EX-1.01 2 ex-1d01.htm EX-1.01 Ex1_01

Exhibit 1.01

 

MoSys, Inc.

Conflict Minerals Report

For the year ended December 31, 2016

 

This is the Conflict Minerals Report of MoSys, Inc. (MoSys or the Company) for calendar year 2016 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, and wolframite, including their derivatives, which are limited to tin, gold, tantalum and tungsten 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 the 3TG used by MoSys’ manufacturing subcontractors are Conflict Minerals.


 

Based on the information provided by the Company’s suppliers and obtained 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

Allgemeine Gold-und Silberscheideanstalt A.G.

CID000035

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

CID000041

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

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

CID000128

Gold

Boliden AB

CID000157

Gold

C. Hafner GmbH + Co. KG

CID000176

Gold

CCR Refinery - Glencore Canada Corporation

CID000185

Gold

Chimet S.p.A.

CID000233

Gold

Do Sung Corporation

CID000359

Gold

DODUCO GmbH

CID000362

Gold

Dowa

CID000401

Gold

Eco-System Recycling Co., Ltd.

CID000425

Gold

OJSC Novosibirsk Refinery

CID000493

Gold

Heimerle + Meule GmbH

CID000694

Gold

Heraeus Ltd. Hong Kong

CID000707

Gold

Heraeus Precious Metals GmbH & Co. KG

CID000711

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

CID000801

Gold

Ishifuku Metal Industry Co., Ltd.

CID000807

Gold

Istanbul Gold Refinery

CID000814

Gold

Japan Mint

CID000823

Gold

Jiangxi Copper Co., Ltd.

CID000855

Gold

Asahi Refining USA Inc.

CID000920

Gold

Asahi Refining Canada Limited

CID000924

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

CID000927

Gold

JSC Uralelectromed

CID000929

Gold

JX Nippon Mining & Metals Co., Ltd.

CID000937

Gold

Kazzinc

CID000957

Gold

Kennecott Utah Copper LLC

CID000969

Gold

Kojima Chemicals Co., Ltd.

CID000981

Gold

Kyrgyzaltyn JSC

CID001029

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 (Singapore) Pte., Ltd.

CID001152

Gold

Metalor Technologies SA

CID001153

Gold

Metalor USA Refining Corporation

CID001157

Gold

Metalúrgica Met-Mex Peñoles S.A. De C.V.

CID001161

Gold

Mitsubishi Materials Corporation

CID001188

Gold

Mitsui Mining and Smelting Co., Ltd.

CID001193

Gold

Moscow Special Alloys Processing Plant

CID001204

Gold

Nadir Metal Rafineri San. Ve Tic. A.Ş.

CID001220

Gold

Nihon Material Co., Ltd.

CID001259

Gold

Elemetal Refining, LLC

CID001322

Gold

Ohura Precious Metal Industry Co., Ltd.

CID001325

Gold

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

CID001326

Gold

PAMP SA

CID001352

Gold

Prioksky Plant of Non-Ferrous Metals

CID001386

Gold

PT Aneka Tambang (Persero)  Tbk

CID001397


 

Gold

PX Précinox S.A.

CID001498

Gold

Rand Refinery (Pty) Ltd.

CID001512

Gold

Royal Canadian Mint

CID001534

Gold

Samduck Precious Metals

CID001555

Gold

Schone Edelmetaal B.V.

CID001573

Gold

SEMPSA Joyería Platería SA

CID001585

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CID001622

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CID001736

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

CID001756

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

Torecom

CID001955

Gold

Umicore Brasil Ltda.

CID001977

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

Zijin Mining Group Co., Ltd. Gold Refinery

CID002243

Gold

Umicore Precious Metals Thailand

CID002314

Gold

MMTC-PAMP India Pvt., Ltd.

CID002509

Gold

Republic Metals Corporation

CID002510

Gold

Singway Technology Co., Ltd.

CID002516

Gold

T.C.A S.p.A

CID002580

Gold

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

CID002779

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CID000211

Tantalum

Conghua Tantalum and Niobium Smeltry

CID000291

Tantalum

Duoluoshan

CID000410

Tantalum

Exotech Inc.

CID000456

Tantalum

F&X Electro-Materials Ltd.

CID000460

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CID000616

Tantalum

Hi-Temp Specialty Metals, Inc.

CID000731

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CID000914

Tantalum

Jiujiang Tanbre Co., Ltd.

CID000917

Tantalum

LSM Brasil S.A.

CID001076

Tantalum

Metallurgical Products India Pvt., Ltd.

CID001163

Tantalum

Mineração Taboca S.A.

CID001175

Tantalum

Mitsui Mining & Smelting

CID001192

Tantalum

Molycorp Silmet A.S.

CID001200

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CID001277

Tantalum

Solikamsk Magnesium Works OAO

CID001769

Tantalum

Taki Chemicals

CID001869

Tantalum

Telex Metals

CID001891

Tantalum

Ulba

CID001969

Tantalum

Zhuzhou Cemented Carbide Group Co., Ltd.

CID002232

Tantalum

Yichun Jin Yang Rare Metal Co., Ltd.

CID002307

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CID002492

Tantalum

D Block Metals, LLC

CID002504

Tantalum

FIR Metals & Resource Ltd.

CID002505

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

Tantalum

Global Advanced Metals Aizu

CID002558

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

CID000244

Tin

Alpha

CID000292

Tin

Cooperativa Metalurgica de Rondônia Ltda.

CID000295

Tin

CV Gita Pesona

CID000306

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

Metallic Resources, Inc.

CID001142

Tin

Mineração Taboca S.A.

CID001173

Tin

Minsur

CID001182

Tin

Mitsubishi Materials Corporation

CID001191

Tin

O.M. Manufacturing (Thailand) Co., Ltd.

CID001314

Tin

Operaciones Metalurgical S.A.

CID001337

Tin

PT Artha Cipta Langgeng

CID001399

Tin

PT Babel Inti Perkasa

CID001402

Tin

PT Bangka Tin Industry

CID001419

Tin

PT Belitung Industri Sejahtera

CID001421

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 Sumber Jaya Indah

CID001471

Tin

PT Timah  (Persero)  Tbk Kundur

CID001477

Tin

PT Timah

CID001482

Tin

PT Tinindo Inter Nusa

CID001490

Tin

PT Tommy Utama

CID001493

Tin

Rui Da Hung

CID001539

Tin

Soft Metais Ltda.

CID001758

Tin

Thaisarco

CID001898

Tin

VQB Mineral and Trading Group JSC

CID002015

Tin

White Solder Metalurgia e Mineração Ltda.

CID002036

Tin

Yunnan Tin Company, Ltd.

CID002180

Tin

CV Venus Inti Perkasa

CID002455

Tin

Magnu's Minerais Metais e Ligas Ltda.

CID002468

Tin

Melt Metais e Ligas S.A.

CID002500

Tin

PT ATD Makmur Mandiri Jaya

CID002503

Tin

O.M. Manufacturing Philippines, Inc.

CID002517

Tin

PT Inti Stania Prima

CID002530

Tin

CV Ayi Jaya

CID002570

Tin

PT Cipta Persada Mulia

CID002696

Tin

Resind Indústria e Comércio Ltda.

CID002706

Tin

Metallo-Chimique N.V.

CID002773


 

Tin

Elmet S.L.U.

CID002774

Tin

PT Bangka Prima Tin

CID002776

Tin

PT Sukses Inti Makmur

CID002816

Tin

PT Menara Cipta Mulia

CID002835

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

Fujian Jinxin Tungsten Co., Ltd.

CID000499

Tungsten

Global Tungsten & Powders Corp.

CID000568

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CID000766

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

Kennametal Fallon

CID000966

Tungsten

Tejing (Vietnam) Tungsten Co., Ltd.

CID001889

Tungsten

Vietnam Youngsun Tungsten Industry Co., Ltd.

CID002011

Tungsten

Wolfram Bergbau und Hütten AG

CID002044

Tungsten

Xiamen Tungsten Co., Ltd.

CID002082

Tungsten

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CID002095

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CID002315

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CID002316

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CID002317

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

CID002318

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CID002319

Tungsten

Xiamen Tungsten (H.C.) Co., Ltd.

CID002320

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CID002321

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CID002494

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CID002513

Tungsten

H.C. Starck GmbH

CID002541

Tungsten

H.C. Starck Smelting GmbH & Co.KG

CID002542

Tungsten

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

CID002543

Tungsten

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

CID002551

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CID002579

Tungsten

Niagara Refining LLC

CID002589

Tungsten

Hydrometallurg, JSC

CID002649

 

 

 

 

During the reporting period for the year ending December 31, 2017, 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.