EX-1.01 2 a16-12540_1ex1d01.htm EX-1.01

Exhibit 1.01

 

MoSys, Inc.

 

Conflicts Minerals Report

 

For the year ended December 31, 2015

 

This is the Conflict Minerals Report of MoSys, Inc. (MoSys or the Company) for calendar year 2015 in accordance with Rule 13p-1 (Rule 13p-1) under the Securities Exchange Act of 1934. Rule 13p-1 was adopted by the Securities and Exchange Commission to implement reporting and disclosure requirements related to Conflict Minerals, as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Conflict Minerals are defined as columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tin, gold, tantalum and tungsten (collectively, referred to as 3TG) that originate in the Democratic Republic of the Congo or an adjoining country (collectively, the Covered Countries).

 

MoSys is a provider of integrated circuits used by communications, networking and storage equipment manufacturers. As a fabless semiconductor company, MoSys does not purchase directly from smelters or refineries and must rely upon its manufacturing subcontractors to: i) identify whether 3TG minerals are used in the manufacture of MoSys’ products, ii) identify the sources of 3TG used in the manufacture of MoSys products and iii) declare whether any of the 3TG minerals used is a Conflict Mineral. MoSys has determined that at least one or more of the 3TG is necessary to produce one or more MoSys integrated circuit products. In particular, the Company believes some material used by its foundry to produce the silicon wafers for one or more products contains at least one of the 3TG.

 

The Company has conducted a good faith reasonable country of origin inquiry regarding the 3TG contained in its products, which inquiry was designed to determine (a) whether any of the 3TG contained in its products originated in the Covered Countries and (b) whether any of the 3TG are from recycled or scrap sources. The Company also exercised due diligence on the chain of custody and source of the 3TG.

 

MoSys’ due diligence measures were based on the Electronic Industry Citizenship Coalition and Global e-Sustainability (EICC/GeSI) initiative with the smelters and refiners of conflict minerals that provide 3TG to the Company’s suppliers. MoSys’ due diligence measures were comprised of:

 

·                  Conducting a supply-chain survey with direct suppliers of materials containing 3TG using the EICC/GeSI Conflict Minerals Reporting Template to identify the smelters and refiners;

 

·                  Comparing the smelters and refiners identified in the supply-chain survey against the list of smelter facilities which have been identified as “conflict-free” by programs such as the EICC/GeSI Conflict Free Smelter (CFS) program for 3TG; and

 

·                  Reviewing direct suppliers’ conflict minerals policies to ensure that they are encouraging their suppliers to not source from refiners, smelters and other suppliers that may use Conflict Minerals.

 

Because some of the information provided by MoSys suppliers is incomplete and not all smelters have been identified under the CFS program as conflict-free, MoSys is unable to determine if its products are entirely conflict-free; however, the Company does not have any information indicating that any of the3TG used by MoSys’ manufacturing subcontractors are Conflict Minerals.

 

Based on the information provided by the Company’s suppliers and through the due diligence process, set forth below is a list of CFS program-certified conflict-free facilities identified by the Company’s supply chain thus far:

 

Mineral

 

Smelter or Refiner Facility Name

 

Smelter ID

Gold

 

Aida Chemical Industries Co., Ltd.

 

CID000019

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

CID000035

Gold

 

AngloGold Ashanti Córrego do Sítio Mineração

 

CID000058

Gold

 

Argor-Heraeus SA

 

CID000077

Gold

 

Asahi Pretec Corporation

 

CID000082

Gold

 

Asaka Riken Co., Ltd.

 

CID000090

Gold

 

Aurubis AG

 

CID000113

Gold

 

CCR Refinery - Glencore Canada Corporation

 

CID000185

Gold

 

Chimet S.p.A.

 

CID000233

Gold

 

Dowa

 

CID000401

Gold

 

Eco-System Recycling Co., Ltd.

 

CID000425

Gold

 

Heimerle + Meule GmbH

 

CID000694

Gold

 

Heraeus Ltd. Hong Kong

 

CID000707

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

CID000711

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

CID000807

Gold

 

Asahi Refining USA Inc.

 

CID000920

Gold

 

Asahi Refining Canada Limited

 

CID000924

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

CID000937

Gold

 

Kennecott Utah Copper LLC

 

CID000969

Gold

 

Kojima Chemicals Co., Ltd.

 

CID000981

Gold

 

LS-NIKKO Copper Inc.

 

CID001078

Gold

 

Materion

 

CID001113

Gold

 

Matsuda Sangyo Co., Ltd.

 

CID001119

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

CID001149

Gold

 

Metalor Technologies SA

 

CID001153

Gold

 

Metalor USA Refining Corporation

 

CID001157

Gold

 

Mitsubishi Materials Corporation

 

CID001188

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

CID001193

Gold

 

Nihon Material Co., Ltd.

 

CID001259

Gold

 

Elemetal Refining, LLC

 

CID001322

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

CID001325

Gold

 

PAMP SA

 

CID001352

Gold

 

Rand Refinery (Pty) Ltd.

 

CID001512

Gold

 

Royal Canadian Mint

 

CID001534

 



 

Gold

 

SEMPSA Joyería Platería SA

 

CID001585

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

CID001622

Gold

 

Solar Applied Materials Technology Corp.

 

CID001761

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

CID001798

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

CID001875

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

CID001916

Gold

 

Tokuriki Honten Co., Ltd.

 

CID001938

Gold

 

Umicore SA Business Unit Precious Metals Refining

 

CID001980

Gold

 

United Precious Metal Refining, Inc.

 

CID001993

Gold

 

Valcambi SA

 

CID002003

Gold

 

Western Australian Mint trading as The Perth Mint

 

CID002030

Gold

 

Yamamoto Precious Metal Co., Ltd.

 

CID002100

Gold

 

Yokohama Metal Co., Ltd.

 

CID002129

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

CID002224

Gold

 

Republic Metals Corporation

 

CID002510

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

CID000211

Tantalum

 

F&X Electro-Materials Ltd.

 

CID000460

Tantalum

 

Global Advanced Metals

 

CID000564

Tantalum

 

H.C. Starck Group

 

CID000654

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

CID000917

Tantalum

 

Mitsui Mining & Smelting

 

CID001192

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

CID001277

Tantalum

 

Solikamsk Magnesium Works OAO

 

CID001769

Tantalum

 

Taki Chemicals

 

CID001869

Tantalum

 

Ulba

 

CID001969

Tantalum

 

Plansee SE Liezen

 

CID002540

Tantalum

 

H.C. Starck Co., Ltd.

 

CID002544

Tantalum

 

H.C. Starck GmbH Goslar

 

CID002545

Tantalum

 

H.C. Starck GmbH Laufenburg

 

CID002546

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

CID002547

Tantalum

 

H.C. Starck Inc.

 

CID002548

Tantalum

 

H.C. Starck Ltd.

 

CID002549

Tantalum

 

H.C. Starck Smelting GmbH & Co.KG

 

CID002550

Tantalum

 

Global Advanced Metals Boyertown

 

CID002557

Tin

 

Alpha

 

CID000292

Tin

 

Cooperativa Metalurgica de Rondônia Ltda.

 

CID000295

Tin

 

PT Justindo

 

CID000307

Tin

 

PT Aries Kencana Sejahtera

 

CID000309

Tin

 

CV Serumpun Sebalai

 

CID000313

Tin

 

CV United Smelting

 

CID000315

Tin

 

Dowa

 

CID000402

Tin

 

EM Vinto

 

CID000438

Tin

 

Fenix Metals

 

CID000468

Tin

 

Gejiu Non-Ferrous Metal Processing Co. Ltd.

 

CID000538

Tin

 

China Tin Group Co., Ltd.

 

CID001070

Tin

 

Malaysia Smelting Corporation (MSC)

 

CID001105

Tin

 

Metallo Chimique

 

CID001143

Tin

 

Mineração Taboca S.A.

 

CID001173

Tin

 

Minsur

 

CID001182

Tin

 

Mitsubishi Materials Corporation

 

CID001191

Tin

 

OMSA

 

CID001337

Tin

 

PT Artha Cipta Langgeng

 

CID001399

Tin

 

PT Babel Inti Perkasa

 

CID001402

Tin

 

PT Bangka Putra Karya

 

CID001412

Tin

 

PT Bangka Tin Industry

 

CID001419

Tin

 

PT Belitung Industri Sejahtera

 

CID001421

Tin

 

PT BilliTin Makmur Lestari

 

CID001424

Tin

 

PT Bukit Timah

 

CID001428

Tin

 

PT DS Jaya Abadi

 

CID001434

Tin

 

PT Eunindo Usaha Mandiri

 

CID001438

Tin

 

PT Mitra Stania Prima

 

CID001453

Tin

 

PT Panca Mega Persada

 

CID001457

Tin

 

PT Prima Timah Utama

 

CID001458

Tin

 

PT Refined Bangka Tin

 

CID001460

Tin

 

PT Sariwiguna Binasentosa

 

CID001463

Tin

 

PT Stanindo Inti Perkasa

 

CID001468

Tin

 

PT Timah (Persero) Tbk Kundur

 

CID001477

Tin

 

PT Timah

 

CID001482

Tin

 

PT Tinindo Inter Nusa

 

CID001490

Tin

 

Rui Da Hung

 

CID001539

Tin

 

Soft Metais Ltda.

 

CID001758

Tin

 

Thaisarco

 

CID001898

Tin

 

White Solder Metalurgia e Mineração Ltda.

 

CID002036

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

CID002158

Tin

 

Yunnan Tin Company, Ltd.

 

CID002180

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.

 

CID002468

Tin

 

PT Wahana Perkit Jaya

 

CID002479

Tin

 

O.M. Manufacturing Philippines, Inc.

 

CID002517

Tin

 

PT Inti Stania Prima

 

CID002530

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

CID002703

Tin

 

Metallo-Chimique N.V.

 

CID002773

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

CID000004

Tungsten

 

Kennametal Huntsville

 

CID000105

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

CID000218

Tungsten

 

Chongyi Zhangyuan Tungsten Co Ltd

 

CID000258

 



 

Tungsten

 

Global Tungsten & Powders Corp.

 

CID000568

Tungsten

 

Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.

 

CID000769

Tungsten

 

Japan New Metals Co., Ltd.

 

CID000825

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

CID000875

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

CID001889

Tungsten

 

Wolfram Bergbau und Hütten AG

 

CID002044

Tungsten

 

Xiamen Tungsten Co., Ltd

 

CID002082

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

CID002320

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

CID002494

Tungsten

 

H.C. Starck GmbH

 

CID002541

 

During the reporting period for the year ending December 31, 2016, the Company intends to continue to take the following steps to mitigate the risk that necessary Conflict Minerals will benefit armed groups and improve its due diligence: (a) encourage its supply chain to transition to compliant smelters and refiners and (b) work with suppliers to improve the content of their survey responses and provide written confirmations as to their due diligence process.