SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

FORM SD

 

 

Specialized Disclosure Report

 

 

 

 

LOGO

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.)

5555 NE Moore Ct., Hillsboro, Oregon 97124

(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:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.

 

 

 


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, 2018 and determined that certain products that it contracted to manufacture contain conflict minerals that are necessary to the functionality of such products and that, after conducting a reasonable country of origin inquiry, Lattice is filing a Conflict Minerals Report.

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/Corpora teSocialResponsibility.

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, 2019
  Byron W. Milstead    
  Corporate Vice President, General Counsel & Secretary    
EX-1.01

Exhibit 1.01

 

LOGO

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 (“Rule 13p-1”) for the reporting period that ended December 31, 2018.

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/Corpora teSocialResponsibility.

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 (the “RBA”) 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 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 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 2018, over 99% of our product related revenues originated from semiconductor devices, and all of our suppliers of semiconductor devices provided sufficient responses to our request. All but two of our suppliers of semiconductor devices provided certifications that their upstream smelters and refiners have been certified as Active or Conformant through the RMAP. We are working closely with those suppliers whose status has deviated from Active or Conformant to remedy the status, and will consider taking action to disengage from those suppliers in the event that such status cannot be remedied. 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 result of our due diligence efforts for the period ended December 31, 2018, we believe that the conflict minerals contained in our 3TG Products originated from the facilities listed in Appendix I, as well as from recycled and scrap sources. Additional smelter and refinery information is contained within our CMRT, which is available on our website at http://www.latticesemi.com/About/Corporate SocialResponsibility.

This Conflict Minerals Report was not subject to an independent private sector audit.


Appendix I

 

Mineral    Smelter    Location of Facility

Gold

  

Advanced Chemical Company

  

UNITED STATES OF AMERICA

Gold

  

Aida Chemical Industries Co., Ltd.

  

JAPAN

Gold

  

Allgemeine Gold-und Silberscheideanstalt A.G.

  

GERMANY

Gold

  

Almalyk Mining and Metallurgical Complex (AMMC)

  

UZBEKISTAN

Gold

  

AngloGold Ashanti Corrego do Sitio Mineracao

  

BRAZIL

Gold

  

Argor-Heraeus S.A.

  

SWITZERLAND

Gold

  

Asahi Pretec Corp.

  

JAPAN

Gold

  

Asaka Riken Co., Ltd.

  

JAPAN

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

  

Cendres + Metaux S.A.

  

SWITZERLAND

Gold

  

Chimet S.p.A.

  

ITALY

Gold

  

Daejin Indus Co., Ltd.

  

KOREA, REPUBLIC OF

Gold

  

DSC (Do Sung Corporation)

  

KOREA, REPUBLIC OF

Gold

  

DODUCO Contacts and Refining GmbH

  

GERMANY

Gold

  

Dowa

  

JAPAN

Gold

  

Eco-System Recycling Co., Ltd.

  

JAPAN

Gold

  

OJSC Novosibirsk Refinery

  

RUSSIAN FEDERATION

Gold

  

HeeSung Metal Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Heimerle + Meule GmbH

  

GERMANY

Gold

  

Heraeus Metals Hong Kong Ltd.

  

CHINA

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

  

Asahi Refining USA Inc.

  

UNITED STATES OF AMERICA

Gold

  

Asahi Refining Canada Ltd.

  

CANADA

Gold

  

JSC Uralelectromed

  

RUSSIAN FEDERATION

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

  

Kyrgyzaltyn JSC

  

KYRGYZSTAN

Gold

  

LS-NIKKO Copper Inc.

  

KOREA, REPUBLIC OF

Gold

  

Materion

  

UNITED STATES OF AMERICA

Gold

  

Matsuda Sangyo Co., Ltd.

  

JAPAN

Gold

  

Metalor Technologies (Suzhou) Ltd.

  

CHINA

Gold

  

Metalor Technologies (Hong Kong) Ltd.

  

CHINA


Mineral    Smelter    Location of Facility

Gold

  

Metalor Technologies (Singapore) Pte., Ltd.

  

SINGAPORE

Gold

  

Metalor Technologies S.A.

  

SWITZERLAND

Gold

  

Metalor USA Refining Corporation

  

UNITED STATES OF AMERICA

Gold

  

Metalurgica Met-Mex Penoles S.A. De C.V.

  

MEXICO

Gold

  

Mitsubishi Materials Corporation

  

JAPAN

Gold

  

Mitsui Mining and Smelting Co., Ltd.

  

JAPAN

Gold

  

Moscow Special Alloys Processing Plant

  

RUSSIAN FEDERATION

Gold

  

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

  

TURKEY

Gold

  

Nihon Material Co., Ltd.

  

JAPAN

Gold

  

Ohura Precious Metal Industry Co., Ltd.

  

JAPAN

Gold

  

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

  

RUSSIAN FEDERATION

Gold

  

PAMP S.A.

  

SWITZERLAND

Gold

  

Prioksky Plant of Non-Ferrous Metals

  

RUSSIAN FEDERATION

Gold

  

PT Aneka Tambang (Persero) Tbk

  

INDONESIA

Gold

  

PX Precinox S.A.

  

SWITZERLAND

Gold

  

Rand Refinery (Pty) Ltd.

  

SOUTH AFRICA

Gold

  

Royal Canadian Mint

  

CANADA

Gold

  

Samduck Precious Metals

  

KOREA, REPUBLIC OF

Gold

  

SEMPSA Joyeria Plateria S.A.

  

SPAIN

Gold

  

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

  

CHINA

Gold

  

SOE Shyolkovsky Factory of Secondary Precious Metals

  

RUSSIAN FEDERATION

Gold

  

Solar Applied Materials Technology Corp.

  

TAIWAN, PROVINCE OF CHINA

Gold

  

Sumitomo Metal Mining Co., Ltd.

  

JAPAN

Gold

  

Tanaka Kikinzoku Kogyo K.K.

  

JAPAN

Gold

  

The Refinery of Shandong Gold Mining Co., Ltd.

  

CHINA

Gold

  

Tokuriki Honten Co., Ltd.

  

JAPAN

Gold

  

Torecom

  

KOREA, REPUBLIC OF

Gold

  

Umicore Brasil Ltda.

  

BRAZIL

Gold

  

Umicore S.A. Business Unit Precious Metals Refining

  

BELGIUM

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

  

Yamakin Co., Ltd.

  

JAPAN

Gold

  

Yokohama Metal Co., Ltd.

  

JAPAN

Gold

  

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

  

CHINA

Gold

  

Gold Refinery of Zijin Mining Group Co., Ltd.

  

CHINA

Gold

  

Umicore Precious Metals Thailand

  

THAILAND

Gold

  

Geib Refining Corporation

  

UNITED STATES OF AMERICA

Gold

  

MMTC-PAMP India Pvt., Ltd.

  

INDIA

Gold

  

Singway Technology Co., Ltd.

  

TAIWAN, PROVINCE OF CHINA

Gold

  

Al Etihad Gold LLC

  

UNITED ARAB EMIRATES

Gold

  

Emirates Gold DMCC

  

UNITED ARAB EMIRATES

Gold

  

T.C.A S.p.A

  

ITALY

Gold

  

Korea Zinc Co., Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Marsam Metals

  

BRAZIL

Gold

  

SAAMP

  

FRANCE


Mineral    Smelter    Location of Facility

Gold

  

Italpreziosi

  

ITALY

Gold

  

SAXONIA Edelmetalle GmbH

  

GERMANY

Gold

  

WIELAND Edelmetalle GmbH

  

GERMANY

Gold

  

Ogussa Osterreichische Gold— und Silber-Scheideanstalt GmbH

  

AUSTRIA

Gold

  

AU Traders and Refiners

  

SOUTH AFRICA

Gold

  

SungEel HiMetal Co., Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Planta Recuperadora de Metales SpA

  

CHILE

Gold

  

Safimet S.p.A

  

ITALY

Tantalum

  

F&X Electro-Materials Ltd.

  

CHINA

Tantalum

  

Ningxia Orient Tantalum Industry Co., Ltd.

  

CHINA

Tantalum

  

Ulba Metallurgical Plant JSC

  

KAZAKHSTAN

Tantalum

  

H.C. Starck Co., Ltd.

  

THAILAND

Tantalum

  

H.C. Starck Tantalum and Niobium GmbH

  

GERMANY

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

  

Global Advanced Metals Boyertown

  

UNITED STATES OF AMERICA

Tantalum

  

Global Advanced Metals Aizu

  

JAPAN

Tin

  

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

  

CHINA

Tin

  

Alpha

  

UNITED STATES OF AMERICA

Tin

  

CV Gita Pesona

  

INDONESIA

Tin

  

PT Aries Kencana Sejahtera

  

INDONESIA

Tin

  

PT Premium Tin Indonesia

  

INDONESIA

Tin

  

CV United Smelting

  

INDONESIA

Tin

  

Dowa

  

JAPAN

Tin

  

EM Vinto

  

BOLIVIA (PLURINATIONAL STATE OF)

Tin

  

Fenix Metals

  

POLAND

Tin

  

Gejiu Non-Ferrous Metal Processing Co., Ltd.

  

CHINA

Tin

  

Huichang Jinshunda Tin Co., Ltd.

  

CHINA

Tin

  

Gejiu Kai Meng Industry and Trade LLC

  

CHINA

Tin

  

China Tin Group Co., Ltd.

  

CHINA

Tin

  

Malaysia Smelting Corporation (MSC)

  

MALAYSIA

Tin

  

Metallic Resources, Inc.

  

UNITED STATES OF AMERICA

Tin

  

Mineracao Taboca S.A.

  

BRAZIL

Tin

  

Minsur

  

PERU

Tin

  

Mitsubishi Materials Corporation

  

JAPAN

Tin

  

Jiangxi New Nanshan Technology Ltd.

  

CHINA

Tin

  

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

  

THAILAND

Tin

  

OMSA

  

BOLIVIA (PLURINATIONAL STATE OF)

Tin

  

PT Artha Cipta Langgeng

  

INDONESIA

Tin

  

PT Babel Inti Perkasa

  

INDONESIA

Tin

  

PT Bangka Tin Industry

  

INDONESIA

Tin

  

PT Belitung Industri Sejahtera

  

INDONESIA

Tin

  

Brand IMLI

  

INDONESIA


Mineral    Smelter    Location of Facility

Tin

  

PT DS Jaya Abadi

  

INDONESIA

Tin

  

PT Karimun Mining

  

INDONESIA

Tin

  

PT Mitra Stania Prima

  

INDONESIA

Tin

  

PT Panca Mega Persada

  

INDONESIA

Tin

  

PT Prima Timah Utama

  

INDONESIA

Tin

  

PT Refined Bangka Tin

  

INDONESIA

Tin

  

PT Sariwiguna Binasentosa

  

INDONESIA

Tin

  

PT Stanindo Inti Perkasa

  

INDONESIA

Tin

  

PT Sumber Jaya Indah

  

INDONESIA

Tin

  

PT Tambang Timah

  

INDONESIA

Tin

  

PT Timah (Persero) Tbk Mentok

  

INDONESIA

Tin

  

PT Tinindo Inter Nusa

  

INDONESIA

Tin

  

PT Tommy Utama

  

INDONESIA

Tin

  

Rui Da Hung

  

TAIWAN, PROVINCE OF CHINA

Tin

  

Soft Metais Ltda.

  

BRAZIL

Tin

  

Thailand Smelting & Refining Co Ltd

  

THAILAND

Tin

  

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

  

CHINA

Tin

  

White Solder Metalurgia e Mineracao Ltda.

  

BRAZIL

Tin

  

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

  

CHINA

Tin

  

YTCL

  

CHINA

Tin

  

CV Venus Inti Perkasa

  

INDONESIA

Tin

  

Magnu’s Minerais Metais e Ligas Ltda.

  

BRAZIL

Tin

  

Melt Metais e Ligas S.A.

  

BRAZIL

Tin

  

PT ATD Makmur Mandiri Jaya

  

INDONESIA

Tin

  

O.M. Manufacturing Philippines, Inc.

  

PHILIPPINES

Tin

  

PT Inti Stania Prima

  

INDONESIA

Tin

  

CV Ayi Jaya

  

INDONESIA

Tin

  

CV Dua Sekawan

  

INDONESIA

Tin

  

CV Tiga Sekawan

  

INDONESIA

Tin

  

Resind Industria e Comercio Ltda.

  

BRAZIL

Tin

  

Metallo Belgium N.V.

  

BELGIUM

Tin

  

Metallo Spain S.L.U.

  

SPAIN

Tin

  

PT Bangka Prima Tin

  

INDONESIA

Tin

  

PT Sukses Inti Makmur

  

INDONESIA

Tin

  

PT Kijang Jaya Mandiri

  

INDONESIA

Tin

  

PT Menara Cipta Mulia

  

INDONESIA

Tin

  

HuiChang Hill Tin Industry Co., Ltd.

  

CHINA

Tin

  

Gejiu Fengming Metallurgy Chemical Plant

  

CHINA

Tin

  

Guanyang Guida Nonferrous Metal Smelting Plant

  

CHINA

Tin

  

Modeltech Sdn Bhd

  

MALAYSIA

Tin

  

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

  

CHINA

Tin

  

Chifeng Dajingzi Tin Industry Co., Ltd.

  

CHINA

Tin

  

PT Bangka Serumpun

  

INDONESIA

Tungsten

  

Chongyi Zhangyuan Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Global Tungsten & Powders Corp.

  

UNITED STATES OF AMERICA

Tungsten

  

Hunan Chunchang Nonferrous Metals Co., Ltd.

  

CHINA


Mineral    Smelter    Location of Facility

Tungsten

  

Japan New Metals Co., Ltd.

  

JAPAN

Tungsten

  

Ganzhou Huaxing Tungsten Products Co., Ltd.

  

CHINA

Tungsten

  

Tejing (Vietnam) Tungsten Co., Ltd.

  

VIETNAM

Tungsten

  

Xiamen Tungsten Co., Ltd.

  

CHINA

Tungsten

  

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

  

CHINA

Tungsten

  

Jiangxi Gan Bei Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Ganzhou Seadragon W & Mo Co., Ltd.

  

CHINA

Tungsten

  

Chenzhou Diamond Tungsten Products Co., Ltd.

  

CHINA

Tungsten

  

H.C. Starck Tungsten GmbH

  

GERMANY

The conflict minerals contained in our 3TG Products, to the extent known, are believed to have been sourced from recycled mat erials or the following countries: Austria, Australia, Belgium, Bolivia, Brazil, Canada, Chile, China, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Kyrgyzstan, Republic of Korea, Malaysia, Mexico, Peru, Philippines, Poland, Russia, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan, Thailand, Turkey, United States, United Arab Emirates, Uzbekistan, Vietnam.