EX-1.01 2 v441674_ex1-01.htm EXHIBIT 1.01

Exhibit 1.01

 

Conflict Minerals Report of Imation Corp. in accordance with

Rule 13p-1 under the Securities and Exchange Act of 1934

 

Introduction

This report of Imation Corp. (“Imation”, “ Company” or “we”) for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1932 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement the reporting and disclosure requirements related to Conflict Minerals (defined below) as directed by the Dodd Frank Wall Street Reform and Consumer Protection Act of 2010. The Rule imposes certain reporting obligations on SEC registrants who manufacture or contract to manufacture products which contain Conflict Minerals which are necessary to the functionality of production of those products. Conflict Minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which for purposes of the Rule are limited to tin, tantalum, tungsten and gold. The Covered Countries for purposes of the Rule and this report are the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.

 

Products

This report relates to products (i) for which Conflict Minerals are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by the Company and (iii) for which the manufacture was completed during calendar year 2015. The products in those categories are data storage systems, data storage tape, USB flash drives, external hard drives and removable hard disk drives and certain headphones and speakers,.

 

Due Diligence

Our Conflict Minerals program is designed to conform, as much as practicable, with the framework in The Organization for Economic Co-Operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas (“OECD Guidance”). The OECD Guidance is written for the entire mineral supply chain and includes recommendation for actions in both the upstream (activities between suppliers and raw material manufacturers) and downstream segments of the supply chain. Downstream companies, like Imation, are several tiers removed from smelters or refiners of Conflict Minerals and have no visibility beyond direct suppliers to the smelters and refiners. We referred to The Conflict-Free Sourcing Initiative’s (“CFSI”) paper, Reasonable Practices to Identity Sources of Conflict Minerals: Practical Guidance for Downstream Companies, August 2013 for guidance on the application of the OECD Guidance to downstream companies. The CFSI is an initiative of the Electronics Industry Citizenship Coalition® (“EICC®”) and the Global e-Sustainability Initiative (“GeSI”).

 

For the calendar year ended December 31, 2015, the Company utilized an internal team comprised of legal resources and sourcing personnel around the world. The team is responsible for implementing the Company’s reasonable country of origin inquiry and the due diligence program and has senior management support in both legal and sourcing. We have a follow-up process to identify and escalate any issues associated with non-responsive or problematic responses. We also have an internal hotline and e-mail to report concerns regarding any matter, including Conflict Minerals issues. The internal team communicates the status and effectiveness of the Conflict Minerals inquiry to senior management.

 

 

 

 

The Company has conducted a good faith reasonable country of origin reasonably designed to determine whether any of the Conflict Minerals originated in the Covered Countries and whether any Conflict Minerals are from recycled or scrap sources. The Company’s supply chain with respect to the products is complex and there are many third parties in the supply chain between the ultimate manufacturer of our products and the original source of Conflict Minerals The Company must rely on its suppliers to provide information regarding the origin of the Conflict Minerals. The Company conducted a survey of its suppliers using the template developed by the EICC and GeSI, known as the CFSI Reporting Template (the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters the Company and its suppliers use. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers and a listing of the smelters the company and its suppliers use. In addition, the template contains questions about the origin of conflict minerals included in the products as well as supplier due diligence. We review the responses from our suppliers to look for incomplete responses as well as inconsistencies within the data reported in the template. We work directly with these suppliers to provide revised responses. While our suppliers continue to make progress from last year, many of our suppliers are still working to obtain responses from all of their suppliers. Our responses to date include numerous entities listed by our suppliers as smelters or refiners with the majority located in Brazil, China, Germany, Indonesia, Japan, Russia, the United States and Vietnam. The current list is attached as Annex A. Some of these entities were certified as Conflict Free using the Template. We compared these facilities to the CFSI list of smelters and where a supplier indicated that the facility was certified as Conflict Free, we reviewed that the name was listed by CFSI. Some of our suppliers have indicated that certain Conflict Minerals come from the Covered Countries but have verified or are in the process of verifying that the proceeds are not used to support armed conflict. Based on the information obtained pursuant to the due diligence process, the Company does not have sufficient information to determine all of the countries of origin of the Conflict Minerals. We will continue to work with our suppliers to gain additional information and move toward verification of conflict free sources of Conflict Minerals.

 

The Company has taken additional actions to support the Conflict Minerals initiative. The Company’s purchase order terms and conditions and standard product purchase agreement have been updated to reflect the requirements of the Rule. Sourcing personnel have been instructed that the review of potential suppliers must include an ability to provide information as to the source of Conflict Minerals as required by the Rule.

 

 

 

 

Annex A

 

Gold Advanced Chemical Company United States
Gold Aida Chemical Industries Co. Ltd. Japan
Gold Al Etihad Gold Refinery DMCC 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 SA Switzerland
Gold Asahi Pretec Corporation Japan
Gold Asaka Riken Co., Ltd. Japan
Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S. Turkey
Gold Aurubis AG Germany
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines) Philippines
Gold Bauer Walser AG Germany
Gold Boliden AB Sweden
Gold C. Hafner GmbH + Co. KG Germany
Gold Caridad Mexico
Gold CCR Refinery - Glencore Canada Corporation Canada
Gold Cendres + Métaux SA Switzerland
Gold Chimet S.p.A. Italy
Gold Chugai Mining Japan
Gold Daejin Indus Co., Ltd. Korea, Republic Of
Gold Daye Non-Ferrous Metals Mining Ltd. China
Gold Do Sung Corporation Korea, Republic Of
Gold DODUCO GmbH Germany
Gold Dowa Japan
Gold Eco-System Recycling Co., Ltd. Japan
Gold Elemetal Refining, LLC United States
Gold Emirates Gold DMCC United Arab Emirates
Gold Faggi Enrico S.p.A. Italy
Gold Fidelity Printers and Refiners Ltd. Zimbabwe
Gold Gansu Seemine Material Hi-Tech Co., Ltd. China
Gold Geib Refining Corporation United States
Gold Great Wall Precious Metals Co., Ltd. of CBPM China
Gold Guangdong Jinding Gold Limited China
Gold Guoda Safina High-Tech Environmental Refinery Co., Ltd. China
Gold Hangzhou Fuchunjiang Smelting Co., Ltd. China
Gold Heimerle + Meule GmbH Germany
Gold Heraeus Ltd Hong Kong Hong Kong
Gold Heraeus Precious Metals GmbH & Co. KG Germany
Gold Hunan Chenzhou Mining Group Co., Ltd. China
Gold Hwasung CJ Co., Ltd. Korea, Republic Of

 

 

 

 

Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited China
Gold Ishifuku Metal Industry Co., Ltd. Japan
Gold Istanbul Gold Refinery Turkey
Gold Japan Mint Japan
Gold Jiangxi Copper Company Limited China
Gold Johnson Matthey Inc. United States
Gold Johnson Matthey Limited Canada
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant Russian Federation
Gold JSC Uralelectromed Russian Federation
Gold JX Nippon Mining & Metals Co., Ltd. Japan
Gold Kaloti Precious Metals United Arab Emirates
Gold Kazakhmys Smelting LLC Kazakhstan
Gold Kazzinc Kazakhstan
Gold Kennecott Utah Copper LLC United States
Gold KGHM Polska Miedź Spółka Akcyjna Poland
Gold Kojima Chemicals Co., Ltd. Japan
Gold Korea Metal Co., Ltd. Korea, Republic Of
Gold Korea Zinc Co. Ltd. Korea, Republic Of
Gold Kyrgyzaltyn JSC Kyrgyzstan
Gold L' azurde Company For Jewelry Saudi Arabia
Gold Lingbao Gold Company Limited China
Gold Lingbao Jinyuan Tonghui Refinery Co., Ltd. China
Gold LS-NIKKO Copper Inc. Korea, Republic Of
Gold Luoyang Zijin Yinhui Gold Refinery Co., Ltd. China
Gold Materion United States
Gold Matsuda Sangyo Co., Ltd. Japan
Gold Metalor Technologies (Hong Kong) Ltd. China
Gold Metalor Technologies (Singapore) Pte., Ltd. Singapore
Gold Metalor Technologies (Suzhou) Ltd. China
Gold Metalor Technologies SA Switzerland
Gold Metalor USA Refining Corporation United States
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 Morris and Watson New Zealand
Gold Moscow Special Alloys Processing Plant Russian Federation
Gold Nadir Metal Rafineri San. Ve Tic. A.Ş. Turkey
Gold Navoi Mining and Metallurgical Combinat Uzbekistan
Gold Nihon Material Co., Ltd. Japan
Gold Ohio Precious Metals, LLC United States
Gold Ohura Precious Metal Industry Co., Ltd. Japan
Gold OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) Russian Federation

 

 

 

 

Gold OJSC Kolyma Refinery Russian Federation
Gold OJSC Novosibirsk Refinery Russian Federation
Gold PAMP SA Switzerland
Gold Penglai Penggang Gold Industry Co., Ltd. China
Gold Prioksky Plant of Non-Ferrous Metals Russian Federation
Gold PT Aneka Tambang (Persero) Tbk Indonesia
Gold PX Précinox SA Switzerland
Gold Rand Refinery (Pty) Ltd. South Africa
Gold Republic Metals Corporation United States
Gold Royal Canadian Mint Canada
Gold SAAMP France
Gold Sabin Metal Corp. United States
Gold Samduck Precious Metals Korea, Republic Of
Gold SAMWON Metals Corp. Korea, Republic Of
Gold SAXONIA Edelmetalle GmbH Germany
Gold Schone Edelmetaal B.V. Netherlands
Gold SEMPSA Joyería Platería SA Spain
Gold Shandong Tiancheng Biological Gold Industrial Co., Ltd. China
Gold Shandong Zhaojin Gold & Silver Refinery Co., Ltd. China
Gold Sichuan Tianze Precious Metals Co., Ltd. China
Gold Singway Technology Co., Ltd. Taiwan
Gold So Accurate Group, Inc. United States
Gold SOE Shyolkovsky Factory of Secondary Precious Metals Russian Federation
Gold Solar Applied Materials Technology Corp. Taiwan
Gold Sudan Gold Refinery Sudan
Gold Sumitomo Metal Mining Co., Ltd. Japan
Gold T.C.A S.p.A Italy
Gold Tanaka Kikinzoku Kogyo K.K. Japan
Gold The Great Wall Gold and Silver Refinery of China China
Gold The Refinery of Shandong Gold Mining Co., Ltd. China
Gold Tokuriki Honten Co., Ltd. Japan
Gold Tongling Nonferrous Metals Group Co., Ltd. China
Gold Tony Goetz NV Belgium
Gold Torecom Korea, Republic Of
Gold Umicore Brasil Ltda. Brazil
Gold Umicore Precious Metals Thailand Thailand
Gold Umicore SA Business Unit Precious Metals Refining Belgium
Gold United Precious Metal Refining, Inc. United States
Gold Valcambi SA Switzerland
Gold Western Australian Mint trading as The Perth Mint Australia
Gold WIELAND Edelmetalle GmbH Germany
Gold Yamamoto Precious Metal Co., Ltd. Japan
Gold Yokohama Metal Co., Ltd. Japan

 

 

 

 

Gold Yunnan Copper Industry Co., Ltd. China
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation China
Gold Zijin Mining Group Co., Ltd. Gold Refinery China
Tantalum Changsha South Tantalum Niobium Co., Ltd. China
Tantalum Changsha South Tantalum Niobium Co., Ltd. China
Tantalum Conghua Tantalum and Niobium Smeltry China
Tantalum D Block Metals, LLC United States
Tantalum Duoluoshan China
Tantalum E.S.R. Electronics United States
Tantalum Exotech Inc. United States
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
Tantalum Guangdong Zhiyuan New Material Co., Ltd. China
Tantalum Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch China
Tantalum H.C. Starck Co., Ltd. Thailand
Tantalum H.C. Starck GmbH Goslar Germany
Tantalum H.C. Starck GmbH Laufenburg Germany
Tantalum H.C. Starck Hermsdorf GmbH Germany
Tantalum H.C. Starck Inc. United States
Tantalum H.C. Starck Ltd. Japan
Tantalum H.C. Starck Smelting GmbH & Co.KG Germany
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. China
Tantalum Hi-Temp Specialty Metals, Inc. United States
Tantalum Jiangxi Dinghai Tantalum & Niobium Co., Ltd. China
Tantalum Jiangxi Tuohong New Raw Material China
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. China
Tantalum Jiujiang Tanbre Co., Ltd. China
Tantalum Jiujiang Zhongao Tantalum & Niobium Co., Ltd. China
Tantalum KEMET Blue Metals Mexico
Tantalum KEMET Blue Powder United States
Tantalum King-Tan Tantalum Industry Ltd. China
Tantalum LSM Brasil S.A. Brazil
Tantalum Metallurgical Products India Pvt., Ltd. India
Tantalum Mineração Taboca S.A. Brazil
Tantalum Mitsui Mining & Smelting Japan
Tantalum Molycorp Silmet A.S. Estonia
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. China
Tantalum Plansee SE Liezen Austria
Tantalum Plansee SE Reutte Austria
Tantalum QuantumClean United States
Tantalum RFH Tantalum Smeltry Co., Ltd. China

 

 

 

 

Tantalum Solikamsk Magnesium Works OAO Russian Federation
Tantalum Solikamsk Metal Works Russian Federation
Tantalum Taki Chemicals Japan
Tantalum Telex Metals United States
Tantalum Ulba Metallurgical Plant JSC Kazakhstan
Tantalum XinXing HaoRong Electronic Material Co., Ltd. China
Tantalum Yichun Jin Yang Rare Metal Co., Ltd. China
Tantalum Zhuzhou Cemented Carbide China
Tin Alpha United States
Tin An Thai Minerals Company Limited Viet Nam
Tin An Vinh Joint Stock Mineral Processing Company Viet Nam
Tin Chenzhou Yun Xiang mining limited liability company China
Tin China Tin Group Co., Ltd. China
Tin CNMC (Guangxi) PGMA Co., Ltd. China
Tin Cooper Santa Brazil
Tin Cooperativa Metalurgica de Rondônia Ltda. Brazil
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 Elmet S.L.U. (Metallo Group) Spain
Tin EM Vinto Bolivia
Tin Estanho de Rondônia S.A. Brazil
Tin Fenix Metals Poland
Tin Gejiu Fengming Metalurgy Chemical Plant 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 Gejiu Zili Mining And Metallurgy 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 Jiangxi Ketai Advanced Material Co., Ltd. China
Tin Jiangxi Nanshan China
Tin Linwu Xianggui Ore Smelting 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
Tin Metallo-Chimique N.V. Belgium

 

 

 

 

Tin Mineração Taboca S.A. Brazil
Tin Minsur Peru
Tin Mitsubishi Materials Corporation Japan
Tin Nghe Tinh Non-Ferrous Metals Joint Stock Company Viet Nam
Tin Novosibirsk Processing Plant Ltd. Russian Federation
Tin O.M. Manufacturing (Thailand) Co., Ltd. Thailand
Tin O.M. Manufacturing Philippines, Inc. Philippines
Tin Operaciones Metalurgical S.A. Bolivia
Tin PT Alam Lestari Kencana Indonesia
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 Kudai Tin Indonesia
Tin PT Bangka Prima Tin Indonesia
Tin PT Bangka Putra Karya Indonesia
Tin PT Bangka Tin Industry Indonesia
Tin PT Belitung Industri Sejahtera Indonesia
Tin PT BilliTin Makmur Lestari Indonesia
Tin PT Bukit Timah Indonesia
Tin PT DS Jaya Abadi Indonesia
Tin PT Eunindo Usaha Mandiri Indonesia
Tin PT Fang Di MulTindo Indonesia
Tin PT Inti Stania Prima Indonesia
Tin PT Justindo Indonesia
Tin PT Karimun Mining Indonesia
Tin PT Kijang Jaya Mandiri Indonesia
Tin PT Mitra Stania Prima Indonesia
Tin PT Panca Mega Persada Indonesia
Tin PT Pelat Timah Nusantara Tbk Indonesia
Tin PT Prima Timah Utama Indonesia
Tin PT Refined Bangka Tin Indonesia
Tin PT Sariwiguna Binasentosa Indonesia
Tin PT Seirama Tin Investment Indonesia
Tin PT Stanindo Inti Perkasa Indonesia
Tin PT Sukses Inti Makmur Indonesia
Tin PT Sumber Jaya Indah Indonesia
Tin PT Tambang Timah Indonesia
Tin PT Timah Indonesia
Tin PT Timah (Persero) Tbk Kundur Indonesia
Tin PT Tinindo Inter Nusa Indonesia
Tin PT Tirus Putra Mandiri Indonesia
Tin PT Tommy Utama Indonesia

 

 

 

 

Tin PT Wahana Perkit Jaya Indonesia
Tin Rui Da Hung Taiwan
Tin Soft Metais Ltda. Brazil
Tin Thaisarco Thailand
Tin VQB Mineral and Trading Group JSC Viet Nam
Tin White Solder Metalurgia e Mineração Ltda. Brazil
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd. China
Tin Yunnan Tin Company Limited China
Tin Yunnan Tin Group (Holding) Company Limited China
Tungsten A.L.M.T. TUNGSTEN Corp. Japan
Tungsten ACL Metais Eireli Brazil
Tungsten Asia Tungsten Products Vietnam Ltd. Viet Nam
Tungsten Chenzhou Diamond Tungsten Products Co., Ltd. China
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. China
Tungsten Dayu Weiliang Tungsten Co., Ltd. China
Tungsten Fujian Jinxin Tungsten Co., Ltd. China
Tungsten Ganxian Shirui New Material Co., Ltd. China
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. China
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. China
Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd. China
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. China
Tungsten Ganzhou Yatai Tungsten Co., Ltd. China
Tungsten Global Tungsten & Powders Corp. United States
Tungsten Guangdong Xianglu Tungsten Co., Ltd. China
Tungsten H.C. Starck GmbH Germany
Tungsten H.C. Starck Smelting GmbH & Co.KG Germany
Tungsten Hunan Chenzhou Mining Group Co., Ltd. China
Tungsten Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji China
Tungsten Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin China
Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd. China
Tungsten Hydrometallurg, JSC Russian Federation
Tungsten Japan New Metals Co., Ltd. Japan
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. China
Tungsten Jiangxi Dayu Longxintai Tungsten Co., Ltd. China
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. China
Tungsten Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. China
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. China
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. China
Tungsten Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. China
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd. China
Tungsten Kennametal Fallon United States
Tungsten Kennametal Huntsville United States
Tungsten Malipo Haiyu Tungsten Co., Ltd. China

 

 

 

 

Tungsten Moliren Ltd Russian Federation
Tungsten Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC Viet Nam
Tungsten Philippine Chuangin Industrial Co., Inc. Philippines
Tungsten South-East Nonferrous Metal Company Limited of Hengyang City China
Tungsten Tejing (Vietnam) Tungsten Co., Ltd. Viet Nam
Tungsten Vietnam Youngsun Tungsten Industry Co., Ltd. Viet Nam
Tungsten Wolfram Bergbau und Hütten AG Austria
Tungsten Woltech Korea Co., Ltd. Korea, Republic Of
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. China
Tungsten Xiamen Tungsten Co., Ltd. China
Tungsten Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. China
Tungsten Xinhai Rendan Shaoguan Tungsten Co., Ltd. China