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)

 
 
 
 
 
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, 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)

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.

Known smelters have been identified by CFSP but have not yet committed to undergo a validation audit.
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.
Active smelters have committed to undergo a CFSI third party validation audit and are progressing toward a Conflict Free designation.
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

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



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

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



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



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