UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM SD
Specialized Disclosure Report
Lattice Semiconductor Corporation
(Exact name of registrant as specified in its charter)
Delaware | 000-18032 | 93-0835214 | ||
(State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||
111 SW Fifth Avenue, Suite 700, Portland, Oregon 97204
(Address of principal executive offices, including zip code)
Byron W. Milstead
Corporate Vice President, General Counsel & Secretary
(503) 268-8000
(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:
x | 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
Lattice Semiconductor Corporation (together with its subsidiaries, “Lattice”) has evaluated its products for the year ending December 31, 2017 and determined that certain products that it contracted to manufacture contain conflict minerals that are necessary to the functionality of such products. Based on its reasonable country of origin inquiry, Lattice has reason to believe that certain necessary conflict minerals may have originated in the Democratic Republic of the Congo or an adjoining country and may not be from recycled or scrap sources.
A copy of Lattice Semiconductor Corporation's Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at http://www.latticesemi.com/About/CorporateSocialResponsibility
Item 1.02 Exhibit
Lattice Semiconductor Corporation has filed, as an exhibit to this Form SD, the Conflict Minerals Report required by Item 1.01.
Section 2 - Exhibits
Item 2.01 Exhibits
Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.
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.
Lattice Semiconductor Corporation
(Registrant)
By: | /s/ Byron W. Milstead | Date: May 31, 2018 |
Byron W. Milstead | ||
Corporate Vice President, General Counsel & Secretary | ||
Conflict Minerals Report
This Conflict Minerals Report for Lattice Semiconductor Corporation is prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 for the reporting period that ended December 31, 2017.
Lattice Semiconductor Corporation (collectively with its subsidiaries, “Lattice,” “we,” or “our”) designs, develops and markets programmable logic and connectivity solutions. Lattice has adopted a Conflict Minerals Sourcing Policy that expresses our desire to have our products be DRC Conflict Free, meaning free from conflict minerals sourced from the Democratic Republic of the Congo and its adjoining countries (“Covered Countries”) that finance or benefit armed groups. Conflict minerals are tantalum, tungsten, tin and gold, and their derivatives.
Products and Initiatives
Based on our internal assessment, our semiconductor devices, evaluation boards, and development hardware that we contract to manufacture contain conflict minerals that are necessary to their functionality (the “3TG Products”). In order to seek a DRC Conflict Free supply chain and to comply with reporting requirements, we established processes designed to determine the source and chain of custody of conflict minerals in the 3TG Products. We have also adopted a Conflict Minerals Sourcing Policy and we require our suppliers to acknowledge and comply with this policy, which is available on the Corporate Social Responsibility page of our website at http://www.latticesemi.com/About/CorporateSocialResponsibility.
Diligence Framework
Our due diligence strategy is consistent with the internationally recognized framework established by the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, and related supplements. As part of our due diligence strategy, we established a company risk management system to support our ongoing efforts to identify, assess and respond to risks in our supply chain. Our company risk management system includes participation in industry-driven programs, including the adoption of the Responsible Business Alliance (formerly known as the Electronic Industry Citizenship Coalition) Code of Conduct and our support of the third-party audits and assessments conducted in connection with the Responsible Minerals Initiative (the “RMI”) Responsible Minerals Assurance Process, formerly known as the Conflict Free Sourcing Initiative Conflict-Free Smelter Program (the “RMAP”). Because we are at least several levels removed from the mining, refining and smelting of conflict minerals, our diligence measures can only provide a reasonable assurance regarding the source and chain of custody of conflict minerals in our supply chain. To determine the use and source of conflict minerals in our 3TG Products, we rely upon certifications from suppliers and upon the third-party assessments completed in connection with the RMAP.
As part of the RMAP, smelters are identified as Conformant if they have undergone an audit and are conformant with the RMAP assessment protocols. Smelters are identified as Active if they are participants in the RMAP and have committed to undergo an audit or are participating in another recognized certification program. These RMAP designations are an integral part of our risk management process because they provide us with independent third-party audits of the due diligence practices of the upstream smelters and refiners in our supply chain.
As part of our strategy, we conduct good faith reasonable country of origin inquiries and due diligence designed to determine whether any conflict minerals in our 3TG Products originated in the Covered Countries. We follow industry standards by requesting each supplier in our supply chain to identify the processing facilities and other data related to conflict minerals in the 3TG Products using the latest version of the RMI Conflict Minerals Reporting Template (the “CMRT”). In order to determine the source and chain of custody of any conflict minerals in our supply chain, we communicate with the relevant suppliers in our supply chain, compile, validate and analyze the CMRT results, attempt to confirm reported results where appropriate, identify possible risks, work with our suppliers to mitigate those risks, and identify smelters and refiners certified by the RMI through the RMAP. If a supplier does not respond to our requests or provides an insufficient response, we engage in further discussions with that supplier to identify and assess risks. Our policy is to disengage with any supplier where we are concerned about conflict minerals sourced from the Covered Countries that finance or benefit armed groups, which may include suppliers from whom we did not receive a sufficient response after multiple inquiries. The results of our supply chain due diligence are reported regularly to Lattice management.
Due Diligence Results
In 2017, over 99.5% of our product related revenues originated from semiconductor devices, and all of our suppliers of semiconductor devices provided sufficient responses to our requests. All of our suppliers of semiconductor devices provided certifications that their upstream smelters and refiners have been certified as Active or Conformant through the RMAP. Of the remaining fraction of suppliers of components used in our evaluation boards and development hardware, we request CMRT’s from these suppliers and work closely with them to obtain information regarding their sourcing of conflict minerals on an ongoing basis.
Based on the information provided by our suppliers and as a result of our due diligence for the period ended December 31, 2017, we believe that the conflict minerals contained in our 3TG Products originated from the countries and facilities listed on Appendix I, as well as from recycled and scrap sources. Additional smelter and refiner information is contained within our CMRT, which is available on our website at http://www.latticesemi.com/ en/About/Corporate Social Responsibility.
This Conflict Minerals Report was not subject to an independent private sector audit.
Appendix I
Mineral | Smelter | Location of Smelter |
Gold | Aida Chemical Industries Co., Ltd. | Japan |
Gold | Al Etihad Gold LLC | United Arab Emirates |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan |
Gold | AngloGold Ashanti Córrego do Sítio Mineração | Brazil |
Gold | Argor-Heraeus S.A. | Switzerland |
Gold | Asahi Pretec Corp. | Japan |
Gold | Asahi Refining Canada Ltd. | Canada |
Gold | Asahi Refining USA Inc. | United States of America |
Gold | Asaka Riken Co., Ltd. | Japan |
Gold | AU Traders and Refiners | South Africa |
Gold | Aurubis AG | Germany |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines |
Gold | Boliden AB | Sweden |
Gold | C. Hafner GmbH + Co. KG | Germany |
Gold | CCR Refinery - Glencore Canada Corporation | Canada |
Gold | Chimet S.p.A. | Italy |
Gold | China’s Shandong Gold Mining Co., Ltd | China |
Gold | Daejin Indus Co., Ltd. | South Korea |
Gold | DODUCO Contacts and Refining GmbH | Germany |
Gold | Dowa | Japan |
Gold | DSC (Do Sung Corporation) | South Korea |
Gold | Eco-System Recycling Co., Ltd. | Japan |
Gold | Emirates Gold DMCC | United Arab Emirates |
Gold | Geib Refining Corporation | United States of America |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China |
Gold | Heimerle + Meule GmbH | Germany |
Gold | Heraeus Ltd. Hong Kong | Hong Kong |
Gold | Heraeus Precious Metals GmbH & Co. KG | Germany |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China |
Gold | Ishifuku Metal Industry Co., Ltd. | Japan |
Gold | Istanbul Gold Refinery | Turkey |
Gold | Japan Mint | Japan |
Gold | Jiangxi Copper Co., Ltd. | China |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russia |
Gold | JSC Uralelectromed | Russia |
Gold | JX Nippon Mining & Metals Co., Ltd. | Japan |
Gold | Kazzinc | Kazakhstan |
Gold | Kennecott Utah Copper LLC | United States of America |
Gold | Kojima Chemicals Co., Ltd. | Japan |
Gold | Korea Zinc Co., Ltd. | South Korea |
Gold | Kyrgyzaltyn JSC | Kyrgyzstan |
Gold | LS-NIKKO Copper Inc. | South Korea |
Gold | Materion | United States of America |
Gold | Matsuda Sangyo Co., Ltd. | Japan |
Gold | Metalor Technologies (Hong Kong) Ltd. | China |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore |
Mineral | Smelter | Location of Smelter |
Gold | Metalor Technologies (Suzhou) Ltd. | China |
Gold | Metalor Technologies S.A. | Switzerland |
Gold | Metalor USA Refining Corporation | United States of America |
Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | Mexico |
Gold | Mitsubishi Materials Corporation | Japan |
Gold | Mitsui Mining and Smelting Co., Ltd. | Japan |
Gold | MMTC-PAMP India Pvt., Ltd. | India |
Gold | Moscow Special Alloys Processing Plant | Russia |
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | Turkey |
Gold | Nihon Material Co., Ltd. | Japan |
Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria |
Gold | Ohura Precious Metal Industry Co., Ltd. | Japan |
Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | Russia |
Gold | OJSC Novosibirsk Refinery | Russia |
Gold | PAMP S.A. | Switzerland |
Gold | Prioksky Plant of Non-Ferrous Metals | Russia |
Gold | PT Aneka Tambang (Persero) Tbk | Indonesia |
Gold | PX Précinox S.A. | Switzerland |
Gold | Rand Refinery (Pty) Ltd. | South Africa |
Gold | Republic Metals Corporation | United States of America |
Gold | Royal Canadian Mint | Canada |
Gold | Samduck Precious Metals | South Korea |
Gold | SAXONIA Edelmetalle GmbH | Germany |
Gold | Schone Edelmetaal B.V. | Netherlands |
Gold | SEMPSA Joyería Platería S.A. | Spain |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | China |
Gold | Singway Technology Co., Ltd. | Taiwan |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russia |
Gold | Solar Applied Materials Technology Corp. | Taiwan |
Gold | Sumitomo Metal Mining Co., Ltd. | Japan |
Gold | T.C.A S.p.A | Italy |
Gold | Tanaka Kikinzoku Kogyo K.K. | Japan |
Gold | Tokuriki Honten Co., Ltd. | Japan |
Gold | Torecom | South Korea |
Gold | Umicore Brasil Ltda. | Brazil |
Gold | Umicore Precious Metals Refining Hoboken | Belgium |
Gold | Umicore Precious Metals Thailand | Thailand |
Gold | United Precious Metal Refining, Inc. | United States of America |
Gold | Valcambi S.A. | Switzerland |
Gold | Western Australian Mint (T/a The Perth Mint) | Australia |
Gold | WIELAND Edelmetalle GmbH | Germany |
Gold | Yamakin Co., Ltd. | Japan |
Gold | Yokohama Metal Co., Ltd. | Japan |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China |
Tantalum | Conghua Tantalum and Niobium Smeltry | China |
Tantalum | D Block Metals, LLC | United States of America |
Tantalum | Exotech Inc. | United States of America |
Mineral | Smelter | Location of Smelter |
Tantalum | F&X Electro-Materials Ltd. | China |
Tantalum | FIR Metals & Resource Ltd. | China |
Tantalum | Global Advanced Metals Aizu | Japan |
Tantalum | Global Advanced Metals Boyertown | United States of America |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China |
Tantalum | H.C. Starck Co., Ltd. | Thailand |
Tantalum | H.C. Starck Hermsdorf GmbH | Germany |
Tantalum | H.C. Starck Inc. | United States of America |
Tantalum | H.C. Starck Ltd. | Japan |
Tantalum | H.C. Starck Smelting GmbH & Co. KG | Germany |
Tantalum | H.C. Starck Tantalum and Niobium GmbH | Germany |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China |
Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | China |
Tantalum | LSM Brasil S.A. | Brazil |
Tantalum | Metallurgical Products India Pvt., Ltd. | India |
Tantalum | Mineracao Taboca S.A. | Brazil |
Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China |
Tantalum | NPM Silmet AS | Estonia |
Tantalum | Solikamsk Magnesium Works OAO | Russia |
Tantalum | Taki Chemical Co., Ltd. | Japan |
Tantalum | Telex Metals | United States of America |
Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | China |
Tin | Alpha | United States of America |
Tin | Brand RBT | Indonesia |
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China |
Tin | China Tin Group Co., Ltd. | China |
Tin | CV Ayi Jaya | Indonesia |
Tin | CV Dua Sekawan | Indonesia |
Tin | CV Gita Pesona | Indonesia |
Tin | CV Serumpun Sebalai | Indonesia |
Tin | CV Tiga Sekawan | Indonesia |
Tin | CV United Smelting | Indonesia |
Tin | CV Venus Inti Perkasa | Indonesia |
Tin | Dowa | Japan |
Tin | EM Vinto | Bolivia |
Tin | Fenix Metals | Poland |
Tin | Gejiu Fengming Metallurgy Chemical Plant | China |
Tin | Gejiu Jinye Mineral Company | China |
Tin | Gejiu Kai Meng Industry and Trade LLC | China |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China |
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | China |
Tin | HuiChang Hill Tin Industry Co., Ltd. | China |
Tin | Huichang Jinshunda Tin Co., Ltd. | China |
Tin | Indonesian State Tin Corporation Mentok Smelter | Indonesia |
Mineral | Smelter | Location of Smelter |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | China |
Tin | Magnu’s Minerais Metais e Ligas Ltda. | Brazil |
Tin | Malaysia Smelting Corporation (MSC) | Malaysia |
Tin | Melt Metais e Ligas S.A. | Brazil |
Tin | Metallic Resources, Inc. | United States of America |
Tin | Metallo Belgium N.V. | Belgium |
Tin | Metallo Spain S.L.U. | Spain |
Tin | Mineração Taboca S.A. | Brazil |
Tin | Minsur | Peru |
Tin | Mitsubishi Materials Corporation | Japan |
Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | China |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand |
Tin | O.M. Manufacturing Philippines, Inc. | Philippines |
Tin | OMSA | Bolivia |
Tin | PT Aries Kencana Sejahtera | Indonesia |
Tin | PT Artha Cipta Langgeng | Indonesia |
Tin | PT ATD Makmur Mandiri Jaya | Indonesia |
Tin | PT Babel Inti Perkasa | Indonesia |
Tin | PT Bangka Prima Tin | Indonesia |
Tin | PT Bangka Tin Industry | Indonesia |
Tin | PT Belitung Industri Sejahtera | Indonesia |
Tin | PT Bukit Timah | Indonesia |
Tin | PT DS Jaya Abadi | Indonesia |
Tin | PT Eunindo Usaha Mandiri | Indonesia |
Tin | PT Inti Stania Prima | Indonesia |
Tin | PT Karimun Mining | Indonesia |
Tin | PT Kijang Jaya Mandiri | Indonesia |
Tin | PT Lautan Harmonis Sejahtera | Indonesia |
Tin | PT Menara Cipta Mulia | Indonesia |
Tin | PT Mitra Stania Prima | Indonesia |
Tin | PT Panca Mega Persada | Indonesia |
Tin | PT Prima Timah Utama | Indonesia |
Tin | PT Sariwiguna Binasentosa | Indonesia |
Tin | PT Stanindo Inti Perkasa | Indonesia |
Tin | PT Sukses Inti Makmur | Indonesia |
Tin | PT Sumber Jaya Indah | Indonesia |
Tin | PT Timah (Persero) Tbk Kundur | Indonesia |
Tin | PT Tinindo Inter Nusa | Indonesia |
Tin | PT Tommy Utama | Indonesia |
Tin | Resind Industria e Comercio Ltda. | Brazil |
Tin | Rui Da Hung | Taiwan |
Tin | Soft Metais Ltda. | Brazil |
Tin | Thailand Smelting & Refining Co Ltd | Thailand |
Tin | White Solder Metalurgia e Mineração Ltda. | Brazil |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China |
Tin | Yunnan Tin Company Limited | China |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China |
Mineral | Smelter | Location of Smelter |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China |
Tungsten | Global Tungsten & Powders Corp. | United States of America |
Tungsten | H.C. Starck Tungsten GmbH | Germany |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China |
Tungsten | Japan New Metals Co., Ltd. | Japan |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China |
Tungsten | Xiamen Tungsten Co., Ltd. | China |
The conflict minerals contained in our 3TG Products, to the extent known, are believed to have been sourced from recycled materials or the following countries: Australia, Bolivia, Brazil, Burundi, Canada, China, Democratic Republic of Congo, Ethiopia, Germany, India, Indonesia, Japan, Kazakhstan, Mozambique, Namibia, Nigeria, Russia, Rwanda, Sierra Leone, South Africa, Thailand, United States of America, and Zimbabwe. | ||