FORM SD Specialized Disclosure Report |
WEST PHARMACEUTICAL SERVICES, INC. |
Pennsylvania | 1-8036 | 23-1210010 | ||
(State or other jurisdiction of incorporation or organization) | (Commission File Number) | (IRS Employer Identification No.) | ||
530 Herman O. West Drive, Exton, PA | 19341-0645 | |||
(Address of principal executive offices) | (Zip Code) |
William J. Federici, 610-594-2900 |
(Name and telephone number, including area code, of the person to contact in connection with this report.) |
þ | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016. |
Exhibit 1.01 | Conflict Minerals Report as required by Items 1.01 and 1.02 of Form SD. |
WEST PHARMACEUTICAL SERVICES, INC. | ||
/s/ William J. Federici | ||
William J. Federici | ||
Senior Vice President and Chief Financial Officer | ||
May 26, 2017 |
1.01 | Conflict Minerals Report as required by Items 1.01 and 1.02 of Form SD. |
Gold | 86 of 115 (75%) |
Tantalum | 41 of 45 (91%) |
Tin | 63 of 89 (71%) |
Tungsten | 31 of 38 (82%) |
Total | 221 of 287 (77%) |
• | Enhanced our direct materials supplier screening program to require new suppliers and suppliers of new products or components to provide information regarding 3TGs. The Company also intends to provide additional background and educational information to suppliers where necessary to enhance their responses. Finally, the Company will augment disclosure clauses regarding 3TGs in new supply contracts and supplier contract renewals. |
• | Continued the activities of our Conflict Minerals Steering Committee to: (i) ensure the management systems are adequate; (ii) review the RCOI and due diligence process; (iii) discuss what actions West should take to help mitigate risk; and (iv) report the status of West’s Conflict Minerals program to senior management periodically. |
• | Increased engagement with our direct suppliers to further enhance this process. This included educating suppliers on the importance of the RCOI process and our Company’s expectations and further improving our direct supplier surveys and due diligence process. We enhanced communication with our suppliers, improved tracking mechanisms and increased employee education. These efforts were designed to help ensure the supply chain survey reached all relevant suppliers and adequate responses were received. We evaluated the responses against criteria designed to identify those suppliers that warranted further investigation, including for example, untimely, inconsistent or incomplete responses, requests for confidentiality, missing or erroneous data, whether the supplier was a U.S. publicly-held company, the size of the supplier’s business and the material supplied to us. As appropriate, we followed up directly with suppliers, and in some cases, the suppliers of our suppliers, to obtain additional information and updated responses. |
MINERAL | SMELTER OR REFINER NAME | COUNTRY LOCATION OF SMELTER OR REFINER |
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 SA | SWITZERLAND |
GOLD | Asahi Pretec Corporation | JAPAN |
GOLD | Asahi Refining Canada Limited | CANADA |
GOLD | Asahi Refining USA Inc. | UNITED STATES |
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 + Métaux SA* | SWITZERLAND |
GOLD | Chimet S.p.A. | ITALY |
GOLD | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF |
GOLD | DODUCO GmbH | GERMANY |
GOLD | Dowa | JAPAN |
GOLD | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF |
GOLD | Eco-System Recycling Co., Ltd. | JAPAN |
GOLD | Elemetal Refining, LLC | UNITED STATES |
GOLD | Heimerle + Meule GmbH | GERMANY |
GOLD | Heraeus Ltd. Hong Kong | CHINA |
GOLD | Heraeus Precious Metals GmbH & Co. KG | GERMANY |
GOLD | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Ltd. | CHINA |
GOLD | Ishifuku Metal Industry Co., Ltd. | JAPAN |
GOLD | Istanbul Gold Refinery | TURKEY |
GOLD | Japan Mint | JAPAN |
GOLD | Jiangxi Copper Company Limited | CHINA |
GOLD | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION |
GOLD | JSC Uralelectromed | RUSSIAN FEDERATION |
GOLD | JX Nippon Mining & Metals Co., Ltd. | JAPAN |
GOLD | Kazzinc | KAZAKHSTAN |
GOLD | Kennecott Utah Copper LLC | UNITED STATES |
GOLD | Kojima Chemicals Co., Ltd. | JAPAN |
MINERAL | SMELTER OR REFINER NAME | COUNTRY LOCATION OF SMELTER OR REFINER |
GOLD | Kyrgyzaltyn JSC | KYRGYZSTAN |
GOLD | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF |
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 | MMTC-PAMP India Pvt., Ltd. | INDIA |
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 | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA |
GOLD | Ohura Precious Metal Industry Co., Ltd. | JAPAN |
GOLD | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION |
GOLD | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION |
GOLD | PAMP SA | SWITZERLAND |
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 | Samduck Precious Metals | KOREA, REPUBLIC OF |
GOLD | Schone Edelmetaal B.V. | NETHERLANDS |
GOLD | SEMPSA Joyería Platería SA | SPAIN |
GOLD | Sichuan Tianze Precious Metals Co., Ltd. | CHINA |
GOLD | Singway Technology Co., Ltd. | TAIWAN |
GOLD | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION |
GOLD | Solar Applied Materials Technology Corp. | TAIWAN |
GOLD | Sumitomo Metal Mining Co., Ltd. | JAPAN |
GOLD | T.C.A S.p.A | ITALY |
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 SA Business Unit Precious Metals Refining | BELGIUM |
GOLD | United Precious Metal Refining, Inc. | UNITED STATES |
MINERAL | SMELTER OR REFINER NAME | COUNTRY LOCATION OF SMELTER OR REFINER |
GOLD | Valcambi SA | SWITZERLAND |
GOLD | Western Australian Mint trading as The Perth Mint | AUSTRALIA |
GOLD | Yamamoto Precious Metal Co., Ltd. | JAPAN |
GOLD | Yokohama Metal Co., Ltd. | JAPAN |
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 | Conghua Tantalum and Niobium Smeltry | CHINA |
TANTALUM | D Block Metals, LLC | UNITED STATES |
TANTALUM | Duoluoshan | CHINA |
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 | H.C. Starck GmbH Goslar | 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 | 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 | QuantumClean | UNITED STATES |
TANTALUM | Resind Indústria e Comércio Ltda. | BRAZIL |
TANTALUM | RFH Tantalum Smeltry Co., Ltd. | CHINA |
TANTALUM | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION |
TANTALUM | Taki Chemicals | JAPAN |
TANTALUM | Telex Metals | UNITED STATES |
TANTALUM | Tranzact, Inc. | UNITED STATES |
TANTALUM | Ulba Metallurgical Plant JSC | KAZAKHSTAN |
MINERAL | SMELTER OR REFINER NAME | COUNTRY LOCATION OF SMELTER OR REFINER |
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 | China Tin Group Co., Ltd. | CHINA |
TIN | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL |
TIN | CV Ayi Jaya | INDONESIA |
TIN | CV Gita Pesona | INDONESIA |
TIN | CV Serumpun Sebalai | INDONESIA |
TIN | CV United Smelting | INDONESIA |
TIN | CV Venus Inti Perkasa | INDONESIA |
TIN | Dowa | JAPAN |
TIN | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company* | VIET NAM |
TIN | Elmet S.L.U. (Metallo Group) | SPAIN |
TIN | EM Vinto | BOLIVIA |
TIN | Fenix Metals | POLAND |
TIN | Gejiu Jin Ye Mineral Co., Ltd. | 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 | Huichang Jinshunda Tin Co., Ltd.* | CHINA |
TIN | Jiangxi Ketai Advanced Material 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 | Nankang Nanshan Tin Manufactory Co., Ltd.* | CHINA |
TIN | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND |
TIN | O.M. Manufacturing Philippines, Inc. | PHILIPPINES |
TIN | Operaciones Metalurgical S.A. | BOLIVIA |
TIN | Phoenix Metal Ltd.# | RWANDA |
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 Prima Tin | INDONESIA |
TIN | PT Bangka Tin Industry | INDONESIA |
TIN | PT Belitung Industri Sejahtera | INDONESIA |
TIN | PT Bukit Timah | INDONESIA |
MINERAL | SMELTER OR REFINER NAME | COUNTRY LOCATION OF SMELTER OR REFINER |
TIN | PT Cipta Persada Mulia | INDONESIA |
TIN | PT DS Jaya Abadi | INDONESIA |
TIN | PT Eunindo Usaha Mandiri | INDONESIA |
TIN | PT Inti Stania Prima | INDONESIA |
TIN | PT Karimun Mining | INDONESIA |
TIN | PT Mitra Stania Prima | INDONESIA |
TIN | PT Panca Mega Persada | INDONESIA |
TIN | PT Prima Timah Utama | INDONESIA |
TIN | PT Sariwiguna Binasentosa | INDONESIA |
TIN | PT Stanindo Inti Perkasa | INDONESIA |
TIN | PT Sumber Jaya Indah | INDONESIA |
TIN | PT Timah (Persero) Tbk Kundur | INDONESIA |
TIN | PT Timah (Persero) Tbk Mentok | INDONESIA |
TIN | PT Tinindo Inter Nusa | INDONESIA |
TIN | PT Tommy Utama | INDONESIA |
TIN | Resind Indústria e Comércio Ltda. | BRAZIL |
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 |
TUNGSTEN | A.L.M.T. TUNGSTEN Corp. | JAPAN |
TUNGSTEN | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA |
TUNGSTEN | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA |
TUNGSTEN | Fujian Jinxin Tungsten Co., Ltd. | CHINA |
TUNGSTEN | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA |
TUNGSTEN | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA |
TUNGSTEN | Ganzhou Seadragon W & Mo 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 Co., Ltd. | 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 Gan Bei Tungsten Co., Ltd. | CHINA |
TUNGSTEN | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA |
TUNGSTEN | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA |
TUNGSTEN | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA |
MINERAL | SMELTER OR REFINER NAME | COUNTRY LOCATION OF SMELTER OR REFINER |
TUNGSTEN | Kennametal Fallon | UNITED STATES |
TUNGSTEN | Kennametal Huntsville | UNITED STATES |
TUNGSTEN | Malipo Haiyu Tungsten Co., Ltd. | CHINA |
TUNGSTEN | Niagara Refining LLC | UNITED STATES |
TUNGSTEN | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM |
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 | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA |
TUNGSTEN | Xiamen Tungsten Co., Ltd. | CHINA |
TUNGSTEN | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA |