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.) | ||
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:
x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019. |
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, 2019 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/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, 2020 |
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, 2019.
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 (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 (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 2019, over 99% 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 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, 2019, we believe that the conflict minerals contained in our 3TG Products originated from the facilities listed on 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/ en/About/Corporate Social Responsibility.
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 Córrego do Sítio Mineração | 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 | 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 |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore |
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 |
Mineral | Smelter | Location of Facility |
Gold | Mitsui Mining and Smelting Co., Ltd. | Japan |
Gold | Moscow Special Alloys Processing Plant | Russian Federation |
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | 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 Précinox S.A. | Switzerland |
Gold | Rand Refinery (Pty) Ltd. | South Africa |
Gold | Royal Canadian Mint | Canada |
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 | 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 | KGHM Polska Miedz Spolka Akcyjna | Poland |
Gold | Singway Technology Co., Ltd. | Taiwan, Province of China |
Gold | Emirates Gold DMCC | United Arab Emirates |
Gold | T.C.A S.p.A | Italy |
Gold | REMONDIS PMR B.V. | Netherlands |
Gold | Korea Zinc Co., Ltd. | Korea, Republic of |
Gold | Marsam Metals | Brazil |
Gold | SAAMP | France |
Gold | L'Orfebre S.A. | Andorra |
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 | Bangalore Refinery | India |
Mineral | Smelter | Location of Facility |
Gold | SungEel HiMetal Co., Ltd. | Korea, Republic of |
Gold | Planta Recuperadora de Metales SpA | Chile |
Gold | Safimet S.p.A | Italy |
Gold | DS PRETECH Co., Ltd. | Korea, Republic of |
Tantalum | Exotech Inc. | United States of America |
Tantalum | F&X Electro-Materials Ltd. | China |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China |
Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | China |
Tantalum | Metallurgical Products India Pvt., Ltd. | India |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China |
Tantalum | Solikamsk Magnesium Works OAO | Russian Federation |
Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China |
Tantalum | D Block Metals, LLC | United States of America |
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 | Dowa | Japan |
Tin | EM Vinto | Bolivia (Plurinational State of) |
Tin | Fenix Metals | Poland |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China |
Tin | Gejiu Zili Mining And Metallurgy 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 | Mineração 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 | Operaciones Metalurgical S.A. | Bolivia (Plurinational State of) |
Tin | PT Mitra Stania Prima | Indonesia |
Tin | PT Refined Bangka Tin | Indonesia |
Tin | PT Timah Tbk Kundur | Indonesia |
Tin | PT Timah (Persero) Tbk Mentok | Indonesia |
Tin | Rui Da Hung | Taiwan, Province of China |
Tin | Soft Metais Ltda. | Brazil |
Tin | Thaisarco | Thailand |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China |
Tin | White Solder Metalurgia e Mineração Ltda. | Brazil |
Mineral | Smelter | Location of Facility |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China |
Tin | Yunnan Tin Company Limited | China |
Tin | Magnu’s Minerais Metais e Ligas Ltda. | Brazil |
Tin | Melt Metais e Ligas S.A. | Brazil |
Tin | O.M. Manufacturing Philippines, Inc. | Philippines |
Tin | Resind Industria e Comercio Ltda. | Brazil |
Tin | Metallo Belgium N.V. | Belgium |
Tin | Metallo Spain S.L.U. | Spain |
Tin | HuiChang Hill Tin Industry Co., Ltd. | China |
Tin | Gejiu Fengming Metallurgy Chemical Plant | China |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | China |
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China |
Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China |
Tungsten | Global Tungsten & Powders Corp. | United States of America |
Tungsten | Japan New Metals Co., Ltd. | Japan |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China |
Tungsten | Xiamen Tungsten Co., Ltd. | China |
Tungsten | Xiamen Tungsten (H.C.) 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 |
Tungsten | H.C. Starck Smelting GmbH & Co. KG | Germany |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Vietnam |
Tungsten | Jiangwu H.C. Starck Tungsten Products 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 facilities in the following countries: Austria, Australia, Belgium, Bolivia, Brazil, Canada, Chile, China, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Kyrgyzstan, Republic of Korea, Malaysia, Mexico, Netherlands, Peru, Philippines, Poland, Russia, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan, Thailand, Turkey, United States of America, United Arab Emirates, Uzbekistan, Vietnam. | ||