SOR’s declaration. The sources reviewed included: (1) a public internet search of the facility in combination with a public internet search relating to each of the Covered Countries; (2) specific NGO publications (including those of the Enough Project, Global Witness, Southern Africa Resource Watch and Radio Okapi); and (3) the most recent UN Group of Experts report on the DRC.

 

    For SORs that did not respond to direct engagement, the Service Provider reviewed publicly available sources to determine if there was “any reason to believe” that the SOR may have sourced from a Covered Country during the reporting period. For this review, the same sources as listed above were used.

 

    MACOM’s risk mitigation plan includes a requirement for high risk SORs (SORs sourcing from, or there is reason to believe they are sourcing from the Covered Countries) to be audited and certified “Conformant” by the RMAP or to be RMAP “Active.”

 

    For high risk SORs that have not been audited and listed as “Conformant” by the RMAP, MACOM conducted risk mitigation on the SOR according to the OECD Due Diligence Guidance and communicated the results of these activities to a designated member of senior management.

MACOM’s Suppliers identified 302 SORs. Through the activities mentioned above, MACOM identified 36 SORs that source, or there is reason to believe they source, from the Covered Countries. MACOM determined that these 36 SORs have been audited and listed as “Conformant” by the RMAP as of May 11, 2018.

 

3


Risk Mitigation

MACOM’s risk mitigation process is consistent with the OECD Due Diligence Guidance and is designed to help prevent an unnecessary sourcing embargo from the Covered Countries.

MACOM’s risk mitigation plan includes an assessment of certain identified SORs to determine if they are relevant to the specific products sold to MACOM.

Independent Audit of Supply Chain Due Diligence at Identified Points

MACOM does not have a direct relationship with 3TG SORs and, therefore, does not perform direct audits of these entities within its supply chain. We utilize and rely on the audit protocols of the RMAP as acceptable in this regard.

Report on Supply Chain Due Diligence

MACOM’s Form SD and Conflict Minerals Report are annually filed and are publicly available on our website.

Identified Smelters and Refiners

In connection with our RCOI or due diligence, as applicable, the Suppliers identified to us the SORs listed below as having potentially processed the necessary 3TG contained in our in-scope products in 2017. Please see the notes that accompany the table for information concerning the data in the table.

 

Mineral

 

SOR Name

 

SOR Location

 

Status

Gold   Advanced Chemical Company   United States of America   Conformant
Gold   Aida Chemical Industries Co., Ltd.   Japan   Conformant
Gold   Al Etihad Gold Refinery DMCC   United Arab Emirates   Conformant
Gold   Allgemeine Gold-und Silberscheideanstalt A.G.   Germany   Conformant
Gold   Almalyk Mining and Metallurgical Complex (AMMC)   Uzbekistan   Conformant
Gold   AngloGold Ashanti Córrego do Sítio Mineração   Brrazil   Conformant
Gold   Argor-Heraeus S.A.   Switzerland   Conformant
Gold   Asahi Pretec Corp.   Japan   Conformant
Gold   Asahi Refining Canada Ltd.   Canada   Conformant
Gold   Asahi Refining USA Inc.   United States of America   Conformant
Gold   Asaka Riken Co., Ltd.   Japan   Conformant
Gold   AU Traders and Refiners   South Africa   Conformant
Gold   Aurubis AG   Germany   Conformant
Gold   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   Philippines   Conformant
Gold   Boliden AB   Sweden   Conformant
Gold   C. Hafner GmbH + Co. KG   Germany   Conformant
Gold   CCR Refinery—Glencore Canada Corporation   Canada   Conformant
Gold   Cendres + Métaux S.A.   Switzerland   Conformant
Gold   Chimet S.p.A.   Italy   Conformant
Gold   Daejin Indus Co., Ltd.   Korea, Republic of   Conformant

 

4


Gold   DODUCO Contacts and Refining GmbH   Germany   Conformant
Gold   Dowa   Japan   Conformant
Gold   DSC (Do Sung Corporation)   Korea, Republic of   Conformant
Gold   Eco-System Recycling Co., Ltd.   Japan   Conformant
Gold   Emirates Gold DMCC   United Arab Emirates   Conformant
Gold   Geib Refining Corporation   United States of America   Conformant
Gold   Gold Refinery of Zijin Mining Group Co., Ltd.   China   Conformant
Gold   HeeSung Metal Ltd.   Korea, Republic of   Conformant
Gold   Heimerle + Meule GmbH   Germany   Conformant
Gold   Heraeus Metals Hong Kong Ltd.   China   Conformant
Gold   Heraeus Precious Metals GmbH & Co. KG   Germany   Conformant
Gold   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.   China   Conformant
Gold   Ishifuku Metal Industry Co., Ltd.   Japan   Conformant
Gold   Istanbul Gold Refinery   Turkey   Conformant
Gold   Italpreziosi   Italy   Conformant
Gold   Japan Mint   Japan   Conformant
Gold   Jiangxi Copper Co., Ltd.   China   Conformant
Gold   JSC Ekaterinburg Non-Ferrous Metal Processing Plant   Russian Federation   Conformant
Gold   JSC Uralelectromed   Russian Federation   Conformant
Gold   JX Nippon Mining & Metals Co., Ltd.   Japan   Conformant
Gold   Kazzinc   Kazakhstan   Conformant
Gold   Kennecott Utah Copper LLC   United States of America   Conformant
Gold   Kojima Chemicals Co., Ltd.   Japan   Conformant
Gold   Korea Zinc Co., Ltd.   Korea, Republic of   Conformant
Gold   Kyrgyzaltyn JSC   Kyrgyzstan   Conformant
Gold   LS-NIKKO Copper Inc.   Korea, Republic of   Conformant
Gold   Marsam Metals   Brrazil   Conformant
Gold   Materion   United States of America   Conformant
Gold   Matsuda Sangyo Co., Ltd.   Japan   Conformant
Gold   Metalor Technologies (Hong Kong) Ltd.   China   Conformant
Gold   Metalor Technologies (Singapore) Pte., Ltd.   Singapore   Conformant
Gold   Metalor Technologies (Suzhou) Ltd.   China   Conformant
Gold   Metalor Technologies S.A.   Switzerland   Conformant
Gold   Metalor USA Refining Corporation   United States of America   Conformant
Gold   Metalúrgica Met-Mex Peñoles S.A. De C.V.   Mexico   Conformant
Gold   Mitsubishi Materials Corporation   Japan   Conformant
Gold   Mitsui Mining and Smelting Co., Ltd.   Japan   Conformant
Gold   MMTC-PAMP India Pvt., Ltd.   India   Conformant

 

5


Gold   Moscow Special Alloys Processing Plant   Russian Federation   Conformant
Gold   Nadir Metal Rafineri San. Ve Tic. A.Ş.   Turkey   Conformant
Gold   Nihon Material Co., Ltd.   Japan   Conformant
Gold   Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH   Austria   Conformant
Gold   Ohura Precious Metal Industry Co., Ltd.   Japan   Conformant
Gold   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)   Russian Federation   Conformant
Gold   OJSC Novosibirsk Refinery   Russian Federation   Conformant
Gold   PAMP S.A.   Switzerland   Conformant
Gold   Planta Recuperadora de Metales SpA   Chile   Conformant
Gold   Prioksky Plant of Non-Ferrous Metals   Russian Federation   Conformant
Gold   PT Aneka Tambang (Persero) Tbk   Indonesia   Conformant
Gold   PX Précinox S.A.   Switzerland   Conformant
Gold   Rand Refinery (Pty) Ltd.   South Africa   Conformant
Gold   Republic Metals Corporation   United States of America   Conformant
Gold   Royal Canadian Mint   Canada   Conformant
Gold   SAAMP   France   Conformant
Gold   Safimet S.p.A   Italy   Conformant
Gold   SAFINA A.S.   Czech Republic   Conformant
Gold   Samduck Precious Metals   Korea, Republic of   Conformant
Gold   SAXONIA Edelmetalle GmbH   Germany   Conformant
Gold   SEMPSA Joyería Platería S.A.   Spain   Conformant
Gold   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.   China   Conformant
Gold   Sichuan Tianze Precious Metals Co., Ltd.   China   Conformant
Gold   Singway Technology Co., Ltd.   Taiwan, Province of China   Conformant
Gold   SOE Shyolkovsky Factory of Secondary Precious Metals   Russian Federation   Conformant
Gold   Solar Applied Materials Technology Corp.   Taiwan, Province of China   Conformant
Gold   Sumitomo Metal Mining Co., Ltd.   Japan   Conformant
Gold   SungEel HiMetal Co., Ltd.   Korea, Republic of   Conformant
Gold   T.C.A S.p.A   Italy   Conformant
Gold   Tanaka Kikinzoku Kogyo K.K.   Japan   Conformant
Gold   The Refinery of Shandong Gold Mining Co., Ltd.   China   Conformant
Gold   Tokuriki Honten Co., Ltd.   Japan   Conformant
Gold   Torecom   Korea, Republic of   Conformant
Gold   Umicore Brasil Ltda.   Brrazil   Conformant
Gold   Umicore Precious Metals Thailand   Thailand   Conformant
Gold   Umicore S.A. Business Unit Precious Metals Refining   Belgium   Conformant
Gold   United Precious Metal Refining, Inc.   United States of America   Conformant

 

6


Gold   Valcambi S.A.   Switzerland   Conformant
Gold   Western Australian Mint (T/a The Perth Mint)   Australia   Conformant
Gold   WIELAND Edelmetalle GmbH   Germany   Conformant
Gold   Yamakin Co., Ltd.   Japan   Conformant
Gold   Yokohama Metal Co., Ltd.   Japan   Conformant
Gold   Zhongyuan Gold Smelter of Zhongjin Gold Corporation   China   Conformant
Gold   Bangalore Refinery   India   Active
Gold   KGHM Polska Miedź Spółka Akcyjna   Poland   Active
Gold   L’Orfebre S.A.   Andorra   Active
Gold   Modeltech Sdn Bhd   Malaysia   Active
Gold   Remondis Argentia B.V.   Netherlands   Active
Gold   Abington Reldan Metals, LLC   United States of America   On Smelter Look-up Tab List Only
Gold   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   Turkey   On Smelter Look-up Tab List Only
Gold   Caridad   Mexico   On Smelter Look-up Tab List Only
Gold   Chugai Mining   Japan   On Smelter Look-up Tab List Only
Gold   Daye Non-Ferrous Metals Mining Ltd.   China   On Smelter Look-up Tab List Only
Gold   Degussa Sonne / Mond Goldhandel GmbH   Germany   On Smelter Look-up Tab List Only
Gold   Great Wall Precious Metals Co., Ltd. of CBPM   China   On Smelter Look-up Tab List Only
Gold   Guangdong Jinding Gold Limited   China   On Smelter Look-up Tab List Only
Gold   Gujarat Gold Centre   India   On Smelter Look-up Tab List Only
Gold   Guoda Safina High-Tech Environmental Refinery Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   Hangzhou Fuchunjiang Smelting Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   Hunan Chenzhou Mining Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   HwaSeong CJ Co., Ltd.   Korea, Republic of   On Smelter Look-up Tab List Only
Gold   Kazakhmys Smelting LLC   Kazakhstan   On Smelter Look-up Tab List Only
Gold   Kyshtym Copper-Electrolytic Plant ZAO   Russian Federation   On Smelter Look-up Tab List Only
Gold   L’azurde Company For Jewelry   Saudi Arabia   On Smelter Look-up Tab List Only
Gold   Lingbao Gold Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   Lingbao Jinyuan Tonghui Refinery Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   Luoyang Zijin Yinhui Gold Refinery Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   Morris and Watson   New Zealand   On Smelter Look-up Tab List Only
Gold   Morris and Watson Gold Coast   Australia   On Smelter Look-up Tab List Only
Gold   Navoi Mining and Metallurgical Combinat   Uzbekistan   On Smelter Look-up Tab List Only
Gold   Pease & Curren   United States of America   On Smelter Look-up Tab List Only
Gold   Penglai Penggang Gold Industry Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   Refinery of Seemine Gold Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   Sabin Metal Corp.   United States of America   On Smelter Look-up Tab List Only
Gold   Sai Refinery   India   On Smelter Look-up Tab List Only
Gold   SAMWON Metals Corp.   Korea, Republic of   On Smelter Look-up Tab List Only

 

7


Gold   Shandong Tiancheng Biological Gold Industrial Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   State Research Institute Center for Physical Sciences and Technology   Lithuania   On Smelter Look-up Tab List Only
Gold   Tongling Nonferrous Metals Group Co., Ltd.   China   On Smelter Look-up Tab List Only
Gold   TOO Tau-Ken-Altyn   Kazakhstan   On Smelter Look-up Tab List Only
Gold   Yunnan Copper Industry Co., Ltd.   China   On Smelter Look-up Tab List Only
Tantalum   Asaka Riken Co., Ltd.   Japan   Conformant
Tantalum   Changsha South Tantalum Niobium Co., Ltd.   China   Conformant
Tantalum   D Block Metals, LLC   United States of America   Conformant
Tantalum   Exotech Inc.   United States of America   Conformant
Tantalum   F&X Electro-Materials Ltd.   China   Conformant
Tantalum   FIR Metals & Resource Ltd.   China   Conformant
Tantalum   Global Advanced Metals Aizu   Japan   Conformant
Tantalum   Global Advanced Metals Boyertown   United States of America   Conformant
Tantalum   Guangdong Rising Rare Metals-EO Materials Ltd.   China   Conformant
Tantalum   Guangdong Zhiyuan New Material Co., Ltd.   China   Conformant
Tantalum   H.C. Starck Co., Ltd.   Thailand   Conformant
Tantalum   H.C. Starck Hermsdorf GmbH   Germany   Conformant
Tantalum   H.C. Starck Inc.   United States of America   Conformant
Tantalum   H.C. Starck Ltd.   Japan   Conformant
Tantalum   H.C. Starck Smelting GmbH & Co. KG   Germany   Conformant
Tantalum   H.C. Starck Tantalum and Niobium GmbH   Germany   Conformant
Tantalum   Hengyang King Xing Lifeng New Materials Co., Ltd.   China   Conformant
Tantalum   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.   China   Conformant
Tantalum   Jiangxi Tuohong New Raw Material   China   Conformant
Tantalum   JiuJiang JinXin Nonferrous Metals Co., Ltd.   China   Conformant
Tantalum   Jiujiang Nonferrous Metals Smelting Company Limited   China   Conformant
Tantalum   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.   China   Conformant
Tantalum   KEMET Blue Metals   Mexico   Conformant
Tantalum   KEMET Blue Powder   United States of America   Conformant
Tantalum   LSM Brasil S.A.   Brrazil   Conformant
Tantalum   Metallurgical Products India Pvt., Ltd.   India   Conformant
Tantalum   Mineração Taboca S.A.   Brrazil   Conformant
Tantalum   Mitsui Mining & Smelting   Japan   Conformant
Tantalum   Ningxia Orient Tantalum Industry Co., Ltd.   China   Conformant
Tantalum   NPM Silmet AS   Estonia       Conformant

 

8


Tantalum   Power Resources Ltd.   Macedonia, The Former Yugoslav Republic of   Conformant
Tantalum   QuantumClean   United States of America   Conformant
Tantalum   Resind Indústria e Comércio Ltda.   Brrazil   Conformant
Tantalum   RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.   China   Conformant
Tantalum   Solikamsk Magnesium Works OAO   Russian Federation   Conformant
Tantalum   Taki Chemicals   Japan   Conformant
Tantalum   Telex Metals   United States of America   Conformant
Tantalum   Ulba Metallurgical Plant JSC   Kazakhstan   Conformant
Tantalum   XinXing HaoRong Electronic Material Co., Ltd.   China   Conformant
Tin   Alpha   United States of America   Conformant
Tin   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.   China   Conformant
Tin   China Tin Group Co., Ltd.   China   Conformant
Tin   CV Ayi Jaya   Indonesia   Conformant
Tin   CV Dua Sekawan   Indonesia   Conformant
Tin   CV Gita Pesona   Indonesia   Conformant
Tin   CV Serumpun Sebalai   Indonesia   Conformant
Tin   CV Tiga Sekawan   Indonesia   Conformant
Tin   CV United Smelting   Indonesia   Conformant
Tin   CV Venus Inti Perkasa   Indonesia   Conformant
Tin   Dowa   Japan   Conformant
Tin   EM Vinto   Bolivia (Plurinational State of)   Conformant
Tin   Fenix Metals   Poland   Conformant
Tin   Gejiu Fengming Metallurgy Chemical Plant   China   Conformant
Tin   Gejiu Jinye Mineral Company   China   Conformant
Tin   Gejiu Kai Meng Industry and Trade LLC   China   Conformant
Tin   Gejiu Non-Ferrous Metal Processing Co., Ltd.   China   Conformant
Tin   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.   China   Conformant
Tin   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.   China   Conformant
Tin   Guanyang Guida Nonferrous Metal Smelting Plant   China   Conformant
Tin   HuiChang Hill Tin Industry Co., Ltd.   China   Conformant
Tin   Huichang Jinshunda Tin Co., Ltd.   China   Conformant
Tin   Jiangxi Ketai Advanced Material Co., Ltd.   China   Conformant
Tin   Magnu’s Minerais Metais e Ligas Ltda.   Brrazil   Conformant
Tin   Malaysia Smelting Corporation (MSC)   Malaysia   Conformant
Tin   Melt Metais e Ligas S.A.   Brrazil   Conformant
Tin   Metallic Resources, Inc.   United States of America   Conformant

 

9


Tin   Metallo Belgium N.V.   Belgium   Conformant
Tin   Metallo Spain S.L.U.   Spain   Conformant
Tin   Mineração Taboca S.A.   Brrazil   Conformant
Tin   Minsur   Peru   Conformant
Tin   Mitsubishi Materials Corporation   Japan   Conformant
Tin   Nankang Nanshan Tin Manufactory Co., Ltd.   China   Conformant
Tin   O.M. Manufacturing (Thailand) Co., Ltd.   Thailand   Conformant
Tin   O.M. Manufacturing Philippines, Inc.   Philippines   Conformant
Tin   Operaciones Metalurgical S.A.   Bolivia (Plurinational State of)   Conformant
Tin   PT Aries Kencana Sejahtera   Indonesia   Conformant
Tin   PT Artha Cipta Langgeng   Indonesia   Conformant
Tin   PT ATD Makmur Mandiri Jaya   Indonesia   Conformant
Tin   PT Babel Inti Perkasa   Indonesia   Conformant
Tin   PT Bangka Prima Tin   Indonesia   Conformant
Tin   PT Bangka Tin Industry   Indonesia   Conformant
Tin   PT Belitung Industri Sejahtera   Indonesia   Conformant
Tin   PT Bukit Timah   Indonesia   Conformant
Tin   PT DS Jaya Abadi   Indonesia   Conformant
Tin   PT Eunindo Usaha Mandiri   Indonesia   Conformant
Tin   PT Inti Stania Prima   Indonesia   Conformant
Tin   PT Karimun Mining   Indonesia   Conformant
Tin   PT Kijang Jaya Mandiri   Indonesia   Conformant
Tin   PT Lautan Harmonis Sejahtera   Indonesia   Conformant
Tin   PT Menara Cipta Mulia   Indonesia   Conformant
Tin   PT Mitra Stania Prima   Indonesia   Conformant
Tin   PT Panca Mega Persada   Indonesia   Conformant
Tin   PT Prima Timah Utama   Indonesia   Conformant
Tin   PT Refined Bangka Tin   Indonesia   Conformant
Tin   PT Sariwiguna Binasentosa   Indonesia   Conformant
Tin   PT Stanindo Inti Perkasa   Indonesia   Conformant
Tin   PT Sukses Inti Makmur   Indonesia   Conformant
Tin   PT Sumber Jaya Indah   Indonesia   Conformant
Tin   PT Timah (Persero) Tbk Kundur   Indonesia   Conformant
Tin   PT Timah (Persero) Tbk Mentok   Indonesia   Conformant
Tin   PT Tinindo Inter Nusa   Indonesia   Conformant
Tin   PT Tommy Utama   Indonesia   Conformant
Tin   Resind Indústria e Comércio Ltda.   Brrazil   Conformant
Tin   Rui Da Hung   Taiwan, Province of China   Conformant
Tin   Soft Metais Ltda.   Brrazil   Conformant
Tin   Thaisarco   Thailand   Conformant

 

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Tin   White Solder Metalurgia e Mineração Ltda.   Brrazil   Conformant
Tin   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.   China   Conformant
Tin   Yunnan Tin Company Limited   China   Conformant
Tin   Modeltech Sdn Bhd   Malaysia   Active
Tin   An Vinh Joint Stock Mineral Processing Company   Vietnam   On Smelter Look-up Tab List Only
Tin   Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company   Vietnam   On Smelter Look-up Tab List Only
Tin   Estanho de Rondônia S.A.   Brrazil   On Smelter Look-up Tab List Only
Tin   Gejiu Zili Mining And Metallurgy Co., Ltd.   China   On Smelter Look-up Tab List Only
Tin   Nghe Tinh Non-Ferrous Metals Joint Stock Company   Vietnam   On Smelter Look-up Tab List Only
Tin   Super Ligas   Brrazil   On Smelter Look-up Tab List Only
Tungsten   A.L.M.T. TUNGSTEN Corp.   Japan   Conformant
Tungsten   ACL Metais Eireli   Brrazil   Conformant
Tungsten   Asia Tungsten Products Vietnam Ltd.   Vietnam   Conformant
Tungsten   Chenzhou Diamond Tungsten Products Co., Ltd.   China   Conformant
Tungsten   Chongyi Zhangyuan Tungsten Co., Ltd.   China   Conformant
Tungsten   Fujian Jinxin Tungsten Co., Ltd.   China   Conformant
Tungsten   Ganzhou Huaxing Tungsten Products Co., Ltd.   China   Conformant
Tungsten   Ganzhou Jiangwu Ferrotungsten Co., Ltd.   China   Conformant
Tungsten   Ganzhou Seadragon W & Mo Co., Ltd.   China   Conformant
Tungsten   Global Tungsten & Powders Corp.   United States of America   Conformant
Tungsten   Guangdong Xianglu Tungsten Co., Ltd.   China   Conformant
Tungsten   H.C. Starck Smelting GmbH & Co. KG   Germany   Conformant
Tungsten   H.C. Starck Tungsten GmbH   Germany   Conformant
Tungsten   Hunan Chenzhou Mining Co., Ltd.   China   Conformant
Tungsten   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji   China   Conformant
Tungsten   Hunan Chunchang Nonferrous Metals Co., Ltd.   China   Conformant
Tungsten   Hydrometallurg, JSC   Russian Federation   Conformant
Tungsten   Japan New Metals Co., Ltd.   Japan   Conformant
Tungsten   Jiangwu H.C. Starck Tungsten Products Co., Ltd.   China   Conformant
Tungsten   Jiangxi Gan Bei Tungsten Co., Ltd.   China   Conformant
Tungsten   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   China   Conformant
Tungsten   Jiangxi Xinsheng Tungsten Industry Co., Ltd.   China   Conformant
Tungsten   Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.   China   Conformant
Tungsten   Jiangxi Yaosheng Tungsten Co., Ltd.   China   Conformant
Tungsten   Kennametal Fallon   United States of America   Conformant
Tungsten   Kennametal Huntsville   United States of America   Conformant
Tungsten   Malipo Haiyu Tungsten Co., Ltd.   China   Conformant

 

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Tungsten   Moliren Ltd.   Russian Federation   Conformant
Tungsten   Niagara Refining LLC   United States of America   Conformant
Tungsten   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   Vietnam   Conformant
Tungsten   Philippine Chuangxin Industrial Co., Inc.   Philippines   Conformant
Tungsten   South-East Nonferrous Metal Company Limited of Hengyang City   China   Conformant
Tungsten   Tejing (Vietnam) Tungsten Co., Ltd.   Vietnam   Conformant
Tungsten   Unecha Refractory Metals Plant   Russian Federation   Conformant
Tungsten   Vietnam Youngsun Tungsten Industry Co., Ltd.   Vietnam   Conformant
Tungsten   Wolfram Bergbau und Hütten AG   Austria   Conformant
Tungsten   Woltech Korea Co., Ltd.   Korea, Republic of   Conformant
Tungsten   Xiamen Tungsten (H.C.) Co., Ltd.   China   Conformant
Tungsten   Xiamen Tungsten Co., Ltd.   China   Conformant
Tungsten   Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.   China   Conformant
Tungsten   Xinhai Rendan Shaoguan Tungsten Co., Ltd.   China   Conformant
Tungsten   Ganzhou Haichuang Tungsten Co., Ltd.   China   Active
Tungsten   Hunan Litian Tungsten Industry Co., Ltd.   China   Active
Tungsten   Ganzhou Yatai Tungsten Co., Ltd.   China   On Smelter Look-up Tab List Only
Tungsten   Jiangxi Dayu Longxintai Tungsten Co., Ltd.   China   On Smelter Look-up Tab List Only
Tungsten   Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   China   On Smelter Look-up Tab List Only

The Company notes the following in connection with the information in the table above:

 

a. Not all of the included SORs may have processed the necessary 3TG contained in MACOM’s in-scope products, since some Suppliers reported at a “company level,” meaning that they reported the 3TG contained in all of their products, not just those in the products that they sold MACOM. Some Suppliers also may have reported SORs that were not in MACOM’s supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the SORs reflected above may not include all of the SORs in MACOM’s supply chain, since some Suppliers did not identify all of their SORs and because not all Suppliers responded to MACOM’s inquiries.

 

b. The table only includes entities that meet the definition of SORs set out in the RMAP protocols for tin, tantalum, tungsten, and gold.

 

c. Smelter or refiner status information in the table is as of May 11, 2018.

 

d. “Conformant” means that a SOR was listed as conformant with the RMAP’s assessment protocols, including through mutual recognition. SORs that are listed as “Re-audit in process” by the RMAP are considered to be Conformant by the RMAP. Included SORs were not necessarily Conformant for all or part of 2017 and may not continue to be Conformant for any future period.

 

e. “Active” is a RMAP designation that means that the smelter or refiner is a participant in the RMAP and has committed to undergo an audit or is participating in a cross-recognized certification program.

 

f. “On Smelter Look-up Tab List Only” means a SOR is listed on the Smelter Look-up tab list of the CMRT, but is not listed as “Conformant” or “Active.”

 

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g. SOR location is based solely on information made public by the RMI, without independent verification by MACOM. SOR status reflected in the table is based solely on information made publicly available by the RMI, without independent verification by MACOM.

Country of Origin Information

The identified countries of origin of the 3TG processed by the SORs listed in the table above are believed to have potentially included the countries in the categories listed below. The categories are organized by risk. These may not be all of the countries from which the identified SORs have sourced, and the identified SORs may not have sourced from all of these countries.

L1 – Countries that are not identified as conflict regions or plausible areas of smuggling or export from the Covered Countries: Argentina, Australia, Austria, Benin, Bolivia, Brazil, Burkina Faso, Cambodia, Canada, Chile, China, Colombia, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Senegal, Sierra Leone, Spain, Thailand, Togo, United Kingdom, United States of America, Uzbekistan, Vietnam and Zimbabwe.

L2—Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Mozambique and South Africa.

L3—The DRC and its adjoining countries: Burundi, Rwanda and Uganda.

DRC—Democratic Republic of the Congo.

Alternatively, or in addition, some of the identified SORs have sourced from recycled or scrap sources.

Improvement Plan

MACOM is taking or intends to continue to take the following steps to improve the due diligence conducted to further mitigate risk that the necessary 3TG in MACOM’s products could directly or indirectly benefit or finance armed groups in the Covered Countries:

 

    Use the the CMRT for 2018 supplier outreach.

 

    Continue to encourage suppliers to take the steps needed to obtain and provide current, accurate and complete information about their SORs by enhancing training materials and through further outreach.

 

    Continue to encourage suppliers to source responsibly from SORs that are listed as “Conformant” or “Active” by the RMAP program.

 

    Contact identified SORs that are not certified “Conformant” or “Active” by the RMAP program to request their participation in the program.

Conclusion

Given the potential limitations affecting the reliability of third-party certification systems and supply chain inquiries that have been cited by certain commentators, we are not expressing a determination that our products are “DRC conflict free” within the meaning of the Rule. However, no information has come to our attention that causes us to believe that any of the 3TG in our products are directly or indirectly financing or benefiting armed groups in a Covered Country.

Forward-Looking Statements

This document contains “forward-looking statements” made within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as “believes,” “anticipates,” “plans,” “may,” “intends,” “will,” “should,”

 

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“expects” and similar expressions or the use of the future tense are intended to identify forward-looking statements. In addition, any statements that do not relate to historical or current facts or matters are forward-looking statements. Statements concerning current conditions may also be forward-looking if they imply a continuation of current conditions. Examples of forward-looking statements within this document include, but are not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG benefit armed groups.

Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties include, but are not limited to: (1) the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all; (2) whether SORs and other market participants responsibly source 3TG; and (3) political and regulatory developments, whether in the Covered Countries, the United States or elsewhere. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of the filing of this document. We do not intend, and undertake no obligation, to publish revised forward-looking statements to reflect events or circumstances after the date of the filing of this document or to reflect the occurrence of unanticipated events.

 

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