EX-1.01 2 d314608dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report of Ambarella, Inc.

in Accordance with Rule 13p-1 under the Securities Exchange Act of 1934

This is the Conflict Minerals Report for Ambarella, Inc. (“Ambarella”, “we”, “us”, “our”, or the “Company”), filed with the Securities Exchange Commission (SEC) in accordance with Rule 13p-1 (the “Rule”) under the Securities Exchange Act of 1934 (the “1934 Act”) for calendar year 2021. The Rule was adopted by the SEC to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. “Conflict minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG) for the purposes of this assessment.

The statements below are based on the activities performed to date in good faith by the Company and information available at the time of this filing.

 

1.

Company Overview; Covered Products

Ambarella was incorporated in the Cayman Islands in 2004. We design, market and sell low-power system-on-chips (SoCs) offering high-resolution video compression, advanced image processing and artificial intelligence (AI) computer vision functionality. Ambarella’s SoC solutions are used in a variety of human and computer vision applications, including video security cameras, a variety of automotive cameras, cameras and sensors in industrial and robotic applications, wearable cameras, and drone cameras. We sell our SoC solutions to original equipment manufacturers (OEMs) of camera devices as well as to design manufacturers (ODMs) and other suppliers that support OEMs. During the 2021 calendar year, we sub-contracted to manufacture our SoC products containing 3TG minerals and the use of these minerals is necessary to the functionality or production of our SoC products.

 

2.

Supply Chain Overview

We operate our business based on a fabless semiconductor model. Accordingly, we rely on third parties, primarily located in Asia, for substantially all of our manufacturing operations, including wafer fabrication, assembly and testing of our SoC products. There are multiple tiers between our company and the mines that produce conflict minerals used in our products. Accordingly, we rely on our direct suppliers to provide information on the origin of the conflict minerals that are included in our products. All of our suppliers of conflict minerals have adopted a conflict minerals policy and due diligence framework based on the Organisation for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas.

 

3.

Due Diligence Program

Our due diligence processes and efforts have been developed in conjunction with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related supplements for 3TG minerals. We designed our due diligence process to conform in all material respects with these guidelines. Our due diligence measures include:

 

  •  

Identification of the components in Ambarella products that contain conflict minerals, and the suppliers through which those components are sourced.

 

  •  

Conducting a supply-chain survey with direct suppliers of materials containing conflict minerals using the using the standard Conflict Minerals Reporting Template (CMRT) from the Responsible Minerals Initiative (RMI).

 

  •  

Communicating with any direct suppliers that did not timely respond to surveys or provide complete responses.

  •  

Comparing the smelters and refiners identified in the supply-chain survey against the list of smelter facilities which have been identified as compliant with RMI’s Responsible Minerals Assurance Protocol.

Our conflict minerals project team responsible for conducting the due diligence is comprised of employees in our operations department, which is responsible for selecting and retaining relationships with our third-party vendors. Our due diligence process is overseen by executives from our operations and legal functions.

We have retained all relevant documentation from our reasonable due diligence measures to ensure the retention of relevant documentation.

 

4.

Reasonable Country of Origin Inquiry (RCOI) and RCOI Results

We conducted a survey of our active suppliers using a template from the Responsible Minerals Initiative (RMI), known as the Conflict Minerals Reporting Template. The template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free sourcing 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 their products, as well as due diligence undertaken by the supplier. We believe this template is widely used by companies in our industry for the purpose of conducting due diligence related to conflict minerals.

During the process of our review, we identified our direct suppliers who fell within the scope of our RCOI. We sent the Conflict Minerals Reporting Template to these direct suppliers and received responses from each of them. Each of our direct suppliers indicated that they had received` data or information about the origin of 3TG minerals from all of their suppliers. Each of our direct suppliers also indicated that they reported all of the applicable smelter and refinery information in their response to our inquiry.

Based on our due diligence activities, our suppliers identified a total of 99 smelters and refiners from which 3TG minerals may have been sourced. All of our suppliers indicated that they do source some 3TG minerals from covered countries. All of the smelters and refiners identified by our suppliers as sourcing from covered countries have been certified as compliant with the Responsible Minerals Assurance Protocol (RMAP).

 

5.

Audit of Supply Chain Due Diligence

As noted above, as a fabless semiconductor company we do not have a direct relationship with 3TG smelters and refiners, and we did not perform direct audits of the entities in our supply chain. As a downstream purchaser of materials and components that contain conflict minerals, our due diligence measures cannot provide absolute assurance regarding the source and chain of custody of the conflict minerals in our Covered Products. However, we do rely upon industry third-party audit programs such as RMI’s Responsible Minerals Assurance Protocol (RMAP).

 

6.

Facilities Used to Process Conflict Materials

Based on our due diligence process and the information received from our suppliers, the following facilities were identified by our suppliers as the smelters and refiners of the 3TG minerals present in and necessary to the functionality of our products manufactured in the calendar year ended December 31, 2021. This list if presented in good faith based upon the information we have to date.

 

METAL

   

NAME OF SMELTER OR REFINERY

   

LOCATION

   

CID #

Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    CID000211
Tantalum    Exotech Inc.    UNITED STATES OF AMERICA    CID000456
Tantalum    F&X Electro-Materials Ltd.    CHINA    CID000460

Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    CID000616
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    CID000914
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    CID000917
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    CID001163
Tantalum    NPM Silmet AS    ESTONIA    CID001200
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    CID001277
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    CID001769
Tantalum    Taki Chemical Co., Ltd.    JAPAN    CID001869
Tantalum    Telex Metals    UNITED STATES OF AMERICA    CID001891
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    CID001969
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    CID002492
Tantalum    D Block Metals, LLC    UNITED STATES OF AMERICA    CID002504
Tantalum    FIR Metals & Resource Ltd.    CHINA    CID002505
Tantalum    H.C. Starck Co., Ltd.    THAILAND    CID002544
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY    CID002545
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    CID002547
Tantalum    H.C. Starck Inc.    UNITED STATES OF AMERICA    CID002548
Tantalum    H.C. Starck Ltd.    JAPAN    CID002549
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002550
Tantalum    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    CID002557
Tantalum    Global Advanced Metals Aizu    JAPAN    CID002558
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    CID000228
Tin    Alpha    UNITED STATES OF AMERICA    CID000292
Tin    Dowa    JAPAN    CID000402
Tin    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)    CID000438
Tin    Fenix Metals    POLAND    CID000468
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    CID000538
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    CID000555
Tin    China Tin Group Co., Ltd.    CHINA    CID001070
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    CID001105
Tin    Metallic Resources, Inc.    UNITED STATES OF AMERICA    CID001142
Tin    Mineracao Taboca S.A.    BRAZIL    CID001173
Tin    Minsur    PERU    CID001182
Tin    Mitsubishi Materials Corporation    JAPAN    CID001191
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314
Tin    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)    CID001337
Tin    PT Artha Cipta Langgeng    INDONESIA    CID001399
Tin    PT Mitra Stania Prima    INDONESIA    CID001453
Tin    PT Prima Timah Utama    INDONESIA    CID001458
Tin    PT Refined Bangka Tin    INDONESIA    CID001460
Tin    PT Timah Tbk Kundur    INDONESIA    CID001477
Tin    PT Timah Tbk Mentok    INDONESIA    CID001482

Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    CID001539
Tin    Soft Metais Ltda.    BRAZIL    CID001758
Tin    Thaisarco    THAILAND    CID001898
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    CID001908
Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    CID002036
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    CID002158
Tin    Yunnan Tin Company Limited    CHINA    CID002180
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    CID002468
Tin    Melt Metais e Ligas S.A.    BRAZIL    CID002500
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    CID002503
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517
Tin    PT Rajehan Ariq    INDONESIA    CID002593
Tin    Resind Industria e Comercio Ltda.    BRAZIL    CID002706
Tin    Metallo Belgium N.V.    BELGIUM    CID002773
Tin    Metallo Spain S.L.U.    SPAIN    CID002774
Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    CID002834
Tin    PT Menara Cipta Mulia    INDONESIA    CID002835
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    CID003116
Tungsten    A.L.M.T. Corp.    JAPAN    CID000004
Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA    CID000105
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    CID000258
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    CID000499
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    CID000568
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769
Tungsten    Japan New Metals Co., Ltd.    JAPAN    CID000825
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    CID000875
Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA    CID002044
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    CID002082
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    CID002095
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CID002316
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    CID002320
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    CID002321
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    CID002494
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    CID002513
Tungsten    H.C. Starck Tungsten GmbH    GERMANY    CID002541
Tungsten    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002542
Tungsten    Masan Tungsten Chemical LLC (MTC)    VIET NAM    CID002543
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    CID002551
Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA    CID002589

Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    CID002649
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    CID002724
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    CID002843
Gold    Heraeus Metals Hong Kong Ltd.    CHINA    CID000707
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    CID000937
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    CID001119
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    CID001149
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    CID001152
Gold    Metalor Technologies S.A.    SWITZERLAND    CID001153
Gold    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    CID001157
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    CID001622
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    CID001875