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.
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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. |
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| • | 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 |
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| • | 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.
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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 | |||
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| 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 | |||
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| 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 | |||
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| 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 | |||
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| 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 | |||
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| 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 | |||
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| 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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