0000743316-18-000025.txt : 20180530 0000743316-18-000025.hdr.sgml : 20180530 20180530164451 ACCESSION NUMBER: 0000743316-18-000025 CONFORMED SUBMISSION TYPE: SD/A PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20171231 1.02 20171231 FILED AS OF DATE: 20180530 DATE AS OF CHANGE: 20180530 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MAXIM INTEGRATED PRODUCTS INC CENTRAL INDEX KEY: 0000743316 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942896096 STATE OF INCORPORATION: DE FISCAL YEAR END: 0624 FILING VALUES: FORM TYPE: SD/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34192 FILM NUMBER: 18868702 BUSINESS ADDRESS: STREET 1: 160 RIO ROBLES CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 408-601-1000 MAIL ADDRESS: STREET 1: 160 RIO ROBLES CITY: SAN JOSE STATE: CA ZIP: 95134 SD/A 1 maxim2017sda.htm SD/A Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549



FORM SD/A
SPECIALIZED DISCLOSURE REPORT
(Amendment No. 1)



MAXIM INTEGRATED PRODUCTS, INC.
(Exact name of issuer as specified in its charter)



Delaware
(State or other jurisdiction of
incorporation or organization)
 
001-34192
(Commission
File Number)
 
94-2896096
(I.R.S. Employer
Identification No.)



160 Rio Robles
San Jose, California 95134
(Address of Principal Executive Offices including Zip Code)




Mark Casper
Vice President, Deputy General Counsel
(408) 601-1000
(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:


x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017.
 
















EXPLANATORY NOTE

On May 23, 2018, Maxim Integrated Products, Inc. filed with the Securities and Exchange Commission its Form SD for the reporting period from January 1 to December 31, 2017 (the “Original Form SD”). This Amendment No. 1 on Form SD/A amends and restates the Original Form SD in its entirety to correct the date of the reporting period and other errors.

Section 1 - Conflict Minerals Disclosure

Item 1.01     Conflict Minerals Disclosure and Report

This Form SD of Maxim Integrated Products, Inc. (“Maxim Integrated” or “we” or the “Company”), covering the calendar-year reporting period ended December 31, 2017, is filed with the Securities and Exchange Commission (“SEC”) pursuant to Section 13(p) of the Securities Exchange of 1934, as amended (“Exchange Act”), and Rule 13p-1 and Form SD thereunder. Section 13(p) was added to the Exchange Act by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and directed the SEC to adopt rules in the form of Rule 13p-1 and Form SD (together, the “Conflict Minerals Rule” or “Rule”). The Conflict Minerals Rule, as now in effect, requires disclosure of certain information by companies filing reports with the SEC that manufacture, or contract to manufacture, products for which certain minerals specified in Section 13(p) and the Rule as “conflict minerals” are necessary to the functionality or production of those products. These designated “conflict minerals” are gold, tin, tantalum and tungsten. The term “Covered Countries” for purposes of the Conflict Minerals Rule are the Democratic Republic of the Congo (“DRC”), and the following adjoining countries: the Republic of the Congo, the Central African Republic, South Sudan, Rwanda, Uganda, Zambia, Burundi, Tanzania and Angola.

Maxim Integrated has determined that certain of its products contain conflict minerals that are necessary to the functionality or production of such products (“necessary conflict minerals”). Accordingly, we were required under the Rule to conduct a good-faith, reasonable country of origin inquiry (“RCOI”) reasonably designed to determine whether any of the necessary conflict minerals in our products either originated in the Covered Countries or came from recycled or scrap materials. The following is a brief description of the RCOI process Maxim Integrated undertook in accordance with the Rule.

Reasonable Country of Origin Inquiry:

Brief description of inquiry:

To satisfy the RCOI requirement of the Conflict Minerals Rule adopted by the SEC under Section 13(p) of the Exchange Act, Maxim Integrated has, in good faith, surveyed all of its direct suppliers using the Responsible Business Alliance (RBA) and the Responsible Minerals Initiative (RMI) Conflict Minerals Reporting Template. This survey reporting template was developed by the RMI to help companies in the electronics and other industries to determine whether any of the designated conflict minerals (as defined above) that are necessary to the functionality or production of their products either came from recycled or scrap sources or originated in one or more of the Covered Countries. As part of the RCOI process, we performed a scoping exercise to understand our multi-tier supply chain, including the relevant supplier and sub-supplier population and the composition of the products or components we procured from such suppliers. We also adopted a framework for evaluating responses from suppliers and identifying potential red flags in suppliers’ responses requiring follow-up inquiries. We have also adopted a company level policy statement on conflict minerals which has been published on our website at http://investor.maximintegrated.com/corporate-responsibility.

Based on the process described above, we believe that we have conducted a good faith reasonable country of origin inquiry for the calendar year ended December 31, 2017. We have documented our performance of the RCOI and our analysis of the supplier responses, along with the scoping of our products to focus on those containing necessary conflict minerals, and relevant suppliers for our internal record keeping purposes.

Results of inquiry:





Based on the RCOI survey responses received from our direct suppliers, and our analysis of such responses, as applied to the calendar year ended December 31, 2017, we were unable to ascertain the source mine and/or country of origin of all of the relevant conflict minerals which are necessary to the functionality or production of our products. Therefore, we proceeded to perform reasonable due diligence procedures as required by Section 13(p) and the Conflict Minerals Rule, and as described in more detail in the accompanying Conflict Minerals Report.

Due Diligence on the Source and Chain of Custody of Its Conflict Minerals:

We are required to exercise due diligence on our necessary conflict minerals' source and chain of custody pursuant to a nationally or internationally recognized due diligence framework. Our due diligence measures have been designed to conform, in all material respects, with the framework set forth in the Organisation for Economic Cooperation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict Affected and High Risk Areas: Third Edition, and the Supplements thereto for gold, tin, tantalum and tungsten (“OECD Due Diligence Guidance”), because the SEC has specified that this is an appropriate nationally or internationally recognized due diligence framework. We have adopted and communicated our conflict mineral policy to our direct suppliers and customers and followed RCOI and due diligence procedures to gather information from our new and existing direct suppliers. In addition, there are also programs in place at Maxim Integrated to encourage our suppliers to source from smelters and refiners subject to rigorous third-party supply chain audits, such as the RMI’s Responsible Minerals Assurance Process (RMAP) and the London Bullion Market Association’s (“LBMA”) Good Delivery program for gold. These and other due diligence measures Maxim Integrated performed in calendar year 2017 are discussed in greater detail in the attached Conflict Minerals Report.

This Form SD and the Conflict Minerals Report, filed as Exhibit 1.01 hereto, are publicly available at: http://investor.maximintegrated.com/financial-information. The content of this website and any other website referred to in this Form SD and/or the accompanying Conflict Minerals Report is not incorporated by reference into either of these documents, or any other document the Company has filed or will file with the SEC.









































Item 1.02    Exhibit

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.

Section 2 - Exhibits

Item 2.01    Exhibit

The following exhibit is filed as part of this report:














































    
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 undersigned hereunto duly authorized.


Maxim Integrated Products, Inc.


By:     /s/ Mark Casper            
Mark Casper
Vice President, Deputy General Counsel

Date: May 30, 2018














































EXHIBIT INDEX
Exhibit
 
Description
1.01
 
Conflict Minerals Report as required by Item 1.01 and 1.02 of this Form SD.









 EX-1.01 2 ex101conflictmineralreport.htm EXHIBIT 1.01 Exhibit


Exhibit 1.01

Maxim Integrated Products, Inc.

Conflict Mineral Report

For the Calendar Year Reporting Period Ended December 31, 2017

Company Overview:

Maxim Integrated Products, Inc. ("Maxim Integrated" or the "Company" and also referred to as "we," "our" or "us") designs, develops, manufactures and markets a broad range of linear and mixed-signal integrated circuits, commonly referred to as analog circuits, for a large number of geographically diverse customers. The Company also provides a range of high-frequency process technologies and capabilities that can be used in custom designs. The analog market is fragmented and characterized by many diverse applications, a great number of product variations and, with respect to many circuit types, relatively long product life cycles. The Company is a global company with wafer manufacturing facilities in the U.S., testing facilities in the Philippines and Thailand and sales and circuit design offices throughout the world. The major end-markets in which the Company’s products are sold are the Automotive, Communications and Data Center, Computing, Consumer and Industrial markets.

Our Conflict Minerals Policy:

Maxim Integrated is committed to complying with the letter and the spirit of the conflict minerals disclosure requirements adopted by the Securities and Exchange Commission (“SEC”) under Section 13(p) of the Securities and Exchange Act, as amended (“Exchange Act”), in the form of Rule 13p-1 and Form SD (together, the “Conflict Minerals Rule” or “Rule”). Maxim Integrated has considered the Rule’s requirements, guidance from the Organisation for Economic Cooperation and Development (the “OECD”) that has been recognized as authoritative by the SEC (the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition, and related Supplements for tin, tantalum, tungsten and gold (“OECD Due Diligence Guidance”)), and related measures being taken by the RBA (Responsible Business Alliance), formerly known as the Electronic Industry Citizenship Coalition/GeSI (Global e-Sustainability Initiative) which founded the joint Responsible Minerals Initiative (RMI), formerly known as the Conflict-Free Sourcing Initiative , as well as other private-sector organizations’ conflict minerals compliance initiatives, and is implementing and enhancing its formal Conflict Minerals compliance program accordingly. Our Conflict Minerals Policy Statement is available on our website at: http://investor.maximintegrated.com/corporate-responsibility.

To support this policy, Maxim Integrated:
Conducts a reasonable country of origin inquiry of all of its direct suppliers that have products containing necessary conflict minerals and, if required by the Conflict Minerals Rule (as it was for the calendar year 2017 reporting period), implements a program of due diligence on the source and chain of custody of conflict minerals (tin, tantalum, tungsten and gold, or “3TG”) that we consider necessary to the functionality or production of our products (“necessary conflict minerals”).
Expects our direct suppliers to have policies and procedures in place which are in compliance with the Maxim Integrated Conflict Minerals Policy Statement, and will enable transparency of the supply chain to facilitate our compliance with the Conflict Minerals Rule.
Provides, and expects our direct suppliers to cooperate in providing, reasonable country of origin and due diligence information with regard to use of “necessary conflict minerals” in our supply chain.



Efforts to determine the mine or location of origin of the conflict minerals in our products

Tracing the necessary 3TG we use in our products back to the mine and/or source country of origin of each such mineral is a complex endeavor, but an important aspect of responsible sourcing. To help establish and maintain our




supply chain compliance sourcing program, we have followed currently established industry guidelines such as those developed by the RMI under the auspices of the OECD Due Diligence Guidance, which is taking action to address responsible sourcing through the development of the Responsible Minerals Assurance Process, formerly known as the Conflict Free Smelter Program, which enables companies to source minerals from smelters and refiners that have been subjected to a rigorous, independent third-party audit.

Facilities used to process the conflict minerals in our products; brief description of our products

To implement our reasonable country of origin inquiry (“RCOI”) survey process, we adopted the RMI’s industry approach and used that organization’s CMRT (Conflict Minerals Reporting Template) to gather information from our first-tier suppliers, asking them to help us trace back the origin of necessary 3TG used in our products by identifying smelters, refineries or recyclers and scrap supplier sources of these minerals. We also utilized the RMI and its RMAP to trace the mine of origin of the 3TG when such information was available. The RMI conducts independent audits of smelters and refineries to ensure that all certified smelters and refineries are conformant or actively engaged in the RMAP.

Maxim Integrated procures IC and discrete components and raw materials that may contain conflict minerals from the following major types of suppliers:

•
Raw material supplier

•
Wafer Foundry

•
IC Assembly Subcontractor and Contract Manufacturers

•
Component Manufacturer


As discussed above, we manufacture a broad range of linear and mixed signal integrated circuits for a variety of uses (e.g., communications and computers), and have our own wafer fabrication facilities. We also use third-party wafer foundries.

The table below lists the facilities which, to the extent known, were identified by responding first-tier suppliers in our supply chain as sourcing smelters or refineries for one or more of the necessary conflict minerals in our products (we use gold, tin, tantalum and tungsten).

Metal
Standard Smelter/Refiner (“Smelter”) Names
Smelter Location
Smelter ID
Status*
Gold
Advanced Chemical Company
UNITED STATES OF AMERICA
CID000015
RMI Conformant
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
RMI Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
RMI Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
RMI Conformant
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
BRAZIL
CID000058
RMI Conformant
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
RMI Conformant
Gold
Asahi Pretec Corp.
JAPAN
CID000082
RMI Conformant
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
RMI Conformant
Gold
Aurubis AG
GERMANY
CID000113
RMI Conformant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
RMI Conformant
Gold
Boliden AB
SWEDEN
CID000157
RMI Conformant
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
RMI Conformant
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
RMI Conformant




Gold
Chimet S.p.A.
ITALY
CID000233
RMI Conformant
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
CID000328
RMI Conformant
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
RMI Conformant
Gold
DODUCO Contacts and Refining GmbH
GERMANY
CID000362
RMI Conformant
Gold
Dowa
JAPAN
CID000401
RMI Conformant
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
RMI Conformant
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
RMI Conformant
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
RMI Conformant
Gold
Heraeus Metals Hong Kong Ltd.
CHINA
CID000707
RMI Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
RMI Conformant
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
RMI Conformant
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
RMI Conformant
Gold
Istanbul Gold Refinery
TURKEY
CID000814
RMI Conformant
Gold
Japan Mint
JAPAN
CID000823
RMI Conformant
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
RMI Conformant
Gold
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
CID000920
RMI Conformant
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
RMI Conformant
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
RMI Conformant
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
RMI Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
RMI Conformant
Gold
Kazzinc
KAZAKHSTAN
CID000957
RMI Conformant
Gold
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
CID000969
RMI Conformant
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
RMI Conformant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
RMI Conformant
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
RMI Conformant
Gold
Materion
UNITED STATES OF AMERICA
CID001113
RMI Conformant
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
RMI Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
RMI Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
RMI Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
RMI Conformant
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
RMI Conformant
Gold
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
CID001157
RMI Conformant
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
MEXICO
CID001161
RMI Conformant
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
RMI Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
RMI Conformant
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
RMI Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
CID001220
RMI Conformant
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
RMI Conformant
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
RMI Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
RMI Conformant
Gold
PAMP S.A.
SWITZERLAND
CID001352
RMI Conformant
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
RMI Conformant
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
RMI Conformant
Gold
PX Precinox S.A.
SWITZERLAND
CID001498
RMI Conformant
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
RMI Conformant
Gold
Royal Canadian Mint
CANADA
CID001534
RMI Conformant
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555
RMI Conformant




Gold
SEMPSA Joyeria Plateria S.A.
SPAIN
CID001585
RMI Conformant
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
RMI Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
RMI Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
RMI Conformant
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
CID001761
RMI Conformant
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
RMI Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
RMI Conformant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
RMI Conformant
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
RMI Conformant
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
RMI Conformant
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
RMI Conformant
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
RMI Conformant
Gold
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
CID001993
RMI Conformant
Gold
Valcambi S.A.
SWITZERLAND
CID002003
RMI Conformant
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
CID002030
RMI Conformant
Gold
Yamakin Co., Ltd.
JAPAN
CID002100
RMI Conformant
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
RMI Conformant
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
RMI Conformant
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
CID002243
RMI Conformant
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
RMI Conformant
Gold
Geib Refining Corporation
UNITED STATES OF AMERICA
CID002459
RMI Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
RMI Conformant
Gold
Republic Metals Corporation
UNITED STATES OF AMERICA
CID002510
RMI Conformant
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID002516
RMI Conformant
Gold
Al Etihad Gold LLC
UNITED ARAB EMIRATES
CID002560
RMI Conformant
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
RMI Conformant
Gold
T.C.A S.p.A
ITALY
CID002580
RMI Conformant
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
CID002605
RMI Conformant
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
RMI Conformant
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
RMI Conformant
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
RMI Conformant
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
RMI Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
RMI Conformant
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
CID000291
RMI Conformant
Tantalum
Exotech Inc.
UNITED STATES OF AMERICA
CID000456
RMI Conformant
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
RMI Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
RMI Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
RMI Conformant
Tantalum
Jiujiang Nonferrous Metals Smelting Company Limited
CHINA
CID000917
RMI Conformant
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
RMI Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
RMI Conformant
Tantalum
Mineracao Taboca S.A.
BRAZIL
CID001175
RMI Conformant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001192
RMI Conformant
Tantalum
NPM Silmet AS
ESTONIA
CID001200
RMI Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
RMI Conformant
Tantalum
QuantumClean
UNITED STATES OF AMERICA
CID001508
RMI Conformant
Tantalum
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
CHINA
CID001522
RMI Conformant
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
RMI Conformant




Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
RMI Conformant
Tantalum
Telex Metals
UNITED STATES OF AMERICA
CID001891
RMI Conformant
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
RMI Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
RMI Conformant
Tantalum
D Block Metals, LLC
UNITED STATES OF AMERICA
CID002504
RMI Conformant
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
RMI Conformant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
RMI Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
RMI Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
RMI Conformant
Tantalum
KEMET Blue Metals
MEXICO
CID002539
RMI Conformant
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
RMI Conformant
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
CID002545
RMI Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
RMI Conformant
Tantalum
H.C. Starck Inc.
UNITED STATES OF AMERICA
CID002548
RMI Conformant
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549
RMI Conformant
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002550
RMI Conformant
Tantalum
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
CID002557
RMI Conformant
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
RMI Conformant
Tantalum
KEMET Blue Powder
UNITED STATES OF AMERICA
CID002568
RMI Conformant
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
RMI Conformant
Tantalum
Power Resources Ltd.
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
CID002847
RMI Conformant
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
RMI Conformant
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
CID000244
RMI Conformant
Tin
Alpha
UNITED STATES OF AMERICA
CID000292
RMI Conformant
Tin
CV Gita Pesona
INDONESIA
CID000306
RMI Conformant
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
RMI Conformant
Tin
CV Serumpun Sebalai
INDONESIA
CID000313
RMI Conformant
Tin
CV United Smelting
INDONESIA
CID000315
RMI Conformant
Tin
Dowa
JAPAN
CID000402
RMI Conformant
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
CID000438
RMI Conformant
Tin
Fenix Metals
POLAND
CID000468
RMI Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
RMI Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
RMI Conformant
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
RMI Conformant
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
RMI Conformant
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
RMI Conformant
Tin
Metallic Resources, Inc.
UNITED STATES OF AMERICA
CID001142
RMI Conformant
Tin
Mineracao Taboca S.A.
BRAZIL
CID001173
RMI Conformant
Tin
Minsur
PERU
CID001182
RMI Conformant
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
RMI Conformant
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
CID001231
RMI Conformant
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
RMI Conformant
Tin
Operaciones Metalurgical S.A.
BOLIVIA (PLURINATIONAL STATE OF)
CID001337
RMI Conformant
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
RMI Conformant
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
RMI Conformant
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
RMI Conformant
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
RMI Conformant
Tin
PT Bukit Timah
INDONESIA
CID001428
RMI Conformant
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
RMI Conformant
Tin
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
RMI Conformant




Tin
PT Karimun Mining
INDONESIA
CID001448
RMI Conformant
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
RMI Conformant
Tin
PT Panca Mega Persada
INDONESIA
CID001457
RMI Conformant
Tin
PT Prima Timah Utama
INDONESIA
CID001458
RMI Conformant
Tin
PT Refined Bangka Tin
INDONESIA
CID001460
RMI Conformant
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
RMI Conformant
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
RMI Conformant
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
RMI Conformant
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
CID001477
RMI Conformant
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
CID001482
RMI Conformant
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
RMI Conformant
Tin
PT Tommy Utama
INDONESIA
CID001493
RMI Conformant
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
CID001539
RMI Conformant
Tin
Soft Metais Ltda.
BRAZIL
CID001758
RMI Conformant
Tin
Thaisarco
THAILAND
CID001898
RMI Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
RMI Conformant
Tin
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
CID002036
RMI Conformant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
RMI Conformant
Tin
Yunnan Tin Company Limited
CHINA
CID002180
RMI Conformant
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
RMI Conformant
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
RMI Conformant
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
RMI Conformant
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
RMI Conformant
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
RMI Conformant
Tin
PT Inti Stania Prima
INDONESIA
CID002530
RMI Conformant
Tin
CV Ayi Jaya
INDONESIA
CID002570
RMI Conformant
Tin
CV Dua Sekawan
INDONESIA
CID002592
RMI Conformant
Tin
CV Tiga Sekawan
INDONESIA
CID002593
RMI Conformant
Tin
Resind Industria e Comercio Ltda.
BRAZIL
CID002706
RMI Conformant
Tin
Metallo Belgium N.V.
BELGIUM
CID002773
RMI Conformant
Tin
Metallo Spain S.L.U.
SPAIN
CID002774
RMI Conformant
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
RMI Conformant
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
RMI Conformant
Tin
PT Kijang Jaya Mandiri
INDONESIA
CID002829
RMI Conformant
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
RMI Conformant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
RMI Conformant
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
CID002848
RMI Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
RMI Conformant
Tin
Gejiu Jinye Mineral Company
CHINA
CID002859
RMI Conformant
Tin
PT Lautan Harmonis Sejahtera
INDONESIA
CID002870
RMI Conformant
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
CID003116
RMI Conformant
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
CID000004
RMI Conformant
Tungsten
Kennametal Huntsville
UNITED STATES OF AMERICA
CID000105
RMI Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
RMI Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
RMI Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
RMI Conformant
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
CID000568
RMI Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
RMI Conformant




Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
RMI Conformant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
RMI Conformant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
RMI Conformant
Tungsten
Kennametal Fallon
UNITED STATES OF AMERICA
CID000966
RMI Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
RMI Conformant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
CID002011
RMI Conformant
Tungsten
Wolfram Bergbau und Hutten AG
AUSTRIA
CID002044
RMI Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
RMI Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
RMI Conformant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
RMI Conformant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
RMI Conformant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
RMI Conformant
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
RMI Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
RMI Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
RMI Conformant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
RMI Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
RMI Conformant
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
RMI Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
RMI Conformant
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
CID002541
RMI Conformant
Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002542
RMI Conformant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
CID002543
RMI Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
RMI Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
RMI Conformant
Tungsten
Niagara Refining LLC
UNITED STATES OF AMERICA
CID002589
RMI Conformant
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
RMI Conformant
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
RMI Conformant

Countries of origin for mines of the Tin, Tantalum, Tungsten and Gold these facilities process are believed to include:

Argentina, Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, Democratic Republic of Congo, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russian Federation, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Viet Nam, Zimbabwe

Exercise due diligence on the source and chain of custody of its conflict minerals following recognized framework:

Due Diligence Framework

We have exercised due diligence on the source and chain of custody of our conflict minerals to identify minerals originating from the Covered Countries (DRC or an adjoining country) that are not from scrap or recycled materials. Maxim Integrated’s due diligence process has been designed and implemented based on the framework set forth in the OECD Due Diligence Guidance.

Our conflict minerals due diligence process in calendar year 2017 followed each of the five OECD-recommended steps:

1.
Establishment of Strong Company Management Systems





2.
Identify and assess risks in the supply chain

3.
Design and implement a strategy to respond to identified risks

4.
Encourage the independent third-party audit of smelter/refiner’s due diligence practices

5.
Report annually on supply chain due diligence

Inherent limitations on due diligence measures

As a downstream purchaser of conflict minerals or products (including components) manufactured by third parties that contain conflict minerals, our due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary conflict minerals contained in the products we sell to our customers. Our due diligence processes are based on the necessity of seeking data from our direct suppliers, and on those suppliers in turn seeking similar information within their supply chains to identify the original sources of the necessary conflict minerals. We also rely, to a large extent, on information collected and provided by independent third party audit programs such as the RMI. This process, in our view, is entirely consistent with the OECD Due Diligence Guidance for downstream companies. Maxim Integrated is an active member of RMI which oversees the RMAP audit program.

Brief description of due diligence measures taken

1.0 Strong Company Management Systems:

We have established a management system for complying with the applicable rules. Our management system includes the development of a Conflict Minerals Oversight Committee led by our Senior Vice President and General Counsel, Senior Vice President, Quality and Vice President, Deputy General Counsel. Maxim Integrated has also developed a team of subject matter experts from relevant functions with specific responsibilities. The Quality Director is responsible for directing the project operations and reporting to upper management. The Quality Director is also responsible for implementation of the supply chain due diligence process. Data collection and reporting are handled by the Environmental Materials Management and Information (EMMI) group within the Quality organization. The Environmental Materials Manager is responsible for day-to-day data collection, customer responses, supply chain and smelter communication, data/information validation, and archival documentation.

The team of subject matter experts is responsible for implementing our conflict mineral compliance policy, procedures and strategy. The Conflict Minerals Oversight Committee has been briefed about the results of our due diligence efforts on a periodic basis and the Director of Quality is briefed regularly during staff meetings.

2.0 Identification and Assessment of Risks in the Supply Chain:

We have made our reasonable efforts to identify first-tier suppliers that supply products or raw materials that may potentially contain necessary conflict minerals by conducting a supply chain survey using the RMI Conflict Minerals Reporting Template (CMRT), requesting all of our direct suppliers to identify smelters and refiners and country of origin of the conflict minerals in products and/or raw materials they supply to us; following up with direct suppliers that do not respond to the RMI Conflict Minerals Report Template by requesting their responses; comparing smelters and refiners identified by respondents to our supply chain survey against the list of facilities that have received a “Conformant” or “Active” designation from the RMI, which designations provide country of origin information; and maintaining documentation of our efforts pursuant to this process. We also review the responses to identify red flags in the responses for further follow-up and also identify key risks to our supply chain; this information also is documented.

3.0 Strategic Response to Identified Risks:

We have and will continue to make reasonable efforts to encourage suppliers who are sourcing from non-compliant smelters and/or refineries to move towards using compliant smelters and refiners (as identified via the RMI and other




industry-developed third-party audit mechanisms). If a supplier fails to remedy the risks identified by our risk assessment, we intend to escalate it to Conflict Minerals Oversight Committee to determine whether to approve or reject the supplier based on the following factors: a thorough cost and benefit analysis; potential risk factors; any existing competitive bids; and whether the supplier is a single source supplier. If the Conflict Minerals Oversight Committee decides to continue such a business relationship due to inherent limitations of the supply chain, we will use reasonable efforts to follow up with said supplier for its correction plan, and encourage our suppliers to work with CFSP compliant smelters and refiners. We provide and plan to continue to provide periodic compliance updates or reports to our Conflict Minerals Oversight Committee summarizing our risk mitigation efforts.

4.0 Independent Third Party Audit Of Smelter/Refiner’s Due Diligence Practices:

We do not have a direct relationship with 3TG smelters and refiners; hence, we do not and are not able to perform direct audits of these entities that provide the 3TG metals to our supply chain. However, we do rely upon industry efforts, including the RMI, to influence smelters and refiners to get audited and certified through RMI’s RMAP. We rely upon the summary audit reports on compliance status for smelters generated by the RMI to validate the responses received from suppliers surveyed pursuant to our RCOI process and address red flags identified in Step 2 above. We believe our efforts adequately address this requirement in the OECD Due Diligence Guidance.

5.0 Annual Report on Supply Chain Due Diligence:

In addition to this Conflict Minerals Report and accompanying Form SD, for further information about our Conflict Minerals Policy Statement, please see: http://investor.maximintegrated.com/corporate-responsibility.

Results of due diligence measures taken

We are committed to continuing and improving upon the use of our supply chain due diligence processes, leveraging the industry standard RMAP and other resources made available by the RMI, as well as the LBMA and other respected industry groups, to assist companies in following the OECD Due Diligence Guidance, and the ongoing update of our supplier RCOI information as we continue to develop additional transparency into our supply chain.

CONFLICT MINERALS REPORT

The Conflict Minerals Report for the calendar year ended December 31, 2017 is filed with the SEC as Exhibit 1.01 to Form SD, and is available at http://investor.maximintegrated.com/financial-information. The content of this website, and any other website referred to in this Conflict Minerals Report and/or the accompanying Form SD, is not incorporated by reference into either of these documents, or any other document Maxim Integrated has filed or will file with the SEC.