0001104659-15-042471.txt : 20150601 0001104659-15-042471.hdr.sgml : 20150601 20150601161530 ACCESSION NUMBER: 0001104659-15-042471 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20141231 1.02 20141231 FILED AS OF DATE: 20150601 DATE AS OF CHANGE: 20150601 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VEECO INSTRUMENTS INC CENTRAL INDEX KEY: 0000103145 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 112989601 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 000-16244 FILM NUMBER: 15903563 BUSINESS ADDRESS: STREET 1: TERMINAL DRIVE CITY: PLAINVIEW STATE: NY ZIP: 11803 BUSINESS PHONE: 516 677-0200 MAIL ADDRESS: STREET 1: TERMINAL DRIVE CITY: PLAINVIEW STATE: NY ZIP: 11803 FORMER COMPANY: FORMER CONFORMED NAME: VACUUM ELECTRONIC MANUFACTURING CORP DATE OF NAME CHANGE: 19700408 SD 1 a15-13151_1sd.htm SD

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

OMB APPROVAL

OMB Number: 3235-0697

Expires:        May 31, 2016

Estimated average burden

hours per response....480.61

 

FORM SD

 

Specialized Disclosure Report

 

Veeco Instruments Inc.

(Exact name of the registrant as specified in its charter)

 

Delaware

 

0-16244

 

11-2989601

(State of other jurisdiction of

 

(Commission

 

(IRS Employer

incorporation or organization)

 

File Number)

 

Identification No.)

 

Terminal Drive, Plainview, New York 11803

(Address of principal executive offices)  (Zip code)

 

Gregory A. Robbins      (516) 677-0200

(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

 

Rule 13p-1 under the Securities Exchange Act of 1934 provides that a company must file this specialized disclosure report if it manufactures, or contracts to manufacture, products for which one or more conflict minerals are necessary to the functionality or production of the company’s products. Rule 13p-1 defines “conflict minerals” as cassiterite, columbite-tantalite (coltan) and wolframite (and their derivatives, tin, tantalum and tungsten), and gold, regardless of the geographic origin of the minerals and whether or not they fund armed conflict.  As specified under Rule 13p-1, Veeco Instruments Inc. conducted in good faith a reasonable country of origin inquiry that we believe was reasonably designed to determine whether any of the necessary conflict minerals contained in our products manufactured in calendar year 2014 originated in the Democratic Republic of the Congo or an adjoining country, or were from recycled or scrap sources. Our Conflict Minerals Report, which discusses this inquiry and other information, is provided as an exhibit to this report and is also publicly available on our website at http://ir.veeco.com/financial-information/sec-filings.

 

Item 1.02 Exhibit

 

Our Conflict Minerals Report is attached as Exhibit 1.01 to this report.

 

Section 2 - Exhibits

 

Item 2.01:             Exhibits

 

Exhibit
No.

 

Description

 

 

 

1.01

 

Conflict Minerals Report of Veeco Instruments Inc.

 

2



 

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.

 

 

VEECO INSTRUMENTS INC.

 

 

 

 

 

 

 

 

 

By:

/s/ Gregory A. Robbins

 

June 1, 2015

Name:

Gregory A. Robbins

 

 

Title:

Senior Vice President and General Counsel

 

 

 

3



 

EXHIBIT INDEX

 

Exhibit
No.

 

Description

1.01

 

Conflict Minerals Report of Veeco Instruments Inc.

 

4


EX-1.01 2 a15-13151_1ex1d01.htm EX-1.01

EXHIBIT 1.01

 

VEECO INSTRUMENTS INC.

CONFLICT MINERALS REPORT

FOR YEAR ENDED DECEMBER 31, 2014

 

This Conflict Minerals Report (this “Report”) of Veeco Instruments Inc., including its subsidiaries (collectively, “Veeco” or “we” or “our”) has been prepared pursuant to Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934 for the reporting period January 1, 2014 through December 31, 2014 (the “Reporting Period”).

 

Rule 13p-1, through Form SD, requires the disclosure of certain information if a company manufactures or contracts to manufacture products for which certain “Conflict Minerals” (as defined below) are necessary to the functionality or production of such products. Form SD defines “Conflict Minerals” as: (i) columbite-tantalite (or coltan), cassiterite, gold and wolframite, or their derivatives, which are currently limited to tantalum, tin and tungsten; or (ii) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”). Veeco’s operations, including the operations of its consolidated subsidiaries, may at times manufacture, or contract to manufacture, products for which Conflict Minerals are necessary to the functionality or production of those products (collectively, its “products” and, individually, a “product”). As required by Form SD, Veeco has conducted a good faith reasonable country of origin inquiry regarding the Conflict Minerals included in its products during the Reporting Period, which are referred to in this Report as the “Covered Minerals,” to determine whether any of such Covered Minerals originated in the Covered Countries and/or whether any of such Covered Minerals may be from recycled or scrap sources. Where applicable, Veeco has conducted additional due diligence regarding the sources of the Covered Minerals. The results of Veeco’s reasonable country of origin inquiry regarding the Covered Minerals, as well as its additional due diligence regarding the sources of the Covered Minerals, are contained in this Report.

 

I.                                        Reasonable Country of Origin Inquiry (“RCOI”)

 

Prior to initiating our RCOI, we retained a regulatory compliance information management company to assist in structuring the process and administering data collection. Our inquiry began with a review of all of our suppliers.  We focused our RCOI on suppliers that comprise the top 80% of our annual direct expense and eliminated suppliers that do not, due to the nature of their business, utilize Covered Minerals.  We provided the remaining suppliers with a questionnaire based on the Electronic Industry Citizenship Coalition-Global e-Sustainability Initiative Conflict Minerals Common Reporting Template (the “EICC-GeSI Template”). The EICC-GeSI Template is regarded as the most commonly accepted reporting tool for conflict minerals content and sourcing information worldwide and was developed by several of the world’s leading consumer electronics companies.  The questionnaire asked the suppliers, among other things, to disclose the origin of any Covered Minerals used in their manufacturing processes and to identify the Covered Minerals processing facilities within their supply chain.  We also asked them, if accurate, to represent that their Covered Minerals did not originate from a Covered Country.  We reviewed questionnaires received for completeness and consistency of answers.  Many of our suppliers’ responses were at a supply chain level higher than the products we procure and therefore it is possible that the information they provided includes smelters/refiners whose Covered Minerals are not utilized in our products.  Certain surveyed suppliers reported that the Covered Minerals identified in their supply chain originated from recycled or scrap sources and thus did not require further due diligence.

 

Our RCOI process was reasonably designed and performed in good faith, but there are inherent limitations in the information provided to us by third parties, including the possibility of information being inaccurate, incomplete or falsified despite our efforts to validate and confirm the information.

 

1



 

II.                                   Design of Due Diligence Framework

 

Our due diligence approach was designed to conform in all material respects with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (“OECD Guidance”).  The OECD Guidance is an internationally-recognized due diligence framework consisting of a multi-step, risk-based process, certain aspects of which differ depending in part on the position of a company in the supply chain. Veeco is a “downstream” company, which refers to supply chain participants from the smelter to the retailer, in contrast to those “upstream,” that is, from the mine to the smelter. Key elements of Veeco’s due diligence approach are described below.

 

III.                              Due Diligence Measures Undertaken

 

Veeco’s due diligence measures performed include, but are not limited to, the following:

 

·                  Reporting to senior management on suppliers’ responses to our conflict minerals information requests, including updates on monitoring and tracking corrective action and risk mitigation efforts (where applicable);

·                  Communicating our policy on Conflict Minerals to suppliers and our commitments and requirements expected of our suppliers, supported by email and phone dialogues. A copy of our policy is publicly available at http://ir.veeco.com/corporate-governance/overview;

·                  Using a third party service, comparing smelters and refiners identified by suppliers to (i) the Conflict Minerals Reporting Template (the “Template”) developed by the Conflict-Free Sourcing Initiative (“CFSI”) which lists validated conflict free and verified facilities and (ii) the US Department of Commerce list of all known conflict mineral processing facilities worldwide;

·                  Conducting our own supplemental research on smelters and refiners identified by our suppliers; and

·                  Developing a risk mitigation plan that allows for continued trade with a supplier during the supplier’s risk mitigation efforts.

 

IV.                               Product Description

 

The products subject to this Report are Veeco process equipment and services (including spare parts) primarily sold to make electronic devices including light emitting diodes, power electronics, wireless devices, hard disk drives and semiconductors and include Metal Organic Chemical Vapor Deposition Systems, Gas and Vapor Delivery Control Systems, Molecular Beam Epitaxy Systems, Fast Array Scanning Atomic Layer Deposition Systems, Precision Surface Processing Systems, Ion Beam Deposition Systems, Ion Beam Etch Systems and Precision Lapping, Slicing and Dicing Systems.

 

V.                                    Product Determination

 

Based on the information obtained pursuant to the due diligence process (as described above), Veeco does not have sufficient information at this time to determine the country of origin of the Covered Minerals sourced by our suppliers.  However, we have received no information from our suppliers indicating that the Covered Minerals sourced by our suppliers directly or indirectly financed or benefitted armed groups in the Covered Countries.  Due to the manner in which our suppliers disclosed country of origin information, we do not believe that all of the countries of origin named by our suppliers are actually in our supply chain.

 

VI.                               Smelter / Refiner and Country of Origin

 

Based solely on information that was provided by our suppliers (as described above), some of which was on an entity level basis without specification as to the specific Covered Minerals Veeco purchased, and without independent verification, Veeco identified the following smelters/refiners used by Veeco suppliers that have achieved Conflict Free designation by the CFSI or an audit program recognized by CFSI or are actively in the process of obtaining the designations, or for which we independently obtained country of origin information:

 

GOLD

Allgemeine Gold-und Silberscheideanstalt A.G.

GOLD

AngloGold Ashanti Córrego do Sítio Minerção

GOLD

Argor-Heraeus SA

 

2



 

GOLD

Asahi Pretec Corporation

GOLD

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

GOLD

Aurubis AG

GOLD

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

GOLD

Boliden AB

GOLD

Caridad

GOLD

CCR Refinery - Glencore Canada Corporation

GOLD

Cendres + Métaux SA

GOLD

Chimet S.p.A.

GOLD

Chugai Mining

GOLD

Daejin Indus Co. Ltd

GOLD

Do Sung Corporation

GOLD

Dowa Mining Co., Ltd.

GOLD

FSE Novosibirsk Refinery

GOLD

Heimerle + Meule GmbH

GOLD

Heraeus Ltd. Hong Kong

GOLD

Heraeus Precious Metals GmbH & Co. KG

GOLD

Hwasung CJ Co. Ltd

GOLD

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

GOLD

Istanbul Gold Refinery

GOLD

Japan Mint

GOLD

Jiangxi Copper Company Limited

GOLD

Johnson Matthey Inc

GOLD

Johnson Matthey Ltd

GOLD

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

GOLD

JSC Uralelectromed

GOLD

JX Nippon Mining & Metals Co., Ltd.

GOLD

Kazzinc Inc.

GOLD

Kojima Chemicals Co., Ltd

GOLD

Korea Metal Co. Ltd

GOLD

Kyrgyzaltyn JSC

GOLD

L’ azurde Company For Jewelry

GOLD

LS-NIKKO Copper Inc.

GOLD, TUNGSTEN

Materion

GOLD

Matsuda Sangyo Co., Ltd.

GOLD

Metalor Technologies (Hong Kong) Ltd

GOLD

Metalor Technologies SA

GOLD

Metalor USA Refining Corporation

GOLD

Met-Mex Peñoles, S.A.

GOLD, TIN

Mitsubishi Materials Corporation

GOLD, TANTALUM

Mitsui Mining and Smelting Co., Ltd.

GOLD

Moscow Special Alloys Processing Plant

GOLD

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

GOLD

Navoi Mining and Metallurgical Combinat

GOLD

Nihon Material Co. LTD

 

3



 

GOLD

Ohio Precious Metals, LLC

GOLD

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

GOLD

OJSC Kolyma Refinery

GOLD

PAMP SA

GOLD

Prioksky Plant of Non-Ferrous Metals

GOLD

PT Aneka Tambang (Persero) Tbk

GOLD

Rand Refinery (Pty) Ltd

GOLD

Royal Canadian Mint

GOLD

Sabin Metal Corp.

GOLD

SAMWON METALS Corp.

GOLD

Schöne Edelmetaal B.V.

GOLD

SEMPSA Joyería Platería SA

GOLD

Shandong Zhaojin Gold & Silver Refinery Co. Ltd

GOLD

SOE Shyolkovsky Factory of Secondary Precious Metals

GOLD

Solar Applied Materials Technology Corp.

GOLD

Sumitomo Metal Mining Co., Ltd.

GOLD

Tanaka Kikinzoku Kogyo K.K.

GOLD

The Great Wall Gold and Silver Refinery of China

GOLD

The Refinery of Shandong Gold Mining Co. Ltd

GOLD

Tokuriki Honten Co., Ltd

GOLD

Torecom

GOLD

Umicore Brasil Ltda

GOLD

United Precious Metal Refining, Inc.

GOLD

Valcambi SA

GOLD

Western Australian Mint trading as The Perth Mint

GOLD

Yokohama Metal Co Ltd

GOLD

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

GOLD, TUNGSTEN

Zijin Mining Group Co. Ltd

TANTALUM

Changsha South Tantalum Niobium Co., Ltd.

TANTALUM

Conghua Tantalum and Niobium Smeltry

TANTALUM

Duoluoshan Sapphire Rare Metal Co., Ltd.

TANTALUM

F&X Electro-Materials Ltd.

TANTALUM

H.C. Starck Co., Ltd.

TANTALUM

H.C. Starck GmbH Goslar

TANTALUM

H.C. Starck GmbH Laufenburg

TANTALUM

H.C. Starck Hermsdorf GmbH

TANTALUM

H.C. Starck Inc.

TANTALUM

Hi-Temp Specialty Metals, Inc.

TANTALUM, TUNGSTEN

Jiangxi Tungsten Industry Group Co Ltd

TANTALUM

JiuJiang JinXin Nonferrous Metals Co., Ltd.

TANTALUM

Jiujiang Tanbre Co., Ltd.

TANTALUM

Kemet Blue Powder

TANTALUM

King-Tan Tantalum Industry Ltd

TANTALUM

LSM Brasil S.A.

TANTALUM

Molycorp Silmet A.S.

 

4



 

TANTALUM

Ningxia Orient Tantalum Industry Co., Ltd.

TANTALUM

Plansee SE Liezen

TANTALUM

Plansee SE Reutte

TANTALUM

QuantumClean

TANTALUM

RFH Tantalum Smeltry Co., Ltd

TANTALUM

Taki Chemicals

TANTALUM

Telex

TANTALUM

Ulba

TANTALUM

Zhuzhou Cement Carbide

TIN

Alpha

TIN

China Tin Group Co., Ltd.

TIN

CNMC (Guangxi) PGMA Co. Ltd.

TIN

Cooper Santa

TIN

CV Prima Timah Utama

TIN

CV Serumpun Sebalai

TIN

CV United Smelting

TIN

Empresa Metallurgica Vinto

TIN

Fenix Metals

TIN

Gejiu Zi-Li

TIN

Huichang Jinshunda Tin Co. Ltd

TIN

Jiangxi Nanshan

TIN

Kai Unita Trade Limited Liability Company

TIN

Linwu Xianggui Smelter Co

TIN

Malaysia Smelting Corporation (MSC)

TIN

Metallo Chimique

TIN

Mineração Taboca S.A.

TIN

Minsur

TIN

Novosibirsk Integrated Tin Works

TIN

Operaciones Metalurgical S.A.

TIN

PT Artha Cipta Langgeng

TIN

PT Babel Inti Perkasa

TIN

PT Bangka Putra Karya

TIN

PT Bangka Tin Industry

TIN

PT Belitung Industri Sejahtera

TIN

PT Bukit Timah

TIN

PT DS Jaya Abadi

TIN

PT Eunindo Usaha Mandiri

TIN

PT Mitra Stania Prima

TIN

PT Sariwiguna Binasentosa

TIN

PT Stanindo Inti Perkasa

TIN

PT Tambang Timah

TIN

PT Timah (Persero), Tbk

TIN

PT Tinindo Inter Nusa

TIN

Thaisarco

TIN

White Solder Metalurgia e Mineração Ltda.

TIN

Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.

 

5



 

TIN

Yunnan Tin Company Limited

TUNGSTEN

A.L.M.T. Corp.

TUNGSTEN

Chongyi Zhangyuan Tungsten Co., Ltd.

TUNGSTEN

Dayu Weiliang Tungsten Co., Ltd.

TUNGSTEN

Fujian Jinxin Tungsten Co., Ltd.

TUNGSTEN

Ganzhou Huaxing Tungsten Products Co., Ltd.

TUNGSTEN

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

TUNGSTEN

Global Tungsten & Powders Corp.

TUNGSTEN

Guangdong Xianglu Tungsten Industry Co., Ltd.

TUNGSTEN

H.C. Starck GmbH

TUNGSTEN

Hunan Chenzhou Mining Group Co., Ltd.

TUNGSTEN

Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.

TUNGSTEN

Japan New Metals Co., Ltd.

TUNGSTEN

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

TUNGSTEN

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

TUNGSTEN

Jiangxi Yaosheng Tungsten Co., Ltd.

TUNGSTEN

Kennametal Fallon

TUNGSTEN

Kennametal Huntsville

TUNGSTEN

Tejing (Vietnam) Tungsten Co., Ltd.

TUNGSTEN

Wolfram Bergbau und Hütten AG

TUNGSTEN

Wolfram Company CJSC

TUNGSTEN

Xiamen Tungsten (H.C.) Co., Ltd.

TUNGSTEN

Xiamen Tungsten Co., Ltd.

TUNGSTEN

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

Based solely on information that was provided by our suppliers (as described above), some of which was on an entity level basis without specification as to the specific Covered Minerals Veeco purchased, and without independent verification, Veeco believes that the countries of origin of the Covered Minerals for the above listed facilities include:

 

Angola, Argentina, Australia, Austria, Belarus, Belgium, Bolivia, Brazil, Burundi, Canada, Chile, China, DRC- Congo (Kinshasa), Estonia, Ethiopia, France, Germany, Ghana, Guinea, Guyana, Hong Kong, India, Indonesia, Italy, Japan, Jersey, Kazakhstan, Kyrgyzstan, Laos, Malaysia, Mali, Mexico, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Netherlands, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Recycle/Scrap, Russia, Rwanda, Saudi Arabia, Sierra Leone, Singapore, South Africa, South Korea, Spain, Suriname, Sweden, Switzerland, Taiwan, Tajikistan, Tanzania, Thailand, Turkey, United Arab Emirates, United Kingdom, United States, Uzbekistan, Vietnam, Zambia,  and Zimbabwe.  Covered Countries were identified only for audited smelters/refiners.

 

Based solely on information that was provided by our suppliers (as described above), some of which was on an entity level basis without specification as to the specific Covered Minerals Veeco purchased, and without independent verification, Veeco identified the following validated smelters/refiners whose country of origin information is not available.  We continue to engage with our suppliers to determine the source of Covered Minerals processed at the following facilities and to engage in efforts to determine the mine or location of origin of the Covered Minerals used with greater specificity.

 

GOLD, TANTALUM, TIN, TUNGSTEN

Ishifuku Metal Industry Co., Ltd.*

GOLD, TIN

Umicore SA Business Unit Precious Metals Refining*

GOLD

Hunan Chenzhou Mining Group Co., Ltd.**

 

6



 

TANTALUM

H.C. Starck Smelting GmbH & Co.KG*

TANTALUM

Mineração Taboca S.A.**

TANTALUM

Solikamsk Metal Works*

TANTALUM, TIN, TUNGSTEN

JX Nippon Mining & Metals Co., Ltd.**

TIN

Dowa Mining Co., Ltd.*

TIN

PT Karimun Mining

TIN

Japan New Metals Co., Ltd.**

TIN

Mitsui Mining and Smelting Co., Ltd.**

TIN

Solikamsk Metal Works**

TIN, TUNGSTEN

Sumitomo Metal Mining Co., Ltd.**

TUNGSTEN

H.C. Starck Smelting GmbH & Co.KG

TUNGSTEN

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

TUNGSTEN

Jiujiang Tanbre Co., Ltd.**

TUNGSTEN

Mitsubishi Materials Corporation**

TUNGSTEN

CNMC (Guangxi) PGMA Co. Ltd.**

 


*  Facility has obtained a conflict free audit although country of origin information is not available to Veeco.

 

**  Facility has obtained a conflict free audit for a metal different from the one listed in this table.

 

As Veeco’s engagement with the supply chain for its products evolves, the lists above may change to reflect improvements in the quality of information provided to Veeco.

 

VII.                          Independent Private Sector Audit

 

Not required for calendar year 2014.

 

7