EX-1.01 2 d918960dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report of Sequans Communications S.A.

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

This is the Conflict Minerals Report of Sequans Communications S.A. (“Sequans” or the “Company”) for calendar year 2014 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”). Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions of the terms used in this Report, unless otherwise defined herein.

Sequans Communications S.A. is a leader in fabless semiconductor business and a developer and supplier of integrated circuits supporting WiMax and single-mode LTE chipset solutions and certain system-in-package modules.

Due Diligence (Instructions 1.01(c)(1))

Overview: Conflict minerals are necessary to the functionality or production of semiconductor and module products that Sequans contracts to be manufactured (“In-Scope Products”). For calendar year 2014, Sequans completed due diligence that encompassed:

 

    establishing the extent to which gold, columbite-tantalite (coltan), cassiterite or wolframite, including their derivatives tantalum, tin, and tungsten, (“3TG”) are present in some or all of its products.

 

    a reasonable country of origin inquiry (“RCOI”) regarding conflict minerals in the In-Scope Products that was reasonably designed to determine whether any of the conflict minerals originated in the Democratic Republic of Congo or an adjoining country (“Covered Country”) or are from recycled or scrap sources; and

 

    measures to exercise due diligence on the source and chain of custody of those conflict minerals.

The Company’s due diligence exercise was based on the Organization for Economic Cooperation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas.

Central elements of our due diligence exercise included:

 

    Maintenance of an internal Sequans team to execute the exercise, including the Procurement Director, Quality Assurance Director, CFO, other members of the Company’s Risk Committee and specialists, as required;

 

    The continuing development of a conflict minerals policy and processes designed to assure initial and continuing compliance with Rule 13p-1. Our processes are designed to respond to current, and new, risks in the supply chain;


    Identification of the In-Scope Products;

 

    Identification of suppliers of the In-Scope Products; and

 

    Completion of a survey of those suppliers,

Work with Suppliers: Sequans is several levels removed from the actual mining of conflict minerals. The Company does not make purchases of raw ore or unrefined conflict minerals and generally makes no purchases in the Covered Countries.

Sequans adopted the Electronic Industry Citizenship Coalition and Global e-Sustainability Initiative’s (“EICC/GeSI”) Conflict Minerals Reporting template (the “Template”) in 2012 and continues using the Template. The Company worked with direct suppliers of materials containing conflict minerals, using the Template as a supply chain survey, to identify the smelters and refiners (“SOR”) that provide those conflict minerals to our suppliers. Initial work and enquiries in respect of calendar year 2014 commenced during the fourth calendar quarter of 2013 and continue to date. Upon determination that all of our products do, or might, contain 3TG, Sequans asked all direct suppliers of materials for such products and related services to complete the Template or provide declarations regarding their use and the sources of 3TG. All suppliers responded. One supplier responded that they were unable to adequately complete a declaration. Sequans is working with that supplier to assist them as may be required. Sequans maintained communications with all suppliers in its efforts to ensure that valid, up-to-date information was used to complete this report and to comply with Sequans’ obligations. If any inconsistencies were identified, Sequans requested clarification from the suppliers concerned. Based on suppliers’ responses, Sequans was able to determine the country of origin of the conflict minerals used in some but not all of the In-Scope Products.

Sequans compared the SOR identified in the supply-chain survey against the list of smelter facilities which have been identified as “conflict free” by programs such as the EICC/GeSI Conflict Free Smelter (CFS) program for conflict minerals, during the reporting period.

Sequans has determined in good faith that for calendar year 2014 its conflict minerals status is uncertain. Sequans makes this determination due to a lack of information from some of its suppliers.

Product Description and Related Matters (Instructions 1.01(c)(2))

Description of In-Scope Products: The In-Scope Products are integrated circuits (semiconductors) supporting WiMax and single-mode LTE chipset solutions and certain system-in-package modules.

Facilities Used to Process Necessary Conflict Minerals in In-Scope Products:

Sequans has identified in its supply chain:

103 facilities for the SOR of Gold.

39 facilities for the SOR of Tantalum.

68 facilities for the SOR of Tin.

32 facilities for the SOR of Tungsten.


This is the list of SOR’s which have been reported to Sequans:-

 

Metal

  

Smelter Reference List

   Smelter
Identification
Gold    Aida Chemical Industries Co. Ltd.    CID000019
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    CID000035
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    CID000041
Gold    AngloGold Ashanti Córrego do Sítio Minerção    CID000058
Gold    Argor-Heraeus SA    CID000077
Gold    Asahi Pretec Corporation    CID000082
Gold    Asaka Riken Co Ltd    CID000090
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    CID000103
Gold    Aurubis AG    CID000113
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    CID000128
Gold    Bauer Walser AG    CID000141
Gold    Boliden AB    CID000157
Gold    C. Hafner GmbH + Co. KG    CID000176
Gold    Caridad    CID000180
Gold    Xstrata Canada Corporation    CID000185
Gold    Cendres + Métaux SA    CID000189
Gold    Yunnan Copper Industry Co Ltd    CID000197
Gold    Chimet S.p.A.    CID000233
Gold    Chugai Mining    CID000264
Gold    Colt Refining    CID000288
Gold    Daejin Indus Co. Ltd    CID000328
Gold    Daye Non-Ferrous Metals Mining Ltd.    CID000343
Gold    Do Sung Corporation    CID000359
Gold    Doduco    CID000362
Gold    Dowa Metals & Mining.    CID000401
Gold    Eco-System Recycling Co., Ltd.    CID000425
Gold    FSE Novosibirsk Refinery    CID000493


Gold Gansu Seemine Material Hi-Tech Co Ltd CID000522
Gold Hangzhou Fuchunjiang Smelting Co., Ltd. CID000671
Gold Heimerle + Meule GmbH CID000694
Gold Heraeus Ltd. Hong Kong CID000707
Gold Heraeus Precious Metals GmbH & Co. KG CID000711
Gold Hunan Chenzhou Mining Group Co., Ltd. CID000767
Gold Hwasung CJ Co. Ltd CID000778
Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited CID000801
Gold Ishifuku Metal Industry Co., Ltd. CID000807
Gold Istanbul Gold Refinery CID000814
Gold Japan Mint CID000823
Gold Jiangxi Copper Company Limited CID000855
Gold Johnson Matthey Inc CID000920
Gold Johnson Matthey Canada CID000924
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant CID000927
Gold JSC Uralelectromed CID000929
Gold JX Nippon Mining & Metals Co., Ltd. CID000937
Gold Kazzinc Ltd CID000957
Gold Kennecott Utah Copper LLC CID000969
Gold Kojima Chemicals Co., Ltd CID000981
Gold Korea Metal Co. Ltd CID000988
Gold Kyrgyzaltyn JSC CID001029
Gold L’ azurde Company For Jewelry CID001032
Gold Lingbao Jinyuan Tonghui Refinery Co. Ltd. CID001058
Gold LS-NIKKO Copper Inc. CID001078
Gold Luoyang Zijin Yinhui Metal Smelt Co Ltd CID001093
Gold Materion CID001113
Gold Matsuda Sangyo Co., Ltd. CID001119
Gold Metalor Technologies (Hong Kong) Ltd CID001149
Gold Metalor Technologies (Singapore) Pte. Ltd. CID001152


Gold Metalor Technologies SA CID001153
Gold Metalor USA Refining Corporation CID001157
Gold Met-Mex Peñoles, S.A. CID001161
Gold Mitsubishi Materials Corporation CID001188
Gold Mitsui Mining and Smelting Co., Ltd. CID001193
Gold Moscow Special Alloys Processing Plant CID001204
Gold Nadir Metal Rafineri San. Ve Tic. A.Ş. CID001220
Gold Navoi Mining and Metallurgical Combinat CID001236
Gold Nihon Material Co. LTD CID001259
Gold Ohio Precious Metals, LLC CID001322
Gold Ohura Precious Metal Industry Co., Ltd CID001325
Gold OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) CID001326
Gold OJSC Kolyma Refinery CID001328
Gold PAMP SA CID001352
Gold Penglai Penggang Gold Industry Co Ltd CID001362
Gold Prioksky Plant of Non-Ferrous Metals CID001386
Gold PT Aneka Tambang (Persero) Tbk CID001397
Gold PX Précinox SA CID001498
Gold Rand Refinery (Pty) Ltd CID001512
Gold Royal Canadian Mint CID001534
Gold Sabin Metal Corp. CID001546
Gold SAMWON METALS Corp. CID001562
Gold Schone Edelmetaal CID001573
Gold SEMPSA Joyería Platería SA CID001585
Gold Shandong Zhaojin Gold & Silver Refinery Co. Ltd CID001622
Gold So Accurate Group, Inc. CID001754
Gold SOE Shyolkovsky Factory of Secondary Precious Metals CID001756
Gold Solar Applied Materials Technology Corp. CID001761
Gold Sumitomo Metal Mining Co., Ltd. CID001798
Gold Tanaka Denshi Kogyo K.K CID001875
Gold The Great Wall Gold and Silver Refinery of China CID001909


Gold The Refinery of Shandong Gold Mining Co. Ltd CID001916
Gold Tokuriki Honten Co., Ltd CID001938
Gold Tongling nonferrous Metals Group Co., Ltd CID001947
Gold Torecom CID001955
Gold Umicore Brasil Ltda CID001977
Gold Umicore SA Business Unit Precious Metals Refining CID001980
Gold United Precious Metal Refining, Inc. CID001993
Gold Valcambi SA CID002003
Gold Western Australian Mint trading as The Perth Mint CID002030
Gold YAMAMOTO PRECIOUS METAL CO., LTD. CID002100
Gold Yokohama Metal Co Ltd CID002129
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation CID002224
Gold Zijin Mining Group Co. Ltd CID002243
Gold Guangdong Jinding Gold Limited CID002312
Gold Umicore Precious Metals Thailand CID002314
Tantalum Changsha South Tantalum Niobium Co., Ltd. CID000211
Tantalum Conghua Tantalum and Niobium Smeltry CID000291
Tantalum Duoluoshan CID000410
Tantalum Exotech Inc. CID000456
Tantalum F&X Electro-Materials Ltd. CID000460
Tantalum Guangdong Zhiyuan New Material Co., Ltd. CID000616
Tantalum Hi-Temp CID000731
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. CID000914
Tantalum Jiujiang Tanbre Co., Ltd. CID000917
Tantalum King-Tan Tantalum Industry Ltd CID000973
Tantalum LSM Brasil S.A. CID001076
Tantalum Metallurgical Products India (Pvt.) Ltd. CID001163
Tantalum Mineração Taboca S.A. CID001175
Tantalum Mitsui Mining & Smelting CID001192
Tantalum Molycorp Silmet A.S. CID001200
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. CID001277


Tantalum QuantumClean CID001508
Tantalum RFH Tantalum Smeltry Co., Ltd CID001522
Tantalum Shanghai Jiangxi Metals Co. Ltd CID001634
Tantalum Solikamsk Magnesium Works OAO CID001769
Tantalum Taki Chemicals CID001869
Tantalum Telex CID001891
Tantalum Ulba CID001969
Tantalum Zhuzhou Cement Carbide CID002232
Tantalum Yichun Jin Yang Rare Metal Co., Ltd CID002307
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. CID002492
Tantalum Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch CID002501
Tantalum KEMET Blue Metals CID002539
Tantalum Plansee SE Liezen CID002540
Tantalum H.C. Starck Co., Ltd. CID002544
Tantalum H.C. Starck GmbH Goslar CID002545
Tantalum H.C. Starck GmbH Laufenburg CID002546
Tantalum H.C. Starck Hermsdorf GmbH CID002547
Tantalum H.C. Starck Inc. CID002548
Tantalum H.C. Starck Ltd. CID002549
Tantalum H.C. Starck Smelting GmbH & Co.KG CID002550
Tantalum Plansee SE Reutte CID002556
Tantalum Global Advanced Metals Boyertown CID002557
Tantalum Global Advanced Metals Aizu CID002558
Tin China Rare Metal Materials Company CID000244
Tin CNMC (Guangxi) PGMA Co. Ltd. CID000278
Tin Alpha CID000292
Tin Cooper Santa CID000295
Tin CV JusTindo CID000307


Tin CV Makmur Jaya CID000308
Tin CV Nurjanah CID000309
Tin CV Serumpun Sebalai CID000313
Tin CV United Smelting CID000315
Tin Dowa CID000402
Tin EM Vinto CID000438
Tin Estanho de Rondônia S.A. CID000448
Tin Fenix Metals CID000468
Tin Gejiu Non-Ferrous Metal Processing Co. Ltd. CID000538
Tin Gejiu Zi-Li CID000555
Tin Huichang Jinshunda Tin Co. Ltd CID000760
Tin Gejiu Kai Meng Industry and Trade LLC CID000942
Tin Linwu Xianggui Smelter Co CID001063
Tin China Tin Group Co., Ltd. CID001070
Tin Malaysia Smelting Corporation (MSC) CID001105
Tin Metallo Chimique CID001143
Tin Mineração Taboca S.A. CID001173
Tin Minsur CID001182
Tin Mitsubishi Materials Corporation CID001191
Tin Novosibirsk Integrated Tin Works CID001305
Tin O.M. Manufacturing (Thailand) Co., Ltd. CID001314
Tin OMSA CID001337
Tin PT Alam Lestari Kencana CID001393
Tin PT Artha Cipta Langgeng CID001399
Tin PT Babel Inti Perkasa CID001402
Tin PT Babel Surya Alam Lestari CID001406
Tin PT Bangka Kudai Tin CID001409
Tin PT Bangka Putra Karya CID001412
Tin PT Bangka Timah Utama Sejahtera CID001416
Tin PT Bangka Tin Industry CID001419


Tin PT Belitung Industri Sejahtera CID001421
Tin PT BilliTin Makmur Lestari CID001424
Tin PT Bukit Timah CID001428
Tin PT DS Jaya Abadi CID001434
Tin PT Eunindo Usaha Mandiri CID001438
Tin PT Fang Di MulTindo CID001442
Tin PT HP Metals Indonesia CID001445
Tin PT Karimun Mining CID001448
Tin PT Koba Tin CID001449
Tin PT Mitra Stania Prima CID001453
Tin PT Panca Mega Persada CID001457
Tin PT Prima Timah Utama CID001458
Tin PT REFINED BANGKA TIN CID001460
Tin PT Sariwiguna Binasentosa CID001463
Tin PT Stanindo Inti Perkasa CID001468
Tin PT Sumber Jaya Indah CID001471
Tin PT Supra Sukses Trinusa CID001476
Tin PT TAMBANG TIMAH (BANKA) CID001477
Tin PT Timah CID001482
Tin PT Pelat Timah Nusantara Tbk CID001486
Tin PT Tinindo Inter Nusa CID001490
Tin PT Tommy Utama CID001493
Tin PT Yinchendo Mining Industry CID001494
Tin Rui Da Hung CID001539
Tin Soft Metais, Ltda. CID001758
Tin Thailand Smelting & Refining Co., Ltd CID001898
Tin White Solder Metalurgia e Mineração Ltda. CID002036
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd. CID002158
Tin Yunnan Tin Company, Ltd. CID002180
Tin PT HANJAYA PERKASA METALS CID002287
Tin Magnu’s Minerais Metais e Ligas LTDA CID002468
Tin PT ATD Makmur Mandiri Jaya CID002503


Tin PT Inti Stania Prima CID002530
Tungsten A.L.M.T. Corp. CID000004
Tungsten Kennametal Huntsville CID000105
Tungsten Guangdong Xianglu Tungsten Co., Ltd. CID000218
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. CID000258
Tungsten Dayu Weiliang Tungsten Co., Ltd. CID000345
Tungsten Fujian Jinxin Tungsten Co., Ltd. CID000499
Tungsten Global Tungsten & Powders Corp. CID000568
Tungsten Hunan Chenzhou Mining Group Co., Ltd. CID000766
Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd. CID000769
Tungsten Japan New Metals Co., Ltd. CID000825
Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd. CID000868
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. CID000875
Tungsten Kennametal Fallon CID000966
Tungsten Tejing (Vietnam) Tungsten Co., Ltd. CID001889
Tungsten Vietnam Youngsun Tungsten Industry Co., Ltd CID002011
Tungsten Wolfram Bergbau und Hütten AG CID002044
Tungsten Wolfram Company CJSC CID002047
Tungsten Xiamen Tungsten Co., Ltd. CID002082
Tungsten Xinhai Rendan Shaoguan Tungsten Co., Ltd. CID002095
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. CID002315
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. CID002317
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. CID002318
Tungsten Malipo Haiyu Tungsten Co., Ltd. CID002319
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. CID002320
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. CID002321
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. CID002494
Tungsten Chenzhou Diamond Tungsten Products Co., Ltd. CID002513


Tungsten H.C. Starck GmbH CID002541
Tungsten H.C. Starck Smelting GmbH & Co. KG CID002542
Tungsten Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC CID002543
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. CID002551
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. CID002320

More complete details are being posted to the publicly available Internet site www.sequans.com (follow the http://www.sequans.com/investors/corporate-governance/ link) upon the filing of this Form SD. Note that this information is often updated and is therefore not limited to this reporting period.

Information About Country of Origin of Necessary Conflict Minerals Used in In-Scope Products:

Mines have been identified in the following countries as being sources of 3TG used in In-Scope Products;

 

Australia, Bolivia, Brazil, Canada, PR China, Indonesia, Japan,
Kazakhstan, Korea, Mozambique, Rwanda, Russian Federation, Taiwan,
Thailand, USA.

In addition, certain suppliers have indicated sources in “Level 1, Level 2 and or Level 3”1 countries, not specifically identifying the countries.

Information About Efforts to Determine Mine or Location of Origin: The description of our due diligence exercise set forth above under the heading “Due Diligence” covers Sequans’ efforts to determine the mine or location of origin with the greatest possible specificity.

 

 

 

 

1 Classification of countries is based on the Conflict-Free Sourcing Initiative’s Conflict-Free Smelter Program Supply Chain Transparency Smelter Audit Protocol for Tungsten (Annex 1 “Materials Classifications”)

Level 1 countries are defined as “countries with known active tungsten ore production that are not identified as conflict regions of plausible areas of smuggling”.

Level 2 countries are defined as “countries with known or plausible countries for the smuggling, export or transit of tungsten containing minerals out of conflict affected regions (Kenya, Mozambique, South Africa)”

Level 3 countries are defined as “countries outlined in Section 1502 of the Dodd-Frank Act as those affected or bordering conflict affected regions currently defined as the DRC and its nine adjoining countries (Angola, Burundi, Central African Republic, Democratic Republic of the Congo (DRC), Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, Zambia).