2014 FORM SD
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)
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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:
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x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2014. |
Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Lattice Semiconductor Corporation (together with its subsidiaries "Lattice") has evaluated its product lines for the year ending December 31, 2014 and determined that certain products that it contracted to manufacture contain conflict minerals as defined in the 1934 Act Release No. 34-67716.
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.aspx
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)
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By: | /s/ Byron W. Milstead | Date: May 29, 2015 |
| Byron W. Milstead | |
| Corporate Vice President, General Counsel & Secretary | |
Exhibit 1.01
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, 2014.
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 free from conflict minerals that are sourced from the Democratic Republic of the Congo and its adjoining countries (“Covered Countries”) and finance or benefit armed groups (“DRC Conflict Free”). Conflict minerals are tantalum, tungsten, tin and gold, and their derivatives.
On March 10, 2015, Lattice acquired Silicon Image, Inc. (“Silicon Image”), a provider of wired and wireless connectivity solutions. Lattice is reporting on Silicon Image’s products based on its understanding of the due diligence conducted by Silicon Image. Because the acquisition of Silicon Image occurred after the end of the 2014 reporting period, we distinguish between certain aspects of Lattice and Silicon Image products and due diligence results for 2014. Both companies undertook similar due diligence measures in 2014 in conformance with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (OECD 2013), and related Supplements on Gold, Tin, Tantalum and Tungsten (collectively the “OECD Framework”).
Lattice 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 “Lattice 3TG Products”). In order to achieve a 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 Lattice 3TG Products.
Consistent with the OECD Framework, we established a risk management process that includes a formal Corporate Social Responsibility (“CSR”) initiative. As part of our CSR initiative, we structured our internal processes to support supply chain due diligence by participating in industry-driven programs, including our support and adoption of the Electronic Industry Citizenship Coalition (“EICC”) Code of Conduct. Additionally, we strengthened our engagement with suppliers and adopted our Conflict Minerals Sourcing Policy, which is available on the Corporate Social Responsibility page of our website at http://www.latticesemi.com/About/ CorporateSocialResponsibility.aspx.
Silicon Image Products and Initiatives
Silicon Image is a provider of wired and wireless connectivity solutions for the mobile, consumer electronics, and personal computer markets. Based on an internal assessment, Silicon Image’s semiconductor devices and firmware that Silicon Image contracts to manufacture contain conflict minerals that are necessary to their functionality (the “Silicon Image 3TG Products”). In order to achieve a Conflict Free supply chain and to comply with reporting requirements, Silicon Image designed and adopted a risk management plan consistent with the OECD Framework.
Lattice Semiconductor Corporation | Conflict Minerals Report
Lattice and Silicon Image - Diligence on Source and Chain of Custody
Lattice and Silicon Image conducted good faith reasonable country of origin inquiries and due diligence to determine whether any conflict minerals in Lattice 3TG Products or Silicon Image 3TG Products (collectively, “Applicable 3TG Products”) originated in the Covered Countries. Because Lattice and Silicon Image are at least several levels removed from the mining, refining and smelting of conflict minerals, we rely upon certifications from our supply chain concerning the use and source of conflict minerals in our Applicable 3TG Products. Our diligence measures can only provide a reasonable assurance regarding the source and chain of custody of conflict minerals in our supply chain.
In order to identify and assess risks in our supply chain, we followed industry standards by requesting all suppliers to identify the processing facilities and other data related to conflict minerals in the Applicable 3TG Products using the Electronic Industry Citizenship Coalition and Global e-Sustainability (“EICC/GeSI”) Conflict Minerals Reporting Template (the “CMRT”). If a supplier did not respond or provided an insufficient response, we engaged in further discussions with that supplier until we received the requested information. Our policy is to disengage with any supplier from whom we did not receive a response after multiple inquiries. In 2014, over 99% of Lattice and Silicon Image combined product related revenues originated from semiconductor devices, and 100% of the suppliers of materials used in our semiconductor devices responded to our request and provided information required by the CMRT. A small portion of suppliers for our evaluation boards and firmware did not provide adequate responses to our request.
In order to determine the source and chain of custody of any conflict minerals in our supply chain, we compiled and analyzed the CMRT results, attempted to confirm reported results where appropriate, identified possible risks in our supply chain, and identified smelters and refiners certified by the internationally-recognized Conflict Free Sourcing Initiative (CFSI) Conflict-Free Smelter Program (“CFSP”). The CFSP identifies smelters as either Known, Progressing, Active, or Certified.
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• | Known smelters have been identified by CFSP but have not yet committed to undergo a validation audit. |
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• | Progressing smelters include Tungsten smelters that are members of the Tungsten Industry Conflict Minerals Council (TI-CMC) and have committed to undergo a TI-CMC validation audit within two years of membership. |
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• | Active smelters have committed to undergo a CFSI third party validation audit and are progressing toward a Conflict Free designation. |
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• | Compliant smelters have been certified Conflict Free. |
These CFSP designations are an integral part of our risk management process because they provide us with independent third-party audits verifying processing facilities that source DRC Conflict Free. The results of our supply change due diligence are reported regularly to Lattice management.
Lattice Due Diligence Results
As a result of our due diligence, we identified 71 smelters and refiners as potential sources of conflict minerals in our supply chain. Of those smelters identified, 62 are Compliant and certified by CFSP to be Conflict Free as of May 20, 2015. The remaining 9 smelters are Active as defined by CFSP. For smelters not certified as Compliant, we reviewed the reported facilities against the information disclosed in the CMRT to determine the source of the conflict minerals with the greatest possible specificity.
The conflict minerals contained in our Applicable 3TG Products, to the extent known, are believed to have been sourced from recycled materials or the following countries: Australia, Belgium, Bolivia, Brazil, Canada, China, Ethiopia, Germany, Indonesia, Japan, Kazakhstan, Malaysia, Peru, Poland, Republic of Korea, Russia, South Africa, Switzerland, Taiwan, Thailand, and the United States of America.
Lattice Semiconductor Corporation | Conflict Minerals Report
Appendix I lists the facilities believed to process the conflict minerals contained in Lattice’s Applicable 3TG Products. Detailed smelter and refiner information is contained within our CMRT, which is available on our website at http://www.latticesemi.com/en/About/CorporateSocial Responsibility.aspx.
Silicon Image Due Diligence Results
As a result of our due diligence, we identified 111 smelters and refiners as potential sources of conflict minerals in our supply chain. Of those smelters identified, 100 are Compliant and certified by CFSP to be Conflict Free as of May 20, 2015. Five smelters are Active, five smelters are Progressing, and one is Known as defined by CFSP. For smelters not Compliant by CFSP, we reviewed the facilities against publicly available information to determine the source of the conflict minerals with the greatest possible specificity.
The conflict minerals contained in the Silicon Image Applicable 3TG Products, to the extent known, are believed to have been sourced from recycled materials or the following countries: Australia, Brazil, Canada, China, Germany, Indonesia, Japan, Kazakhstan, Malaysia, Mozambique, Republic of Korea, Russia, South Africa, Switzerland, and Thailand.
Appendix II lists the facilities believed to process the conflict minerals contained in Silicon Image’s Applicable 3TG Products. Detailed smelter and refiner information is contained within our Conflict Minerals Reporting Template declaration, which is available on our website at http://www.lattice semi.com/en/About/CorporateSocialResponsibility.aspx.
Future Diligence Efforts
For the reporting period ending December 31, 2015, we continue to engage in the due diligence activities described in this report for all Applicable 3TG Products. We intend to further engage with our supply chain to ensure the upstream smelters and refiners are progressing toward CFSP validation as Compliant and Conflict Free smelters.
This Conflict Minerals Report has not been subject to an independent private sector audit as allowed under a temporary exception in Rule 13p-1.
Lattice Semiconductor Corporation | Conflict Minerals Report
Appendix I
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Mineral | Smelter or Refiner Name | CFSP Status | Location of Facility |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Compliant | Germany |
Gold | Argor-Heraeus SA | Compliant | Switzerland |
Gold | Asahi Pretec Corporation | Compliant | Japan |
Gold | Dowa | Compliant | Japan |
Gold | Heraeus Ltd. Hong Kong | Compliant | Hong Kong |
Gold | Heraeus Precious Metals GmbH & Co. KG | Compliant | Germany |
Gold | Ishifuku Metal Industry Co., Ltd. | Compliant | Japan |
Gold | Johnson Matthey Inc | Compliant | United States |
Gold | Johnson Matthey Ltd | Compliant | Canada |
Gold | JX Nippon Mining & Metals Co., Ltd. | Compliant | Japan |
Gold | Kennecott Utah Copper LLC | Compliant | United States |
Gold | Kojima Chemicals Co., Ltd | Compliant | Japan |
Gold | LS-NIKKO Copper Inc. | Compliant | South Korea |
Gold | Materion | Compliant | United States |
Gold | Matsuda Sangyo Co., Ltd. | Compliant | Japan |
Gold | Metalor Technologies SA | Compliant | Switzerland |
Gold | Metalor Technologies (Hong Kong) Ltd | Compliant | Hong Kong |
Gold | Metalor USA Refining Corporation | Compliant | United States |
Gold | Mitsubishi Materials Corporation | Compliant | Japan |
Gold | Mitsui Mining and Smelting Co., Ltd. | Compliant | Japan |
Gold | Nihon Material Co. LTD | Compliant | Japan |
Gold | Ohio Precious Metals, LLC | Compliant | United States |
Gold | PAMP SA | Compliant | Switzerland |
Gold | Western Australian Mint trading as The Perth Mint | Compliant | Australia |
Gold | Royal Canadian Mint | Compliant | Canada |
Gold | Solar Applied Materials Technology Corp. | Compliant | Taiwan |
Gold | Sumitomo Metal Mining Co., Ltd. | Compliant | Japan |
Gold | Tanaka Kikinzoku Kogyo K.K. | Compliant | Japan |
Gold | Tokuriki Honten Co., Ltd | Compliant | Japan |
Gold | Umicore SA Business Unit Precious Metals Refining | Compliant | Belgium |
Gold | United Precious Metal Refining, Inc. | Compliant | United States |
Gold | Eco-System Recycling Co., Ltd. | Compliant | Japan |
Gold | Rand Refinery (Pty) Ltd | Compliant | South Africa |
Tantalum | Global Advanced Metals Boyertown | Compliant | United States |
Tantalum | Exotech Inc. | Compliant | United States |
Tantalum | F&X Electro-Materials Ltd. | Compliant | China |
Tantalum | H.C. Starck GmbH Goslar | Compliant | Germany |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | Compliant | China |
Tantalum | Ulba | Compliant | Kazakhstan |
Tin | Cooper Santa | Active | Brazil |
Tin | CV United Smelting | Compliant | Indonesia |
Tin | EM Vinto | Active | Bolivia |
Tin | Fenix Metals | Active | Poland |
Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd. | Compliant | China |
Tin | Malaysia Smelting Corporation (MSC) | Compliant | Malaysia |
Tin | Metallo Chimique | Active | Belgium |
Tin | Mineração Taboca S.A. | Compliant | Brazil |
Tin | Minsur | Compliant | Peru |
Tin | Mitsubishi Materials Corporation | Compliant | Japan |
Tin | Operaciones Metalurgical SA | Compliant | Bolivia |
Lattice Semiconductor Corporation | Conflict Minerals Report
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Tin | PT Bangka Tin Industry | Compliant | Indonesia |
Tin | PT Bangka Putra Karya | Active | Indonesia |
Tin | PT Bukit Timah | Compliant | Indonesia |
Tin | PT DS Jaya Abadi | Compliant | Indonesia |
Tin | PT Mitra Stania Prima | Active | Indonesia |
Tin | PT REFINED BANGKA TIN | Compliant | Indonesia |
Tin | PT Stanindo Inti Perkasa | Compliant | Indonesia |
Tin | PT Tambang Timah | Compliant | Indonesia |
Tin | PT Timah (Persero), Tbk | Compliant | Indonesia |
Tin | PT Tinindo Inter Nusa | Active | Indonesia |
Tin | Thaisarco | Compliant | Thailand |
Tin | White Solder Metalurgia e Mineração Ltda. | Compliant | Brazil |
Tin | Yunnan Tin Company, Ltd. | Compliant | China |
Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | Active | China |
Tin | PT Eunindo Usaha Mandiri | Compliant | Indonesia |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | Active | China |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | Compliant | China |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Compliant | China |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | Compliant | China |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | Compliant | China |
Tungsten | Xiamen Tungsten Co., Ltd. | Compliant | China |
Lattice Semiconductor Corporation | Conflict Minerals Report
Appendix II
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Metal | Smelter | CFSP Status | Location of Facility |
Gold | Aida Chemical Industries Co. Ltd. | Compliant | Japan |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Compliant | Germany |
Gold | Argor-Heraeus SA | Compliant | Switzerland |
Gold | Asahi Pretec Corporation | Compliant | Japan |
Gold | Asaka Riken Co Ltd | Active | Japan |
Gold | Dowa Metals & Mining. | Compliant | Japan |
Gold | Eco-System Recycling Co., Ltd. | Compliant | Japan |
Gold | Heraeus Ltd. Hong Kong | Compliant | Hong Kong |
Gold | Heraeus Precious Metals GmbH & Co. KG | Compliant | Germany |
Gold | Ishifuku Metal Industry Co., Ltd. | Compliant | Japan |
Gold | Johnson Matthey Inc | Compliant | United States |
Gold | JX Nippon Mining & Metals Co., Ltd. | Compliant | Japan |
Gold | Kennecott Utah Copper LLC | Compliant | United States |
Gold | Kojima Chemicals Co., Ltd | Compliant | Japan |
Gold | LS-NIKKO Copper Inc. | Compliant | South Korea |
Gold | Materion | Compliant | United States |
Gold | Matsuda Sangyo Co., Ltd. | Compliant | Japan |
Gold | Metalor Technologies (Hong Kong) Ltd | Compliant | Hong Kong |
Gold | Metalor Technologies SA | Compliant | Switzerland |
Gold | Metalor USA Refining Corporation | Compliant | United States |
Gold | Mitsubishi Materials Corporation | Compliant | Japan |
Gold | Mitsui Mining and Smelting Co., Ltd. | Compliant | Japan |
Gold | Nihon Material Co. LTD | Compliant | Japan |
Gold | Ohio Precious Metals, LLC | Compliant | United States |
Gold | PAMP SA | Compliant | Switzerland |
Gold | Pan Pacific Copper Co. LTD | Compliant | Japan |
Gold | Perth Mint | Compliant | Australia |
Gold | Rand Refinery (Pty) Ltd | Compliant | South Africa |
Gold | Royal Canadian Mint | Compliant | Canada |
Gold | SEMPSA Joyería Platería SA | Compliant | Spain |
Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd | Compliant | China |
Gold | Solar Applied Materials Technology Corp. | Compliant | Taiwan |
Gold | Sumitomo Metal Mining Co., Ltd. | Compliant | Japan |
Gold | Tanaka Denshi Kogyo K.K | Compliant | Japan |
Gold | Tanaka Kikinzoku Kogyo K.K. | Compliant | Japan |
Gold | The Refinery of Shandong Gold Mining Co. Ltd | Compliant | China |
Gold | Tokuriki Honten Co., Ltd | Compliant | Japan |
Gold | Umicore SA Business Unit Precious Metals Refining | Compliant | Belgium |
Gold | United Precious Metal Refining, Inc. | Compliant | United States |
Gold | Valcambi SA | Compliant | Switzerland |
Gold | Western Australian Mint trading as The Perth Mint | Compliant | Australia |
Gold | Xstrata Canada Corporation | Compliant | Canada |
Gold | YAMAMOTO PRECIOUS METAL CO., LTD. | Compliant | Japan |
Gold | Yokohama Metal Co Ltd | Active | Japan |
Tantalum | Conghua Tantalum and Niobium Smeltry | Compliant | China |
Tantalum | Duoluoshan | Compliant | China |
Tantalum | Exotech Inc. | Compliant | United States |
Tantalum | F&X Electro-Materials Ltd. | Compliant | China |
Tantalum | Global Advanced Metals Aizu | Compliant | Japan |
Tantalum | Global Advanced Metals Boyertown | Compliant | United States |
Lattice Semiconductor Corporation | Conflict Minerals Report
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Tantalum | H.C. Starck Co., Ltd. | Compliant | Thailand |
Tantalum | H.C. Starck GmbH Laufenburg | Compliant | Germany |
Tantalum | H.C. Starck Hermsdorf GmbH | Compliant | Germany |
Tantalum | H.C. Starck Inc. | Compliant | United States |
Tantalum | H.C. Starck Ltd. | Compliant | Japan |
Tantalum | H.C. Starck Smelting GmbH & Co.KG | Compliant | Germany |
Tantalum | Jiujiang Tanbre Co., Ltd. | Compliant | China |
Tantalum | Mitsui Mining & Smelting | Compliant | Japan |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | Compliant | China |
Tantalum | Solikamsk Metal Works | Compliant | Russia |
Tantalum | Taki Chemicals | Compliant | Japan |
Tantalum | ULBA Metallurgical Plant JSC | Compliant | Kazakhstan |
Tin | Cookson | Compliant | United States |
Tin | Cooper Santa | Compliant | Brazil |
Tin | CV DS Jaya Abadi | Compliant | Indonesia |
Tin | CV United Smelting | Compliant | Indonesia |
Tin | Dowa | Compliant | Japan |
Tin | EM Vinto | Compliant | Bolivia |
Tin | Fenix Metals | Active | Poland |
Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd. | Compliant | China |
Tin | Malaysia Smelting Corporation (MSC) | Compliant | Malaysia |
Tin | Melt Metais e Ligas S/A | Compliant | Brazil |
Tin | Metallo Chimique | Known | Belgium |
Tin | Mineração Taboca S.A. | Compliant | Brazil |
Tin | Minsur | Compliant | Peru |
Tin | Mitsubishi Materials Corporation | Compliant | Japan |
Tin | MSC | Compliant | Malaysia |
Tin | OMSA | Compliant | Bolivia |
Tin | PT Bangka Putra Karya | Compliant | Indonesia |
Tin | PT Bangka Tin Industry | Compliant | Indonesia |
Tin | PT Bukit Timah | Compliant | Indonesia |
Tin | PT DS Jaya Abadi | Compliant | Indonesia |
Tin | PT Eunindo Usaha Mandiri | Compliant | Indonesia |
Tin | PT Mitra Stania Prima | Compliant | Indonesia |
Tin | PT REFINED BANGKA TIN | Compliant | Indonesia |
Tin | PT Stanindo Inti Perkasa | Compliant | Indonesia |
Tin | PT Stanindo Inti Perkasa (CV DS Jaya Abadi) | Compliant | Indonesia |
Tin | PT Tambang Timah | Compliant | Indonesia |
Tin | PT TAMBANG TIMAH (BANKA) | Compliant | Indonesia |
Tin | PT Timah | Compliant | Indonesia |
Tin | PT Tinindo Inter Nusa | Compliant | Indonesia |
Tin | Taboca | Compliant | Brazil |
Tin | Thailand Smelting & Refining Co., Ltd | Compliant | Thailand |
Tin | White Solder Metalurgia e Mineração Ltda. | Compliant | Brazil |
Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | Active | China |
Tin | Yunnan Tin Company, Ltd. | Compliant | China |
Tungsten | A.L.M.T. Corp. | Progressing | Japan |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | Compliant | China |
Tungsten | Chongyi Zhangyuan Tungsten Co Ltd | Progressing | China |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | Compliant | China |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | Compliant | China |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Compliant | China |
Tungsten | Global Tungsten & Powders Corp. | Compliant | United States |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | Active | China |
Lattice Semiconductor Corporation | Conflict Minerals Report
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Tungsten | H.C. Starck GmbH | Progressing | Germany |
Tungsten | H.C. Starck Smelting GmbH & Co.KG | Progressing | Germany |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | Compliant | China |
Tungsten | Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. | Compliant | China |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Progressing | Vietnam |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | Compliant | China |
Tungsten | Xiamen Tungsten Co., Ltd. | Compliant | China |
Lattice Semiconductor Corporation | Conflict Minerals Report