ADVANCED SEMICONDUCTOR ENGINEERING, INC.
|
(Exact name of registrant as specified in its charter)
|
Taiwan, Republic of China
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001-16125
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N.A.
|
(State or other jurisdiction
of incorporation or organization)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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Advanced Semiconductor Engineering Inc.
26 Chin Third Road
Nantze Export Processing Zone
Nantze, Kaohsiung, Taiwan
Republic of China
|
N.A.
|
|
(Address of principal executive offices)
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(Zip Code)
|
Joseph Tung, Chief Financial Officer
886-2-8780-5489
|
|
(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:
|
||||
☒
|
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2013.
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ADVANCED SEMICONDUCTOR ENGINEERING, INC.
|
|||||
(Registrant)
|
|||||
By:
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/s/ Jason C.S. Chang
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May 30, 2014
|
|||
Name:
|
Jason C.S. Chang
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(Date)
|
|||
Title:
|
Chief Executive Officer
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1.
|
During 2013, we purchased gold for our packaging and materials services from a total of 35 suppliers. None of these suppliers are SoRs, and all these suppliers purchased gold from SoRs or from third parties. Based on data we collected, we identified a total of 32 SoRs from which we indirectly purchased gold in 2013 for our packaging and materials services. All 35 of our gold suppliers for our packaging and materials services responded to our request, representing 100% of our total expenditure for gold during 2013 for our packaging and materials services. None of our direct suppliers of gold for our packaging and materials services informed us that they were unable to collect the requested information from their suppliers.
|
2.
|
Based on an inspection of the list available at www.conflictfreesourcinginitiative.org conducted on April 25, 2014, 25 of the SoRs from which we indirectly purchased gold in 2013 for our packaging and materials services are participants in the Conflict-Free Smelter Program , or CFSP, operated by the Conflict-Free Sourcing Initiative, or CFSI.
|
3.
|
We asked our suppliers of gold for our packaging and materials services to certify that they only purchased gold from SoRs that purchased gold from conflict-free sources. All 35 of our gold suppliers for our packaging and materials services, accounting for 100% of our total expenditure for gold during 2013 for our packaging and materials services, provided such certifications. The following table summarizes our RCOI for the gold used in our packaging and materials services in 2013.
|
Companies supplying gold for our packaging and materials services |
Number
|
%
|
|||||
Companies from which we purchased gold
|
35 | 100% | |||||
Companies that were SoRs
|
0 | 0% | |||||
Companies that bought from SoRs or other sources
|
35 | 100% | |||||
Companies that provided SoR source information
|
35 | 100% | |||||
Companies that did not provide SoR source information
|
0 | 0% | |||||
Companies that certified that SoRs were conflict-free
|
35 | 100% | |||||
Companies that did not certify that SoRs were conflict-free
|
0 | 0% |
SoRs of gold for our packaging and materials services (as of April 25, 2014)
|
Number
|
%
|
|||||
SoRs from which we indirectly purchased gold
|
32 | 100% | |||||
SoRs with Smelter ID, CFSP Compliant
|
25 | 78% | |||||
SoRs with Smelter ID, CFSP Active
|
0 | 0% | |||||
SoRs with Smelter ID, not joined CFSP
|
6 | 19% | |||||
SoRs with no Smelter ID
|
1 | 3% |
1.
|
During 2013, we purchased gold for our electronic manufacturing services from a total of 65 suppliers. None of these suppliers are SoRs, and all these suppliers purchased gold from SoRs or from other third parties. Based on data collected, 106 SoRs were identified from which we indirectly purchased gold in 2013 for our electronic manufacturing services. Forty-four of our gold suppliers for our electronic manufacturing services responded to our request to identify the SoRs for gold during 2013. Twenty-one did not respond. In addition, none of our direct suppliers of gold for our electronic manufacturing services that responded informed us that they were unable to collect the requested information from their suppliers during 2013.
|
2.
|
Based on an inspection of the list available at www.conflictfreesourcinginitiative.org conducted on April 25, 2014, 41 of the SoRs from which we indirectly purchased gold in 2013 for our electronic manufacturing services are participants in the CFSP operated by the CFSI.
|
3.
|
We asked our suppliers of gold for our electronic manufacturing services to certify that they only sourced gold from SoRs that purchased gold from conflict-free sources. Seventeen of our gold suppliers for our electronic manufacturing services provided such certifications, while 48 did not. The following table summarizes our RCOI for the gold used in our electronic manufacturing services in 2013.
|
Companies supplying gold for our electronic manufacturing services
|
Number
|
%
|
||||
Companies from which we purchased gold
|
65 | 100% | ||||
Representation of total expenditure for gold
|
-- | 81% | ||||
Companies that were SoRs
|
0 | 0% | ||||
Companies that bought from SoRs or other sources
|
65 | 100% | ||||
Companies that provided SoR source information
|
44 | 68% | ||||
Companies that did not provide SoR source information
|
21 | 32% | ||||
Companies that certified that SoRs were conflict-free
|
17 | 26% | ||||
Companies that did not certify that SoRs were conflict-free
|
48 | 74% |
SoRs of gold for our electronic manufacturing services (as of April 25, 2014)
|
Number
|
%
|
||||
SoRs from which we indirectly purchased gold
|
106 | 100% | ||||
SoRs with Smelter ID, CFSP Compliant
|
39 | 37% | ||||
SoRs with Smelter ID, CFSP Active
|
2 | 2% | ||||
SoRs with Smelter ID, not joined CFSP
|
48 | 45% | ||||
SoRs with no Smelter ID
|
17 | 16% |
1.
|
During 2013, we purchased tin for our packaging and materials services from a total of 52 suppliers. None of these suppliers are SoRs, and all of these suppliers purchased tin from SoRs or from other third parties. Based on the data we collected, we identified a total of 27 SoRs from which we indirectly purchased tin in 2013 for our packaging and materials services. All 52 of our tin suppliers for our packaging and materials services responded to our request, representing 100% of our total expenditure for tin during 2013 for our packaging and materials services. None of our direct suppliers of tin for our packaging and materials services informed us that they were unable to collect the requested information from their suppliers.
|
2.
|
Based on an inspection of the list available at www.conflictfreesourcinginitiative.org conducted on April 25, 2014, 18 of the SoRs from which we indirectly purchased tin in 2013 for our packaging and materials services are participants in the CFSP operated by the CFSI.
|
3.
|
We asked our suppliers of tin for our packaging and materials services to certify that they only purchased tin from SoRs that purchased tin from conflict-free sources. All 52 of our tin suppliers for our packaging and materials services which accounted for 100% of our total expenditure for tin in 2013 for our packaging and materials services provided such certifications. The following table summarizes our RCOI for the tin used in our packaging and materials services in 2013.
|
Companies supplying tin for our packaging and materials services
|
Number
|
%
|
||||
Companies from which we purchased tin
|
52 | 100% | ||||
Companies that were SoRs
|
0 | 0% | ||||
Companies that bought from SoRs or other sources
|
52 | 100% | ||||
Companies that provided SoR source information
|
52 | 100% | ||||
Companies that did not provide SoR source information
|
0 | 0% | ||||
Companies that certified that SoRs were conflict-free
|
52 | 100% | ||||
Companies that did not certify that SoRs were conflict-free
|
0 | 0% |
SoRs of tin for our packaging and materials services (as of April 25, 2014)
|
Number
|
%
|
||||
SoRs from which we indirectly purchased tin
|
27 | 100% | ||||
SoRs with Smelter ID, CFSP Compliant
|
13 | 48% | ||||
SoRs with Smelter ID, CFSP Active
|
5 | 19% | ||||
SoRs with Smelter ID, not joined CFSP
|
6 | 22% | ||||
SoRs with no Smelter ID
|
3 | 11% |
1.
|
During 2013, we purchased tin for our electronic manufacturing services from a total of 82 suppliers. None of these suppliers are SoRs and all these suppliers purchased tin from SoRs or from other third parties. Based on data collected, 102 SoRs were identified from which we indirectly purchased tin for our electronic manufacturing services in 2013. Sixty-two of our tin suppliers for our electronic manufacturing services responded to our request to identify the SoRs for tin during 2013. Twenty did not respond. None of our suppliers of tin for our electronic manufacturing services that responded informed us that they were unable to collect the requested information from their suppliers during 2013.
|
2.
|
Based on an inspection of the list available at www.conflictfreesourcinginitiative.org conducted on April 25, 2014, 24 of the SoRs from which we indirectly purchased tin for our electronic manufacturing services in 2013 are participants in the CFSP operated by the CSFI.
|
3.
|
We asked our suppliers of tin for our electronic manufacturing services to certify that they only sourced tin from SoRs that purchased tin from conflict-free sources. Twenty-five of our tin suppliers for our electronic manufacturing services provided such certifications, while 57 did not. The following table summarizes our RCOI for the tin used in our electronic manufacturing services in 2013.
|
Companies supplying tin for our electronic manufacturing services
|
Number
|
%
|
||||
Companies from which we purchased tin
|
82 | 100% | ||||
Representation of total expenditure for tin
|
-- | 86% | ||||
Companies that were SoRs
|
0 | 0% | ||||
Companies that bought from SoRs or other sources
|
82 | 100% | ||||
Companies that provided SoR source information
|
62 | 76% | ||||
Companies that did not provide SoR source information
|
20 | 24% | ||||
Companies that certified that SoRs were conflict-free
|
25 | 31% | ||||
Companies that did not certify that SoRs were conflict-free
|
57 | 69% |
SoRs of tin for our electronic manufacturing services (as of April 25, 2014)
|
Number
|
%
|
||||
SoRs from which we indirectly purchased tin
|
102 | 100% | ||||
SoRs with Smelter ID, CFSP Compliant
|
13 | 13% | ||||
SoRs with Smelter ID, CFSP Active
|
11 | 11% | ||||
SoRs with Smelter ID, not joined CFSP
|
35 | 34% | ||||
SoRs with no Smelter ID
|
43 | 42% |
1.
|
During 2013, we purchased tungsten for our packaging and materials services from 1 supplier. This supplier is not an SoR, and did purchase tungsten from an SoR or another third party. Based on data we collected, we identified 1 SoR from which we indirectly purchased tungsten for our packaging and materials services in 2013. Our single tungsten supplier for our packaging and materials services responded to our request, representing 100% of our total expenditure for tungsten for our packaging and materials services during 2013. Our single supplier for tungsten for our packaging and materials services informed us that it was able to collect the requested information from its supplier.
|
2.
|
Based on an inspection of the list available at
|
3.
|
We asked our supplier of tungsten for our packaging and materials services to certify that it only purchased tungsten from SoRs that purchased tungsten from conflict-free sources. Our tungsten supplier for our packaging and materials services, which supplied us 100% of our total expenditure for tungsten for our packaging and materials services during 2013, provided such a certification. The following table summarizes our RCOI for the tungsten used in our packaging and materials services in 2013.
|
Companies supplying tungsten for our packaging and materials services
|
Number
|
%
|
||||
Companies from which we purchased tungsten
|
1 | 100% | ||||
Companies that were SoRs
|
0 | 0% | ||||
Companies that bought from SoRs or other sources
|
1 | 100% | ||||
Companies that provided SoR source information
|
1 | 100% | ||||
Companies that did not provide SoR source information
|
0 | 0% | ||||
Companies that certified that SoRs were conflict-free
|
1 | 100% | ||||
Companies that did not certify that SoRs were conflict-free
|
0 | 0% |
SoRs of tungsten for our packaging and materials services (as of April 25, 2014)
|
Number
|
%
|
||||
SoRs from which we indirectly purchased tungsten
|
1 | 100% | ||||
SoRs with Smelter ID, CFSP Compliant
|
0 | 0% | ||||
SoRs with Smelter ID, TI-CMC Active
|
1 | 100% | ||||
SoRs with Smelter ID, not joined CFSP
|
0 | 0% | ||||
SoRs with no Smelter ID
|
0 | 0% |
1.
|
During 2013, we purchased tungsten for our electronic manufacturing services from a total of 32 suppliers. None of these suppliers are SoRs and all these
|
2.
|
Based on an inspection of the list available at www.conflictfreesourcinginitiative.org conducted on April 25, 2014, 13 of the SoRs from which we indirectly purchased tungsten for our electronic manufacturing services in 2013 are active participants in either the CFSP operated by the CFSI or the TI-CMC program.
|
3.
|
We asked our suppliers of tungsten for our electronic manufacturing services to certify that they only purchased tungsten from SoRs that purchased tungsten from conflict-free sources. Thirteen of our tungsten suppliers for our electronic manufacturing services during 2013 provided such certifications, while 19 did not. The following table summarizes our RCOI for the tungsten used in our electronic manufacturing services in 2013.
|
Companies supplying tungsten for our electronic manufacturing services
|
Number
|
%
|
||||
Companies from which we purchased tungsten
|
32 | 100% | ||||
Representation of total expenditure for tungsten
|
-- | 20% | ||||
Companies that were SoRs
|
0 | 0% | ||||
Companies that bought from SoRs or other sources
|
32 | 100% | ||||
Companies that provided SoR source information
|
30 | 94% | ||||
Companies that did not provide SoR source information
|
2 | 6% | ||||
Companies that certified that SoRs were conflict-free
|
13 | 41% | ||||
Companies that did not certify that SoRs were conflict-free
|
19 | 59% |
SoRs of tungsten for our electronic manufacturing services (as of April 25, 2014)
|
Number
|
%
|
||||
SoRs from which we indirectly purchased tungsten
|
31 | 100% | ||||
SoRs with Smelter ID, CFSP Compliant
|
0 | 0% | ||||
SoRs with Smelter ID, TI-CMC or CFSP Active
|
13 | 42% | ||||
SoRs with Smelter ID, not joined CFSP
|
8 | 26% | ||||
SoRs with no Smelter ID
|
10 | 32% |
1.
|
During 2013, we purchased tantalum for our electronic manufacturing services from a total of 33 suppliers. None of these suppliers are SoRs, and all these suppliers purchased tantalum from SoRs or from other third parties. Based on the data collected, 20 SoRs were identified from which we indirectly purchased tantalum for our electronic manufacturing services in 2013. Thirty-two of our tantalum suppliers for our electronic manufacturing services responded to our request to identify the SoRs for tantalum during 2013. One did not reply. None of our direct suppliers of tantalum for our electronic manufacturing services that responded informed us that they were unable to collect the requested information from their suppliers during 2013.
|
2.
|
Based on an inspection of the list available at www.conflictfreesourcinginitiative.org conducted on April 25, 2014, 19 of the SoRs from which we indirectly purchased tantalum for our electronic manufacturing services in 2013 are participants in the CFSP operated by the CSFI.
|
3.
|
We asked our suppliers of tantalum for our electronic manufacturing services to certify that they only purchased tantalum from SoRs that purchased tantalum from conflict-free sources. Fifteen of our tantalum suppliers for our electronic manufacturing services provided such certifications, while 18 did not. The following table summarizes our RCOI for the tantalum used in our electronic manufacturing services in 2013.
|
Companies supplying tantalum for our electronic manufacturing services
|
Number
|
%
|
||||
Companies from which we purchased tantalum
|
33 | 100% | ||||
Representation of total expenditure for tantalum
|
-- | 21% | ||||
Companies that were SoRs
|
0 | 0% | ||||
Companies that bought from SoRs or other sources
|
33 | 100% | ||||
Companies that provided SoR source information
|
32 | 97% | ||||
Companies that did not provide SoR source information
|
1 | 3% | ||||
Companies that certified that SoRs were conflict-free
|
15 | 46% | ||||
Companies that did not certify that SoRs were conflict-free
|
18 | 54% |
SoRs of tantalum for our electronic manufacturing services (as of April 25, 2014)
|
Number
|
%
|
||||
SoRs from which we indirectly purchased tantalum
|
20 | 100% | ||||
SoRs with Smelter ID, CFSP Compliant
|
19 | 95% | ||||
SoRs with Smelter ID, CFSP Active
|
0 | 0% | ||||
SoRs with Smelter ID, not joined CFSP
|
1 | 5% | ||||
SoRs with no Smelter ID
|
0 | 0% |
(a)
|
Identify all direct materials and components in the supply chain that contain conflict minerals
|
(b)
|
Identify suppliers of materials and components that contain conflict materials
|
(c)
|
Gather EICC-GeSI templates from all suppliers of conflict minerals
|
(d)
|
Assess data gathered on templates to identify potential inconsistencies or “red flags”
|
(e)
|
Follow up as appropriate to resolve items of concern
|
(f)
|
Depending on the enormity and complexity of the supply chain:
|
·
|
Assess the value of the annual purchase volume of all conflict minerals
|
·
|
Prioritize conflict mineral sources by dollar volume to leverage impact from available analytical resources
|
(a)
|
We work with non-compliant suppliers to obtain CFSP certification, or an equivalent. Suppliers unwilling or incapable of achieving such certification are replaced with compliant suppliers.
|
(b)
|
For compliance year 2013, we received EICC-GeSI templates from 100% of our conflict mineral suppliers. We also received certifications from 100% of our conflict minerals suppliers that they are not providing materials that are not “DRC Conflict Free.”
|
(c)
|
For compliance year 2014, we intend to perform additional analysis on the information provided by our major suppliers and begin interfacing with our other suppliers, both on our own and in conjunction with industry organizations such as EICC and GeSI.
|
(a)
|
We work with non-compliant suppliers to obtain CFSP certification, or an equivalent. Suppliers unwilling or incapable of achieving such certification are replaced with compliant suppliers.
|
(b)
|
For compliance year 2013, our electronic manufacturing services identified 99 suppliers that accounted for 85% of our conflict minerals content.
|
(c)
|
For compliance year 2014, we intend to perform additional analysis on the information provided by our major suppliers and begin interfacing with our other suppliers, both on our own and in conjunction with industry organizations such as EICC and GeSI.
|
Gold
|
Tin
|
Tungsten
|
||
1AUS046
|
2BEL017
|
4USA007
|
||
1CAN064
|
2BOL010
|
|||
1CHE004
|
2BOL022
|
|||
1CHE035
|
2BRA018
|
|||
1CHE063
|
2BRA054
|
|||
1CHL014
|
2BRA063
|
|||
1CHN053
|
2CHN011
|
|||
1CHN054
|
2CHN012
|
|||
1CHN065
|
2CHN047
|
|||
1DEU017
|
2CHN048
|
|||
1DEU018
|
2IDN009
|
|||
1HKG019
|
2IDN027
|
|||
1HKG036
|
2IDN028
|
|||
1JPN005
|
2IDN030
|
|||
1JPN015
|
2IDN032
|
|||
1JPN021
|
2IDN040
|
|||
1JPN028
|
2IDN042
|
|||
1JPN034
|
2IDN049
|
|||
1JPN039
|
2JPN020
|
|||
1JPN040
|
2MYS016
|
|||
1JPN057
|
2PER019
|
|||
1JPN058
|
2POL064
|
|||
1JPN060
|
2THA046
|
|||
1JPN071
|
2USA001
|
|||
1JPN072
|
Gldschm
|
|||
1JPN073
|
Trotter
|
|||
1JPN074
|
Met Res
|
|||
1KOR032
|
||||
1USA025
|
||||
1USA043
|
||||
1ZAF049
|
||||
Metalor
|
||||
Gold
|
Tin
|
Tantalum
|
Tungsten
|
|||
1AUS046
|
2BEL017
|
3AUT011
|
4AUT012
|
|||
1BEL062
|
2BOL010
|
3CHN001
|
4CHN002
|
|||
1BRA003
|
2BOL022
|
3CHN003
|
4CHN003
|
|||
1BRA061
|
2BRA018
|
3CHN009
|
4CHN004
|
|||
1CAN024
|
2BRA054
|
3CHN015
|
4CHN009
|
|||
1CAN050
|
2BRA063
|
3CHN017
|
4CHN010
|
|||
1CAN064
|
2CHN011
|
3CHN019
|
4CHN014
|
|||
1CHE004
|
2CHN012
|
3CHN020
|
4CHN015
|
|||
1CHE011
|
2CHN013
|
3DEU006
|
4CHN016
|
|||
1CHE035
|
2CHN014
|
3JPN008
|
4CHN018
|
|||
1CHE045
|
2CHN015
|
3JPN023
|
4CHN021
|
|||
1CHE063
|
2CHN047
|
3KAZ014
|
4CHN022
|
|||
1CHE068
|
2CHN048
|
3RUS012
|
4CHN023
|
|||
1CHL014
|
2CHN050
|
3USA002
|
4DEU008
|
|||
1CHN020
|
2CHN051
|
3USA004
|
4JPN017
|
|||
1CHN023
|
2CHN052
|
3USA005
|
4JPN020
|
|||
1CHN053
|
2CHN055
|
3USA010
|
4RUS013
|
|||
1CHN054
|
2IDN003
|
3USA016
|
4USA001
|
|||
1CHN059
|
2IDN004
|
3USA018
|
4USA007
|
|||
1CHN065
|
2IDN005
|
3ZAF024
|
4USA026
|
|||
1CHN066
|
2IDN006
|
4VNM019
|
||||
1CHN079
|
2IDN007
|
|||||
1DEU001
|
2IDN008
|
|||||
1DEU007
|
2IDN009
|
|||||
1DEU017
|
2IDN023
|
|||||
1DEU018
|
2IDN024
|
|||||
1ESP052
|
2IDN025
|
|||||
1HKG019
|
2IDN026
|
|||||
1HKG036
|
2IDN027
|
|||||
1IDN048
|
2IDN028
|
|||||
1ITA013
|
2IDN029
|
|||||
1JPN005
|
2IDN030
|
|||||
1JPN015
|
2IDN031
|
|||||
1JPN021
|
2IDN032
|
|||||
1JPN022
|
2IDN033
|
|||||
1JPN028
|
2IDN034
|
|||||
1JPN034
|
2IDN035
|
|||||
1JPN039
|
2IDN036
|
|||||
1JPN040
|
2IDN037
|
|||||
1JPN057
|
2IDN038
|
Gold
|
Tin
|
Tantalum
|
Tungsten
|
|||
1JPN058
|
2IDN039
|
|||||
1JPN060
|
2IDN040
|
|||||
1JPN071
|
2IDN041
|
|||||
1JPN072
|
2IDN042
|
|||||
1JPN073
|
2IDN043
|
|||||
1JPN074
|
2IDN044
|
|||||
1JPN077
|
2IDN045
|
|||||
1JPN078
|
2IDN049
|
|||||
1JPN080
|
2IDN058
|
|||||
1JPN950
|
2IDN059
|
|||||
1KAZ029
|
2JPN020
|
|||||
1KGZ030
|
2MYS016
|
|||||
1KOR012
|
2PER019
|
|||||
1KOR032
|
2POL064
|
|||||
1KOR081
|
2RUS021
|
|||||
1KOR082
|
2THA046
|
|||||
1KOR083
|
2USA001
|
|||||
1KOR084
|
||||||
1KOR085
|
||||||
1KOR086
|
||||||
1KOR087
|
||||||
1MEX010
|
||||||
1MEX038
|
||||||
1NLD051
|
||||||
1PHL008
|
||||||
1RUS016
|
||||||
1RUS026
|
||||||
1RUS027
|
||||||
1RUS041
|
||||||
1RUS044
|
||||||
1RUS047
|
||||||
1RUS055
|
||||||
1RUS067
|
||||||
1SAU031
|
||||||
1SWE009
|
||||||
1TUR006
|
||||||
1TUR069
|
||||||
1TUR070
|
||||||
1TWN056
|
||||||
1USA025
|
||||||
1USA033
|
||||||
1USA037
|
||||||
1USA043
|
||||||
1USA075
|
||||||
1USA076
|
||||||
1USA088
|
||||||
1UZB002
|
||||||
1UZB042
|
||||||
1ZAF049
|
(a)
|
being diligent in their assessment and validation of their supply chains to ensure ASE Group’s objectives of a transparent supply chain, and conflict-free purchases as inputs to the services and products we produce.
|
(b)
|
at all times be in compliance with all regional and international regulations for conflict minerals.
|
(c)
|
at all times be in compliance with industry standards for the sourcing and reporting of conflict minerals.
|
(d)
|
being diligent and accurate in their formal assurances of conflict-free minerals provided to us.
|