0001193125-14-222585.txt : 20140623 0001193125-14-222585.hdr.sgml : 20140623 20140602172622 ACCESSION NUMBER: 0001193125-14-222585 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20131231 1.02 20131231 FILED AS OF DATE: 20140602 DATE AS OF CHANGE: 20140602 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DIODES INC /DEL/ CENTRAL INDEX KEY: 0000029002 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 952039518 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 002-25577 FILM NUMBER: 14885191 BUSINESS ADDRESS: STREET 1: 4949 HEDGCOXE ROAD STREET 2: SUITE 200 CITY: PLANO STATE: TX ZIP: 75024 BUSINESS PHONE: 972-987-3900 MAIL ADDRESS: STREET 1: 4949 HEDGCOXE ROAD STREET 2: SUITE 200 CITY: PLANO STATE: TX ZIP: 75024 SD 1 d738480dsd.htm FORM SD Form SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form SD

 

 

Specialized Disclosure Report

 

 

Diodes Incorporated

 

 

 

Delaware   002-25577   95-2039518

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

4949 Hedgcoxe Road, Suite 200

Plano, Texas

  75024
(Address of principal executive offices)   (Zip Code)

Richard D. White

(972) 987-3900

(Name and telephone number, including area code, of 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, 2013.

 

 

 


Section 1 – Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

The disclosures required by this item are contained in the Company’s Conflict Minerals Report for the year ended December 31, 2013 filed as Exhibit 1.02 hereto and is publicly available at www.diodes.com.

Item 1.02 Exhibit

A copy of Diodes Incorporated’s Conflict Minerals Report for the year ended December 31, 2013 is filed as Exhibit 1.02 hereto and is publicly available at www.diodes.com.

Section 2 – Exhibits

Item 2.01 Exhibits

Exhibit 1.02 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.

 

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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.

 

DIODES INCORPORATED     DATE: June 2, 2014
By  

/s/ Richard D. White

   
  RICHARD D. WHITE    
  Chief Financial Officer    

 

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EX-1.02 2 d738480dex102.htm EX-1.02 EX-1.02

Exhibit 1.02

Diodes Incorporated

Conflict Minerals Report

For The Year Ended December 31, 2013

This Conflict Minerals Report (the “Report”) for the year ended December 31, 2013 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“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 (the “Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain Conflict Minerals which are necessary to the functionality or production of their products. Conflict Minerals are defined as Columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted), wolframite (the metal ore from which tungsten is extracted), gold, or their derivatives; or any other mineral or its derivatives as determined by the Secretary of State to be financing conflicts in the Democratic Republic of the Congo (“DRC”) or adjoining countries.

This Report has not been audited because the circumstances that would require an audit under the Rule are not present, and the Conflict Minerals Report (CMR) is not subject to an independent private sector audit. The report can be found at Diodes’ website at http://diodes.com/pdfs/conflictmineralsreport2013.pdf.

 

1.

Overview

This Report has been prepared by the management of Diodes Incorporated (herein referred to as “Diodes,” the “Company,” “we,” “us,” or “our”).

We are a leading global manufacturer and supplier of high-quality, application specific standard products within the broad discrete, logic and analog semiconductor markets, serving the consumer electronics, computing, communications, industrial, and automotive markets. Our products include diodes, rectifiers, transistors, MOSFETs, protection devices, functional specific arrays, single gate logic, amplifiers and comparators, Hall-effect and temperature sensors, power management devices, including LED drivers, AC-DC and DC-DC switching, linear voltage regulators, and voltage references along with special function devices, such as USB power switches, load switches, voltage supervisors, and motor controllers. Our products are sold primarily throughout Asia, North America and Europe.

We design, manufacture and market these semiconductors for diverse end-use applications. Semiconductors, which provide electronic signal amplification and switching functions, are basic building-blocks that are incorporated into almost every electronic device.

Our product portfolio addresses the design needs of advanced electronic equipment, including high-volume consumer devices such as digital media players, smart phones, tablets, notebook computers, flat-panel displays, mobile handsets, digital cameras and set-top boxes. Our product line includes over 9,250 products, and we shipped approximately 41 billion units in 2013.

A review of the Bill of Materials used in our products showed that Conflict Minerals — Gold, Tin, or Tungsten — can be found in all of our products.


The Conflict Minerals status of the products we manufacture, that are subject to the reporting obligations of Rule 13p-1, could not be determined.

We relied upon our direct suppliers to provide information on the origin of Conflict Minerals contained in components and materials supplied to us – including sources of Conflict Minerals that are supplied to them from lower tier suppliers.

Because of our operation size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers. Accordingly, we observe and follow a number of industry-wide initiatives as described in section 2 of this Report below.

The statement on Conflict Minerals and our EICC/GeSI Conflict Minerals report are publicly available and can be downloaded from our website at www.diodes.com.

 

2.

Due Diligence Process

2.1 Design of Due Diligence

Our due diligence measures have been designed to conform to an internationally recognized due diligence framework.

2.2 Management System

In order to respond to external requests for information, a formal Conflict Minerals statement is available on our website at http://diodes.com/pdfs/DiodesIncorporatedStatementOnConflictMinerals.pdf.

Development and implementation of the Conflict Minerals due diligence plan requires engagement of various Diodes’ departments, including, but not limited to, the Engineering, Finance, Legal, Purchasing, and Quality departments. The team of subject matter experts is responsible for implementing our Conflict Minerals compliance strategy and is led by our Quality Systems Manager who acts as the Conflict Minerals Program Manager. Senior management is updated on the results of our due diligence efforts on a regular basis.

Because we do not have a direct relationship with Conflict Mineral smelters and refiners and does not perform or direct audits of these entities within our supply chain, we follow and actively cooperate with the following industry-wide initiatives:

 

   

The Electronics Industry Citizenship Coalition-Global e-Sustainability Initiative’s (“EICC-GeSI”); and

 

   

Conflict-Free Sourcing Initiative (“CFSI”).

As a result of this cooperation, we have periodically updated our publicly available Conflict Minerals report (EICC/GeSI report) as well as information retrieved from our suppliers’ Conflict Minerals reports. We also monitor audit results as updated on the CFSI web site at http://www.conflictfreesourcing.org/rcoi-data/. As needed, we have requested updates of received EICC/GeSI reports to be in compliance with the latest revision of the EICC-GeSI reporting template.

We have outlined expectations regarding use of Conflict Minerals in our Corporate Supplier Quality specifications. We engage with all identified Conflict Mineral suppliers to disseminate our requirements to their supply chain.

By the end of 2013, we have identified sixty-eight (68) Conflict Mineral suppliers. We relied upon these suppliers to provide us with information about the sources of Conflict Minerals contained in the components supplied to us. Our suppliers are similarly reliant upon information provided by their suppliers. Many of the largest suppliers are also SEC registrants and subject to the Rule.

 

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3.

Due Diligence Results

We conducted a survey of those suppliers described in this Report using the template developed by the Electronic Industry Citizenship Coalition (“EICC”) and the Global e-Sustainability Initiative (“GeSI”), now known as the CFSI Reporting Template (the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters and refiners that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters and refiners 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 suppliers’ due diligence. Written instructions and recorded training illustrating the use of the tool are available on EICC’s website. The Template is being used by many companies in their due diligence processes related to Conflict Minerals. By utilizing the Template, we have determined that seeking information about Conflict Mineral smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the locations of origin of Conflict Minerals in our supply chain.

Our suppliers have provided us their EICC and GeSI reporting templates. We reviewed their responses against criteria developed to determine which required further engagement with our suppliers. These criteria included incomplete responses, as well as inconsistencies within the data reported in the templates. We have worked directly with these suppliers to provide revised responses.

Responses included the names of over one hundred and thirty (130) smelters or refiners. Approximately thirty-six percent (36%) of them were identified as certified Conflict-Free when compared to the CFSI list of Conflict-Free smelters or refiners. An additional approximately six percent (6%) were identified as active in the CFSI Conflict-Free Smelter Program. Not all of the remaining facilities could be identified as smelters or refiners. One supplier reported that components supplied to us contained Tin from a Conflict-Free source in the DRC or adjoining countries.

Over ninety percent (90%) of the responses received provided data at a company or divisional level. We are therefore unable to determine whether any of the Conflict Minerals reported by the suppliers were contained in components or parts supplied to us or to validate that any of these smelters or refiners are actually in our supply chain.

 

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List of smelters and refiners

The following list is extracted from EICC and/or GeSI Conflict Minerals report, made publicly available on our website at www.diodes.com on December 5, 2013:

 

Metal

  

Smelter or Refiner Facility Name

Gold

  

Shanghai Gold Exchange

Gold

  

Aida Chemical Industries Co. Ltd.

Gold

  

Allgemeine Gold- und Silberscheideanstalt A.G.

Gold

  

Almalyk Mining and Metallurgical Complex (AMMC)

Gold

  

AngloGold Ashanti Mineração Ltda

Gold

  

Argor-Heraeus SA

Gold

  

Asahi Pretec Corporation

Gold

  

Asaka Riken Co Ltd

Gold

  

Aurubis AG

Gold

  

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

Gold

  

Caridad

Gold

  

Chimet SpA

Gold

  

Chugai Mining

Gold

  

Codelco

Gold

  

Dowa

Gold

  

Heimerle + Meule GmbH

Gold

  

Heraeus Ltd Hong Kong

Gold

  

Heraeus Precious Metals GmbH & Co. KG

Gold

  

Heraeus Zhaoyuan Precious Metal Materials Co.,Ltd.

Gold

  

Ishifuku Metal Industry Co., Ltd.

Gold

  

Johnson Matthey Inc

Gold

  

Johnson Matthey Limited

Gold

  

JX Nippon Mining & Metals Co., Ltd

Gold

  

London Bullion Market Association

Gold

  

LS-Nikko Copper Inc

Gold

  

Materion

Gold

  

Matsuda Sangyo Co. Ltd

Gold

  

Metalor Technologies (Hong Kong) Ltd

Gold

  

Metalor Technologies SA

Gold

  

Metalor USA Refining Corporation

Gold

  

Mitsubishi Materials Corporation

Gold

  

Mitsui Mining and Smelting Co., Ltd.

Gold

  

Navoi Mining and Metallurgical Combinat

Gold

  

Nihon Material Co. LTD

Gold

  

Ningbo Kangqiang

Gold

  

Ohio Precious Metals LLC.

Gold

  

Rand Refinery (Pty) Ltd

Gold

  

Royal Canadian Mint

Gold

  

SEMPSA Joyeria Plateria SA

Gold

  

Shandong Zhaojin Gold & Silver Refinery Co. Ltd

Gold

  

Solar Applied Materials Technology Corp.

Gold

  

Tanaka Kikinzoku Kogyo K.K.

Gold

  

The Refinery of Shandong Gold Mining Co. Ltd

Gold

  

Tokuriki Honten Co. Ltd

Gold

  

Umicore SA Business Unit Precious Metals Refining

Gold

  

United Precious Metal Refining, Inc.

Gold

  

Valcambi SA

Gold

  

Western Australian Mint trading as The Perth Mint

Gold

  

Xstrata Canada Corporation

Gold

  

Yokohama Metal Co Ltd

Gold

  

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

Tin

  

American Iron and Metal

Tin

  

Bangka

Tin

  

Chengfeng Metals Co Pte Ltd

Tin

  

China Tin Smelter Co. Ltd.

Tin

  

Cookson

Tin

  

Cookson Alpha Metals(Shenzhen)Co.Ltd

Tin

  

CV Duta Putra Bangka

Tin

  

CV JusTindo

Tin

  

CV Makmur Jaya

Tin

  

CV Nurjanah

Tin

  

CV Serumpun Sebalai

Tin

  

CV United Smelting

Tin

  

EM Vinto

Tin

  

Feinhütte Halsbrücke GmbH

Tin

  

Geiju Non-Ferrous Metal Processing Co. Ltd.

Tin

  

Gejiu Zi-Li

Tin

  

Gold Bell Group

Tin

  

Huaxi Guangxi Group

 

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Metal

  

Standard Smelter Names

Tin

  

Indonesian State Tin Corporation Mentok Smelter

Tin

  

Jiangxi Nanshan

Tin

  

Kaimeng(Gejiu) Industry and Trade Co., Ltd.

Tin

  

Kupol

Tin

  

Liuzhou China Tin

Tin

  

Malaysia Smelting Corporation (MSC)

Tin

  

Metallo Chimique

Tin

  

Mineração Taboca S.A.

Tin

  

Minsur

Tin

  

Mitsubishi Materials Corporation

Tin

  

OMSA

Tin

  

PT Alam Lestari Kencana

Tin

  

PT Artha Cipta Langgeng

Tin

  

PT Babel Inti Perkasa

Tin

  

PT Babel Surya Alam Lestari

Tin

  

PT Bangka Kudai Tin

Tin

  

PT Bangka Putra Karya

Tin

  

PT Bangka Timah Utama Sejahtera

Tin

  

PT Belitung Industri Sejahtera

Tin

  

PT BilliTin Makmur Lestari

Tin

  

PT Bukit Timah

Tin

  

PT Eunindo Usaha Mandiri

Tin

  

PT Fang Di MulTindo

Tin

  

PT HP Metals Indonesia

Tin

  

PT Koba Tin

Tin

  

PT Mitra Stania Prima

Tin

  

PT Refined Banka Tin

Tin

  

PT Sariwiguna Binasentosa

Tin

  

PT Stanindo Inti Perkasa

Tin

  

PT Sumber Jaya Indah

Tin

  

PT Tambang Timah

Tin

  

PT Timah

Tin

  

PT Timah Nusantara

Tin

  

PT Tinindo Inter Nusa

Tin

  

PT Yinchendo Mining Industry

Tin

  

Novosibirsk Integrated Tin Works

Tin

  

Thaisarco

Tin

  

Traxys

Tin

  

Heraeus Precious Metals GmbH & Co. KG

Tin

  

Yunnan Chengfeng

Tin

  

Yunnan Tin Company Limited

Tin

  

Zhejiang Huangyan Xinqian Electrical Parts Factory

Tungsten

  

Alldyne Powder Technologies

Tungsten

  

Alta Group

Tungsten

  

Chaozhou Xianglu Tungsten IND Co., LTD.

Tungsten

  

DAYU WEILIANG TUNGSTEN CO.,LTD

Tungsten

  

Ganzhou Grand Sea W & Mo Group Co Ltd

Tungsten

  

GANZHOU HONGFEI W&Mo MATERIALS CO.,LTD.

Tungsten

  

Ganzhou Huaxing Tungsten

Tungsten

  

Jiangxi Rare Earth & Rare Metals Tungsten Group Corp

Tungsten

  

Global Tungsten & Powders Corp

Tungsten

  

HC Starck GmbH

Tungsten

  

Hunan Chun-chang Non-ferrous Smelting & Concentrating Co., Ltd.

Tungsten

  

Jada Electronic limited (JX Nippon Mining&Matel Co., Ltd)

Tungsten

  

Jiangxi Tungsten Industry Group Co Ltd

Tungsten

  

Kanto Denka Kogyo Co., Ltd.

Tungsten

  

Nanchang Cemented Carbide Limited Liability Company

Tungsten

  

NingHua XingLuoKeng TungSten Mining CO.,LID

Tungsten

  

Plansee

Tungsten

  

Sumitomo Metal Mining Co. Ltd.

Tungsten

  

Wolfram Company CJSC

Tungsten

  

Xiamen Honglu Tungsten Molybdenum Industry Co., Ltd.

Tungsten

  

Xiamen Tungsten Co Ltd

Tungsten

  

Zhuzhou Cemented Carbide Group Co Ltd

 

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Countries of origin of the conflict minerals these facilities process are believed to include:

American Samoa, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, France, Germany, Hong Kong, Indonesia, Italy, Japan, Republic of Korea, Malaysia, Mexico, Peru, Philippines, Russian Federation, South Africa, Spain, Switzerland, Taiwan, Thailand, United Kingdom, United States and Uzbekistan.

 

4.

Steps to be Taken to Mitigate Risks

We intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary Conflict Minerals in our products could benefit armed groups in the DRC or adjoining countries:

a. Review vendor reports, covering purchased raw materials that could potentially contain Conflict Minerals and expand the number of suppliers requested to supply information; and

b. Engage with suppliers and direct them to training resources in an attempt to improve the contents of the suppliers’ survey responses.

 

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