<SEC-DOCUMENT>0001140361-16-067492.txt : 20160527
<SEC-HEADER>0001140361-16-067492.hdr.sgml : 20160527
<ACCEPTANCE-DATETIME>20160527084548
ACCESSION NUMBER:		0001140361-16-067492
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		2
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20151231
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<ITEM>
<ITEM-NUMBER>1.02
<ITEM-PERIOD>20151231
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FILED AS OF DATE:		20160527
DATE AS OF CHANGE:		20160527

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			KIRBY CORP
		CENTRAL INDEX KEY:			0000056047
		STANDARD INDUSTRIAL CLASSIFICATION:	WATER TRANSPORTATION [4400]
		IRS NUMBER:				741884980
		STATE OF INCORPORATION:			NV
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-07615
		FILM NUMBER:		161680059

	BUSINESS ADDRESS:	
		STREET 1:		55 WAUGH DRIVE SUITE 1000
		CITY:			HOUSTON
		STATE:			TX
		ZIP:			77385
		BUSINESS PHONE:		7134351000

	MAIL ADDRESS:	
		STREET 1:		P.O. BOX 1745
		CITY:			HOUSTON
		STATE:			TX
		ZIP:			77251

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	KIRBY EXPLORATION CO INC
		DATE OF NAME CHANGE:	19900510
</SEC-HEADER>
<DOCUMENT>
<TYPE>SD
<SEQUENCE>1
<FILENAME>formsd.htm
<DESCRIPTION>KIRBY CORPORATION FORM SD 12-31-2015
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 14pt; FONT-WEIGHT: bold">UNITED STATES</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 14pt; FONT-WEIGHT: bold">SECURITIES AND EXCHANGE COMMISSION</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 12pt; FONT-WEIGHT: bold">Washington, D.C. 20549</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 18pt; FONT-WEIGHT: bold">FORM SD</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">SPECIALIZED DISCLOSURE REPORT</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 24pt; FONT-WEIGHT: bold">KIRBY CORPORATION</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">(Exact name of registrant as specified in its charter)</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">&#160;</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Nevada</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">001-07615</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">74-1884980</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">(State or other jurisdiction of incorporation)</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">(Commission File Number)</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">(IRS Employer Identification No.)</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">55 Waugh Drive, Suite 1000</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Houston, Texas 77007</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">(Address of principal executive offices, including zip code)</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Amy D. Husted</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Vice President&#8211;Legal</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">(713) 435-1000</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">(Name and telephone number, including area code, of the person to contact in connection with this report)</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">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:</div>

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<td style="TEXT-ALIGN: left; WIDTH: auto; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">Rule 13p-1 under the Securities Exchange Act of 1934 (17 CFR 240.13p-1) for the reporting period from January 1, 2015 to December 31, 2015</td>
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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Section 1&#8212;Conflict Minerals Disclosure</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Item 1.01 Conflict Minerals Disclosure and Report</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Kirby Corporation (the &#8220;Company&#8221;) has determined that tin, tungsten, tantalum and/or gold may be necessary to the functionality or production of one or more products manufactured by the Company or contracted by the Company to be manufactured, and the Company has conducted in good faith a reasonable country of origin inquiry regarding those conflict minerals that is reasonably designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or an adjoining country, or are from a recycled or scrap source, and has conducted due diligence on the source and custody of those conflict minerals.&#160; As a result, the Company is filing a Conflict Minerals Report.</div>

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<div style="TEXT-ALIGN: justify; FONT-STYLE: italic; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Conflict Minerals Disclosure</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">A copy of the Company&#8217;s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at: http://kirbycorp.com/investor-relations/corporate-governance/.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Item 1.02 Exhibit</div>

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<div style="TEXT-ALIGN: justify; TEXT-INDENT: -36pt; FONT-FAMILY: 'Times New Roman'; MARGIN-LEFT: 36pt; FONT-SIZE: 10pt">The Company&#8217;s Conflict Minerals Report is attached to this report as Exhibit 1.01.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Section 2&#8212;Exhibits</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Item 2.01&#160; Exhibits</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Exhibit No.</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Description</div>
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<td style="WIDTH: 8%; VERTICAL-ALIGN: bottom"></td>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">1.01*</div>
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<td style="WIDTH: 89%; VERTICAL-ALIGN: bottom">Conflict Minerals Report of Kirby Corporation for the year ended December 31, 2015 as required by Items 1.01 and 1.02 of this Form SD.</td>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Filed herewith.</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">SIGNATURE</div>

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<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">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.</div>

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<td style="VERTICAL-ALIGN: top; FONT-WEIGHT: bold" colspan="2">KIRBY CORPORATION</td>
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<td style="PADDING-BOTTOM: 2px; WIDTH: 3%; VERTICAL-ALIGN: top">By:</td>
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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">/s/ C. Andrew Smith</div>
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<td style="WHITE-SPACE: nowrap; VERTICAL-ALIGN: top">Name:&#160; </td>
<td style="VERTICAL-ALIGN: top">C. Andrew Smith</td>
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<div>Title: </div>
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<td style="VERTICAL-ALIGN: top" colspan="2">Executive Vice President and Chief Financial Officer&#160;</td>
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<td style="WIDTH: 3%; VERTICAL-ALIGN: top">&#160;</td>
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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; MARGIN-LEFT: 36pt; FONT-SIZE: 10pt">Date: May 27, 2016</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Exhibit No.</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Description</div>
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<td style="WIDTH: 8%; VERTICAL-ALIGN: bottom">&#160;</td>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt"><a href="ex1_01.htm">1.01*</a></div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Conflict Minerals Report of Kirby Corporation for the year ended December 31, 2015 as required by Items 1.01 and 1.02 of this Form SD.</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">* Filed herewith.</div>
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<DOCUMENT>
<TYPE>EX-1.01
<SEQUENCE>2
<FILENAME>ex1_01.htm
<DESCRIPTION>EXHIBIT 1.01
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<div style="TEXT-ALIGN: right; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Exhibit 1.01</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Kirby Corporation</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Conflict Minerals Report</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">For the Calendar Year Ended December 31, 2015</div>

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<td style="WIDTH: 36pt; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; VERTICAL-ALIGN: top; FONT-WEIGHT: bold; align: right">1.</td>
<td style="TEXT-ALIGN: justify; WIDTH: auto; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; VERTICAL-ALIGN: top; FONT-WEIGHT: bold">Company and Product Overview</td>
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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">This report has been prepared by the management of Kirby Corporation, a Nevada corporation (herein referred to as &#8220;Kirby,&#8221; the &#8220;Company,&#8221; &#8220;we,&#8221; &#8220;us,&#8221; or &#8220;our&#8221;), pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (the &#8220;Exchange Act&#8221;).&#160; Through the Company&#8217;s diesel engine services segment, the Company provides after-market services for medium-speed and high-speed diesel engines, reduction gears and ancillary products for marine and power generation applications, distributes and services high-speed diesel engines, transmissions and pumps, and manufactures and remanufactures oilfield service equipment, including pressure pumping units, for the land-based oilfield service and oil and gas operator and producer markets.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Conflict Minerals Policy</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">We have adopted a conflict minerals policy, which has been communicated internally to relevant personnel and to suppliers as described below.&#160; The policy is available at http://kirbycorp.com/investor-relations/corporate-governance/.&#160; The information on our web site does not constitute part of this Conflict Minerals Report.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Supply Chain and Reasonable Country of Origin Inquiry</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">The products that we manufacture are complex, typically containing numerous products from many suppliers.&#160; We have relationships with a significant number of suppliers throughout the world and there are generally multiple tiers between the tin, tungsten, tantalum and/or gold (&#8220;3TG&#8221;) mines and our direct suppliers.&#160; As a result, we must rely on our direct suppliers to work with upstream suppliers in order that they may provide us with accurate information about the origin of 3TG in the products we purchase from our direct suppliers.&#160; We conducted a reasonable country of origin inquiry to determine which products supplied to us contain 3TG and whether the 3TG originated in the Democratic Republic of the Congo or an adjoining country (&#8220;Covered Countries&#8221;).</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt"><font style="FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Because of the complexity and size of our supply chain, it was not practicable to conduct a survey of all of our suppliers. For 2015, 334 of our suppliers were identified by Kirby&#8217;s relevant business units as potentially supplying products that contain 3TG.&#160; Our internal conflict minerals team was able to eliminate 87 suppliers based on the team&#8217;s assessment that either (i) the necessary conflict minerals, if any, contained in the products supplied were outside of the supply chain prior to January 31, 2013, (ii) the products supplied did not contain 3TG, or (iii) the products supplied were not </font>contained in products manufactured by the Company or its subsidiaries (or contracted by the Company or its subsidiaries to be manufactured)<font style="FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">.&#160; </font>The remaining suppliers were sent (i) the Electronic Industry Citizenship Coalition (EICC)&#8211;Global e-Sustainability Initiative (GeSI) Conflict Minerals Reporting Template (each, a &#8220;CMRT&#8221;) to request specified information regarding the inclusion of conflict minerals in the products supplied to the Company or its subsidiaries and the country of origin thereof, and (ii) a copy of the Company&#8217;s current conflict minerals policy.&#160; Each CMRT was evaluated for consistency, completeness, and accuracy and, in certain circumstances, further inquiries were made to clarify or improve the quality of the responses.&#160; Moreover, suppliers providing no response or an inadequate response were subject to additional written or oral requests for information.&#160; Information available from other sources (public and private) regarding the use and country of origin of conflict minerals in such suppliers&#8217; products was also obtained and reviewed.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Based on responses received, we determined that 3TG present in certain of our products may have originated in the Covered Countries and may not be from scrap or recycled sources. Therefore, in accordance with Rule 13p-1 under the Exchange Act, we proceeded to engage in due diligence regarding the sources and chain of custody of 3TG.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">We do not have direct relationships with 3TG smelters or refiners. We have determined that requesting our suppliers to complete the CMRT represents our reasonable best efforts to determine the mines or locations of origin of 3TG in our supply chain.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">The suppliers from which we requested information indicated in their response that the information provided was at a company or divisional level and did not specify whether the actual products supplied to Kirby contained 3TG from the Covered Countries.&#160; Therefore, it is not possible for us to determine with certainty the specific facilities used to process 3TG used in our products.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Our due diligence process applied to conflict minerals included in our products which our reasonable country of origin inquiry identifies may have originated in the Covered Countries follows, in all material respects, the applicable framework presented by the Organisation for Economic Co-operation and Development (OECD) in the publication <font style="FONT-STYLE: italic; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">OECD</font> (2013) <font style="FONT-STYLE: italic; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas </font>and the related Supplements for 3TG (the &#8220;OECD Guidance&#8221;), taking into account the particular facts and circumstances of the Company, its products and its place in the supply chain.&#160; The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. This framework consists of the following elements: (i) establish strong company management systems; (ii) identify and assess risk in the supply chain; (iii) design and implement a strategy to respond to identified risks; (iv) carry out independent third-party audit of supply chain due diligence at identified points in the supply chain; and (v) report on supply chain due diligence.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">As described above, the Company has adopted a conflict minerals policy, which is posted on our website.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Internal Team</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">We have established a conflict minerals team to support supply chain due diligence related to 3TG. Our conflict minerals team includes internal resources (including supply chain personnel and legal support) and external resources. The team is responsible for implementing our conflict minerals compliance strategy.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Control Systems</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Controls include, but are not limited to, our Business Ethics Guidelines, which outline expected behaviors for all Kirby employees.&#160;&#160; As outlined in the OECD Guidance, the internationally recognized standard on which our Company&#8217;s system is based, we support an industry initiative that audits smelters&#8217; and refiners&#8217; due diligence activities.&#160; That industry initiative is the EICC and GeSI&#8217;s Conflict-Free Sourcing Initiative.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Maintain Records</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Kirby maintains a records retention policy to ensure that relevant materials are preserved for appropriate periods.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">We consider all components and materials that contain conflict minerals in our supply chain to be a potential risk as we are downstream from the origin of any conflict minerals. Accordingly, all inputs to our products that we know or believe may contain conflict minerals are subject to our reasonable country of origin inquiry process described above and, where applicable, subsequent due diligence.</div>

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<td style="TEXT-ALIGN: justify; WIDTH: auto; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">We have implemented a risk management plan that outlines the Company responses to identified risks.</td>
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<td style="TEXT-ALIGN: justify; WIDTH: auto; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">We found no instance where it was necessary to implement risk mitigation efforts, temporarily suspend trade or disengage with a supplier.&#160; We engage in regular ongoing risk assessment through our suppliers&#8217; annual data submissions.</td>
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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">We do not typically have a direct relationship with 3TG smelters and refiners and, therefore, do not perform or direct audits of these entities.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">We have filed a Form SD and this Conflict Minerals Report for 2015 with the Securities and Exchange Commission, and each is made available on our web site.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">The suppliers from which we requested information indicated in their response that the information provided was at a company or divisional level and did not specify whether the actual products supplied to Kirby contained 3TG from the Covered Countries.&#160; Therefore, it is not possible for us to determine with certainty the specific facilities used to process the 3TG used in our products.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">We intend to continue to take the following steps to improve the due diligence conducted to further mitigate the risk that the 3TG in our products finance or benefit armed groups in the Covered Countries:</div>

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<td style="TEXT-ALIGN: justify; WIDTH: auto; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">Engage any suppliers if found to be providing us with products containing 3TG from sources that support conflict in the Covered Countries to establish an alternative source of 3TG.</td>
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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">An independent private sector audit of this report was not required for this reporting period.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: 'Times New Roman'; FONT-SIZE: 10pt">Statements in this report which are not historical facts are forward-looking statements under the provisions of the Private Securities Litigation Reform Act of 1995. All forward-looking statements involve risks and uncertainties which could affect the company&#8217;s actual results and could cause its actual results to differ materially from those expressed in any forward looking statements made by, or on behalf of, the company. Further information regarding the important factors that could cause actual results to differ from projected results can be found in the Company&#8217;s reports filed with the SEC, including our Annual Report on Form 10-K for the fiscal year ended December 31, 2015.&#160; We do not undertake any obligation to revise these forward-looking statements to reflect future events.</div>

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