<SEC-DOCUMENT>0001654954-21-006375.txt : 20210528
<SEC-HEADER>0001654954-21-006375.hdr.sgml : 20210528
<ACCEPTANCE-DATETIME>20210528163613
ACCESSION NUMBER:		0001654954-21-006375
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		2
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20201231
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FILED AS OF DATE:		20210528
DATE AS OF CHANGE:		20210528

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			EASTERN CO
		CENTRAL INDEX KEY:			0000031107
		STANDARD INDUSTRIAL CLASSIFICATION:	CUTLERY, HANDTOOLS & GENERAL HARDWARE [3420]
		IRS NUMBER:				060330020
		STATE OF INCORPORATION:			CT
		FISCAL YEAR END:			0101

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-35383
		FILM NUMBER:		21980906

	BUSINESS ADDRESS:	
		STREET 1:		112 BRIDGE ST
		STREET 2:		P O BOX 460
		CITY:			NAUGATUCK
		STATE:			CT
		ZIP:			06770
		BUSINESS PHONE:		2037292255

	MAIL ADDRESS:	
		STREET 1:		112 BRIDGE STREET
		STREET 2:		P O BOX 460
		CITY:			NAUGATUCK
		STATE:			CT
		ZIP:			06770
</SEC-HEADER>
<DOCUMENT>
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UNITED STATES</font></div>
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SECURITIES AND EXCHANGE COMMISSION</font></div>
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Washington, D.C. 20549</font></div>
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FORM SD</font></div>
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SPECIALIZED DISCLOSURE REPORT</font></div>
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The Eastern Company</font></div>
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(Exact Name of Registrant as Specified in its charter)</font></div>
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Connecticut</font></div>
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001-35383</font></div>
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06-0330020</font></div>
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(State or Other Jurisdiction of Incorporation or
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(Commission File Number)</font></div>
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(IRS Employer</font></div>
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Identification No.)</font></div>
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
112 Bridge Street, Naugatuck, CT</font></div>
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06770</font></div>
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(Address of Principal Executive Offices)</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
John L. Sullivan III</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
Vice President and Chief Financial Officer</font></div>
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(203) 729-2255</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">(Name
and telephone number, including area code, of the person to contact
in connection with this report)</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 12px; margin-right: 0px; text-indent: 0px">
<font style="color: #000000; font-family: Times New Roman; font-size: 13px">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:</font></div>
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<font style="color: #000000; font-family: Times New Roman; font-size: 13px">[x]
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for
the reporting period from January 1 to December 31,
2020.</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
SECTION 1 - Conflict Minerals Disclosure</font></div>
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ITEM 1.01 Conflict Minerals Disclosure And Report</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">The
Eastern Company has filed a Conflict Minerals Report with the
Securities and Exchange Commission as Exhibit 1.01 hereto, which is
publicly available at <font style="text-decoration: underline; color: #000000">www.easterncompany.com</font>.</font></div>
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ITEM 1.02 Exhibit</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">The
Eastern Company has filed the Conflict Minerals Report required by
Item 1.01 as Exhibit 1.01 to this Form SD.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
SECTION 2 &#x2013; Exhibits</font></div>
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ITEM 2.01 Exhibits</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">The
following exhibit is filed as part of this report:</font></div>
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<div><font style="font-family: Times New Roman; font-size: 13px"><font style="text-decoration: underline">Exhibit No.</font></font></div>
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<div><font style="text-decoration: underline; font-family: Times New Roman; font-size: 13px">
Title</font></div>
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<div><a href="eml_ex101.htm"><font style="font-family: Times New Roman; font-size: 13px">Exhibit
1.01</font></a></div>
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<td style="width: 85%;">
<div><font style="font-family: Times New Roman; font-size: 13px">The Eastern Company
Conflict Minerals Report - Reporting Year 2020 Conflict Minerals
Report.</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
SIGNATURES</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Pursuant to the
requirements of the Securities Exchange Act of 1934, The Registrant
has duly caused this report to be signed on its behalf by the
undersigned, hereunto duly authorized.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
The Eastern Company</font></div>
</td>
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</div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Date:
May 28, 2021</font></div>
</td>
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<font style="font-family: Times New Roman; font-size: 13px">/s/John
L. Sullivan III</font></div>
</td>
</tr><tr>
<td style="vertical-align: middle; width: 46%">
<div><font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
</td>
<td style="vertical-align: middle; width: 54%">
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">John L.
Sullivan III</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">Vice
President and Chief Financial Officer</font></div>
</td>
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</div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<TYPE>EX-1
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<FILENAME>eml_ex101.htm
<DESCRIPTION>UNDERWRITING AGREEMENT
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<font style="font-family: Times New Roman; font-size: 13px">Exhibit
1.01</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">THE
EASTERN COMPANY</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">CONFLICT
MINERALS REPORT</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">REPORTING
YEAR: 2020</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">COMPANY
OVERVIEW</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">The
operations of The Eastern Company (the &#x201C;Company&#x201D;)
consist of two business segments: Engineered Solutions and
Diversified Products. The Engineered Solutions segment designs,
manufactures and markets a diverse product line of custom and
standard vehicular and industrial hardware, including turnkey
returnable packaging solutions, access and security hardware,
mirrors, and mirror-cameras. The Diversified Products segment
manufactures and markets payment systems and coin security products
used primarily in the commercial laundry market, printed circuit
boards and other electronic assemblies to OEMs in various
industries, including measurement systems, semiconductor equipment
manufacturing, and industrial controls, medical and military
products. This segment also manufactures high quality ductile and
malleable iron castings that are sold into a wide range of
industrial markets, including the oil, water and gas;
truck/automotive rail, and military/aerospace.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">During
2020 the Company identified certain of its products were likely to
contain conflict minerals, as that term is defined by Rule 13p-1
under the Securities Exchange Act of 1934 (the &#x201C;Rule&#x201D;),
due to the presence of such minerals in parts obtained from
suppliers, either contract manufacturers or original equipment
manufacturers &#x201C;OEM&#x201D;, or from utilization of conflict
minerals in manufacturing processes employed by the Company
suppliers. Supplier parts obtained by the Company and used in the
Company products include electronic component such as motors,
switches, harnesses, connectors and various electronic switch locks
the Company contracts to manufacture. The Company does not directly
purchase any of the Conflict Minerals and instead purchases
components for use in higher level assemblies. The Company is
therefore several levels removed from the actual mining of conflict
minerals. The Company does not make purchases of raw ore or
unrefined conflict minerals and makes no purchases in the
Democratic Republic of the Congo or an adjoining country. The
Company has a Conflict Minerals Policy that is available on its
website at www.easterncompany.com under &#x201C;Corporate
Governance&#x201D;.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">REASONABLE
COUNTRY OF ORIGIN INQUIRY</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Subsequent
to the Company&#x2019;s initial assessment that certain supplier
parts are likely to contain conflict minerals, the Company
conducted a reasonable country of origin inquiry &#x201C;RCOI&#x201D;
based on the OECD Due Diligence Guidance for Responsible Supply
Chains of Minerals from Conflict-Affected and High-Risk Areas to
determine which of the Company-utilized parts contain conflict
minerals and whether such conflict minerals originated in the
Democratic Republic of the Congo or an adjoining country. The
Company contacted each of its suppliers and asked them to provide
information on (1) the conflict minerals contained in each of the
parts supplied by that supplier and (2) the source of the conflict
minerals, including smelter/refinery information and location of
mines. Each supplier was asked to complete the Responsible Minerals
Initiative (&#x201C;RMI&#x201D;) (formerly the Conflict-Free Sourcing
Initiative) Conflict Minerals Reporting Template, a standardized
reporting template developed by the RMI, an initiative of the
Responsible Business Alliance and the Global e-Sustainability
Initiative, which facilitates the transfer of relevant and
necessary information through the supply chain regarding mineral
country of origin and smelters and refiners being utilized. Of the
suppliers identified as supplying the Company with product in 2020
containing Conflict Minerals and subsequently contacted, several
replied that the source of the Conflict Minerals was uncertain or
provided the name and address of smelters not contained on RMI's
Conflict Free Smelter &#x201C;CFS&#x201D; reference list. Therefore,
in accordance with Rule 13p-1 under the Securities Exchange Act of
1934, the Company proceeded to engage in due diligence regarding
the sources and chain of custody of its conflict
minerals.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">DUE
DILIGENCE - STANDARD UTILIZED</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">The
Company designed its due diligence framework to conform in all
material respects with the framework provided by The Organization
for Economic Co-operation and Development &#x201C;OECD&#x201D; Due
Diligence Guidance for Responsible Supply Chains of Minerals from
Conflict-Affected and High-Risk Areas, an
internationally-recognized due diligence framework.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">DUE
DILIGENCE - PROCESS</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">The
Eastern Company due diligence exercise included:</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">1.
Submitting the Responsible Minerals Initiative (&#x201C;RMI&#x201D;)
(formerly the Conflict-Free Sourcing Initiative) Conflict Minerals
Reporting Template, a standardized reporting template developed by
the RMI, to each supplier of parts potentially containing conflict
minerals. That template provided a standardized method for The
Eastern Company to use in the collection of representations,
statements and data from the Company&#x2019;s suppliers relative to
the presence, use, source and chain of custody of conflict minerals
in supplier parts that are incorporated in the Company&#x2019;s
products for sale to end-use customers.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">2.
Supplying the RMI's Conflict Free Smelter &#x201C;CFS&#x201D;
reference list - a listing of known smelters to be validated as
&#x201C;conformant&#x201D; in RMI&#x2019;s Standard Smelters and
Refiners List.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">3.
Comparing smelters identified in the reporting templates against
the list of smelter facilities which have been identified as
"conflict free" by the RMI's Conflict Free Sourcing
(&#x201C;CFS&#x201D;) program. The CFS program is a voluntary program
whereby an independent third party evaluates smelter procurement
activities to determine whether a smelter has sufficiently
demonstrated that all materials processed by that smelter
originated from sources that do not directly or indirectly finance
or benefit armed groups in the Democratic Republic of the Congo or
an adjoining country.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">In
numerous instances the Company received, after repeat inquiries,
conflicting or incomplete information regarding those facilities
utilized to process necessary conflict minerals in supplier parts,
as well as insufficient information regarding the mine(s) or
source(s) of origin of those conflict minerals. Nevertheless, each
supplier response was evaluated and, where possible, validated to
determine sufficiency, accuracy or completeness of its response.
For each supplier response, the Company subsequently assessed
whether the conflict minerals identified, or those conflict
minerals that may not have been identified, were consistent with
the nature and characteristics of the supplied part. For each
supplier response that was insufficient or incomplete, the Company
contacted the supplier for follow up, sometimes contacting certain
suppliers on multiple occasions. No supplier response stated that
conflict minerals were sourced from the Democratic Republic of the
Congo or an adjoining country or certified smelters sourcing from
legitimate mines in the covered countries. Of the several hundred
suppliers the Company purchases from, several suppliers could not
identify the smelter of the conflict mineral or the country where
the conflict minerals were smelted. If a supplier stated that
conflict minerals in its product were not sourced from the
Democratic Republic of the Congo or an adjacent country but did not
substantiate that information, the Company proceeded to verify that
supplier response. Typically, verification involved a more detailed
review of the supplier's smelter response and, where possible,
discussion with the supplier. If a supplier's response could not be
validated through details provided to the Company with regard to
the smelter and/or smelters involved, then the supplier response in
question was determined to be uncertain or unknown relative to the
question of sourcing of raw material and was reflected as such in
the Company RMI template summary.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">DUE
DILIGENCE - RESULTS</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">The
Eastern Company has determined in good faith that for calendar year
2020, its Conflict Minerals status resulting from its due diligence
efforts shows a portion to be DRC Conflict
Undeterminable.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">RISK
MITIGATION - IMPROVEMENT PROGRAM</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">The
steps that the Company will take in reporting year 2021 to mitigate
the risk that the Company conflict minerals benefit or finance
armed groups are as follows:</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">1. The
Company will continue to work with suppliers who provided
incomplete or insufficient information in an effort to obtain
complete and accurate information in 2021;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">2. The
Company will again request information and supporting data from
each supplier providing parts to the Company that are subject to
2021 reporting requirements by utilizing the RMI Conflict Minerals
Reporting Template; and will pursue a completed template response
that identifies material down to the smelter and mine.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">3. The
Company will again follow its due diligence process to review and
validate supplier responses that are obtained in support of the
Company 2021 conflict minerals reporting.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">4. The
Company will provide its Conflict Minerals Policy to suppliers as
part of its RMI Conflict Minerals Reporting Template based supplier
inquiry process for 2021.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">5. The
Company will encourage smelters and refiners to obtain
conflict-free status through the RMI CFS voluntary compliance
program.</font></div>
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